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Ministry of Finance, Economic Stabilization and
National Policies
GOVERNMENT OF THE DEMOCRATIC SOCIALIST REPUBLIC OF SRI LANKA (THE "REPUBLIC") ANNOUNCES TO ELIGIBLE HOLDERS, (I) AN INVITATION TO EXCHANGE SRI LANKA RUPEE (LKR) TREASURY BONDS OF THE REPUBLIC FOR NEW LKR TREASURY BONDS OF THE REPUBLIC AND (II) AN INVITATION TO EXCHANGE SRI LANKA DEVELOPMENT BONDS OF THE REPUBLIC FOR NEW TREASURY BONDS DENOMINATED IN USD AND/OR LKR OF THE REPUBLIC
Following the Resolution by Parliament of the Democratic Socialist Republic of Sri Lanka (the "Republic") dated 01 July 2023, as part of the Republic's domestic debt optimization programme, the Government of the Republic announces today that it has launched the following invitations:
(i) an invitation to eligible holders to submit offers to exchange Treasury Bonds issued by the Republic for new Treasury Bonds to be issued by the Republic (the Treasury Bond Exchange Offer); and
(ii) an invitation to eligible holders to submit offers to exchange Sri Lanka Development Bonds (SLDBs) issued by the Republic for new Treasury Bonds denominated in United States Dollars and/or Sri Lanka Rupees to be issued by the Republic (the SLDB Exchange Offer), in each case in accordance with applicable laws.
Treasury Bond Exchange Offer
The terms of the Treasury Bond Exchange Offer (including details of eligibility to participate, the Treasury Bonds subject to the Treasury Bond Exchange Offer, the terms and conditions including the exchange procedure and the financial terms of the new Treasury Bonds, and instructions for submission of an application) are set out in a Treasury Bond Exchange Memorandum dated 04 July 2023. The Treasury Bond Exchange Memorandum is available on the website of the Ministry of Finance, Economic Stabilization and National Policies (https://www.treasury.gov.lk/web/ddo).
SLDB Exchange Offer
The terms of the SLDB Exchange Offer (including details of eligibility to participate, the SLDBs subject to the SLDB Exchange Offer, the terms and conditions including the exchange procedure and the financial terms of the new Treasury Bonds denominated in United States Dollars and/or Sri Lanka Rupees and instructions for submission of an application) are set out in an SLDB Exchange Memorandum dated 04 July 2023. The SLDB Exchange Memorandum is available on the website of the Ministry of Finance, Economic Stabilization and National Policies (https://www.treasury.gov.lk/web/ddo).
Indicative Timeline of Events
Date
Action
04 July 2023 ........................................
Launch Date
04 July 2023 to 25 July 2023 ...............
Invitation Period (unless extended or terminated earlier)
07 July 2023 at 10:00 a.m. (IST) .........
Presentation to Eligible Holders (see below)
25 July 2023 at 4:00 p.m. (IST) ...........
Deadline for Eligible Holders to submit Offers
On or about 28 July 2023 ....................
Announcement of acceptance of Offers by the Republic will be published on the MoF website/ local newspapers
31 July 2023 .......................................
Settlement Date for new Treasury Bonds
Presentation to Eligible Holders
The Republic intends to conduct a virtual presentation ONLY to eligible holders of Treasury Bonds and SLDBs on 07 July 2023 at 10:00 a.m. (Colombo).
You can register for the presentation here. Members of the Press will not be permitted to attend.
Disclaimer
This announcement neither contains the terms and conditions of the Exchange Offers in full nor could be considered as part of the Exchange Offers. The terms and conditions of the Exchange Offers are contained in the Treasury Bond Exchange Memorandum and the SLDB Exchange Memorandum, and are each subject to the offer and distribution restrictions set out therein.
National Policies
4
th
July 2023
මුදල්, ආර්ථික ස්ථායීකරණ සහ
ජාතික ප්ර තිත්තති මාා්යාාසශය
ශ්රීක ලංකා ප ලංරිජාපන්ත්රාවාපී ලංමාපජාවාපී ලංජාරජජාේ ලං(ජාරජජාය) ලංසුදුසු ම් ලංකත් ලං හිමි රුවා්ත ලංේ වාන ලංනිේ ේදරය ලං(I) ශ්රීක ලංකා ප ලංජාරජජාේ ලංශ්රීක ලංකා ප ලංරුපියල් ලං භපණ්ඩපගපජ ලංබැඳුම් ජ ලංජාරජජාේ ලංරවා ලංශ්රීක ලංකා ප ලංරුපියල් භපණ්ඩපගපජ ලං බැඳුම් ජ ලංමඳහප ලංහුවාාපරු ලං ජ ලංගැනීාට ලංආජපධරපවාක් ලංමහ ලං(II) ජාරජජාේ ලං ශ්රීක ලංකා ප ලංමාවාධනධර ලංබැඳුම් ජ ලං (ඇාරි ප ලංඑක්මත් ලංජාරපද ලංේ ඩොකධන), ජාරජජාේ ලංරවා ලංශ්රීක ලංකා ප ලංරුපියල් භපණ්ඩපගපජ ලංබැඳුම් ජ ලංමහ/ේ හෝ ලංරවා ලං ඇාරි ප ලංඑක්මත් ලංජාරපද ලංේ ඩොකධන භපණ්ඩපගපජ ලංබැඳුම් ජ ලංමඳහප ලංහුවාාපරු ලං ජ ලංගැනීා නිේ ේදරය ලංකිරීා.
ජාරජජාේ ලංේ ේශීය ලංණය ලංරිශසමතන ලංකිරීේ ම් ලංවාැඩමටහේ ්ත ලංේ ොටමක් ලංේ කම ලං2023 ලංජූලි ලං1 දිරැති ලංශ්රීක ලං කා ප ලංපපධනලිේ ම්්තතුේ ේ ලංේ යෝජාරපවා ට ලංඅනුවා, පහන ලංමඳහ්ත ලංආජපධරප ලංදියත් ලං ජ ලංඇති ලංබවා ලං ජාරජජාය ලංඅද ලංනිේ ේදරය ලං ජයි.
සෑා මවස්ථාවකදීා මදාළ නීතිවලට මනුකූලව.
(i) ජාරජජාය ලංවිසි්ත ලංනිකුත් ලං ජනු ලංකබර ලංරවා ලංභපණ්ඩපගපජ ලංබැඳුම් ජ ලංමඳහප ලංජාරජජාය ලංවිසි්ත ලං නිකුත් ලං ජර ලංකද ලංභපණ්ඩපගපජ ලංබැඳුම් ජ ලංහුවාාපරු ලංකිරීා ලංමඳහප ලංපිරිරැමීම් ලංඉදිරිපත් ලං කිරීාට ලංසුදුසු ම් ලංකත් ලංහිමි රුවා්ත ලංේ වාන ලංආජපධරප ලංකිරීා ලං(භපණ්ඩපගපජ ලංබැඳුම් ජ ලං හුවාාපරු ලංේ යෝජාරපවා); මහ
(ii) ජාරජජාය ලංවිසි්ත ලංනිකුත් ලං ජර ලංකද ලංශ්රීක ලංකා ප ලංමාවාධනධර ලංබැඳුම් ජ, ජාරජජාය ලංවිසි්ත ලංනිකුත් ලං කිරීාට ලංනියමින ලංරවා ලංශ්රීක ලංකා ප ලංරුපියල් භපණ්ඩපගපජ ලංබැඳුම් ජ ලංමහ/ේ හෝ ලංඇාරි ප ලං එක්මත් ලංජාරපද ලංේ ඩොකධන භපණ්ඩපගපජ ලංබැඳුම් ජ ලංමඳහප ලංහුවාාපරු ලං ජ ලංගැනීා ලංමඳහප ලං පිරිරැමීම් ලංඉදිරිපත් ලංකිරීාට ලංසුදුසු ම් ලංකත් ලංහිමි රුවා්ත ලංේ වාන ලංආජපධරප ලංකිරීා ලං(ශ්රීක ලංකා ප ලං මාවාධනධර ලංබැඳුම් ජ හුවාාපරු ලංේ යෝජාරපවා).
භාණ්ඩාගාර බැඳුම්කර හුවාාරු යයෝජනාව
භාණ්ඩාගාර බැඳුම්කර හුවාාරු යයෝජනායේ නියායන් (සහභාගි වීාට සුදුසුකම් ලබන්යන් කවුරුන්ද යන්න පිළිබඳ විස්්ර, භාණ්ඩාගාර බැඳුම්කර හුවාාරුවට යට්ත වන භාණ්ඩාගාර බැඳුම්කර, භාණ්ඩාගාර බැඳුම්කර හුවාාරු කිරීයම් නියායන් සහ යකොන්යේසි සහ නව භාණ්ඩාගාර බැඳුම්කරවල මූලයා නියායන් සහ මයදුම්ත්ක් ඉදිරිත්ත කිරීා සඳහා උතයදස් ඇතුළුව) 2023 ජූලි 4 දිනැති භාණ්ඩාගාර බැඳුම්කර හුවාාරු තත්රිිකාවක දක්වා ඇ්. භාණ්ඩාගාර බැඳුම්කර හුවාාරු තත්රිිකාව මුදල්, ආර්ථික ස්ථායීකරණ සහ ජාතික ප්ර තිත්තති මාා්යාාසශයේ යවබ් මඩවියයන් ලබා ග් හැකිය. (www.treasury.gov.lk/web/ddo).
ශ්රී් ලසකා සසවර්ධන බැඳුම්කර හුවාාරු යයෝජනාව
ශ්රී් ලසකා සසවර්ධන බැඳුම්කර හුවාාරු යයෝජනායේ නියායන් (සහභාගී වීාට සුදුසුකම් ලබන්යන් කවුරුන්ද යන්න පිළිබඳ විස්්ර, හුවාාරුව ලංසඳහා යට්ත වන ශ්රී් ලසකා සසවර්ධන බැඳුම්කර, එක්ස්ත ජනතද යඩොලර් සහ/යහෝ ශ්රී් ලසකා රුපියල් වලින් නම් කරන ලද නව භාණ්ඩාගාර බැඳුම්කරවල හුවාාරු ක්රි යාතපාතාපාය සහ මූලයා නියායන් ඇතුළු නියායන් සහ යකොන්යේසි සහ මයදුම්ත්ක් ඉදිරිත්ත කිරීා සඳහා උතයදස් ඇතුළුව) 2023 ජූලි 4 දිනැති ශ්රී් ලසකා සසවර්ධන බැඳුම්කර හුවාාරු තත්රිිකාවක දක්වා ඇ්. ශ්රී් ලසකා සසවර්ධන බැඳුම්කර හුවාාරු තත්රිිකාව මුදල්, ආර්ථික ස්ථායීකරණ සහ ජාතික ප්ර තිත්තති මාා්යාාසශයේ යවබ් මඩවියයන් ලබා ග් හැකිය. (www.treasury.gov.lk/web/ddo).
සිදුවීම්වල මයේක්ෂි් කාල රාමුව
දිනය
ක්රිවයපවා
2023ලංජූලි4
දියත් කිරීේ ම් ලංදිරය
2023 ජූලි 4 සිට ලං2023 ලංජූලි 25 දක්වාප
ආජපධරප ලං පකය ලං(දිගු ලං ළේ හොත් ලංේ හෝ ලං ලි්ත ලංඅවාම්ත ලංේ රො ළේ හොත්)
2023ජූලි7ේ ප.වා. ලං10:00 (ඉ්තදියපනු ලං
මම්ාන ලංේ ේකපේ වා්ත)
සුදුසු ම් ලංකත් ලංබැඳුම් ජ ලංහිමිය්ත දැනුවාත් ලං කිරීා ලං(පහන ලංබක්තර)
2023ජූලි ලං25ප.වා. ලං4:00 (ඉ්තදියපනු ලං
මම්ාන ලංේ ේකපේ වා්ත)
පිරිරැමීම් ලංඉදිරිපත් ලංකිරීාට ලංසුදුසු ම් ලංකත් ලං බැඳුම් ජ ලංහිමි රුවා්ත ලංමඳහප ලංඅවාමපර ලං දිරය.
2023 ලංජූලි 28 ේ හෝ ලංඊට ලංආම්තර
ජාරජජාය ලංවිසි්ත ලංපිරිරැමීම් ලංපිළිගැනීා ලං පිළිබඳ ලං නිේ ේදරය ලං මුදල් , ආධනථි ලං මතථපයී ජණ ලං මහ ලං ජාපති ලං රිතිපත්ති ලං අාපන්පාශසේ ේ වාබ් ලං අඩවිේ /ේ ේශීය ලං පුවාත්පත්වාක ලංපළ ලං ජනු ලංකැේ බ්
2023 ජූලි 31
රවා ලංභපණ්ඩපගපජ ලංබැඳුම් ජ ලංපියවීේ ම් ලං දිරය
සුදුසුකම් ල්ත බැඳුම්කර හිමියන් දැනුව්ත කිරීා
2023 ජූලි 7 යත.ව. 10:00 ට ලංභපණ්ඩපගපජ ලංබැඳුම් ජ ලංමහ ලංශ්රීක ලංකා ප ලංමාවාධනධර ලංබැඳුම් ජ ලංවාක ලං හිමි රුවා්තට ලංපාණක් ලංාපධනගගන ලංඉදිරිපත් ලංකිරීාක් ලං ලංසිදු ලංකිරීාට ලං (virtual presentation) ලං ජාරජජාය ලංඅදහමත ලං ජයි. ලං
ඉදිරිපත් ලංකිරීා ලංමඳහප ලංමහභපගී වීාට ලංඔබට ලං ේ ානැනි්ත ලංලියපපදිාචි ලංවිය ලංහැ . ලංාපධ්ේ ේී ්තට ලං ේ ම් ලංමඳහප ලංමහභපගී ලංවීාට ලංඅවාමජ ලංේ රොේ ේ.
මුක්්කරණය
ේ ාා ලංනිේ ේදරේ ලංහුවාාපරු ලංේ යෝජාරපවාක ලංනියාය්ත ලංමහ ලංේ ෝතේ ේසි ලංමම්පූධනණේ ය්තා ලං අඩාගු ලංේ රොවාර ලංඅනජ ලංහුවාාපරු ලංේ යෝජාරපවාක ලංේ ොටමක් ලංේ කම ලංමැකකිය ලංේ රොහැකිය. ලංහුවාාපරු ලං ේ යෝජාරප ලංවාක ලංනියාය්ත ලංමහ ලංේ ෝතේ ේසි ලංභපණ්ඩපගපජ ලංබැඳුම් ජ ලංහුවාාපරු ලංපත්රිැ පේ ේ ලංමහ ලංශ්රීක ලං කා ප ලංමාවාධනධර ලංබැඳුම් ජ ලංහුවාාපරු ලං ලංපත්රිැ පේ ේ ලංඅඩාගු ලංවාර ලංඅනජ, ඒ ලංමෑා ලංඑ ක්ා ලංඑහි ලංදක්වාප ලං ඇති ලංපිරිරැමීම් ලංමහ ලංේ බදප ලංහැරීේ ම් ලංසීාපවා්තට ලංයටත් ලංේ ේ.
,
මුදල් ආර්ථික ස්ථායීකරණ සහ ජාතික ප්ර තිත්තති මාා්යාාසශය
2023 ජූලි 04
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Published on Reviews in History (https://reviews.history.ac.uk)
The Structure of Politics at the Accession of George III
Review Number: 32
Publish date: Sunday, 1 June, 1997
Author: Lewis Namier
Date of Publication: 1957
Pages: 514pp.
Publisher: Macmillan
Place of Publication: London
Reviewer: Peter Thomas
The publication of what is often known simply as The Structure of Politics transformed the perceived political landscape of eighteenth-century Britain. Prior to 1929 British political history from 1688 was broadly conceived of as a two-party rivalry of Whig and Tory, underpinning a constitutional monarchy and a modern cabinet system based on a party majority in the House of Commons. That was the classic 'Whig interpretation' of history for the period, embodied in the scholarly work of Lord Macaulay, W.E.H. Lecky, G.O. Trevelyan and G.M. Trevelyan, and popularised in Sir Charles Grant Robertson's textbook England under the Hanoverians, reprinted sixteen times since 1911. What Namier did was to cut a cross-section through the British political system in the middle of the eighteenth century and demonstrate that no such parties existed. It was as if a zoologist had dissected a creature previously thought to have been vertebrate and shown it to be boneless. Namier, instead of viewing political history as the deeds of great men, concerned himself with the behaviour of ordinary MPs, revealing a political system of infinite subtlety, with the great majority of MPs simultaneously seeking favours from government and professing their independence, varying permutations of these two attitudes constituting political reality. Apart from the use of techniques such is prosopograthy, the study of social and family connections, what distinguished Namier's work was meticulous attention to detail and emphasis on original sources. Namierisation, a word coined in his lifetime, was essentially a substitution of accurate detail for the generalisations that had contented earlier historians. Namier went to the grass-roots of politics. He asked such questions as : what determined the conduct of individual MPs? Why did men go into politics? What did they get out of it?
This might now seem unremarkable, and Namier was not, of course, the first historian to concentrate his attention on manuscript evidence, but his much-publicised 'paper-chases', as he called them, made such endeavours henceforth mandatory for serious scholars. Present-day historians, familiar with modern techniques far more sophisticated than Namier's cruder methods, might well wonder what all the fuss was about. The initial reception of the book provides part of the answer.
In the English Historical Review D.A. Winstanley, himself the author of two monographs on the 1760s, graciously acknowledged the significance of Namier's book:
No previous writer has ever made so thorough and gallant an attempt to discover the actual workings of the political system of the eighteenth century .... The result is a very notable contribution to the study of eighteenth-century politics. .... He has shown us that the lucidity we thought we possessed was delusive, and only obtained by an artificial simplification of an extremely involved system. ... We have thought of Parliament, and in a lesser degree, of the country as being neatly divided up into Whigs and Tories.
Winstanley, however, was not entirely convinced, and queried Namier's preface flourish that 'the political life of the period could be fully described without ever using a party denomination'.. This claim Winstanley described as 'a point of view of great interest', and more generally he pronounced that 'though some of us may not be prepared to accept without further question all of Mr. Namier's conclusions and implications, there is no doubt that all of us will be compelled to revise and modify many of our previous conceptions'.
Such appreciation of the significance of Namier's findings was not the norm. The review in History by diplomatic historian Sir Richard Lodge was a put-down. 'The title Structure of Politics is perhaps too ambitious.' Lodge placed the book on a level with the descriptive Unreformed House of Commons by E. and A.G. Porritt published in 1903, and implied that it would be of interest to local rather than general historians. Robertson, in a new 1930 edition of his England under the Hanoverians commented that 'there has been a tendency to exaggerate the extent and novelty of Mr. Namier's conclusions', and left the old interpretation intact in his text, relegating his garbled summary of Namier's book to Appendix XXI.
Doubtless in part because of the Second World War, a major distraction from scholarship, it took some time for Namier's work to undermine the entrenched orthodoxy; but by the 1950s the implications of his research were being adopted in political analyses of eighteenth-century Britain. Hanoverian politics were now portrayed in terms not of a party conflict of Whig and Tory, but of an alignment between 'Court' and 'Country', government and opposition. Three types of MPs were analytically portrayed : a minority of active politicians who headed both administration and opposition; another minority of office-holders who invariably supported government; and a majority of independents, divided between the two political sides. Changes of ministry merely involved reshuffles among the politicians, acting either as individuals or as members of loose groupings centred around a leader. Since all active politicians claimed to be Whigs, the political game was conducted virtually without reference to party terminology. Namier's views were now the new orthodoxy. In 1962 Dorothy Marshall avowedly wrote her university text-book Eighteenth Century England, covering the period 1714 to 1784, on Namierite lines, adopting 'the new interpretations' as she termed them; and other general surveys by J.S. Watson, J.B. Owen, W.A. Speck and I.R. Christie followed the same approach. The implications of Namier's book, both in methodology and conclusions, extended chronologically before and after his own period of research, into the writing of British history in the seventeenth, early eighteenth, and nineteenth centuries. For the reign of George III studies by John Brooke and Ian Christie confirmed the Namierite political analysis for the periods 1766-68 and 1780-82 respectively. But there was no further need to demonstrate its validity, and Namier's grand design for a series of such volumes never got off the ground.
That such structural analysis seemed to be all that was being written under Namier's aegis led to the complaint that he had 'taken the mind out of history', and Sir Herbert Butterfield launched a famous historical controversy of the 1950s by accusing Namier and his alleged 'school' of removing the ideological content from political history. This attack often confused aims and methods, and lacked logic, as one Namierite John Owen pointed out in reply. 'The counting of heads does not necessarily mean the discounting of ideas.' The charge against Namier himself was particularly unfair, for it overlooked the circumstance that his own original intention had been a study of the coming of the American Revolution, an aim he was diverted from when he perceived the error of conventional historical interpretations of the politics of the period. Namier never returned to his first aim, but subsequent historians have demonstrated that a Namierite political framework is no barrier to the discussion of policies and principles.
Criticism of Namier swelled after his death in 1960. In the felicitous phrase of his biographer Linda Colley, 'the former cult figure was transmuted into a bogeyman'. Whereas few had the courage of Butterfield to attack the great man openly to his face, others now did so when he was safely in his coffin. Some bravely pursued a posthumous vendetta, from real or imagined grievances. Others genuinely disagreed with Namier's methods and conclusions. But there were broader reasons for this widespread reaction than motives of personal malice or academic revenge. The study of ruling elites became unfashionable. The trend, indeed, was away from political history altogether, towards social history; and by this was meant the lives of ordinary folk, not Namier's landed oligarchy. The history of ideas came back into favour, and Namier was thought to be the arch-enemy of the roles of logic and principle in human behaviour.
It is an irony of historical scholarship that the ongoing revival of interest in political history has produced the situation that, while the examination of principles and politics has largely been carried out within the Namierite framework, there has been a simultaneous attempt to reclaim the Hanoverian period for traditional party history. Some historians have discovered a Tory party in existence until the 1750s. Frank O'Gorman has linked the Whig governing party of the first two Georges with the Whig party of the early nineteenth century. Scholarly challenges have thus sought to limit the significance of Namier's research to the middle decades of the eighteenth century. In many respects this controversy is more apparent than real. The Tory party of the earlier Hanoverian period is not portrayed as the sole opposition to Whig ministers, and can be accommodated among the 'independent MPs' identified by Namierite scholarship. Likewise the Whig party of George III's reign can be placed among the 'politicians' of the Namierite analysis, and are not depicted as opposing 'Tory' ministers in Lord North and the Younger Pitt, both of whom themselves came from Whig backgrounds.
That the Namier Revolution is an enduring achievement of historical scholarship can be demonstrated by comparison of G.M. Trevelyan's three-volume England under Queen Anne (1930-1934). with Geoffrey Holmes's Politics in the Age of Anne (1967). This book, often deemed second only to Namier's Structure of Politics in modern scholarship on eighteenth-century politics, was avowedly written to counter a Namierite interpretation of that period by R. Walcott. Yet even this revisionist work on 'the first age of party' is cast in the Namierite mould of categorising MPs as members of political groups, office-holders and independents, albeit divided broadly into Whigs and Tories. Destroyed for ever is the notion of 'The Two-Party System in English Political History' summarised and publicised by G.M. Trevelyan in his 1926 Romanes Lecture of that title, delivered only three years before the publication of The Structure of Politics.
Notes:
1. English Historical Review, 44 (1929), 657-60
3. J.S. Watson, The Reign of George III, 1760-1815 Oxford, 1960). J.B. Owen, The Eighteenth Century, 1714-1815 (Nelson, 1974). W.A. Speck, Stability and Strife: England 1714-1760 (Arnold, 1977). I.R. Christie, Wars and Revolutions: Britain 1760-1815 (Arnold, 1982).
2. History, 14 (1929-1940), 269-70. The Cambridge Historical Journal did not review books at the time.
4. D. Brunton and D.H. Pennington, Members of the Long Parliament (1954). R.R. Walcott, English Politics in the Early Eighteenth Century (1956). G. Nash, Politics in the Age of Peel (1953). H.J. Hanham, Elections and Party Management in the Age of Gladstone and Disraeli (1959).
6. Especially in George III and the Historians (1957).
5. J. Brooke, The Chatham Administration, 1766-1768 (1956). I.R. Christie, The End of North's Ministry, 1780-1782 (1958).
7. J.B. Owen, 'Professor Butterfield and the Namier School', The Cambridge Review, 79 (10th May 1958), 528-31
9. Linda Colley, Lewis Namier (1989), p.94
8. H.V. Bowen, Revenue and Reform. The Indian Problem in British Politics 1757-1773 (1991); I.R. Christie, Wilkes, Wyvill and Reform, 1760-1785 (1962); P. Langford, The First Rockingham Administration 1765-1766 (1973); L.S. Sutherland, The East India Company in Eighteenth-Century Politics (1952); P.D.G. Thomas, British Politics and the Stamp Act Crisis 1763-1767 (1975); id., The Townshend Duties Crisis 1767-1773 (1987); id., Tea Party to Independence 1773-1776 (1991).
10. Linda Colley, In Defiance of Oligarchy: The Tory Party 1714-60 (1982). E. Cruickshanks, Political Untouchables; the Tories and the '45
(1979). J.C.D.Clark, The Dynamics of Change: The Crisis of the 1750s and English Party Systems (1982).
12. R.R. Walcott, English Politics in the Early Eighteenth Century (1956).
11. F. O'Gorman, The Rise of Party in England: The Rockingham Whigs 1760-1782 (1975); id., The Whig Party and the French Revolution (1967); id., The Emergence of the British Two-Party System 17601832 (1982).
13. The lecture may be found in G.M. Trevelyan, An Autobiography and other Essays (1949), pp. 183-99. For broader appraisals of Namier's work see John Cannon 'Lewis Bernstein Namier' in The Historian at Work, edited by John Cannon (Allen and Unwin, 1980), pp. 136-153, and Linda Colley, Namier (Historians on Historians, Weidenfeld and Nicolson, 1989). Both have guides for further reading.
Other reviews:
[2]
Source URL: https://reviews.history.ac.uk/review/32a#comment-0
Links
[1] https://reviews.history.ac.uk/item/4401
[2] https://reviews.history.ac.uk/
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CHIRP
CHIRP Issue No: 49 CHIRP
Maritime FEEDBACK
Editorial
This is the last edition of Maritime FEEDBACK which will be published under the leadership of our current Director (Maritime), Captain John Rose MNM, who has decided to step down in January 2018 after four years at the helm. During his time with CHIRP, John has overseen a remarkable transformation and introduced numerous improvements. We are now more effective, are reaching more seafarers than ever before, and are financially more healthy, so we owe him a tremendous debt of gratitude.
The Trustees are fortunate to have recruited Captain Jeffrey Parfitt FNI, who is already working with John ahead of the handover. Jeff is an experienced mariner with wide experience, particularly in the offshore industry, who also worked for several years as a confidential investigator. He brings a very useful set of skills to CHIRP Maritime, and we
REPORTS ...
An illusion of safety
OUTLINE: A report outlining dangers with inertia-wire rope safety lanyards when not used correctly.
What the Reporter told us:
Rigging the gangway, the crew were dutifully using inertiawire rope safety lanyards clipped to the webbing straps of life jackets. There were a few issues of concern and I don't believe they are unique to this vessel.
look forward to working with him in the years ahead.
In this edition, we feature more reports about mooring and pilot boarding, and describe a few problems faced by pilots in the course of their duties. There are reports about dangerous practices when working aloft, and others referring to COLREGS, leisure vessels and ship design. There is an interesting section about passenger vessels, and one potentially explosive report!
Finally, we include a note about health-related issues, and ask for your support in helping us to shine a spotlight on an area which has been neglected. Recent international conventions have made this a legitimate area of concern for CHIRP Maritime and we will welcome your reports.
This is a varied and interesting edition and our thanks, as always, go to our reporters and sponsors for making it possible.
* • The lifejacket was not of a type designed for fall arrest. (Lanyard clipped around strap and strap around torso).
* • There was no energy absorbing lanyard in use.
* • There was no obvious rescue means on hand at the top of the work area.
* • The inertia-wire rope unit was not directly above the worker. Should they have fallen they would have suffered the pendulum effect. The wire was passing over a sharp coaming.
* • The inertia unit was secured to handrails that were in poor condition.
There are many factors here, including the design of a gangway area that seems to have no regard for how to rig safely. The idea that someone is expected to walk down a gangway with no rails and then lift those rails into place shows that good human-centred design has a long way to go in our industry.
Further to this, if we can't change the design we should at least consider how we make people safe carrying out this task? How do we get an unconscious person back to deck level when using a safety harness and stop them dying from suspension trauma?
Typical marine industry reaction will likely be more training for the seafarer to ensure he/she is blamed for what is, at root, a design issue not a behaviour/training issue.
CHIRP Comment
The Maritime Advisory Board agreed with all aspects of this report. It is good example of Human Centred Design not being applied, forcing crews to work around the problem. Designers take note!
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PLEASE NOTE ALL REPORTS RECEIVED BY CHIRP ARE ACCEPTED IN GOOD FAITH. WHILST EVERY EFFORT IS MADE TO ENSURE THE ACCURACY OF ANY EDITORIALS, ANALYSES AND COMMENTS THAT ARE PUBLISHED IN FEEDBACK, PLEASE REMEMBER THAT CHIRP DOES NOT POSSESS ANY EXECUTIVE AUTHORITY.
SUBMIT A REPORT –
ONLINE
BY EMAIL
CHIRP always protects the identity of our reporters. We are a confidential programme and, as such, we only keep reporters personal details for as long as we need to keep in contact with them.
Reports can be submitted online, through our secure encrypted online form.
https://www.chirpmaritime.org/
Reports can be submitted online, through our secure encrypted online form.
submit-a-report/
email@example.com
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Issue No:49 12/2017
Unmooring – Momentary Human Error – Wait for the splash… !
OUTLINE: Whilst unmooring, the forward breast lines were lowered by ships staff for release at the hook by the shore linesmen. The officer in charge (OIC), assuming that the ropes had been released, gave the signal to the winchman to heave the ropes home. The winch operator commenced heaving. The OIC realized, simultaneously with advice relayed via the pilot and master, that one of the mooring ropes had not released. He signalled to the winch operator to stop heaving, and to slacken the rope. The rope was then released by the linesmen and the unmooring operations continued. The pilot issued an incident report which was followed up by the company.
Extracts from the Company Report:
The company conducted a thorough investigation and analysis of the incident, focussed upon human factors rather than blame. The salient points are as follows;
* • Mooring operations are covered by company's Safety Management System, including work control manuals with specific reference to mooring. Procedures refer to appropriate industry publications, cover familiarization/ training, job hazard analysis and proper operation/ maintenance of equipment.
* • The mooring team consisted of the OIC and four ratings. All personnel were experienced, considered fully competent for the mooring operation, and had completed familiarization training prior to taking up any mooring duties. They were familiar with the terminal, and the communication practices between the linesmen and the mooring stations.
* • Prior to departure a tool box talk was given to all mooring party members and reported to the bridge. Similarly, the unmooring plan was agreed between master and pilot, then communicated to all involved.
* • Communications were supervised by the bridge. Standard practice is that the OIC communicates directly with the shore linesmen and vice versa using visual signals. There is no bridge intervention unless further clarification or guidance is required.
* • The linesmen unhook the lines once slacked by the vessel. The OIC and the winch operator stand close to each other, so that effective verbal communication can be maintained. During critical verification times, the OIC stands in a location which ensures that both the shore and ship's teams can be seen. Following confirmation of release from the hooks, (by visual signal, which is acknowledged), the vessel heaves up the lines using the winches, initially at slow speed.
unintentional, this was a violation of standard practice. A further error was that the winch was operated at high speed, in contravention of standard practice. It was not clear why the winch operator acted that way.
* • No contributory causes of the error have been identified. Fatigue was determined not to be factor.
Conclusions
* • A review of the unmooring Job Hazard Analysis shows that there is no direct reference to the need to communicate with shore staff to prevent this kind of incident. (Procedural improvement indicated).
* • The OIC had become involved in the releasing/retrieval of the mooring ropes and had momentarily assisted the crew instead of overseeing the operation. (Lack of situation awareness).
* • The lines of communication, for handling the breast lines, were insufficient as the OIC had not received a signal from the linesmen ashore to verify that all was clear and the mooring rope tails had been released from the hooks. Additionally, this had not been acknowledged, and the OIC was not in a position to determine that shore linesmen were in a position of safety away from the hooks. (Lack of proper communication and improper position for the operation).
* • A human behavioural issue was identified in the unintentional risk taken by using time elapsed to infer critical information related to mooring operation. (Performance of a practice without risk appreciation)
* • Finally, the fact that the winch was operated at high speed at the initial stage of heaving up implies inadequate supervision. (Improper operation of equipment and lack of proper supervision)
Actions Taken
* • The near miss analysis to be discussed with the terminal operator to improve existing mooring practices.
* • Just Culture process was applied with regard to the OIC, and will include a training session.
* • A Fleet Circular issued, sharing the lessons learnt and requesting a mooring operation evaluation review to be discussed on board and shared across the fleet. The review to include a mooring operation hazard analysis to ensure the lessons learnt from this near miss are incorporated, for use in future toolbox talks.
* • The lessons learned are to be included in Fleet Training Officer material for on-board training.
CHIRP Comment
* • This was effectively implemented whilst releasing the headlines. With the breast lines however, and at the critical point of release, the OIC was not standing at the proper location, and was not able to verify that all lines were released. Instead an assumption was made that the lines had been released, based upon the elapsed time from the last visual contact with the linesman. Although
The Maritime Advisory Board emphasised that the person in charge should not get involved in handling ropes and should always maintain a full oversight of the operation. The company's effort to investigate the human factors is refreshing – it is only by doing this that root causes will be properly addressed, as opposed to simply saying "Did not comply with the SMS!".
Useful references – OCIMF Effective mooring, and the Nautical Institute Mooring and Anchoring Ships Volumes 1&2.
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The Charitable Trust CHIRP (Confidential Hazardous Incident Reporting Programme)
reviews near miss and hazardous incident reports from seafarers around the world.
Port arrival and berthing mishaps
OUTLINE: CHIRP has received several reports relating to port arrival and berthing. The following reports cover communication failings, maintenance issues, and operational concerns.
What the Reporter told us (1):
The ship arrived early at the pilot station but continued to proceed inside pilotage limits. When outbound in the pilot boat I saw the vessel was ahead of time, so called and told them not to proceed inside the pilot station and if necessary take a round turn until I arrived. The vessel took no action and continued inside the limit. Only after repeated calls and explanations did the vessel to go around to allow me to board in the correct position.
We do not send out written instructions about not proceeding inside the boarding ground via the agents, as this may not be actioned upon receipt. Our harbour radio (VIS) instructs vessels not to approach the boarding station until contacted by the pilot. We do not talk to the ship until we have the vessel in sight visually.
I'm sure that, with hindsight, I could have communicated better but it is clear that there was a lack of understanding about what was being requested. Once I got to the bridge the captain immediately asked why he needed to go around. Having explained, and established myself on the bridge, I was very conscious to establish a good rapport with the bridge team, since an overly critical pilot can create a barrier between himself and the master/bridge team. Whilst encouraging some small-talk to soften any tension, I was also able to get a better sense for the captain's level of English, which was moderate at best. It was confirmed he had never been to this port before.
CHIRP Comment
The Maritime Advisory Board emphasised the need for good communications between the port authorities, vessel and pilot. In general, the reasons for not proceeding inside port/pilot limits might be;
* • Any incident inside pilot/port limits might have legal ramifications.
* • That the pilot needs time to familiarise himself with specific bridge equipment and also to conduct a thorough master–pilot information exchange.
* • The pilot and master need to satisfy themselves that the vessels equipment is all in good order for the transit.
* • Time may be required, for example to line up for a leads approach.
* • The vessel may not be aware of any other ship movements in the vicinity which may or may not have priority.
What the Reporter told us (2):
Sailed a car carrier this evening and noted a few issues for consideration.
* • Bow thruster not available due to auxiliary engine issue. Master stated bow thruster could not be used without risk of blacking out the vessel. This was only mentioned when
the pilot arrived on the bridge for departure. I called for a second tug.
* • Unmooring was slow due to winch pumps requiring changing-over during the operations, both forward and aft. I recall this from previous operations with this vessel.
* • Elevator not working, fourteen decks from accommodation level to pilot embarkation deck, resulting in a slower than expected transit time through the vessel.
* • Ships VHF radio communications broken at times, could be a handset issue?
CHIRP Comment
The Maritime Advisory Board commented that many pilots do have the option to delay sailing, take the ship to anchor until faults are rectified, and to inform Port State inspectors (although the power to do so is unfortunately not universal). In this case there are several issues, all indicative of poor mooring equipment design, work preparation and maintenance failings – overall a noneffective safety management system. This is unfortunately not uncommon. Ship's personnel often live and work with deficient equipment for such a long time that it becomes the standard, and is not regarded as being deficient.
What the Reporter told us (3):
Whilst berthing the vessel a tug order was missed resulting in heavy contact with the berth. It appears that as an order was given to each tug in quick succession, the order to the forward tug may have been blocked by a response from the aft tug. This resulted in the tug continuing to push after the order was given to stop. There was no damage because the rubber fenders absorbed the load adequately. As the shoulder landed first there was no damage, however if it had been the aft tug continuing to push, there could have been damage to the quarter with this type of vessel.
CHIRP Comment
The Maritime Advisory Board commented that a vessel's speed must be fully under control when approaching a berth. The problem in this case was the rapid succession of orders given to the tugs. Any instruction to a tug should be considered before being transmitted. The view of the tugmasters and their means of communication is an additional consideration. A publication giving guidance on "Standard Pilot Orders for Tugs" by The International Tugmasters Association specifically discusses intervals between pilot orders for tugs and this becomes increasingly important when more than two tugs are utilised. The whole issue of tug orders and language is the subject of ongoing debate globally.
What the Reporter told us (4):
On approach to the port whilst under pilotage, a vessel experienced a blackout approximately two miles NE of the inlet leading to the final port approach. The main engine stopped, although steerage and emergency electrical power was maintained. The vessel was proceeding inward bound with a speed of 5 knots. Both anchors were cleared away ready for use. The generators were restarted after www.chirpmaritime.org
CHIRP, Ancells Business Park, Ancells Road, Fleet, GU51 2UJ (UK only)
firstname.lastname@example.org Freefone (UK only): 0800 772 3243 or +44 (0) 1252 378947
2 minutes, and all electrical power and systems brought back online. Main engine and bow thruster were tested at this time. In consultation with the master, it was agreed to resume the approach. The master advised the pilot that the reason for the blackout was the starting of an additional generator. The vessel then proceeded to berth without further incident.
CHIRP Comment
The Maritime Advisory Board mentioned the following lessons to prevent reoccurrence;
* • Prior to standby it should be ensured that adequate electrical power is available with additional plant engaged as necessary before the pilot boarding ground is reached, to cover all anticipated operations e.g. electro hydraulic winches, bow thruster, lighting, main engine.
* • Anchors should have been cleared beforehand - vessel only two miles off the beach.
* • Are the pre-arrival checks appropriate – are they implemented correctly, who checks, and are they confirmed by the company? If the answer is in the negative, managers should then ask, why? (Potential management failings)
* • Some companies conduct machinery drills, which are useful for training staff to respond to such incidents.
* • The incident identifies potential causal factors including but not limited to;
o o Latent Failures - Design, Hardware, Maintenance Management, Procedures, Training.
o o Human Factors - Complacency, Local Practices, Pressure, Fatigue, Situation Awareness.
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Navigation lights – can you see them?
OUTLINE: An encounter between a yacht and a large passenger vessel, where navigation lights were difficult to distinguish amongst other deck lights.
What the Reporter told us:
My yacht was under sail progressing in a southerly direction. I saw the lights of another vessel off my starboard bow. At some distance, I made out what I thought was a green light and believed that the other vessel was a cross channel ferry heading north, well clear of my vessel. As we closed, it became clear that what I had thought was a green light was in fact blue, but another green light became visible, so I continued to believe this was a ferry heading north and clear of my vessel. However, the relative tracks didn't seem to make sense if I was seeing a starboard navigation light. Eventually, the vessel crossed my track about a mile ahead – it was a cruise liner going from west to east. I should, therefore, have been able to see the port navigation light but, even with hindsight, I could not convince myself there was a red light in amongst the multitude of other lights visible on the cruise liner. This is a common issue with cruise liners – and this one is no worse than some others.
www.chirpmaritime.org
On this occasion, there was no harm as the other vessel was a safe distance ahead and we were the stand-on vessel. However, because we only saw what seemed to be a green navigation light and, therefore, misinterpreted the situation, had my vessel been under power, we would not have known that we were the give way vessel until very much closer, and then only because the track wasn't making sense, not because we identified the red port navigation light.
The Collision Regulations specify the minimum visibility of navigation lights. However, the impact of other bright lights simply obscuring the navigation lights, (as was the case when the vessel was 1 mile ahead), or being positively misleading (as was the case initially when the only coloured lights I could see were green), is not appreciated. Vessels should ensure that their navigation lights are bright enough to be seen against the background of all their other lights, and avoid using coloured deck lights where this can cause confusion.
Very bright deck working lights obscuring navigation lights are often an issue on fishing boats as well.
CHIRP Comment
The Maritime Advisory Board highlighted the importance of taking a series of compass bearings in order to determine whether a risk of collision exists. Navigation light visibility – irrespective of other lighting – must comply with COLREGS Annex 1.
In addition, they queried why classification societies permit these designs where visibility is obscured. Technology exists whereby deck lighting may be adequately shaded - permitting safe movement on board yet not obscuring regulatory lights.
The quality of light bulbs used is another possible consideration. Take LED for example – are approved suppliers holding the introduction of these back due to a lack of any requirement in COLREGS?
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Close Call - Fishing Vessel and a Ro-Ro
OUTLINE: A report outlining a near miss in the Mediterranean Sea that almost resulted in a collision.
What the Reporter told us:
Whilst on watch during the night I heard an Italian fishing boat several times calling a ro-ro ferry on VHF channel 16, asking her to keep clear of him as he was trawling and displaying the required navigation and fishing lights. Italian was the language in use. The fisherman also provided his position and said he had been flashing a light for the last five minutes. As he did not receive any answer from the ro-ro ship, and considering that the vessel had not altered course and speed at all, he had to take evasive action and stopped his boat, ending up just 10 meters from the passing cargo ship. The fisherman contacted the nearest local Italian coastguard station shortly afterwards to report the near miss, and he was told that an investigation would be conducted upon his return to port the following day.
CHIRP wants reports on accidents, bad safety practices' etc. –
those that did not happen only because of luck or good fortune.
It's really shocking to still hear such conversations on VHF. In this case the lack of a proper lookout could have resulted in a collision - the actions of the fishing boat skipper prevented it.
What the Third Party told us:
CHIRP wrote to the ISM Managers of the vessel but they declined to respond.
CHIRP Comment
The Maritime Advisory Board commented that with the exception that the use of VHF should not be used for collision avoidance, the fishing vessel's actions were appropriate when raising awareness of the risk of collision. Additionally, whilst it is pleasing that the Italian coastguard undertook to follow up, it is disappointing that the Company in question did not respond, indicating a poor company management safety culture.
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Watch Your Step!! Poorly designed bridge wing platform
OUTLINE: Poor design – a tripping hazard with the potential for a fatal fall from height.
What the Reporter told us:
I piloted a vessel into port this morning. As I walked out to the bridge wing in the dark I was confronted by a platform approximately 200mm off the deck - despite the yellow paint on the edge it was almost invisible. Once on the platform I had the coaming of the bridge at mid-thigh level as opposed to hip level. Being some 26m above the wharf, this was quite unnerving.
Upon stepping off and proceeding to the bridge during berthing my foot slipped off the outboard edge. This was due to the fact that there was a gap off approximately 200mm between the platform and the solid upright part of the bridge wing.
I am not sure why the ship was built with this platform the only thing it appears to do is make it easier for a person to fall off the bridge wing.
The reporter passed the incident to Port State Control who visited the vessel to follow up and conduct a scheduled inspection. They commented that, remarkably, this ship is some 13 years old yet the matter has never been raised. The International Convention on Load Lines 1966, Regulation 25(2) Protection of Crew states that a minimum bulwark height of 1000mm from the deck is required. With the addition of the deck platform the height was reduced to about 880mm which does not comply with this regulation. The vessel's classification society also stipulate that for bridge wings, freeboard decks and superstructure decks, the minimum height of bulwarks must be 1000mm.
A deficiency was raised with a direction to comply with the regulation as soon as practicable. Until then a risk assessment must be completed with appropriate measures taken to ensure there is no risk of falling or tripping hazard to any persons occupying the area. The company's port captain, on board at the time, agreed to follow up accordingly.
CHIRP Comment
The non-compliant design should have been identified in a flag state survey. A risk assessment should have been undertaken and a Management of Change process applied at the design stage. This should have been approved by the ship managers. This report should raise the awareness of all mariners about the need for a minimum bulwark height of 1,000mm, and the inherent dangers of tripping over obstacles at night.
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Passenger vessel safety
OUTLINE: CHIRP has received several reports regarding both domestic and international passenger vessels outlining failings in safety management.
What the Reporter told us (1):
I was on a cruise earlier this year. As an ex-mariner I was shocked by the occasional unseamanlike behaviour of the deck crew. The following was noted – small things possibly, but indicative of the culture on board. I contacted the onboard ship management but their response was less than helpful so I wrote to the company. Their comments are in italics.
* • Mooring crew left a stairwell gate swinging even though it had a securing device. The next six crew-members who went through that gate left it open, swinging gently. They all knew the vessel was proceeding to sea
* • Personnel painting cable runs in the deck-head. On one occasion a safety harness was worn but was not used, the second time, a safety harness was not worn. The photograph shows the crew member up a ladder and being supported below by another crew member. Whilst the Code of Safe Working Practices does allow for this control measure to be used, this is still 'working at height'. The Code lists the control measures that should be in place and the approved onboard risk assessment allows for ladder use in such a reduced height task such as this. Note the ladder is supported below. In this instance the practicality of securing a safety harness in a confined place such as this would have likely been more hazardous than the fall.
www.chirpmaritime.org
The Maritime Advisory Board reviews these reports and shares their guidance on safety lessons learned through this publication
* • I watched an AB sharpening his scraper with a disc grinder. The disc was facing upwards and turning whilst he laid the scraper on it. Guests were walking past while this was going on but rather than go down to a workshop, put the scraper in a vice and do it properly, he put himself and passengers at risk. This was likely very isolated and will be brought up at toolbox talks with the deck crew to ensure power tools are used safely.
What the Reporter told us (2):
Whilst moored and carrying out administrative tasks on the bridge, I noticed a crew member on the ferry docked nearby, working (painting) on a scaffolding at approximately three to four metres above the deck, without wearing any PPE at all (no safety harness, helmet, safety goggles or gloves). Not only this, but when the scaffolding was moved a few metres by other crew members, the worker stayed on top of it holding onto the rails. A shocking sight indeed!
CHIRP Comment
The Maritime Advisory Board commented that in both reports the hazards do not appear to have been managed, indicating a poor level of safety culture and leadership. It was questioned whether the "two metre rule" is detracting from the use of a permit to work (which should take into account the specific location of the work, and potential hazards). CSWP Chapters 8, 11, 17 refer. MAIB have investigated several fatalities caused by falls from height, whilst MARS and CHIRP both have reports related to working aloft, so the issue still requires close attention.
What the Reporter told us (3):
On passage between the mainland and an island aboard a domestic passenger vessel, no safety briefing was provided although the public-address system was used by tour guides to broadcast information of general interest in five languages. Time on passage was approximately 50 minutes. On the return passage on a similar company vessel, no safety briefing was provided.
The only exit marked with an "EXIT" sign on the middle deck was at the aft end. Doors located towards the bow on this deck were not marked and were not seen to be used. The deck plan of this vessel, according to the company website, depicts these doors as being capable of use, each opening onto an exterior passage.
Railings on the gangway, once lowered to enable passengers to board and to disembark, left a significant gap to the fixed railings at the stern of the vessel. When schoolchildren were seen to walk across this area, a crew member standing on the deck extended an arm to ensure that there was no gap between the rails, but this protection was not provided for adult passengers.
The mooring eye, placed over fittings on the quay, had a hook attached that might be viewed as a trip hazard for passengers waiting their turn to board.
It is suggested that the company's Safety Management System might usefully consider:
* • Requiring safety briefings to be broadcast on all passages.
* • Reviewing the emergency exit plan for all vessels to ensure that doors capable and intended to be used for this purpose are marked with "EXIT" signs.
* • Devising an effective means of bridging gaps between the gangway and fixed rails - a barrier that can simply and quickly be put into place and removed - to prevent passengers and crew from falling through these gaps with the associated risks of injury and/or drowning. Crew members were observed not to be wearing life jackets.
* • Reviewing their policy for ensuring that methods employed to moor company vessels do not create trip hazards.
CHIRP Comment
Having established that the vessels had no IMO number, CHIRP concluded that they fell under domestic legislation. CHIRP wrote to both the vessel managers and flag state but neither responded, which is indicative of safety management and cultural failings at a local and national level – the perfectly reasonable concerns of the reporter could easily be addressed if they chose to do so.
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Pilot boarding arrangements
OUTLINE: CHIRP continues to receive many reports relating to pilot ladder boarding arrangements which are noncompliant with SOLAS. The following is a selection of some the issues reported.
What the Reporter told us (1):
Manropes were secured to handrails rather than strong points on deck as required by SOLAS. This ship may well be in compliance as built, but looking at the rails I would not be happy for them to be protecting me from plummeting to my death. They were quite bent out of shape.
Non-compliant
arrangement –
manrope is not
secured to a
strong point
CHIRP Comment
The correct arrangements, including the critical point of transfer from the ladder to deck are fully described in the IMPA – Boarding Arrangements Poster and SOLAS V/23 7.1.1
CHIRP should be used where seafarers feel unable to report through their Company, for whatever reason, this also includes mistreatment.
What the Reporter told us (2):
Non SOLAS
compliant
modification
I went to disembark from the ship when my attention was drawn to a device that was clipping the ladder to the hull, arguably to prevent the ladder from sustaining excessive rotation. The ship had been flagged before for an unsafe pilot ladder arrangement. The solution does not fully comply with SOLAS. The ship (and its Class) need a SOLAS compliant definitive solution to hold the ladder firmly to the hull.
CHIRP Comment
The Maritime Advisory Board noted that the report should have included the need for a full risk assessment before applying a Management of Change process for improvement – the arrangement put in place does not comply with SOLAS. CHIRP wrote to the vessel's ISM Manager but they declined to respond. We also discussed the photo with UKMPA who highlighted the following:
Ref paragraph 7.2.2 (IMO Resolution A1045). Unfortunately, the resolution is not well written as the securing requirements for combination rigs somehow became entangled in the winch reels section during editing - something the MCA picked up earlier this year. However, on close reading of the whole section, it is obvious that the requirements for both the ladder and the accommodation ladder to be secured to the ship's side apply regardless of a winch reel being utilised.
Examples of compliant fitting – magnetic (left) and vacuum (right). Any boarding arrangements for pilots must be in accordance with SOLAS Regulation V/23 & IMO Resolution A.1045(27) as amended by A.1108(29).
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Do Not Touch! – Discovery of live munitions
OUTLINE: A report from a vessel engaged in treasure hunting where unexpected treasures were discovered.
What the Reporter told us:
The vessel was engaged in treasure hunting, scanning and recovering wrecks with a remote submersible vehicle. On this occasion munitions were brought on board in addition to the treasure being hunted. The reporter wrote to CHIRP querying the handling of such potentially hazardous materials without proper protective equipment.
CHIRP contacted the Royal Navy bomb disposal unit and their advice is quite clear. Under NO circumstances are any munitions to be handled. Wherever you are in the world, if suspicious materials are discovered then immediately contact the local authorities in order for their experts to assess and deal with the hazard.
Munitions discovered whilst treasure hunting
CHIRP Comment
The Maritime Advisory Board, whilst fully endorsing the advice above, commented that discovery of munitions is also common in the dredging and fishing industries. Since the severity of the hazard is unknown, maintaining a safe distance until assistance arrives is prudent.
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Swamping of a RIB and subsequent beaching of a yacht
OUTLINE: A yacht gets into trouble and requires assistance but it all goes wrong.
What the Reporter told us:
A yacht suffered engine problems while on passage and the skipper requested a tow from the mouth of the river to his berth at the yacht club. The club launched a rigid inflatable boat, (RIB), crewed and helmed by persons holding RYA Powerboat Level 2 and RYA Safety Boat certificates to perform the tow. A considerable swell in the entrance of the river had developed due to wind against the ebbing tide. This resulted in the RIB and the yacht being pulled apart and back together with quite some force. The RIB became swamped and subsequently capsized. The crew on the RIB entered the water, thus turning off the engine with the kill-cord. Following their training they climbed on top of the overturned craft which was still tied alongside the yacht.
The helmsman of the yacht made a mayday call to the local coastguard and all persons were rescued from the RIB. The RIB's anchor had deployed upon capsizing so once the crew had been rescued from the overturned vessel the yacht helmsman released the RIB. However, due to continued engine problems the skipper had difficulty in making headway www.chirpmaritime.org
Identity of the reporter is always protected and all information about a reporter is destroyed on completion of every report.
against the ebbing tide and deployed the anchor. This subsequently dragged, resulting in the yacht being beached on the shore. Rescue was safely coordinated by the rescue services stationed locally.
All persons were given first aid for hypothermia, and subsequently returned to the yacht club, where first aid observations continued. All persons, although wet and in shock, have made a full recovery from the incident.
CHIRP Comment
It is important to recognise when there is an emergency and how to act accordingly. In this case, a position of relative safety rapidly became an emergency. This report demonstrates the importance of contacting the correct rescue organisation and in good time. The effective use of the "kill cord" undoubtedly shortened the rescue timespan, and is a very positive aspect of the report.
It was also noted that the reference to hypothermia might have been cold shock, which can necessitate separate treatment so expert assistance should always be sought.
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Correspondence Received
Health Matters!
The majority of reports coming to CHIRP Maritime, as well as most of the emphasis in our publications, have been on risks to vessels and to personal safety. Injury risks are featured, but shortcomings in the prevention or management of illness have rarely been covered.
Our close collaboration with the International Seafarers Welfare and Assistance Network (ISWAN) and our continued support for the fishing industry, indicate there is an increase in health related incident reports that CHIRP could usefully consider.
risks, especially where there is non-compliance with the health requirements and recommendations derived from ILO Maritime Labour Convention, 2006 (MLC), and the Work in Fishing Convention that will come into force from 16 November 2017.
We plan to feature articles and presentations to inform and encourage reporting of work related health risks and to include examples of non-compliance with health provisions listed in the Conventions. Reporters are invited to use the customary method of reporting to CHIRP.
Best Practice – Muster Stations
Muster Station with
hooks for hanging
survival suits and
lifejackets.
With reference to CHIRP issue No.47 Best Practice – Muster Stations, I attach a picture of my muster station with fixed hooks on the bulkhead to hang each individual's survival suit and lifejacket when they muster. This ensures each seaman collects his designated equipment in an abandon ship situation, bearing in mind that if the equipment was left on deck with the vessel rolling, it would surely get mixed up. We also re-assess the seating arrangements in the freefall lifeboat after each crew change as the joiners might not fit the designated seats of their predecessors. CHIRP note – lifejackets are not worn for freefall lifeboat launching due to the use of body seat belt straps, (hence the hooks for lifejackets in this case) .
CHIRP now encourages reporters to contact us when they identify shortcomings in the management of work related health
When I receive the Telegraph, I first look at the Health & Safety section to update my notice board. Your "Best Practice" section is now very interesting and we have already adopted the anchor chain suggestion.
We are grateful to the sponsors of the CHIRP Maritime programme. They are:
The Corporation of Trinity House
Cammell Laird
Lloyd's Register Foundation
The Britannia Steam Ship Insurance Association Ltd.
International Foundaton for Aids to Navigation (IFAN)
The TK Foundation
TT Club Mutual Insurance Ltd reduce the number of seafarers who are killed or injured at work.
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Diocese of Springfield in Illinois
Rev. Msgr. Leo J. Enlow, Pastor Rev. Pawel Luczak, Parochial Vicar Deacon Robert Lundberg Deacon Jeff Wolf
Parish Office Information:
Hours: Monday - Friday, 8:00 a.m.—4:30 p.m.
Office: 222-3155
Email: email@example.com
Parish Staff
Mass Times:
Weekday Mass: Monday through Saturday: 8:00 a.m.
Except Wednesday 8:30 a.m.
Sunday Mass: Sat.: 5:00 p.m.
Sunday: 8:00 a.m., 9:30 a.m., 11:00 a.m.
Reconciliation:
Saturday 7:30-7:50 a.m., 3:30-4:30 p.m., or by appointment.
Sacramental Preparation:
Baptisms: Please contact the Parish Office to sign up for Baptism Class. Weddings: Please contact a St. Peter Priest at least six months in advance. Sacramental Prearation: Is offered through St. Peter School and the St. Peter Parish School of Religion.
R.C.I.A.: Please contact the Parish Office.
To Join St. Peter Parish:
Please phone the Parish Office at 222-3155 Monday through Friday from 8:00 a.m. to 4:30 p.m.
Third Sunday of Advent
DECEMBER 13, 2020
Isaiah 61:1-2a,10-11;
1 Thessalonians 5:16-24; John 1:6-8,19-28
The Third Sunday of Advent is called "Gaudete" Sunday (pronounced "Gow-DAY-tay"); the word means "Rejoice!" It is taken from the first word of the Latin Entrance Antiphon (Introit) for this Sunday.
On this Sunday, the organ and other instruments may be used, and flowers may appear on the altar. The texts of Mass are filled with joy: In the Collect we pray that we may experience the joy of salvation.
In the first reading, "I rejoice heartily in the Lord...." The second reading tells us, "Rejoice always!" Christianity is Good News ! Gloomy and doomy people who wallow in self-pity and never see anything good are not very Christian!
We are called to be a people of joy even though this world is imperfect. We rejoice because the Lord has come, and because he will come. We rejoice because even our crosses have meaning. We rejoice because nothing can separate us from God's love and from the eternal joy which awaits us.
The Thessalonian people were worry-warts, afflicted with anxiety and depression. Paul urges them to rejoice always, to persevere in prayer, and not to "stifle" the Spirit.
By this he means, "Don't have a negative attitude; be positive!" We may not live to see everything perfect, but we must be joyfully confident that the Lord will bring all things out all right.
--Msgr. William Carr © 2020 by Sunday Missal Service 1012 Vermont Street • Quincy, IL 62301
~Mass Intentions~ December 14-20, 2020
14. Monday 8:00 a.m.
Zakery Haubrich
15. Tuesday 8:00 a.m. Jim Schlipmann
16. Wednesday 8:30 a.m. Marilyn Gibson
17. Thursday 8:30 a.m. David Oakley
18. Friday 8:00 a.m. John McCourt
19. Saturday 8:00 a.m. Orville Lubbe
19. Saturday 5:00 p.m.
Wayne & Dorothy Messick
20. Sunday 8:00 a.m. Our Parish Family
20. Sunday 9:30 a.m.
All The Poor Souls
20. Sunday 11:00 a.m.
Jim & Lisa Real
— Mass Schedule — Monday-Saturday 8:00 a.m. Wednesday 8:30 a.m. Thursday 8:30 a.m. (during COVID—2nd School Mass) By Reservation Only: Saturday 5:00 p.m. By Reservation Only: Sunday 8:00 a.m., 9:30 a.m., and 11:00 a.m.
Sacrament of Reconciliation
Saturday: 3:30-4:30 p.m.
The Parish of St. Peter Quincy, IL
Third Sunday of Advent, December 13, 2020
Dear Parishioners,
"Rejoice in the Lord always; again I say rejoice. Indeed the Lord is near." These are the words found in our entrance antiphon for this Third Sunday of Advent. Because of these words, this particular Sunday has been called "Gaudete Sunday," a Latin word when translated means "to rejoice." On this Third Sunday of Advent, the Church calls on us to be a people of joy. Even though we live in an imperfect world, even though there might be sadness and sorrow in our lives, disappointments and crosses, nevertheless, the Lord is still right here among us, encouraging us to realize that He has not abandoned us but is continually journeying with us through our lives. And that is the cause of our joy. So "Rejoice in the Lord always, again I say rejoice. Indeed the Lord is near." If we truly embrace that thought and declaration, then we will always be filled with hope, which really is the cause of our joy.
This Monday, Wednesday, and Friday of this week, December 14, 16, and 18, we will be hearing confessions once again from 6:00-7:00 p.m. Although these times were to assist our 2nd graders as they come with their parents for First Reconciliation, these times are also open to our parishioners to help them make ready the ways of the Lord in their lives. These times are open to everyone, so please use them in your Advent preparation.
As we look ahead, I do want to give our Christmas Mass schedule to assist you in your planning of Christmas. Our Christmas Eve Mass schedule will be at 4:00, 6:00, 8:00, and 10:00 p.m. I know that the 4:00 is always the most popular of the Masses but I caution those who are attending this particular Mass. Number one, the Church will not be open until 3:15 p.m. and you will have to sign up for this Mass, and the ushers will check you in when you arrive. Number two, there will be no pews reserved for anyone, so if you come to this Mass you will be seated and will not be able to reserve spaces for people who show up late. This might seem a bit inhospitable but when we are dealing with the pandemic, everyone will have to understand that things are not normal and we all have to adapt in order to keep people healthy. In order to clean the Church after the Masses, volunteers will be asked to assist us. People coming to the next Mass will not be seated until 45 minutes before their scheduled Mass. The 6:00 p.m. Mass is usually the children's Mass but again because of the pandemic, we cannot have the participation of our children. But again because of the popularity of this Mass, parishioners will have to sign in for this Mass and be checked in by our ushers around 5:15 p.m. The same will go for the 8:00 and 10:00 p.m. Masses. We are all trying our best to adapt to the health regulations and I ask your patience and understanding. We will be asking you to wear masks and keep your social distancing. I don't want any of us to be the cause of the spread of this virus. For our 8:00 and 10:00 p.m. Masses, you will be encouraged to sign in as the other two Masses. Then on Christmas morning, we will have 8:00 and 10:00 a.m. Masses for which we also ask you to sign in. As you look at our schedule, I invite you to adapt and perhaps attend a differing Mass to accommodate any of our parishioners. I ask our ushers to sign up this weekend for the Mass that they are attending along with the numbers in your family who will be also attending.
The School of St. Peter
Week of December 13, 2020 A Message from Mrs. Cindy Venvertloh
MENU
"St. Peter School provides a quality education built on Catholic values and teachings."
THANK YOU WCU
Congratulations go out to Mrs. Maria Mast, Mrs. Chris Reichert, Mrs. Sandy Gallaher and Mrs. Emily Mellon for receiving grant money from Western Catholic Union (Classroom Assistance Program). Mr. Andy Flachs delivered a check for $750.00 this past week that will assist in making specific purchases for the students. Mrs. Gallaher will be purchasing additional magnetic boards and letters for the Kindergarten reading/literacy block. Mrs. Mellon will be using the funds to purchase a selection of diverse books for her second grade classroom library and for read alouds. Additionally, Mrs. Mast and Mrs. Reichert plan to purchase a magnetic portable room divider.
EMPOWER ILLINOIS
Empower Illinois is our state's largest and most comprehensive Scholarship Granting Organization. They are very successful and dedicated to raising donations to help as many students as possible attend a Catholic school. At this time of year, many people look to donate to charitable organizations. Through Empower Illinois you may be eligible to receive a 75% state tax credit for your donation.
Several of our school families have benefited through donations given to Empower Illinois designated to St. Peter School. We ask that if you are looking to make end of the year donations, that you please contact Mrs. Cindy Venvertloh, 223-1120 or Mrs. Kristi Smith, business manager, at 222-3155.
Monday: Cold cereal / milk, hard boiled egg, mixed fruit, doughnut holes, juice.
Tuesday: Chicken noodle soup, cheese / crackers, apple slices, carrot / celery sticks / dip, teddy grahams.
Wednesday: Cheeseburger / bun, ketchup / pickles, curly fries, broccoli / cheese sauce, mixed fruit.
Thursday: Pancake / syrup, sausage link, potato wedges, frozen fruit cup.
Friday: Baked turkey, mashed potatoes / gravy, green beans, corn, cranberry relish, dinner roll, apple crisp / whip topping.
What is happening this week?
WINTER MAP TESTING Taking Place all Month for grades 2-8
Mon., Dec. 14: Parish Stewardship Renewal cards due to Parish Office.
Tues, Dec. 15: 6th grade DARE graduation.
Wed. Dec. 16: 8:30 Children's Mass: grades 7 and 8 attend.
Thurs, Dec, 17: 8:30 Children's Mass: gres 3 and 6 attend. 10:00 GSA Meeting.
Friday, Dec. 18: Wear your ugly sweater or Christmas attire with out-of-dress code bottoms; Classroom Christmas parties; Christmas break begins at the end of the day.
School of St. Peter 2500 Maine Street Quincy, IL 62301
Phone: 217-223-1120
Website: www.stpeterschool.com
Email: firstname.lastname@example.org
Fr. Leo's column continued….
Our Christmas Eve Mass at 4:00 p.m. will be streamed live on Facebook and available later on YouTube. So if you cannot attend in person, our Mass will be ready for you virtually.
For those of you who are participating in the "giving wreath" project this year, you are asked to bring your gifts, wrapped, and tags securely taped, to the Narthex of the Church this weekend. The various organizations which provided the needs of their people to us, will pick up the gifts on Monday, December 14. I want to thank those participating in this project as you will make this Christmas very special to some people in our community.
WEEKLY COLLECTION
For our parents who send their children to our school and benefit from the parishioner rate of tuition, I ask that you have your renewal commitment cards returned as soon as possible. Your return of these cards indicate that you are an active member of our Church, thus benefiting from the tuition break given to our active participants. If not, then these parents will be expected to pay the full rate of tuition.
ON THE LIGHTER SIDE: A couple drive down a country road for several miles, not saying a word to each other. An earlier discussion had led to an argument and neither of them wanted to concede their position. As they passed a barnyard of mules, goats, and pigs, the husband sarcastically asked, "Relatives of yours?" To which his wife replied, "Yep, in-laws."
REJOICE IN THE LORD ALWAYS, AGAIN I SAY REJOICE.
| | Dec. 6 | Total to Date |
|---|---|---|
| Loose Collections | $533.41 | $8,963.46 |
| Regular Collections | $40,242.92 | $603,512.95 |
| Annual School Fund | $8,404.00 | $170,999.62 |
| Holy Days | $389.00 | $4,994.00 |
| Totals | $49,569.33 | $788,470.03 |
| Total Budget Goal | $32,000.00 | $736,000.00 |
| Difference | $17,569.33 | $52,470.03 |
Diocesan Collections
Retired Religious: $205.00 Justice and Hope: $200.00
Dep. Children: $110.00 Catholic Cemetery: $50.00
Word Mission: $1.00
Haiti Sister Parish Collections
Collected: $3,051.00
Parish in Action
2020 Giving Wreaths
Can you believe we are fast approaching Christmas. Where does the time go? Again, this year St. Peters will sponsor the Giving Wreath. This is a program that allows us at St. Peters a way to help those in our community who are less fortunate. Several local organizations send the needs of their people. Each need is put on a tag and we put those tags out on tables in the Narthex.
The gifts are to be wrapped and returned to Church with the gift tag securely taped THIS weekend, December 12 and 13. The local organizations will pick up their gifts on December 14, so NO gifts delivered after December 13. This will replace the Social Concerns 1st Sunday Collection for December. Thank you in advance for your generosity!
Special Christmas Eve TV Mass
The Knights of Columbus will be holding a special Christmas Eve TV Mass on December 24 at 4:30 p.m. It will be held on Channel 3 (ABC).
Rest in Peace May the soul of Robert Deters
sing praises with the Angels in Heaven forever.
Baptism
Ambrose Fiat Genenbacher, son of Jordan and Morgan (Frericks) Genenbacher, was made a child of God through the reception of the sacrament of Baptism on Sunday, December 6, 2020.
Mass Sign-Ups For Around Christmas
The following is the sign-up schedule for Masses around Christmas. The sign up links will be posted on our website, Facebook page and sent via email on the dates listed below. Please remember all who will attend must be accounted for in the sign-up, including children.
December 19 and 20 – begins Wednesday, Dec. 16 at Noon Christmas Eve and Christmas Day – begins Thursday, Dec. 17 at Noon. Ushers will check you in.
December 26 and 27 – begins Wednesday, Dec. 23 at Noon
Mass Sign-Ups
On weekend Masses, there will be 175 online sign-ups and 25 sign-ups available in the Narthex for each Mass. We will resume with our regular Mass schedule. Any slots left in the Narthex by 12:00 p.m. on Friday will be transferred to the online sign-up. You can find the sign-up on our website www.cospq.org. We will try to have this available on Wednesdays by noon.
There will not be sign-ups for the daily morning Masses and they will resume with the regular scheduled times.
Sacrament of Reconciliation
In preparation for Christmas, we will offer the opportunity for the Sacrament of Reconciliation during Advent. It will be offered on the following days:
Specific weekdays: 6:00-7:00 p.m.
12/14, 12/16
Saturday 12/19: 7:30 a.m-7:50 a.m. and 3:30 p.m.-4:30 p.m.
Christmas Mass Times
The following are the Mass times for Christmas:
Christmas Eve: 4:00 p.m., 6:00 p.m., 8:00 p.m., 10:00 p.m.
Christmas Day: 8:00 a.m., 10:00 a.m.
Don't forget to make your reservation beginning December 17 at Noon. The 4:00 p.m. Christmas Eve Mass will be live on Facebook and then available on YouTube at 5:30 p.m.
Please keep the following in your prayers:
~Kristopher Schreacke ~Elias Erd
~Lilli Foster
~Ian Mehaffy
~John Meyer
~Isabella Benner
~Sharon Zehnle
~Ray Peters
~Steve Sinnock
~Steve Hull
~Betty C. Wiewel ~Mike Creek
~Norma Johnson
~Howard Buckley
~Dorothy Davis
~Chris Bockius
~Avery Cowick
~Larry Phillips
~Michelle Houston
~Valerie Ortbal
~Alden Shipp
~Penny Norton
~Ted Kemner
~Kathy Schuckman ~Arlene Lansing ~Amy Seibert
~Julia Maas
To have a name added to this list, please call the Parish Office at 222-3155 or email email@example.com.
Miracles for Mandi
Dear parishioners of St. Peter's:
We are reaching out for prayers, love, and support for Mandi Dickerman and her family. Mandi and her husband Randy have two daughters, Maddie and Eva Dickerman, all parishioners of St. Peter's Church.
Mandi was diagnosed with triple negative breast cancer and went through chemo and radiation treatments. Most recently, she found the cancer had metastasized to her liver and one lymph node. With doctors here not optimistic of more medical treatments, Mandi has found an immune therapy facility in Mexico called, Hope4Cancer. She is currently there receiving immune building treatments to kill cancer cells and restore health.
With limited insurance coverage, prior, and future expenses, we have set up a "go fund me" site for Mandi and are also taking direct donations. Please help us support Mandi and her family through this very challenging journey! You can make direct donations by contacting Kelly Terwelp at 217-257-3855 or by the "go fund me" site. Simply go to gofundme.com and search "Miracles for Mandi".
From our entire family, we appreciate your support! Thank You.
Don't Forget to Turn in Your Commitment Card
We're still in the midst of our annual Stewardship Renewal. If you haven't returned your Commitment Card, it is NOT too late. Returning your card is an important part of being an active member of St. Peter. Please take this opportunity to discern how God is calling you to grow closer to Him this year. Remember, you can choose to fill out your commitment card online on our parish website.
End of the Year Contributions
Reminder, any donations you wish to apply to the 2020 year need to be at the Parish Office by Noon on December 30. Your gifts and support are greatly appreciated!
Looking for a Tax Credit?
Are you looking for a tax credit yet this year? Please consider Empower Illinois Scholarship Program. Donations to this program are eligible for a 75% state tax credit. For more information call Kristi at the Parish Office at 222-3155.
St. Anthony Drive-Thru Pancake and Sausage Breakfast
St. Anthony Men's Society invites you to their Drive-Thru Pancake and Sausage Breakfast on Sunday, December 13, 7:30 a.m.-noon. Cost is $8 per person. They are also having an advanced order meat sale: Sausage, chops, ribs, and cooked links in 5 lb. packages. For advanced meat orders call 217-257-2108.
Chaddock Outreach – Santa Express
Each year Chaddock collects and distributes hundreds of presents to the children they serve and their families. With so many items, they are in need of extra hands to catalog, sort and wrap gifts. All work will be done with Shawna Bunnell in the Osborn building at Chaddock. Volunteers will be in two separate rooms and socially distanced. Please plan to have your temperature taken and wear a mask. The work sessions are December 15 and 17. You can sign-up using the link below or contact Elizabeth Brown (217) 257-9085. Thank you! https://www.signupgenius.com/ go/4090E4BABA728A31-chaddock2
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A youth group for 4th, 5th, & 6th grade Parishioners and guests! Have fun with your friends while you learn more about the Saints and your Catholic Faith. Come enjoy these fun evenings in the St. Peter Gym, 6:00-7:30 p.m. Wear your Saints Alive Shirt or pick one up that night!
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Ticket Coverage: Putting Test Coverage into Context
Jakob Rott Technische Universit¨at M¨unchen Munich, Germany firstname.lastname@example.org
Rainer Niedermayr University of Stuttgart, CQSE GmbH Stuttgart, Germany email@example.com
Elmar Juergens, Dennis Pagano CQSE GmbH Garching b. M¨unchen, Germany {juergens,firstname.lastname@example.org
Abstract—There is no metric that determines how well the implementation of a ticket has been tested. As a consequence, code changed within the context of a ticket might unintentionally remain untested and get into production. This is a major problem, because changed code is more fault-prone than unchanged code. In this paper, we introduce the metric ticket coverage which puts test coverage into the context of tickets. For each ticket, it determines the ratio of changed methods covered by automated or manual tests. We conducted an empirical study on an industrial system consisting of 650k lines of Java code and show that ticket coverage brings transparency into the test state of tickets and reveals relevant test gaps.
Keywords-test coverage; ticket coverage; test gaps; regression testing; agile development; continuous software quality
I. INTRODUCTION
In long-lived systems, bugs typically occur in code areas that have been recently changed [1] [2]. As a consequence, test managers put great emphasis on thoroughly testing modified code.
However, with modern agile development processes that endorse short release cycles, for large systems it is nearly impossible to execute the complete suite of tests before a release—especially if it contains a large number of manual tests.
As changes made since the last test phase are presumably more bug-prone than unchanged parts, selecting test cases that execute the changed code would help to narrow down the scope and save resources. But without suitable analyses it is difficult to reliably identify changed code and to determine which changed code chunks have been covered by automated or manual tests at a given point in time.
To make things even more complicated, tests often have to be performed with development still ongoing during an iteration. Since the documentation of requirements is often scarce, testers often do not know exactly what they need to test and discount special cases by mistake.
It is therefore not surprising that a substantial amount of changes reaches production untested, despite systematically planned and executed testing processes [3].
So what can be done to systematically focus testing efforts on changed code in agile development projects?
Since development activities are typically guided by user stories, a meaningful way to narrow down the scope is to focus testing on the changes made within the course of a given user story. Usually, these changes are documented in tickets that eventually correspond to user stories—either directly or by means of aggregation.
Tickets are written in natural language and therefore also understandable to non-coders, such as testers. But since a ticket does not necessarily describe all special cases that the developer implemented, a tester typically will not be able to cover all changes given the ticket alone.
Fortunately, in many systems there is a reliable connection between tickets and code changes via commit messages, such that code areas changed due to a ticket can be identified.
Our contribution is a new metric, ticket coverage, that unveils, which of the changes made in the course of a given ticket are left untested. To investigate the usefulness of the metric in practice, we conducted a first empirical study. We show that ticket coverage yields meaningful results and that it enables testers to reveal important test gaps. Moreover, we present how the metric can be further improved by systematically excluding unimportant test gaps with certain characteristics from the computation.
The remainder of this work is organized as follows. In Section II we define important terms and introduce ticket coverage. Section III discusses related work. Section IV describes our approach to measure ticket coverage. In Section V we report on the empirical study we performed to investigate its usefulness. Finally, Section VI concludes the paper with our ideas for future work.
II. TERMS AND DEFINITIONS
This section explains terms used in this paper and introduces the ticket coverage metric.
A ticket documents a requested feature or a reported bug. It is written in natural language and stored in a ticket tracking system. The proposed metric requires a ticket-based implementation process.
We call methods that were added or changed during the implementation of a ticket and not tested afterwards test gaps. Eder et al. showed that bugs occur more likely in changeduntested methods than in others [3].
Test coverage data is often not limited to coverage that stems from the execution of test cases, but also includes coverage recorded during startup routines, which are executed unconditionally at each startup of a program. We use the term testdependent coverage to refer to coverage recorded during the (actual) execution of test cases, and test-independent coverage
to refer to coverage recorded during startup routines prior the test execution. We distinguish between these two coverage sources and report the values separately, because we consider test-independent coverage to be less meaningful.
The metric ticket coverage gives information about the test state of a ticket. It relates to the methods that were added and changed during the implementation of a given ticket, and expresses which ratio of these methods was tested. The proposed metric uses coverage data at the granularity level of methods 1 , as methods are the smallest named executable entities. Ticket coverage is easily interpretable without code knowledge by visualizing the amount of covered methods that were changed during the implementation a ticket. Tables or stacked bar charts can be used to present the results (see example in Figure 1) and enable test managers to quickly get an overview over the testing state of important tickets.
III. RELATED WORK
The idea to compute ticket coverage and use it as a metric is new to the best of our knowledge.
Related work exists in the area of code coverage, selective regression testing, and defect prediction.
Code coverage metrics and test adequacy criteria have been a major research focus for the last decades [4]. Code coverage metrics express which ratio of the code of a software is executed when running the test cases. Much effort has been spent in assessing the relationship between code coverage and test suite effectiveness [5] [6] [7] [8]. The metrics can be computed at different levels (e.g., at the method, line, or branch level) and are widely used in practice. To our knowledge, code coverage has not yet been linked to tickets and computed for the changes conducted in the implementation of a ticket.
Selective regression testing makes use of techniques to derive an appropriate subset of existing test cases with the goal to reduce the test effort. Most techniques perform their selection based on information about the code, modifications, and code coverage [9] [10]. However, selective regression testing does not work well in practice. Graves [11] showed
1 The coverage at the method level considers a method as covered if at least one of its statements is executed.
3
that minimalized test suites created with regression test selection techniques yield only equivalent fault detection results to slightly larger test suites created by randomly selecting test cases. Another study conducted at Wincor Nixdorf [12] confirmed that this technique is not suitable to significantly reduce the effort for manual tests.
While selective regression testing tries to reduce an existing test suite such that, e.g., all changed code (and code invoking changed code) is still covered, we identify untested changes made in the course of a specific ticket. Therefore, our work focuses on assessing the completeness of the covered code after the test execution, while selective regression testing is applied before the test execution to determine the relevant test cases. Moreover, our approach deals with changed methods but does not consider the control flow or dataflow.
Defect prediction uses code characteristics, change metrics, and information about past defects to build models that can predict fault-prone code areas. Most prediction models are built for predictions at the component or class level [13] [14], recent studies also proposed predictions at the method level [15] [16]. Eder et al. suggested that the probability of bugs is increased in changed-untested methods [3]. We do not predict faults or fault-prone areas, but we focus on code modifications which have an increased probability of bugs if they are untested (compared to unchanged code). We aggregate the untested changes at the level of tickets.
Sherlund [17] developed a prototype which focuses on testing program modifications and requires that modified code must be executed in order to satisfy the test criteria. While the set-up is comparable to the one used in our work, the major difference lies in the scope of the changed code. Sherlund computed changes by comparing the most recent code version with the code at a certain reference point, while we compute the changes for a specific ticket by investigating all associated commits.
IV. APPROACH
Ticket coverage integrates the set of added or changed methods during the implementation of a ticket with methodbased coverage information recorded during the test execution. Figure 2 shows the relation between ticket, method changeset, and coverage.
A. Identify the method changeset of a ticket
When working on a ticket, developers commit changes to the source code into the version control system. It is common practice to include the ticket number in the commit message.
To determine the method changeset of a ticket, we first fetch all commits from the version control system whose message contains the number of the particular ticket. Then, we retrieve the changed files from each of these commits and parse the files using a shallow parser. That allows us to identify the methods in the files. Next, we use the commit diff to filter the methods so that only methods with changed lines remain. Finally, we accumulate the obtained methods of all commits associated with the ticket. The resulting set includes methods that got added or changed during the implementation. Methods that existed prior to the ticket implementation and got deleted or existed only temporarily (added and deleted within the ticket implementation) may also exist, but they are not relevant for the computation of the ticket coverage. 2
B. Gather coverage data
Coverage data, the second component of ticket coverage, is obtained by executing automated or manual tests. Profilers are attached to the program execution and record which methods get executed.
Ticket coverage is more meaningful if the coverage data is obtained from the actual test execution. If it is not possible to record test-exclusive coverage in isolation, test-independent coverage data from the execution of startup routines might be included. Test-independent coverage does not allow us to infer anything for a specific test case and needs to be treated differently. To identify methods with test-independent coverage, we collect coverage once for the application startup.
V. STUDY
This section reports on the empirical study that we conducted on a real-world software project to investigate the usefulness of ticket coverage.
A. Study Object
We selected Teamscale 3 as study object. Teamscale is a software solution for the continuous quality analysis of program source code. It is designed as a client-server application: the front-end is written in JavaScript and consists of about 90k lines of code, the backend is implemented in Java and comprises about 650k lines of code.
At the time when the study was conducted, a SVN repository was used to manage the source code. The repository contains the source-code history of more than 11 years in more than 70,000 commits. All tickets are managed in Redmine 4 and each ticket is classified either as Feature, or Bug, or Maintenance. Each commit message starts with the ticket
2 Note that the removal of a method that prior overrode a method in a super class can influence the logic. However, ticket coverage is based on methods and not on the control flow.
3 https://www.teamscale.com
4 http://www.redmine.org
number (this is enforced by an Eclipse plugin), therefore it is possible to draw a connection between a commit and the corresponding ticket.
The development team has about 30 developers on average and consists of both very experienced developers and students. The team follows a strict development process [18] which specifies coding guidelines, stipulates automated tests and involves a reviewing process. It is worth mentioning that developers are encouraged to improve nearby code that contains minor structural flaws when performing changes in the same artifact. As a consequence, code of methods that are not directly related to the processed ticket may get changed and appear as changed within that ticket.
B. Research Questions
In this study, we examine the ticket coverage metric. We want to find out whether this new metric is suited to reveal relevant test gaps (i.e., added and changed untested methods in the context of tickets) and identify its strengths and weaknesses. We study the following three research questions:
RQ1: How many of the detected test gaps are relevant for developers? We assume that some of the detected test gaps are relevant, represent a risk, and should be closed by extending test cases, while other gaps may be less relevant and not necessarily worth testing. Therefore, we want to find out how many test gaps are relevant from the view point of developers to understand the benefit of this metric.
RQ2: Why are some test gaps irrelevant and can they be excluded systematically? We investigate characteristics of test gaps that are considered as irrelevant to identify indicators for automatically detecting these test gaps. The answer to this research question helps improve the precision of the metric by filtering out irrelevant test gaps.
RQ3: How much ticket coverage is independent of the actual test case? We want to find out the ratio of the measured coverage that originates from the actual test cases as well as the ratio that is test-independent because it results from the startup of the system. We consider coverage gained during the startup as much less expressive because testers do not (systematically) perform any ticket-specific checks (actual vs. expected behavior) during this phase. Therefore, we need to know the impact of test-independent coverage to understand the validity of the ticket coverage values.
C. Study Design
For the study, we randomly picked 54 tickets based on these criteria:
* the implementation of the ticket was conducted within the last 20 months to increase the likelihood that developers remember their work
* code changes of the ticket involved Java code (i.e., tickets that affected only JavaScript code were excluded 5 )
5 Our current implementation does not support coverage data from JavaScript profilers. We reserve this for future work.
* at most 3 tickets from the same developer were picked to avoid developer or task specific effects
The selected tickets consisted of 37 feature tickets, 10 bug tickets, and 7 maintenance tickets. 9.46 Java methods were added or modified on average in the selected tickets.
For each of the 54 chosen tickets, we wrote a specification for a manual test case and asked the assignee of the ticket to validate the specification to ensure that it was sufficient and proper. Then, we executed the test case on a version of the system under test that was built from the code base at the ticket completion timestamp. While executing the test case, JaCoCo 6 , which was attached to the JVM as a Java agent, recorded the coverage data at the method level. If a test case required the study object to be in a specific state (e.g., architecture-analysis completed), we prepared this state in advance without recording coverage for that. Since the JaCoCo coverage data included the whole run of the JVM for each built version, the startup coverage was determined by recording the coverage of the system initialization itself.
Then, we computed the ticket coverage for each ticket as presented in IV.
The study design of the research questions is as follows:
RQ1: We discussed the test gaps that were found for the investigated tickets with the corresponding assignees. We conducted a survey in which the developers were asked to rate the findings either as relevant or irrelevant. Subsequently, we analyzed the ratio of test gaps that were rated as relevant. Then, we categorized the justifications of developers why they considered certain test gap as not relevant.
RQ2: We collected all methods that were added or changed but not executed during the test case. Then, we divided these test gaps into important findings and potentially unimportant findings. For the unimportant findings, we created categories with distinguishing characteristics and provided a suggestion for each one on how to detect and exclude its methods automatically using static analysis.
The classification in important and potentially unimportant was verified in RQ1.
RQ3: To answer this question, we calculated the ratio of covered methods in the startup coverage to all covered methods (of the ticket) to find out how much ticket coverage is independent from the actual test.
D. Results
In total, 511 methods (avg. per ticket: 9.46) got added or changed during the implementation of the 54 analyzed tickets. Out of these, 110 methods (avg. per ticket: 2.04) were not executed during the coverage recording and therefore represent test gaps. Out of the remaining 401 covered methods, 364 were exclusively executed by the test case and 37 methods were already executed during program initialization. The results of the research questions are:
6
http://www.eclemma.org/jacoco
RQ1: How many of the detected test gaps are relevant for testers? Table I presents the results. 20 methods (18.2%) out of the 110 untested methods found were rated as critical by the developers. 56 (50.9%) were rated as uncritical, 3 (2.7%) were rated as not coverable by manual tests, and 28 (25.5%) were rated as not interesting. RQ2 provides more details on the developers' reasons for this statement.
In two cases, the developers answered that the untested method should have been executed during the test case. A check revealed that those 2 methods were no false positives, but the developer was wrong: In the first case, we discovered that the test case, which had previously been verified as complete, was missing a specific ticket-relevant case. In the second case, we found a comment indicating that the untested method was pre-implemented for later usage and not in use at that time.
Even though all test cases were verified as proper and sufficient for the respective tickets as mentioned above, the developers answered in 18 cases that the revealed test gap method was not executed because of the test case definition. For example, once, an analysis execution should have been part of the test case and not a precondition. According to the test case definition, we inspected only the results of the analysis (and recorded the coverage information for that), but this was not sufficient to cover the implementation changes.
The largest category of untested methods is built up of 54 methods that were rated as not ticket relevant (i.e., undertaken changes are not related to the ticket) methods or as refactorings. The developers gave clarifying comments for 31 of these methods why they are not ticket relevant or not supposed to be executed as they were not changed semantically. We categorized the reasons and assigned each method to one or more of the following categories:
* 15 methods: removal of throws declaration led to removal of throws declarations of all caller methods
* 8 methods: method was renamed
* 7 methods: value that got used multiple times in a method was extracted to a constant
* 5 methods: method got extracted from an existing method and reused in multiple locations
* 2 methods: method parameter or a return type changed and caller methods had to be adapted
In one quarter of the analyzed tickets with untested methods, the developers rated at least two-thirds of the test gaps as worth testing. In total, 39 (35.5%) of the 110 test gaps found were rated as worth testing within the scope of the analyzed ticket.
RQ2: Why are some test gaps irrelevant and can they be excluded systematically? Out of the 110 test gaps found, we considered 28 methods as not worth testing due to their characteristics. Table II shows the categories of these methods.
We gathered implementations of the toString method in one category as we consider those as uncritical test gaps. Since every implementation overrides the toString method of the Object class, all of them can easily be found automatically.
13 methods were simple getters which return a value and do
TABLE I CATEGORIZATION OF TEST GAPS BY DEVELOPERS.
110 100%
TABLE II METHODS THAT WERE CONSIDERED AS IRRELEVANT FOR TESTERS WERE SEPARATED IN THREE CATEGORIES.
| toString method | 4 (3.6%) |
|---|---|
| simple getter | 12 (10.9%) |
| “too trivial to test” | 12 (10.9%) |
not contain any additional logic. A simple getter can easily be detected automatically, because it is named after the member to be returned, does not to have any parameters and consists of only a single statement.
We considered methods that are "too trivial to test" as a further category for irrelevant test gaps. For the classification, the number of statements was decisive. The category contained 7 constructors that invoked only the super class constructor with at most one additional variable assignment (method length: 1 to 2 statements), and 5 methods that were returning only a boolean value (method length: 1 statement).
With this research question, we wanted to find out in a manual analysis which categories of irrelevant test gaps appear and how many methods are assigned to them. The presented methods can be detected and excluded automatically in order to improve the ticket coverage computation.
RQ3: How much ticket coverage is independent of the actual test case? The boxplots in Figure 3 give an overview over the execution distribution of the method changesets. Out of the 401 changed and tested methods, only 37 (9.2%) had been executed during the startup of the system.
Figure 4 shows the ratio of methods covered by the test cases and the ratio of methods executed during the system startup. The coverage of half of the tickets did not contain any startup coverage. In 75% of the executed methods, the ratio of test-independent coverage does not exceed 18%. The average ratio of startup coverage is 13.3% per ticket. The average ratio of startup coverage in the tested parts of the tickets is 15.2%.
We discuss two outliers, which were completely covered during startup routines or not covered at all, in more detail.
Ticket #33 was fully covered during the startup. In this ticket, a huge JavaScript implementation took place and only a few Java lines were changed to register the new JavaScript files. This changed method is executed at each start of the system.
Ticket #6 remained completely uncovered. In this ticket, a functionality was implemented that handles special kinds of connection errors. When performing the tests, we were not able to reproduce the errors in order to execute the error handling code.
The first 5 tickets displayed in Figure 4 involved only changes to methods which were exclusively reachable by unit tests. As we did not execute unit tests, no coverage information existed for those tickets.
E. Interpretation
RQ1: According to the developers, ticket coverage allows us to find relevant untested methods. 18.2% of the untested methods were assigned to the critical category (see Table I), because the developer of the ticket either thought the method should have been covered or the developer recognized that the test case was incomplete.
The high number of methods that contained ticket-irrelevant changes or were refactorings could be traced back to the performed development process that encourages nearby code improvements (refer to Section V-A for details). Therefore, the metric computation could be improved by detecting and filtering methods that were changed only due to refactorings (which do not change the semantical behavior of the code).
As we focused only on manual tests performed on the web interface, we did not consider coverage that could be gained from unit tests or by testing the IDE plugin. Integrating additional coverage would be feasible.
RQ2: To improve the usefulness of the ticket coverage as metric, it is important to exclude irrelevant test gaps. What we did manually in this study can be automated for the proposed categories.
Simple getter methods can be identified using static analysis. For methods that were considered as too trivial to test, a simple count of the statements could be used to detect these. toString methods override the toString implementation of the Object class and can therefore easily be identified.
In the conducted study, 28 of 110 test gaps (25.4%) were marked as uninteresting. To investigate the effect of blacklisting these methods, we recalculated the ticket coverage for the corresponding tickets. The results can be seen in Figure 5. As expected, the ticket coverage values increased after removing the noise. As a consequence, less incompletely tested tickets remain which need to be investigated manually.
In mission-critical systems, excluding trivial methods might not be appropriate.
RQ3: We consider the coverage achieved during the system startup as acceptably low in the investigated study object. Only 9.2% of the covered methods were executed during the startup and in one half of the analyzed tickets the ticket coverage was completely test-dependent.
We found a high ratio of startup coverage in 5 tickets which were dealing with system parts that are related to the program initialization. It was striking that the changesets of those tickets consisted of at most two methods. For tickets that partially deal with initialization procedures, the influence of methods executed during the startup might be smaller.
If the possibility exists to activate the profiler after the initialization of the program (instead of activating it before the program start), it will not be necessary to determine the startup coverage.
The results of this research question show that some part of the achieved ticket coverage may be test-independent. The influence in our particular study, in which we executed and recorded each test case separately, was limited and did not distort the results. However, it could be different in, e.g., exploratory testing or whenever coverage is not recorded in isolation for a ticket.
F. Threats to Validity
In this section, we discuss the threats to the internal, external, and construct validity of the study.
1) Internal Threats: Threats to internal validity comprise reasons why the results could be invalid for the study object.
The responses gained from the developer survey regarding the relevance of the presented test gaps are a threat to validity. Developers may not share the same view on the assessment whether a method is test relevant. We mitigated this threat by involving 20 different developers and assigned at most 3 tickets to each developer.
A threat to the current implementation of the metric computation are syntactic code changes that do not change the semantic of a method. For example, the rename of an identifier within a method implies that the method was changed for a certain ticket, even though its semantic did not change. Consequently, this leads to a one-sided error because the computed set of changed methods may be larger than it actually is; nevertheless ticket coverage reveals at least the relevant gaps. A future version of the implementation should include a refactoring detection to filter out semantically unchanged methods, increasing the ratio of relevant test gaps.
Another threat is caused by the development process that did not use feature branches at that time, such that the implementation of a ticket is not isolated from other development activities. Therefore, changes to methods of different tickets conducted at the same time may overlap. As a consequence, a method that was changed within the scope of ticket #1 and then moved to another class during the development of ticket #2 before completing ticket #1 would no longer be recognized as changed within #1. However, the moved method would still be recognized within #2 though, thus no method will travel under the radar.
Like for all coverage metrics, a threat regarding the metric itself is that it considers which methods got executed during the test. It does not take into account whether these methods were tested with appropriate test assertions (in terms of comparison against expected values). Therefore, coverage metrics should be employed with caution. They are not necessarily a meaningful indicator for test effectiveness, especially not for system tests [8].
2) External Threats: Threats to external validity concern the generalization of the study results.
The study was conducted for the Java code of the study object Teamscale. The results for Teamscale may not be applicable to other open- and closed-source projects and may hold only for Java code. Therefore, further studies are necessary to determine whether the results are generalizable.
The identified criteria for methods that are potentially not worth testing in RQ1 and RQ2 comprise another threat regarding generalization. While we and the developers involved in the survey assume that these methods are less likely to contain faults, testing may still be useful because even simple methods can be faulty. Therefore, it is necessary to empirically investigate the fault-proneness of simple methods (such as short getters, setters and delegation methods) to be able to make valid decisions regarding these methods. Furthermore, the goal of testing and the impact of faults should be considered when reflecting about filtering out methods; a company that is developing safety-critical software and aims to identify as many faults as possible should take another decision than a company that wants to reduce the costs of testing.
3) Construct Validity: Threats to construct validity concern the relationship between theory and observation, i.e., how accurate we measure the studied concept.
A threat to construct validity is that we defined the specifications for the manual test cases ourselves. Therefore, the test cases may not have been proper or complete to test the associated ticket. To mitigate this threat, we asked the ticket assignees to verify the developed test cases and adjusted the test cases according to their feedback.
VI. CONCLUSION AND FUTURE WORK
We presented the ticket coverage metric which expresses how well the changes conducted for a certain ticket are covered by tests. The metric helps testers and their managers to get an overview over the testing state of tickets. Furthermore, the metric can point to test gaps, i.e., untested changes in the source code, so that they can be tackled by testers.
The conducted empirical study confirmed that the revealed test gaps are relevant and useful for testers. We identified that some of the test gaps were caused by incomplete test cases, a problem that occurs in many real world systems. The study results also suggested how our first implementation of the metric can be improved: We identified methods that are less likely to contain faults and may therefore not warrant being testing. We classified them into groups and provided suggestions on how to exclude them automatically to gain a more expressive ticket-coverage result. Finally, we presented how much coverage will be gained from startup routines if it is not possible to isolate the program startup from the coverage recording, and showed that its influence was negligible for our study object.
For future work, we intend to apply a refactoring detection. It will allow us to exclude automatically methods that were not changed semantically from the ticket-coverage computation and thus, bring real changes into focus. Furthermore, we want to replicate the study with further study objects, further programming languages, and the inclusion of coverage information from automated tests aside manual tests. Finally, we plan to research whether ticket coverage is also a useful support in an exploratory testing process.
ACKNOWLEDGMENT
This work was partially funded by the German Federal Ministry of Education and Research (BMBF), grant "Q-Effekt, 01IS15003A". The responsibility for this article lies with the authors.
We thank Nils G¨ode for his valuable review.
REFERENCES
[1] N. Nagappan and T. Ball, "Use of relative code churn measures to predict system defect density," in Proceedings of the 27th International Conference on Software Engineering (ICSE), pp. 284–292, IEEE, 2005.
[2] A. E. Hassan and R. C. Holt, "The top ten list: Dynamic fault prediction," in Proceedings of the 21st International Conference on Software Maintenance (ICSM), pp. 263–272, IEEE, 2005.
[3] S. Eder, B. Hauptmann, M. Junker, E. Juergens, R. Vaas, and K.-H. Prommer, "Did We Test Our Changes? Assessing Alignment between Tests and Development in Practice," in Proceedings of the 8th International Workshop on Automation of Software Test (AST), 2013.
[4] H. Zhu, P. A. Hall, and J. H. May, "Software unit test coverage and adequacy," ACM computing surveys (CSUR), vol. 29, no. 4, pp. 366– 427, 1997.
[5] L. Inozemtseva and R. Holmes, "Coverage is not strongly correlated with test suite effectiveness," in Proceedings of the 36th International Conference on Software Engineering (ICSE), ACM, 2014.
[6] J. H. Andrews, L. C. Briand, Y. Labiche, and A. S. Namin, "Using mutation analysis for assessing and comparing testing coverage criteria," Transactions on Software Engineering (TSE), vol. 32, no. 8, 2006.
[7] A. S. Namin and J. H. Andrews, "The influence of size and coverage on test suite effectiveness," in Proceedings of the 18th International Symposium on Software Testing and Analysis (ISSTA), ACM, 2009.
[8] R. Niedermayr, E. Juergens, and S. Wagner, "Will My Tests Tell Me If I Break This Code?," in Proceedings of the 1st International Workshop on Continuous Software Evolution and Delivery (CSED), ACM, 2016.
[9] S. Yoo and M. Harman, "Regression testing minimization, selection and prioritization: a survey," Software Testing, Verification and Reliability, vol. 22, no. 2, pp. 67–120, 2012.
[10] G. Rothermel and M. J. Harrold, "Analyzing regression test selection techniques," Transactions on Software Engineering (TSE), vol. 22, no. 8, pp. 529–551, 1996.
[11] T. L. Graves, M. J. Harrold, J.-M. Kim, A. Porter, and G. Rothermel, "An empirical study of regression test selection techniques," Transactions on Software Engineering and Methodology (TOSEM), vol. 10, no. 2, pp. 184–208, 2001.
[12] E. Juergens, B. Hummel, F. Deißenb¨ock, M. Feilkas, C. Schl¨ogel, and A. W¨ubbeke, "Regression test selection of manual system tests in practice," in Proceedings of the 15th European Conference on Software Maintenance and Reengineering (CSMR), pp. 309–312, 2011.
[13] J. Nam, "Survey on software defect prediction," Department of Compter Science and Engineerning, The Hong Kong University of Science and Technology, Tech. Rep, 2014.
[14] Y. Kamei and E. Shihab, "Defect prediction: Accomplishments and future challenges," in Proceedings of the 23rd International Conference on Software Analysis, Evolution, and Reengineering (SANER), vol. 5, pp. 33–45, IEEE, 2016.
[15] E. Giger, M. D'Ambros, M. Pinzger, and H. C. Gall, "Method-level bug prediction," in Proceedings of the International Symposium on Empirical Software Engineering and Measurement (ESEM), pp. 171–180, ACM, 2012.
[16] H. Hata, O. Mizuno, and T. Kikuno, "Bug prediction based on finegrained module histories," in Proceedings of the 34th International Conference on Software Engineering (ICSE), pp. 200–210, IEEE, 2012.
[17] B. A. Sherlund, "Logical modification oriented regression testing," in Defect prevention: presentations of the 12th International Conference and Exposition on Testing Computer Software, pp. 287–303, 1995.
[18] F. Deißenb¨ock, U. Hermann, E. Juergens, and T. Seifert, A Lean Evolution and Development Process, 2014. Unpublished report.
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Rotary Club of North Fort Myers
Where the Tropics Begin
July 26, 2018 Vol 46 Issue 4
Gat r Tales
Club 4334 Chartered June 14,1973 Richard McConville - Charter President
We meet Thursdays 8:00 a.m., Three Fishermen Seafood Restaurant, N. Ft. Myers
This weeks speaker: Introduction by Mike Fahnlander
www.rotarynftmyers.org www.rotarynftmyers.org www.rotarynftmyers.org www.rotarynftmyers.org
INTERNATIONAL
President
Barry Rassin Barry Rassin
District Governor 6960
Sandra Hemstead
Sandra Hemstead
Sandra Hemstead Sandra Hemstead
Area 4 Asst. Governor
Dylan Zsebe
Dylan Zsebe
Dylan Zsebe Dylan Zsebe
President
Tim Eckert Tim Eckert
President Elect
Bill Thomas Bill Thomas
Vice President
Greg Grier Greg Grier
Exec-Secretary-Treasure
Dwight Sedgwick
Dwight Sedgwick
Dwight Sedgwick Dwight Sedgwick
(Ex-Officio)
Sergeant-At-Arms
Jack Hess
Jack Hess
Jack Hess Jack Hess
DIRECTORS
Immediate Past President
David Rice David Rice
2017—2019
John Gardner John Gardner
Nate Smith Nate Smith
Deena Westberry
Deena Westberry
Deena Westberry Deena Westberry
2018—2020
Mike Fahnlander
Mike Fahnlander
Mike Fahnlander Mike Fahnlander
Norm Jones
Norm Jones
Norm Jones Norm Jones
Ed Shumate
Ed Shumate
Ed Shumate Ed Shumate
Bulletin Editor
Dwight Sedgwick
Dwight Sedgwick
Dwight Sedgwick
Dwight Sedgwick
Bill Thomas Bill Thomas won the $7.00 $7.00 $7.00 50/50 But not the $48.00 POT !!!
Dr. Debi Lux Dr. Debi Lux ---- Honor Flights for War Veterans Honor Flights for War Veterans Honor Flights for War Veterans
Dr. Lux is a retired dentist who moved to Naples in August 2012. She and her husband Sean founded Collier County Honor Flight, a 501 husband Sean founded Collier County Honor Flight, a 501----CCCC----3 organization 3 organization solely to take America's war Veterans, at no cost, to Washington D.C. to visit the war memorials dedicated to honor their service and sacrifices. the war memorials dedicated to honor their service and sacrifices.
Dr. Lux, a Minnesota native, received her doctorate in dental surgery from the University of Minnesota, and is currently licensed in Florida. She served honorably as an Officer in the United States Navy. ably as an Officer in the United States Navy.
In her short residency in Naples, Dr. Lux has become a Women of Initiative 2015, a graduate of Leadership Collier 2015, and Ooh La La Jewels Legacy lady. She has also received Rotary's Paul Harris recognition and Seven Seals award. Having been involved in several professional and non award. Having been involved in several professional and non----profit organiza- profit organizations, her passion lies with serving our American Veterans. tions, her passion lies with serving our American Veterans.
Honor Flight Veteran welcomed Honor Flight Veteran welcomed————---->>>> In Washington DC In Washington DC
PLEASE WELCOME DR. DEBI LUX PLEASE WELCOME DR. DEBI LUX
PLANNING AHEAD PLANNING AHEAD ---- THIS YEAR THIS YEAR
Looking forward to: Looking forward to: A District Grant Toy Project at J Colin English, Bike Night A District Grant Toy Project at J Colin English, Bike Night beer sales, a Christmas Party, ringing the bell at Christmas for the Salvation Army, our annual golf tournament, many charitable contributions to our local community, the awarding of college scholarships to graduating seniors at North Fort Myers High, our Road Clean Fort Myers High, our Road Clean----up Days, and our weekly meetings where we up Days, and our weekly meetings where we get to hear from many interesting and informative speakers, and more.
Dec 1: Christmas/Holiday Party
Dec 1: Christmas/Holiday Party
Dec 1: Christmas/Holiday Party Dec 1: Christmas/Holiday Party ---- Magnolia Landing Magnolia Landing
Magnolia Landing
Dec 20: Family Christmas Breakfast
Dec 20: Family Christmas Breakfast
Dec 20: Family Christmas Breakfast Dec 20: Family Christmas Breakfast
INVOCATION
M MM May those assembled here today enjoy the many offerings of Rotary. May we abide by the rules we have established, those of trust, fellowship and ethics, and may we place Service above Self in our daily endeavors.
AAAAmen.
"Toast To Rotary
and PPPPeace - through SSSService - the W WW World OOOOver.""""
The Four Way Test 0f the Things We Think, Say, and Do The Four Way Test 0f the Things We Think, Say, and Do
* First, is it the truth?
* Second, is it fair to all concerned?
* Third, will it build goodwill and better friendships?
* Fourth, will it be beneficial to all concerned?
Of course it will, Now go out and live it!
Guest Speakers Guest Speakers
Next Week 8
Next Week 8
Next Week 8 Next Week 8----02: Dave Westra 02: Dave Westra
02: Dave Westra 02: Dave Westra ---- Algae & the Caloosahatchee River Algae & the Caloosahatchee River
Algae & the Caloosahatchee River
Last Week: Dylan Zsebe Last Week: Dylan Zsebe ---- Rotary 2018 Rotary 2018 Rotary 2018----19 Theme 19 Theme 19 Theme
Birthdays & Anniversaries Birthdays & Anniversaries
Share Rotary Propose A New
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|
Issue 5 March/April 08
Resilient Landscapes include Farm Forestry By Louise Maud
Many farmers are proving that it is possible to mix their productive pastures with tree production and their bank balance and the environment are all the better for it.
are about to start receiving an income from the sale of timber and this will increase as the plantations mature.
Farmers in the Inverell, Gunnedah, Armidale and Kentucky districts are taking advantage of funding through the Namoi CMA and the Border Rivers CMA to establish over 250 hectares of engineered woodlands. These are wide spaced plantations established on contour and designed to fit in with the landholders grazing enterprise.
The Taylor family at Kentucky have established many engineered woodlands over the years, covering up to 15% of the paddock with trees and without any loss in livestock carrying capacity.
In the south east of NSW there is great potential for engineered woodlands to replace the native woodlands that have been reduced over the years. There is scope to use the new trees to link remnant vegetation and importantly, provide valuable shade and shelter for livestock. A recent trip to Dalgety highlighted the need livestock have for shelter with many examples of cattle and sheep crowding under a few old pine trees that had been planted by farsighted farmers.
This is also the experience of several farmers in Victoria who have increased their carrying capacity whilst also increasing the number of trees established on their farms. One well known farmer, Don Jowett (Tree Farmer of the Year) has improved the economics of his farm without harvesting any timber. The Taylor's
Other economic returns can come from using the trees to sequester carbon from the atmosphere. Some carbon trading companies are paying farm foresters between $35 and $120 per hectare per year, depending on the growth rates of the trees.
Another important role for the engineered woodlands is to provide corridors for wildlife and for the transfer of genetic material across climatic zones.
For further info contact SE NSW Private Forestry on 64925578 or maud@ privateforestry.com
Photo: Example of engineered woodlands linking remnant vegetation, trapping water along contours and increasing livestock productivity.
FSCCMN newsletter
CONTENTS
Contact the FSCCMN
Dan and Vickie Williamson PO Box 816 Bega NSW 2550 (02) 6492 5558 email@example.com www.fsccmn.com.au
Coordinators Column
Well as I write the cooler weather has started to show itself. We love the temperate climate and see this as a chance to get more active! Autumn is a great time to tackle those post summer jobs which were just too hot to do – although it was milder this year…
Thanks to Louise Maud for sharing information on Farm Forestry, our cover story this issue. The more native vegetation is linked to productivity increases the easier it is to make the decision and get things done. For a local example of vegetation corridors on a dairy, see our September 07 newsletter (back issues are on our website) where we review a CMN walk on John and Sue O'Briens property.
For those who regularly use local waterways you'll be interested in the page 4 article about the outbreak of Caulerpa taxifolia, an invasive marine weed in Wallagoot Lake. Hopefully this outbreak has been caught early enough. Take a good look at the pictures and description so you can report any sightings.
Our first event this year was a bird walk at beautiful Panboola wetlands and it was well attended. There are some exciting activities coming up so make sure you see page 6 and 7 and mark these in your diary.
Finally, if you haven't already started to get your team together for the CMN Treevia afternoon, you'd better get on the phone! Those with good vegetation knowledge are being snapped up so have a think about who will give your team the best advantage. There are great prizes to be won and some fun entertainment for you and the kids. You know we'll also have yummy food and you're welcome to bring an eski to enjoy a couple of drinks if you wish. More about Treevia on page 6.
We look forward to seeing you soon – especially at the Treevia afternoon.
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 three editions (6, 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
Panboola Bird Walk February 08
Bird Survey Methods
Do you know your Clamorous Reed Warbler from your Australian Hobby? Well there's plenty of birdo's out there twitching to tell us which one is a migratory water bird and which is a raptor.
Recently 21 people joined in a bird walk at Panboola Wetlands. Robyn Kesby, a Ranger from NSW National Parks and Wildlife Service led the walk along with Di Waldron. Both Robyn and Di are members of the Far South Coast Birdwatchers and live locally so we were lucky to share in their wealth of knowledge on local bird life.
Robyn explained various methods of bird surveying. Not all the group thought of themselves as serious 'twitchers' but together they were able to list 42 birds during the easy 3 hour walk.
"Knowing about birdlife on your property allows you to better understand the role of your native vegetation", said Robyn. "On this walk we've seen habitat types such as fresh and saltwater wetlands, grassland and farmland. Supporting a variety of habitats on your property encourages a wider range of birds."
"The key to good bird surveying at your place is consistency. Choose a similar time of day and the same route to do regular bird observations. Take a pen and paper and record what you see. There are some excellent books available to help identify species. After a while you might start to see patterns."
Robyn asked that the group be on the lookout for the Indian Myna. This area is known to have very few sightings of this aggressive introduced bird. If you do see any, contact the Far South Coast Bird Birdwatchers on 6495 7390 so they can arrange to trap and remove them.
Panboola wetlands are a wonderful walking space even for those who aren't on the lookout for birds. There are excellent walking and cycle paths, suitable for all levels of walking as well as wheelchairs and prams.
The Far South Coast Birdwatchers have produced a complete bird list for the Bega Valley Shire as well as information on the three bird routes you can drive along. All of these documents can be downloaded from our website www.fsccmn.com.au
A variety of survey methods exist for the study of bird populations and movements. Recording can be by site or by call. Below is a brief description of some of the most common methods:
Area Search. This method involves searching a set area and recording data only from within the pre-defined search zone. The area is usually covered by walking a route which is entirely flexible. This type of survey is the cornerstone of the Atlas search methodology, where 2 Ha is searched over 20 minutes.
Transects. A transect is a straight line that is walked by an observer who records data as they move along the transect. In this method the observer cannot wander off the transect. Transects are often marked with colour flagging tape, or they may be along a compass bearing. Typically, transects are conducted on foot, but in some cases they can also be conducted by vehicle.
X
X
Rolling Bird Survey. In this method, observers stop at a series of survey points (often separated by equal distances). A set time period is spent at the site before moving on to the next survey point.
More detailed information about bird survey methods can be found with the bird walk review on the CMN website. www.fsccmn.com.au
Weed Updates
Mass Weed Eradication
Invasive Seaweed in Wallagoot Lake
Almost all of us who have native vegetation have some sort of weed problem. Sometimes it's persistent weeds that just pop up every now and then. Then there are those that dominate a hill side or river bank.
These issues probably grew over a long time thus should be treated as long term projects to rectify. For example eradicating a gully full of blackberry is quite achievable within a manageable time frame with the right approach. It won't happen in a season.
We've outlined a few points to help you on a path towards reducing that weed scourge.
* Develop a strategy for the particular weed with short and long term targets
* Get advice from local experts such as Bega Valley Shire Council weeds officers, Far South Coast Landcare, Southern Rivers Catchment Management Authority or search the web for info
* Consider that large areas of weeds may also provide habitat for local wildlife. Plant in and around with appropriated fast growing natives to establish alternative habitat before and during the process of removing large areas of weeds
* Work first in areas where there is native resilience (established plants or a potential seed source in the ground) to help with recovery after disturbance
* Think about when is the best time to attack that particular species, ie main growth period, before seed set etc
* Ask your neighbours or friends if and how they've dealt with similar issues
* If you don't do anything it may get bigger and infest other areas on your property
4
In 2007 a patch of Caulerpa taxifolia (invasive marine seaweed) was discovered in Wallagoot Lake about 500 metres from Bournda Environmental Education Centre (EEC).
C. taxifolia is a bright green invasive seaweed that has been found in thirteen estuaries in NSW including seven south coast estuaries. Once it is in an estuary it is virtually impossible to eradicate.
C. taxifolia has rapid growth and may out-compete and smother native flora such as seagrass which is ecologically important as recruitment, nursery and refuge sites for many species of native fish and invertebrates. All species of Caulerpa (including those native to NSW) produce toxic substances (caulerpenynes). These act as deterrents against many epiphytes and herbivores (eg. sea slugs, abalone and sea urchins), thus limiting grazing which might otherwise reduce the biomass of the weed.
As far as we know the incidence of C. taxifolia in Wallagoot is restricted to a small patch, located near Scotts Bay. The site is surrounded by a netting exclusion zone marked by 4 yellow buoys. The shallow waters at Wallagoot are ideal for salting, one of the few known effective treatments. Salting work was carried out by the NSW Department of Primary Industry (DPI), Aquatic Biosecurity Unit in October 2007.
The salting in 2007 largely destroyed C. taxifolia but unfortunately a recent survey of the site conducted by Bournda
EEC staff showed that it is still present.
There is an urgent need to conduct further surveys to establish whether other patches of C. taxifolia are present in Wallagoot. Obviously other waterways could also be at risk of contamination so locals need to be aware of it and be vigilant in reporting any occurrences to DPI Aquatic Biosecurity Unit on 02 4916 3877 or firstname.lastname@example.org
If anyone is interested in being part of the ongoing project to eliminate C. taxifolia from Wallagoot, please contact Doug Reckord at Bournda EEC on 64945009 or email@example.com
Management Advice
What's on the Ground?
Often we focus our vegetation planning and resources on the canopy and shrub layers and forget about the importance of the ground layer. Sure there is the grasses and herbs that grow low to the ground but what else is there to consider about way down there.
Case Study
Logs, rocks, leaf litter, soil-surface lichens and mosses, patchy low vegetation and open spaces are examples of important ground layer components in forest and woodland vegetation. Next time you are wandering through any healthy vegetation community, if you're lucky enough it's on your property, spend some time looking at the diversity of habitat on the ground. Being careful not to disturb the habitat, check out what is under a rock or hiding in a log. Count how many different ground dwelling plants and mosses there are or have a play in the leaf litter to see what you find. Most likely you'll be amazed at the diversity and activity that goes on under you feet!
and leaf litter trap rainfall and assist its infiltration into the ground, help prevent soil loss through erosion and contribute to soil formation. Leaf litter and associated fungi, bacteria and small invertebrates are involved in the decomposition of dead organic material and the recycling of nutrients.
Ground-layer components provide shelter, refuge and living space for a myriad of small animals such as skinks, spiders, centipedes, cockroaches, beetles and ants. In turn, these are the food of larger animals and so the ground layer provides a foraging area for mammals, insectivorous birds and various reptiles. Many of these predators also use hollow logs, rocks or dense vegetation, as shelter and breeding sites. The provision of ground-layer components can be assisted by deliberately adding logs and rocks to revegetated areas, by planting indigenous groundcover plants, and by allowing fallen branches and timber to accumulate over time.
Ground-layer components are also essential to the natural function of ecosystems. Ground vegetation
Some of the processes that impact the quality of the ground layer are clearing or 'tidying up', over collection of fallen timber for fire wood and spread of exotic weeds that dominate or overwhelm the ground dwelling vegetation. Probably the most degrading processes to affect the ground layer however is intensive grazing by livestock. Depletion of the structure and diversity of the vegetation combined with the removal of fallen timber and leaf litter for pasture, are the most noticeable impacts of grazing. Other effects include soil compaction and increase in water runoff.
Revegetation and wildlife: A guide to enhancing revegetation habitats for wildlife conservation in rural environments. Bennett, Kimber & Ryan, Environment Australia, 2000
Whole document at www.environment.gov.au/land/publications/revegwild/
A study conducted in northern Victoria compared the invertebrate fauna collected by pitfall trapping across five sites in each of three habitat types ungrazed forest remnants, grazed forest remnants and grazed pasture.
Over 10,000 invertebrates from 26 orders were collected during the study. The diversity and species richness per site were highest in the ungrazed forest and significantly lower in pasture. In terms of sheer numbers of individuals, pasture sites yielded the highest number of invertebrates, the ungrazed forest sites the lowest, with grazed forest intermediate. The ungrazed woodland sites supported a higher diversity of invertebrates than the pasture sites.
All catches were dominated by ants and, to a lesser extent, spiders and beetles. Grasshoppers and earwigs were also extremely abundant on the pasture sites. Many of the less abundant groups (e.g. scorpions, millipedes, centipedes, and cockroaches) were most numerous in ungrazed forest and lowest in pasture.
In summary, the ungrazed forest was occupied by invertebrate groups that, although having fewer individuals, represented many orders. On the other hand, those from grazed forest and pasture sites had a larger number of individuals but had experienced a loss of diversity.
'When litter is good... The importance of the forest ground-layer'. Brown , Bromham & Bennett, 1999
Biodiversity Index
Invertebrate orders
Spider families
Ungrazed
remnant
Pasture
Grazed
remnant
Event of the year
CMN Treevia There's nothing trivial about native vegetation. . . . or is there?
What to expect
Heaps of prizes •
Great entertainment •
A hilarious trivia afternoon for landholders who want to learn more about native vegetation
Games for the kids •
Delicious nibbles and snacks •
It's all FREE •
Sunday 6th April
1:30pm - 5pm Kianinny Resort Tathra BYOG and eski
Try your knowledge
Q1. What local family has a Scarlet, Flame and Rose?
Q2. Jersey Cudweed. Is it a native or a weed?
Q3. Which Landcare Ambassador was also Darth Vader's stepfather?
answers on page 7.
The CMN has been supporting landholders for a year now and it's time we all celebrated
How to book your table
Tables can be booked by locality, with friends or join a mixed table. •
Teams can be from 4 to 8 members •
Call or email us and book your table •
If you don't have a table, you can join in a mixed table and earn bonus points •
Earn bonus points for your table
Book by 14th March or Join in a mixed table
Use the Force, phone or email. RSVP by 28th March 6492 5558 or firstname.lastname@example.org
Resources Events
Regeneration or Revegetation ?
Upcoming Events
Firstly let's define the difference before we talk about where either should or could be used.
Regeneration refers to the natural process by which plants replace or reestablish themselves. Natural germination processes will select plants suited to the conditions. It generally requires minimal disturbance to the site and is focused on creating the right conditions for re-establishment to occur. Activities may be fencing areas from livestock, weeding out competitive exotics, thinning regrowth or reintroducing fire.
Revegetation refers to the physical replanting of vegetation. Typically this is planting seedlings but could also involve direct seeding. Using seed collected from the local area is best for revegetation as these will have inbuilt mechanisms for survival.
Regeneration works best where the site is not extensively degraded and is more cost effective than planting. Revegetation however has that 'instant' improvement factor i.e. today there are new plants, yesterday there wasn't. Revegetation is often used because of this but in the long term regeneration, if approached sensibly, will cost less and have the better outcome. Your choice however to use either or even both methods also depends on personal factors such as time available, time frame, finances, knowledge and skills.
Different vegetation communities have different resilience capacity, in other words will regenerate at different rates. This capacity has developed over millennia of having to recover from natural disturbances. It is important to realize that it is often hidden under the ground, in the form of buried seeds or suppressed rootstocks. This natural resilience means that native vegetation usually has at least some capacity to recover from human damage.
So the key is to look at what might trigger your remnant's resilience before rushing in with an unsuitable treatment. Working with this resilience produces best results, but if it is depleted, planting or direct seeding can be keys to trigger natural processes.
Bush Regeneration Field Day
There's quite a lot to understand about bush regeneration, in particular the principles and background theory. There is more to it than just removing weeds.
Many of you use the regeneration method on your property so the CMN plans to hold a number of practical field days looking at regeneration methods. If you are interested let us know if a weekday, Saturday or Sunday suits you best. Details are yet to be finalised but we are looking at some stage towards the end of the year. As always our events include top notch catering and good coffee!
Endangered Grassy Ecosystems Walk and Talk. 19th April. 9:30-4pm
The CMN has teamed up with the Friends of Grasslands (FoG) to visit three grassland ecosystems in the Bega Valley. FoG is a Canberra/Monaro based group and are travelling to the Valley to experience our grasslands first hand.
There are two main grassland communities in the Valley, Bega and Candelo Dry Grass Forest both of which are listed as Endangered Communities under the Threatened Species Conservation Act.
This walk and talk will cover the history of dry grass forest and some of the management issues involved in protecting and preserving them.
Starting at Brogo and finishing close to Bega the day will take a leisurely pace with morning tea and lunch provided.
RSVP is essential by 14th April. Contact Dan and Vick on 6492 5558 or email@example.com
Treevia answers from page 6
A1 The Robin family of birds has the Scarlet Robin, Flame Robin and Rose Robin.
A2. Jersey Cudweed is a native to most of Australia
A3. Jack Thomson played Cliegg Lars in Star Wars Episode II
7 3
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STILL RISING
By Denis Blake
Photos by Coglianese Photos/Lauren King,
Leslie Martin, Kenny Martin
FEATURE
ALTHOUGH THERE HAVE BEEN SOME UPS AND DOWNS DURING THE NEARLY TWO-DECADE HISTORY OF THE CLAIMING CROWN, THE EVENT SHOWCASING THE SPORT'S BLUE-COLLAR HORSES HAS BECOME A FIXTURE ON THE NATIONAL RACING SCENE. LIKE A HARD-WORKING CLAIMING HORSE WHO TURNED INTO A STAKES WINNER, THE CLAIMING CROWN POSTED SOLID RETURNS IN ITS EARLY RENEWALS, MOSTLY AT CANTERBURY PARK IN MINNESOTA STARTING IN 1999, AND NOW AFTER SIX CONSECUTIVE RUNNINGS AT GULFSTREAM PARK, IT CONTINUES TO HIT NEW HIGHS.
The nine-race Claiming Crown on December 2 again offered $1.1 million in purses for horses who had started for a specified claiming price since January 1, 2016, save for the two races with a lifetime claiming condition. In its days at Canterbury, the Claiming Crown often attracted a robust handle in excess of $3 million—a hefty number for the Midwest track—and this year it topped out at a record $11.925 million for the entire card, up 7 percent from last year when $11.141 was wagered. Handle in 2015 was $10.362 million.
"We're extremely pleased with the opening day of our Championship Meet and the Claiming Crown program," Gulfstream General Manager Bill Badgett said. "The crowd was fantastic, the support from horsemen throughout North America was once again terrific, and we witnessed some incredible performances from our equine and human stars."
Handle on the Claiming Crown, which is put on by a partnership of the National HBPA, Thoroughbred Owners and Breeders Association and Gulfstream Park with the Florida HBPA, has gone up every year since Gulfstream began hosting the event in 2012.
"It's gratifying to see the tremendous response from bettors and horsemen to the Claiming Crown," said Eric Hamelback, CEO of the National HBPA. "We had horses from the West Coast, Midwest and East Coast, including many from smaller stables, and the quality of competition seems like it gets better every year. We are already looking forward to the 20th running of the Claiming Crown in 2018."
THE CLAIMING CROWN'S PROFILE AND HANDLE CONTINUE TO TREND UP AT GULFSTREAM PARK
MENDED GLASS SLIPPER
all that three days out, but she made the trip fine. Nothing went wrong since I've been here.
"When I first got her she had a sore foot, and I thought it was a bad claim to tell you the truth," Martin added. "We worked on her for a few weeks and the sore foot went away and I started training her, and ever since then she started getting better and better and better."
Her 10 wins through early December put her in a tie with Cantchaco for the most in North America in 2017, and Mended has earned $186,620 this year compared to Cantchaco's $31,959. All told, Mended, who was bred in Kentucky by Sheltowee Farm, Mariah Thoroughbreds LLC and Pin Oak Stud LLC, has won 13 of 26 outs with earnings of $231,690.
Sugar Cube, a 6-year-old mare owned and trained by Rick Hiles, finished second to be part of the exacta for the ninth time in 10 starts this year. She had wins at Oaklawn Park, Churchill Downs and Indiana Grand during her 2017 campaign with two wins on dirt and two on the turf.
Loooch Racing Stables Inc.'s Moonshine Promise, a veteran of 75 races with 21 wins who shipped in from JACK Thistledown in Ohio, took third for trainer Peter Walder.
Delusional K K, Battle Tale, Amaluna, Ventina, Untrue, Tormenta de Oro, Northern Screamer, Star Eighty, Falina's Song, Babie Monster and Arella Princess completed the order of finish.
T he Claiming Crown card kicked off with the $110,000 Glass Slipper for fillies and mares who have started for $12,500 or less, and it featured what turned out to be the most decisive victory of the day with Troy and Maritza Onorato's Mended rolling to an easy 6 ¾-length win. With Ricardo Gonzalez up for trainer John Martin, the 4-year-old daughter of Broken Vow grabbed the early lead in the one-mile contest and was never headed before stopping the timer at 1:36.42 for her 10th consecutive win.
Perhaps even more impressive than her win streak is the fact that not a single photo finish has been required to declare her the winner and that this marked her first start outside of California, where she was claimed for $12,500 on January 6 at Golden Gate Fields. She finished fourth that day, and she hasn't been beaten since.
"The ship was tough," Martin said about the even-money favorite. "She had to ship eight or nine hours from Golden Gate to Santa Anita, lay over there and ship maybe six or seven hours on the airplane to here. We did
26 HJWINTER 17
F irst Growth, a consistent performer on the Ohio circuit this year, apparently enjoyed his first trip to Florida as he captured the $110,000 Claiming Crown Express by 3 ½ lengths with Gerardo Corrales riding for trainer Odin Londono Jr.
It was a homecoming of sorts for Londono and also a lucrative win for the Candy Ride (Arg) gelding haltered for $5,000 early in the year at Mahoning Valley Race Course.
"My father rode here, so I'm from here," he said. "I was born and raised here. I haven't been here for a long time. I took a shot, and we were able to take it.
"It was a perfect ride. I told [Corrales], 'If we're three lengths, four lengths off of it, we've got it,' because I know what he's capable of. He's a horse that has improved every race, so I took a shot."
Owned by Michelle Winters, First Growth earned $60,500 for the win after banking $58,384 with five other wins during the year. The 5-year-old clocked six furlongs in 1:09.61 and had the respect of the bettors at odds of 9-2 in the race for horses who have started for $8,000 or less lifetime.
EXPRESS
FIRST GROWTH
Although it took First Growth nine tries to break his maiden, his record now stands at 21-8-2-3 with earnings of $150,604. He was bred in Kentucky by Alexander Groves Matz LLC.
Averill Racing LLC and CCF Racing Stable's Blings Express, making the 75th start of his career, finished a clear second for trainer Ralph Ziadie. The 8-year-old Too Much Bling gelding is closing in on $500,000 in earnings. This marked the fourth consecutive year for Blings Express in the Claiming Crown Express, and it represented his best finish yet.
Kentucky invader and seven-time winner this year Ship Disturber, running for John Impellizeri and trainer Charles Dickey, rallied from far back to take third. The Sky Mesa gelding recorded wins this year at Oaklawn Park, Kentucky Downs, Churchill Downs and Ellis Park.
Doodle Hopper finished fourth, followed by Mr Manning, Starship Apollo, Harryhee, Helloitsme, Express Jet, Electrifying, Donegal Hall, The Son Wind, Great Lou and Pachanga Party.
T he first of jockey Paco Lopez's three Claiming Crown wins came on Blue Bahia in the $110,000 Distaff Dash for fillies and mares who have started for a price of $25,000 or less. Sent off as the 8-5 favorite with seven wins in 10 previous turf sprints, the 4-year-old Wildcat Heir filly sat just off the pace and then pounced at the top of the stretch to prevail by 2 ¾ lengths in :56.89 for five furlongs on the turf.
"We really didn't want to go right to the lead," said Carlos David, assistant to trainer Jason Servis. "She's got speed, but we wanted to keep her in the pocket and it just went perfect. I was a little worried they were going a little fast, but [Lopez] was patient and she got the job done, so we're happy."
Owner Dennis Drazin bred Blue Bahia in Florida and campaigned her until March of this year, when she was claimed for $25,000 at Gulfstream. But less than a month later, Drazin and Servis claimed her back for $30,000, and that proved to be a shrewd move as she won the $64,200 Blue Sparkler Stakes at Monmouth
28 HJWINTER 17
DISTAFF DASH
BLUE BAHIA
Park in her next start and then took an allowance/optional claimer at Parx Racing. She now has eight wins in 15 career starts with earnings of $240,594. Her only off-the-board finishes in turf sprints have come in a $125,000 stakes and an allowance/optional claimer at Saratoga Race Course.
Stars Racing LLC's My Sweet Dove, who had won three of her last four starts, put in a game effort to grab second for trainer Ralph Ziadie. The runner-up money put her over the $300,000 mark in career earnings.
My Sister Caro, who finished second in last year's Distaff Dash, got third for owners Steven Bertrando and Paul Trapani and conditioner Clyde Martin. She came in from Laurel Park in Maryland.
Island Reward, Imnaha, World Gone Wright, Eila, Kasuga, In Mid Heir, Ring Knocker, Shakakan, Heart Astray and Mojo's Queen completed the field.
T he $110,000 Iron Horse, at 1 1 /16 miles for horses who have started for $8,000 or less lifetime, had perhaps the most fitting name of all the Claiming Crown races. The 13 runners had combined to win 143 races, with seven of the entrants having double digits in the win column. But none had more than Twocubanbrothersu, who came in from Laurel Park with a record of 19 wins from 48 starts, and after a trip timed in 1:42.22 under Daniel Centeno, the 7-year-old Harlington gelding posted win number 20.
Trained by John Rigattieri, who also co-owns the gelding with Stephen Derany, Twocubanbrothersu set a solid pace as the 4-1 second choice and refused to let favored Rich Daddy go by in the stretch.
"I know this horse very well; he's been training very well," said Centeno, who this year has ridden the gelding to wins at Laurel, Delaware Park and Tampa Bay Downs. "Today was a big field, and he likes to be clear on the lead. The plan was to try to get him up close. He broke sharp, and I sent him a little bit and he responded great. I saw the favorite and I thought he was
IRON HORSE
TWOCUBANBROTHERSU
going to fight for second, but my horse likes to fight and he ran big today."
Derany and Rigattieri claimed Twocubanbrothersu for $6,250 at Tampa, and since then he's won 13 races. For his career, Twocubanbrothersu, who was bred in Kentucky by Greenwich Cattle Company, has earned $358,545.
Rich Daddy, owned by HRH Racing and trainer Eddie Kenneally, again proved his affinity for Gulfstream with a runner-up finish. The 6-year-old gelding by The Daddy now has eight wins, two seconds and five thirds in 20 Gulfstream races.
Solve, who just two starts earlier was claimed for $5,000 at Canterbury Park, ran third for owner Rodney Paden and trainer Charles Dickey.
Lieutenant Seany O, Social Stranger, Fourth of July, Goodtimehadbyall, Chiseled, Jaiden's Best, Cheech Thunder, Enders Cat, Bama Bound and Mal Guapo completed the order of finish.
W hile plenty of Claiming Crown horses over the years have proven themselves against stakes and even graded stakes company, few have targeted the Breeders' Cup World Championships as the connections of Pay Any Price did. Trainer Ralph Ziadie and owners Averill Racing LLC and Matties Racing had hoped to run the 7-year-old Wildcat Heir gelding in the $1 million Breeders' Cup Turf Sprint (G1), but a foot issue necessitated a new plan.
"We wanted to go to California and run in the Breeders' Cup, but we did right by the horse and gave him time," co-owner Richard Averill said. "We tried to make it and we pushed and it just didn't happen."
As the course record-holder at Gulfstream at the five-furlong turf distance with a time of :53.61 set in the Silks Run Stakes in March, Pay Any Price was sent to post in the $110,000 Canterbury as the 1-2 favorite, and he overcame the five-month layoff to win by a half-length in :56.49 with Edgard Zayas in the irons.
"Health-wise he was 100 percent, but fitness-wise he was about
30 HJWINTER 17
CANTERBURY
PAY ANY PRICE
75 percent," Averill said. "There wasn't a doubt in my mind he'd be on the lead coming down [the stretch]. He held off. He's got heart. He's an awesome horse."
Pay Any Price, who was bred in Florida by Brent and Crystal Fernung, has now won 10 of 17 lifetime starts with earnings of more than $300,000. The gelding was in for an $8,000 tag last year at Tampa Bay Downs before working his way up the claiming ladder and developing into a multiple stakes winner in turf sprints.
Oak Bluffs, a 37-1 longshot for trainer Mary Eppler and her Mary Eppler Racing Stable Inc., made Pay Any Price work for the victory but could not quite get by but finished a strong second.
Sir Navigator, running for Kenneth and Sarah Ramsey and trainer Mike Maker, the respective leading owners and trainer in the history of the Claiming Crown with 15 wins apiece heading into this renewal, closed to finish third.
Super Spender, Diddley, Padilla, Our Independence, Billy the Bull, Shadow Rock, Black Tavish, Uncle Leo and Our Boss rounded out the order of finish.
CAUTIOUS GIANT TRANSIT
RAPID
In the $110,000 Rapid Transit at seven furlongs for horses who have started for $16,000 or less, Cautious Giant stood out with a race record that included eight starts against graded stakes foes, including facing Gun Runner in the Grade 1 Whitney Handicap at Saratoga. And while he proved to be ambitiously entered and no match for the probable Horse of the Year in that race, the 6-year-old Giant's Causeway gelding did show his class with a one-length victory in the Rapid Transit in 1:22.78 under Emisael Jaramillo as the 9-2 second choice in the betting.
"We had breezed this horse twice since claiming him and thought today was a good option to race him," said trainer Victor Barboza Jr., who claimed Cautious Giant for owner Mark Moshe for $16,000 in September at Gulfstream. "It was my plan every day to run in the Claiming Crown. We will look to run him in the Grade 3 Hal's Hope [on February 24 at Gulfstream] next."
Bred by Grousemont Farm, Cautious Giant has won seven of 33 lifetime starts, and his bankroll now
stands at $457,870. A return to graded stakes company would be no surprise for the gelding, as he placed in a pair of Grade 2 events—the Palos Verdes and Kona Gold Stakes—at Santa Anita Park in 2016.
Manhattan Mischief, who was claimed by trainer Matt Kordenbrock and owners Gwyneyth Gower and Robert O'Hara Jr. for $40,000 a month earlier at Churchill Downs, earned back more than half that price with a second-place run.
Crocodile Charlie, who captured a stakes at Gulfstream in June after breaking his maiden for a $25,000 tag and running for $12,500 in his debut, won a photo for third for trainer Rohan Crichton, who co-owns the colt with Span Investments Inc.
Aztec Sense crossed the wire fourth and was followed by Rhythm Park, Dark Arden, Chatiment, Sandro, Double Whammy, Shaft of Light, Coxswain, Whyruawesome, Thanks God and Crazy Frank C.
TIARA
MARTINI GLASS
at Keeneland, beaten two lengths by Romantic Vision. Over the summer, the 4-year-old Kitalpha filly was just a length back of champion Songbird while second in the Grade 1, $750,000 Delaware Handicap and second by a neck in the $100,000 Obeah Stales, also at Delaware. Those races were all on the dirt, and she won the Tiara despite turf not being her preferred surface.
"We always thought she would be better on turf; she's probably not," Nations said. "She's probably better on the dirt. We have some options. We don't even know what her best distance is. It's crazy. She ran within a length of Songbird going a mile and a quarter, and she ran a really powerful race going seven-eighths [at Tampa Bay Downs]."
Bred in Kentucky by Aschinger Bloodstock LLC, Martini Glass was claimed from her breeder in her maidenbreaking debut against $16,000 claimers at Tampa Bay Downs and has since won seven more races with a total bankroll of $475,445.
Runner-up Peru, racing for owners Kenneth and Sarah Ramsey and trainer Mike Maker, earned $25,000 for her effort, the same amount she was claimed for in July at Belmont Park.
Starship Jubilee, a $16,000 claimer earlier in the year who went on to win the Grade 2 Dance Smartly and Nassau stakes at Woodbine, could not hold the lead she had at the top of the stretch and finished third for trainer Kevin Attard, who co-owns her with Soli Mehta.
Arthemisa, Vendita, Valedictorian, Quebec, Temple Fur, Dynatail, Judy's Chance and Flattermefabulous completed the field.
If the Claiming Crown races were eligible to be graded, the $125,000 Tiara for fillies and mares who have started for $25,000 or less would merit serious consideration. The best evidence to argue that point is that Martini Glass, who came in with a pair of second-place finishes in Grade 1 races, was not even favored. Instead, that distinction went to Starship Jubilee, a two-time graded stakes winner in Canada. As the 2-1 second choice, Martini Glass and jockey Paco Lopez took the 1 1 /16-mile turf event in 1:46.65 in a head bob over Peru (GB) with Starship Jubilee a length back in third.
"I thought we lost," said trainer Keith Nations. "Me and my wife, Cheryl, were just standing there. We didn't know whether to go to where they unsaddle or go to the winner's circle. We got caught in between and all of a sudden I looked up and saw the No. 4 up there and I was shocked. It looked like we ran second, but she got her nose down in time."
Owned by Vince Campanella and Nations Racing Stable LLC, Martini Glass came to Gulfstream off a second-place effort in the Grade 1, $500,000 Juddmonte Spinster Stakes
32 HJWINTER 17
T rainer Mike Maker came into the Claiming Crown with a record 15 wins, including six in the $125,000 Emerald at 1 1 /16 miles on the turf for horses who have started for $25,000 or less. After missing by a nose one race earlier in the Tiara, Maker added to his win total as Special Ops and Julien Leparoux cleared the field late to score by 1 ¾ lengths in 1:50.41 at 7-1 odds.
"It's taken all day for it to come together, but better late than never," Maker said. "I was expecting that from him last time. He got a little sick after that race so it was a throwout race. He showed up again today."
The race Maker referenced was a fifth-place finish against allowance foes at Keeneland, but prior to that the 6-year-old Big Brown gelding won a starter allowance at Kentucky Downs and the $75,000 West Virginia House of Delegates Speaker's Cup Stakes at Mountaineer Park. Maker claimed Special Ops for Skychai Racing LLC for $50,000 in June at Churchill Downs, and in his five starts since then, the gelding has banked more than $170,000. Bred in Kentucky by Candy Meadows LLC, Special Ops has eight
EMERALD
SPECIAL OPS
lifetime wins from 28 starts with earnings of $375,202.
Maker completed the exacta with Bingo Kitten in the familiar colors of Kenneth and Sarah Ramsey. A 7-year-old son of the Ramseys' stallion Kitten's Joy, Bingo Kitten raced as low as the $16,000 level earlier in the year before rising back up in class.
Durocher, a 61-1 longshot owned by Sterling Racing LLC, John Herzberg and Michelle Allan and trained by Harry Benson, got up for third.
Spring Up, D'craziness, Kaitain, Royal Blessing, Neoclassic, Sinatra, Laythatpistoldown, Cammack, Zambian, Eminent Force and Black Tide rounded out the finish.
T he $200,000 Jewel at 1 1 /8 miles featured an evenly matched field of horses who have started for $35,000 or less, so it was no surprise that a trio of longshots completed a trifecta that paid more than $7,000 for a $1 bet. At the wire, it was Flying P Stable's Flowers for Lisa at 16-1 with Paco Lopez aboard winning his third Claiming Crown race of the day.
A 4-year-old gelding by Flower Alley who shipped to South Florida after running second against $32,000 claimers at Belmont Park, Flowers for Lisa set a reasonable pace with fractions of :23.60, :47.06 and 1:11.28 and then held off his challengers to win by 1 ½ lengths in 1:48.76.
Trainer Jorge Navarro, who earlier in the day won the Grade 1 Cigar Mile at Aqueduct with Sharp Azteca, claimed Flowers for Lisa for $20,000 in July at Monmouth Park for Jason Provenzano's Flying P Stable.
"Jorge told me the day he claimed him that this was our Claiming Crown horse," Provenzano said. "This is a dream for me. The phone hasn't stopped. I got in this game a long time ago. My father was a jockey years ago; he rode down at Bowie,
34 HJWINTER 17
JEWEL
FLOWERS FOR LISA
Timonium, Pimlico, Marlboro, tracks that don't even exist anymore, some of them. I fell in love with horses at a young age, but I never thought I'd have the money to own them. I got in a good position in my life, and we started claiming horses."
Flowers for Lisa, who was bred in Kentucky by Kenneth and Sarah Ramsey, spent the early part of his career at Gulfstream and earned $110,000 for his first race in Florida since May 2016. His record now stands at 33-7-8-5 with earnings of $276,616.
Flashy Jewel, with the perfect name to win the race, chased Flowers for Lisa throughout and got his head down in front of Diamond Bachelor to earn second. Owned by Michael Hui and trained by Mike Maker, Flashy Jewel finished second in last year's Rapid Transit and came into this year's Jewel with more than $100,000 in earnings for the year and a placing in the Grade 3 Skip Away Stakes at Gulfstream.
Third-place finisher Diamond Bachelor is also a Claiming Crown veteran having finished second in last year's Jewel. Trained by Patrick Biancone and owned by Diamond 100 Racing Club LLC, Robert Trussell and Patrick L. Biancone LLC, the 6-year-old War Front gelding won a pair of turf stakes last year and ran in the 2013 Breeders' Cup Juvenile (G1).
The remaining order of finish in the Jewel was Turco Bravo (Chi), Capital Letters, Dream Saturday, Jay's Way, Indian Guide, Fearless Dragon, Chunnel, Gigantic Breeze and Clubman.
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NBER WORKING PAPER SERIES
CAN WEAK SUBSTITUTION BE REHABILITATED?
V. Kerry Smith Mary F. Evans H. Spencer Banzhaf Christine Poulos
Working Paper 13903 http://www.nber.org/papers/w13903
NATIONAL BUREAU OF ECONOMIC RESEARCH 1050 Massachusetts Avenue Cambridge, MA 02138 March 2008
Smith's research was partially supported by the United States Department of Homeland Security through the Center for Risk and Economic Analysis of Terrorism Events (CREATE) under grant number 2007-ST-061-000001. However, any opinions, findings, and conclusions or recommendations in this document are those of the authors and do not necessarily reflect views of the United States Department of Homeland Security. The U.S. Environmental Protection Agency. (Grant# R8295081) also provided partial support. Evans' and Poulos' research was supported by the same U.S. Environmental Protection Agency grant. Thanks are due Mark Agee, Dan Phaneuf, Will Wheeler, Rudy Santore, Laura Taylor, and Bill Provencher for constructive comments on earlier drafts. Susan Hinton, Alex Boutard, Kenny Pickle, and Diana Burns helped with several aspects of earlier drafts of this research. The views expressed herein are those of the author(s) and do not necessarily reflect the views of the National Bureau of Economic Research.
NBER working papers are circulated for discussion and comment purposes. They have not been peerreviewed or been subject to the review by the NBER Board of Directors that accompanies official NBER publications.
© 2008 by V. Kerry Smith, Mary F. Evans, H. Spencer Banzhaf, and Christine Poulos. 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.
Can Weak Substitution be Rehabilitated? V. Kerry Smith, Mary F. Evans, H. Spencer Banzhaf, and Christine Poulos NBER Working Paper No. 13903 March 2008 JEL No. Q51
ABSTRACT
This paper develops a graphical analysis and an analytical model that demonstrate how weak substitution can be used for non-market valuation. Both weak complementarity and weak substitution can be evaluated as restrictions that allow quantity or quality changes in non-market goods to be described as price changes that yield equivalent changes in individual well being. They are Hicksian equivalents in that the price changes yield the same utility changes as would the quantity or quality changes. After discussion of several potential applications of weak substitution, the paper develops the parallel between the restriction and recent strategies from modeling differentiated goods.
V. Kerry Smith Department of Economics W.P. Carey School of Business P.O. Box 873806 Arizona State University Tempe, AZ 85287-3806 and NBER email@example.com
H. Spencer Banzhaf Deaprtment of Economics Georgia State University Atlanta Ga. firstname.lastname@example.org
Mary F. Evans Department of Economics University of Tennessee Knoxville, TN 37996 Evans, Mary Frances [email@example.com]
Christine Poulos RTI International Public Health and Environment Division Research Triangle Park, N.C. firstname.lastname@example.org
Can Weak Substitution be Rehabilitated?
I. Introduction
Revealed preference (RP) methods for non-market valuation generally ignore weak substitution (WS), a form of demand interdependency introduced by Feenberg and Mills [1980] nearly thirty years ago. This restriction focuses on a relationship between a private good and a non-market good or service that arises when the relative price of the private good is high. That is, when consumption of the private good (the weak substitute) reaches some level, further increases in the non-market service have no value.
Numerous RP applications assume weak complementarity (WC), an alternative form of demand interdependency. Mäler [1974] credits Stevens [1966] with the original insights that motivate his demonstration of how to recover the demand for a public good from the demand for the private good serving as the weak complement. Since this early discussion, which began with the role of water quality and the demand for water-based recreation, environmental applications have provided a number of examples where a private good can be described as a weak complement to an environmental service. The service usually plays a role that is analogous to a quality attribute of a private good. 1
In the same time span that the relevance of weak complementarity has grown, weak substitution has languished. Evidence of this trend can be found in the revised edition of Freeman's classic treatment of non-market valuation methods. After reviewing the concept in some detail in his 1992 book, he seems to have reflected the apparent professional consensus and
1 The logic was used (without appreciating the connection to weak complementarity) in Bresnahan and Gordon's [1997] introduction to the issues posed in modeling the demand for new goods. It is also important to the restrictions required to recover the Hicksian demand for a non-market good from the Marshallian demand for a non-market good from the Marshallian demand for the private weak complement. See Bullock and Minot [2006] and Von Haefen [2007] for discussion.
excluded weak substitution from his revised edition (see Freeman [1992, 2003]). He maintains that an assumption of less than perfect substitution is not especially informative without including a more detailed preference specification. Following Bartik [1988], Freeman argues that, at best, substitution offers upper and lower bounds for Hicksian welfare measures.
The new set of questions facing environmental and security-related policy analysts may require re-thinking this judgment. In some applications ex ante mitigation activities are best described as weak substitutes for non-market "bads." The first area for potential applications is motivated by the recent wildfires near San Diego, California. The fires focused attention on a variety of private services, including concierge fire protection and remotely activated fire retardant systems, that can serve as weak substitutes for public fire protection. An example of the former is AIG's Wildfire Protection Unit for specialized protection offered to homeowners with large homes (generally valued at several million dollars) who were, at the time of the fires, paying premiums of $10,000 or more a year for homeowners' insurance. The services offered were widely publicized as involving private fire fighting experts who were contracted to protect specific homes. Efforts to protect neighboring homes were only undertaken if the activity complemented the protection of the enrolled home.
A second class of applications involves homeland security and the precautions households can take to purchase extra food, water, and emergency supplies as well as prescription drugs as a form of mitigation to avoid serious impacts from short term interruptions in supply chains due to natural disasters or terrorist activities 2 . These resources could be
2 Using Knowledge Network's internet panel the first author on this paper, Carol Mansfield and Aaron Strong collected information about households' stated preferences for public activities to protect the food supply. Part of the survey included information on non-prescription and prescription medicines households had on hand to deal with food borne illness that might be associated with contamination of the food supply. A simple regression of the count of six medicines or related equipment (i.e. thermometer) study participants had on hand indicated that income, awareness of the potential for food-borne illnesses, experience with cases of food poisoning, and risk attitudes were significant determinants (with p-values of 0.10 or smaller) of the count of mitigating substances households had on
described as weak substitutes for resources devoted to public planning and activities to reduce the risk of short term disruptions.
A third class of applications involves private behaviors to avert and mitigate environmental health impacts due to exposures to environmental pollutants. For example, asthma medicine may represent a weak substitute for improvements in the air quality conditions households face. Under this interpretation when the medicine is sufficiently cheap, improvements in air quality are irrelevant. 3 A second home in a pristine environment, available for short term trips, may serve a similar role.
While it is difficult to gauge the importance of each of these types of responses (and many others that could be cited as examples), it is clear these activities are an increasingly popular response when households, particularly those with relatively higher incomes, demand higher levels of amenities or protection from disamenities. As such, they can be used to measure households' demands for some types of non-market and public goods.
This paper has three objectives. First, we develop a graphical approach introduced in Smith and Banzhaf [2004] to demonstrate how discrete changes in substitution effects influence the Hicksian price equivalents defined for either WC or WS. Second, we demonstrate how weak substitution would be used to derive Hicksian consumer surplus measures. This is accomplished by adapting one of the examples that Larson [1991] used to illustrate how weak complementarity revealed sufficient information to describe the role of the non-market good in quasi-expenditure functions. Finally, we discuss the relationship between weak substitution and weak
hand. This simple reduced form model is consistent with the observable sources of heterogeneity in consumer preferences for mitigation of environmental and other public bads that the weak substitution restriction can describe. 3 This example of course assumes that the individual or household does not derive utility directly from improved air quality but only through its impact on the severity of asthma symptoms experienced.
complementarity and the role a more general characterization of weak complementarity and weak substitution could play for non-market valuation.
II. Hicksian Equivalent Price Changes
Much of the literature describing alternative surplus measures, comparing policy instruments, and analyzing changes in multiple, interrelated, public goods is based on the early literature in the economics of rationing. It is somewhat surprising that until recently, the descriptions of the preference restrictions used to recover measures of tradeoffs people would make for changes in non-market goods did not also follow this same line of reasoning. Recently Smith and Banzhaf [2004, 2007] adapt the rationing literature to demonstrate why weak complementarity and the Willig [1978] condition are sufficient to specify a quality adjusted price index. The index defines the price adjustment equivalent to the Hicksian consumer surplus (i.e., the income adjustment) for a change in a non-market good or a quality attribute. We extend their framework to describe weak substitution in more detail.
To develop this idea graphically, consider first the Marshallian consumer surplus for a price change using indifference curves. With a decrease in the price of private good X from 0 P to 1 P , the area 0 1 TSRP P in panel A of figure 1 represents the change in Marshallian consumer surplus (MCS) using a conventional (linear) demand function. Equation (1) provides an algebraic description of 0 1 TSRP P for a linear demand function.
Rearranging terms, we have equation (2):
Panel B of figure 1 provides a representation of this relationship using indifference curves. Assume the interior budget constraint corresponds to P for X and the exterior to P . The
0 1
tangency at A corresponds to 1 X and at C to 0 X . The Marshallian consumer surplus associated with the price change for this case of indifference curves corresponding to linear demand is equal to (1/2)( AB CD + ). To see this, note that with the numeraire good, z, priced at unity and income equal to 0 m the following relationships hold:
Moreover, N m L m CD 0 0 − = and M m J m AB 0 0 − = . Substituting from equation (3) yields the relationship given in equation (4).
A similar logic illustrates how changes in a public good, denoted q, can be described using equivalent (in welfare terms) price changes. Consider first the case of weak complementarity (with X and q as weak complements) depicted in figure 2. Weak complementarity implies increases in q have no value to the consumer when there is zero consumption of X. Therefore in figure 2 the indifference curves for a given utility level, denoted V, with different levels of q, will intersect at the same point (R) on the vertical axis (i.e., where 0 = X ).
Begin at point A in figure 2 where quality is 0 q , the price of good X is 0 P , utility is V , and income is T m = . Now consider an improvement in quality from 0 q to 1 q . At this new level of q, the indifference curve in x-z space is lower everywhere but at point R; in figure 2 it appears to fan inward. Quality improvements imply an inward fanning because the amounts of the weak complement (X) and the numeraire (z) required to maintain the same level of utility, V, decrease as q increases. The WTP for this quality change, holding both utility and price constant is given by:
The quality change and reduction in income by * WTP is equivalent to a parallel shift in the budget constraint from TN to SO (dashed line) in figure 2. The new point of tangency is at A′ , where quality is 1 q , the price of good X is 0 P , utility is V , and income is * WTP T S − = .
Now consider the definition of a price change for X equivalent to the quality change in q. Instead of reducing the individual's income by * WTP , increase the price of X sufficiently to return the individual to her original utility level, V, given the quality improvement. Let the new budget constraint be TP and the new point of tangency be C. The pivot from TN to TP represents this price change from 0 P to 0 1 P P > . The price change is defined so that individual is indifferent between getting the improvement at the original price along with the reduction in income given in equation (5) (point A′ ), or getting the improvement and an increase in price but without the subsequent income reduction (point C). Because the price change is constructed to exactly offset the quality change and hold utility constant, we label it as the Hicksian equivalent price change for the quality change. In other words, points A and C would fall along the same Hicksian demand curve for X, constructed for the utility level V.
The income adjustment and the price adjustment are equivalent in the sense that they bring the consumer to the same indifference curve. An alternative way to define equivalence
4 The Hicksian consumer surplus measure associated with the quality change is given by the difference in the Hicksian surplus for the market good at the two quality levels:
where ( ) ⋅ C P represents the choke price. Integration yields ( ) ( ) ( ) ( ) ( ) ( ) [ ] V q P e V q q P e V q P e V q q P e C C , , , , , , , , 0 0 0 0 1 0 1 1 − − − . By the definition of weak complementarity, the first and third terms cancel and we have the expression given in equation (5).
would be the price adjustment that would "un-do" the income adjustment. To construct such a price decrease, we first decrease income by * WTP (from TN to SO). The pivot from SO to SJ represents the price decrease that is equivalent in the sense that it brings us back to the starting indifference curve. This adjustment is equivalent to the pivot from TN to TP only if the socalled Willig condition is satisfied (Willig [1978].).
Bullock and Minot [2006] have demonstrated that the Willig condition is not needed to recover the Hicksian consumer surplus for a quality change. They extend Vartia's [1983] numerical solution to include two additional equations and use numerical integration to measure the Hicksian surplus for non-market goods. The first of these equations is the difference in the two integrals that defines the Hicksian surplus for a change in quality (or a non-market good) with weak complementarity (i.e., equation (8) in Bullock and Minot and given in our footnote #3). The second uses the envelope condition to define the relationship between Marshallian and Hicksian demand under weak complementarity. Solving them simultaneously completes the logic needed for their proposal. One could also solve numerically for the Hicksian equivalent price by recognizing that the value of the quantity change defined in terms of the change in the Hicksian price adjustment has to equal the value defined in terms of the price change. We consider how this same logic can be applied in the case of weak substitution in section IV. In the next section, we describe some examples of weak substitution.
III. Weak Substitution – Introduction and Examples
In contrast to weak complementarity, weak substitution assumes the existence of a level of consumption for the private good (the weak substitute) above which improvements in the nonmarket good have no value. When consumption of the weak substitute is below this threshold, denoted a X , quality improvements are valuable. Equivalently, using the links implied by the economic descriptions of demand in the presence of quantity restrictions, quality improvements are valuable when the price of the weak substitute exceeds the price that induces the threshold consumption level, a X . Let P a denote the price that implies the threshold consumption level: 5
Then weak substitution is defined in equation (7):
Figure 3 illustrates the fanning indifference curves associated with weak substitution. As in Smith and Banzhaf's [2004] proposal for illustrating weak complementarity, we define indifference curves for varying levels of q but the same utility level. The inward fanning represents the effects of quality improvements. The shape of the indifference curve to the right of Xa will vary with each application. As drawn, the indifference curve continues to slope downward for levels of the weak substitute above a X representing the case where X—but not q—continues to have value beyond the threshold consumption level. In any case, to the right of a X , changes in q do not shift the indifference curve in x-z space.
Feenberg and Mills' original example illustrating the concept of WS focused on education. They assumed that private education is preferred to public education provided the price of private school is sufficiently low. In this case (and for their story) improvements in the
5 Pa is a function defined by the specified level of Xa and the prices of other goods and income. We illustrate how this relationship influences the direction of the Hicksian surplus below.
quality of public education have no value to the parent who sends her children to private schools. 6
Examples of weak substitution usually involve cases where the private good serving as a weak substitute for some non-market service mitigates low levels of the non-market service or an undesirable outcome 7 . If we consider cases in which consumption of the private good and provision of non-market services are not contemporaneous, we can introduce other potential examples. In what follows we describe three situations where weak substitution offers a basis for explaining the link between the private goods and non-market services.
A. "Concierge" Private Protection
The private fire protection offered to high-end property owners in Malibu, Beverly Hills, Newport Beach and Menlo Park as well as in a dozen Colorado resort communities by AIG's Wildfire Protection Unit is an example of a weak substitute for public fire protection. According to news accounts, the service, involving private firefighters, was effective in saving a number of homes in areas of Orange and San Diego Counties in California that were hardest hit by wildfires. A Los Angeles Times story on the fire protection services indicate that the AIG Private Client Group Insurance began in 2000 and has grown to nearly 1 billion dollars in gross
6 Actually, Feenberg and Mills did not specifically discuss the quality of public education, but this interpretation is consistent with the overall logic of their discussion.
7 Bockstael and Mc Connell's [2007] new book on revealed preference approaches to non-market valuation uses weak substitution to introduce a discussion of how mitigating expenditures can provide an upper bound for the willingness to pay for improvements in environmental services. They are skeptical of finding plausible examples where weak substitution can be useful. For example they suggest:
"..cases in which such a threshold (as implied by weak substitution) makes sense are not easily identified. It might seem reasonable to assume that at r=0 (the price of the weak substitute in their notation) the condition would hold automatically, because at that point as much x (the weak substitute) as is needed can be acquired costlessly. And as long as increases in x can completely mitigate any changes in q (the non-market resource), then at r=0, changes in q would not matter. However at r=0 the household may more than mitigate the decline in q" (pp. 256257). (parenthetical comments added). This comment misses the point. The weak substitute is not a perfect substitute for q with sufficient consumption of x. Rather it eliminates the need to consider q. The individual can choose to consume higher levels of x so long as there is a price where further changes in q no longer matter.
premiums. 8 The firm also offers a similar service for hurricanes which involves dispatching predisaster consultants to assess shutter protection, property storage, and landscaping. Restoration teams help with restoration and repairs after storms. This first example illustrates how heterogeneity in preferences and abilities to pay are likely to imply differences in the virtual price thresholds for a weak substitute for different income groups.
B. Health Production
Most discussions of mitigation rely on some specified health production function and use the relationship between measures of environmental quality and purchased inputs to derive measures of the willingness to pay for improvements in quality (see Freeman [2003 ] for an overview and Agee and Crocker [1996] as an example). Epidemiological research suggests high concentrations of ground level ozone can affect the frequency and severity of asthma attacks if asthmatic children are outside during these episodes (see Friedman et. al. [2001]). Under these conditions the services of a high-quality day care (or the time of one household member) supervising young children during periods of high ozone similarly could be treated as a weak substitute. To implement the model empirically, one would require a detailed record of the time profile of ozone conditions and an especially extensive record of how households with young asthmatic children respond by allocating their time or resources to assure their children avoid these exposures. 9
C. Disasters and Self Protection
Durable and non-durable goods can play a mitigating role in the presence of natural and man-made disasters. Some households maintain inventories of food, water and medicines to
8 See Yoshimo [2007].
9 With the collaboration of Carol Mansfield of RTI International, we investigated the feasibility of using a panel data set she had collected on ozone and children's time outdoors. However, the data included insufficient detail on prices (actual and virtual), expenditures incurred, and time use records to allow a test of this proposed example of weak substitution..
respond to short-term disasters. Others have private wells, electric generators, wood burning stoves, etc. in part to respond to short term outages in public sources for water or power. 10 Purchases of auxiliary power or water supplies may, in some situations, be treated as weak substitutes for services to respond to disruptions in public systems. In other words, if the price of household, point-of-use water treatment were low enough (including any shadow costs associated with non-price rationing), then some public water treatment services would not be missed. 11 Likewise if the price of a generator (at the extensive margin) and /or the price of fuel (at the intensive margin) were low enough, then electricity would not be missed during a power failure.
Each of these examples offers an opportunity to observe the tradeoffs a specific group of households would be willing to make for a change (or to avoid a change) in one or more nonmarket goods. Private expenditures (or insurance payments) are generally not available with sufficient spatial resolution to undertake a test without significant data collection. However, often analysts do not consider looking for the required supplementary data when there is not a clear theoretical basis to describe how the data would be used to estimate these incremental values. In the next section we develop the weak substitution argument graphically and illustrate how Larson's [1991] early example using weak complementarity can be adapted for application to weak substitution.
IV. Weak Substitution: Graphical and Algebraic Analysis
A. Describing Weak Substitution with Graphs
10 Often these decisions serve multiple objectives. As a result, it is not possible to associate the tradeoffs they imply exclusively with a specific non-market good (or bad) as a substitute. However, this jointness in objectives is not always present and we raise them here as an opportunity for future research.
11 In the north eastern corner of Maricopa County in Arizona, public water supplies are becoming more uncertain for private homeowners. Wells are also unreliable sources for water with persistent droughts. As a result a number of the homeowners have installed large private water tanks to ensure a reliable water supply independent of the decisions of water providers for the general public.
Figure 4 uses the Smith-Banzhaf format to describe how quality change can be translated into a Hicksian price change for the case of weak substitution. The two panels in figure 4 illustrate two roles for the relative prices of X and z. In panel A the budget constraint pivots at a X . As drawn, an individual who consumes the threshold level of the weak substitute, a X , is unable to consume z (e.g., ( ) income = ⋅ a a X X P ). Panel B places the X intercept to the right of the threshold. 12
In both panels, the pivot in the budget constraint from the outer budget line, tangent to ( ) 0 q V at A, to the inner constraint and corresponding tangency at C, defines a change in the relative price of z. The budget constraint tangent at A depicts the lower price for the numeraire good z, denoted ( ) 0 q P z . The inner budget constraint, tangent at C, relates to the higher price, ( ) 1 q P z . By construction, points A and C will lie along the same Hicksian demand curve. In this case, the weighted average of AB and CD (measured along the X-axis) corresponds to the Hicksian surplus for the price (and quality) change as detailed in equations (8a) through (8c).
When Pa is normalized to unity, this relationship is comparable to our earlier description of the Hicksian willingness to pay for a quality change with weak complementarity. However, with weak substitution the most direct graphical approach to illustrate the connection to Hicksian
12 Alternatively, one could consider a third figure where the X intercept was placed to the left of the threshold consumption level. As we illustrate below each characterization implies a different set of Marshallian demands for z that provide the basis for recovering measures of the economic value of changes in q.
equivalent prices uses the price of our numeraire. This is because weak substitution implies a discontinuity in the demand for z at the threshold level of consumption of the weak substitute. We can introduce a third indifference curve (labeled ( ) 1 q V in panel A of figure 4), corresponding to a quality level of 1 q and a higher utility level, to define the Marshallian measure of the quality change (or price change in z) as ( ) EF CD P a + ⋅ ⋅ 2 1 .
It may seem surprising that the best price to use for changes in q, when q and X are linked as weak substitutes, is the price of z (the numeraire good in our graph). However, closer inspection of the figure reveals that z, in fact, serves as a weak complement to q. That is, if we pivot panel A in figure 4 and place X on the vertical axis with z on the horizontal, then the level of z corresponding to Xa (labeled a z in the figure) defines what Smith and Banzhaf [2004] characterize as weak complementarity "at a point." Thus, following the same logic as with weak complementarity, this interpretation provides an alternative explanation for why z P serves as a price index for the amenity change. To put it in other terms, in the two good case, a level of X (coupled with a given income) defines a level of z. Weak substitution identifies the level of X, Xa, above which q has no value thus implicitly defining a level of z, z a a a P X P m z − = , below which q has no value.
This suggests a dual interpretation of the WC and WS preference restrictions, which is straightforward once we realize that the properties of the indirect utility function allow another interpretation of the restrictions. ( ) ⋅ V is homogenous of degree zero in prices and income. This property implies, for our two good example, that an adjustment to the price of X is equivalent to an adjustment to the price of z plus an income adjustment. 13 To illustrate how this parallel relates to applications, consider a case where weak complementarity is frequently used—a discrete choice over communities. 14 Suppose in a two community world, a household is indifferent among different levels of air quality in all communities except the community in which the household resides. That is, for any given price of housing in Community 2, the household is indifferent to air quality in Community 1 unless the price in Community 1 is low enough. In this case, we can say that housing in Community 1 is a weak complement to air quality in Community 1. Alternatively, we could say that for any given price of housing in Community 1, the household is indifferent to air quality in Community 1 unless the real price in Community 2 is high enough. This example illustrates the mathematical connection, but the similarity of the two goods disguises the fact that the interpretation can be quite different. In practical applications, it will not always be possible to model z as a weak complement to q; the weak substitution relationship with a private good X may be more intuitive and more empirically tractable.
Figure 5 illustrates the discrete change implied by WS as a discontinuous jump in the Hicksian demands for z, labeled here as ( ) ⋅ z D for utility at V, that occurs at a z . With two market goods, quantities of z below a z are equivalent to quantities of X above a X , a region in which changes in q have no value. Hence, the Hicksian demand for z, at a constant level of utility, does not change over this range with changes in q. Weak substitution provides the information that allows the value of the quality change from q0 to q1 to be expressed in terms of the change in the area under this demand in a way that is comparable to weak complementarity.
13 Our formulation actually parallels Friedman's [1949] interpretation of the Marshallian demand curve, in which money incomes are constant but the prices of all other goods are adjusted to maintain utility levels.
14 We could have equivalently used the example of modeling the choice between different recreation sites.
In this case, weak substitution allows the analyst to define ( ) 1 q P z and ( ) 0 q P z and it also assures that equation (9) reduces to (10).
where c z P denotes the choke price for z . When q = q 1 , the demand corresponds to the higher segment, BC, and for q = q0 the lower segment AD represents demand. The integral of ( ) ⋅ z D from ( ) 0 q P z to c z P exactly offsets the integral from ( ) 1 q P z to c z P implying the terms for this segment cancel and we are left with the two terms in (10).
B. Describing Weak Substitution with an Algebraic Example
In addition to the graphical interpretation in the last section, we can also illustrate how weak substitution works algebraically using the virtual price for the weak substitute. To do so we simply adapt the analysis Larson [1991] outlined for the case of a weak complement with a linear Marshallian demand. 15 Assume equation (11) describes the Marshallian demand for X, the weak substitute for q.
where P denotes the price of the weak substitute. α, β, γ, and δ are parameters in the demand function. Using Hausman's [1981] logic we can apply Roy's identity and integrate back to obtain the quasi-expenditure function as in equation (12), with ( ) V q b , the constant of integration.
15 There is nothing that precludes more general cases or an analogue to the Bullock-Minot numerical approach for computing the Hicksian surplus.
This model is well defined for 0 < PP e and 0 ≥ X . Larson uses weak complementarity, together with the boundary conditions to derive an expression for ( ) V q b , . We follow his logic for the case of weak substitution with one change to simplify the algebra: we substitute ( ) ( ) ( ) V q a V q b , exp , = . Simply repeating the steps to derive the Hicksian demand from equation (12), we have equation (13) as the demand function and (14) as a P , the price that induces the consumer to acquire a X .
( ) ⋅⋅ ∂
Substituting equation (14) into (12) and using weak substitution ( 0 ,, = ∂q P e a ), we have a closed form expression for the constant of integration identified in equation (12). More specifically, ( ) a P e is given in equation (15) and ( ) q P e a ∂ ⋅⋅ ∂ ,, in (16)
Solving (16) and integrating we have in (17)
where ( ) 0 V c denotes the constant of integration and V 0 indicates we use the initial or baseline conditions to define it. Substituting (17) into equation (12) we have the expenditure function that incorporates weak substitution for X at a X .
This expression can be used to measure the Hicksian surplus for changes in q provided the condition defining q holds only for a X X < . This threshold is essential because the analysis is based on the assumption that improvements in q have no value to an individual when his consumption of X exceeds a X . As a result, equation (18) defines a conditional quasiexpenditure function that is relevant only for a P P > and a X X < .
V. Summary and Extensions
The short answer to the rhetorical question in our title is a resounding "yes". Indeed, it would seem that weak substitution offers the potential for direct application in the analysis of a wide range of private mitigating activities, especially those currently undertaken primarily by high income households. A graphical interpretation of the restriction illustrates how to define and measure the Hicksian price equivalent of amenity changes under weak substitution. In addition to providing this graphical analysis, we offer some potential explanations that would motivate the use of weak substitution in applications. Both mitigation and a more general conception of the implications of different aggregation strategies for amenity services consumed over time provide prospects for applications involving weak substitution between an amenity service and one (or a composite of) private good(s).
Weak complementarity and weak substitution are preference restrictions that imply changes in substitution effects at specific threshold levels of consumption of the related private goods. Once we acknowledge the prospect for discrete changes in pure Hicksian substitution effects, there is no reason to stop with the assumption that the changes only take place once or at "corners". Instead, the possibilities are constrained only by analysts' ability to envision applications displaying the changes that are implicitly hypothesized by WC or WS.
Thus, in principle, we could have a set of discrete changes in a WC or WS relationship, provided there was a discrete set of choice alternatives available, as in our two-community choice example above. Suppose for the case of weak substitution that the threshold where the private good ceases to serve as a substitute for non-market quality changes with the level of the non-market good or even with the levels of other goods consumed. The concierge fire protection could be differentiated based on size, location or other characteristics of the structure being protected. Or, in the health context, at relatively low ambient lead exposure, a single course of chelation treatment may be sufficient to remove all the accumulated lead. After that single course of treatment, reductions in environmental lead would have no further value. At higher levels of ambient exposure, multiple courses of treatment may be required before exhausting the weak substitution relationship. Figure 6 illustrates such a case with the indifference curves associated with each level of q "spiraling" from a common envelop. 16 The relevant domain for each curve begins with its respective quality-defined threshold. It is easy to see that even in this
16 Figure 6 is constructed using the following preference specification:,
c Z U − = for X X > 2 1 ,
and
bq a X − = .
q both enters as a repackaging factor for Z and lowers the threshold X . Figure 6 has been constructed assuming a=10, b=1, and c=10 at q={1,2,3}.
case a pivoting of the budget constraint around its X-intercept – that is, an adjustment to the price of z – can also define a compensating adjustment for the quality change. Indeed, this would be true even if q only affected the threshold point and not the marginal rate of substitution conditional on the distance from the threshold point (i.e., when q does not repackage z). The reason for this result is that, in all of these cases, the marginal rates of substitution for each fan (or spiral), fixing X, are ordered by q. When weak complementarity and weak substitution are used to motivate orderings for the marginal rates of substitution between z and X with changes in q, they can be seen as illustrations of how insights from the use of montone comparative statics can be considered for revealed preference approaches to non-market valuation.
Heterogeneity in mitigation services for natural hazards or private services to supplement public services that reduce the risks of harm due to these hazards would be consistent with these structures. They are also potentially useful in offering a specific structural restriction for alternative plans presented in a conjoint survey framework. In this context, they are usually designed to measure the economic tradeoffs people would be willing to make for different aspects of non-market services. The stated choice analysis usually formulates a set of policies that are intended to serve as substitutes for losses in environmental services or as mechanisms for restoring or enhancing non-market services. When the questions involve substitutes for nonmarket services then the different levels of attributes can capture how features of a plan affect the price threshold for the weak substitute.
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Friedman, M.S., K.E. Powell, L. Hutwagner, L.M. Graham, and W.G. Teague, 2001, "Impact of Changes in Transportation and Commuting Behaviors During the 1996 Summer Olympic Games in Atlanta on Air Quality and Childhood Asthma," Journal of the American Medical Association, 285(7): 897-905.
Hausman, Jerry A. 1981, "Exact Consumer Surplus and Deadweight Loss" American Economic Review, Vol.71 (September):662-676.
Larson, Douglas M., 1991, "Recovering Weakly Complementary Preferences," Journal of Environmental Economics and Management, 21 (September): 97-108.
Mäler, Karl G., 1974, Environmental Economics: A Theoretical Inquiry (Baltimore: John Hopkins University Press for Resources for the Future).
Seig, Holger, V. Kerry Smith, H. Spencer Banzhaf and Randy Walsh, 2004, "Estimating the General Equilibrium Benefits of Large Changes in Spatially Delineated Public Goods," International Economic Review, Vol 45 (November): 1047-1077.
Smith, V. Kerry and H. Spencer Banzhaf, 2004, "A Diagrammatic Exposition of Weak Complementarity and the Willig Condition," American Journal of Agricultural Economics 86 (May): 455-466.
Smith, V. Kerry and H. Spencer Banzhaf, 2007 "Quality Adjusted Price Indexes and the Willig Condition, Economic Letters (94): 43-48.
Stevens, Joe B., 1966, "Recreation Benefits from Water Pollution Control", Water Resources Research, Vol. 2: 167-182.
Vartia, Y.O. 1983, "Efficient Methods of Measuring Welfare Change and Compensated Income in Terms of Ordinary Demand Function," Econometrica, Vol. 51 (January): 79-98.
Von Haefen, Roger H., 2007, "Empirical Strategies for Incorporating Weak Complementarity into Consumer Demand Models," Journal of Environmental Economics and Management, Vol. 54 (July): 15-31.
Willig, Robert D., 1976, "Consumer's Surplus without Apology," American Economic Review 66 (4): 589-597.
Willig, Robert D., 1978, "Incremental Consumer's Surplus and Hedonic Price Adjustment," Journal of Economic Theory 17 (February): 227-53.
Yoshimo, Kim, 2007, "Another Way the Rich are Different: Concierge-level Fire Protection" Los Angeles Times, October 26.
a
Figure 5. Hicksian demand for z with q and X weak substitutes
)
|
EKTA EKTA PARISHAD PARISHAD PARISHAD
In this
In this
In this In this
Issue...
Issue...
Issue... Issue...
INDIA
Special Bihar
English class for the activists of Ekta Parishad
A Citizens' Commission for Dialogue, Justice and Reconciliation
Music Festival in Madurai
INTERNATIONAL
International Conference towards a non violent economy
Maja Koene Award 2009
Switzerland: India Forum
AND ALSO
Planning of Rajagopal
Bhopal: 25 years after...
Jan Satyagraha News
DECEMBER 2009
Happy New Year!
Dear All,
Jai Jagat!
We are entering into a new year. On this occasion, I would like to thank everyone for all the work that has been done. I want to thank every activist in India who is working very hard every day, every partner dispersed all over the world who is supporting the cause of the landless people and every person who has come to visit and support us in the field.
In a world where there are so many inequalities and injustices, we need a strong solidarity between North and South. We need to act all together to have a chance to change this world into one where we can concretely observe "the well being of the last for the well being of all".
Many people have no chance to celebrate this New Year because for them there is no "new". They are struggling every day and they do not see any changes. But, they have the right to celebrate a new year, at least a hope for a new day. It is our responsibility.
Many years have been lost as well as many opportunities. With the support of everyone, in India, in Europe, in the Americas, in Africa and in Asia, 2010 will be a year marked by positive changes and not a one more lost year.
In the name of Ekta Parishad, I wish you a very Happy New Year 2010!
Maja Koene Award 2009
celebrated in Madurai
The Maja Koene Award honors social activists
and journalists
who have done a very impor-
tant work in the field of awareness building in
order to remove injustice and poverty. This peace award is conferred on people working for the
promotion of the agenda of peace and nonvio- lence in any part of the world. It has been jointly
instituted by CESCI India and CESCI foundation
Switzerland. Maja Koene was a well known photo journalist and this award is given in her memory.
The award ceremony for the year 2009 was held at CESCI, in Madurai, on the 24th of November.
The chief guest of this function was Mr. S.V. Prab- hat .I.A.S., Chairperson of the NCRI in Hyderabad
and the annual lecture has been delivered by Ms.
Margrit Hugentobler from Switzerland. This year the awardees were: Mr. Ajay Pande, social activ-
ist from Uttar Pradesh; Ms. Surjo, social activist from Chhattisgarh; Dr. Chunkath Thomas, jour-
nalist from Kerala; Mr. Vijay Vidhyarti, also jour- nalist Uttar Pradesh and Mr. T. Thayaparan,
peace activist from Sri Lanka.
Elodie Kergresse
Event : International Conference Towards a Non Violent
From the 30
th of January to the 3
rd of February 2010, will be held in Bhopal, the first edition of a cycle of International meetings, co-
organized by Gandhi International, Ekta Parishad and the South Asia Peace Alliance.
Outline of the ins and outs of the event:
Why did we choose to explore this topic? Poverty has always been the most ordinary condition on all continents. However, the capacity of the human being for solidarity and autonomy has enabled them to overcome poverty with vivacity, singing, music and a true culture of the beautiful. Modern society, and particularly the present neo-liberal economy, has transformed this dignified state of poverty/subsistence into an obses- sion. By labeling autonomous peoples as “poor”, this society has en- closed them in a lawless enclave and has deprived them from their means of subsistence, autonomy and therefore solidarity. In this way, as several authors1 have demonstrated, ordinary poverty has been driven out by destitution. So, it is urgent to imagine other answers to the exclusion the loss of dignity than the ones proposed by the state organizations and the mul- tinational groups. Why speak about a “non-violent” economy? We do not want to limit the reflection to an analysis of the Gandhian thought. Nevertheless, Gandhi formulated general principles, once free from the contextual cover of the pre-independent India, that seem to us pertinent and timeless. Gandhi was not an economist, but his economic vision is enriched by an understanding of the dynamics behind economic processes and of human and social realities. Of par- ticular interest are the creative alternatives he proposes. For the father of Indian independence, the beginning and end of eco- nomic development is not material wealth, but human dignity. Three important principles guide his thoughts about this topic : • Economic independence (« swaraj »), whose basis is the satis- faction of needs, and not the abundance created by mass pro- duction: “The earth produces enough for every man’s need, but not for every man’s greed.” • Local self-sufficiency ( “swadeshi” ), small scale domestic produc- tion which respects life (animals in particular) and the environ- ment • Trusteeship (economics as a means to ethical and spiritual good) The words “non-violent economy” reflects for us the idea that the cur- rent process – the human being in the service of the economic phe- nomenon, the violent economy that exploits and kills – is not a fatality and can be inverted to become “non-violent” – the economy in the service of the human being to bring him greater welfare and ways of autonomy and independence. The economy is closely linked with the dignity and freedom. Very often it is the first condition. To recover economic independence is like recovering dignity. Without being subjected to external factors and pressures for his daily subsis- tence, the human being recovers his/her liberty of action, choice, ex- pression and politic. So, the Conference will not dissociate these two fundamental questions: ⇒ Is a non-violent economy possible? What are its foundations, principles, modalities, examples? ⇒ What can be done to empower the powerless and how can they get back their essential rights and dignity as democratic rights? The event: sequence and methodology Everywhere on the earth, groups or individuals are experiencing in their daily life kinds of economic and social organization respecting the individual and the community. he reflection process adopted for this Conference will be to revisit the hree founding principles of Gandhian economic thought in the light of the 21 st century, relying on a large range of successful experimenta- tions coming from the whole world. n outline of different very concrete practices will be proposed and presented by the men/women/organizations who implemented them. Some examples: • To prioritize organic and food-producing agriculture as a basis of a viable economy and society (with emphasis on food, health, land maintenance and man’s relationship to nature) (Presentation by José Bové, European deputy - France / to be confirmed) • To ensure self-sufficiency of every village, region and country in meeting basic needs (Presentation by Dr. A.T. Ariyaratne, President Founder of the Sarvodaya Shramadana movement - Sri-Lanka) • To reverse rural exodus, eliminate slums and marginalized neighbor- hoods, encourage the return to rural areas where labor will be needed (Jean-Pierre Dardaud, President of Frères des Hommes - France) • To anticipate and confront diminishing petroleum resources and develop renewable energy (Vinita Gopal, Greenpeace Climate and Energy Campaigner – India / to be confirmed) • To put machines in the service of the human being so that the hu- man being does not become aslave to machines, to avoid mass pro- duction and promote production by the masses (Rajagopal P.V., Ekta Parishad - India) • To cap wealth and denounce greed and speculation through educa- tion and law, to reduce disparities of revenue (Ana Juanche, Coordi- nator of the SERPAJ - Uruguay) • To put finance in the service of the common good, notably the poor- est, and to favor alternative forms of savings and credit (Jacky Blanc, Director of La NEF , Cooperative of united finances – France) Relying on these concrete and feasible examples, the afternoons will e dedicated to workshops where economists and practitioners will dialogue, to broaden the practices and try to find and elaborate mod- els of application.
Participants
About forty Indian delegates, made up of activists, economists, from
P A G E 3
tention of a lot of people toward the major problems of the XXI cen- tury: access to the land, forests and drinking water, and the land accu-
Ekta Parishad or other organizations.
Confirmed attendees: Radha Bhatt (Gandhi Peace Foundation), Dr.
mulations by the multinational enterprises (regardless of the negative impact on population). These problems are affecting all the conti-
Roy, Prakash Amte, ...
will be also present :
ings cooperative)...
from the 14
land.
quate food".
Janadesh 2007,
English class for the ac- tivists of Ekta Parishad
of December to the of January 14 activists will fol-
low a course of improvement in
English, at Tilda, Chhattisgarh. It is organized by Maureen from Ac-
tion Village India, a British organi- zation, a partner of Ekta Parishad.
The objective of this formation is to improve the English level of the
participants in order to facilitate their exchanges at national and
Bihar Bihar Bihar Bihar Bihar Bihar Bihar Bihar Bihar Bihar Bihar Bihar Bihar Bihar Bihar Bihar Bihar Bihar Bihar Bihar Bihar Bihar Bihar
Bihar: The struggle for the rehabilitation of the
P A G E 4
flood-affected people continues victims
missioner Office in Saharna.
here".
international
An Inter Agency
Group Consulta- tion on Recovery
Rehabilita- tion in the Kosi
Region was or- by
of December, to the
Bihar Bihar Bihar Bihar Bihar Bihar Bihar Bihar Bihar Bihar Bihar Bihar Bihar Bihar Bihar Bihar Bihar Bihar Bihar Bihar Bihar Bihar Biha
P A G E 5
Preventing climate change
On the past 15
th of December, Ekta
increasing.
human life.
and terror.
Workshop for 30 teenagers in Patna
On the past 16
th
, 17
th and 18
th of December, 30 girls
Elodie Kergresse or
between 12 and 14 years old from villages of the
Patna district attended a workshop organized by
PGVS-Ekta Parishad and financed by Action Aid
about reproductive health and domestic violence.
Over 3 days, these girls from poor families were
gathered in the guest house of PGVS, sharing not
only the classes but also the meals and the bed-
rooms.
Some of them never got the chance to go to school and most of them
will not continue the studies. In the rural area of Bihar, the economic
situation is very difficult. In many villages, people are currently suffer-
ing from hunger because of the drought. In those conditions, the chil-
dren and especially the girls are not encouraged to go to school but to
stay at home to assume domestic work meanwhile the other members
of the family go to work outside.
Parishad Bihar organized a Convention on
Climate Change and Food Security in Mu-
jaffarpur. This event, that took place at the
same time that the International Confer-
ence of Copenhagen, gathered more than
40 representatives of different organiza-
tions based in Bihar.
In that State, as in nearly all India, the cli-
mate changes are more and more visible years after years.
The monsoon is arriving later and later. In some regions,
more and more heavy rains are observed during the dry sea-
son; meanwhile in others there are serious droughts. These
climate changes shatter the agricultural system. Many crops
are lost, the livelihood of people is threatened and natural
disasters happen more and more often as we observed in
August 2008 with the flood of the Kosi River. Nowadays, we
talk about climate refugees to characterize the displacement
of people due to the climate changes, and their number is
During this conference, the participants discussed the situa-
tion in the State of Bihar. The objective was to identify the
bad consequences of the climate changes: what kind of
problems is the population is facing because of this phe-
nomenon? Together, the different organizations worked on
possible issues of the identified problems. A report of this
convention has been submitted to the Prime Minister. India,
as a large nation, will play a decisive role in the climate
changes issues. It is high time for all the local organizations
to begin to work together on these issues which affect all the
Event Bihar – January 2010
Under the aegis of the Violence-Free India Campaign and in order to
promote a Culture of Peace and citizens’ groups against violence,
efforts are underway to work out tangible action programs to fight
violence, hatred and intolerance and promote harmony and peace in
society. Now, the proposition is to initiate a series of discussions and
interactions with leaders, activists, opinion makers, thinkers, artists,
writers, academics and others to evolve and undertake a broad
framework of an acceptable and achievable program of actions. The
idea is to promote nonviolent methods of dialogue and reconcilia-
tion for justice, development and security between the govern-
ment’s institutions and the groups involved in extremism, violence
The first meeting has been held at Delhi on the past 6
th
of August
where over 30 prominent representatives from various service and
social organizations representing civil society were present. The
meeting analyzed the present explosive situation prevailing in the
country due to an escalation of the extremist violence including
Maoist-Naxal violence. It looked at the growing confrontationist
trends leading to all-round tension, unrest, increasing alienation,
and visible frustration and disappointment among large sections of
Indian population, particularly among the dalits and tribals.
The participants observed that the citizens are caught in the cross-
ire and that the civil society remains a mute and helpless spectator.
hey also affirmed that the Government alone will not be able to
olve the problems of unrest and violence in the country and that
the citizens and the civil society have to play a more active and crea-
tive role to stop the drift.
At the end of this meeting and under an initiative made by N. Rad-
hakrishnan, a “Citizens’ Commission for Dialogue, Justice and Recon-
iliation” was set up. This Commission, headed by Dr. S.N. Subba
Rao is responsible for undertaking an action plan. One of its main
bjectives is to initiate a dialogue with the representatives of various
axal and other groups engaged in violent activities. As a first step, a
fact- inding team, led by Sri P.V. Rajagopal has been constituted to
visit some of the Naxal- ffected States like Chhattisgarh, Orissa and
Jharkahand in order to make a realistic assessment of the actual
situation. A Sub-Committee of seven members (Prof. N. Radhakrish-
an, Dr. Anoop Swarup, Sri P.V. Rajagopal, Sri Laxmi Das, Dr. Vinod
yagi, Sri Babulal Sharma and Sri Vasudevan) is currently working
ut the strategies and initial steps to be contemplated to make the
initiative genuinely national and broad-based.
For
further
information:
email@example.com
firstname.lastname@example.org
A Citizens’ Commission for Dialogue, Justice and Reconciliation
Date
Place
Event
11
th
– 14
th
(to be confirmed)
Patna
State level convention with
the grassroots’ workers of
EP to plan the activities of
2010 in the context of Jan-
satyagraha 2012
January to March
(dates to be confir-
med)
Gaya, Patna, Mu-
jaffarpur, Saharsa
4 youth camps
Tamil Nadu: Music Festival
A large event like Jansatyagraha 2012 needs different kinds of
CESCI to help them. On the last day there was a public perform- support of organizations and people at national and international
to the 3
D
port for Jansatyagraha 2012.
The past 3
For further information:
sourceid=navclient&ie=UTF- nniversary
nce and also the launch of a CD of folk songs produced during
Elodie Kergresse
Phone: 07554223821 - 07552661800
email : email@example.com
« Well being of the last for the we
|
wellbeing by design
TREATMENT LIST
01727 868839 07715 410099
10 St Brelades Place n Jersey Farm St Albans n Herts n AL4 9RG 01727 868839 firstname.lastname@example.org www.purewellbeinguk.co.uk
WELCOME TO PURE
Pure is a well established salon situated in Jersey Farm on the outskirts of the historic city of St Albans. The salon caters for male as well as female clients and employs highly skilled and experienced, awardnominated therapists.
Pure has been designed with the complete client experience in mind – air-conditioning for the warmer months, heated blankets for the cooler months, electronic couches for comfort and safety, a comprehensive range of treatments and products that have been carefully researched and selected – all within excellent surroundings and a relaxed friendly atmosphere with refreshments offered while you spend your time with us. For the ultimate luxury, all of our facials are now being followed by a refreshing combination of fresh fruit, served with a cool drink to fully relax you after your treatment.
We feel sure you will want to come back time and again.
2
PURE CONTENTS
PURE INFORMATION
General:
n Gift vouchers – can be purchased for any value and are valid for one year, they make a wonderful gift for any occasion.
n Products at Pure – our current product range includes Guinot, Decleor, Jessica, Kissed By Mii (Jessica), St Tropez, Bio Sculpture, LVL, and Lash Perfect.
n Missed appointments – clients who fail to show for their appointment will be charged the full treatment cost.
n Booking online – new customers can register online and existing customers can enquire about password at reception. Please note the online booking system is only available during our opening times.
n Card payments – please note that we no longer take card payments under £15.
When you book your appointment:
n Booking & cancellation policy – to secure your appointment a credit card will be required at the time of booking. We require 24 hours notice to cancel or re-schedule an appointment, otherwise we reserve the right to charge a 50% treatment fee.
n Courses – once a course of treatments has been purchased, no refund will be entered into and treatments cannot be transferred to another client. All courses must be completed within 12 months of purchase.
n Massage treatments – if you are arriving after a busy day and would like to take a shower prior to your treatment please advise us at the time of booking.
n Manicures/Pedicures – we suggest that manicures are paid for prior to the treatment and that car keys, etc are removed from pockets or handbags to avoid spoiling wet varnish. For pedicures, please wear open-toed footwear.
n Pregnancy and medication – please advise your therapist prior to your treatment if you are either pregnant, on medication or undergoing medical treatment.
When you arrive:
n Late arrivals – please note that if you are late for an appointment the treatment time will be reduced proportionately with no adjustment to price. We suggest that you try to arrive 5 minutes before your appointment.
n Mobile phones – please turn off or switch to silent mode so that we do not disturb other clients during their relaxing treatments.
n Valuables – prior to certain treatments you may be asked to remove items of jewellery. Please ensure you retrieve all your valuables before leaving the premises as we cannot be held responsible for lost items.
n Smoking – we operate a strict no smoking policy throughout the premises.
n Children – for health and safety reasons we are not permitted to allow children into the treatment areas. We respectfully request, out of consideration to other clients, that children are not brought into the salon.
n Refreshments – you will be served complimentary refreshments during your visit to Pure but we request that food and beverages are not brought into the salon and consumed on the premises.
4
OAP & STUDENT DISCOUNT
15% off single treatments.
This can be used Mon – Thurs only and not in conjunction with other offers.
LOYALTY SCHEME
Loyalty points will be awarded for every treatment taken and can be redeemed as follows:
Terms & Conditions:
n One point will be awarded for every £1 spent on treatments.
n Points are not transferable nor can they be exchanged for any monetary value.
n Points may be redeemed against the treatments detailed above, Monday – Thursday.
n
Points cannot be redeemed during the months of July and December.
n We reserve the right to amend or withdraw this scheme at any time.
n Points cannot be used in conjunction with any other offer unless specified.
GUINOT FACIALS
Guinot is responsible for the internationally renowned Hydradermie, one of the most advanced treatments for deep cleansing, hydrating and revitalising the skin and it delivers outstanding results. As well as this machine-based facial, Guinot has a range of hands-on facial treatments. It can also be used to treat eyes, neck and back.
The Treatment that targets signs of ageing. The Age Summum Treatment is the alternative to plastic surgery for treating immediately signs of ageing. At the end of the treatment, the wrinkles and fines lines are diminished, the skin is firmer and radiant.
n
GUINOT HYDRADERMIE
2
AGE LOGIC FACIAL
1 HOUR 15 MINS £70
A facial with added specific treatments for the delicate eye and neck areas, including massage to the neck and arms.
n Course of 6
£330
n
LIFTOSOME ANTI-AGEING
1 HOUR
£55
Unique facial using a high concentration of Vitamin C and proteins to tone and strengthen the elastin fibres.
n Course of 3
£140
n
GUINOT BEAUTE NEUVE
1 HOUR
£50
A double peeling action leaves the complexion radiant and softer than you thought possible. Using fruit enzymes, amino acids and vitamins to gently exfoliate the skin, this facial leaves the complexion truly radiant. A course of three treatments over three consecutive weeks is recommended.
n Course of 3
£130
n GUINOT HYDRA SPECIALIST
n
Eye
35 MINS
Helps reduce shadows, puffiness and the appearance of fine lines.
n
Back
1 HOUR
Deep cleansing for the skin improving texture and blocked pores.
6
£45
£60
GUINOT HYDRADERMIE 2 LIFT
The sophisticated machine-based facial that boosts radiance, smoothes wrinkles and lifts the facial contour.
GUINOT COMBINATION FACIAL
This great combination treatment offers all the benefits of these fantastic facials with even better value for money.
n
GUINOT HYDRADERMIE
2
& AGE LOGIC LIFT (DELUXE) 1 HOUR 45 MINS £100
2nd course onwards.
n
Course of 6
n Course of 9
MAKE-UP
n
MAKEUP
Add £15 to cost of bridal makeup if you require a home visit on the day of your wedding (only available within a 3 mile radius of Pure).
n WEDDING DAY PREPARATION
We are delighted to offer a FREE pre-wedding consultation to all brides-to-be as well as the immediate wedding party. We are happy to arrange a bespoke treatment package in preparation for the wedding day including bridal makeup. See details on our website.
7
£500 £750
DECLEOR ANTI-AGEING FACIALS
Decleor facials provide perfect skin maintenance, using 100% natural products and essential oils. Facial treatments begin with a wonderful back massage.
n ANTI-AGEING
1 HOUR 15 MINS £57
n BIO RETINOL WRINKLE RESIST (AROMA EXPERT LIFT EXPRESSION) For immediately visible results, bio retinol ap2 combines powerful youthboosting ingredients to target lines and wrinkles. Lifts, plumps and firms for a luminous, younger- looking completion.
n COLLAGEN PLUMP AND LIFT (AROMA EXPERT LIFT EXPERIENCE) Energising but luxurious, recharges skin tissues while an indulgent, collagen-rich mask infuses the completion with skin- plumping nutrients. The skin's natural renewal process is kick- started for firmer, radiant skin.
n ADVANCED SCULP AND LIFT (AROMA EXPERT LIFT EXCELLENCE) Targets the seven signs of ageing to plump out lines and increase tone. Strengthening from within, skin becomes less sensitive and satin smooth, with a new freshness and luminosity.
DECLEOR FACIALS
n SPECIFIC AROMATIC FACIAL
1 HOUR 15 MINS £52
n MOISTURE QUENCH (HYDRA FORCE ESSENTIAL EXPERT FACIAL) This super- hydrating facial quenches the thirstiest skin. Includes a nutrientrich mask to intensively rehydrate for supple and cashmere soft skin.
n OXYGENATING PURE & MATT ( MATTE & PURE PURITY EXPERT FACIAL) For instant clarity on dull, devitalised skin, this antibacterial and matifying facial blitzes spots and shine. Includes an oxygenating power mask for a brighter and shine free complexion.
n DIVINE NUTRITION (DIVINE NUTRITION NOURISH EXPERT FACIAL)
By cocooning skin in deliciously nourishing Essential Oils and active nutrients – this facial comforts, renews and repairs. Ultra- nourishing to feed dull, dry, exposed skin, it transforms complexions to radiant and satin smooth.
n HARMONIE CALM (HARMONIE CALM INTENSE SOOTHE EXPERT FACIAL) Acting like a calming comfort blanket, this blissful treatment relieves stressed, angry skin. Power- packed with skin strengthening Essential Oils, leaves you with clear, soothed and resilient skin.
n WHITE RADIANCE (WHITE BRIGHT EXPERT RADIANCE FACIAL) This illuminating facial dramatically restores radiance. Using advanced Vitamin C technology, skin is left glowing and beautifully even.
8
DECLEOR BODY TREATMENTS
n AROMA BODY MASSAGE
1 HOUR
£60
Every bit of tension is eased from your body with this heavenly massage. The expert touch of your therapist's hands melt away stresses, ease tense and tired muscles and leaves your body with renewed energy.
Choose from Aroma Detox, Relax, Flow or Tonic.
n Course of 6
£300
n AROMA BODY SILK
Radiant, bright and petal soft - your skin will glisten with health and vitality after this natural exfoliation treatment. This is the ultimate skin enhancer.
n BODY EXPRESS
30 MINS
£40
Exfoliation & moisturiser.
n BODY EXPERT 1 HOUR Exfoliation, full body massage & body milk to moisturise your skin.
£60
n
DECLEOR PURIFYING BACK
30 MINS
£40
Cleanse, exfoliate, massage and use of purifying mask.
n Course of 6
£200
n DECLEOR PREGNANCY MASSAGE
1 HOUR
£60
A 1 hour treatment aimed at expectant mothers (from 2nd trimester onwards) which is designed to relax and rejuvenate tired and aching limbs.
n Course of 6
£300
n DECLEOR MOTHER-TO-BE PACKAGE
1 HOUR 30 MINS £90
A luxurious massage treatment incorporating back, leg & stomach, mask to stomach, prevention of stretch marks and mini facial. Designed to restore a feeling of lightness and comfort.
n DECLEOR PERFECT LEGS
40 MINS
£42
This is a perfect antidote for tired, aching legs, an instantly refreshing and invigorating treatment will put the bounce back in your step. Clients should be advised that this is a very cold treatment.
n
DECLEOR AROMA FOOT RELIEF
30 MINS
£25
Hot towels impregnated with essential oils relax the feet and lower legs before a stimulating warm massage balm is applied with a unique reflex point massage.
n
When taken with Facial or Massage treatment £10
MALE TREATMENTS
n
MULTI PULSED LIGHT TREATMENTS
10
PURE MASSAGE
Massage therapy improves circulation by bringing oxygen and other nutrients to body tissues. It relieves muscle tension and pain, increases flexibility and mobility, and helps clear lactic acid and other waste, which reduces pain and stiffness in muscles and joints.
DECLEOR MASSAGE Choose from Detox, Relax, Flow or Tonic (Decleor Balm)
Removes dead skin cells prior to massage, leaving your skin silky smooth.
SOFT SURGERY CLINIC
The following soft surgery treatments are carried out by external practitioners upon referral by pure.
n SOFT SURGERY CLINIC
Pure can refer clients to a registered practitioner for all dermal fillers and injectable treatments including:
n ANTI-WRINKLE TREATMENT
PRICE ON CONSULTATION
n FILLERS
n MINOR SURGERY (skin tags, bumps, lumps, moles) only for cosmetic reasons. Please note: Minor Surgery will be carried out at clinic in Hoddesdon.
GIFT VOUCHERS CANNOT BE REDEEMED AGAINST TREATMENTS FROM VISITING PRACTITIONERS OR PERMANENT MAKE-UP.
PERMANENT MAKE-UP
n PERMANENT MAKE-UP
FROM £350 including touch-up
Have you ever wanted to wake-up with a perfectly made up face? Over plucked when you were younger and eyebrows grow in patches now? Or wanted to go out on a night out without having smudged eyeliner? Lips aren't as defined as they used to be or fed up of eating your lipstick? If you have answered "yes" to any of the above then Permanent Make-Up is the perfect solution for you.
Permanent Make-Up is a form of tattooing but because the pigment is implanted in between the 5th layer of your Epidermis, over time (between 6months – 18 months, depending on the colour of the pigment) you will need a top-up or colour boost, just like your hair colour. We also use anaesthetic (cream/gel) to ensure your experience is as comfortable as possible.
For your initial treatment, you will need a "touch-up" after 4-6 weeks but after this, the next colour boost will be at 6months – 18 months (eyelash enhancement will last even longer).
If you are interested, why not book in for a consultation with one of our in house therapists for £20 only? This is redeemable if you decide to go ahead with the treatment.
*Correction procedures may require more touch-ups. Booking and cancellation policy - to secure your appointment a 20% deposit will be required at the time of booking. We require 24hrs notice to cancel or reschedule an appointment, otherwise we reserve the right to not refund the 20% deposit.
n Colour boost
FROM £175
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EAR PIERCING
n EAR PIERCING
15 MINS FROM £15
Performed with a gun, we have a selection of earrings from basic gold, titanium to birthstones. Price includes earring and aftercare.
Please note: we do not pierce cartilage (soft bone) on ear.
PURE BODY SHAPING
The ultimate detox! Visible inch loss and smoother skin are just two of the benefits of this body treatment.
n RADIO FREQUENCY
Dual Radio Frequency is the most popular emerging treatment on the market for skin lifting, tightening and smoothing out of fine lines and wrinkles. SkinFirst have been using this technology for over five years and the results have been astounding. Unlike other treatments radio frequency works on the natural collagen within the skin to educate and remodel to give a more youthful appearance. Results can last up to 2 years.
n FLABeLOS
Using vibrating plates, the FLABeLOS machine sends differing vibrations through the plates, into your body which stimulates the muscles causing you to contract them as your body instinctively tries to stabilise itself. The amplitude and speed changes cause more involuntary muscle contractions. Perfect for people who have limited mobility, new to an exercise programme, looking for rehab opportunities or even as a complement to a traditional work out programme, FLABeLOS is the way to maximise your benefits in a short amount of time. Burn 300 calories in 10 minutes! Including FREE trial.
n 3 month unlimited use membership
£120
n 6 month unlimited use membership (could mean the cost of 1 session is just £1.50!)
£180
NUTRITION
Nutritional therapy is about supporting our health through food and lifestyle advice as opposed to taking a pill for every ill. With the help of a qualified practitioner it can support a number of health concerns e.g. skin conditions, digestive health, weight loss, fussy eating children, stress, hormonal balancing, energy levels and many more!
If you are looking for a diet and lifestyle plan that is:
* Nutritious
* Personalised
* Researched
* Easy to follow
* And Practical
This plan is based around you, your daily routine, your likes and dislikes and your goals. Whatever you want to achieve whether its weight loss, more energy or better sleep Veronika can help!
After your initial consultation Veronika will create a personal plan for you within 2 days which will be tailored for your goals and needs, as there is not one diet/ lifestyle that fits all.
This service is suitable for all ages (but children under 16 must be accompanied by an adult).
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MANICURE
We suggest that manicures are paid for prior to the treatment and that car keys, etc are removed from pockets or handbags to avoid spoiling wet varnish. For pedicures, please wear open-toed footwear.
A wonderful addition to any Jessica manicure or it can be taken on its own. It leaves the skin feeling silky smooth, conditioned, moisturised and feeling firmer.
NAIL ENHANCEMENTS
If you would like low maintenance colour that protects & strengthens the natural nail, then coloured gel overlays are the natural choice. Colour overlays are perfect for feet too as gel won't chip or peel.
Gel overlays are a semi-permanent nail colour that is applied to your own nails. Gel extensions are designed to enhance the length of your nails.
We will do no more than 2 infills before removing your gels, this allows us to check nail health and ensures that your gel application does not build up.
n NAIL ENHANCEMENTS (BIO SCULPTURE)
n NAIL EXTENSIONS
n MAINTENANCE
It is recommended that you book an appointment 2-3 weeks following application to maintain the appearance of your enhancements after natural nail growth:
n REMOVAL & NEW SET OF OVERLAYS:
n JESSICA GEL NAILS
Jessica GELeration are an exciting, current soft gel system – looks like polish, thin – which is easy to soak off and will preserve the natural nail underneath. Amazing long lasting colour which lasts up to 2-3weeks without chipping.
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SWAROVSKI NAILS
Swarovski crystals hand applied individually by your therapist, fit for any special occasion or simply just to add a bit of glamorous bling to your life! A show stopper for sure!
PURE TANNING
A range of self tans ranging from your traditional hand applied tan, natural to dark to your more popular spray tans (both applied by your therapist) to ensure you are fully covered from head to toe in a gorgeous, glowing tan of your choice – either for a special occasion or holiday!
n
ST. TROPEZ EXPRESS TAN OR SPRAY TAN
30 MINS
£30
Non-streaky formula with green undertones to neutralise orange tones, leaving the tan a gorgeous natural brown. This develops from between 1 – 3 hours depending on what depth of colour you would like, so no more sleeping in brown sheets.
n
NEWKISSED BY MII (JESSICA) SPRAY TAN
30 MINS
£30
This is our new mineral tan, with no preservatives and leaves your skin feel silky smooth and hydrated with a gorgeous glowing colour.
n
GUINOT OR DECLEOR SELF-TAN
30 MINS
£38
This includes your own bottle of self tan to take home to top up your glowing tan as you wish, if you would like us to continue to apply the tan for you after purchase, only £20 will be charged per application.
n
PRE-TAN EXFOLIATION
15 MINS
£15
Ideal if you prefer a professional exfoliation. Ensures a longer lasting tan.
18
THREADING
A traditional hair removal technique using pure cotton or silk, the thread catches the hairs, pulling them out without tugging on the skin. Even suitable for sensitive skins!
PURE EYES
n EYES
A patch test is required 24 hours prior to tinting treatments.
n
EYELASH EXTENSIONS
20
PURE MPL
Using a combination of MPL® (an advanced form of IPL) and Radio Frequency, the latest and safest SkinFirst technology removes unwanted hair. This technology can treat a wider range of skin types than IPL alone and is safer and more comfortable than both IPL and laser.
FACE
PURE MPL
n
UPPER OR LOWER ARMS
£115
22
n
BIKINI
£70
n
Course of 6
£350
23
PURE MPL
FULL FACE & NECK
PURE MPL
n
n
Course of 3
£140
£350
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LIFTING AND FIRMING FOR FACE & NECK
Dual Radio Frequency is the most popular emerging treatment on the market for skin lifting, tightening and smoothing out of fine lines and wrinkles. SkinFirst have been using this technology for over five years and the results have been astounding. Unlike other treatments radio frequency works on the natural collagen within the skin to educate and remodel to give a more youthful appearance. Results can last up to 2 years.
LIFTING AND FIRMING FOR BODY
PURE DEPILATION
All of our waxing treatments are undertaken after consultation at the discretion of the beauty therapist. We use both warm and hot wax, depending on your preference and how it suits your skin. Make sure the hair you want waxed is grown out to about 5mm above skin surface. Avoid heat treatments, sunbeds, saunas, moisturisers and perfumes before and after waxing.
n WAXING
Courses available: BUY 5 get 1FREE!
Other waxing combinations available, please ask!
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PRIVATE PAMPERING
At Pure we are constantly striving to make your experience that little bit more special. We understand that sometimes you may just want to enjoy your pampering experiences with friends and/or family members in your own tranquil, private setting.
Maybe you have an upcoming event for example a wedding, for which you would like to prepare by enjoying some of our luxurious treatments?
We are now offering a mini list of treatments to be enjoyed 'after hours' for groups of between 5-10 people.
During this time the salon will be closed to the public so that you and your friends and/or family can relax whilst being pampered by our expert therapists in privacy.
Also, the celebrating individual, be they birthday girl or boy, bride or groom etc. will receive one chosen treatment completely FREE of charge!
Your party will be fully coordinated by a member of the Pure staff and party hours are as follows:
Blackberry Jack
Sandringham Crescent
Harvesters
PURE
SANDRIDGE
King William
St Albans Road
St Albans Van Hire
Wheathampstead B651
OPENING TIMES
MONDAY 10AM - 6PM
WEDNESDAY 10AM - 5PM
TUESDAY 10AM - 8PM
THURSDAY 10AM - 8PM
SATURDAY 9AM - 6PM
9AM - 6PM
10AM - 4PM
FRIDAY
SUNDAY
(MARCH - DEC)
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Pacific Northwest Conference News - Summer 2011 - Page 1
Pacific Northwest CONFERENCE NEWS
Mary Stamp, editor firstname.lastname@example.org
325 N. 125th St. - Seattle WA 98133 • (206) 725-8383 or (800) 954-8777 or (509) 535-1813
Summer 2011
Young adults find PNC friends endure
Discussions on faith and values continue at retreats and informally
Dana Weir of Port Townsend recently joined in the Work Camp at N-Sid-Sen, where she began attending camps since she was a child in Newport.
"These friends have been like family," said Weir, one of about dozens of youth and young adults who keep in contact and continue to be involved with the conference.
Her friendships have continued from years at Pacific Northwest UCC camps and retreats, the former conference Youth and Young Adult Council (YYAC), and national and regional youth events.
Some still assist as camp counselors at both N-Sid-Sen and Pilgrim Firs. When the friends meet, they continue their discussions about faith, philosophy, Continued on Page 4
PNC moderator offers blog with video clips
of Education Ministries, and Conference Minister Mike Denton. They can be found at www.pncmod.org.
"I decided to do a video blog, because it would save time. If I wrote something, I might obsess on grammar and word choice, but with video I did not obsess as much," he said. "It's less time consuming to do three-minute clips in one or two takes, rather than writing and rewriting."
In April before Annual Meeting, then incoming Pacific Northwest Conference moderator, the Rev. Brandon Duran, began blogging, inspired by the Annual Meeting promotional videos prepared by Margaret Irribarra and Kmbris Bond.
He also believes it's less daunting for some people to watch a two-minute video rather than an online post.
the Leadership Retreat in June, General Synod in July and the Conference Council in the fall," said Brandon, who is director of children, youth and family ministries at Plymouth Church in Seattle.
"It's a great way to capture the life of the conference and events such as
"I chose familiar faces of folks people would meet at Annual Meeting," he said.
"I hope the blog link will provide a different form of communication in the Continued on Page 3
He intends to add vignettes of theological reflection on three questions: "1) What gives you hope? 2) What breaks your heart? And 3) What draws you to God?"
One of the regular blog features includes interviews, which he began at Annual Meeting with interviews of Dave Shull of Spirit of Peace UCC, Jane Sorenson of Monroe UCC, Cory Maclay
He did not identify people in the initial round, as a way to give them a safe space for commenting. For future interviews, he plans to ask people for permission to put their names online.
Region grapples with environmental injustice
Conference Comments
The Spokesman Review ran a recent series of articles on contamination from years of uranium mining on the Spokane Reservation—go to www. spokesman.com and type "uranium" in the search box. The pieces go into some depth about the history of mining there, as well as some of the effects. What this reveals is a sad, frightening picture.
ing and other industries. Air quality issues relating to diesel fumes have also affected poor communities near shipping areas all around the Puget Sound. Those who count on subsistence harvesting of wildlife from our rivers have been told to cut back on their fish consumption in order to avoid long-term health effects from the pollution present there. In too many cases, inadequate safeguards have been taken to protect those who work in many of those industrial and agricultural facilities where toxic or radioactive materials are a part of the business.
By The Rev. Mike Denton Conference Minister
Uranium
Uranium mining mining
leaves leaves
contamination contamination
on the on the
Spokane
Reservation
Still, that wasn't the most heartbreaking aspect of these articles. The effects this disaster appears to be having on those living on the reservation is horrifying. People live by and pass through those hotspots on the road. Their water is contaminated. The local wildlife is contaminated. The dust in the air is contaminated. This is resulting in what appears to be higher than normal cancer rates, birth defects and other health problems. While the uranium mined here was intended for nuclear weaponry, those who worked and lived around the mine continue to suffer from the fallout.
Nearby local water sources, even after attempts at clean up, remain ruined. There are radioactive hotspots along the side of the road where open trucks carrying the uranium ore spilled some of their loads. Local wildlife is contaminated by radioactive waste that is in the earth and air. In spite of being ordered by courts to clean up this area several years ago, there is more left undone than done and, when considering all that needs to be done, there has been more inaction than action. It is an environmental disaster.
Places where human-caused environmental degradation affects poor folks and people of color is where concerns about environmental justice are born. The United Church of Christ helped birth this movement when, in 1987, our denomination published "Toxic Wastes and Race," establishing firmly that toxic sites were disproportionately located near communities of color. A UCC follow-up study in 2007 concluded that people of color make up the majority of those living within 1.8 miles of toxic sites and that the facilities that produce industrial pollution are clustered within many of these same communities. The follow-up study also discovered that, in 90 percent of those regions where the EPA is already involved in monitoring environmental concerns, other racial disparities were also evident.
Within our region, there are many examples of where this has played out. The Spokane Reservation is far from being the only reservation affected by environments that have been made toxic by min-
Even where in cases there are already laws and land-use controls that could reduce health risks in these areas, the enforcement of these laws is lax. Again and again, this study and others have proven that people of color and those who are impoverished are disproportionately effected by the effects of the un-natural disasters humans have helped create.
Because the earth is God's, humanity worked with God by working with the earth. Areas that were harvested needed time to recover so fallow times were mandated. Excessive waste was considered a crime. Natural disasters were assumed to be the way God reset relationships between God, God's earth and God's people in to their proper order. To misuse those things that were God's was a crime.
Today's industries did not exist during the time the Bible was written, however, those living during that time assumed some need—for very practical reasons—to have a healthy interaction with the earth. Our understanding of the assumptions of those who wrote the Bible continue to unfold, and some of those assumptions are worth considering. Although we usually refer to some of these writings as "religious laws," at that time and place they were just the law and many of these laws were put in place for practical reasons that were connected to practical assumptions.
Throughout the Bible, those who cause others to be impoverished are also condemned. The oppression and fraud of businesses, religious groups and governments are repeatedly named as acts of injustice. Although there isn't a consistent biblical condemnation of wealth, there are consistent condemnations of those who misuse the power that comes from wealth and warnings about how wealth, used oppressively and selfishly, can be a stumbling block on person's faith journey.
Amos 5:24 says, "…Let justice roll down like waters, and righteousness like an overflowing stream." May those waters also be healthy, life giving and clean for all who drink them in.
Both of these understandings have been part of the Christian tradition for centuries. It makes sense they would come together in this time and place as we find ways to participate faithfully in the environmental justice movement. For several months, you may have heard about the UCC Environmental Justice Center at Pilgrim Firs that our conference and denomination are working together to establish. This center will focus on the biblical, spiritual and theological understandings of environmental justice as well as to establish a framework to try to promote and sustain it.
Blog is a way to build connection
at Plymouth a year ago.
the conference.
He said that uses will also be considered when a Communication Implementation Team is formed to move forward with the report prepared by consultant Kathleen Hosfeld.
Continued from Page 1 conference where people can post and connect, such as posting minutes of committee meeting," he said.
Brandon, who came to the PNC in 2004 to serve the Seattle Taiwanese Church, grew up Mennonite-Brethren in Madera, Calif., graduated from Azusa Pacific University with a bachelor's degree in biblical studies and earned an MDiv at Fuller Theological Seminary, has served as interim at Keystone UCC in Seattle before starting
Brandon expects the board to review the conference vision adopted in the mid 1990s so the conference has a vision for local communities and churches connecting with each other and
"I would like to see more collaboration on projects, such as churches working together to offer OWL studies, sharing outreach or communication staff, and finding new ways to do church together," he said.
Transitions announced
He became active in the conference early, because he believes in connection with the wider church.
For information, call 206622-4865 x15 or visit www. pncmod.org.
Firs. For information, contact Kelly Burd at email@example.com.
The PNC Global Ministries Committee is hosting seven young adults from Seoul, South Korea, July 20 to 28 in Seattle.
Korean-PNC young adults meet in Seattle in July
Jill Midori Komura was ordained June 10 at University UCC as chaplain at Providence St. Peter Hospital in Olympia.
Randy Crowe, managing director of NSid-Sen for 21 years announced at Annual Meeting that he will retire in April 2012. Linda Crowe, pastor at Veradale UCC, has announced that she will retire in May 2012. They will still live in Veradale.
Cameron Sharp was called as on-call chaplain at Tacoma General Hospital and Mary Bridge Children's Hospital June 23 at Wayside UCC in Federal Way.
Peg Faulmann was ordained and installed June 26 at Keystone UCC in Seattle.
Martha Kline was installed June 25 as pastor at Guemes Island UCC.
Frank Kelsey, executive minister United Ministries from 1975 to 1979, died June 12 at the age of 86. Ordained 1952, he served churches in Oregon, California and Washington, including Eastgate UCC in Bellevue, Fauntleroy UCC and interim at University Congregational UCC in Seattle. He was also an associate minister of the conference from 1968 to 1974, including a year as acting conference minister. His wife, Jane Kelsey, died last year.
Other clergy and PNC leaders who died in 2010 to 2011 include: Harold Jones, who retired from Naselle UCC after serving as an army chaplain and serving churches in Washington, Wyoming and Nebraska; Lincoln Reed, who served churches in Colorado, Oregon and Washington, including First Congregational in Bellevue; Kenneth Rhoe, who served churches in Oregon, Wisconsin and Washington; Stephen Edwards, who served First Congregational UCC in Dayton, and Kathy Youde, conference treasurer and former pastor at Tonasket.
There will also be Justice Leaders Engaging and Developing training for pairs of people from churches Oct. 14 to 16 at
South Seattle churches will provide housing July 20 and 21. The group will be at Pilgrim Firs July 22 and 23 and then will stay in North Seattle from July 24 to 26. For information, contact Ed Evans, firstname.lastname@example.org or Terry
Pilgrim Firs. For information, contact Susan Andresen at susan–email@example.com.
Conference News Briefs Conference News Briefs
Teigen, firstname.lastname@example.org.
Anti-racism event planned
The two-day institute, which is limited to 20 people, will be held at University Baptist Church from 9 a.m. to 9 p.m., Tuesday, August 2 and from 9 a.m. to 5 p.m., Wednesday August 3.
Diane Schmitz, director of commuter and transfer student services at Seattle University, is co-facilitating a training, "Moving from Talk to Action: A Summer Institute for Anti-Racist White People," with UCC pastor, Melanie Morrison, national director of Allies for Change, on August 2 and 3. It is an opportunity for white people to deepen their commitment to challenging racism and white privilege in their lives.
For information, call 206-409-7551 or email email@example.com.
Justice LED trainings set
Fall opportunities to participate in the national UCC's Justice Leaders Engaging and Developing (J-LED) trainings include a Young Adult Training for UCC members 19 to 30 years old, Sept. 23 to 25 at Pilgrim ties to empower people to be faith-based leaders for justice.
The events share biblical, theological and sociological grounding for justice work, give a taste of J-LED for participants to share in their churches and communi-
Northshore hosts workshop on homelessness, advocacy
Nancy Amidei of the University of Washington School of Social Work will give an overview of advocacy and the importance of progressive Christians engaging in action, said Cynthia Riggin, pastor.
Northshore UCC in Woodinville is planning an ecumenical and interfaith "Fall Day of Action," an advocacy workshop from 9 a.m. to 2 p.m., Saturday, Oct. 1, at the church, 18900 168th Ave. NE.
Rich Gamble pastor of Keystone UCC in Seattle, chair of the Justice and Witness Ministries Committee and member of Faithful Action in Transforming Homelessness will speak homelessness on what it means to be progressive Christians.
For information, call 425-483-6557 or email firstname.lastname@example.org.
Jessie Dye of Earth Ministry will lead a session on "Whole Earth." There will also be a session on advocacy on Lesbian Gay Bisexual Transgender and Questioning.
UCC young adults still connect with camps
Continued from page 1 theology and the role of the UCC, she said.
er UCC friends, Sean Brackett of Olympia and Rachel Teigen of Seattle, who also married.
She was among four who went to Pacific University in Forest Grove, Ore.—Signe Hill of Edmonds, Harmony Welcher of Seattle and Brian Kay of Carnation—drawn by a camp friend, Becky Weaver of Spokane, who was studying there.
young adults attending," she said.
Weir, who graduated from Newport High School in 1997, became active through years of camping at N-Sid-Sen and quarterly meetings of the YYAC when she was in high school.
Camps are out-of-doors, a place to reflect with opportunities for artistic expression, music and spirituality through music, time for silent meditation and prayer outside the walls of a church.
After graduating in 2001, Weir worked a year at an afterschool program before studies for a master's in spiritual traditions and ethics at Marylhurst.
an international student e x c h a n g e program and completed a teaching degree at Pacific U n i v e r s i t y. Becca earned a masters in public administration," she added.
"Becca Harviston-Kottler who went to Lewis and Clark College, Signe, Brian and I moved to Portland after college and kept our circle together," she said. "Signe worked for
When Robyn Cummer, who was in the
Becca Peterson and Nick Runte, who also married, remain active with Pilgrim Firs, renewing ties through their continued involvement, said Weir, who with Kay, led a 2010 workshop for senior high camp at Pilgrim Firs.
Weir teaches art and preschool in Port Townsend, and Kay is an administrator at the Marine Science Center.
"When I go to camp, I feel it is my community. It's where I belong," she said.
The friends now also keep connected through Facebook.
"The friends were a support community during and after the death of Brian's mother, PNC treasurer Kathy Youde, last November. Camp friends offered shoulders to cry on and a community," Weir said.
At a retreat two years ago
My generation wants change and reform. We found the most profound expression of that at camp.
Tolt youth group in Carnation, moved to Portland, they reconnected with her while she finished a master's degree in journalism.
Weir said her friendship with Kay deepened during college, and they are now married. Kay worked eight years with Oregon state parks. He and Weir married in 2006 and now live at Port Townsend, where they have reconnected with oth- at Pilgrim Firs, they talked about the role of the UCC for 18-to-30-yearolds. They continue their discussion at camps and in personal gatherings.
a person of faith," she said. "It gives me a sense of belonging that carries into adulthood. We have a unique bond and understanding."
"The community I was part of when I was young is still central to my growth as
At camps, Weir said she explored her religious experience and beliefs.
"The UCC allowed me to explore rather than be stilted by some doctrine or orthodoxy," she said. "I was encouraged to discover my own spiritual life
One of a 36-panel collage using texts of Taizé songs.
and how it relates to the rest of the world."
Her community involvement centers around her work as a teacher and artist, advocating for the environment.
That faith, she finds, is reaffirmed every time she goes to camps or retreats or to be a speaker for senior high camp. After she goes, she comes back home "committed to be a better citizen, more compassionate and centered."
"When Brian and I say we met at church camp, most people assume it was an evangelical or fundamentalist camp with a rigid theology," she said. "It's hard to explain that there are forms of progressive theology that are alive and have along history.
Most of the group continue to be involved in UCC churches, but do not necessarily go every Sunday.
"My generation wants change and reform," she said. "We found the most profound expression of that at camp."
Weir and Kay have attended a new, small UCC church group that is meeting at Port Townsend.
"We talk about what young adults are looking for in church—why camp is a draw but churches struggle to keep
To find that, Weir participates in a small group that does a monthly Taizé contemplative service in Port Townsend.
"I love the UCC. It's my heritage. I like the formal services, but I also would like more time for silence, meditation and contemplative practices," she said.
"I often go on walks and hikes," she said. "I like to be outdoors in the wilderness and in touch with nature. It feeds my spiritual life."
"Art has potential to connect people of vastly different belief systems and traditions," she said. "Image and word bring people together. People come to galleries searching for images to connect with."
Weir said her art also reflects her spiritual life. She has done a collage using texts from Taizé songs and biblical phrases.
In teaching preschool children at Firefly Academy and elementary children at Swan School, she finds them constantly open to discovering relationships within the world around them.
"As a teacher, I never stop learning. Children are teachers in a collaborative process," she said.
"So much of daily life in this culture is about separateness and lack of familiarity with what is around us. Early childhood fosters a sense of belonging and connection that serves children well the rest of their lives," she said.
For information, call 503975-8991 or email sundial78@ gmail.com.
Group evaluates role and future of PNC camps
By Cory Maclay, Youth/ Young Adult task force convener
They evaluated the effectiveness of PNC camp programs and anticipated what God might have in store for the conference camps in the coming years.
It also included "A-ha!" moments about what could be done better. For example, long before a camper ever steps foot on a site they, and often their parents or grandparents, are—and sometimes aren't— experiencing the level of hospitality we would like to extend through in-church testimonies, brochures, online registration and pre-camp letters
The day-long conversation included appreciation for what is working well—with camps located in beautiful settings, financially in good shape and staffed by a multitude of committed volunteers.
"A-has" were also grounded in gratitude for everyone who makes an effort to invite and help people get to camp.
Butcher paper filled the walls with responses to these questions:
Sharon Linton, outgoing Outdoor Ministries Task Force convener, guided the conversation. She helped the group connect their hearts and heads.
1) What are the top three things the Outdoor Ministries camping program does well for all the ages participating?
2) What might we say to someone—a family with children and youth, a young adult or an older adult—asking about our camps? What might con-
Twelve people involved in Outdoor Ministries, Youth and Young Adult Ministries, the Personnel Committee, camp managers and the conference minister spent a recent Saturday thoughtfully and prayerfully taking stock of the role camps play in faith formation in the conference in these postmodern days. A thirteenth added helpful input via email.
Kaila Russell, Kristen Almgren and Sharon Linton review ideas noted on paper.
vince them to go to N-Sid-Sen or Pilgrim Firs instead of a YMCA camp?
4) Who are the potential camp "customers"? What are their needs?
Camp managing directors, Deeg Nelson at Pilgrim Firs and Randy Crowe at N-SidSen, have kept camp attendance records of use by conference people and those outside the conference. Linton presented the 20 years of data in graphic form. This information, along with other data, shows our camps can handle an additional 30 to 50 percent in attendance.
3) What are the strengths and weaknesses, opportunities and threats of conference camps?
The group looked at dates of camp usage both by people in the conference and by nonchurch users. This type of data is invaluable when looking ahead to determine how to collectively steward the gifts of our campsites.
The Rev. Mike Denton, conference minister, shared some demographic shifts, highlighting the decrease in children and youth in smaller communities around our state.
Many in the group also shared changes and patterns they have noticed, such as that grandparents are often the ones bringing children and youth to camp, either because the par-
Kathie Forman and Randy Crowe share their thoughts.
Photos courtesy of Cory Maclay ents don't attend church or the grandparents are the primary caretakers.
Some noted that some families are unable to attend family camp because they cannot miss a whole week of work.
One said whether children and youth live with parents or grandparents, camp is often a respite week for the adults.
This information provides pointers for a sustainable future of these sites and their programs.
Throughout the day, it was clear there is much more good news to share with the conference. For example, the cost of PNC camps is low compared to most others, because of a large group of committed volunteers who are passionate about how camps complement local churches in faith formation. Most other church camps hire seasonal staff, which increases the cost for campers.
Participants were Kristen Almgren, Kathie Forman and Kaila Russell of University Congregational UCC in Seattle; MaryLu Hubbe of Shalom UCC in Richland; Gale Peterson, of Kirkland UCC; Sharon Linton of Bellevue First Congregational Church; via email, the Rev Emily Tanis-Likkel, associate pastor of Eagle Harbor Congregational UCC; Mark Boyd, youth pastor at United Churches in Olympia and Pilgrim Firs staff; Cory Maclay of Plymouth Church, UCC; Judy Anderson of Wayside UCC; plus Nelson, Crowe and Denton.
It's also good news to know that without having to make any physical changes, the camps are ready for more campers. We have room to grow!
For new Faith Action Network: Partnership for the Common Good
State Lutheran, ecumenical agencies merge
Washington Association of Churches and Lutheran Public Policy Office form one agency.
Out of a long history of working in statewide partnership on a common public policy agenda, the Washington of Churches (WAC) and Lutheran Public Policy Office of Washington (LPPO) are merging to form the Faith Action Network: A Partnership for the Common Good (FAN).
and Alice Woldt working as co-directors. Woldt will continue until the end of 2011. The board will work on a future staffing plan and will combine the administrative functions of the two organizations. Because the LPPO exists under the Lutheran Community Services Northwest, the new organization will use the current corporate status of the WAC.
Alice Woldt speaking at a recent legislative conference.
The WAC Board and the LPPO Statewide Advisory Council met on June 11 and voted to give birth to the new organization to bring together their staff and constituencies for their shared mission to be "a statewide partnership of faith communities striving for a just and sustainable world through community building, education and courageous public action."
"It is good stewardship of limited resources to bring two organizations with such similar purposes together," they said. "Both organizations have been working ecumenically."
The decision came after several years of discussion and prayerful discernment, said the Rev. Carol Jensen, former chair of the LPPO council, and the Rev. Sharon Moe, former chair of the WAC Board.
Both are new members of the FAN governing board, which includes three representatives of each organizations and three more recommended by the FAN Advisory Council.
The advisory council includes the former boards of the two organizations, but will also broaden the base to include a diverse range of faith groups. More organizational details will emerge in discussions and decisions by the board in the coming months.
Ministries of Pierce County were part of the decision-making process.
For some WAC constituents, there may be concern about how judicatories and ecumenical organizations find their place at the table, but bishops and judicatory leaders have been supportive of the merger, and ecumenical organizations such as the Church Council of Greater Seattle and Associated
While LPPO constituents may be concerned about the loss of Lutheran identity that has helped LPPO reach into Lutheran congregations, Moe and Jensen said FAN will continue to be the ELCA's public policy office and the ELCA is supportive of this development.
For the first six months, staff of both organizations will be retained, with Paul Benz
"FAN will approach its educational and organizing work in congregations drawing on the scriptural, theological and historical roots for advocacy within that congregation's faith tradition," said Moe and Jensen. "Faithful advocates in communities from Spokane to Port Angeles have been teaching us that education and action for the common good is more effective ecumenically and in in interfaith partnership than as individual faith communities."
PNC Conference Mike Denton said, "The plan makes sense. It formalizes a relationship that has existed for years; eliminates redundancy, and gives a new opportunity to create an organization that's truly statewide in scope."
Advocacy work will include training and organizing faith communities to participate in public policy advocacy and social-justice witness based on values of constituent communities.
Woldt said that FAN will continue to promote education and community-building projects and activities to build relationships among faith communities and other community groups on shared concerns, such as the Veterans Support Network and the new Mental Health Network.
Another aspect of the program will focus on cultural transformation, using the power of constituents' shared theological resources and community relationships to frame public discourse, promote progressive values and inspire action for justice. It will include training, resources and organizing to support cultural engagement.
For information, call 206625-9790 or 206-464-4133.
During the summer, the WAC plans to move its office from University Temple United Methodist Church to the LPPO office at Denny Park Lutheran Church at 766 John St. in Seattle.
Marj Johnston coordinates Shalom Ministries
After a three-and-a-halfyear ministry as associate at Westminster Congregational UCC in Spokane, Marj Johnston began last summer as executive director of Spokane's dining with dignity program through Shalom Ministries at Central United Methodist Church.
volunteers to drive and cook, since Shalom Ministries' head cook resigned.
Meals are served buffet style with silverware, china plates and cups offering guests choice on what and how much they want to eat.
At Shalom Ministries, guests for the breakfasts and dinners are from Hope House, the House of Charity, Truth Ministries, Union Gospel Mission, Crosswalk and Salvation Army shelters, from the streets and low-income units in the city. The only expectation is that guests treat each other with respect. Marj said the regulars provide self policing, plus are among the many volunteers.
While she continues to search for a church to pastor, she is gaining experiences in loving neighbors and in seeing Jesus when she serves "the least" of her brothers and sisters.
"Shalom Ministries is a bridge between what we talk about in church worship and studies, and the reality outside the church," she said. "It helps us look at people in a different way—looking for God's image in them."
Some are the same people Westminster used to serve when it offered a Life Feed free lunch on fourth Saturdays.
Started in 1993 by the outreach committee of Central UMC in response to a call by the General Ministries of the national UMC, Shalom Ministries seeks to provide a violence-free "Shalom Zone" for diverse people to gather.
"The difference is now I have names and stories to go with faces of people," she said.
Shalom Ministries serves breakfast to 125 people Mondays through Thursdays, with 150 to 175 coming the last week of the month. Monday dinners serve 150 to 200 people.
About 150 volunteers from local churches, businesses and partner agencies serve meals, help cook and help behindthe-scenes. Marj said there is currently a need for more
Marj Johnston of Shalom Mennonite/UCC and David Custer, a Shalom Ministries volunteer from Westminster Congregational UCC with a box of bread they picked up at Second Harvest.
nominational mission program in Washington, D.C., she said her pastor encouraged her to enter ministry.
in providing regular presence of members volunteering every morning and serving dinners. It also provides real milk, so guests don't have to drink powdered milk. It also hosted a recent Seattle Women's Chorus Concert and shared $500 in donations with the program.
"As many other nonprofits, our survival is based on donations of individuals, congregations, businesses and agencies, with a few grants," she said, "because, although we do not preach at people, we do bless the food and the hands that prepare it."
Westminster UCC partners
In Spokane, she first worked for three years in housing and family development with the SNAP homeless program, then seven years with Catholic Charities' Partners for Community Living, coordinating a shared housing program for persons with disabilities.
She served on the Shalom Ministries Board before being asked to take on the role.
Shalom UCC/Mennonite Church, where Marj is now a member, has established a Shalom Cares Fund to help with urgent needs and for bus tickets, ID cards, rent and utility assistance.
"Changes in city, county, state and federal resources for our guests mean there is more need for Shalom Ministries' safe, gracious space," she said.
For information, call 509-455-9019.
A representative from Spokane Mental Health's outreach team comes. Spokane AIDS Network does free HIV screening. Washington State University's Nursing School students come to build conversation about health care needs as simple as wearing dry socks.
"Because we serve single people who fall through the cracks for other meal programs, we also have service agencies provide resources," she said.
For volunteers and guests, it's an opportunity to talk with people and build relationships.
Marj, who grew up American Baptist in Raymond, Wash., was a member of Westminster since 2004, joining to complete her credentials for ordination after earning a MDiv from Chicago Theological Seminary that year.
"We hear many stories— and some are true—to build relationships and honor people with genuine conversation," said Marj, who brings to the work background in social services, as well as ministry.
After graduating from Western Washington University in 1992 in Bellingham in human services, she served as social services director at a nursing home.
During a 30-month term volunteering with a nonde-
Second Harvest, Northwest Harvest and Feed Spokane help supply food.
Near unanimous vote passes ONA resolution
does not force churches to be open and affirming. The resolution is 26 years late."
Delegates pass budget and vote to change committee name.
After discussion in a hearing and on the floor of a plenary session, the 2011 Annual Meeting of the Pacific Northwest Conference passed nearly unanimously a resolution to be an Open and Affirming (ONA) conference, officially adopting what its practice has been.
Delegates erupted into applause, cheers and tears.
Megan Crouse of Lummi Island said younger colleagues and friends are "amazed we are trying to make up our minds. It's time for our words to match our behavior."
Annual Meeting delegates at University UCC in Seattle. Photo by Ben Von Ulrich of Kirkland Congregtional UCC
Some comments in the hearing and plenary follow.
Karin Frank of University Congregational said as a gay person going into ministry she is proud to be in a church that allows her to serve in ministry. "Sexuality and gender expression is not the real welcoming challenge today. I've never heard anyone in church say they don't like how gays dress or act in church, gays don't respect the church, we don't want gays to mess up our worship service or want them in leadership. I've heard all of these said about youth and young adults. I want to be a part of a church that welcomes all of who I am."
Cameron Sharp of Wayside in Federal Way said the resolution encourages current open and affirming churches to add transsexual and intersex.
David McGee of Plymouth UCC in Seattle, said the resolution asks churches to continue prayerful dialogue and does not to push any church to make a decision.
Esther Pfeifer of Eltopia UCC appreciates the wide parameter of the church, expressing concerns of some in her church who are afraid that inclusivity can be exclusive.
Kathie Forman of University Congregational UCC in Seattle affirmed that "Annual Meeting does not tell churches what to do."
Marie Fortune of Broadview UCC, who said she was one of the first lesbian pastors to come out, remembered saying in 1991 for the conference
Terry Teigen of Plymouth UCC said in the early 1990s a similar resolution brought heated discussion and Jeff Spencer was one of the first gay pastors to come out. He thanked the GLBT community for their patience.
to take it's time, "but hurry, because we are still waiting."
Some of the discussion during the plenary follows:
Jeff Barker of Columbia Lakewood Community Church expressed challenged the lack of concern about racial justice and inclusion of black leaders in the conference. Serving 20 years in the PNC, he has seen no change in the number of black pastors, members or conference leaders. "There is a glaring lack of racial justice and people of color," he said.
Jason Boyd of Kirkland Congregational UCC said while Massachusetts was one of the first ONA conferences, just over 20 percent of its churches are ONA, compared to the PNC where the majority of churches are ONA and 76 percent of PNC members are in ONA churches.
Bob Fitzgerald of University Congregational UCC said that in 1982 his 22-year-old son told him he was gay. "That began a transformative spiritual experience that threw me into chaos and awareness of my ignorance. Needing people to talk with, I turned to PFLAG and friends at University Congregational. I discovered the UCC was leading the march of all denominations. As we began to take it seriously as a conference, it was the most theologically and biblically transforming and exhilarating experience of my life.
The delegates amended the resolution to add that the conference "shall in all aspects of its administrative, program and worship life be Open and Affirming (ONA) of all persons, including but not limited to, those who are lesbian, gay, bisexual and transgender." They also revised it to say that the Annual Meeting of the PNC "encourage member churches to continue a committed, prayerful and respectful dialogue with one another as we seek God's guidance for greater biblical and theological understanding of important issues, including those relating to human rights, human sexuality, gender identity, and gender expression."
David Shull of Spirit of Peace UCC in Seattle said that PNC being open and affirming
Kathleen Morgan who is active in the PNC said that in the 1980s, she felt like a step child when the conference rejected a similar resolution. She said baptism welcomes everyone as a beloved child of God: "Why do we draw lines about who can belong or be a moderator, pastor or treasurer?" she asked. "Why do we let people suffer?" Despite her anguish when the resolution was tabled 21 years ago, she and her partner, Ann Lev, continued to be part of the conference we have loved, but which has not affirmed us," she said. "I'm older now and less afraid to speak my heart, so I ask you to affirm me and the many in the room."
In other business, PNC treasurer Martha Baldwin of Kirkland UCC said Our Churches' Wider Mission giving was $42,000 over budget and the PNC collected $176,000 for Haiti earthquake relief.
Donald Schmidt of Admiral UCC told of often being treated as less that human: "I wish it was a non-issue. If we mean no matter who you are or where you are on life's journey, there are no exceptions."
With a total of $590,000 in revenue and $530,000 in expenses, the board hopes to add an associate conference minister and double the amount for youth work in the next two years. There will also be enough for Mike Denton to have a sabbatical his fifth year and Arlene Hobson to have a sabbatical after 15 years with the conference.
A resolution to change the name of the Christian Life Service and Action Committee to the Justice and Witness Ministries Committee also passed.
A task force is looking at funding for theological seminaries and campus ministries.
Brandon Duran of Plymouth UCC Seattle is the new moderator. The new vice moderator is Christine Hanson of Peshashtin.
Speaker stirs people to find their gifts and act
gives sight of long-term possibilities—working interdependently to transform the world, stepping out of survival mode and "standing together to see what we can do together to transform the world," she said.
Connecticut UCC Conference's associate minister for youth and young adult ministries set a tone for members of the United Church of Christ to know and celebrate "who we are" as UCC believers.
Da Vita McAllister energized 2011 Annual Meeting participants, flowing from her opening sermon on the love of the pelican and the grasshopper through her keynote address culminating in the call to transform the world.
"Too often we in the UCC define ourselves by who we are not," she said.
"We need to 'put some on,' stir things up and transform the world," she repeated. "The church is the place to go to be stirred up—whether sitting silently in touch with our inner pelican or hopping about as the grasshopper.
Preaching on John 1's call for believers to "love one another," she said, "if we love one another, we know God and God's love is perfected in us."
Encouraging participation of delegates and guests gathered April 29 and 30 at University Congregational UCC in Seattle, she invited them to allow their hands "to resist gravity and rise," to put their hands together and clap, to shout "Amen!" or "UhHuh!" or to sit quietly and stay awake. Her keynote address was punctuated with repetition and hand motions, inviting the congregation to say the words.
To stir things up, she called for recognition of differences, such as between those born before and after 1980.
Describing herself as a Baptimethocostal of Christ, she shared her journey—born Baptist, converted to Pentecostal, ordained United Methodist and finding her home in the UCC.
"If you have ever loved anyone or anything, you know God," she said. "On the surface, it seems simple, but the Scripture keeps going.
She told of a pink pelican and a green grasshopper who were the best of friends, inseparable despite being different species with political parties, shoe sizes and worship styles.
"What does it mean to be the body of Christ, brothers and sisters in God's family, when there are some folks we do not love?" McAllister asked.
The proud, distinguished
Da Vita McAllister presenting her keynote address.
Photo by Ben Von Ulrich of Kirkland Congregtional UCC
and introverted pelican let the music of worship wash over him and liked silence to explore the depth of God's Spirit.
think of things in new ways, to challenge themselves and allow others to challenge them to build up the church.
She urged participants to do something with information they gained at the meeting.
Because people wondered how they could be the best of friends, the pastor asked them to give a testimony.
Speaking on "Connections, Reflections and Directions," she reminded of the UCC welcome that "whoever you are and wherever you are on life's journey, you are welcome here."
The extroverted grasshopper favored the Scripture, especially "God so loved the world, that whosoever..." He would hop around as he and the pastor went back and forth 20 minutes, repeating "whosoever."
The grasshopper said, "God does not require us to change everything in the world or pray each moment, but to 'put something on'," to do something to address racism, homophobia, patriarchy, oppression, the environment and more. As the pelican went silently to sit down, the grasshopper thought he didn't agree. The pelican replied with singing, "We are one in the Spirit."
She invited participants to reflect on the uniqueness of each and to realize God's love is great enough to make space for each. That welcome, she said, challenges UCCers to
Before each person was conceived, "God gave each a gift, and God expects each of us to use the gift to transform the world, she said, "because the world is full of violence and self-interest, which are not consistent with God's way of doing things. To transform it is a big job, so each needs help. Everyone is to discern their gift and to use it collectively.
"God loves us whether we are pelicans, grasshoppers or pelihoppers," McAllister said. "We are not connected by our uniqueness but by God's unifying love."
"God understands we are already connected," she said, commenting that many church people, although part of 15,000 committees and 4,000 task forces think they have to transform the world by themselves, so they become burned out.
She offered a vision that
"The church needs to be connected in a disconnected world," she said. "We need to see ourselves as standing side by side, connected in the palm of the hand of the living God."
She suggested that those born before 1980 tend to do one thing at a time, use technology to people with whom they already relate, had limited media exposure to differences, and participated in church as the center of civic life.
"For the young, 90 percent of what we do in the church is done thousands of ways elsewhere and better," she said, but what the church does best is to help people discern their gifts, and to hear and feel God's will and call to transform the world.
Those born after 1980 tend to do multiple things at one time—study, tweet, listen to a iPod and search the web—use technology to form relationships, are exposed to diversity in media, and have grown up in a world where the church is not at the center of society.
"The sweet spot is to find what God wants, what you have and what the world needs. Each of us needs to find the sweet spot. That's the 10 percent the church does that no one else does," she said.
"God gives us the tools to put some on, stir up our gifts with others and the compassion to stir gifts in others to make the world more loving and caring."
For videos of her presentations see http://www.youtube.com/user/PNCUCC
Conference has a UCC rep for disaster recovery
the needs.
refugees from Louisians.
Ken Colman has served as PNC's disaster coordinator since 2002.
The Rev. Ken Colman, pastor at Renton UCC, represents the PNC on the Washington Volunteers Assisting in Disasters (WAVOAD) and on the Washington Interfaith Disaster Recovery Organization (WIDRO).
He first took national UCC training to be a disaster coordinator for the conference in 2002. For several years, Steve Erickson worked with him in that role.
"WAVOAD and WIDRO help in the recovery stage after the TV cameras have left a disaster area," said Ken, who has been at Renton 11 years.
A primary task of his role is education, helping churches establish emergency plans in case of an earthquake or disaster on a Sunday. He has free resources to offer churches through Church World Services and he has led annual meeting workshops.
He said he has been directing volunteers interested in regional disaster relief to contact David Bell at the Yakama Christian Mission. He is organizing recovery and rebuilding homes following fires driven by a hurricane-force windstorm in February.
"During my high school years, 1975 to 1978, in Afghanistan, there was a coup d'etat and after that a form of disaster, so I said yes when asked to assist the conference and national UCC in that role," he said.
"One Great Hour of Sharing offerings help with disaster recovery across the United States," he said, "plus people can designate gifts at any time through the ucc.org website. Through UCC contacts, we know how to send the money to people who will be sure to meet the needs.
Colman said that represen-
tatives of the Reformed Church in America came there to assess Ken Colman
After Hurricane, Katrina he had also worked at a National Guard base for the WAVOAD, looking at needs for bringing
For information, call 206856-8547 or email pastorken@ uccrenton.org.
Volunteers needed for rebuilding after firestorm
In White Swan at the Yakama Christian Mission, director David Bell is coordinating construction for rebuilding homes destroyed by fire storms with winds of more than 50-mileper-hour in February that destroyed or damaged more than 100 houses.
United Church of Christ volunteers are needed to help through the summer and particularly for a 14-day Blitz Build of one house beginning Labor Day weekend and ending with the annual Yakama Indian Days Powwow. The blitz build, he said, needs 20 volunteers a day.
He is working both with the Yakama Tribe and with SAGE, an ecumenical venture between the Yakima Christian Mission and Wilbur Memorial United Methodist Church.
Photos courtesy of David Bell to seek loans to hire contractors to do the work.
rebuilding all destroyed homes.
Many repairs are from wind damage to roofs, windows and doors, plus fire and smoke damage in other homes. The Yakama Nation is engaged in
For information, call 509969-2093, email email@example.com or visit yakamamission.
From June through August, the SAGE is focused on rebuilding. It offers volunteers the opportunity both to help survivors gain safe and healthy housing and to learn how racism, cul- ture and economic injustice helped cause such events as the February firestorm.
The owner of that home cannot afford a loan, so to have a roof overhead by winter, volunteers are needed to rebuild. A lack of summer volunteers to help rebuild has caused five other low-income homeowners
Conference leaders urged to set audacious goals
Citing an article published in the Harvard Business Review, the Rev. Felix Carrion, the UCC's Still Speaking coordinator, urged PNC leaders to enhance the voice of the conference by setting some Big Holy Audacious Goals, or BHAG for short (pronounced BEE-hag).
The Rev. Felix Carrion leads discussion at Pacific Northwest Conference Leadership Retreat.
Photos by Ed Evans
articulated goal, a core value is lasting and can never be completed, he said, noting, "Great companies understand the difference between what should never change and what should be open for change—between what is sacred and what is not.
Maureen McLain pointed out that theologian Frederick Buechner describes vocation as the place "where your deep joy and the world's deep need intersects."
"Vocation is your being, not occupation. It is who you are and fundamentally the core of your life," he said.
Bob Jackson of East Wenatchee commented that "many people use the word vocation and the word occupation as if they were synonymous, but they really aren't. Occupation is what occupies our time and a lot of that time is just busy work. Vocation, in theological terms, is a calling. Are we just doing stuff to keep busy, or are we actually hearing what God is saying? To be compelled by the voice you are hearing is a whole different thing than being occupied."
Carrion added that "once you find your true voice which comes from within, when it is authentic and genuine, it mediates the presence of the living Christ. the living God, or that Great Mystery.God is
He noted that the UCC's God is Still Speaking campaign provides a context to give voice to that sense of calling.
still speaking. Are you taking notes?"
It involves systematic discovery of what gives life to a living system when it is most alive, most effective, and most capable. It is a process that was developed by David Cooperrider, a doctoral student at Case Western Reserve University in Cleveland, as an alternative to traditional problem solving approaches by focusing on what works well in organizations, rather than what does not.
"We are being called to the living church, not to the dying church," said Jennifer Castle of Seattle's Plymouth UCC, in a presentation to assist in moving toward a process of creating BHAG goals. She outlined the concept of Appreciative Inquiry, which she described as a tool for connecting to the transformational power of the positive core.
For example, Castle said, when a satisfaction survey of an organization indicates 90 percent of those surveyed are satisfied and 10 percent are not, the focus too often becomes centered on those who are not satisfied, rather than asking the 90 percent what made them satisfied. Appreciative Inquiry flips usual problem solving on its head.
"It assumes that what we focus on becomes reality. The language we use creates our reality, and people have more confidence and comfort to journey to the future (the unknown) when they carry
Jennifer Castle introduces appreciative inquiry.
forward the best parts of the past," she said.
The latter first invites organizations to agree on what the current state might be, then establishes if there is a preferred future state different than the current one.
Comparing problem solving and appreciative inquiry approach, the emphasis is "what might be," rather than analyzing causes of the problems or possible solutions, Castle explained. The emphasis shifts to what should be. A basic assumption of a problem solving approach to resolving issues is that an organization is a problem to be solved. The basic assumption of an appreciative inquiry approach is that an organization is a mystery to be embraced.
To maximize the probability of achieving a different future state, Castle said, that goal must be valued and positively presented. The future goal cannot be valued less than the current state.
By Ed Evans
"BHAG," said Carrion, "is an ambitious plan that revs up the entire organization. BHAGs typically require 10 to 30 years to complete." The 1996 Harvard Review article described BHAGs as Big Hairy Audacious Goals. For church purposes, Carrion suggested that the acronym be changed to Big Holy Audacious Goals.
Carrion said the article suggests there are two components of any lasting vision for an organization.
The idea of BHAG goals was introduced at a recent weekend retreat of Conference leaders at Pilgrim Firs, meeting on the theme of "Vision, Vocation and Voice."
One is the organization's core ideology, which defines its timeless character. That ideology cannot be invented. It must be discovered.
"What are the core values at the heart of the Conference, or local church, or even yourself?" Carrion asked.
The second component is an envisioned future, which is active and visualized. The core purpose or vision is to understand and articulate the most fundamental reason for the organization's existence. When the PNC talks about vision, it's about its core values.
Values identified by participants included unqualified acceptance of people and ideas, emerging stewardship of the planet, trust in the healing power of the spirit, and peace through justice. These values include the possibility of changing lives.
While a BHAG is a clearly
Bellingham UCC pedals faith in Bike-to-Church Sunday
By Rob Olason
"There was something motivating about coming together as a community and making a faith statement that we are willing to commit joyfully to healing God's creation," said Hunter, who joined with more than 20 other members of First Congregational Church of Bellingham (FCCB) on May 22 for the church's first "Bike2Church Sunday."
The Green Team is exploring how the church and its members can reduce their impact on the environment through educational events, such as an "Eco-faith" information series in February. Films with speakers from the state and local faith community discussed efforts to bring a faith component to environmental efforts.
For Krista Hunter, riding a bike to church on a Sunday morning was an act of faith. It meant committing to a 30-mile round trip, but she found it fun and inspirational, "even with the aches and pains."
Church members have been exploring their role as caretakers of God's creation since forming their "Green Team" on October 10, 2010. The date, 10-10-10, was chosen to coincide with 350.org's day of worldwide environmental activism.
One outcome of this focus is that FCCB Green Team member Sherry Pryde encouraged church members to reduce their fossil fuel consumption by using alternative means of transportation. She was aided by a local program, Smart Trips, that promotes reducing single-person car trips through carpooling, public transit, biking or walking.
When members record trips on the Smart Trips website, not only can they chart their own
At several coffee hours, Pryde enrolled members into the program, listing FCCB as their "work organization."
Some of more than 20 Bellingham UCC members who rode bicycles to church in May.
Photo by Dick Porter progress, but the accumulated miles and trips of all FCCB participants begins to show the impact of this collective effort, replacing hundreds of miles of single passenger car trips with a lower fossil fuel alternative.
Another participant, Janet Ott, spoke of the spiritual nature biking holds for her, equating it to a form of body prayer.
Pryde was thrilled with how "our first Bike 2 Church event went and surprised by the turnout of people of diverse ages and cycling abilities." She added, "Biking is an all inclusive and intergenerational activity that is good for the individual body, the family and the church community."
"I bike for the usual reasons: exercise, exploration, and saving gas. It is also a spiritual discipline where I can calm my 'monkey mind' and am in conversation with Spirit," she said. "What a great way to start a morning of worship!"
"Bike to church Sunday was indeed an act of faith," he said. "We are charged to be good stewards of God's creation, and this was an invita-
Evan Ritchie turned the event into a family bike ride to church.
tion to consider how to put that charge into practice even on a Sunday morning.
Ritchie appreciated the opportunity.
"Riding requires greater intentionality than driving. No hurrying out the door with minutes to spare," he said. "It requires preparation the night before, ensuring each bike for our family of four was in proper working order, that helmets, gloves and jackets were laid out and ready to go. On the morning of the ride, the energy around the breakfast table was heightened. The conversation during the ride was also energetic. I felt that each of these elements added to my mindfulness that morning."
"Upon arriving at church, I was enjoying the endorphin rush and found myself to be more attentive despite the fact that I was not dressed in my 'Sunday Best'," he said.
On completing her 30-mile round trip, Hunter still found joy in her personal commitment
He suggested he would continue this practice, "I plan to ride to church more often, and will encourage my family to join me. Maybe one of my daughters will suggest it."
"to healing God's creation."
"While we may not heal God's creation with one bike ride," she said, "doing so can raise our awareness and that of others that our carbon-intensive lifestyle is damaging the earth to the point it will not be able to sustain life."
Aware that a single bike ride will not erase the massive volumes of carbon our industrial society injects into the atmosphere, she still sees the positive nature of such an act.
As she pedaled her bike, Hunter found this simple act "brought home once again how I can make even greater efforts in my life and to engage in joyfulness along the way."
Then Pastor Tara Olsen Allen blessed the bikes and riders. Sufficiently refreshed, the group embarked on a "bike parade," circumnavigating the church grounds.
After the service, bike riders gathered for cookies and lemonade and conversation at the church bike racks.
Asked if FCCB would host a future Bike 2 Church Sunday, organizer Pryde responded; "Without a doubt."
For information, call 360734-3720 or visit www.fccb.net.
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Authors:
Internet Engineering Task Force (IETF)
9544
Informational
March 2024
2070-1721
G. Mirsky
Ericsson
J. Halpern
Ericsson
X. Min
ZTE Corp.
A. Clemm J. Strassner
Futurewei
J. Francois
Inria and University of Luxembourg
RFC 9544
Precision Availability Metrics (PAMs) for Services Governed by Service Level Objectives (SLOs)
Abstract
This document defines a set of metrics for networking services with performance requirements expressed as Service Level Objectives (SLOs). These metrics, referred to as "Precision Availability Metrics (PAMs)", are useful for defining and monitoring SLOs. For example, PAMs can be used by providers and/or customers of an RFC 9543 Network Slice Service to assess whether the service is provided in compliance with its defined SLOs.
Status of This Memo
This document is not an Internet Standards Track specification; it is published for informational purposes.
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). Not all documents approved by the IESG are candidates for any level of Internet Standard; see 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/rfc9544
Copyright Notice
Copyright (c) 2024 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 with respect to this document. Code Components extracted from this document must include Revised BSD License text as described in Section 4.e of the Trust Legal Provisions and are provided without warranty as described in the Revised BSD License. https://trustee.ietf.org/license-info
Table of Contents
1. Introduction
Service providers and users often need to assess the quality with which network services are being delivered. In particular, in cases where service-level guarantees are documented (including their companion metrology) as part of a contract established between the customer and the service provider, and Service Level Objectives (SLOs) are defined, it is essential to provide means to verify that what has been delivered complies with what has been possibly
negotiated and (contractually) defined between the customer and the service provider. Examples of SLOs would be target values for the maximum packet delay (one-way and/or round-trip) or maximum packet loss ratio that would be deemed acceptable.
More generally, SLOs can be used to characterize the ability of a particular set of nodes to communicate according to certain measurable expectations. Those expectations can include but are not limited to aspects such as latency, delay variation, loss, capacity/throughput, ordering, and fragmentation. Whatever SLO parameters are chosen and whichever way service-level parameters are being measured, Precision Availability Metrics indicate whether or not a given service has been available according to expectations at all times.
Several metrics (often documented in the IANA "Performance Metrics" registry according to and ) can be used to characterize the service quality, expressing the perceived quality of delivered networking services versus their SLOs. Of concern is not so much the absolute service level (for example, actual latency experienced) but whether the service is provided in compliance with the negotiated and eventually contracted service levels. For instance, this may include whether the experienced packet delay falls within an acceptable range that has been contracted for the service. The specific quality of service depends on the SLO or a set thereof for a given service that is in effect. Non-compliance to an SLO might result in the degradation of the quality of experience for gamers or even jeopardize the safety of a large geographical area. [IANA-PMRegistry] [RFC8911] [RFC8912]
The same service level may be deemed acceptable for one application, while unacceptable for another, depending on the needs of the application. Hence, it is not sufficient to measure service levels per se over time; the quality of the service being contextually provided (e.g., with the applicable SLO in mind) must be also assessed. However, at this point, there are no standard metrics that can be used to account for the quality with which services are delivered relative to their SLOs or to determine whether their SLOs are being met at all times. Such metrics and the instrumentation to support them are essential for various purposes, including monitoring (to ensure that networking services are performing according to their objectives) as well as accounting (to maintain a record of service levels delivered, which is important for the monetization of such services as well as for the triaging of problems).
The current state-of-the-art of metrics include, for example, interface metrics that can be used to obtain statistical data on traffic volume and behavior that can be observed at an interface . However, they are agnostic of actual service levels and not specific to distinct flows. Flow records maintain statistics about flows, including flow volume and flow duration, but again, they contain very little information about service levels, let alone whether the service levels delivered meet their respective targets, i.e., their associated SLOs. [RFC2863] [RFC8343] [RFC7011] [RFC7012]
This specification introduces a new set of metrics, Precision Availability Metrics (PAMs), aimed at capturing service levels for a flow, specifically the degree to which the flow complies with the SLOs that are in effect. PAMs can be used to assess whether a service is provided in compliance with its defined SLOs. This information can be used in multiple ways, for example, to optimize service delivery, take timely counteractions in the event of service degradation, or account for the quality of services being delivered.
Availability is discussed in . In this document, the term "availability" reflects that a service that is characterized by its SLOs is considered unavailable whenever those SLOs are violated, even if basic connectivity is still working. "Precision" refers to services whose service levels are governed by SLOs and must be delivered precisely according to the associated quality and performance requirements. It should be noted that precision refers to what is being assessed, not the mechanism used to measure it. In other words, it does not refer to the precision of the mechanism with which actual service levels are measured. Furthermore, the precision, with respect to the delivery of an SLO, particularly applies when a metric value approaches the specified threshold levels in the SLO. Section 3.4 of [RFC7297]
The specification and implementation of methods that provide for accurate measurements are separate topics independent of the definition of the metrics in which the results of such measurements would be expressed. Likewise, Service Level Expectations (SLEs), as defined in , are outside the scope of this document. Section 5.1 of [RFC9543]
2. Conventions
2.1. Terminology
In this document, SLA and SLO are used as defined in . The reader may refer to for an applicability example of these concepts in the context of RFC 9543 Network Slice Services. [RFC3198] Section 5.1 of [RFC9543]
2.2. Acronyms
IPFIX IP Flow Information Export
PAM Precision Availability Metric
SLA Service Level Agreement
SLE Service Level Expectation
SLO Service Level Objective
SVI Severely Violated Interval
SVIR Severely Violated Interval Ratio
SVPC Severely Violated Packets Count
VFI Violation-Free Interval
VI Violated Interval
VIR
VPC
Violated Interval Ratio
Violated Packets Count
3. Precision Availability Metrics
3.1. Introducing Violated Intervals
When analyzing the availability metrics of a service between two measurement points, a time interval as the unit of PAMs needs to be selected. In , a time interval of one second is used. That is reasonable, but some services may require different granularity (e.g., decamillisecond). For that reason, the time interval in PAMs is viewed as a variable parameter, though constant for a particular measurement session. Furthermore, for the purpose of PAMs, each time interval is classified as either Violated Interval (VI), Severely Violated Interval (SVI), or Violation-Free Interval (VFI). These are defined as follows: [ ITU.G.826 ]
VI is a time interval during which at least one of the performance parameters degraded below its configurable optimal threshold. •
SVI is a time interval during which at least one of the performance parameters degraded below its configurable critical threshold. •
Consequently, VFI is a time interval during which all performance parameters are at or better than their respective pre-defined optimal levels. •
The monitoring of performance parameters to determine the quality of an interval is performed between the elements of the network that are identified in the SLO corresponding to the performance parameter. Mechanisms for setting levels of a threshold of an SLO are outside the scope of this document.
From the definitions above, a set of basic metrics can be defined that count the number of time intervals that fall into each category:
VI count •
SVI count •
VFI count •
These count metrics are essential in calculating respective ratios (see Section 3.2) that can be used to assess the instability of a service.
Beyond accounting for violated intervals, it is sometimes beneficial to maintain counts of packets for which a performance threshold is violated. For example, this allows for distinguishing between cases in which violated intervals are caused by isolated violation occurrences (such as a sporadic issue that may be caused by a temporary spike in a queue depth along the packet's path) or by broad violations across multiple packets (such as a problem with slow route convergence across the network or more foundational issues such as insufficient network resources). Maintaining such counts and comparing them with the overall amount of traffic also facilitate assessing compliance with statistical SLOs (see Section 4). For these reasons, the following additional metrics are defined:
VPC (Violated Packets Count) •
SVPC (Severely Violated Packets Count) •
3.2. Derived Precision Availability Metrics
A set of metrics can be created based on PAMs as introduced in this document. In this document, these metrics are referred to as "derived PAMs". Some of these metrics are modeled after Mean Time Between Failure (MTBF) metrics; a "failure" in this context refers to a failure to deliver a service according to its SLO.
Time since the last violated interval (e.g., since last violated ms or since last violated second). This parameter is suitable for monitoring the current compliance status of the service, e.g., for trending analysis. •
Number of packets since the last violated packet. This parameter is suitable for the monitoring of the current compliance status of the service. •
Mean time between VIs (e.g., between violated milliseconds or between violated seconds). This parameter is the arithmetic mean of time between consecutive VIs. •
Mean packets between VIs. This parameter is the arithmetic mean of the number of SLOcompliant packets between consecutive VIs. It is another variation of MTBF in a service setting. •
An analogous set of metrics can be produced for SVI:
Time since the last SVI (e.g., since last violated ms or since last violated second). This parameter is suitable for the monitoring of the current compliance status of the service. •
Number of packets since the last severely violated packet. This parameter is suitable for the monitoring of the current compliance status of the service. •
Mean time between SVIs (e.g., between severely violated milliseconds or between severely violated seconds). This parameter is the arithmetic mean of time between consecutive SVIs. •
Mean packets between SVIs. This parameter is the arithmetic mean of the number of SLOcompliant packets between consecutive SVIs. It is another variation of "MTBF" in a service setting. •
To indicate a historic degree of precision availability, additional derived PAMs can be defined as follows:
Violated Interval Ratio (VIR) is the ratio of the summed numbers of VIs and SVIs to the total number of time unit intervals in a time of the availability periods during a fixed measurement session. •
Severely Violated Interval Ratio (SVIR) is the ratio of SVIs to the total number of time unit intervals in a time of the availability periods during a fixed measurement session. •
3.3. PAM Configuration Settings and Service Availability
It might be useful for a service provider to determine the current condition of the service for which PAMs are maintained. To facilitate this, it is conceivable to complement PAMs with a state model. Such a state model can be used to indicate whether a service is currently considered as available or unavailable depending on the network's recent ability to provide service without incurring intervals during which violations occur. It is conceivable to define such a state model in which transitions occur per some predefined PAM settings.
While the definition of a service state model is outside the scope of this document, this section provides some considerations for how such a state model and accompanying configuration settings could be defined.
For example, a state model could be defined by a Finite State Machine featuring two states: "available" and "unavailable". The initial state could be "available". A service could subsequently be deemed as "unavailable" based on the number of successive interval violations that have been experienced up to the particular observation time moment. To return to a state of "available", a number of intervals without violations would need to be observed.
The number of successive intervals with violations, as well as the number of successive intervals that are free of violations, required for a state to transition to another state is defined by a configuration setting. Specifically, the following configuration parameters are defined:
Unavailability threshold: The number of successive intervals during which a violation occurs to transition to an unavailable state.
Availability threshold: The number of successive intervals during which no violations must occur to allow transition to an available state from a previously unavailable state.
Additional configuration parameters could be defined to account for the severity of violations. Likewise, it is conceivable to define configuration settings that also take VIR and SVIR into account.
4. Statistical SLO
It should be noted that certain SLAs may be statistical, requiring the service levels of packets in a flow to adhere to specific distributions. For example, an SLA might state that any given SLO applies to at least a certain percentage of packets, allowing for a certain level of, for example, packet loss and/or exceeding packet delay threshold to take place. Each such event, in that case, does not necessarily constitute an SLO violation. However, it is still useful to maintain those statistics, as the number of out-of-SLO packets still matters when looked at in proportion to the total number of packets.
Along that vein, an SLA might establish a multi-tiered SLO of, say, end-to-end latency (from the lowest to highest tier) as follows:
not to exceed 30 ms for any packet; •
not to exceed 25 ms for 99.999% of packets; and •
not to exceed 20 ms for 99% of packets. •
In that case, any individual packet with a latency greater than 20 ms latency and lower than 30 ms cannot be considered an SLO violation in itself, but compliance with the SLO may need to be assessed after the fact.
To support statistical SLOs more directly requires additional metrics, for example, metrics that represent histograms for service-level parameters with buckets corresponding to individual SLOs. Although the definition of histogram metrics is outside the scope of this document and could be considered for future work (see Section 6), for the example just given, a histogram for a particular flow could be maintained with four buckets: one containing the count of packets within 20 ms, a second with a count of packets between 20 and 25 ms (or simply all within 25 ms), a third with a count of packets between 25 and 30 ms (or merely all packets within 30 ms), and a fourth with a count of anything beyond (or simply a total count). Of course, the number of buckets and the boundaries between those buckets should correspond to the needs of the SLA associated with the application, i.e., to the specific guarantees and SLOs that were provided.
5. Other Expected PAM Benefits
PAMs provide several benefits with other, more conventional performance metrics. Without PAMs, it would be possible to conduct ongoing measurements of service levels, maintain a time series of service-level records, and then assess compliance with specific SLOs after the fact. However, doing so would require the collection of vast amounts of data that would need to be generated, exported, transmitted, collected, and stored. In addition, extensive post-processing would be required to compare that data against SLOs and analyze its compliance. Being able to perform these tasks at scale and in real time would present significant additional challenges.
Adding PAMs allows for a more compact expression of service-level compliance. In that sense, PAMs do not simply represent raw data but expresses actionable information. In conjunction with proper instrumentation, PAMs can thus help avoid expensive post-processing.
6. Extensions and Future Work
The following is a list of items that are outside the scope of this specification but will be useful extensions and opportunities for future work:
A YANG data model will allow PAMs to be incorporated into monitoring applications based on the YANG, NETCONF, and RESTCONF frameworks. In addition, a YANG data model will enable the configuration and retrieval of PAM-related settings. •
A set of IPFIX Information Elements will allow PAMs to be associated with flow records and exported as part of flow data, for example, for processing by accounting applications that assess compliance of delivered services with quality guarantees. •
Additional second-order metrics, such as "longest disruption of service time" (measuring consecutive time units with SVIs), can be defined and would be deemed useful by some users. At the same time, such metrics can be computed in a straightforward manner and will be application specific in many cases. For this reason, such metrics are omitted here in order to not overburden this specification. •
Metrics can be defined to represent histograms for service-level parameters with buckets corresponding to individual SLOs. •
7. IANA Considerations
This document has no IANA actions.
8. Security Considerations
Instrumentation for metrics that are used to assess compliance with SLOs constitutes an attractive target for an attacker. By interfering with the maintenance of such metrics, services could be falsely identified as complying (when they are not) or vice versa (i.e., flagged as being non-compliant when indeed they are). While this document does not specify how networks should be instrumented to maintain the identified metrics, such instrumentation needs to be adequately secured to ensure accurate measurements and prohibit tampering with metrics being kept.
Where metrics are being defined relative to an SLO, the configuration of those SLOs needs to be adequately secured. Likewise, where SLOs can be adjusted, the correlation between any metric instance and a particular SLO must be unambiguous. The same service levels that constitute SLO violations for one flow and should be maintained as part of the "violated time units" and related metrics may be compliant for another flow. In cases when it is impossible to tie together SLOs and PAMs, it is preferable to merely maintain statistics about service levels delivered (for example, overall histograms of end-to-end latency) without assessing which constitute violations.
By the same token, the definition of what constitutes a "severe" or a "significant" violation depends on configuration settings or context. The configuration of such settings or context needs to be specially secured. Also, the configuration must be bound to the metrics being maintained. Thus, it will be clear which configuration setting was in effect when those metrics were being assessed. An attacker that can tamper with such configuration settings will render the corresponding metrics useless (in the best case) or misleading (in the worst case).
9. Informative References
[IANA-PM-Registry] , , . IANA "Performance Metrics" <https://www.iana.org/assignments/ performance-metrics>
[ITU.G.826]
, , , December 2002. ITU-T "End-to-end error performance parameters and objectives for international, constant bit-rate digital paths and connections" ITU-T G.826
[RFC2863]
and , , , , June 2000, . McCloghrie, K. F. Kastenholz "The Interfaces Group MIB" RFC 2863 DOI 10.17487/RFC2863 <https://www.rfc-editor.org/info/rfc2863>
[RFC3198]
, , , , , , , , , and , , , , November 2001, . Westerinen, A. Schnizlein, J. Strassner, J. Scherling, M. Quinn, B. Herzog, S. Huynh, A. Carlson, M. Perry, J. S. Waldbusser "Terminology for PolicyBased Management" RFC 3198 DOI 10.17487/RFC3198 <https:// www.rfc-editor.org/info/rfc3198>
[RFC7011] , , and , , , , , September 2013, . Claise, B., Ed. Trammell, B., Ed. P. Aitken "Specification of the IP Flow Information Export (IPFIX) Protocol for the Exchange of Flow Information" STD 77 RFC 7011 DOI 10.17487/RFC7011 <https://www.rfceditor.org/info/rfc7011>
[RFC7012] and , , , , September 2013, . Claise, B., Ed. B. Trammell, Ed. "Information Model for IP Flow Information Export (IPFIX)" RFC 7012 DOI 10.17487/RFC7012 <https:// www.rfc-editor.org/info/rfc7012>
[RFC7297] , , and , , , , July 2014, . Boucadair, M. Jacquenet, C. N. Wang "IP Connectivity Provisioning Profile (CPP)" RFC 7297 DOI 10.17487/RFC7297 <https://www.rfc-editor.org/ info/rfc7297>
[RFC8343] , , , , March 2018, . Bjorklund, M. "A YANG Data Model for Interface Management" RFC 8343 DOI 10.17487/RFC8343 <https://www.rfc-editor.org/info/rfc8343>
[RFC8911] , , , , and , , , , November 2021, . Bagnulo, M. Claise, B. Eardley, P. Morton, A. A. Akhter "Registry for Performance Metrics" RFC 8911 DOI 10.17487/RFC8911 <https://www.rfc-editor.org/info/rfc8911>
[RFC8912] , , , and , , , , November 2021, . Morton, A. Bagnulo, M. Eardley, P. K. D'Souza "Initial Performance Metrics Registry Entries" RFC 8912 DOI 10.17487/RFC8912 <https:// www.rfc-editor.org/info/rfc8912>
[RFC9543] , , , , , , and , , , , March 2024, . Farrel, A., Ed. Drake, J., Ed. Rokui, R. Homma, S. Makhijani, K. Contreras, L. J. Tantsura "A Framework for Network Slices in Networks Built from IETF Technologies" RFC 9543 DOI 10.17487/RFC9543 <https://www.rfceditor.org/info/rfc9543>
Acknowledgments
The authors greatly appreciate review and comments by and . Bjørn Ivar Teigen Christian Jacquenet
Contributors
Liuyan Han
China Mobile
32 XuanWuMenXi Street
Beijing
100053
China
Email: firstname.lastname@example.org
Mohamed Boucadair
Orange
35000 Rennes
France
email@example.com
Email:
Adrian Farrel
Old Dog Consulting
United Kingdom
firstname.lastname@example.org
Email:
Authors' Addresses
Greg Mirsky
Ericsson
Email: email@example.com
Joel Halpern
Ericsson
firstname.lastname@example.org
Email:
Xiao Min
ZTE Corp.
Email: email@example.com
Alexander Clemm
firstname.lastname@example.org
Email:
John Strassner
Futurewei
2330 Central Expressway , Santa Clara CA 95050
United States of America
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Jerome Francois
Inria and University of Luxembourg 615 Rue du Jardin Botanique 54600 Villers-les-Nancy
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|
Songklanakarin J. Sci. Technol. 44 (2), 524-529, Mar. - Apr. 2022
Original Article
On interior bases of a semigroup
Wichayaporn Jantanan 1 , Natee Raikham 1 , Ronnason Chinram 2 , and Aiyared Iampan 3*
1 Department of Mathematics, Faculty of Science, Buriram Rajabhat University, Mueang, Buriram, 31000 Thailand
2 Division of Computational Science, Faculty of Science, Prince of Songkla University, Hat Yai, Songkhla, 90110 Thailand
3 Department of Mathematics, School of Science, University of Phayao, Mueang, Phayao, 56000 Thailand
Received: 1 September 2021; Revised: 5 October 2021; Accepted: 26 October 2021
Abstract
The main purpose of this paper is to introduce the concept of interior bases of a semigroup. In addition, we give a characterization when a non-empty subset of a semigroup is an interior base of a semigroup and give necessary and sufficient conditions of an interior base of a semigroup to be a subsemigroup.
Keywords: semigroup, interior ideal, interior base, quasi-order
1. Introduction and Preliminaries
The notion of interior ideals of a semigroup has been introduced by Lajos (1976). Muhiuddin (2019) applied the cubic set theory to interior ideals of a semigroup. Muhiuddin and Mahboob (2020) introduced and studied int-soft interior ideals over the soft sets in ordered semigroups. Muhiuddin studied the concept of different types of ideals in semigroups, see (Muhiuddin, 2018; Muhiuddin, Mahboob, & Mohammad Khan, 2019). Based on the notion of interior ideals of a semigroup generated by a non-empty subset of a semigroup. The notion of one-sided bases of a semigroup was first introduced by Tamura (1955). Later, Fabrici (1972) studied the structure of a semigroup containing one-sided bases. After that, the concept of two-sided bases of a semigroup was studied by Fabrici (1975). Changphas and Summaprab (2014) introduced the concept of two-sided bases of an ordered semigroup. Recently, Kummoon and Changphas (2017) introduced the concept of bi-bases of a semigroup. The main purpose of this paper is to introduce the concept which is called interior bases of a semigroup. Also, we give a characterization when a non-empty subset of a semigroup is an interior base of the semigroup. Finally, we give necessary and sufficient conditions of an interior base of a semigroup to be a subsemigroup.
A semigroup is a pair ( , ) S in which S is a non-empty set and is a binary associative operation on , S i.e., the equation ( ) ( ) x y z x y z holds for all , , . x y z S
Throughout this paper, unless stated otherwise, we write the semigroup operation as multiplication and we mostly omit it typographically, i.e., we write S instead of ( , ), S xy instead of , x y ( ) x yz instead of ( ) x y z and so on.
For Aand Bare non-empty subsets of a semigroup , Swe define the set product ABof Aand , Bby
AB {| ab a
*Corresponding author
Email address: email@example.com
, A b }. B
For , a S we write Ba for { }, B a and similarly for . aB
Definition 1.1. (Lajos, 1976) A non-empty subset A of a semigroup S is called a subsemigroup of S if . AA A
Definition 1.2. (Lajos, 1976) A subsemigroup A of a semigroup S is called an interior ideal of S if . SAS A
Lemma 1.3. Let S be a semigroup and i A be a subsemigroup of S for all . i I If , i i I A then i i I A is a subsemigroup of . S
Proof. Assume that . i i I A Let , . i i I a b A Then , i a b A for all . i I Since i A is a subsemigroup of S for all , i I so i ab A for all . i I Thus . i i I ab A Therefore, i i I A is a subsemigroup of . S
Lemma 1.4. Let S be a semigroup and i A be an interior ideal of S for all . i I If , i i I A then i i I A is an interior ideal of . S
Proof. Assume that . i i I A By Lemma 1.3, i i I A is a subsemigroup of . S Next, we will show that ( ) . i i i I i I S A S A
Let
() .
i
xSAS
Then
1 2
x s as
for some
1 2
, s s S and.
i
a A Since,
i
a A we have
i
a A for all,
i I
i I
where
i
Ais an interior ideal of
Therefore,
Sfor all
A
i
i
is an interior ideal of. S
i I
Definition 1.5. Let S be a semigroup and let A be a non-empty subset of . S Then, the intersection of all interior ideals of S containing A is the smallest interior ideal of S generated by , A denoted by ( ) . I A
Lemma 1.6. Let S be a semigroup and let A be a non-empty subset of . S Then,
Proof. Let B
BB
A
(A
AA
AA
SAS
AA
AA.
AAA
SAS
Consider,
)( SAS A AA
ASAS
SAS
AAA
SAS
) SAS
()
AAAA AASAS SAS A
SAS SAS
.
AA SAS B
Thus B is a subsemigroup of . S Next, consider
SBS ()
S A
AA SAS S
(SA
SAS
SAA
SAAS
) SSAS S
SSASS
.
SAS SAS SAS SAS B
Thus . SBS B Hence, B is an interior ideal of S containing . A Finally, let C be an interior ideal of S containing . A Clearly, . A C Since C is a subsemigroup of , S we have . AA CC C Since C is an interior ideal of , S we have . SAS SCS C Thus . B A AA SAS C Hence, B is the smallest interior ideal of S containing . A
2. Main Results
In this part, the definition of interior bases of a semigroup and the algebraic structure of a semigroup containing interior bases will be presented.
SAS SAS
SASAA
SAS
i I
i I
I. So we have x s as
1 2
( ) S A S
i
)
A
i
for all
SASSAS
i I. Thus x
i I
A
i.
Definition 2.1. Let S be a semigroup. A non-empty subset A of S is called an interior base of S if it satisfies the following two conditions:
(2) if Bis a subset of Asuch that ( ) ,
I
S B then.
B A
Example 2.2. (Bussaban & Changhas, 2016) Let { , , , , } S a b c d f be a semigroup with the binary operation defined by:
The interior bases of S are { }, b { }, c { }, d and { }. f
Example 2.3. (Yaqoob, Aslam, & Chinram, 2012) Let {0,1,2,3} S be a semigroup with the binary operation defined by:
The interior base of S is {0,1}. But {0} and {1} are not interior bases of . S
First, we have the following useful lemma.
Lemma 2.4. Let A be an interior base of a semigroup , S and let , . a b A If , a bb SbS then . a b
Proof. Assume that , a bb SbS and suppose that . a b Let \{ }. B A a Then . B A Since , a b we have . b B We will show that ( ) . I B S Clearly, ( ) . I B S Next, let . x S Then, by ( ) , I A S we have . x A AA SAS There are three cases to consider:
Case 1:.
x A
Subcase 1.1:
Subcase 1.2:
x
x
Case 2:.
x AA Then
Subcase 2.1:
. a
a
x
a
1
Subcase 2.2:
x
1
1
a
a a
Subcase 2.3:
x
1
2
a
1
a a
Subcase 2.4:
x
2
a
1
a a
2 1
.
a a
Then
( ) .
I
x B B
By assumption, we have a a
1 2
for some
1 2
, a a
x
A
and
2.
a a
.
Then and
a a
1
2
a
(
a
bb and
aa
2
2
a
( B bb
a and
2
a
1 2
,.
a a
B We have
. a
By assumption and bb
SbS BB
x
a
2
1 2
a a
SBS
B
) (
SbS B
BB
, we have
) SBS B
. a
Then
BBB SBSB
1
a B and by assumption, we have
SbS) ()
B BB
SBS
aa (bb
BBBB
. a
BBB BSBS
By assumption, we have
)( SbS bb
) SbS bbbb
BBSBS SBSBB
bbSbS
SBSSBS
( ) .
I
SBS SBS SBS SBS SBS B
Case 3: . x SAS Then 1 3 2 x s a s for some 1 2 , s s S and 3 . a A
BB
( ) .
I
B
( ) .
I
B
SBS SBS
SBS SBS
SbSSbS
a
SbSbb
SBS
SBS
( ) .
I
B
( ) . B
I
Subcase 3.1:
Subcase 3.2:
3
a a
3
. a Then
3.
a B We have x
a.
By assumption, we have
x
1 3 2
()
() ()
( ) .
I
sasS bb
SbS S
S BB
SBS S
SBB SSBS S
SBBS SSBSS SBS B
So, we obtain ( ) . I S B This implies ( ) , I B S which is a contradiction since A is an interior base of . S Thus . a b
Lemma 2.5. Let A be an interior base of a semigroup , S and let , , . a b c A If , a cb ScbS then a b or . a c
Proof. Assume that . a cb ScbS Suppose that a b and . a c Setting \{ }. B A a Then . B A Since a b and , a c we have , . b c B To show that ( ) ( ) . I I A B Let ( ) . I x A Then . x A AA SAS There are three cases to consider:
Case 1:.
x A
Subcase 1.1:
Subcase 1.2:
x x
x
Case 2:.
x AA Then
Subcase 2.1:
. a
. a
a
x
a
1
Subcase 2.2:
Subcase 2.3:
Subcase 2.4:
a
1
x
a
1
x
a
1
x
Then
( ) .
I
x B B
By assumption, we have
a a
cb ScbS BB SBBS
a a
1 2
for some and
1
, a a
a
2
. a
2
. A
Then and
a a
1 2
a
and a a
1
2
a
(cb
a
2
1 2
,.
a a
B We have
. a
2
B cb
Case 3:.
x SAS Then
Subcase 3.1:
a
and a a
1
(
a
By assumption and
( ) .
I
BB SBS B
x
a
2
1 2
a a
, B
) (
ScbS B
BB
we have
SBBS B
. a a
2
2
(
BBBB
Then
1
) BBB SBBSB
B and by assumption, we have
ScbS) ( B BB SBBS
. a
) BBB BSBBS
By assumption, we have cb
x
a
3
Subcase 3.2:
3
1 3 2
s a s
. a.
a a
x
1
)()
ScbS cb
ScbS cbcb
BBSBBS SBBSBB
for some
1
cbScbS
SBBSSBBS,
2
s s
S and
Then
3.
a B We have x
By assumption, we have s a s
3 2
()
S cb
ScbS S
From both cases, we obtain ( )
( ) .
I
I
A B Since
()
S BB
SBBS S
A
ScbScb
SBS
a
3
. A
s a s
1 3 2
( ) .
I
( ) .
I
B
SBS B
SBS ( ) .
I
B
ScbSScbS
( ) .
I
B
( ) .
is an interior base of
I
B
SBBS
S
SSBBSS
we have,
SBS
S ( )
( )
( ) .
I
B
.
I
I
A B S
Thus ( ) ,
I
S B
which is a contradiction. Therefore, a b or.
a c
To give a characterization when a non-empty subset of a semigroup is an interior base of a semigroup, we need the concept of a quasi-order defined as follows:
Definition 2.6. Let S be a semigroup. Define a quasi-order I on S by, for any , , a b S
a
( )
( ) .
I
I
I
b a b
The following example shows that the order I defined above is not, in general, a partial order.
Example 2.7. From Example 2.2, we have that ( ) ( ) I I b c (i.e., I b c ) and ( ) ( ) I I c b (i.e., I c b ), but . b c Thus I is not a partial order on . S
Lemma 2.8. Let A be an interior base of a semigroup . S If , a b A such that , a b then neither I a b nor . I b a Proof. Assume that , a b A such that . a b Suppose that . I a b Then ( ) ( ) . I I a a b Since ( ) I a b b bb SbS and , a b so we have . a bb SbS By Lemma 2.4, . a b This is a contradiction. The case I b a can be proved similarly. Thus I a b and I b a are false.
Lemma 2.9. Let A be an interior base of a semigroup . S Let , , a b c A and . s S
SBS
s a s
1 3 2
SBS ( ) . B
I
BB
(1) If , a bc bcbc SbcS then a b or . a c
(2) If , a sbcs sbcssbcs SsbcsS then a b or . a c
Proof. (1) Assume that , a bc bcbc SbcS and suppose that a b and . a c Let \{ }. B A a Then . B A Since a b and , a c we have , . b c B We will show that ( ) ( ) I I A B . It suffices to show that ( ) . I A B Let . x A If , x a then ( ) . I x B B So ( ) . I x B If , x a then by assumption, we have
x
( ) .
I
a
bc bcbc
SbcS BB BBBB SBBS BB SBS B
Thus ( ) . I A B This implies ( ) ( ) . I I A B So ( ) ( ) . I I S A B S Hence, ( ) . I S B This is a contradiction. Therefore, a b or . a c
(2) Assume that , a sbcs sbcssbcs SsbcsS and suppose that a b and . a c Let \{ }. B A a Then . B A Since a b and , a c we have , . b c B We will show that ( ) ( ) I I A B . It suffices to show that ( ) . I A B Let . x A If , x a then ( ) . I x B B So ( ) . I x B If , x a then by assumption, we have
x
( ) .
I
a
sbcs sbcssbcs
SsbcsS SBBS SBBSSBBS SSBBSS SBS B
Thus ( ) , I x B and so ( ) . I A B This implies ( ) ( ) . I I A B So ( ) ( ) , I I S A B S and hence, ( ) . I S B This is a contradiction. Therefore, a b or . a c
Lemma 2.10. Let Abe an interior base of a semigroup. S.
(1) For any , , , a b c A if a b and , a c then I a bc '
(2) For any , , a b c A and , s S if a b and , a c then . I a sbcs '
Proof. (1) Let , , , a b c A where a b and . a c Suppose that . I a bc Then ( ) ( ) . I I a a bc Since ( ) , I a bc bc bcbc SbcS by Lemma 2.9(1), we have a b or . a c This contradicts to assumption. Thus . I a bc '
(2) Let , , a b c A and , s S where a b and . a c Suppose that . I a sbcs Then ( ) ( ) . I I a a sbcs sbcs sbcssbcs SsbcsS By Lemma 2.9(2), it follows that a b or . a c This contradicts to assumption. Thus . I a sbcs '
Lemma 2.11. Let A be an interior base of a semigroup . S For any , a b A and 1 2 , , s s S if , a b then 1 2 . I a s bs ' Proof. Let , a b A and 1 2 , . s s S Assume that a b and suppose that 1 2 . I a s bs Then 1 2 ( ) ( ) , I I a a s bs and so 1 2 1 2 1 2 1 2 1 2 ( ) . I a s bs s bs s bs s bs Ss bs S Setting \{ }. B A a Then . B A Since , a b we have . b B We will show that ( ) ( ) I I A B . It suffices to show that ( ) . I A B Let . x A If , x a then ( ) . I x B B So ( ) . I x B If , x a then by assumption, we have
x
1 2 1 2 1 2
1 2
( ) .
I
a
s bs s bs s bs
Ss bs S SBS SBSSBS SSBSS SBS B
Thus ( ) ,
I
x B and so ( ) .
I
A B This implies ( )
( ) .
I
I
A B So ( )
( )
,
I
I
SABS
and hence, ( ) .
S B
contradiction. Therefore,
1 2.
I
a s bs'
The following theorem characterizes when a non-empty subset of a semigroup S is an interior base of . S
Theorem 2.12. A non-empty subset A of a semigroup S is an interior base of S if and only if A satisfies the following conditions:
(1) For any ,
x S
(1.1) there exists a A such that ; I x a or
(1.2) there exist 1 2 , a a A such that 1 2 ; I x a a or
(1.3) there exist 3 , a A 1 2 , s s S such that 1 3 2 I x s a s
(2) For any , , , a b c A if a b and , a c then . a bc '
I
(3) For any , a b A and 1 2 , , s s S if , a b then 1 2 . I a s bs '
I
This is a.
Proof. Assume that A is an interior base of . S Then ( ) . I S A To show that (1) holds, let . x S We have ( ) . I x A A AA SAS There are three cases to consider:
.
Case 1: . x A Then I x x
Case 2: . x AA Then 1 2 x a a for some 1 2 , . a a A This implies 1 2 ( ) ( ) . I I x a a Hence, 1 2 . I x a a
Case 3: . x SAS Then 1 3 2 x s a s for some 3 , a A 1 2 , . s s S We obtain 1 3 2 ( ) ( ) . I I x s a s Hence, 1 3 2 . I x s a s From both cases, we conclude that the condition (1) holds. The validity of (2) and (3) follow, respectively, from Lemma 2.10(1) and Lemma 2.11.
Conversely, assume that the conditions (1), (2) and (3) hold. We will show that A is an interior base of . S First, we claim that ( ) . I S A Clearly, ( ) . I A S By (1.1), we have . S A From (1.2), we obtain . S AA By (1.3), we have . S SAS So ( ) . I S A AA SAS A Thus ( ) . I S A Next, to show that A is a minimal subset of S with the property ( ) , I S A we suppose that ( ) I S B for some . B A Since , B A there exists x A such that . x B Since ( ) I x A S B and , x B we have . x BB SBS There are two cases to consider:
Case 1: . x BB Then 1 2 x a a for some 1 2 , . a a B We have 1 2 , . a a A Since , x B so 1 x a and 2 . x a Since 1 2 , x a a we obtain 1 2 ( ) ( ) . I I x a a Thus 1 2 . I x a a This contradicts to (2).
Case 2: . x SBS Then 1 3 2 x s a s for some 1 2 , s s S and 3 . a B We have 3 . a A Since , x B so 3 x a Since , x s a s we obtain ( ) ( ) . x s a s Thus . x s a s This contradicts to (3).
.
1 3 2
1 3 2
I
I
1 3 2
I
Therefore, Ais an interior base of. S
In Example 2.3, we have that {0,1} is an interior base of S where as it is not a subsemigroup of . S The following theorem we find a condition for an interior base is a subsemigroup.
Theorem 2.13. Let A be an interior base of a semigroup . S Then A is a subsemigroup of S if and only if for any , , a b A ab a or . ab b
Proof. Assume that A is a subsemigroup of . S Suppose that ab a and . ab b Let . c ab Then c a and . c b Since , c ab ab SabS by Lemma 2.5, we have c a or . c b This is a contradiction.
The converse statement is obvious.
3. Conclusions
In this paper, we introduce the concept of interior bases of a semigroup by using the concepts of bases and interior ideals of a semigroup. The main theorems of this paper are Theorem 2.12 and Theorem 2.13. In Theorem 2.12, we give the necessary and sufficient condition for a nonempty subset of a semigroup to be an interior base. In Theorem 2.13, we give the necessary and sufficient condition for an interior base of a semigroup to be a subsemigroup.
In the future work, we can introduce other bases of a semigroup by using concepts of bases and other ideals of a semigroup.
References
Bussaban, L. & Changphas, T. (2016). On ( , ) m n -ideals and ( , ) m n -regular ordered semigroups. Songkla nakarin Journal of Science and Technology, 38(2), 199-206.
Changphas, T. & Summaprab, P. (2014). On two-sided bases of an ordered semigroup. Quasigroups and Related Systems, 22, 59-66.
Fabrici, I. (1972). One-sided bases of semigroups. Matematický Casopis, 22(4), 286-290.
Fabrici, I. (1975). Two-sided bases of semigroups. Matematický Casopis, 25(2), 173-178.
Kummoon, P. & Changphas, T. (2017). On bi-bases of a semigroup. Quasigroups and Related Systems, 25, 87-94.
Lajos, S. (1976). ( , , ) m k n -ideals in semigroups. Notes on Semigroups II, (1), 12-19.
Muhiuddin, G. (2018). Neutrosophic subsemigroups. Annals of Communications in Mathematics, 1(1), 1-10.
Muhiuddin, G. (2019). Cubic interior ideals in semigroups. Applications and Applied Mathematics, 14(1), 463-474.
Muhiuddin, G. & Mahboob, A. (2020). Int-soft ideals over the soft sets in ordered semigroups. AIMS Mathematics, 5(3), 2412-2423.
Muhiuddin, G., Mahboob, A. & Mohammad Khan, N. (2019). A new type of fuzzy semiprime subsets in ordered semigroups. Journal of Intelligent and Fuzzy Systems, 37(3), 4195-4204.
Tamura, T. (1955). One-sided bases and translations of a semigroup. Mathematica Japonica, 3, 137-141.
Yaqoob, N., Aslam, M. & Chinram, R. (2012). Rough prime bi-ideals and rough fuzzy prime bi-ideals in semigroups. Annals of Fuzzy Mathematics and Informatics, 3(2), 203-211.
|
Issue 4 Jan/Feb 08
A Good Season for Pests
Last years rain may not have been enough to break the drought, but in comparison it wasn't a bad year. With some great pre winter rain falls and pretty decent spring follow up the Bega Valley turned green again. Maybe even shades of yellow or purple!
As it has been so long since decent rain, it's also been a while since we have seen some weeds really taking hold. I know on our property Paterson's Curse has made a come back. There were a few plants around last season that I didn't get on top of and now with the good rains over winter about 30% our river flat paddock is covered in it.
for residents in Brogo and Kalaru, but I'm sure they're not alone. Controlling rabbits in open farmland can be more straight forward than in not so accessible bushland. There are many methods for controlling rabbits and you'll want to make sure you create the least amount of soil disturbance in doing so. Working with your neighbours is really the best approach, going alone can be tough and self-defeating. If you can get a group of locals together the CMN is happy to help organise a control program in conjunction with the Rural Lands Protection Board (RLPB). The RLPB can help landholders by providing advice and assistance in eradicating declared pest species which include rabbits.
So while it's quite easy to look out over the paddocks and see changes, it's not all that easy to notice what's going on in your native vegetation remnants, especially if you've got a lot of understorey. I'd suggest that now is a good time to get out for a walk to see what is going on. Leaving it much later and you may find it's too late for some weeds, particularly grasses, a lot of which are flowering now or already seeding.
From the contact that Vickie and I have with so many landholders we can certainly say that fireweed is not just a problem in pasture anymore. More and more we are hearing people say they are now finding it popping up in the bush. It may not be as rampant but with good weather like we've been having it is bound to be on the increase.
Another part of your property that may be experiencing an increase in weeds is in drainage lines or perennial creeks. These will have been mostly dry over the past few years but even if not flowing at the moment may be moist. With the heat of summer these areas are perfect conditions for an insurgence from seed that has been waiting patiently in the soil.
Probably the other most concerning pest problem on the rise is rabbits. They are benefiting from the good season also. Through our Local Link program we've found that rabbits are a vegetation management issue
So as the peak growing period is underway it's time to get out and survey your emerging pest and weed threats. The CMN is set up to support landholders to manage their native vegetation better so if you're unsure where to start or how to tackle the problem get in touch with us. We may not have the answers but can point you in the right direction or find the right person to contact you.
Dan Williamson - CMN Facilitator
FSCCMN newsletter
CONTENTS
Contact the FSCCMN
Dan and Vickie Williamson PO Box 816 Bega NSW 2550 (02) 6492 5558 email@example.com www.fsccmn.com.au
Coordinators Column
As we push into dry January and humid February we hope you were able to get the bulk of your weeding jobs done in the cooler weather. The upside to the longer days is that any plantings should show good growth if the heat doesn't get too extreme.
In this issue we review the seed collecting workshop which was held in November. Notes from the workshop are also on the CMN website. The next workshop in the series will show you how to propagate local species. See Events on page 7 for more details, you can book now.
Our Local Link activities are developing with the latest being in Kalaru. The focus for Kalaru was to highlight the local fauna that are threatened by increasing development. About 60 residents came along and enjoyed meeting old and new faces. One of the key messages was that Kalaru is part of a vital wildlife corridor that runs between Mimosa Rocks and Bournda National Parks.
We've had a number of concerns pass to us about changes to Voluntary Conservation Agreement (VCA) valuations. From our discussions it seems there are moves to fix the situation and we are pushing for it to be swift. Unfortunately policy amendments can take a long time. We'll keep you informed when we hear more.
A focus for us this quarter is to develop the CMN website to better service members. If you have anything to share with other members or if there is something you'd like to see on the website please let us know.
Hopefully your Xmas and New Years celebrations were fun and you were able to find some time to rest and enjoy the land that you work so hard on.
We hope to see you at an event soon.
Dan and Vick
Your CMN, What do you want?
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.
The network will provide information and activities to help landholders decide the best way to manage their vegetation to get the outcomes they want. This includes:
* Field Days and Workshops
* Web site at www.fsccmn.com.au
* Regular email updates and event reminders
* A bi-monthly newsletter
* Display and trial sites
The FSCCMN is funded by the Southern Rivers Catchment Management Authority.
FSCCMN Events
Kalaru Local Link November 07
Our Local Link program is still only new so we are experimenting with different approaches. In fact, each area needs a different approach as issues, landscape and community also differ. What was particularly different about this gathering was that it was instigated by members of that community. A resident of Strathmore Crescent near Blackfellows Lake came to us with concerns about the increase in clearing for development surrounding the lake and the fragmentation of its critical wildlife corridor value.
Native Seed collecting November 07
So a gathering as held and what a success it was. Around 60 individuals turned up for the Sunday evening BBQ including long time residents, newcomers and children. It was a very social evening however the highlight of the night was the presentations about local wildlife.
Doug Reckord (who was host for the gathering) gave an interesting talk outlining some of the endangered animals that frequent the neighbourhood. These include the yellow-bellied glider, powerful owl, sooty owl, gang gang cockatoo and glossy-black cockatoo. Doug played some of the calls from his laptop to the group and many were quite surprised to hear what a Yellowbellied Glider sounded like.
Steven Sass, Ecologist with NGH Environmental, then gave some greater details about these animals' particular habitat requirements. The contributing factors leading to the decline of these animals mostly relates to their feeding with either very large home ranges or very specific feeding requirements. There are also a lack of mature hollow bearing trees due to Kalaru's long history of clearing to feed the brickworks kilns. This highlighted the need to protect the vegetation in their area that acts as a corridor between Bournda National Park in the south and Mimosa Rocks National Park in the north.
After a gourmet BBQ, salads, desert, tea and coffee the night finished off with a spotlight walk using Steven's megaphone and playback equipment to try and call in some of the known species. None were spotted but all had a great time.
What are the issues in your area? Can we help? Contact us and let's get a Local Link happening in your area.
Native Seed Collecting was the first of a series of workshops equipping landholders with the skills to produce their own seedlings for native revegetation projects. The first step obviously is collecting the seed from the desired plants which was the focus for this workshop.
Ten Bega Valley residents attended and were generally amazed at the level of thought and skills needed to collect viable seed. Jock Morse, Far South Coast Seedbank officer lead the workshop which covered seed selection, harvest techniques, storage and record keeping. Jock also outlined the benefits in using local indigenous seed from the area you wish to plant. The plants will be more suited and have a better success rate than non local seed sources.
Most of the day was spent out in the field actually collecting different types of seed from grasses, shrubs, herbs and trees. The hot humid weather made it uncomfortable but all soldiered on and were glad to come away feeling confident about their skills in collecting useful seed for their vegetation improvement plans.
See page 7 for details of workshop 2, native seed propagation.
Weed Updates
The up side of weeding by Jackie Miles
Although weekly fireweed patrols are something of an imposition they do have their positive side. Patrolling offers the chance to make interesting observations of what's going on in the natural world. Fireweed is unusual in growing all through the winter which gets me out and about at times when I might otherwise be curled up in front of the fire with a book.
Last winter the interesting observation was the amount of parsley fern (Botrychium australe) on my block. I already knew I had this one, but it came up in unprecedented amounts and locations. It looks a bit like a virusafflicted young bracken frond, with curly tips and a plastic-like gloss. You have to be peering closely at the ground to notice it, as it usually appears with just a single sterile and a single fertile (sporebearing) frond.
In early spring, following good winter rainfall, there were unusually large numbers of the common greenhood orchid (Pterostylis curta) and maroonhood (Pterostylis pedunculata). The donkey orchids (Diuris sulphurea) were a bit down in numbers on the previous year but with recent good rains, weathergrass (Hypoxis hygrometrica), a small yellow-flowered lily with grasslike leaves, went crazy. It looks like being a bumper season for trigger plants too (Stylidium graminifolium), and I will be keeping an eye out for Austral ladies' tresses orchids (Spiranthes sinensis) a bit later on. They only pop up in a wet summer, usually close to water,
So when you are grumbling about having to get out there again with bag and gloves, think of all the interesting things you might get to see. You can find photos of the plants mentioned at the Bega Valley website http://thebegavalley. org.au/plants.html
4
Blue Hound's Tongue (Cynoglossum creticum)
Potential threat to the far south coast and beyond
Blue hound's tongue is a weed on the Alert List for Environmental Weeds, a list of 28 non-native plants that threaten biodiversity and farming productivity. Currently it occurs on only a few sites in the whole of Australia all of which are in the Towamba River area west of Eden.
Although only in the early stages of establishment, blue hound's tongue has the potential to seriously degrade Australia's ecosystems and farming enterprises. It could cause problems if it becomes established in Australia as its leaves are toxic to livestock and it has burrs that attach to cattle, causing irritation. It has potential to invade grasslands and suppresses native grasses.
A problem weed in Argentina and Chile, blue hound's tongue was first recorded in Sydney in 1898. In 1933 a naturalised population was noted in Eden and its presence was confirmed up until 1976. The two new infestations in Towamba were recorded in 2004
Blue hound's tongue is a biennial plant which grows up to 600 mm high. Its stems are densely covered with fine hairs. It has dark-green leaves, up to 200 mm long and 25–35 mm wide, covered with long coarse hairs. The base of the leaf is heart-shaped and clasps the stem. The leaves are alternately placed and decrease in size up the stem. In the first year of growth, blue hound's tongue forms a rosette; this is followed by one or more tall flowering stems during the second growing season. The flower, a 10–11 mm long tube, is pink to blue and has darker hairless veins and stamens growing from the base of the tube. Each flower produces four 'nutlets' covered with short, hooked or barbed prickles when mature. The seeds are oval and 6–8 mm long, and their outer surface is thickly covered with prickles, each mature plant can produce several hundred seeds.
There is a native look-a-like, Cynoglossum australe. Photos can be viewed at http://thebegavalley.org. au/plants.html
More info about blue hound's tongue can be found at www.weeds.crc.org.au Use the search function to find specific links.
If you think you've seen this weed elsewhere, rather than trying to control it yourself, the best course of action is to contact Ann Herbert, Bega Valley Shire Council Noxious Weeds Manager for assistance. 6499 2288 firstname.lastname@example.org
Management Advice
Biodiversity Corridors on your Property By Dan Williamson, CMN Facilitator
Clearing of land for agriculture, urban development and many other changes to the natural environment has greatly reduced the amount of habitat available to flora and fauna on the far south coast. The fragments of natural vegetation that remain in farming areas are often small and isolated from one another.
Wildlife or biodiversity corridors are corridors of remnant or planted vegetation which allow flora and fauna to move across a wider landscape. This allows the wildlife to:
There are many opportunities to incorporate corridors into your property plan. They may benefit not only wildlife but also the ecological balance that supports your farming system.
Respond to environmental variability - move from scarce to plentiful food/water sources •
Respond to population pressure - move from over-populated to under-populated areas •
Access a wider range of breeding partners, preventing inbreeding and loss of genetic diversity •
Have you ever thought about wildlife corridors on your property? Most likely you've considered where your remnant vegetation is, maybe even prioritised high and lower quality biodiversity. But what of the connectivity of your remnants? Firstly there is the connectivity to other remnants on your property and secondly to the wider landscape.
If you haven't already done so, having an aerial map or photograph is the best tool you could get your hands on. Try using the free software Google Earth www.earth.google.com You'll need to download the program and unfortunately need broadband. If you don't have broadband we would be happy to save a few images of your property if you contact us.
Having a look at your landscape from above gives you a great perspective of size, shape and linkages between remnants. Drainage lines, waterways, areas adjacent to roads, rocky hilltops and along fence lines are all places where habitat corridors might be created in cleared land. Co-operative action between several landowners may be necessary to link habitat areas.
Aspects of a corridor should include:
Be continuous and link areas of wildlife habitat •
Try to represent all forms of vegetation where natural to the area (trees, shrubs, ground cover, fallen logs and leaf litter); •
Wide enough and have suitable habitat for the animals to live in as well as to move through •
Also be wide enough so the corridor is not all 'edge'. Edges of remnants are exposed to weeds and expose fauna to predation as they move through. Incorporate an edge 'buffer' to help prevent this. •
If you think there are options to build biodiversity corridors into your property, contact us as a first point of call. We can then talk to different project officers from the various government agencies in the region to see if there may be some financial or management assistance available for you.
Have other benefits e.g. wind breaks, shelter belts for stock, nutrient soaks from intensive agriculture, act as barriers from wind blown weed and insects etc. •
The photo below shows a biodiversity corridor linking a national park to riparian vegetation. This allows fauna to access water and utilise the riparian corridor as a highway linking up other nearby national parks and reserve systems.
Project
Hollow-bearing Trees
Tree hollows are cavities formed in the trunk or branches of a live or dead tree. The importance of tree hollows for a range of animal species is well documented with some 179 animal species occurring in forests of NSW that are hollow-dependent. These animals include 46 mammals, 85 birds, 32 reptiles and 16 frogs.
Such hollows are usually more characteristic of older, mature to over-mature trees but may form in earlier growth stages depending on tree species. Trees with hollows are termed 'hollow bearing trees' or 'habitat trees'.
Hollows usually take a long time to form, and in particular, large hollows may only occur in very large, old trees (100 – 150 years plus in age). Hollows in trees are usually formed as a result of wind breakage, lightning strike or fire and/or due to termite, insect or fungal attack.
They may vary in size, both in cavity opening diameter and cavity depth and volume, from small openings of 2 – 6 cm to very large with entrance diameters of 18 – 30 cm or more.
Such diversity caters for the wide range of animal species which utilise tree hollows from small insectivorous bats weighing less than 10 grams to large animals such as the powerful owl, glossy black cockatoo, yellowbellied glider and greater glider.
Maintaining hollow-bearing trees is something you may want to consider when selecting timber or firewood trees from your vegetation.
This information is taken from
www.environment.nsw.gov.au/pnf/ pnfadvisorynotes.htm This site has a number of good brief fact sheets about managing habitat and biodiversity in remnant and plantation vegetation.
6
Updates
Introducing BRAWL
The Bega River and Wetlands Landcare Group (BRAWL) formed in 2006 and now has around 20 members. Our focus is on Bega's Urban Wetlands including the Bega River close to the town centre. We hold working bees on the last Saturday of each month between 9am and 11am.
What we've been up to during the year:
Planting 2000 Bega Dry Grass Forest species above the junction of the Bega and Brogo Rivers (BRAWL worked with CVA and Jock Waugh to fence, lay weedmat and plant out the .75 ha of degraded Crown Land) •
Flora and fauna survey work around Spence's Lagoon (behind the Bega Old Wares site) •
Drafting a management plan for Spence's Lagoon and initial weed clearing for access •
Further planting of the BEND anabranch to stabilize its banks •
Water quality monitoring of our 3 primary sites through Waterwatch •
Submission to the Bega Town Planning process •
What we're looking forward to this year:
A community Frog Monitoring event in cooperation with FSCCMN •
Finalising the Spence's Lagoon Management Plan •
Submitting a DA to BVSC for a walking path and birdhide from Gipps St Bega, around Spence's Lagoon, across the BEND land to the Bega River •
Rehabilitation work around the Lagoon including weed removal and planting •
Protecting banks of the Bega River through bollard construction •
Providing a historical/cultural information shelter in Council's reserve at the Bega River •
Lots of other exciting urban wetland adventures! •
For more information about BRAWL or to help out, contact me on 6492 0518 or visit our website on the www.thebegavalley.org.au/begariver.html
Ali Rodway
Project Officer, BRAWL
Resources Events
Resources for Veg Management
* Other CMN's
Upcoming Events
See what other CMN's are doing around Australia.
www.gbwcmn.net.au www.egrainforest.org.au
www.southern.cma.nsw.gov.au/monaro.php
* Endangered ecological communities
Endangered Ecological Community (EEC) is a term referring to a plant community that is under threat. There are 12 EEC's in the South East Corner of NSW. www.esc.nsw.gov.au/Environment/ThreatenedSpecies/index.html
* Grasslands
Living in the Bega valley, chances are you may have some native grassland. If you're keen to know more about native grasslands contact Friends of Grasslands www.fog.org.au
* Weeds
Regional information and photos of environmental weeds can be sourced at www.esc.nsw.gov.au/weeds and for noxious weeds see www.southeastweeds.org.au Photos of a wide range of native plants and weeds of the south coast are at www.thebegavalley.com/plants.html
* NPWS private land conservation publications
Some great publications related to managing native vegetation www.nationalparks.nsw.gov.au/npws.nsf/content/conservation_partners (sorry about the long address!) Scroll to the bottom of the page and click on publications
* Threatened species
If you want to improve or create habitat for a threatened animal or plant, a very comprehensive web site is www.threatenedspecies.environment.nsw.gov.au/tsprofile
* Centre for Plant Biodiversity Research
Great database of web sites related to plant research and identification. www.anbg.gov.au/databases/database-table
* Fire and vegetation management
The Nature Conservation Council sponsored the 'Hotspots' fire project. Their website has detailed information to help you understand fire management www.nccnsw.org.au (look for Hotspots Fire Project under campaigns)
VCA rates update
Most landholders with a Voluntary Conservation Agreement (VCA) on their land would know about the changes to how VCA properties are charged rates. We have been following this issue since it came to our attention and are in full support of landholders. From our inquiries, positive amendments are in the process but may take a while yet.
Landholders wishing to seek clarification on the matter can contact:
Stuart McMahon
Manager Community Programs Unit, NSW Department of Environment and Climate Change, ph: 02 6298 0327 email@example.com
Native seed propagation
Saturday 8th March, 10am-3pm
Part two in the 'Grow Your Own' series looks at propagating native plants for your revegetation projects at home. The workshop will cover soil preparation, seed preparation specific to native plants, equipment, hygiene and seedling care.
Tulgeen Riverside Nursery All food (and treats) provided RSVP necessary, Dan & Vick 6492 5558 or firstname.lastname@example.org
CMN Website
www.fsccmn.com.au
Local Vegetation Management Services
A list is now available on the CMN web site that outlines businesses or individuals on the far south coast that provide services in vegetation or landscape management.
Examples of services include bush regeneration, native plant propagation, flora and fauna surveys, ecological advice, vegetation management planning, weed management etc.
If you provide such services and have not been added to the list, please contact us and we'll happily include your details. Likewise if we have misrepresented your service or details.
7 3
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ASB Capital No. 2 Limited Half Year Report
For the six months ended 31 December 2016
Contents
Half Year Report
For the six months ended 31 December 2016
The Directors of ASB Capital No. 2 Limited are pleased to announce an unaudited net profit after tax of $4,031,000 for the six months ended 31 December 2016 (unaudited of $5,454,000 for the six months ended 31 December 2015, audited of $10,570,000 for the year ended 30 June 2016).
On 16 May 2016 the dividend rate on the perpetual preference shares for the period 16 May 2016 to 15 May 2017 was reset to 3.20% per annum including imputation credits payable quarterly in arrears. The rate to 16 May 2016 was 4.34% per annum including imputation credits.
Perpetual preference dividends paid during the period including imputation credits were:
The Directors have declared a gross dividend of 0.8000 cents per share including imputation credits. The cash dividend of 0.5760 cents per share will be paid on 15 February 2017 to holders of perpetual preference shares on the register at 5.00pm on 7 February 2017. A supplementary dividend to be calculated after 7 February 2017 will be paid at the same time on perpetual preference shares held by non-residents.
J.E. Raby
N.C. Annett Director
Chairman 19 January 2017 Chairman
J.E. Rab aby
Directory
Directors
J.E. Raby (Chairman) B.J. Chapman K.C. McDonald N.C. Annett
Registered Office
Level 2 ASB North Wharf 12 Jellicoe Street Auckland 1010 New Zealand Telephone: +64 9 377 8930
Auditor
PricewaterhouseCoopers Chartered Accountants PwC Tower 188 Quay Street Auckland 1010 New Zealand www.pwc.com/nz
Share Registrar
Computershare Investor Services Limited Level 2 159 Hurstmere Road Takapuna Auckland 0622 New Zealand
Managing Your Shareholding Online
To change your address, update your payment instructions and to view your investment portfolio including transactions, please visit: www.investorcentre.com/nz
General enquiries can be directed to:
* email@example.com
* Private Bag 92119, Auckland 1142
* Telephone: +64 9 488 8777
Please assist our registrar by quoting your CSN or shareholder number.
Statement of Comprehensive Income
Statement of Changes in Equity
Balance Sheet
13
1
For, and on behalf of, the Board of Directors, who authorised the issue of these financial statements on 19 January 2017.
J.E. Raby Chairman J E Raby
N.C. Annett Director
Cash Flow Statement
Notes to the Financial Statements
For the six months ended 31 December 2016
1 Statement of Accounting Policies
The reporting entity, ASB Capital No. 2 Limited (the "Company"), was incorporated in New Zealand on 18 November 2004 and is registered under the Companies Act 1993. The Company is a wholly owned subsidiary of CBA Funding (NZ) Limited, the ultimate parent of which is the Commonwealth Bank of Australia ("CBA").
ASB Capital No. 2 Limited is a finance company that has issued perpetual preference shares to the New Zealand market and is a reporting entity under the Financial Markets Conduct Act 2013 ("FMCA"). Its perpetual preference shares are listed on the New Zealand Stock Exchange ("NZX") under the code: ASBPB.
These condensed interim financial statements have been prepared in accordance with New Zealand Generally Accepted Accounting Practice ("NZ GAAP") as appropriate for profit-oriented entities, NZ IAS 34 Interim Financial Reporting and the NZX Listing Rules. These interim financial statements do not include all the information and disclosures required in annual financial statements and should therefore be read in conjunction with the Company's financial statements for the year ended 30 June 2016.
The functional and presentation currency of the Company is New Zealand dollars. All amounts contained in this Half Year Report are presented in thousands, unless otherwise stated.
There have been no changes to accounting policies during the period ended 31 December 2016. All policies have been applied on a basis consistent with that used in the year ended 30 June 2016.
2 Related Party Transactions and Balances
The Company has conducted financial transactions with fellow subsidiaries of CBA. These transactions were conducted on market terms and conditions, and within the Company's approved policies.
The Company has advanced the proceeds of the issue of perpetual preference shares to ASB Funding Limited. Interest is currently receivable quarterly at 3.20% per annum (4.34% per annum for the year ended 16 May 2016). The next interest payment date is 15 February 2017.
ASB Funding Limited has in turn invested the advanced sum in perpetual preference shares issued by ASB Bank Limited. ASB Funding Limited, New Zealand Guardian Trust Company Limited (the "Trustee") and the Company are parties to a Trust Deed, whereby ASB Funding Limited provides covenants to the Trustee for the benefit of holders of the Company's perpetual preference shares and grants security over ASB Bank Limited perpetual preference shares in favour of the Trustee.
The advance to ASB Funding Limited is repayable only in the event of the liquidation of ASB Funding Limited. However, if ASB Funding Limited receives any amount other than dividends in respect of the ASB Bank Limited perpetual preference shares, ASB Funding Limited is required to pay that amount to the Company in reduction of the advance (unless the Trustee requires it to be paid to the Trustee instead). The full terms of the advance are recorded in the Advance Agreement, a copy of which may be obtained free of charge from the Company's registered office.
PricewaterhouseCoopers is the appointed auditor of the ASB Group of companies. The audit fee is paid by ASB Bank Limited on behalf of the Company. No fees for other services were paid by the Company to PricewaterhouseCoopers during the period ended 31 December 2016 (31 December 2015 nil, 30 June 2016 nil).
Notes to the Financial Statements
For the six months ended 31 December 2016
3 Dividends
Dividends per perpetual preference share inclusive of imputation credits for the six months ended 31 December 2016 were 1.6000 cents per share (six months ended 31 December 2015 2.1700 cents per share, year ended 30 June 2016 4.3400 cents per share).
4 Fair Value of Financial Instruments
The carrying values of cash and cash equivalents, interest receivable from related party and other liabilities approximate their respective fair values.
The fair value of the advance to ASB Funding Limited is estimated using the current market price of the perpetual preference shares as an input given their inherent link (refer to note 2 for further details of the terms and conditions of the advance). As at 31 December 2016, its fair value was estimated as $245,310,000 being the amount of the advance multiplied by the NZX quoted price of the perpetual preference shares as at that date and adjusted for accrued interest (31 December 2015 $288,579,000, 30 June 2016 $271,561,000). This fair value estimate is a level 2 measure under NZ IFRS 13's fair value hierarchy.
5 Contingent Liabilities
The Company has no contingent liabilities as at 31 December 2016 (31 December 2015 nil, 30 June 2016 nil).
6 Financial Reporting by Operating Segments
The Company operates in New Zealand in one industry segment. Its primary business is financial services.
7 Events after the Reporting Period
On 19 January 2017 the Directors declared a gross dividend of 0.8000 cents per share, including imputation credits. The cash dividend of 0.5760 cents per share will be paid on 15 February 2017 to all registered holders of perpetual preference shares at 5.00pm on 7 February 2017.
There were no other events subsequent to the reporting period which would materially affect the financial statements.
Independent Review Report
Independent Review Report
To the shareholders of ASB Capital No. 2 Limited
Report on the Financial Statements
We have reviewed the accompanying half year financial statements of ASB Capital No. 2 Limited (the "Company") on pages 3 to 7, which comprise the balance sheet as at 31 December 2016, the statement of comprehensive income, the statement of changes in equity and the cash flow statement for the six months then ended, and a statement of accounting policies and selected explanatory notes.
Directors' Responsibility for the Financial Statements
The Directors are responsible on behalf of the Company, for the preparation and presentation of these half year financial statements in accordance with New Zealand Equivalent to International Accounting Standard 34 Interim Financial Reporting ("NZ IAS 34") and for such internal controls as the Directors determine are necessary to enable the preparation of financial statements that are free from material misstatement, whether due to fraud or error.
Our Responsibility
Our responsibility is to express a conclusion on the accompanying half year financial statements based on our review. We conducted our review in accordance with the New Zealand Standard on Review Engagements 2410 Review of Financial Statements Performed by the Independent Auditor of the Entity ("NZ SRE 2410"). NZ SRE 2410 requires us to conclude whether anything has come to our attention that causes us to believe that the financial statements, taken as a whole, are not prepared in all material respects, in accordance with NZ IAS 34. As the auditor of the Company, NZ SRE 2410 requires that we comply with the ethical requirements relevant to the audit of the annual financial statements.
A review of financial statements in accordance with NZ SRE 2410 is a limited assurance engagement. The auditor performs procedures, primarily consisting of making enquiries, primarily of persons responsible for financial and accounting matters, and applying analytical and other review procedures. The procedures performed in a review are substantially less than those performed in an audit conducted in accordance with International Standards on Auditing (New Zealand). Accordingly we do not express an audit opinion on these half year financial statements.
We are independent of the Company. Other than in our capacity as auditor we have no relationship with, or interests in, the Company.
Conclusion
Based on our review, nothing has come to our attention that causes us to believe that these half year financial statements of the Company are not prepared, in all material respects, in accordance with NZ IAS 34.
Independent Review Report (continued)
Independent Review Report
ASB Capital No. 2 Limited
Restriction on Use of our Report
This report is made solely to the Company's shareholders, as a body. Our review work has been undertaken so that we might state to the Company's shareholders those matters which we are required to state to them in our review report and for no other purpose. To the fullest extent permitted by law, we do not accept or assume responsibility to anyone other than the Company and the Company's shareholders, as a body, for our review procedures, for this report or for the conclusion we have formed.
Chartered Accountants 19 January 2017
Auckland
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Further Studies on the Erythrocytic Host Response in Moloney Murine Leukemia
SanfordH. Vernick' BolivarJ. Lloyd,Jr., KalmanPerk,2and HarvieSims
Viral Biology Branch, National Cancer Institute, Bethesda, Maryland t@Xl14
SUMMARY
The red blood cells of 2-day-old normal and 8-week-old Moloney leukemia-infected BALB/c mice were examined using fragiligraphy, electron microscopy, and hemoglobin elec trophoresis. Results of fragiligraphy revealed similar bimodal curves representing two RBC populations for the young normal and adult leukemic animals. Electron microscopy confirmed these two populations and revealed similarities in morphology between RBC's from the 2-day-old normals and 8-week-old leukemic animals. Electrophoresis showed no evidence of fetal hemoglobin in any of the samples. Thus, it is assumed the cells from the osmotically more resistant second populations in the leukemic animals are not fetal type cells in the sense of hemo globin-types, but similar to the fetal erythrocytes which start to develop in the fetal liver (12th to at least the 17th day of gestation) and subsequently in the fetal bone marrow (after Day 16).
INTRODUCTION
Perk et a!. (9), using a fragiligraph (Elron Electronics Indus tries, Haifa, Israel) which records gradual osmotic hemolysis levels, showed that the blood of the majority of adult BALB/c mice, regardless of sex, exhibited during the interval from four to six-weeks after Moloney leukemia virus injection until the time of death a bimodal fragility curve indicating two erythro cyte populations: (a) the normal and (b) a more osmotically resistant population. Such bimodal curves have never been re ported for the normal BALB/c mouse after four weeks of age. However, bimodal fragiligrams have been described for the blood of healthy newborn calves, lambs, pigs, rabbits, mice, rats, hamsters, and guinea pigs (7) . The second more resistant red blood cell population disappeared after one RBC life span of the respective animal species and were therefore designated as “fetal―-typecells.
Further, the use of light microscopy showed that a close re semblance existed between the mouse fetal type of erythrocyte and those from the second more resistant population in the blood of mice with Moloney leukemia. It was suggested, there
1 Present address: Department of Zoology, University of Hawaii, Honolulu, Hawaii 96822.
2 Present address: The Hebrew University of Jerusalem Faculty of Agriculture, Rehovot, Israel.
fore, that the Moloney leukemia virus stimulated the hema topoietic tissue to release a fetal type of cell which under normal conditions is not recognizable in a healthy adult mouse.
In the present study, the red blood cells of 2-day-old normal mice and 8-week-old Moloney leukemia-infected mice were ex amined using fragiligraphy, electron microscopy, and hemoglo.. bin electrophoresis.
MATERIALS AND METHODS
Fragiligraphy
Blood (0.1 ml) was removed with a heparinized capillary pipet from the retroorbital venous plexus of 8-week-old BALB/c mice which were injected at four weeks of age with Moloney leukemia virus (MLV). Blood from 2-day-old normals was re moved by etherizing the animals, opening the axillary region, and drawing the blood with the pipet. The samples in each case were deposited in 1 ml of 0.86% phosphate-buffered saline (PBS), pH 7.2, and fragility curves (Fig. 1) were obtained using the fragiuigraph. The time was recorded to the end of the first peak (end of hemolysis of first erythrocyte population) and up to the time necessary for the second more resistant population to hemolyze.
Electron Microscopy
Other samples of blood (0.2 ml) were removed from 8-week old leukemic mice and from 2-day-old normals (pooled blood was used in this case because of the small amount of blood obtainable from 2-day-old mice).
Having determined by this method the time to the end of hemolysis, two new samples were prepared in like manner and dialyzed for a time proportional to that necessary for the first population to hemolyze in each case. For example, in the case of the normal blood, the fragiligraph tracing indicated complete hemolysis in an average time of 6.5 minutes, and the time to completion of the first peak averaged 3.2 minutes. In the di alysis bag, hemolysis was accomplished in 40 minutes ; thus,
Received November 13, 1967; accepted April 22, 1968.
on January 18, 2022. © 1968 American Association for Cancer cancerres.aacrjournals.org
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Research.
Having determined from the fragiligraph recordings the time to the end of the first peak and to complete hemolysis, two blood samples, one from the normal mice and one from leu kemic mice, were placed in 5 ml of PBS and washed 3 times at 1000 rpm for 3 minutes, resuspending the pellets in 5 ml of PBS each time. The final suspension in each case was trans ferred to a dialysis bag and completely dialized at 4°C against 4000 ml of distilled water to which approximately 0.1 gm of NaCl had been added to slightly retard the rate of hemolysis.
the time required for hemolysis of the first population was esti mated to be approximately 20 minutes.
The supernatant containing the ghosts of the more fragile first population was also centrifuged at 10,000 rpm for 10 mm utes to sediment them. Finally, all pellets were fixed in Dalton's chrome osmium (3) for 30 minutes at 4°C,followed by four washings in 5 ml of distilled water, each followed by centrifu gatiom at 10,000 rpm for 10 minutes, with final resuspension of the pellets in 1 ml of distilled water.
After removal of the samples from dialysis, they were placed immediately into PBS for 3 minutes to stop hemolysis. Follow ing this, the samples were removed from the dialysis bags and centrifuged at 1000 rpm for 3 minutes. This sedimented the unhemolyzed, more resistant cells from the second population, leaving the ghosts of the first population in the supernatant. The pellet was again placed in a dialysis bag, allowed to com pletely hemolyze, and the ghosts were spun down at 10,000 rpm for 10 minutes.
A drop of each sample was placed on carboned formvar coated grids, air dried, and shadow cast with 6 mg of chromium at a height of 3 cm from a distance of 12 cm. The specimens were examined in am RCA EMU-3G electron microscope.
Electrophoresis
Blood samples were taken from leukemic, 2-day-old normal, and 8-week-old normal control mice and analyzed for fetal he moglobin using cellulose acetate electrophoresis (1) with Beck man B-2 buffer at pH 8.6 and ionic strength 0.075 M.
RESULTS AND DISCUSSION
Fig. 1A represents a typical unimodal cumulative fragiligram and its derivative as obtained from the blood of normal adult BALB/c mice. The cumulative curve describes the degree of hemolysis on the ordinate as a function of time (abscissa) which is a result of the gradually decreasing saline concentration sur rounding the erythrocytes.
fairly uniform, regardless of the clinical progression of the leu kemia (9). Therefore, in the present comparative study, the blood samples of 8-week-old BALB/c mice which were injected at four weeks of age with MLV and blood samples from normal 2-thy-old and from healthy adult mice were examined.
Previous studies in which starch gel (2) or polyacrylamide gel disc electrophoresis (6) were used to separate hemoglobins have resolved three or four components in red cells from fetal mice, only one of which persists in the adult mouse. The fetal mouse erythropoiesis proceeds initially in yolk-sac blood islands (8 to 12 days) and, subsequently, in liver (12 to at least 16 days) and in bone marrow (after Day 16) . Yolk-sac cells syn thesize three hemoglobins, but fetal livers and bone marrow erythoid cells form only adult-type hemoglobin (5, 6). Thus, blood obtained from mouse fetuses at late stages of gestation show only the adult-type hemoglobin present in the fetal ery throcyte. Accordingly, the results of repeated electrophoresis examination in the present study revealed no differences in pat tern of migration between 2-day-old normals, 8-week-old leu kemic animals, and 8-week-old normals. Thus, by the electro phoresis method, there was no evidence of fetal hemoglobin (Fig. 6).
Blood samples obtained from newborn 2-day-old normal BALB/c mice or from the examined Moloney leukemic adult BALB/c yielded cumulative fragiligrams which were of a dis tinct bimodal type, and their derivatives presented two peaks, indicating two erythrocyte populations (Figs. 1 B, C) . One corresponded to the normal adult type of red blood cell and the other to a second population of erythrocytes which hemo lyze at a much lower saline concentration. These findings are in accordance with previous investigations reported for the normal newborn (7) and Moloney leukemic mice (9) . Further, phase contrast microscopy of blood samples withdrawn from the dialysis membrane at different time intervals during the hemolysis process revealed that the second RBC population consisted mainly of anucleated erythrocytes of various sizes (9). It is also noteworthy that reticulocyte counts, performed ran domly, revealed an increase in number following MLV inocu lation ; however, there was no clear correlation between the reticulocyte number or percentage and the relative percentage of the more osmotically resistant RBC population.
Electron microscopic observation revealed an almost complete separation of populations in the samples from the normal and leukemic mice. Using the criteria of Damon and Perk (4) for distinguishing old and young red blood cells in the electron microscope and applying it to mice, it was evident that the second population from each sample was composed almost en tirely of young cells and the first population consisted mainly of old cells (Figs. 2, 3) . Also, cells from the second population of the 2-day-old normal and the 8-week-old leukemic animals were morphologically similar (Figs. 4, 5) . These findings sup port the assumption that the Moloney virus elicits production of a fetal-type erythrocyte (9).
From these data it appears that the structural differences found between the membranes of the two cell types (first and second RBC populations) are responsible for the increased re sistance to osmotic pressure. Similarly, even in cells where the fetal hemoglobin is present (new born calves' erythrocytes), it was found that the membrane structure and content is re sponsible for the increased osmotic resistance of the fetal cells (8).
Direct interaction of the Moloney leukemia virus with the matured RBC does not appear to be related causally to the presented changes in the osmotic and structural pattern of the erythrocytes. This view is based largely on the following find ings : (a) In Vitro incubations of MLV with blood obtained from normal adult BALB/c mice revealed no differences in the fragility pattern when compared to the control incubated blood. (b) Electron microscopic examination of the RBC obtained from Moloney leukemic mice revealed no association of the virus to the cells. (c) The osmotic and structural similarity is evident between the blood of the 2-day-old normal and leukemic mice.
From four weeks after MLV inoculation to the time of death, in animals where two populations were found, the proportion of cells which constitute the two erythrocyte populations was
Further investigation is needed, however, to determine the significance of the second more resistant population of red blood cells in the 2-day-old normal and 8-week-old leukemic BALB/c mice.
REFERENCES
1. Bartlett, R. C. Rapid Cellulose Acetate Electrophoresis Qualitative and Quantitative Hemoglobin Fractionation. Clin. Chem., 9: 325-329, 1963.
2. Craig, M. L., and Russell, E. S. A Developmental Change In Hemoglobins Correlated With An Embryonic Red Cell Popu lation In The Mouse. Develop. Biol., 10: 191â€"201,1964.
3. Dalton, A. J. A Chrome-osmium Fixative For Electron Mi croscopy. Anat. Record, 121: 281, 1955.
4. Danon, D., and Perk, K. Age Population Distribution of Erythrocytes In Domestic Animals. An Electron Microscopic Study. J. Cellular Comp. Physiol., 59: (2) 117â€"128,1962.
and Synthesis of Hemoglobins in Developing Fetal Mice Erythroid Cells. Science, 157: 1327â€"1329,1967.
6. Kovach, J. S., Marks, P. A., Russell, E. S., and Epler, H. Erythroid Cell Development in Fetal Mice : Ultrastructural Characteristics and Hemoglobin Synthesis. J. Mol. Biol., @5: 131â€"142, 1967.
7. Perk, K., Frei, Y. F., and Hertz, A. RBC Osmotic Fragility of Young and Mature Domestic and Laboratory Animals. J. Vet. Rca., @6:1241â€"1247,1964.
8. Perk, K., and Danon, D. Comparative Structure Analysis of Fetal and Adult Type Red Cells in Newborn and Adult Cattle. Res. Vet. Sci., 6: 442â€"446,1965.
5. Fantoni, A., Bank, A., and Marks, P. A. Globin Composition
9. Perk, K., Redman, L. W., Shachat, D. A., and Moloney, J. B. Erythrocytic Host Response In Certain Murine Leukemias. Brit. J. Haematol., in press.
Fig. 1. A, Fragiligraph curves (cumulative, x; derivative, y) of blood from 8-week-old normal mouse showing only one peak. B, fragiligraph curves of 2-day-old normal mouse blood. Note bimodal peaks indicating two RBC populations. C, fragiligraph curves of blood from 8-week-old Moloney leukemic mouse. The degree of hemolysis is on the ordinate, which is a function of time (abscissa), which in turn is a function of decreasing salt concentrations. Note similarity to 2-day-old normal.
Fig. 3. Typical membrane ghost of old red blood cell from the first RBC population in an 8-week-old Moloney leukemic mouse.
Fig. 2. Typical membrane ghost of old red blood cell from the first RBC population in a 2-day-old normal mouse. Approximately x 24,000.
Approximately x 24,000.
Fig. 5. Typical membrane ghost of young red blood cell from the second RBC population in an 8-week-old Moloney leukemic mouse. Similarity of surface structures to Fig. 4 is readily seen. Approximately x 24,000.
Fig. 4. Typical membrane ghost of young red blood cell from the second RBC population in a 2-day-old normal mouse. Approxi mately x 24,000.
Fig. 6. Acetate gel hemoglobin electrophoresis patterns. A, 8-week-old normal mouse ; B, 2-day-old normal mouse; C, 8-week-old Moloney leukeniic mouse.
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on January 18, 2022. © 1968 American Association for Cancer cancerres.aacrjournals.org
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RBC Response in Moloney Leukemia
AUGUST 1968
Murine Leukemia Further Studies on the Erythrocytic Host Response in Moloney
Sanford H. Vernick, Bolivar J. Lloyd, Jr., Kalman Perk, et al.
1968;28:1631-1636. Cancer Res
Updated version
http://cancerres.aacrjournals.org/content/28/8/1631 Access the most recent version of this article at:
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Shellye M. Davis, Plaintiff,
UNITED STATES DISTRICT COURT DISTRICT OF CONNECTICUT
Civil No. 3:06cv1596 (JBA)
v.
City of Hartford, Hartford Public Schools, and Patricia Phelan,
March 11, 2009
Defendants.
RULING ON MOTION FOR PARTIAL SUMMARY JUDGMENT
This is an employment-discrimination action against the City of Hartford ("Hartford"), Hartford Public Schools ("HPS"), and Patricia Phelan, the principal of McDonough Middle School ("McDonough"). In the eight-count complaint, Plaintiff Shellye M. Davis asserts claims under 42 U.S.C. § 1983 against all three Defendants for discrimination, harassment, and retaliation; claims under Title VII of the Civil Rights Act of 1964, 42 U.S.C. § 2000e et seq., against Hartford and HPS for racial discrimination in employment and retaliation; a libel claim against Phelan; and claims for negligent and intentional infliction of emotional distress against all Defendants.
The Defendants have moved for partial summary judgment on the § 1983 claims against Hartford and HPS, on the Title VII claims against Hartford, and on the emotional- 1 distress claims against all Defendants. For the reasons that follow, Defendants' motion is granted in part and denied in part.
Davis now concedes that Hartford is not her employer and accordingly withdraws 1 the Title VII claims against Hartford as alleged in counts three and four.
Dockets.Justia.com
I. Facts
For the purpose of this motion, the Defendants agree that the following facts as alleged in the complaint are undisputed.
Since 1991, Shellye Davis, an African-American female, has been employed by HPS as a paraprofessional (or teacher's aide). Between June 2004 and June 2005, she worked at McDonough and was supervised by Phelan. During this time period, Davis was subjected to discriminatory and hostile treatment and retaliation by Phelan because Davis reported racially discriminatory treatment of minority students by a white teacher at the school. Phelan, who is also white, neither took action against the teacher nor stopped the teacher's abuse of minority students. Rather, Phelan retaliated against Davis by prohibiting her from participating in cheerleading functions, refusing to grant her personal time off, and attempting to induce her to act in a way that would justify her termination. After Davis filed a union grievance and a complaint with the Connecticut Commission on Human Rights and Opportunities, Phelan gave Davis a poor performance evaluation that contained false statements and threatened her with a negative annual evaluation. In June 2005, the director of human resources for HPS, allegedly at Phelan's urging, transferred Davis from McDonough to Bulkeley High School.
Davis has submitted copies of letters she sent to other school officials, union management, members of the board of education, and the superintendent, in which she detailed her complaints of discrimination, harassment, and retaliation. In her affidavit, Davis avers that the harassment consisted of the white teacher telling minority students that he slept with their mothers, telling Davis she was doing something improperly without knowing what Davis was doing, altering the heating and cooling of the room to make Davis uncomfortable, and going through her belongings. In addition, Davis asserts that Phelan asked her in the presence of the union president if she was able to read, asked her how she could afford to buy nice things and travel (suggesting that Davis was engaged in illegal activity to earn money), and screamed at Davis for getting the Department of Children and Families ("DCF") involved.
II. Standard
Summary judgment is appropriate where the record after discovery "show[s] that there is no genuine issue as to any material fact and that the movant is entitled to judgment as a matter of law." Fed. R. Civ. P. 56(c). An issue of fact is "material" if it "might affect the outcome of the suit under the governing law," and is "genuine" if "a reasonable jury could return a verdict for the nonmoving party." Anderson v. Liberty Lobby, Inc., 477 U.S. 242, 248 (1986). In moving for summary judgment against a party who will bear the ultimate burden of proof at trial, a moving defendant "need not prove a negative," but "need only point to an absence of proof on plaintiff's part, and, at that point, plaintiff must 'designate specific facts showing that there is a genuine issue for trial.'" Parker v. Sony Pictures Entm't, Inc., 260 F.3d 100, 111 (2d Cir. 2001) (quoting Celotex Corp. v. Catrett, 477 U.S. 317, 324 (1986)). If "there is sufficient evidence favoring the nonmoving party for a jury to return a verdict for that party," then there is an issue for trial and summary judgment must be denied. Anderson, 477 U.S. at 249. But if the evidence, viewed in the light most favorable to the nonmoving party, "could not lead a rational trier of fact to find for [that] nonmoving party, there is no genuine issue for trial," and summary judgment should follow. Matsushita Elec. Indus. Co. v. Zenith Radio Corp., 475 U.S. 574, 586–87 (1986) (quotation marks omitted).
III. Discussion
Hartford and HPS argue that the § 1983 claims against them must be dismissed because Davis has not alleged and cannot establish the requirements for imposing municipal liability under Monell v. Department of Social Services, 436 U.S. 658, 694 (1978). The Defendants also contend that the emotional-distress claims are insufficient because the conduct Davis describes is not sufficiently extreme and outrageous.
A. Section 1983 Claims
Hartford and HPS assert that Davis cannot establish that she was deprived of any constitutional rights pursuant to an official policy, practice, or custom of either Hartford or HPS. Because a municipality cannot be held liable under § 1983 on a theory of respondeat superior, they maintain that they are not liable for Phelan's conduct.
Hartford and HPS are correct that a municipality may not be held liable under § 1983 merely for employing a tortfeasor. Monell, 436 U.S. at 694. Rather, municipal liability may be imposed under Monell if the alleged constitutional violation is caused by an official policy or custom, which serves "to distinguish acts of the municipality from acts of employees of the municipality, and thereby make clear that municipal liability is limited to action for which the municipality is actually responsible." Pembaur v. City of Cincinnati, 475 U.S. 469, 479 (1986). In the absence of an explicitly adopted official policy or custom, municipal liability may still be imposed if the unconstitutional action is directed by an official who has final policy-making authority—not just discretion—with respect to the challenged act. Id. at 481–83. For such liability to attach, the official's unconstitutional actions must be within her area of policy-making authority. City of St. Louis v. Praprotnik, 485 U.S. 112, 123 (1988). As the Supreme Court explained more recently,
in Monell and subsequent cases, we have required a plaintiff seeking to impose liability on a municipality under § 1983 to identify a municipal "policy" or "custom" that caused the plaintiff's injury. Locating a "policy" ensures that a municipality is held liable only for those deprivations resulting from the decisions of its duly constituted legislative body or of those officials whose acts may fairly be said to be those of the municipality. Similarly, an act performed pursuant to a "custom" that has not been formally approved by an appropriate decisionmaker may fairly subject a municipality to liability on the theory that the relevant practice is so widespread as to have the force of law.
Bd. of County Comm'rs v. Brown, 520 U.S. 397, 403–404 (1997) (citations omitted). A custom or practice may give rise to municipal liability if it is sufficiently "persistent or widespread" to constitute an official policy, or if it is "so manifest as to imply the constructive acquiescence of senior policy-making officials." Sorlucco v. New York City Police Dep't, 971 F.2d 864, 870–71 (2d Cir. 1992). But a plaintiff must point to "deliberate conduct" which shows that "the municipality was the 'moving force' behind the injury alleged." Bd. of County Comm'rs, 520 U.S. at 404.
Davis does not allege and offers no evidence that her constitutional rights were violated pursuant to any formal policy statement, ordinance, regulation, decision, practice, or custom that was officially promulgated or adopted by Hartford or HPS. Davis also does not argue that Phelan's acts represent official policy on the grounds that Phelan is a final policy-making official with respect to the areas of municipal business implicated by the adverse actions at issue. Indeed, Davis has no evidence and does not claim that Phelan had the requisite policy-making authority, either by virtue of legislative enactment or delegation to her by an official who possessed such authority, to set department-wide personnel policies in areas such as leave eligibility and employee transfers from school to school. To the contrary, Davis asserts that Phelan, as a school principal, had limited discretion in this regard. In the Second Circuit, it is clear that mere discretionary authority is not sufficient to impose municipal liability for the conduct of a subordinate official without final authority. Anthony v. City of New York, 339 F.3d 129, 139 (2d Cir. 2003); Jeffes v. Barnes, 208 F.3d 49, 57 (2d Cir. 2000). Although Davis also references the director of human resources for HPS as having policy-making authority over school transfers, Davis has offered no evidence that this official had any authority over—or involvement in—the racially discriminatory conduct at McDonough which forms the basis of the § 1983 claims. Thus, as a matter of law, Davis has not sustained her burden of showing the existence of evidence on which reasonable jurors could impose municipal liability through the actions of policy-making officials.
Davis also offers no evidence to suggest that the type of discriminatory, harassing, and retaliatory conduct directed at her by Phelan was part of a widespread, persistent, and notorious practice so as to rise to the level of an informal municipal policy or custom. The record is bereft of evidence that Phelan's conduct was standard practice at the school. She has not cited any other instance, let alone a pattern or practice, in which municipal policy-making officials ignored and failed to investigate complaints of discrimination, retaliation, and harassment in Hartford schools. See Reynolds v. Giuliani, 506 F.3d 183, 192 (2d Cir. 2007) ("Monell's policy or custom requirement is satisfied where a local government is faced with a pattern of misconduct and does nothing, compelling the conclusion that the local government has acquiesced in or tacitly authorized its subordinates' unlawful actions.").
Reduced to its essence, Davis's basis for imposing municipal liability focuses on only the circumstances of her particular case. With no evidence of the involvement of a policymaking official with final authority, or of a custom, policy, or pattern of misconduct, there is no basis on which a jury could impose municipal liability. Thus, summary judgment must be granted on Davis's § 1983 claims against Hartford or HPS in counts two and five.
B. Emotional-Distress Claims
Hartford, HPS, and Phelan also move for summary judgment on Davis's emotionaldistress claims. They argue that the conduct Davis says caused her emotional distress falls far short of the atrocious and extreme behavior that is required for these causes of action. Count seven alleges negligent infliction of emotional distress against all Defendants, and count eight alleges intentional infliction of emotional distress against Phelan alone.
1. Negligent Infliction of Emotional Distress
Taking Davis's claim of negligent infliction of emotional distress first, summary judgment must be granted on this count for a reason not raised by the Defendants. In the employment context, a negligent-infliction claim under Connecticut law "arises only where it is based upon unreasonable conduct of the defendant in the termination process," and a plaintiff must demonstrate "that the defendant should have realized that its conduct involved an unreasonable risk of causing emotional distress and that distress, if it were caused, might result in illness or bodily harm." Parsons v. United Techs. Corp., 700 A.2d 655, 667 (Conn. 1997). "[A]n individual municipal employee may not be found liable for negligent infliction of emotional distress arising out of conduct occurring within a continuing employment context, distinguished from conduct occurring in the termination of employment." Perodeau v. City of Hartford, 792 A.2d 752, 762–63 (Conn. 2002).
Thus, because Davis remains employed by HPS, her negligent-infliction claim fails as a matter of law, and summary judgment is granted on count seven.
2. Intentional Infliction of Emotional Distress
Turning to Davis's intentional-infliction claim, to prevail on such a cause of action under Connecticut law a plaintiff must prove that (1) the defendant intended to cause emotional harm, or knew or should have known that such harm was likely to result, (2) the defendant's misconduct was "extreme and outrageous," (3) such conduct caused the plaintiff's harm, and (4) the plaintiff's emotional harm was "severe." Petyan v. Ellis, 510 A.2d 1337, 1342 (Conn. 1986). Put another way, liability can be imposed only for "conduct [which] exceed[s] all bounds usually tolerated by decent society," that is, "of a nature which is especially calculated to cause, and does cause, mental distress of a very serious kind." DeLaurentis v. City of New Haven, 597 A.2d 807, 828 (Conn. 1991) (quotation marks omitted). This standard for offensive conduct does not include, for example, "insults, verbal taunts, threats, indignities, annoyances, petty oppressions or conduct that displays bad manners or results in hurt feelings." Miner v. Town of Chesire, 126 F. Supp. 2d 184, 195 (D. Conn. 2000) (collecting cases).
In this case, the offensive conduct on which Davis bases her claims of emotional distress consists of Phelan's refusal to stop the white teacher's harassment of her and the minority students; Phelan's comment that she didn't "know how [Davis] could have ever been rated excellent"; Phelan's sarcastic question as to whether Davis could read; Phelan's statement implying that Davis "must be engaged in some illegal activity to earn money"; Phelan's poor evaluation of Davis and threat to give another negative evaluation in the future; Phelan's decision to evaluate Davis while all other paraprofessionals were evaluated by someone else; Phelan's screaming at Davis for prompting a DCF investigation against the other teacher; Phelan's involvement in transferring Davis to another school; and Phelan's
mistreatment of minority employees. (Davis Aff. ¶ 14.)
The Defendants argue that this conduct is insufficiently severe because it all falls within the category of unpleasant workplace behavior that Connecticut law deems not actionable. Quoting Perodeau, Defendants emphasize that "individuals in the workplace reasonably should expect to experience some level of emotional distress, even significant emotional distress, as a result of conduct in the workplace." 792 A.2d at 769. According to the Defendants:
As the Perodeau Court pointed out, employees are sometimes accused unfairly, belittled, poorly evaluated, improperly transferred and the like. Such events are inherently stressful. Yet although unpleasant, rude, inappropriate, and even mean spirited, such behavior does not give rise to a cause of action for infliction of emotional distress in Connecticut.
(Defs.' Reply [Doc. # 44] at 8.) Defendants further cite other Connecticut appellate cases in which various examples of rude, profane, and insulting conduct failed, as a matter of law, to support liability for causing extreme emotional distress.
Whatever difficulty plaintiffs might normally encounter in making out emotionaldistress claims arising out of conduct in the workplace, there is a limit to the mistreatment employees must endure before having grounds to seek redress in the courts. The frequently cited formulation from the Restatement instructs that actions are sufficiently extreme if members of the community, upon hearing a recitation of the facts, would resent the defendant and call his or her conduct "outrageous." Restatement (Second) of Torts, § 46 cmt. d (1965); see also Appleton v. Bd. of Educ., 757 A.2d 1059, 1062 (Conn. 2000) (following the Restatement). On this record, the Court cannot find that no reasonable jury could reach just that conclusion about what Phelan did and said to Davis. Defendants are correct that some of the conduct Davis recounts falls short of being actionable in isolation—for example,
Phelan's failure to intervene to stop the teacher's classroom harassment and Phelan's negative evaluation and eventual transfer of Davis. But a jury could find that this was merely part of the larger context at McDonough. By Davis's telling in her affidavit, deposition testimony, and other correspondence, she was subjected to constant harassment targeted at her professional competence and socioeconomic status. Acting from a position of authority, Phelan publicly insulted Davis in highly personal ways, all while failing to act on Davis's complaints that a teacher was verbally abusing underperforming and minority children in Davis's presence. Phelan further utilized her authority as principal to take charge of supervising Davis herself, and in so doing gave Davis poor evaluations and later instigated her transfer. In addition, there is also evidence in the record—none of which is disputed by the Defendants at this stage—that Davis's documentation of her mistreatment at McDonough was stolen from her personal belongings inside a locked room, and that Phelan meddled in the school's investigation of that incident. Viewing these incidents in the aggregate, a jury could find that all this takes on new and more extreme meaning when considering that Phelan (the authority figure) is white and Davis (the harassed subordinate) is black. The Court cannot conclude that no jury could hear this evidence (if proved at trial) and find that Phelan's actions were outrageous.
Rounding out the remaining elements of an intentional-infliction claim, Davis has also offered evidence that she suffered extreme emotional harm as a result of this workplace harassment, and a jury could reasonably infer from Phelan's course of conduct that she was acting intentionally. As the moving party, Phelan has failed to carry her burden of showing that there is no disputed issue of material fact on this claim. Summary judgment must be denied on count eight.
III. Conclusion
For the foregoing reasons, Defendants' Motion for Partial Summary Judgment [Doc. # 34] is granted in part and denied in part. The Court grants summary judgment on the § 1983 claims against Hartford and HPS in counts two and five, on the Title VII claims against Hartford in counts three and four, and on the negligent-infliction claim against all Defendants in count seven. Summary judgment is denied as to the intentional-infliction claim against Phelan in count eight. All other claims remain for trial.
IT IS SO ORDERED.
Dated at New Haven, Connecticut this 11th day of March, 2009.
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Art Studies Journal
Published by the State Institute for Art Studies, Moscow
No. 2, 2018
194
222
240
272
300
308
Ekaterina Usova. The Munich-ParisRussian Colony. Notes on the Moscow Society of Artists in the 1900s
INDUSTRIAL ARCHITECTURE
Natalia Shashkova. The Moscow-Kursk Railway: Stations, Architects, Images
PHOTOGRAPHY
Olga Averyanova. The Photogram:
Questions of Indexation
INDIAN MODERNISM
Elizaveta Kuzina. The Mystical Body of Indian Modernism: Souza, Swaminathan, Paniker Appendix. Octavio Paz, "Poema para mi amigo Swaminathan, el pintor". Translated by Elizaveta Kuzina
VIENNESE ACTIONISM
Danila Bulatov. The Art of Catharsis. Viennese Actionism and the Overcoming of Generation Trauma
BOOK REVIEWS
CHRONICLE
Andrei Shabanov. Rosalind Polly Blakesley, The Russian Canvas: Painting in Imperial Russia, 1757–1881. New Haven, London: Yale University Press, 2016
Tatiana Gnedovskaya. Art of the 1950s —1980s. USSR — Italy: Parallels and Intersections. Round Table. Kunsthistorisches Institut in Florenz — Max-Planck-Institut, Florence, 28 May 2018
332
337
339
ABSTRACTS
CONTRIBUTORS
INFORM AT I O N F O R C O N T R I B U T O R S
Abstracts
Andrei Merezhnikov "The Effect of Close Vision". Spatial Construction in Mikhail
Vrubel's Painting
The article considers the attitude of artists in the second half of the 19 th century to the issue of spatial construction. Drawing on texts by Erwin Panofsky and Alexei Losev, the author uses the term "perspectivism" to offer an interpretation of compositional organisation in the paintings of Auguste Renoir, Konstantin Korovin and Valentin Serov. Emphasising the individuality of each painter's optical device, the researcher notes how some artists retained the academic system of perspective, albeit with amendments, while others created their own system of projection. A detailed analysis is given of the composition of Vrubel's Oriental Tale and the impact of Pavel Chistyakov and Mariano Fortuni on Vrubel's compositional technique is assessed. Vrubel transforms constructional schemes and adjusts the projecting apparatus, but does so within the academic system. Perspectivism is an important component of Vrubel's metaphor. Key words: S p a t i a l c o n s t r u c t i o n s i n p a i n t i n g , p e r s p e c t i v e , p e r s p e c t i v i s m , m e t a p h o r, M i k h a i l V r u b e l , M a r i a n o F o r t u n i , A u g u s t e R e n o i r, K o n s t a n t i n K o r o v i n , Va l e n t i n S e r o v.
Andrei Batalov
The Church of the Nativity in Besedy in the Architectural Space of the Late 16 th Century
The article is devoted to a little studied example of tent architecture from the end of the 16 th century: the Church of the Nativity of Christ in the village of Besedy, just outside Moscow. Contrary to the traditional view of the building as archaic in its forms, it is argued that the Church of the Nativity is among the more refined survivals of that era, and that study of its compositional features clarifies the continuity, which links the tent churches of the time of Tsar Boris Godunov with their immediate predecessors of the mid-to-late 16 th century. The church is the only one that is known to have been commissioned by Dmitry Ivanovich Godunov (the Tsar's uncle) and parallels can be drawn between its appearance and the exquisite works of embroidery, jewellery and book miniatures which were also created at the behest of Dmitry Ivanovich.
Key words: t e n t c h u r c h e s , c h u r c h d e s i g n i n t w o s e c t i o n s , D m i t r y I v a n o v i c h G o d u n o v, B e s e d y, c h u r c h e s o f t h e t i m e o f B o r i s G o d u n o v.
Ekaterina Tarakanova
The Artistic Ensemble of the Niccoline Chapel in the Vatican
The Niccoline Chapel in the Apostolic Palace contains the only surviving Vatican mural by Fra Beato Angelico. It is among the first fresco ensembles of the Quattrocento in Rome. The article analyses the semantic and artistic significance of this monument of the transition period, which influenced the establishment of Renaissance art in Rome. The author shows how it represents a harmonious synthesis of the Christian religion and the new culture. Study of the fresco's programme reveals its orientation towards strengthening of the Holy See and the remarkable personality of its commissioner, Pope Nicholas V, with his Renovatio Romae policy.
Key words: Q u a t t r o c e n t o , N i c c o l i n e C h a p e l , P o p e N i c h o l a s V, F r a B e a t o A n g e l i c o , B e n o z z o G o z z o l i , p a t r o n a g e , h u m a n i s m , p e r s p e c t i v e , s p e c t a t o r.
Anna Vinogradova Leonardo da Vinci's Annunciation. The Image of the Harmony
of the Universe in Renaissance Painting
One of the main challenges in study of the manifold legacy of Leonardo da Vinci is to achieve a proper understanding of the artist's creative method. The universality of Leonardo's thinking and interests enabled him to channel the whole world into his fine art. The subject of analysis in this article is his early masterpiece The Annunciation, held by the Uffizi Gallery in Florence. Leonardo's idea of beauty in painting and writing appears in this, his first masterpiece, as does his familiarity with the theory and practice of music, which enables him to enrich the picture in certain specific ways. In his creativity the master emerges as committed to creating of an image of the world that expresses its natural, organic unity. The optical wholeness of his art is a way of showing the musica mundana and beauty of the Universe.
Key words: L e o n a r d o d a V i n c i , L e o n - B a t t i s t a A l b e r t i , B o e t i u s , M a r s i l i o F i c i n o , i d e a o f b e a u t y, p r i n c i p l e o f h a r m o n y, i m a g e o f t h e U n i v e r s e , s f u m a t o , n a t u r a , p e r s p e c t i v e , N e o p l a t o n i s m .
Margarita Lyalinskaya
Raphael's Work for the Theatre: In Search of a New Scenography
One of the great masters of the High Renaissance, Raphael is best known as a painter and architect. His work as a stage designer has never been studied in detail
by Russian historians of art. Raphael used two different scenographic models that were typical of his time: sets with perspective scenery and sets with a scaenae frons. The article draws on a range of textual and iconographic sources to examine Raphael's theatrical legacy.
Key words: R a p h a e l , A n t o n i o d a S a n g a l l o t h e Yo u n g e r, s c e n o g r a p h y, I t a l i a n R e n a i s s a n c e t h e a t r e , p e r s p e c t i v e s c e n e r y, s c a e n a e f r o n s , I S u p p o s i t i b y L o d o v i c o A r i o s t o , V i l l a M a d a m a .
Marat Ismagilov
From Public Sphere to Art Market: the Society for the Encouragement of Artists in the 1820s
The article looks at the foundation of the first non-governmental organisation for promotion of the visual arts in Tsarist Russia. It explores the ideology behind the decision to create the Society for the Encouragement of Artists, the political premises of the project and the Society's administrative framework. It also draws a connection, for the first time, between the foundation of the Society and the appearance of a public sphere in Russia centred around wealthy connoisseurs of art. The article shows how these connoisseurs used the resources of the public sphere, particularly the press, to raise the prestige of Russian art and increase its market value.
Key words: t h e S o c i e t y f o r t h e E n c o u r a g e m e n t o f A r t i s t s , p u b l i c s p h e r e , p a t r o n a g e , R u s s i a n 1 9 t h c e n t u r y a r t , R u s s i a n a r t i n s t i t u t i o n s .
Ekaterina Usova
"The Munich-Paris-Russian Colony". Notes on the Moscow Society of Artists in the 1900s
The article looks at the activities of the Moscow Society of Artists in the second decade of its existence (in the 1900s). The author shows how, during this decade, the Society managed to preserve the best of its talent from the 1890s, while at the same time attracting a large number of new young artists. Despite their uneven quality, the exhibitions of the Moscow Society of Artists played an important part in Moscow cultural life at the beginning of the 20 th century. The study is based on the memoirs and correspondence of the artist members of the Society and press coverage of the time. Key words: M o s c o w S o c i e t y o f A r t i s t s , e x h i b i t i o n , d e c a d e n c e , I m p r e s s i o n i s m , a v a n t - g a r d e .
Natalia Shashkova
The Moscow-Kursk Railway: Stations, Architects, Images
The paper considers issues of attribution of the architectural structures of Russia's railway system, particularly those built at the time of "Railway fever" (from the mid1860s to the 1870s). The author shows the degrees of involvement and forms of interaction between specialists in different spheres (architects, engineers, Railways Ministry officials) in the design of railway infrastructure, and how the role of architects changed at different stages in the development of railways in Russia. The author uses the example of passenger buildings on the Moscow-Kursk Railway (built in 1864–1868) to identify the methods and potential results of research work in this field, as well as analysing erroneous attributions. Materials are published for the first time, which confirm that the architect and academician Iosif Thibault-Brignolles (from a Russified family of French origin) was the designer of the railway station in Orel.
Key words: r a i l w a y a r c h i t e c t u r e , s t a t i o n , M o s c o w - K u r s k R a i l w a y, M a x i m i l i a n A r n o l d , I o s i f T h i b a u l t - B r i g n o l l e s , F y o d o r K n o r r e .
Olga Averyanova The Photogram: Questions of Indexation
Early photograms, the cyanotypes of Anna Atkins or the photogenic drawings of the inventor of the negative-positive process. William Henry Fox Talbot, were created for scientific or practical purposes, but were perceived almost at once as an art form, becoming paradigms of Victorian aesthetics. The legitimisation of photography as art in the late 19 th century, gave the photogram a second lease of life. The rayographs of Man Ray, while remaining photograms by the method of their creation, almost completely overthrew the ontology of photography, in particular the concept of indexicality associated with the specifics of the medium. The author of the article tries to answer the question: can the abstract reference of rayography correspond to the indexical essence of photography.
Key words: p h o t o g r a p h y, p h o t o g r a m , c y a n o t y p e , p h o t o g e n i c d r a w i n g , r a y o g r a p h y, Ta l b o t , A t k i n s , M a n R a y, i n d e x i c a l i t y.
Elizaveta Kuzina
The article deals with the connection between the work of three Indian modern artists, Francis Souza, Jagdish Swaminathan and K.C.S. Paniker, and traditional representations arising from Indian mystical traditions. The images that are found in the work of each of the artists are analysed, and their connection with the representations that serve as the basis of the tantric tradition – a mystical current in Hinduism, Buddhism and Jainism, which also influenced other Indian religions – is revealed. Key words: f i n e a r t i n I n d i a , I n d i a n m o d e r n i s m , S o u z a , S w a m i n a t h a n , P a n i k e r, I n d i a n m y s t i c i s m , t a n t r a .
The Mystical Body of Indian Modernism: Souza, Swaminathan, Paniker
Danila Bulatov The Art of Catharsis. Viennese Actionism and the Overcoming
The article is devoted to Viennese Actionism: the performative practices of a group of young Austrian artists who worked together in the 1960s. The Viennese actionists, of the so-called 1968 generation, took as their theme tragic pages of the past and the modern realities of consumer culture. The all-pervasive mode of commodity production was perceived by the Actionists as a mechanism for the destruction of memories of the past, as a new form of totalitarianism. Art in the understanding of
of Generation Trauma
these Viennese artists had to work for the healing of the social body, eliminating pathogenic effects by appealing to such psychotherapeutic methods as abreaction and catharsis.
Key words: V i e n n e s e A c t i o n i s m , G e r m a n N i t s c h , G ü n t h e r B r u s , O t t o M ü h l , R u d o l f S c h w a r z k o g l e r, c a t h a r s i s , F r e u d i a n i s m , p e r f o r m a n c e , a r t a s t h e r a p y, c o r p o r e a l i t y.
Andrei Shabanov
Rosalind Polly Blakesley, The Russian Canvas: Painting in Imperial Russia, 1757–1881. New Haven, London: Yale University Press, 2016
Tatiana Gnedovskaya
Art of the 1950s —1980s. USSR — Italy: Parallels and Intersections. Round Table. Kunsthistorisches Institut in Florenz — Max-Planck-Institut, Florence, 28 May 2018
Contributors
Olga Averyanova
email@example.com
PhD in History of Art, head of the Department of Photography, Pushkin Museum of Fine Art. Moscow.
Andrei Batalov
PhD, Doctor of Science (History of Art), Professor. Honoured Artist of the Russian Federation. Deputy director of the Moscow Kremlin Museums, leading researcher at the Department of Russian Medieval Art, State Institute for Art Studies (SIAS). Moscow. firstname.lastname@example.org
Danila Bulatov
email@example.com
Art historian, curator, PhD student at the Department of Modern and Contemporary Western Art, State Institute for Art Studies (SIAS), researcher at the Department of European and American Art of the 19th and 20th Centuries, Pushkin Museum of Fine Art. Author of Modernism Revival: German Art, 1945–1965. Art Theory and Exhibition Practice (2016). Moscow.
Tatiana Gnedovskaya
firstname.lastname@example.org
PhD, Doctor of Science (History of Art). Leading researcher at the Department of Modern and Contemporary Western Art, State Institute for Art Studies (SIAS). Specialist in European art and architecture of the first half of the 20 th century, author of The Deutscher Werkbund and Its Architects. A Story of One Generation (2011). Member of the Union of Moscow Architects. Moscow.
Marat Ismagilov
email@example.com
PhD student at the Art History Department, European University at St. Petersburg. St. Petersburg.
Elisaveta Kuzina
firstname.lastname@example.org
Art Historian, PhD student at the Department of Asian and African Art, State Institute for Art Studies (SIAS), specialist in Indian art. Moscow.
Margarita Lyalinskaya
Theatre historian, PhD student at the Department of European Classical Art, State Institute of Art Studies (SIAS). Moscow. email@example.com
Andrei Merezhnikov
firstname.lastname@example.org
Art historian, deputy professor of the Art History Department, Faculty of the History of Art and Culture, Urals Federal University. Member of the Russian Union of Artists. Ekaterinburg.
Andrei Shabanov
PhD in History of Art, researcher at the Art History Faculty, European University at St. Petersburg. Author of The Peredvizhniki: Between Commercial Partnership and Art Movement (2015). St. Petersburg. email@example.com
Natalia Shashkova
Art historian, Head of the Department for Management of the Collection and for Acquisitions, Schusev State Museum of Architecture. Moscow. firstname.lastname@example.org
Ekaterina Tarakanova
Art historian, researcher at the Foreign Art Department, Institute of Theory and History of Fine Arts, Russian Academy of Arts. Specialist in Renaissance Art. Moscow. email@example.com
Ekaterina Usova
firstname.lastname@example.org
PhD in History of Art, deputy head of research at the Constantin Kousnetzoff Foundation. Moscow.
Anna Vinogradova
email@example.com
Art historian, researcher at the Department of European Classical Art, State Institute for Art Studies (SIAS). Moscow.
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All Theses and Dissertations
2015-06-01
Where Are Those Good Old Fashioned Values? Family and Satire in Family Guy
Reilly Judd Ryan Brigham Young University - Provo
Follow this and additional works at: https://scholarsarchive.byu.edu/etd
Part of the Film and Media Studies Commons, and the Theatre and Performance Studies
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BYU ScholarsArchive Citation
Ryan, Reilly Judd, "Where Are Those Good Old Fashioned Values? Family and Satire in Family Guy" (2015). All Theses and Dissertations. 5583.
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Where Are Those Good Old Fashioned Values?
Family and Satire in Family Guy
Reilly Judd Ryan
A thesis submitted to the faculty of Brigham Young University in partial fulfillment of the requirements for the degree of
Master of Arts
Darl Larsen, Chair Sharon Swenson Benjamin Thevenin
Department of Theatre and Media Arts
Brigham Young University
June 2015
Copyright © 2015 Reilly Judd Ryan
All Rights Reserved
ABSTRACT
Where Are Those Good Old Fashioned Values? Family and Satire in Family Guy
Reilly Judd Ryan Department of Theatre and Media Arts, BYU Master of Arts
This paper explores the presentation of family in the controversial FOX Network television program Family Guy. Polarizing to audiences, the Griffin family of Family Guy is at once considered sophomoric and offensive to some and smart and satiric to others. Though neither judgment of the show is necessarily mutually exclusive, the intention of this study is to reconcile those disparate viewpoints in order to measure the show's purposefulness. After all, if Family Guy succeeds in its satire, it is full of social purpose, offensiveness notwithstanding.
This thesis focuses on arguably the main point of contention in Family Guy: the family. Those critical of the show denounce the Griffins for their less-than-exemplary behavior. Proponents of the show—while not exactly disagreeing with that perception of the Griffins— differ in their approach, as they consider the Griffins satiric characters meant to be models of misbehavior. Reformative in nature, satire attacks vice and folly directly and indirectly, and it is in its combined use of direct and indirect satire that Family Guy, at times, misses the mark. By directly satirizing other families in its trademark cutaway transitions, Family Guy places its own family, the Griffins, in a position of superiority, which complicates matters when the Griffins indirectly become objects of satire. Especially regarding the relationship between Griffin family patriarch Peter and his daughter Meg, Family Guy oftentimes presents an imbalanced "satire" that would best be described as "abuse."
ACKNOWLEDGEMENTS
For the completion of this thesis, I am most indebted to my wife, May, whose unwavering love and support helped me stay on task over the past year. I am grateful for Darl Larsen and his expertise in animation, satire and television; as my thesis chair, he provided constant helpful feedback to my work. The other members of my committee—Sharon Swenson and Benjamin Thevenin, as well as Amy Jensen, who was not on my committee—were invaluable in providing me the support and the theoretical frameworks for this thesis. Lastly I would like to thank the members of my cohort—Bob Bauer, Emily Flinders, Mindy Nelsen and Amy Roskelley—who have struggled together with me over the past two years.
Table of Contents
iv
Chapter One
Introduction
Lois Griffin: It seems today that all you see is violence in movies and sex on TV…
Peter Griffin: …but where are those good old-fashioned values…
Griffin Children and Brian: …on which we used to rely?
Griffin Family: Lucky there’s a family guy… 1
In tongue-in-cheek fashion, the theme song of Family Guy presents the Griffin family as an antidote to the ills of modern media debauchery. Anyone familiar with the program, though, easily recognizes irony in the song, having witnessed the less-than-exemplary qualities of Peter, Lois and company. The family that longs for "good old-fashioned values" is the same family that sells their daughter to pay off a pharmacy tab; they are the same family in which father nearly marries son, because the latter has recently inherited a large sum of money; perhaps most famously, they are the same family in which a diabolical baby schemes to murder his mother, at one time seemingly accomplishing his goal. 2 The extremity of such acts suggests the Griffin family should not be taken at face value. Their outrageous actions veer into the symbolic, the satiric. However, does Family Guy hit its satiric target? Those critical of the show—most notably, the Parents Television Council—point to the Griffins' depravity as a sign of society's and the media's increased desensitization and looser morals . 3 Neither critics nor fans of the show can argue that the Griffins are a good family; what is debatable, though, is whether there is a purposefulness to the Griffins. This analysis will examine the presentation of the family on Family Guy—via the Griffins—in an attempt to reconcile the disparate viewpoints of the program and to analyze the effectiveness of its seeming satiric intentions.
Purpose
The conflict that forms the basis of this research centers on two opposing viewpoints of Family Guy, one being that the show is brilliant, and the other that it is reprehensible. Our study
intends to uncover the diverse factors that lead to such varied responses. The debate about whether a media text is good or bad, helpful or harmful, is not a new one. In recent history, one can find Family Guy's close correlative with another family of five, whose dysfunctional behavior gained equal numbers of fans and foes during its emergence on network TV in the early 1990s—The Simpsons. Prominent among its early detractors were then-President and First Lady of the United States, George H.W. and Barbara Bush. During the 1992 Republican National Convention, President Bush promised to strengthen traditional values if re-elected, by making families "a lot more like the Waltons and a lot less like the Simpsons." 4 Barbara Bush seconded her husband's opinion, calling The Simpsons "the dumbest thing [she] had ever seen." 5
Those coming of age during this period may remember the dilemma many parents faced in deciding whether or not to let their children watch this new, crude cartoon, the first of a kind, and the first cartoon to be shown in a prime-time lineup since The Flintstones. 6 American children of the 1990s might not remember the Bushes' critical comments of The Simpsons, but they likely remember debates within their own communities—and even families—regarding the inappropriateness of the show. In "We Hardly Watch That Rude, Crude Show: Class and Taste in The Simpsons," Diane F. Alters describes varied viewpoints about The Simpsons held by parents. The couple she gives most coverage to—"Susan" and "Bob"—serve as a microcosm of the series' polarizing effect. Susan strongly dislikes the show and does not want her children to watch it; Bob, on the other hand, is a fan of The Simpsons and often lets the children watch with him. Because Susan does not find the show "socially uplifting," 7 she does not believe it has any value. However, Bob considers the show "sophisticated," albeit "sophisticated adult animation," 8 and explains that he lets his children watch mostly because he likes to watch it and the kids seem to enjoy it.
Considering the case of Susan and Bob, their argument does not technically hinge on whether The Simpsons is appropriate for children; rather, the crux of it deals with the value of the show. Specifically, Susan and Bob each represent different positions of a binary, one of which is The Simpsons as socially bereft, the other, The Simpsons as socially beneficial. Since the 1990s, time has arguably sided with the latter position. As The Simpsons has become an institution, it has gained fans as politically diverse as former Great Britain Prime Minister Tony Blair and activist/perpetual third-party U.S. presidential candidate Ralph Nader. 9 Once a target of the religious right, The Simpsons over the years "has…been embraced and praised by many conservative commentators and viewers." 10
Within educational circles, The Simpsons belongs to the large and ever-expanding corpus of popular-culture texts that continue to receive more attention in public school classrooms. The "insightful social commentary" 11 of The Simpsons makes it a prime example of emancipatory popular culture, a term coined by media scholar Douglas Kellner, who claims that such texts have an oppositional power, "[challenging] the institutions and way of life of advanced capitalist society." 12 Despite the profit-centered modes of production and distribution that make emancipatory texts available to the public,
Emancipatory popular culture subverts ideological codes and stereotypes, and shows the inadequacy of the rigid conceptions that prevent insight into the complexities and changes of social life. It rejects idealizations and rationalizations that apologize for the suffering in the present social system, and, at its best, suggests that another way of life is possible. 13
Mary E. Reeves cites The Simpsons as the type of media text that effects liberation and betterment on behalf of the viewer. Her focus, specifically, is representation of education on The Simpsons. She says: "The high level of viewership among children, who are still in school, and young adults, who attended public school at the same time as the writers and who may have
children of their own in school, makes The Simpsons important in any study of education and popular culture." 14 As a result of watching and studying The Simpsons, she "[laughs] at the exposure of the failings of school, and [feels] compelled to continue to search for a better way to educate [herself] and others." 15
Because the subject of this study is Family Guy, the attention to this point given to The Simpsons may seem unusual. However, the short history of The Simpsons, including the culture wars surrounding it in its early years and changing perceptions of it since, has been included to establish a precedent for the type of debate at the center of our study of Family Guy. Controversy surrounding The Simpsons has abated in recent years, due to a number of factors: for one, it has been on the air so long that the public has arguably grown accustomed to its content and style, both of which seemed more shocking in the early days of the series. Relatedly, in terms of shock value, The Simpsons has been upstaged by "harder-edged animated shows" 16 on Fox, including Family Guy, American Dad, Bob's Burgers, and Allen Gregory. Finally, the enduring popularity and influence of The Simpsons gives the series some validity—catchphrases from the show have become part of the American lexicon; 17 diverse groups have identified with—even defined themselves by—this program described as a "stealthy, subversive smart bomb sitting in the middle of prime time," offering a "sustained critique of mainstream society." 18
Are perceptions and opinions of Family Guy today simply an extension of those held earlier about The Simpsons? One could argue that the Griffins of Family Guy have displaced The Simpsons as America's most popular animated family—cumulative Nielsen ratings for the last five seasons of Family Guy are slightly higher than those of The Simpsons, both overall and in the 18-49-year-old demographic. 19 Like The Simpsons earlier, Family Guy claims a large number of admirers and haters. TV critics occupy both positions: Frazier Moore of The Seattle Times
calls it "breathtakingly smart," 20 while longtime Entertainment Weekly critic Ken Tucker describes it as "The Simpsons as conceived by a singularly sophomoric mind that lacks any reference point beyond other TV shows." 21 Family advocacy groups often denounce it, 22 while celebrity fans openly petition to be involved in the show. 23
While controversy surrounding Family Guy is similar to that of The Simpsons in days past, the two series are very distinct. Stylistically, Family Guy is much faster paced, its signature transition being "a cut away from a story line for a non sequitur gag," 24 such as a pop-culture parody or celebrity spoof. Family Guy is also thematically cruder than The Simpsons, a claim best supported by the crossover episode of the two series, "The Simpsons Guy." 25 The simple fact that Family Guy is its own show makes it worthy of a critical analysis. This study takes a critical approach to Family Guy in order to form a supportable value judgment of it—is it a fitting example of emancipatory popular culture or is it something else? The alternative to emancipatory popular culture—to be explained in more detail later—is a popular culture that maintains the status quo, designed "to teach us how to fit in with the dominant norms, values, and practices of contemporary American society." 26
More important than the verdict on the text, though, is the critical approach taken—i.e., the media literacy strategies one uses. One may or may not find a text to be valuable after performing an effective critical analysis; however, value surely comes from knowing how to use media literacy strategies, which allow us to critique the ideological and institutional forces that shape culture and to "formulate alternative cultural perspectives." 27 Whether this study determines that Family Guy is an effective or ineffective satiric program—an exemplar of emancipatory popular culture or not—one will benefit from using the critical approach in this essay not only in an analysis of Family Guy, but in related programs, too. To be fair, this
section's treatment of The Simpsons has been too easy on the program, relying entirely on audience reception as a means of validation. The implication of The Simpsons as a valuable text is an assumption, included simply as an example to compare and contrast with our text of focus, Family Guy.
Audience response to Family Guy among both critics and viewers is only a small part of this study. The primary focus of this analysis is on one of the most prominent features of the show—its treatment of the family. In order to understand representation of family in Family Guy, one need understand the multifaceted nature of the series. Family Guy belongs to multiple genres and modes, including satire, animation, and television. This critical analysis of Family Guy requires a contextualization of the series into each of those traditions. In order to determine whether the Griffin family is a purposeful satiric family, concrete definitions of satire must be provided and maintained. Additionally, a substantial amount of background regarding animation and the sitcom must be established in order to understand all of the working parts of the show. The remainder of this chapter and Chapter Two set the foundation of satire, animation and television necessary for a critical analysis of the family in Family Guy.
The Family and Satiric Misunderstanding
Of all the institutions Family Guy targets—organized religion, politics, the media, etc.— its satire of the family is the most ubiquitous. Whether an episode involves Peter Griffin creating his own mock-religion, lobbying congress for looser cigarette laws, or founding his own TV channel that pushes the limits of decency, 28 the focus of the show almost always revolves around the Griffin family and their exploits. The type of criticism levied against The Simpsons by George and Barbara Bush has only amplified with regard to the raunchier Family Guy. For all the controversy The Simpsons has generated, it has never been criticized for allusions to incest,
necrophilia, pornography, or masturbation, as Family Guy has been by the conservative publication Human Events. Those perversions, in fact, earned Family Guy the second spot in the publication's list of the "Top 10 Worst Anti-Family Shows on Television" in the year 2000. 29 The Parents Television Council, a longtime foe of Family Guy, offers a fairly indisputable description of the Griffin family on its website:
Peter is a selfish, dim-witted lout. Peter's wife, Lois, tries unsuccessfully to keep order in the house. Peter and Lois have three children: Meg, an anxiety-prone sixteen-year-old outcast; Chris, a lazy thirteen-year-old dolt; and Stewie, a precocious toddler bent on world domination. Rounding out this dysfunctional family is Brian, the Griffins' acerbic, hard-drinking dog. 30
The PTC's disdain of the show is not surprising, considering their Mission statement—"To protect children and families from graphic sex, violence and profanity in the media, because of their proven long-term harmful effects" 31 —and their Vision—"To provide a safe and sound entertainment media environment for children and families across America." 32
At the risk of splitting hairs, the designation of "Worst Anti-Family Show," should more accurately be titled "Least Appropriate Show for Children." After all, to label the show "antifamily" may miss the point of the show's satiric purposes. Just because a disagreeable family is prominently featured in their own program does not mean they are intended as exemplars. In Satire: A Critical Reintroduction, Dustin Griffin offers a traditional definition of satire: "According to [the old] consensus, satire is a highly rhetorical and moral art. A work of satire is designed to attack vice or folly. To this end it uses wit or ridicule. Like polemical rhetoric, it seeks to persuade an audience that something or someone is reprehensible or ridiculous." 33 It follows, then, that "the characters and their actions come to stand for what the satirist is attacking." 34 Both proponents and opponents of Family Guy will agree that Peter Griffin and company are often reprehensible and ridiculous in their actions. What arguably differs between
the two groups are their expectations of a television sitcom. Opponents of Family Guy might oppose it on the grounds that it does not fit the "didactic model of domestic normalcy" they so desire in a TV program, while proponents see it as a "subversive vision of family life." 35 Each group represents a different paradigmatic view of television. In simple terms, the former want a program that provides good moral lessons through exemplary characters and stories; the latter want a program that tells it like it is.
George A. Test succinctly describes one problematic aspect of satire: "to understand some satire, the audience has to bring certain kinds of information or knowledge, a demand that cannot or may not always be met." 36 The absence of necessary background knowledge creates a potential paradoxical interpretation on the part of the ignorant reader. Rather than recognize the satiric elements of a text as an attack on vice and folly, one may interpret the satire as a promotion of said vice and folly. Animation scholar Paul Wells describes this occurrence in audience reception of the works of Ralph Bakshi: "[Bakshi's] representation of the freeing of sexual inhibitions, the street-culture of the civil rights movement and the ambivalent place of art in the mid-1970s was profoundly important, and in being about anxiety, alienation and change, was misunderstood as promoting fear and conservatism." 37
In some ways, the idea that something about Bakshi's satires invites contrary satire invites contrary readings, being dependent as it is interpretations is a moot point; almost all on the audience's knowledge of outside texts. However, do factors pertaining to some satiric texts make contrary interpretations more likely? By virtue of its medium, Family Guy appeals to a certain population—children—who largely lack the knowledge to understand satire. Additionally, some scholars claim Family Guy 's use and style of satire invites contrary readings. In "Funny or Harmful: Derogatory Speech on Fox's Family Guy ," LaChrystal D. Ricke relates
the program's use of hateful language to "issues of dominant-group power, inequality, oppression, and subordination" and attempts to find a link to cultivation of harmful language in children. 38 She paraphrases one of the show's writers, who rationalizes Family Guy's use of hateful language by "[suggesting] the show has managed to poke fun at every race, color, creed, interest group, political affiliation, and even the disabled." 39 Poking fun at everyone may help one feel less discriminatory, but does it make for effective satire? In "Family Guy: Undermining Satire," Nick Marx continues this argument, citing the creative personnel behind Family Guy, who feel "everyone is made powerless because everyone is made fun of equally." 40 According to Marx, the consequence of such an approach to comedy and satire is a possible reinforcement of already dominant social groups, which is antithetical to the purpose of satire. Ultimately, can a show be an "equal offender" when the targets themselves are on unequal footing? To make fun of white collar crime is fundamentally different than making fun of the handicapped. Family Guy, though, places jokes about groups as diverse as those side by side, which, according to Marx, effectively compromises "the program's ability to create meaningful satire." 41 The problem with joke after joke in rapid succession in Family Guy is the uneven way in which power relations are represented: "there is a difference between joking about a celebrity death and joking about the violent racist oppression of millions of Americans," 42 although Family Guy might treat both topics equally.
The struggle in writing about satiric representation in a text is in finding a balance between both what the text offers and what the audience brings to the table. Questions such as "is the text a bad influence?" or "is the text subversive?" are oversimplifications. Of course Family Guy can be a negative influence to some, and surely the controversy it generates proves its subversiveness, but to what or whom?
In a study of satire—or any media text—one cannot deny the amount of control on the part of the reader to make meaning of a text. Stuart Hall explains how individuals make meaning from a media message in his influential 1973 essay "Encoding and Decoding in the Television Discourse." Hall posits three hypothetical decoding positions of an audience: dominanthegemonic, negotiated, and oppositional. In the dominant-hegemonic position, "the viewer takes the connoted meaning from [a] programme full and straight, and decodes the message in terms of the reference code in which it has been encoded." Hall describes this position as the "idealtypical case of 'perfectly transparent communication.'" In the negotiated position, the viewer's reading "contains a mixture of adaptive and oppositional elements," legitimizing hegemonic definitions while also making his/her own ground rules at a situational level. In the oppositional position, the viewer "[understands] both the literal and the connotative inflection given by a discourse but [decodes] the message in a globally contrary way." 43
Hall uses a newscast as his example text of the three decoding positions; the implication throughout his descriptions of each position is the smarter, more critical viewer reads from an oppositional, or at least negotiated, position. Despite having both denotative and connotative encodings, a newscast is a fairly literal text in which potential interpretations fit nicely onto these three positions. The complexity of a satiric text certainly upends the description of each position, but Hall's point remains: a media text has intentions, blatant or otherwise, but individual viewers are free to choose how they interpret the text's messages.
Taking into account the subjectivity of the audience, the following are better questions to ask about Family Guy: in its representation of family, who/what is Family Guy subverting? Is Family Guy's subversive treatment of the family actually satire, or is it more accurately using a different literary device? What is the meaning behind family dynamics in the Griffin family?
This study will address these questions by looking for patterns across Family Guy's corpus of twelve-plus seasons, including more than 240 episodes. To effectively evaluate the representation of family in Family Guy—whether to praise it or pan it—one must understand how satire functions within it. The following section provides definitions necessary for the claims of this study as well as a brief description of each of the subsequent chapters.
Satire: Contexts, Definitions, and Production
A proper analysis of satire in Family Guy requires us to go beyond the definition provided earlier from Satire: A Critical Reintroduction. Defining satire is not an easy task; because of its vast history and various styles and practitioners, George A. Test says, "it is little wonder that attempting to define satire has been like trying to put a shadow in a sack." 44 Ancient as satire is, and varied as its styles have been, it is difficult to assign a specific purpose or point of view to it. It can be "conservative, looking back at a better time from a decadent era as Juvenal's does, or it [can be] liberal, attacking what is entrenched and stifling…calling for a change for the better." 45 To further contextualize Family Guy as heir to a particular American style, it is helpful to look at Linda A. Morris's definition from "American Satire: Beginnings through Mark Twain:"
Satire is understood to be work that relies upon humor to expose both human and institutional failures. Often the humor builds upon a sense of authorial indignation targeted at any number of possible human and/or institutional shortcomings: greed, selfindulgence, drunkenness, incompetence, hypocrisy, intolerance, corruption, excesses, or partisanship. Most satire, in spite of the anger that may lie behind it, depends for its success upon a sense of restraint and underlying, almost unspoken, sense that there is some hope that exposing society's excesses might lead to reform. 46
Exposing human failure echoes Dustin Griffin's description of "[attacking] vice and folly," but a key distinction between the two definitions lies in the additional phrase "institutional failures." Agreement about a familiar target—institutions—has typified American satire since Mark
Twain, at least according to Morris. In Revel With A Cause: Liberal Satire in Post-War America, Stephen Kercher describes this type of satire as "liberal, because as a whole it corroborated the outlook and agenda of mid-twentieth century liberalism and of the left wing of the Democratic Party in particular." 47 The goal of the satirist, according to cartoonist Walt Kelly, is to act as a "watchdog" for society. "In Kelly's opinion, satire—or as he occasionally labeled it, 'true humor'—was one of the most effective vehicles for communicating 'truth' and conveying the 'real.'" 48
Among other institutional targets, this brand of satire took aim at the institution of family, "particularly relationships between husbands and wives and parents and children," which had been portrayed as overly saccharine in a new format, the television sitcom. 49 One such group that satirized the family was the Chicago-based Second City troupe of the early 1960s, which sought to lay bare "the 'brutal truth' behind traditional middle-class marriage," by highlighting the "misunderstanding, alienation, and pain" of belonging in a family, rather than the "togetherness" ideal "highly touted in 1950s American consensus culture." 50
Sitcoms themselves soon followed suit, arguably "[reflecting] changes within society." 51 In Television Sitcom, Brett Mills explains the different stages in the evolution of the sitcom: the 1950s sitcom presented the stable family unit, exemplified by the Andersons of Father Knows Best and the Nelsons of The Adventures of Ozzie and Harriet; the 1960s, the surreal family, such as those from Bewitched and The Addams Family; the 1980s, the secure families—a reflection of the Reaganite era—of Family Ties and The Cosby Show, and the surrogate, workplace families of Cheers and Taxi. 52 Coincidental to Mills's list is that of Michael V. Tueth, who describes the evolution of sitcom families from "normal families" to "funny families" to "subversive families" in his essay "Back to the Drawing Board: The Family in Animated Television Comedy." 53 The
latter category, he claims, was made possible by animation, thanks to its ability "to include as many characters as they wanted and to switch scenes as often as possible," and for its potential of increased "physical comedy, rapid dialogue, and plot twists than live-action comedy could ever manage." 54 Essentially, animation can do whatever it wants, thus offering new potential for how it presents the family to the viewing public.
In short, Family Guy belongs to a satiric tradition that strives to subvert—or undermine the power and authority of—established institutions, one of which is the family, by undermining the ideas about family that come from on top. Essentially, all TV families—including those categorized earlier—can be split into two camps: those created to promote hegemonic, if not conservative, values, and those created to rebut the hegemony. The most extreme version of the former is the Father Knows Best family, the Andersons. In a typical episode of Father Knows Best, Jim Anderson "enters his comfortable home, greets his attractive and sensible wife, Margaret, changes from his business suit to more casual attire, and spends the evening calmly dealing with the day-to-day concerns of their three growing children." 55 Despite the enviable serenity of family life displayed by the Andersons, critics have accused the show of being "disturbingly traditional," pointing to the "patriarchal leanings in its title," 56 and criticizing the sexist implications of the show's humor: women are ridiculed unless they conform to a "humble but noble calling in life—housewife and mother." 57
The idea that real, "traditional" families were like the Andersons has also been challenged. Quoting historian Elaine Tyler May, Stephanie Coontz argues in The Way We Never Were that "normal" TV families of the 1950s were not the "last gasp of 'traditional' family life, but rather "the first wholehearted effort to create a home that would fulfill virtually all its members' personal needs through an energized and expressive personal life." 58 By extension,
real families that liken themselves to the "normal" Andersons and Nelsons are simply knockoffs of families that were false to begin with. To borrow a page from Jean Baudrillard, the family that models itself after the traditional TV family is a simulacrum, which in this case is a copy of an institutional lie.
Like the Second City Troupe, Family Guy and other programs that satirize the family take aim at the like of the Andersons, even sixty years later. The multiplicity of family types featured on television since the 1950s have given modern satires even more fodder. While later families differ greatly from the "normal" television families of the 1950s, they still contain hegemonic ideals, both hidden and obvious. Different as they may be from the Andersons, the Huxtables, among others, are arguably the 1980s version of the "normal" family, for they, too, reflect the hegemonic ideal of their era. In its hyper-allusive style, Family Guy attacks the television family holistically, sparing no era or family type.
With Family Guy placed in a satiric context that includes, among other things, the family as a target, it is now necessary to further concretize our definition of satire by explaining how it works in general. In Satire: Spirit and Art, George A. Test offers up criteria for satire that arguably encompasses and reconciles disparate styles of satire. Satire is comprised of four elements: aggression, judgment, play, and humor. 59 Aggression in satire is the attack, "probably the least debatable claim that one can make about [satire]." 60 This aggression in satire "may be direct or indirect. It may be as obvious as name-calling or epithet-slinging; it may be as subtle as a beast fable or other allegory." 61 Play is used "to yoke the symbolic aggression of satire." 62 Horace encapsulates laughter's importance to satire in the following adage: "There's no law against telling the truth with a smile." 63 Test explains, "For Horace the smile is a sugarcoating that makes the truth more palatable than the naked truth." 64 Without either play or laughter,
direct satire would become a direct attack, "being unadulterated verbal aggression." 65 Lastly, "the ingredient that activates and directs [aggression, play, and laughter] is judgment, turning satire into a weapon, blunt or penetrating, combining judgment with the other elements in a unique mix." 66 Judgment is the moralistic and/or idealist component of satire, but it can also be used maliciously, enviously, or in spite. 67
The benefit of this "quadripartite approach," as he calls it, is that it "allows for distinctions among closely related forms and expressions such as parody, travesty, spoof, comedy, and burlesque." 68 An extreme imbalance, or altogether absence, of aggression, judgment, play, or humor turns what would otherwise be satire into a different device. Parody, "a playful imitation or a humorous reworking of another text for comic effect," 69 is high on play and humor, but without attack or judgment; spoof, or "nonsatiric burlesque and travesty," also contains a high amount of play and laughter, "[leaving] no room for attack and judgment;" "comedy also emphasizes play and laughter, contains some judgment but very little if any aggression." 70
Concerning aggression, "invective is a general term indicating direct verbal attack on a person, place or thing through the use of vituperative language or ridicule, often in verse form" 71 —not entirely applicable to the sitcom format. However, abuse, which is also "direct, usually spontaneous, verbal attacks against a person…most often [takes] the form of prose," 72 thus distinguishing itself from invective. Diatribe, a type of abuse, "is the term used to describe a particular work of verbal attack, usually against a group, an institution, or kind of behavior;" its tone is "bitter or polemical." 73 Lastly, "lampoon may be thought of as a specialized version of invective in that it is a satiric attack on an individual." 74
These distinctions are vital to our analysis of satire in Family Guy, for an imbalance of any of the four elements reclassifies a satire as something else, thus thwarting its seeming intentions of reform. Based on the contexts and definitions given, we can safely say that satire is more socially purposeful than any of its close relatives, such as parody, burlesque, comedy, or lampoon.
For the purpose of this Family Guy analysis, several additional satiric terms will prove helpful, among them direct and indirect satire, persona, trickster, and carnival. Direct satire is satire "at the simplest and most direct, the satirist [speaking] to the audience through a voice or a persona who indicates what is wrong with society." 75 Debate exists about whether the persona, including his or her statements, should be attached to the poet/author's person or if the persona should be viewed as an objectified character. 76 Either way, the persona, from a position of superiority, is the source of the explicit attack and judgment. On the other hand, the satirist who uses indirect satire symbolically projects "an unattractive and undesirable reality" through characters who "[act] out those emotions that are potentially socially disruptive and therefore strongly frowned upon." 77 As opposed to direct satire, characters in indirect satire "become distinguishable from the satirist in ways that personae may not always be." 78 "In short, the characters and their actions come to stand for what the satirist is attacking." 79 Lacking a persona—a critic sitting in a position of superiority—the indirect satirist "puts the target on the defensive by making it appear inferior." 80
Test argues that a certain satiric device utilized for centuries in diverse cultures is that of the trickster. Storytellers in oral and folk traditions "were free to satirize in stories so long as they did not name names and so passed off their tales as make-believe." 81 Often in the form of an animal, the "trickster makes a comic game of pomposity, power, and prestige; gods and kings are
favorite targets for derision." 82 Unlike the self-righteous persona, though, the trickster "may also become what he attacks:" "By being or becoming what he attacks, the trickster-satirist reduces the distance between the folly and vice out there among others and the folly and vice in here in ourselves." 83 The trickster makes it possible for us to see ourselves as the objects of satire. 84 The role of the trickster was succeeded by the fool in medieval and later times, and by the stand-up comedian in modern times. 85 The modern comedian—Test cites Lenny Bruce as an example— shocks audiences and breaks taboos as a means to tell the truth and expose institutional hypocrisy, the stage being his sanctioned platform to act the trickster. 86 What the comedian says on the stage is often not acceptable in normal social interactions, for example.
One important term not mentioned by Test that expands the concept of trickster is carnival. Often associated with Mikhail Bakhtin, who wrote about it in his landmark Renaissance treatment Rabelais and His World, the concept of carnival has been appropriated by other scholars to better explain works as diverse as those of Bunuel, Fellini, Godard, Monty Python, Mel Brooks, and the Marx Brothers. 87 Carnival was a medieval form of comedy, enacted by the masses in the marketplace, not unlike Mardi Gras is today. 88 As opposed to the satirist who "places himself above the object of his mockery," 89 the carnival clown "makes fun of everyone, including himself, not in order to put down one side in favor of the other but merrily to unmask order and power, all order and power." 90 The universal nature of carnival—in other words, the abolishment of hierarchies and the leveling of social classes 91 —is intertwined and accompanied by two other characteristics: ambivalence and grotesqueness. 92 Carnival, in effect, is a form of collective, communal tricksterism.
These terms and definitions are vital to our study of Family Guy, serving as a reference point for any future mentions of satire. As mentioned, Family Guy is heir to multiple traditions,
and thus must be measured within several contexts. How does it fit within the tradition of American satire? How does Test's quadripartite approach inform our understanding of the varied satiric devices Family Guy utilizes? How do ideas of the trickster and carnival overlap with Family Guy's medium of animation?
This analysis of the family in Family Guy, which includes a great deal of focus on satire, centers on a close textual reading of the episodes of Family Guy. Because satire is part of the discussion, I would be remiss not to acknowledge the systems that produce and distribute sitcoms, which severely restrict "the radical social argument [i.e, satire and other subversive messages] in most television comedy." 93 In The Simpsons, Satire, and American Culture, Matthew A. Henry describes the formation of the Fox Network, including the men behind it— Rupert Murdoch and Roger Ailes—and their aims. Henry says, "Murdoch is driven less by a particular ideology than a concern for the bottom line, which means his priority is to use his media outlets and his wealth to promote policies that will benefit News Corporation." 94 Ailes, responsible for programming on Fox News, "showed how ruthlessly [he] would pursue audiences and broaden conservative ideological dominance by playing on audience fears"—this from the same parent network that airs The Simpsons and Family Guy. 95 The apparent liberalism of such programs combined with the outright conservatism of a network like Fox makes for obvious irony, but in reality, it does not matter which network broadcasts Family Guy because the bottom line will always be the same.
Thanks to the commodification of cartoons a generation earlier, The Simpsons and Family Guy criticize the establishment while also making a bundle of money for the establishment through advertising and merchandising. In "Re-Drawing the Bottom Line," Allen
Larson makes the connection from the Saturday-Morning-Cartoon era to contemporary animated series:
In varying ways, each of these companies actively explored the unique profit potentials afforded by animated feature-film production, animated children's television programming, and the plethora of ancillary products derived from franchised cartoon brands as they were repurposed across the full spectrum of media formats in the 1990s. To this extent, we may have—more than any other factor—the increasingly efficient commodification of children to thank for the subversive pleasures afforded to viewers by shows such as Beavis and Butthead or Family Guy." 96
Like any mass-produced media text, Family Guy would not exist if it did not positively affect the bottom line, a fact verified by Family Guy's unique life history. It was cancelled not once, but twice, and was brought back for a third run in 2005, only because of successful DVD sales, which to some Fox executives hinted at the making of a billion-dollar franchise. 97 Stewie, Brian, and the other members of the Griffins soon became ubiquitous endorsers of myriad products. "Hiring rude, crude 'toons instead of warm and fuzzy animated characters 'goes with the times,'" said Ira Mayer, president and publisher at the Licensing Letter, a newsletter in New York owned by EPM Communications. 98 That the characters' edginess is seen as a selling point rather than a point of resistance highlights the contradiction inherent in mass-produced, massmarketed satire. In a deal not far-off from the Flintstones-Winston Cigarette and Mr. MagooStag Beer endorsements of the early 1960s, Family Guy got its own beer endorsement in 2007. Said Howard Nelson, Vice President of worldwide promotions at Fox Licensing & Merchandising: "Even though it's animated, we've never looked for partners who are kid-based. We want partners that embrace the show's edgy humor and target the young male audience." 99 By 2008 the show, much more successful than it was during its initial runs, had pulled in a reported $1 billion for 20 th Century Fox, and the company responded by signing MacFarlane to a $100 million contract that would keep Family Guy and other MacFarlane franchises on Fox
through 2012. 100 With the commercial success of Family Guy over the last ten years, one can imagine Rupert Murdoch's viewpoint of the show: I don't care how Family Guy criticizes me, as long as it keeps bringing in money.
The inevitable tension between television satire and its mode of production is best summarized by Joanne Ostrow of The Denver Post in her article, "HBO Leads the Pack in Bringing Satire Back:" "Selling the commercial networks on a sort of comedy that aims to be not merely entertaining but subversive is a tough job. Putting satire on TV means walking a fine line between exposing the folly of our consumer society while hoping to keep millions of potential consumers in their seats." 101
Subsequent Chapters
In Prime-Time Families, Ella Taylor claims, "Few contemporary forms of storytelling offer territory as fertile as American television for uncovering widely received ideas about family." 102 Taylor, however, believes that live-action television's "tendency towards naturalism and realism" limit its "potential of creating divergent meanings." 103 However, the tendency—if not expectation—of animation is not to represent reality. Literature already exists that explains how animated television, in general, presents new possibilities for divergent meanings and subversive messages, by creating a space of carnival performance. 104 Chapter Two continues this discussion by analyzing the ways in which Family Guy formally and structurally comments on the television sitcom, and by extension, the family. The structure of the show, which relies on codes of television, animation, and more, upsets a meta-narrative—"a story that makes sense of every other story" 105 —of family, in a style all its own. In general terms, this chapter explains how animation subverts and/or satirizes and what it subverts/satirizes.
Chapters Three and Four contain analyses of the presentation of family in Family Guy. Chapter Three, specifically, covers Family Guy's explicit references to other families, real and fictional. Always known for its pop-culture references, 106 Family Guy uses direct satire to comment on other familial representations on television. Via cutaways, it shows the nonsubversive TV families in uncharacteristic and compromising situations. For example, in Season Two's "Peter, Peter, Caviar Eater," the Griffin family watches an episode of The Cosby Show in which Theo Huxtable fails to communicate a serious problem to his father, Cliff. Theo has impregnated his girlfriend, and try as he might to get support from his father is instead met with off-topic anecdotes filled with typical Bill Cosby-isms. The incongruity of Cliff's raconteuring amidst Theo's crisis exposes the falsity of The Cosby Show. The problem with these television families, Family Guy implies, is their denial of real-life problems. However, not all of these allusions are as characteristically satiric, at least according to Test's quadripartite criteria of satire. Would a mixture of satire-like devices in these cutaway allusions—parody, lampoon, abuse—weaken those allusions that effectively utilize satire?
Building off of the previous question, how do the Griffins' own familial interactions demonstrate an effective use of satire? If the targets of television's past indicate a degree of untruthfulness, does the Griffin family itself expose the opposite—the truth? Chapter Four holds the Griffin family up as a mirror to the fictional families it so deliberately mocks. The dynamic of the targeted television families alongside the Griffin family creates a tension not so apparent in other animated sitcoms on the Fox network, like The Simpsons and Bob's Burgers. In The Simpsons, for example, foils to the Simpson family come from within the show's world. The Simpsons need not cut away to Father Knows Best to juxtapose Homer, Marge and company with a different kind of family; they already live next to the Flanders, The Simpsons' version of a
normal family. Family Guy's treatment of other television families, if not always satiric, is more biting, more virulent, than The Simpsons treatment of its own families that stand as proxy for other TV-family types. The difference between The Simpsons and Family Guy in this regard is that the former almost always uses indirect satire to comment on the family while the latter uses a unique mix of direct and indirect satire. The result is a strange mix of superiority and carnival, for Family Guy remains a show that makes fun of everything but also puts itself on a pedestal. 107 The sheer amount of information dealing with family in a series this expansive requires us to limit our focus to two familial categories. In keeping with the main subjects of Chapter Three's cutaways, Chapter Four describes how parenthood and marriage are indirectly satirized in Family Guy.
This analysis of familial representation in Family Guy, consisting of the show's subversive form and structure, satirical allusions to actual television families, and satiric workings within the Griffin family, is intended to do justice to a complex text. Everyone can agree it is fast, unpredictable, preposterous, obscene, lyrical and self-reflexive; 108 what many disagree on is whether Family Guy is a smart and/or worthwhile show. Varied responses to Family Guy confirm its contradicting and pluralistic nature—it is arguably a writerly text. Suzanne Williams-Rautiola borrows this term from Roland Barthes in her essay, "Animated Fathers: Representations of Masculinity in The Simpsons and King of the Hill." In it, she argues that the expansive world of The Simpsons makes the show a writerly text, which, quoting Barthes, "[makes] the reader no longer a consumer, but a producer of the text…the writerly text is ourselves writing before the infinite play of the world." 109 Family Guy—no less an expansive text than The Simpsons, although referentially rather than in sheer size of place and number of characters—is a text full of contradictions that invites various, if not antithetical readings.
Responses to Family Guy certainly cover the spectrum, whether the viewer takes a protectionist approach against it, rejects it on grounds of simpleness, or praises its sophistication. Before passing judgment on Family Guy with any of those opinions, one must perform an effective analysis of it. This study hopes to do just that, by exploring and uncovering how family works in Family Guy.
Chapter Two
The Subversive Look and Feel of Family Guy
Much of the criticism Family Guy receives deals with its often offensive and objectionable content, such as Stewie's rape joke in "The Simpsons Guy." Some may object to the show for reasons more general: Peter's "vulgar antics," Lois's failure as a house wife, Chris's laziness, Stewie's diabolical inclinations, Meg's pitifulness, and Brian's hard living. Evidence from the show justifies those judgments of the Griffin family, but to focus solely on characters' personalities, one ignores other important, more subconscious, aspects of the show that influence how it is perceived. In Diane Alters's study of audience reception of The Simpsons, she interviews "Susan," who dislikes the program for various reasons, one of which, already mentioned, was its apparent lack of socially uplifting material. However, "she also voiced a critique that emphasized her strong reaction to the look and feel of the show rather than particulars such as plot or language, which she had criticized earlier, also in general terms." 1
Though not articulated by Susan, the look and feel of animation holds powerful sway over viewers. Both look and feel refer to the animated aesthetic; both depend on the pacing of the text and the way in which it is edited; both depend on how well these meet certain audience expectations. If a viewer does not like the look or feel of a text, it follows that said text simply does not meet that person's criteria of an ideal text. This chapter consists of a formal analysis of Family Guy that explains the look and feel of the show beyond "general terms." Admittedly, to analyze form as its own entity would be incomplete; form and content are not mutually exclusive as much as they are intertwined. 2 Conversely, a treatment of satire and family in Family Guy without adequate coverage of animated form would fail to address all of the factors that
influence its presentation of familial satire. Essentially, this chapter explores the ways in which Family Guy's animated-ness influences its ability to be a subversive, satiric text.
The Anarchic History of Animation
As an introduction to animated form, a connection must be made with its cousin, liveaction. Film scholar Kristin Thompson explains in "Implications of the Cel Animation Technique," that early audiences of live-action and animated film did not see a distinction between the two; both were considered novelties. 3 In the pre-feature film era, in fact, "animated film meant not just cartoons but any motion picture film." 4 Works that we unmistakably categorize as animation today, such as J. Stuart Blackton's 1906 short, Humorous Phases of Funny Faces, were merely considered "trick films," not unlike special-effects heavy live-action shorts from the same period. 5 Winsor McCay, Emile Cohl, the Fleischer brothers and others inserted themselves into their "animated" films as if performing a normal version of a vaudevillian lightning-sketch act, albeit with visual trickery made possible by the technology of film. Eventually, though, the novelty of film's technology wore off; "it had become naturalized through familiarity. An ideology of realism of depicted events had taken over." 6 As audiences grew accustomed to and expectant of naturalism, a new technology emerged that set animation on a new course: the cel animation technique. "Cel animation consists of separating portions of a drawing onto different layers to eliminate the necessity for re-drawing the entire composition for each movement phase." 7 Cel animation technique industrialized, or Taylorized, animation, thus narrowing the perception about what animation could be. No longer an artist's medium, animation adopted a streamlined process in which a division of labor was instituted to take care of individual parts—backgrounds, main character poses, and in-between poses—and to simplify
shapes—bendable, rubber hose joints on characters, rather than realistic-looking joints. 8 The move to a stylized form had effectively occurred.
While cel animation technique limited the definition of animation, it did so paradoxically. Cel animation helped "Hollywood [define] the cartoon by its difference from live-action films and it has been a secondary form ever since," 9 but what is the difference between live-action and animation? According to Thompson and others, it is each medium's relationship to nature. As live-action film unofficially claimed a monopoly on naturalism, animation made a bid to represent everything unnatural: "Animation could do things live-action could not, and hence it came to be assumed that it should do only these things. As a result, cartoons did not opt for the naturalism of imitating live-action films." 10 Explains Thompson: "Cartoon production was broadly stylized, usually in imitation of comic strips; it used caricature, stretchiness, and flatness in general defiance of the laws of nature." 11 Essentially, animation was strangely limited in that it could do anything and be anything; anything, that is, but natural.
Consequently, the look and feel of both animation and live-action—American animation and live-action, at least—was set by the 1920s and 1930s. The term most associated with Hollywood's naturalized standard in live-action is the Institutional Mode of Representation— IMR, for short—which was coined and developed by film studies scholars in the 1960s. The IMR is a concept of film semiotics, a discipline that looks at "the nature and implications of variations and developments in the language of cinema." 12 The language of film—technologically and ideologically informed—varies from culture to culture, but the ways it worked in Hollywood's golden age are distilled in the IMR, which emphasizes "conventions of mise en scene, framing, and in particular…editing, by means of which coherent narrative space and time are set up and fictional characters are individuated in ways which engage, and are imperceptible to, the
spectator." 13 In the IMR narrative structure is characterized by "1) Linearity of cause and effect within an overall trajectory of enigma-resolution; 2) A high degree of narrative closure; 3) A fictional world governed by spatial and temporal verisimilitude; and 4) Centrality of the narrative agency of psychologically-rounded characters." 14
To understand the IMR as the means by which filmmakers represented—and continue to represent—narrative coherence in a visual text is to see the close relationship between form and content in film. In the IMR, the story is transmitted via continuity editing, and the supposed success of this transmission—i.e., the audience's ability to decode the story—is dependent on its seamlessness.
True to the perception many have of it, animation has been the anti-IMR in many ways. 15 In the article "Towards a post-modern animated discourse: Bakhtin, intertextuality and the cartoon carnival," Terrance R. Lindvall and J. Matthew Melton explain, "Cartoons…do not need the consistency or internal logic of a realist film." 16 They explain that cartoons "[unveil] the classical cinematic disguise of being a self-contained, closed structure by becoming open to the experience of the readers," and "by acknowledging familiar topics, issues and personalities…cartoons begin to establish a common ground for communication with their readers." 17 One way that animation opens itself up to the reader, thereby creating a different dynamic, is through self-reflexive acknowledgements of its own constructedness. Whereas the IMR focused on editing techniques "imperceptible to the spectator," animation very obviously exposes its maker's hand, even if the hand, too, is animated, as it is in Chuck Jones's Duck Amuck. 18
As Thompson argues, animated form was technologically influenced, not to mention a response to the IMR; however, something interesting happened in the world of animation that
shaped its forms—plural—for the majority of the 20 th century. In the mid-1930s, Walt Disney set out to create Snow White and the Seven Dwarves, which would become the first full-length American animated feature. It was released in 1937 and became an instant hit, consequently setting new standards for animation, roughly parallel to those established by the IMR in liveaction film. Disney became the "stylistic and creative orthodoxy of the medium itself." 19 Snow White became the "industry norm by which the other studios, critics and audiences could evaluate its distinctness and comparability." 20 The factor that made Snow White and later Disney features distinct was its emphasis on realism. In fact, Disney was unique in putting his animators through a training program taught by Don Graham, in which they focused on realistic, lifelike form. Disney changed the game of animation aesthetics thusly: "Progress was measured in the ways that the technological conditions of production had facilitated an art comparable to live action, not in ways that the language of animation could be used to effect alternative aesthetic and sociological perspectives." 21
The Classic Disney style—one could call it animation's version of the IMR—"has been maintained and naturalized into the contemporary era and has created a style and standard by which other animators and animation studios are often measured." 22 This doesn't mean that all other animation is simply an imitation, for other studios and artists have viewed Disney's standardization as a means to differentiate their own work. 23 Just as film is limited by the IMR, animation is too, even more so considering its potential "as a vocabulary which moves more towards a sense of the 'unregulated.'" 24
At issue in the language of animation is the tension between Disney's ideologically conservative insistence on realism and the desire of others to take advantage of the medium's transgressive qualities. Of the latter, several groups have openly resisted the look and feel of
classic Disney. Utilizing a "more urbane, less coherent, cacophonous" 25 style, Warner Bros.' animators Tex Avery, Chuck Jones, Frank Tashlin, and Bob Clampett "reclaimed the freedoms of the cartoonal form that Disney had seemingly jettisoned in favour of the pursuit of classic narrative techniques and outcomes." 26 According to Paul Wells in Animation and America, those directors reinvented the cartoon as a model of incongruity and irony, caricaturing popular figures, satirizing institutional conduct and re-exploring graphic and narrative idioms." 27 This last point is seconded by Timothy R. White in "From Disney to Warner Bros.: The Critical Shift." White reiterates that Warner Bros.—including their directors who moved on to other studios, like Tex Avery to MGM—was more daring creatively, frequently including elements of self-reflexivity, disjointed narrative linearity, and dislocated sound and image in their cartoons. 28 Citing other critics, White claims the results were texts similar in form to European cinema, which operated under a different set of codes than Hollywood and the IMR.
American animation proved influential in other parts of the world by the mid-1950s, with some groups officially choosing sides as to what they thought animation should be. Zagreb Film of Yugoslavia issued a manifesto that included the following pronouncements:
Animation is an animated film. A protest against the stationary condition. Animation transporting movement of nature directly cannot be creative animation. Animation is a technical process in which the final result must be creative. To animate: to give life and soul to a design, not through the copying but through the transformation of reality. 29
One need only see Zagreb's 1962 Oscar-winning short Ersatz (The Substitute) for an example of nature-defying, creative animation. 30
Before explaining what film and animation language means to Family Guy, one more factor must be addressed: television. Although theatrical cartoon shorts were considered different than live-action features—for all of the aforementioned reasons—they were yet to be considered
strictly for one audience type. In "The Great Saturday Morning Exile," Jason Mittell explains the perception of cartoons in the late 1950s as "entertainment for mass audiences, but with particular appeal to children." 31 By the late 1960s, however, "cartoons were now culturally defined as a genre whose primary audience was children, and not a legitimate entertainment for adults as the primary audience." 32 Several factors influenced the changing perception of animation, one of which happened years earlier. The re-structuring of the studio system as a result of U.S. v. Paramount made the financing of theatrical animated shorts untenable. Those shorts that had already been made, though, found new life on television networks that had purchased the rights to studios' entire catalogs. The recirculation of old shorts was fundamentally different in the new medium. No longer did an animated short such as a Bugs Bunny cartoon precede a full-length live-action feature; instead it was combined with several other Bugs Bunny shorts in an episode of The Bugs Bunny Show. Already considered appealing to kids, the animated short became even more appealing in its multiplied state, sans an attached, feature-length film. In addition, increased efforts towards political correctness led to the censoring of controversial material, further altering the presentation of cartoons in a kid-friendly manner.
Television altered not just the presentation of animation but its production, too. As significant as the cel technique was to animation between the years of 1910 and 1920, the emergence of limited animation techniques were equally important during the 1950s and 1960s. Without a market for theatrical cartoons, many of the big animation studios closed, paving the way for new companies aimed at television. One such company was Hanna-Barbera, formed by William Hanna and Joseph Barbera, previously of MGM. Producing animation specifically for television presented new challenges, among them a drastic reduction in funds, an increased amount of screen time to fill and the much smaller television screen. The solution was limited
animation, which essentially was cel animation technique at its most extreme. Limited animation was characterized by the ubiquity of changeable, reusable parts, and limited movement. Emphasis shifted from character action to character dialogue. Compared to the smooth, complete look of full animation from classic Disney, Warner Bros., and MGM shorts, limited animation looked remarkably crude.
Despite taking a step backwards in the visual department, early television cartoons— specifically from Hanna-Barbera—"were held up as valued advances in animation that were more entertaining for adults and children than the studio shorts we now regard as 'classic.'" 33 Perception of audience reception at the time suggested a belief in double coding—a theory arguing that a text has one "layer of meaning—usually aligned with the simplistic humor in relatively unsophisticated visuals—which appeals to children, and a second 'layer'—usually aligned with the verbal jokes in the soundtrack—which appeal to adults." 34 In fact, the intergenerational appeal of Hanna-Barbera cartoons allowed some—most notably The Flintstones—to occupy coveted prime time slots. 35
That perception of animated television did not last long. According to Jason Mittell, "Cartoons disappeared from prime time because of their perceived inability to reach adult audiences. Although certainly the [animation] boom waned because of the typical effects of generic saturation, the industry took the failure to mean that the genre was inappropriate for adults." 36 Prime time animated cartoons, like Flintstones, aimed at the "kidult" 37 audience were cancelled, but like Bugs Bunny a generation earlier, they eventually found new life—not in a new medium, unfortunately, but in a new time slot aimed directly at children. The perception was thus: "kids will gladly watch recycled and repeated programs [because] kids cannot discern quality of animation." 38 "Establishing Saturday morning cartoons as a cultural category was
filing the entire genre under a 'kid-only' label," says Mittell. 39 The production of cartoons during the Saturday-morning era further changed as programming became a matter of "effectively and more profitably [delivering] audiences to advertisers." 40 New cartoons that sat next to Warner Bros. and even Hanna-Barbera reruns on Saturday morning basically became half-hour-long commercials for children's products.
As a means to synthesize the diverse systems of representation just mentioned, along with their implications, a summary will be helpful: for many years, live-action and animation have been considered distinct modes. Live-action gravitated toward naturalism early on; at least in popular American films, which most likely adhere to the IMR, audiences have come to expect a reflection of nature, via continuity editing. Animation's distinctness, on the other hand, is characterized by its dissimilarity to nature. Its plasticity, its potential to do what it wants and be what it wants, has become expected. However, beginning with Snow White and continuing in his other feature-length works, Disney defied those expectations by making animation that conformed to nature. All animation post-Snow White has been informed by Disney's style, either by imitation or resistance. The resistance—the anti-Disney—perpetuated the anarchic perception of animation.
That animation is the easiest, if not best, medium to display anarchy analogously makes it the best medium to perform the carnivalesque, which was characterized earlier by its universality, ambivalence, and grotesqueness. Tueth deftly describes the way in which animation makes the carnivalesque more palatable:
The acceptability of the presentation lies in its inclusion of material which might otherwise disturb a viewer but which is easily incorporated into the cartoon format…Violence and destruction are presented in less disturbing forms. The tradition of the resurrection of cartoon characters [who] manage to survive explosions, crashes, longdistance falls, and the crushing effect of heavy objects landing on them or rolling over them is a major expansion of the inherent optimism of most comic plots. 41
Speaking of The Simpsons and other animated sitcoms, he says, "they offer their critique in a familiar and ideologically acceptable environment: the traditional sitcom format. It is this mixture of shock and reassurance that distinguishes the new animated television comedy." 42 In the same way that Warner Bros. shocks and reassures when Wile. E. Coyote gets smashed by a boulder, The Simpsons shocks and reassures when Homer chokes Bart. Such an act in live-action would definitely be grotesque but would hardly be funny. An audience's innate knowledge of animation's constructedness makes it much easier to swallow the violence and grotesqueness found in cartoons. As Tueth mentions, animation is able to ignore the real-life consequences that a more naturalistic text is obligated to take into account. Thus, Bart continually escapes Homer's grip with nary a mark on his neck. In a more extreme example, the Family Guy episode "Bigfat" shows Peter Griffin reading a book titled The Life of JFK. Alluding to JFK's mortal wound, Peter's head spontaneously explodes on the right side, as if he has been shot by a sniper's rifle. The image of Peter's head is truly gory, but Family Guy is able to sidestep the permanence of the injury—in the next scene Peter's head is inexplicably back to normal.
Though animation is arguably the best vehicle for carnival representation, the perception of it as a children's medium complicates matters. This perception—mostly born out of the commodification of cartoons during the Saturday Morning era of television—is the unstated assumption that colors "Susan's" negative opinion of The Simpsons in Alters's study. One could make the claim that the viewing public, perhaps subconsciously, considers programs like The Simpsons and Family Guy children's shows, for the simple fact that the appropriateness of said programs is constantly in the spotlight. The appropriateness of content in live-action sitcoms during the last few years has not been questioned nearly as frequently as that of Family Guy and another of Seth MacFarlane's creations, American Dad. 43 Surely programs of the last ten years
like Desperate Housewives—which aired during the same Sunday night time slot as Family Guy—have contained offensive material; however, there was never a pretense that those shows were for children. The unique dynamic of animation's plastic, anarchic and carnival potential and the perceptions and expectations many viewers have of it is thus: it is the best medium for shocking, outrageous content, but it is also the medium most likely considered to be aimed at children. Children, presumably, are more likely to be enticed by Family Guy than by a liveaction family sitcom such as Modern Family. Evidence supports this notion to a certain extent: recent ratings of key demographics show Family Guy as the third-most-watched program of a demographic that included 12-34 year-olds during the week of January 17, 2015. 44
Family Guy's Anarchic Essence
The previous chapter presented a series of questions that have only been partially answered thus far; one of them was, "in its representation of family, who/what is Family Guy subverting?" The response provided in Chapter One and summarized here is representations of family in the media, propagated by those who hold hegemony. The question in the current chapter is an extension of the earlier question and answer: how does Family Guy subvert media representations of family? The obvious answer is by what the characters say and do—i.e., the content of the program. In this sense, the content of Family Guy will not be ignored, as it is the major focus of Chapters Three and Four. As has been discussed, content and form can never really be separated, given that form is what shapes the content we view. Form is perhaps the most obviously playful feature of a satire, yet viewers struggle to articulate it beyond generalizations. 45 The purpose of this chapter is to move beyond generalizations so that an audience can better understand the implications of form, which in the case of Family Guy is noticeably subversive.
Thus far this study has provided brief descriptions of different types of families on television, including an explanation of them as satiric targets. This chapter has intended, among other things, to highlight the subversive potential of animation by stressing its distinct plasticity in juxtaposition to live-action media. While much mention is made of the IMR earlier, the IMR is associated more with feature-length film than with television. In order to analyze Family Guy's formal subversiveness, one must find television's IMR equivalent. More specifically, one must identify the language and codes that characterize the sitcom—the genre Family Guy belongs to as well as the genre it attacks. For the purposes of this study, a concise classification of the sitcom genre will suffice by allowing us to see how Family Guy formally identifies as a sitcom, and also how it diverges. In TV Genres: A Handbook and Reference Guide, Larry Mintz defines the sitcom as:
a half-hour series focused on episodes involving recurrent characters within the same premise. That is, each week we encounter the same people in essentially the same setting. The episodes are finite; what happens in a given episode is generally closed off, explained, reconciled, solved at the end of the half hour…Sitcoms are generally performed before live audiences, whether broadcast live (in the old days) or filmed or taped, and they usually have an element that might almost be metadrama in the sense that since the laughter is recorded (sometimes even augmented), the audience is aware of watching a play, a performance, a comedy incorporating comic activity.
The most important feature of sitcom structure is the cyclical nature of the normalcy of the premise of undergoing stress or threat of change and becoming restored…This faculty for the 'happy ending' is, of course, one of the staples of comedy, according to most comic theory. 46
The enigma-resolution dynamic so important to the IMR presentation of narrative finds its parallel in the thirty-minute-long, self-contained sitcom conflict. Cyclical is perhaps the best word to describe the sitcom, which presents the same characters with the same types of problems in the same places, over and over and over. Analogous to the IMR's insistence of narrative cohesion via continuity editing is the sitcom's own version of continuity editing. Brett Mills describes the shooting style of the sitcom:
The "classic" form of sitcom shooting is generally seen as the "three-headed monster" developed by the cinematographer Karl Freund for I Love Lucy (CBS, 1951-57). Freund used three cameras to capture a scene involving two characters: the first covered a wide, establishing shot while the other two were each mid-shots of each performer. These shots allowed for fast editing between the two performers in any conversation scene, and also meant that the text offered as much weight to reaction shots as it did to those of speech…Firstly, in seeing a character's astonished reaction to the behaviour of another character, the audience is cued into reading such behavior as abnormal and, therefore, comic. Secondly, while a shot of comic behaviour would get a laugh from an audience, a subsequent shot of a reaction to that behaviour would get another laugh, meaning that a programme could get two laughs from the same joke. 47
He goes on to explain how the "fast cross-cuts between speedy, short lines of dialogue create what might be called a 'comic rhythm.'" 48 The effect of such editing has comic implications and accelerates the narrative.
The remainder of this chapter contains a formal analysis of a formally typical Family Guy episode—Season Two's "The King is Dead." The analysis consists of, first, a description of the episode's most sitcom-like elements; after all, for a satiric text to be truly subversive, it needs to at least resemble the type of text it intends to undermine. Once deemed a sitcom, at least according to the formalistic and stylistic criteria above, we can look more closely at how Family Guy, and this episode in particular, attempts to subvert said criteria.
With regard to editing, the three-headed monster is on full display early on in "The King is Dead." 49 After an establishing shot that shows the Griffin home—an example of Family Guy's indebtedness to the IMR—the camera cuts to a wide shot of the Griffin family, sans Peter, sitting on the couch; an eyeline match reveals they are watching television, the subject of which is the local nightly news. 50 Lois, Meg, Chris, Stewie and Brian find out from anchorwoman Diane Simmons that longtime Quahog theatre director, Robert Kimble has died. While the news story is running, the phone rings and Lois answers it. On the other end of the line is someone from the Quahog theatre. A wide shot shows Lois on the phone, Chris, Meg and Brian on the couch, and
Stewie playing with his blocks on the floor. "They want me to be the new artistic director of the Quahog players," says Lois. Immediately the camera cuts to a medium two-shot of Chris and Meg. "All right, Mom!" says Chris. Meg follows with a question: "Are you going to do it?" The camera cuts to a medium shot of Lois. "I don't know. It's such a responsibility. I need a moment to think." The shot rests on Lois before cutting to Chris and Meg, and then Brian, before coming back to Lois.
Though this scene may seem mundane, it effectively uses framing and editing choices— shot-reverse-shot—to establish time and space and to set up the episode's narrative, which, characteristic of the IMR and Mintz's definition of the sitcom, is enigma-resolution based. The initial conflict involving the passing of Robert Kimble becomes an opportunity for Lois—that is, until Peter wants in on directing. Shortly after Lois accepts the position of theater director, Peter experiences frustration at the toy factory where he works when his invention, Mr. Zucchini Head, fails to impress his boss, Mr. Weed. Feeling creatively stifled, Peter begs Lois to include him in her first venture as new theatre director—a production of The King and I. Though she gives him the seeming vanity position of producer, Lois regrets to include Peter at all, as he fights her over creative control of the show. She eventually quits, and as Peter gains absolute control over the production, he adapts The King and I into an incoherent science-fiction story. Ironically, the show is well received at its premiere, which further angers Lois. Following the hearty round of applause at the show's conclusion, Lois erupts with a diatribe against the bastardization of art. She silences the audience, at least until Peter breaks wind for a ridiculously long time. When Peter's fart comes to its own conclusion, the audience gives another standing ovation, confirming Lois's accusations against them. The final scene once again begins with an establishing shot of the Griffin home, before cutting into Peter and Lois's bedroom. Peter
apologizes to Lois in his own way by thanking her for the opportunity to direct a show, which allowed him to be creative; somewhat reluctantly, Lois admits that anyone who can turn The King and I into "that" must be creative. Lying in bed, the two make up, signaling the end of the day and the end of the story, marital conflicts resolved, at least until the next episode.
The events in the episode are largely sequential; time and space are represented coherently and linearly in the aforementioned establishing shot of the Griffin home at the beginning of the episode, followed by establishing shots at the Brine Theatre, the Channel 5 News Studio, and back at the Griffin home several times. Thus far nothing seems uniquely cartoonish in our description of "The King is Dead." A closer look at several scenes in the episode, though, reveals subversiveness to the sitcom form. A continuation of the first scene described—that which involved Lois accepting the position of artistic director—demonstrates an example of spatial and temporal plasticity. Picking up where we left off when Lois contemplates whether to accept the offer over the phone, the camera cuts to the TV, as anchors Tom Tucker and Diane Simmons also stare at Lois, waiting for her to make a decision. Lois says over the phone that she accepts the position, and immediately the anchors report the news over the television. Such an incident—newscasters breaking through their fourth wall on a TV show— would not be unheard of in live-action, especially in our postmodern age. That it happens in an animated program is less surprising, though, given its less restrictive perception.
The breaking of temporal and spatial boundaries disrupts the story in an obvious way, as do two non-sequiturs that disrupt the flow of dialogue. At one point Lois is in the middle of telling Peter something important, but she stops herself mid-sentence: "Peter, please don't wipe your nose on the couch," she says to her inattentive husband. Later in the episode when the tension between husband and wife is at its peak, Peter unflatteringly compares a joke Lois plays
on him to one Jay Leno would do, which provokes the ire of Stewie. In a long take, Stewie defends Leno; when the camera cuts back to Peter and Lois, they continue their conversation as if Stewie had never spoken. 51
If those examples of non-sequiturs are disruptive to the flow of the show, they pale in comparison to one of Family Guy's more distinctive features—the cutaway. "The King is Dead" does not disappoint in its number of cutaways. We see Albert Einstein steal the theory of relativity from a man named Smith while working in his patent office; we see God baking shrinky-dinks in his heavenly oven, at least until Einstein enters the frame and steals those, too; we see Peter imagining his life as a Hollywood producer, talking on his phone then tripping over a fence, which causes him to roll down a hill and crash into the home of a Mexican family; we see one cutaway of an independent film Diane Simmons made in college and another one of a roomful of monkeys writing Shakespeare.
Family Guy cutaways blur time and space, breaking the bounds of the sitcom setting, which in some programs limit the characters and story to one or just a few places. Family Guy's cutaways seem to be presented equally, even though they appear to represent different degrees of consciousness or altogether different phenomena—a collective or personal memory, a meandering daydream, a hypothetical scenario, etc. Point of view is certainly disrupted, as the audience has to wonder about the amount of subjectivity in any one cutaway. Figuring out who initiates the cutaway is sometimes tricky when it is not outright obvious. Often, though, Peter and company make it clear who the cutaway belongs to, by saying "…like the time when…" in true simile form. The character compares his or her present experience to whatever we see in the cutaway immediately after.
Is the cutaway—as used in Family Guy—uniquely cartoony? None of the cutaways in "The King is Dead" contain anything so unrealistic as to be impossible to film. Special effects advances in recent years have arguably made anything filmable, although one could question whether such effects should be considered animation themselves. While each of the cutaways could be filmed easily enough, nearly identical live-action versions would not have the same effect as their animated counterparts. Albert Einstein's robbery of the theory of relativity after smashing Smith's head with metal bars—complete with exaggerated sound effects—would be more horrific than funny in live-action; the same would be true in the later cutaway in which Einstein does the same to God's head with an oven door. This and other cutaways from "The King is Dead" prove the point made earlier that animation is the best medium for carnival expression.
The effect of the cutaway on Family Guy's narrative/plot is clear: it disrupts it, often frustrating viewers of the show. A slight decline in cutaways in later seasons has actually been met with positive results. 52 In his review of the Season Eight episode, "The Splendid Source," TV critic Jason Hughes wrote, "Reducing the reliance on cutaways seems to be the continuing trend for the series, and I think it's a good move…it forces smarter writing, and creates better narrative structure." 53 Critic Carter Dotson agrees with Hughes that fewer cutaways equals better episodes; he alludes to the cutaways as "manatee jokes," a reference to the South Park episodes "Cartoon Wars: Part II." 54 It is hard to argue with the idea that fewer cutaways make for tighter narratives; however, the fewer cutaways used, the more Family Guy adheres to the classic sitcom form and the more it steps away from one of its defining features since the beginning.
An understanding of Family Guy's use of the cutaway makes clear at least one way in which the show undermines the sitcom form, and by extension, viewers' expectations. Though
not using these words, exactly, are Hughes and Dotson not arguing against the look and feel of Family Guy, at least when it comes to its use of atemporal and tangential cutaways? Not to stray from the focus of this study, any analysis of how the family is presented in Family Guy need focus on the cutaways, which greatly affect the way the show treats family. The cutaway gags of Family Guy disrupt the interactions between members of the Griffin family, thereby affecting the family's ability to solve problems via effective communication. 55 Though such disruptions might frustrate viewers, they arguably reflect real life better than a traditional sitcom's treatment of conflict. After all, how many real-life conflicts are resolved in a half hour without any kind of disruptions or distractions? The cutaways also allow for an abundance of references to other TV families, which Family Guy satirizes directly; this topic is the focus of the next chapter.
Chapter Three
Other Families in Family Guy
On November 4, 2007, Family Guy aired a special episode to celebrate its newfound stability in conjunction with the series' upcoming 100 th episode, "Stewie Kills Lois." This special—officially titled the "100 th Episode Special"—consists of a greatest hits sampling of clips and segments in which Seth MacFarlane interviews people who find the show offensive. MacFarlane also narrates the episode in a very tongue-in-cheek fashion. Responding to a common criticism of the show, he says, "You know, people often ask why there are so many pop culture gags on the show. Well, I'll tell you. Family Guy likes to hold a mirror up to society and say, 'Society, you're ugly, and we don't like a lot of what you're doing.'" 1 That he says this somewhat smugly does not change the fact that he gives an almost word-for-word definition of satire, though heavy, at least, in aggression and judgment. Allusions to popular culture abound in Family Guy, and they have, really, since the first episode, "Death Has a Shadow," which manages to fit in references to Casablanca, G.I. Joe, Pound Puppies, and Forrest Gump, among other popular culture texts.
A special type of reference combines the cutaway—a Family Guy staple—with a popular culture reference about family. These gags are unique in their specificity; Family Guy names names, leaving no doubt about whom or what they are targeting. However, the line between direct and indirect satire becomes blurred in the cutaways, as the targeted families appear so exaggerated as to seem symbolic. Fitting Test's definition of indirect satire, the families featured in these cutaways surely project "an unattractive and undesirable reality…acting out emotions that are potentially socially disruptive and therefore strongly frowned upon." 2 The Family Guy audience, though, does not watch these families from their source texts; instead, we see them
through the lens of Family Guy, which raises the question about whether the show uses direct satire through "a voice or persona who indicates what is wrong with society." 3
A subtle directness is arguably at work in Family Guy's treatment of other families, which appear in two types of cutaways—those established by the Griffins sitting on their couch and those vocally summoned by members of the Griffin family. Regarding the former, we know we are not actually watching the family being referenced, mostly because we see an animated version rather than a live-action version of the family. Of the more than twenty cutaways soon to receive mention, only three of them target other cartoon families—the rest target families from movies, television, and real life. Even when the subject is another animated family, the animation style is usually reminiscent of Family Guy, not the original program being referenced. 4 An establishing shot of the Griffin family watching TV from their couch informs us of the point of view—we are watching these families through the eyes of the Griffins. In some instances, the frame of the Griffins' television borders the screen, producing an unusual effect for the real audience of seeing a cutaway through two borders, one of which is animated. 5 Though the Griffins fail to explicitly comment on the families featured in the cutaways, they function as the filter through which the audience views the cutaways. Cutaways via vocal conjurings are more direct: for example, when Stewie tells Peter, "You're a worse parent than Britney Spears," 6 he initiates a cutaway in which the subject and her vices are very clear, as is Stewie's position of superiority. The establishment of the Griffins as the personae of the show, at least in their relationship to the cutaway families, is a necessary component of Chapter Four, which examines conflicts within Family Guy's use of direct and indirect satire.
With the personae stated, this chapter is less concerned about the Griffins than it is about how Family Guy represents other families. The sheer number of cutaways featuring real and
fictional families other than the Griffins may tempt one to conflate all of them into the same group. This analysis resists that temptation and instead places them into meaningful groups— those related to and including satire, mentioned in Chapter One. Categorization of the cutaways will allow us to ascribe value to them individually. Viewers of Family Guy already know that the cutaways to be analyzed are a combination—sometimes imbalanced—of humor, sophistication, crassness, meanness, and absurdity. By looking specifically at the quadripartite approach to satire to determine the balance of aggression, play, laughter, and judgment in Family Guy's cutaways, we can effectively categorize our examples into meaningful groups, including parody, satire, and abuse. The first is humorous and mostly harmless; the second is balanced, purposeful, and socially beneficial; the third is overly aggressive and socially detrimental. By categorizing Family Guy's popular culture gags—specifically those related to family—our study challenges MacFarlane's claim of satirical intention.
Cutaway Parodies
Using the definition of parody provided earlier—"a playful imitation or humorous reworking of another text for comic effect" 7 —it is easy to see which of the four elements of satire are at work—play and laughter—and what the intended purpose is—comic effect. To differentiate parody from satire, the former is not so much concerned with making a critical comment on a subject as it is with getting a laugh. Whether the audience actually laughs at the parody is another matter, dependent as parody is on contextual knowledge. So much of the humor of satire and its related devices—including parody—relies on an audience's ability to recognize the irony of a situation, which again, depends on the audience's familiarity with the targeted text. 8
Irony is defined by both its "use of words that mean the opposite of what you really think especially in order to be funny" and its situations, which are "strange or funny because things happen in a way that seems to be the opposite of what you expected." 9 Family Guy employs irony in its parodies of Two and a Half Men, Ghost/Ghostbusters, and Eight Is Enough, by playing with words in the titles. In the first, the audience does not see an animated representation of the CBS sitcom family starring Charlie Sheen, Jon Cryer, and Angus T. Young, but instead sees two men screaming in horror at another man, also screaming, who is cut in half and bleeding on the floor. 10 The irony in this scene comes from the audience's assumed familiarity with Two and a Half Men and in their seeing something opposite to their expectations. The same is true of the Ghost/Ghostbusters parody. 11 Peter initiates the cutaway by making reference to a job he had in high school. The camera cuts to the outside of a city block, as the Ghostbusters wagon pulls to a curb. Decked out in full ghost-busting attire, Peter runs into a brownstone and kicks down a door to find a man and woman spinning pottery, reminiscent of the iconic scene from the 1990 film Ghost. Peter zaps the man—who is ghostly transparent—and says to the shocked woman, "That'll be $27.50." In this case, irony is dependent on one's familiarity with two texts—Ghostbusters, which represents ghosts as evil apparitions, and Ghost, which represents them as mostly peaceful figures. Combining the two texts' worlds is done for comic effect; Family Guy is not commenting on the relationship of the couple from Ghost, nor is it commenting on the family in its cutaway of Two and a Half Men.
Other examples of irony intended for comic effect involve characters acting uncharacteristically. In the cutaway parody of Little House on the Prairie, 12 Pa sits at the table and helps his blind daughter Mary read braille—not an atypical interaction in the series by any means. However, when she gets up to go to bed, Pa motions the rest of the family to be quiet,
and he proceeds to play a series of practical jokes on her. First, he pushes a stool in front of her, causing her to fall; second, he puts a broom with a pan hanging on the end in her path, as she walks right into it; finally, he places the ladder that normally leads to her loft in a different place. Instead of climbing up to her loft, she climbs up to a window and falls out of it. The rest of the family, minus Mary, laughs heartily. This cutaway is ironic, certainly, featuring actions that anyone familiar with Little House on the Prairie would not expect; to present a virtuous family as malicious does not necessarily make for satire, though, for the cutaway does not point towards a hypocrisy or lie entrenched in the Ingalls family.
The previous example borders on the absurd, as does the cutaway parody featuring Pinocchio and Geppetto. 13 Stewie initiates this cutaway during a conversation with Brian when both are debating how to take care of Chris and Meg while Peter and Lois are away on a second honeymoon. Stewie tells Brian, "I know how to deal with children, unlike Mr. Geppetto." One would expect this statement to refer to Geppetto's failure to keep Pinocchio out of trouble in the 1940 Disney film. The cutaway thwarts those expectations as soon as it begins, with Pinocchio and Geppetto together in a carpenter's shop. Standing in front of Pinocchio, Geppetto purposely drops his glasses on the floor and bends over. Pinocchio right behind him, Geppetto tries to bait him into telling a lie so that Pinocchio's nose will grow, and consequently penetrate his anus. The explanation of Geppetto's inability to "deal with children" is a play on the audience's expectations—one might assume that Geppetto's weaknesses as a parent refer to his losing Pinocchio. Instead, Family Guy paints Geppetto as a pervert. This conception of the wood-carver lacks a reference point, unless MacFarlane, who wrote the episode, read malevolent motivations behind Geppetto's wish to have a real boy in the source material.
Of satire's four elements, the one most absent from the cutaways mentioned thus far is judgment. Play is surely on display, arguably predominating over the other three, as expectations of characters and events are turned upside down, resulting in much irony. Whether they actually elicit laughter is harder to determine, given the subjective nature of humor; in satire and its related devices, "[laughter] is rarely simple, sometimes strained, occasionally strange, capable of cutting both ways." 14 One viewer's funny is another viewer's "outrageously inappropriate," based on the PTC's reaction to the cutaway involving Pinocchio and Geppetto. 15 Despite different reactions to the show's style of humor, nobody can claim Family Guy does not attempt humor. Aggression, too, can be connected to a certain extent with these cutaways, given their sometimes mean-spiritedness. 16 There is never a sense of real judgment, though, never a sense that Family Guy is pointing a finger at the families and programs in question and saying, we don't like what you're doing. This is the moralistic aspect of satire—the judgment—and because these cutaways lack that element, they more appropriately fit under the category of parody.
Two cutaways of The Brady Bunch straddle the line between parody and satire, as they both seem created mostly for comic effect, but contain a hint of judgment. One begins as a result of conversation between Stewie and his teddy bear, Rupert. 17 Stewie finds out that Lois and Peter are trying to have another baby, and, already nervous about the effects this would have on the time and attention given to him, he says, "What do you think happened to Bobby when they added Cousin Oliver to The Brady Bunch?" A cutaway ensues inside the Brady kitchen. Carol Brady approaches the majority of the family as they eat at the breakfast table. Holding a broken vase, she asks Cousin Oliver if he did it, to which he replies, "No. The floor did." Everyone, including Alice in the kitchen, starts laughing. At the left corner of the frame, the door to the garage opens, and Bobby enters. He attempts to join in on the conversation: "Hey, everybody,
I…" Mike Brady jumps out of his chair and grabs a broom, using it to shoo Bobby. "Bobby! You get back into the garage!" he yells.
In another cutaway, the Griffin family watches an episode of The Brady Bunch in which the entire Brady family stands inside the bathroom and stares down at the toilet. 18 Giggling, Cindy says, "Look what I did, everybody. Isn't it the biggest, most special poop you've ever seen?" Mike pauses, and responds, "Well, Cindy, I guess it's true that big things come in small packages," prompting the entire family to laugh. Unlike the earlier cutaway parodies, these two rely less on irony than they do on exaggeration. The first exaggerates the Brady family's treatment of Bobby when Cousin Oliver comes to stay with them. The scene speaks more loudly, though, against the addition of a character—especially a younger character—at the end of a series' run. 19 In the cutaway featuring Cindy—ever lispy and childish—the judgment is mild, but it suggests, this show is stupid, and this family is ridiculous.
Cutaway Satires
As the previous section implies, Family Guy's cutaways sit on a spectrum that contain more or less parts aggression, laughter, play, and judgment. Examples from The Brady Bunch bridge the gap between parodic examples that inarguably go for laughs and satiric examples that are more critical. Re-defining satire will be helpful in our analysis of cutaway satires in this section. Dustin Griffin—not to be confused with Peter—says, "a work of satire is designed to attack vice or folly"; Linda Morris describes it as "a work that relies upon humor to expose both human and institutional failures"; paraphrasing satirist Walt Kelly, Stephen Kercher describes it as "one of the most effective vehicles for communicating the 'truth' and conveying the 'real.'" 20 "Attacking vice and folly," "[exposing] human and institutional failures," and "communicating the truth and conveying the real," do not fittingly describe the earlier parodic examples, which
lack the overall aggression and judgment implied in these descriptions. Of aggression, laughter, play, and judgment, our analysis of cutaway satires focuses mostly on judgment, the element that distinguishes our current examples most from parody.
To focus on the judgment aspect of these cutaways is to identify the vice or folly under attack, which in these examples deal with familial representation. Something about the families under target—be they fictional or real—reeks of untruthfulness, and as the satire seeks to communicate the truth, it does so by exposing the lie. A cutaway of the sitcom Eight is Enough contains echoes of the play-on-words parodies mentioned earlier, but it also makes a critical comment of the family in the show. 21 The cutaway begins with Peter inviting the rest of the family to sit down for the start of the Eight is Enough reunion episode. The camera cuts to the Griffins' TV, the border of which is prominent, at least until a zoom fills our entire screen with an animated version of the Bradford family living room. Family patriarch Tom asks his daughters if they have seen their brother, Nicholas. Mary says he is up in his room, and Susan explains that he is upset because Abby threw away his baseball cards. Tom offers a typical solution to bring up his spirits: "Oh, well, maybe I should make him a sandwich." Susan laughs, dismissing her father's idea: "Oh, Dad, that's your solution to everything." Tom's even nature turns hostile as he rushes towards Susan and begins slapping her in the face, repeatedly. Mary intervenes, pulling Tom's hand away. "Dad! Dad!" she yells. "Eight is enough." Recognizing the pun, all three begin to laugh; the cutaway ends and the next shot shows a stunned Griffin family.
Much like the parodic cutaways, the Eight is Enough example contains plenty of irony as Tom Bradford reacts to Susan's statement in a very unexpected manner. The difference between it and the parodies, though, is Susan's statement, which cuts through the falsity of Tom's parental strategies. While the problem in this scene—Nicholas becoming upset over the loss of
his baseball cards—is rather trivial, so too is Tom's solution. Susan's implication is that Tom's solution would be exactly the same were Nicholas's problems more serious.
That exact scenario—a serious, real-life problem dropped into the center of a false, oblivious family—is at the heart of several cutaways that deliver some of Family Guy's most biting satire of the television family. Unlike the Eight is Enough cutaway featuring a typical— albeit unimportant—sitcom "problem," a cutaway of The Cosby Show illustrates the contrast between Cliff Huxtable and his son Theo, as the latter seeks earnest advice. 22 Briefly mentioned in Chapter One, this cutaway involves Cliff telling a childhood story about his friend, Chubby Franklin; as he is wont to do, Cliff recounts the story with plenty of sound effects and funny faces. Theo is not having any of it; instead, he appears upset, looking to get something off of his chest. "Dad, you're not listening. I have a serious problem. I got a girl pregnant. What do I do?" Oblivious, Cliff continues on with his story: "And when we saw Chubby Franklin make his face, we would all make this face." With audible canned laughter in the background, Cliff contorts his face and shakes it back and forth, until it spins off and falls to the floor. The surreal ending of this cutaway reflects, perhaps, the effect such news would have on Cliff, for despite the series' perception as a "hip-but-heartwarming portrayal of family tensions and togetherness," 23 the Huxtables never deal with problems like teenage pregnancy that real families often have to face.
Similarly in a cutaway satire of Happy Days, Richie Cunningham struggles to communicate conflicted feelings to his parents. 24 As the entire family sits at the table eating breakfast, he tells them, "Mom, Dad, I really like Potsie." Unable to read the subtext of the statement, Mrs. Cunningham says, "Why not, Dear? Potsie's a very nice boy." Richie tries to explain again: "No, Mom. I mean, I really like Potsie." Mr. Cunningham infers what his wife cannot: "We heard you the first time son. You have a homosexual attraction to Potsie." The
camera cuts to Chris watching TV, as Brian walks into the living room. "You have anything on that remote lower than mute?" he asks Chris.
Richie's dilemma in this scene lacks a reference point, as he did not display any homosexual inclinations towards Potsie, let alone towards any character, in Happy Days. His uncharacteristic feelings certainly lend themselves to the cutaway's irony. More than a statement about Richie, this cutaway is a two-fold criticism, one of which warns about the danger of nostalgia. Filmed in the 1970s but set in the 1950s, the name Happy Days makes a claim about better, happier times in the past. For whom, though? this scene implies. To appropriate a segment of Happy Days' theme song, "These days are ours, happy and free" are not lyrics that many women or minorities would sing about the 1950s; they especially do not represent the experience of homosexuals during a time when such an orientation was considered extremely taboo, if not altogether unmentionable. Besides criticizing the actual 1950s, this cutaway questions our ideas of the 1950s regarding the "traditional" family mentioned by Coontz in Chapter One. Be they "stable," "normal," or "traditional," these families are fabrications, whose purpose was to create a home that would fulfill virtually all its members' needs" 25 whether they represented their current era, like the Andersons of Father Knows Best, or hearkened back to an earlier time, like the Cunninghams. Marion Cunningham's inability to understand her son's problem exposes her falseness, or at least her uselessness, when it comes to dealing with a real issue. Brian's comment after the cutaway reveals the opinion of Family Guy in regard to a show such as Happy Days with a mother like Mrs. Cunningham.
A cruder real-life practice dropped into a false, TV-family scenario occurs during a cutaway involving The Waltons, 26 the family considered exemplary by President Bush in the early 1990s. Customary to the closing of almost every episode, the family wishes each other
good night. The only thing the audience sees is the outside of the house, shrouded in darkness, as the lights inside turn off, one by one. First, Mary Ellen wishes a good night to Jim-Bob, who in turn, wishes a good night back to Mary Ellen and to Pa; Pa wishes a good night to Jim-Bob and Elizabeth; Elizabeth wishes a good night to Pa and Ma; Ma wishes a good night to Elizabeth and, lastly, to John-boy. Not hearing a response from John-boy, Ma says, "Good night," again, this time with a hint of annoyance in her voice. She says it yet again, and again receives no response. With audible footsteps, she walks to John-boy's room to find out why he is not answering. At the sound of a creaking door, Ma says John-boy's name again, but in a shocked and confused manner. "Dammit!" yells John-boy. "Can't a guy masturbate in this house?"
The cutaway of The Waltons—like those mentioned about The Cosby Show and Happy Days—is an indictment against the illusion of a certain kind of television family. As mentioned earlier, Family Guy does not limit itself to a single era or category of family, such as those forwarded by Mills and Tueth. 27 The first family—the Huxtables of The Cosby Show—belongs to Mills's category of stable families and Tueth's category of funny families, albeit in a more wholesome manner than other television families from the same era, like Roseanne; the families in the other examples—the Cunningham family from Happy Days and the Walton family from The Waltons—are more difficult to site. Both represented a bygone era when they originally aired in the 1970s—Happy Days is set in the 1950s, and The Waltons is set in the 1930s and 40s, during the Great Depression and World War II. Both differ from the normal families like the Andersons and the Nelsons, respectively from Father Knows Best and The Adventures of Ozzie and Harriet, as the Andersons and Nelsons purported to represent contemporaneous families while the Cunninghams and Waltons represented the supposed family values of days past.
Differences aside, what do all of these families have in common? Each of them presents a family relatively free from serious conflict. Entries from the Encyclopedia of Television describe three families that sound remarkably similar, despite differences such as time periods, socioeconomic status and race. Of The Waltons, the Encyclopedia says its detractors complained about it being "too sweet, sappily sentimental, and exploitative of viewers' emotions"; 28 Happy Days similarly "presented a saccharine perspective on American youth culture of the 1950s," with a family that showed "no inkling of the 'generation gap' discourse which was beginning to differentiate youth from their parents" 29 during the era. Both The Waltons and The Cosby Show countered other TV programs that presented noticeably flawed families. The former "portrayed a sense of family in sharp contrast to the problem-ridden urban families of the 'socially relevant' sitcoms such as All in the Family, Maude or Sanford and Son;" 30 the latter "discontinued familiar sitcom formulas filled with disrespectful children and generational conflict." 31
The previous satiric examples all deal with the clash between real problems and false settings/characters; another type of Family Guy cutaway satirizes the television family by having its characters react realistically, albeit exaggeratedly, to a situation within the show. At least two cutaways of The Jetsons have George Jetson reprimanding his family for their actions. In the first, George walks the family dog, Astro, on a treadmill outside of his family's spaceship home. 32 Astro sees a cat and chases it but only succeeds in speeding up the track, which George, unfortunately, gets stuck on. He calls to his wife for help, but to no avail. The next shot cuts to the kitchen where his wife, Jane, and son, Elroy, are reading and eating at the table. A scuffed-up George enters the kitchen, with tattered clothes and a black eye. Both Jane and Elroy look on in shock. He tells Jane, "For 45 minutes I was out there screaming. I know that 'cause my damn watch is broken!" Jane attempts an apology. "I'm-I'm sorry." Sarcastically, George begins to
mimic her. "Oh, I'm sorry, I'm sorry…Jane is sorry." His tone turns serious. "I could have been killed."
The second cutaway of The Jetsons plays with the theme song of the show, seemingly with the actual intro and theme song. 33 The entire family rides in a flying car, as George drops each member off at a different destination: Elroy at the Little Dipper School, Judy at Orbit High School, and Jane at the shopping center, after she takes his entire wallet instead of the single bill he offered initially. Family Guy plays with the Jane's exit, though. Rather than ride smoothly away from the family car, George reaches down and grabs her as she falls down the shoot. "Hey, hey, hey, hey, hey! No, no, no!" he says, pointing to the dollar. "I took this one out for you. You take this one." He motions to his wallet. "I take this. You are not taking my whole wallet so you can go shopping." Jane tries to explain herself. "I was just gonna buy some groceries," she says. George responds brusquely: "Bull crap."
Many sitcom episodes are self-contained, meaning they are "closed off, explained, reconciled, solved at the end of the half hour," 34 often never to be referenced again. Animated programs go one step further, with self-contained moments that bear no consequences even in the same episode. The first satiric cutaway of The Jetsons comments on these types of moments by making the show decidedly un-carnival. As mentioned in Chapter Two, animation can do anything and be anything, and many cartoons take advantage of the freedoms offered by the medium. When George gets sucked under the treadmill, he would expectedly appear in the next scene unharmed and without a scratch. Family Guy twists this expectation by showing realistic consequences of an accident like this. In the second cutaway of The Jetsons, George's reaction to Jane when she takes his entire wallet is more plausible than probable; nevertheless, it addresses a conflict that George otherwise shrugs off in the real theme song intro.
Family Guy again comments on the tendency of sitcoms to avoid real familial conflict in its cutaways of Everybody Loves Raymond and Malcolm in the Middle. 35 The cutaway of Everybody Loves Raymond begins with the couple in their living room—Ray lies on the couch while Debra berates him: "Ray, your mother insulted my pizzola again." After a brief interruption in which Meg Griffin enters the scene, Debra continues, but is cut off by Ray: "I don't care anymore, Patty. 36 After nine seasons, I just don't care. Maybe you could try not being a bitch." Debra breaks the bottle she is holding and points it at Ray to stab him; the cutaway ends before any violence happens. The threat of domestic violence turns visible, however, in the Malcolm in the Middle cutaway. Three boys and their father—Malcolm, Reese, Dewey and Hal—sit at the table for breakfast while their mother—Lois—nags. The indifference on their faces suggests this is a familiar sight. Hal stands up and calmly walks to the fridge amidst Lois's unabated criticism. He rips the door off the freezer and slams her upside the head with it, knocking her out. He turns to the boys and says, "Kids, we're free. We're finally free." Together, the four of them walk outside and off towards the rising sun.
The examples of The Jetsons, Everybody Loves Raymond, and Malcolm in the Middle satirize the respective series and the sitcom family in general, which typically treats family conflicts as trivial. Family Guy arguably presents the reality of some in these cutaways, but in doing so swings too far—some might say—in the opposite direction of the targeted programs. The insertion of domestic violence—verbal and physical—into an otherwise trivial scene presents a plausible, although undesirable, scenario: surely if someone got stuck on a treadmill and screamed for help, but to no avail, he or she would be upset. It is hard to argue that these examples either promote or censure the behavior—despite the evident judgment in these cutaways, they also contain a large amount of play, like the parodies. However, undertones of
violence against women complicate the presumable intent and effect of such scenes. As will be discussed in the conclusion of this study, Family Guy at times overshadows a general satiric object in its presentation of satire with a vice much more ugly.
Other examples of satiric cutaways present the family as an excuse for commercialism. An attack on 1950s media, the cutaway of Lassie presents Timmy's family as a vehicle to dispense subliminal advertisements for cigarettes to the viewing public. 37 During a typical exchange in the kitchen in which Timmy's mother asks about Lassie, a bald man intermittently appears and utters, "Smoke." The subliminal nature of the bald man's appearances begins to dissipate; by the end of the cutaway, he says very explicitly, "Are you smoking yet." Family Guy makes a similar comment in a cutaway of The Honeymooners. 38 Ralph and Alice stand in the kitchen, Ralph waving his fist. Ralph utters one of his trademark lines: "One of these days, Alice, one of these days…" Suddenly a new, dubbed voice replaces Ralph's Brooklyn accent: "…I'm gonna help stimulate the economy by buying an American car." Another cutaway plays with the Doublemint Gum advertisements from the 1980s. 39 However, instead of pairs of Ken-andBarbie-like twins, we see pairs of male and female conjoined twins climbing out of a pool and riding bicycles. This cutaway differs from the previous two in that it references a text—a TV advertisement—that has an obvious commercial purpose. The play in this example involves the inclusion of non-traditional twins—typically not the type of twin one sees in a commercial. The flipside of play in this cutaway is its judgment, which actually alludes to what we do not see— the beautiful twins of the original Doublemint commercials, which, more than representing reality, represent an idyllic unreality. After all, how many adult twins, figuratively inseparable, wear the same clothes still and search for opposite-gendered twins to date?
Family Guy surely targets methods of advertising in the Doublemint cutaway, but all three cutaways taken together—Lassie, The Honeymooners and Doublemint—point towards a bigger problem, which is the melding and consequent indistinguishability of TV advertising and programming. Media scholar Dallas W. Smythe refers to this phenomenon in his essay "On the Audience Commodity and its Work." The job of the media, according to Smythe, is to produce audiences to sell to the advertisers. With advertisements as the focus of television and other mass media, the rest of a network's programming must be filled with material that only serves "to reaffirm the status quo and retard change." 40 He calls the programming that is not explicit advertising "free lunch." Sitcoms fall under the category of free lunch by presenting to viewers families and situations that seem to have the solution to life's problems. Ironically the free lunch experience creates the problems people did not know they had. Though she never uses the term "free lunch," historian Barbara J. Berg explains how television advertising and programming was used to re-domesticate American women following their industrial turn during World War II, when many of them were called upon to work in factories while men were fighting in Europe and Asia. Says Berg:
We needed a huge media campaign to get these women back into the home. One of the most effective ways to do this was through television…so the television was part of the re-domestication. We had television shows sponsored by numerous commodities, the gleaming appliances that June Cleaver would use in the kitchen…these commodities were being linked to the good life. Women rushed to their new shopping centers in their brand-new cars and loaded up. They didn't realize that they were actually doing this in the service of a strong governmental imperative. The notion of the commodity boom was linked to capitalism, which our government was supporting, vis-a-vis the threat of communism. 41
Family Guy affirms the capitalistic intentions of TV programming, including sitcoms, by exaggerating the obviousness of the advertising messages within Lassie and The Honeymooners: the sitcom family is just an excuse to advertise products. 42
Cutaway Abuse/Lampoon
A third type of Family Guy cutaway that references the family does so without making an apparent social criticism and in a much more personal matter. These cutaways most appropriately fall under the category of abuse, which Test describes as "direct, spontaneous, verbal attacks against a person;" a subcategory of abuse is lampoon, which is a "specialized version of [abuse/invective] in that it is a satiric attack on an individual." 43 Family Guy's examples of cutaway abuse are much more personal than either the parodic or satiric cutaways mentioned earlier because they target real human beings. In some cases Family Guy targets these individuals in such a way as to fuse the celebrities—the actors, anyway—to the characters for whom they are known. In other cases there is no fictional persona to attach the target to. Whether the target is an actor, actress, politician, or cable news phenomenon, he or she is still part of a large media sphere—and by extension, popular culture—which raises a question in regard to Seth MacFarlane's rationale behind Family Guy's pop-culture gags: whom or what is he calling ugly, and what does he not like about what society is doing? The satirical cutaways of the previous section answer those questions with a resounding emphasis on false representation of the television family. However, the following examples do not deal with fictional television families, nor do they contain the relatively lighthearted humor that epitomizes the parodic cutaways.
A cutaway involving actor John Goodman and his family is a good starting point to highlight the differences between the cutaways already defined and this new category of abuse. 44 Lois initiates the cutaway while attempting to feed a reluctant Stewie. She says to him, "You know, some people would be very happy to have this food. Like John Goodman's family." The camera cuts away to John Goodman, largely reprising his role as Dan Connor of Roseanne—at
least in dress—while he sits with his family at the dinner table. His wife and two girls look emaciated, starved. While Goodman stuffs his face uncontrollably, one of his daughters begs for food: "Please, Daddy." Goodman shoots back, "I told you, when I'm finished, you can have what's left." The same daughter counters, "There won't be any left. There's never any left." His wife reaches for a handful of mashed potatoes and Goodman stabs her hand with a fork. She pulls her hand away and sadly says, "Happy Thanksgiving."
The reference points in this cutaway are somewhat mixed: like the character he plays in Roseanne, John Goodman is dressed in blue collar attire, as if he has just come back from a construction site. However, Lois refers to him as John Goodman—not Dan Connor—and as he sits at the table with his anonymous family he acts uncharacteristically mean and greedy. The only aspect that seems to fit John Goodman, the person, is his physical appearance, which arguably forms the basis of the cutaway. If we are to understand this pop culture gag as satire and even use MacFarlane's rationale, whom or what is the "ugly" target, and what is society doing that is reprehensible? This cutaway fails to answer the second question, and with regard to the first question, the only answer can be John Goodman's weight, making this scene a personal attack, or lampoon, rather than satire. Perception of abuse and lampoon as more off-putting or harder to stomach than satire and related devices, such as parody, has precedent. Says Test: "In the eighteenth century the lampoon was in such poor repute that critics distinguished between satire and lampoon by characterizing satire as general and reforming, lampoon as personal and malicious." 45 The question, then, is if direct verbal aggression—via satire-related devices, such as lampoon—is ever "redeemable [or] is it worth justifying?" 46
A cutaway lampoon of Donny and Marie Osmond is even more dubious in its attempt to reform than that of John Goodman. 47 Chris Griffin's temporary teacher, Mrs. Lockhart, initiates
the cutaway after Chris—who follows the poor advice of Peter—walks into class naked in an attempt to impress her. She admonishes him "[not to] be so impulsive…people have gotten into a lot of trouble that way." A cutaway immediately follows, in which we see Donny and Marie Osmond lying in bed together. They both have the covers pulled up just below their bare shoulders, implying that neither of them is wearing clothing. They both, however, wear expressions full of shame and regret. "Uh, Marie?" Donny asks. "Yeah, Donny?" she replies. He says emphatically, "Um, we cannot tell Mom." The intended laughter, one could argue, is in the irony of two clean-cut Mormon siblings engaging in activities totally unbecoming of their reputations. Surely Family Guy is playing with the public's perception of the Osmond family and in turn casting a judgment on the Osmonds by implying the motivation for their squeaky-clean façade: a family this saccharine surely has something to hide. Unfortunately, the skeletons in the Osmond family closet lend some truth to Family Guy's accusations, but also make the cutaway appear that much more inappropriate: several years before the airing of this cutaway, Marie Osmond revealed that she had been sexually abused repeatedly as a child and teenager—though not by a family member—in her memoir Behind the Smile. 48
Food hoarding and incest are certainly problems worthy of censure; neither of those, however, is the focus of the Goodman or Osmond cutaways. Instead, Family Guy uses those vices/evils as a means to attack an individual by insinuating depraved motives. In the case of John Goodman, Family Guy attributes his appearance to greed and gluttony; in the case of Donny and Marie Osmond, Family Guy projects an ironic, perverse scenario that has little basis in reality. Even when Family Guy's lampoons better reflect their targeted celebrity's real problems, one must question their purposefulness. For example, pop star Britney Spears has a long, tabloid history of neglect as a parent. Her transgressions include driving with an infant on
her lap, nearly dropping her first son—Sean Preston—several times at home and in public, partying hard and eventually entering rehab while undergoing a custody battle, and committing a hit and run while driving without a license and with her children in the car. The accumulation, and increased recklessness, of these incidents forced a Los Angeles judge to turn custody of her children over to ex-husband Kevin Federline. 49
Family Guy adds its own take on Britney Spears' lack of parenting skills in a cutaway set up by Stewie. 50 Peter and his friends are golfing on a hot day. Strapped to Peter is Stewie, who complains about the heat and calls Peter a worse parent than Britney Spears. A cutaway ensues inside her home; she talks trivialities with a friend on the phone, which is wedged between her neck and shoulder. In one of her hands is a cigarette, in the other, a baby. Her southern accent greatly exaggerated, she says, "Oh, I know, I know…Oh, the gift basket was not worth the trip, not by a long shot." With one hand she makes an indentation in the soft spot of her baby's head and taps the ashes from her cigarette into the newly formed concavity of her baby's head—a human ashtray. The doorbell rings. "Oh, I gotta get that; I'll talk to you later." She hangs up the phone and drops her baby on the ground before walking into the other room to answer the door.
Family Guy's cutaway of Britney Spears could arguably be a satirical comment of the tabloid culture that obsesses over celebrities' every move. Spears parenting history surely contains a number of regrettable actions, but also some that would not be newsworthy if committed by a non-celebrity; after all, not every parent who accidentally drops a child ends up on the news, and it is that exact action that concludes the cutaway. The argument that this cutaway reflects anything other than Britney Spears' character becomes tenuous, though, when one considers whom is represented most poorly. Had Stewie's declaration signaled a cutaway in which a tabloid TV show like Entertainment Tonight or Access Hollywood commented on
Britney Spears, the target would have been different. 51 However, presented as it is, Family Guy's treatment of Britney Spears in this cutaway is not much different than that of a tabloid show, the difference being that Family Guy is going for laughs rather than feeding our need to dig into the private lives of others as tabloids do.
One instance in which Family Guy presumably tries to comment on a news story but instead succeeds in lampooning a non-celebrity occurs during Stewie's play at the Little Clam Pre-School. 52 While not technically a cutaway, the two-minute-long scene operates as such, as it is completely tangential to the rest of the episode. The Griffin family is in attendance to watch "Terri Schiavo: The Musical," based on the case of Terri Schiavo, a woman who lived in a vegetative state for nearly fifteen years, until a Florida judge ordered her feeding tube to be removed. 53 The play features Terri, lying in a hospital bed, as well as her doctors, nurses, and husband, Michael. It begins with the doctor tapping Terri's knee for reflexes in beat to the water drip. Michael enters the stage and says, "Hi, Doctor, it's me, Michael Schiavo. How's my wife doing?" The doctor responds, "She's a vegetable," to which another young doctor says, "I hate vegetables!" very indicative of his age. The audience erupts in laughter. The insensitivity increases as the dialogue breaks into a song that details the workings of the machinery that keeps her alive. Of one machine the doctor sings, "And this dispenses gravy for her mashed-potato brains." The song ends describing Terri Schiavo as "the most expensive plant you'll ever see."
Reaction to this scene was particularly strong among Terri Schiavo's survivors. Her brother, Bobby Schindler, Jr., said:
My family was astonished at the cruelty and bigotry towards our beloved sister, and all disabled people that we witnessed in this show. My first thought was how this attempt at satire must have been enormously difficult and painful for my mother. The depiction of Terri in the Family Guy episode on March 21 is not only inaccurate, it seems to take the position that certain people are simply not worthy of receiving medical care because they are viewed as burdens on the health care system. 54
Pro-life activist Jill Staneck also objected to Family Guy's treatment of Terri Schiavo, claiming "Creator Seth MacFarlane's goal is [to] get buzz by being offensive." 55 Brian and Chris imply as much, shortly before "Terri Schiavo: The Musical" begins. Brian says to Lois, "Don't you think it's a little soon for a musical about Terri Schiavo?" Chris quickly counters: "Or too late?" They are both correct; the nature of the Schiavo case makes it unsuitable musical material no matter how much time has passed, and the fact that Family Guy references Schiavo more than five years after the ordeal makes it meaningless as satire. Brian and Chris's comments are nothing more than a self-reflexive nod at how pleased the show is with itself for pushing the limits of network television decency. The purpose in this case is not satirical but is intended to shock.
Like the Schiavo reference, the last example of abuse to receive mention in this chapter does not come in a cutaway; instead it comes during small talk between two characters. Chris Griffin is on a date with a girl named Ellen, who has Down Syndrome. 56 When he asks her what her parents do for work, she says, "My dad is an accountant, and my mom is the former governor of Alaska"—this, a thinly veiled reference to former Alaska governor and one-time vicepresidential candidate Sarah Palin, who happens to have a child with Down Syndrome. Sarah Palin's daughter Bristol reacted to the episode and the series, saying, "If the writers of a particularly pathetic cartoon show thought they were being clever in mocking my brother and my family yesterday, they failed. All they proved is that they're heartless jerks." 57 Sarah Palin responded in kind, calling the writers of Family Guy "cruel" and "coldhearted" in an interview with Bill O'Reilly. 58 When the LA Times asked Seth MacFarlane for a comment he sent them a statement via his publicist, which read, "From its inception, 'Family Guy' has used biting satire as the foundation of its humor. The show is an "equal-opportunity offender.'" 59
The question to ask in regard to the Sarah Palin reference is the same one asked about the cutaways involving John Goodman, the Osmonds and Britney Spears, and the scene featuring "Terri Schiavo: The Musical:" What is the targeted societal ugliness—to paraphrase Seth MacFarlane—and what is it about said target that Family Guy does not like? Considering the show's liberal leanings, it is not surprising for it to take potshots at a figure like Sarah Palin. 60 To do so via references to her disabled child seems a low blow, though. Above all, the main problem with this scene is that it says nothing about Sarah Palin or her politics; it simply takes a shot at her. Compare this scene involving Sarah Palin to the many instances in which Family Guy lampooned former-President George W. Bush: it has mocked his intelligence and integrity, suggesting that he was busy reading a children's book—Superfudge, by Judy Blume—instead of dealing with Hurricane Katrina; it has mocked his history of substance abuse, showing him and his commanding officer about to use cocaine; Lois implies that his mother, Barbara, gave him brain damage by holding him under water when he was a child. 61 Each of these attacks against Bush is highly personal, yet they all are less inappropriate than the attack on Pahlin because they actually say something about Bush, denigrating though it may be. Referencing Palin as the mother of a child with Down Syndrome does not criticize an action or even a personality trait; it just points out that she has a special-needs child.
In the balance of quadripartite elements, abuse and lampoon favor aggression and judgment. Play is evident in each of the examples mentioned, but the realness of the target makes for uneasy laughter, if any laughter at all. Aggression is an inherent part of abuse/lampoon, as it twists a "general reflection" and "[aims it] against an individual person." 62 The cases of abuse described in this section are particularly aggressive because each—to a degree—is an uncalledfor attack. Even if abuse/lampoon were considered an acceptable form of satire, there would
surely be more deserving individuals representative of society's ills, than those mentioned here. Judgment is also apparent in each of our examples, but similar to the problem with aggression, its personal nature says more about the satirist's individual tastes and dislikes rather than making a statement about what is ugly in society.
Conclusion
A summation of Family Guy's presentation of other families—mostly via cutaways— reveals a spectrum that defies clear-cut answers. Can the families in Family Guy cutaways be described most accurately as examples of "biting satire?" In some cases, yes. Those listed under the Cutaway Satire section all have something in common: they present a false, dated vision of the family—at least from Family Guy's point of view—and Family Guy succeeds in bringing those families down from their pedestal by injecting incongruities and exaggerations in their worlds. In these examples, Family Guy is acting as the trickster, "[making] a comic game of pomposity, power, and prestige; gods and kings are favorite targets for derision." 63 The gods and kings of our modern setting are the institutions that hold power. By targeting the families that represent institutional ideas, Family Guy is effectively targeting the institutions. Some presentations of family are not exactly satire, but neither are they harmful. With an emphasis on play and laughter, Family Guy's cutaway parodies target specific pop-culture families, without intention of offering important social commentary. The last type of cutaway/reference to receive analysis and the last to receive mention in this chapter—abuse and lampoon—does not qualify as satire, for all of the reasons mentioned, but most importantly because it does not contain a reforming quality. As opposed to its satire in which members of the Griffin family attack the high in stature from a lowly position, they assume a position of superiority in their abusive cutaways, kicking those who are already down.
We can make that conclusion about cutaways that fall into the latter category because Family Guy does have a baseline for effective satire, at least in how it satirizes the family. To complicate matters, though, Family Guy features a different kind of satire much more frequent and pervasive than any of the examples mentioned thus far—that of its own family, the Griffins. How does the show treat the Griffin family as indirect satire? Are they, in any way, just like the other families—real or fictional—they target in their cutaways, and if so, does that negate or support any of the important social commentary the show might make? Those questions and more form the basis of Chapter Four.
Chapter Four
The Griffin Family as Indirect Satire
The Griffin family of 31 Spooner Street is a bad family. Peter, in particular, is a bad parent, having committed the following offenses: giving pornography to his son, Chris, and later attempting to share meth with him; shooting his son Stewie in the head and killing him, albeit in a computer simulation; helping Chris and Meg hide Stewie's traumatic head injury—which he received while under their care—by throwing him underneath Lois's moving car, so that she believes she is responsible. Most notoriously, he terrorizes his daughter Meg. He farts in her face often; he admits in a letter to her that he thought she was a housecat the first four years of her life; he hits her while he is on steroids; he sells her to Goldman's Pharmacy at one point to pay off a debt; he even shoots her. 1
The effect of these interactions, especially those between Peter and Meg, is somewhat confusing. Meg appears to be the target, given that she is often on the receiving end of Peter's actions. As the protagonist, Peter is presumably the character we most likely root for. How, then, does the Griffin family as indirect satire complicate our perceptions and expectations? First, we once again must define indirect satire. As mentioned in Chapter One and elsewhere, the indirect satirist presents an unattractive and undesirable reality through characters that act out "socially disruptive" and "frowned upon emotions," making them the subject of the satirist's attack. Importantly, these characters are more distinct from the satirist than the persona is. 2 The implications of these definitions for the Griffin family are thus: the Griffins are whom we are supposed to frown upon when we watch Family Guy; the worst perpetrator of the bunch— Peter—should be our constant subject of scorn, considering the high number of socially disruptive actions of which he is guilty. Aside from the difficulty of maintaining disgust towards
the protagonist, another factor that complicates the Griffins as subjects of the indirect satirist is their sometimes-role as personae of the show—the subject of the previous chapter.
That a member of the Griffin family can go from acting as the show's conscience to being its object of censure does not make it unique, for the trickster targets "pomposity, power, and prestige," but "may also become what he attacks." 3 Similarly, the carnival clown "makes fun of everyone, including himself, not in order to put down one side in favor of the other but merrily to unmask order and power, all order and power." 4 Led by Peter, the Griffins are tricksters and carnival clowns; MacFarlane uses the term "equal offenders" to describe the show's practice of making fun of everyone, which should include the Griffin family, too. When should the audience relate to the Griffin family, though? When should the audience despise them? If the concept of the trickster holds true in Family Guy, a character like Peter becomes a floating signifier, sometimes representing the viewpoint of writers and other times representing the evil actions one should despise. For example, Peter often functions as the trickster in his interactions with his father-in-law, Carter Pewterschmidt. The show attacks the "pomposity, power, and prestige" represented by Carter through Peter's lowliness—Peter always manages to bring his father-inlaw down a few pegs. The flipside to the trickster figure is that he or she does not always remain the writers' proxy. Lest one identify too much with Peter's point of view, Family Guy contains plenty of examples of Peter's horribleness. Almost any of his interactions with Meg should be frowned upon and considered socially disruptive. As the next section explains, what should be easily identifiable as indirect satire in the Griffin family is not always so clear.
Poor Behavior as a Means to a Satiric End
Coming full circle in our study, we will return back to the other cartoon family with seniority on Family Guy—The Simpsons. Our rationale in looking at several examples from The
Simpsons is to explain the purpose behind the family's sometimes-horrid behavior and to see if the Griffins function similarly in Family Guy. To repeat the words of Dustin Griffin, our goal in this analysis is to identify the "vice and folly" under attack. By doing so, we will discover whether the families are exemplars, targets of the satirist, or something entirely different. To corral our comparison of The Simpsons and Family Guy, we will limit our analysis to the topic of parenthood, and even more specifically, father-daughter interactions.
Despite the notoriety The Simpsons has garnered over the years, one might be surprised at some of Homer Simpson's admirable actions. Concerning Lisa, he works a second job at one point in order to pay for her pony, including its food and stable; a flashback episode reveals that Homer sacrifices money the family had set aside for a new air conditioner to nurture his precocious daughter's talents—he buys her a saxophone; in another instance, he sells his beloved tickets to ride the Duff blimp in order to pay the $250 fee to enter Lisa into a beauty pageant; he also follows his conscience when Lisa urges him to get rid of their ill-gotten cable TV; for his other daughter, Maggie, Homer quits his dream job at the bowling alley to get back his higherpaying job at Springfield Nuclear Power Plant. 5
In Simpsons Confidential, John Ortved explains Homer's dual nature: "At any given moment, Homer can be sweet or bitter, angry or happy, smart or stupid, driven or apathetic, bemused or intrigued, gay or straight." Ortved continues: "He is both the everyman's fantasy and nightmare—a symbol of what we all strive for and what we should avoid." 6 To prove Ortved's claim, we must identify some of Homer's baser characteristics and actions as a counterpoint to the good he does. In fact, the good actions of Homer Simpson mentioned earlier could rightly be considered attempts at redemption after he does something reprehensible, or at least unwise. He only buys Lisa a pony to make up for missing her saxophone performance at the school talent
show while he was drinking at Moe's; his decision to get rid of their illegal cable is the end result of making the decision to steal cable in the first place; his decision to go back to the power plant when Maggie is born is the end result of his decision to quit a decent job for one that does not pay enough to support a family.
Season Ten's "Make Room For Lisa" functions as a microcosm of the Homer-Lisa dynamic. 7 In this episode, Homer's negligent actions—accidentally defacing the Bill of Rights at a Smithsonian exhibit when he handles the document with chocolate-covered fingers—lead to more negligent actions, some of which adversely affect Lisa. Unable to pay the fine for the damage he causes, Homer offers up his house as a transmitting station for the cell phone company that sponsors the Smithsonian exhibit. Not surprisingly, the company destroys Lisa's bedroom by turning it into a control room, which causes her to move into Bart's room. True to The Simpsons' form, Homer spends the rest of the episode trying to remove the wedge he has placed between his daughter and himself. He succeeds when he takes her to a new age spa to help cure her recent stomach ailments. While she is inside a sensory-deprivation tank, she realizes Homer does a lot of things he does not want to do—present experience included— simply to spend time with her. Homer and Lisa-centric episodes navigate along a course of conflict-resolution, the conflict being what we should avoid, and the resolution being what we should strive for if, by chance, we make a mistake.
Of course, real human beings will not likely make the same mistake Homer makes in "Make Room For Lisa." The chances that one would forfeit physical property to a cell phone company in place of paying a fine are far-fetched, including the possibility that a little girl could come home from school and find her bedroom converted into a control room. As an example of indirect satire, though, this situation works symbolically. In indirect satire, remember, "the
characters and their actions come to stand for what the satirist is attacking." 8 The target of indirect satire—in this case, Homer—"must be diminished in importance, made to look foolish, stupid, or vicious." 9 Homer, in particular, is often targeted for an "antisocial or inhuman quality or characteristic," 10 not just in his interactions with Lisa but with everyone. Without an explicit persona to highlight the target's flaws, indirect satire must exaggerate the unacceptable characteristics of the target in order for an audience to recognize the attack as satire.
As a satiric target, Homer represents the faults of many a parent through his over-the-top actions. If these faults were presented more realistically, they would lack satiric essence.
Consider the events of "Make Room For Lisa:" Homer's mistakes and the manner in which Lisa loses her bedroom are all a bit fantastic, but they symbolize the experience of many children who grudgingly share a bedroom with another sibling after losing their own room. The daughter who suffers the indignity of moving from her own bedroom into her brother's now-cramped room would likely resent her parents, as Lisa does. The reality of such a move is not inherently funny, though. Sharing a bedroom with a sibling to make room for another child or to give a family extra storage room, among other reasons, is not funny. The Simpsons adds laughter to this scenario by playing with the conditions that cause Lisa to lose her own bedroom. The aggression and judgment in this episode are aimed indirectly at Homer, for he is responsible for all of the injustice Lisa suffers.
Some of Homer's foolish, stupid and vicious actions reflect reality more closely than those seen in "Make Room For Lisa;" regarding "Lisa's Pony," many children can relate to feelings of disappointment when a parent fails to show up to a musical or athletic performance. In most cases, the parent cannot get away from work. To make its example of parental absence symbolic—and consequently more abhorrent—The Simpsons could not let Homer miss Lisa's
talent show just because of work; as the target of indirect satire, Homer has to miss the performance of his own volition, or better, because he has no volition when it comes to alcohol. A parent's absence to such an event could happen for the same reason that Homer was absent for Lisa's performance, but such an example in reality would be less common. For the vast majority of viewers unable to directly relate to a parent like Homer, his actions symbolize a common experience, even when they are more closely rooted in reality. Homer's actions may satirically represent the failures of real parents, but in most cases, his mistakes tie directly into the narrative structure of an episode and have as much to do with redemption as with judgment. Common to all The Simpsons' examples mentioned, Homer fails Lisa near the beginning of an episode and spends the remainder of the half hour trying to fix his mistakes. He has a conscience and a heart, and the fact that he often corrects himself is evidence that The Simpsons uses its familial satire "with a social purpose." 11
By taking a judgment of The Simpsons held by some—that they are a bad family, to paraphrase the Bushes—and flipping it into a question—Why are they a bad family?—allows us to see complexity and a purpose in the show's presentation of family. If nothing else comes across in this short analysis of The Simpsons, one should at least recognize them as a flawed family, not a bad family. Their flaws are imbued with a purposefulness, as they "[reduce] the distance between the folly and vice out there among others and the folly and vice in here in ourselves," effectively allowing us to see ourselves as the objects of satire. 12
Our analysis of Homer and Lisa's relationship may come across as panegyric of The Simpsons, which is not exactly the intent. Instead, it is meant to explain the oft-criticized interactions of family members through a satirical lens. By doing so, we are able to identify the purpose behind a character's poor behavior and thereby validate the text to a certain extent. Our
forthcoming analysis of Family Guy is not meant as a direct comparison to The Simpsons; such an analysis would mostly reveal the two shows are not the same, which we already know. Our rationale for including The Simpsons as a lead off to our analysis of Family Guy is to demonstrate that a close reading with an emphasis on indirect satire illuminates one's understanding of a controversial, often misunderstood family.
Peter and Meg
Family Guy's catalog of 240-plus episodes contains substantial interactions between members of the Griffin family; to narrow the scope even to two characters would not allow us to include everything about their relationship in a single chapter. With that stated, the remainder of this chapter will attempt to present the relationship of father and daughter in Family Guy in as comprehensive a manner as possible. Of all the relationships within the Griffin family, why study that of Peter and Meg? Their relationship appears most troublesome, as Peter's constant ridicule and mistreatment of her raises questions about its purposefulness. The quality of Peter and Meg's interactions is not constant—in some episodes, communication between the two consists of a single line of dialogue, while some episodes contain a Peter-and-Meg-centric plotline. For the sake of concision, episode titles will be mentioned only in the analyses of PeterMeg episodes; episode titles of all other references can be found in the notes.
Peter's poor behavior and unwise choices adversely affect Meg in a number of Family Guy episodes. Contrary to the perception of Meg as Griffin-family doormat, Peter tries to fix his mistakes in several instances, thus winning back Meg's approval. In "The Story on Page One," Meg begins writing for the school newspaper of James Woods High. 13 While interviewing Mayor Adam West, she discovers he has wasted $150,000 of taxpayer money to investigate why water disappears when it has been poured into the ground. Meg believes this story is her big
break, but Peter is not impressed with it. He replaces Meg's story with one he wrote—a fabricated story that claims former Beverly Hills 90210 actor Luke Perry is gay—but leaves Meg's name on the article so she can take all the glory when the news breaks. Instead, Perry finds out about the article and sues Meg for libel. Peter takes it on himself to fix the problem; his solution is to entrap Perry in a compromising situation and photograph it, in order to validate the claim that he is gay. Peter's plan does not work, but in attempting it, he eventually convinces Perry to agree to an actual interview with Meg to set the record straight. Meg is never made to look the fool in this episode; Peter is the clear target of poor behavior, as he bumbles his way into an eventual successful resolution. As indirect satire, the "general reflection" suggested by this episode is that parents' attempts to help their children are sometimes the cause of problems. Attempts to rectify those problems can dig parents and their children into an even deeper hole.
Peter's poor choices in "8 Simple Rules for Dating My Teenage Daughter," lead him to the poorer choice of selling Meg to Mort Goldman. 14 In the beginning of the episode, Peter discovers that Goldman's Pharmacy will place his expenditures on a tab. Without consideration of the future, Peter runs his bill up to $34,000. Mort finally bills Peter, who is unable to meet his debt, unsurprisingly. However, knowing that Mort's son Neil is infatuated with Meg, Peter offers her in place of the money. The Goldmans accept and turn Meg into their slave. Having created the problem, Peter attempts to fix it after Brian points out a clause in the contract of sale that states the deal for Meg is null and void if Neil cheats on her. Peter concocts an interesting strategy to catch Neil cheating—he lures Neil to a fake X-Men convention where Lois, dressed as the character Mystique, is to seduce him. The seduction does not take, but the problem still resolves itself when Neil tears up the contract—thus freeing Meg—and says that he only wants to be with her if she wants to be with him. Peter's selfishness is the target here, and similar to the
previous example, this episode suggests that parents are not very good at fixing problems they create for their children.
Peter's selfishness is on display again in "Let's Go To The Hop," when he goes undercover at James Woods High to protect his children from the growing drug problem in Quahog, which involves the licking of psychoactive toads. 15 Acting under the assumed name "Lando Griffin," Peter fast becomes the most popular "kid" in school—popular enough to convince the rest of the student body to stop "doing toad." Peter's transformation into Lando comes out of concern for Meg, but he leaves Meg in the dust when the Winter Snow Ball rolls around. Ever hungry for attention and praise, Meg believes she has an "in" with the new most popular boy in school—her father. She tells other students that Lando is taking her to the dance, but she finds that Lando has other plans; he is going with Connie D'Amico, the most popular girl in school and perpetual tormentor of Meg. At the dance, Lando and Connie are named King and Queen of the Winter Snow Ball. Kneeling down to be crowned, Lando/Peter sees Meg walk into the dance, and detecting her disappointment, he realizes how he has hurt her feelings. He interrupts the coronation: "Hold it. I can't be your king. I have a confession. I've been living a lie. I shouldn't be here with Connie. My first choice was Meg Griffin." Following gasps and an outburst from Connie, a spotlight shines on Meg, and Lando continues: "That's my dream girl, but I'm not good enough for her, and she dumped me." Peter's final act as Lando is an admission of his own selfishness, which has hurt his daughter. He redeems himself through his selfless public action.
The examples mentioned thus far form a similar pattern—out of stupidity, poor choices, and selfishness, father affects daughter and spends the rest of the episode working to restore their relationship. In two of the examples, his plan of redemption falls flat as the situation resolves
itself anyway; in the other, he acknowledges his mistakes and comes up with a perfect solution on the spot. However, if these episodes do not seem representative of the Peter-Meg dynamic, it is because they are not. Two of the three episodes come from the early, pre-cancellation era of Family Guy, when "Meg was a beloved member of the family." Pop culture and gaming website IGN explains the evolution of Meg: "As the show went on and explored who the characters were and where the comedy really lied in their personalities, a whole new view of Meg emerged. Now hated by her family, we are more likely to see Peter shoot his daughter…than run to her aid." 16
As confirmation of IGN's generalizations, the following examples demonstrate Peter's consistent mistreatment of Meg, characterized by rudeness: he announces her first period loudly enough for the entire neighborhood to hear; he commends his neighbor Herbert for calling Meg "Thunder Thighs;" he unwittingly calls Meg and her friends "ugly bitches" when they are in disguise on Halloween; he and the rest of the family, minus Meg, read her diary out loud for fun; experiencing paranormal activity at home, Peter considers the possible danger his family is in, and he reminds Lois, "We agreed that if we could only save two, we'd leave Meg!" After suffering from amnesia, Peter says "D'oh!" when Lois introduces him to Meg—a sure sign of his dislike for his only daughter. 17 He bluntly states that Meg sucks; he says, "Shut up, Meg" so often that the phrase has its own Urban Dictionary definition. 18
Peter's treatment of Meg is even more negligent and harmful in these examples: armed with a baseball bat when he suspects an intruder is in the home, Peter hits Meg while looking her straight in the eyes; when Peter, Lois and family challenge Carter Pewterschmidt to a boat race, Peter throws Meg out of the boat to lighten their load; Peter forces her to stand next to a sick man at a Star Trek convention, and she consequently catches the mumps. Peter does not seem concerned about Meg's purity: after she gets a makeover, the family forms a musical group, and
their manager suggests they exploit Meg's newfound good looks by turning her into a sex symbol. To this idea, Peter says, "That's the smartest thing I've ever heard anyone say about anything." When Lois invites family friend and one-time lover Jerome to move in with the Griffins after his house is destroyed, Peter becomes paranoid that old sparks will reignite between his wife and their new tenant. His obsessing eventually causes Jerome to leave. They reconcile at the end of the episode, though, and Jerome tells Peter he would never start anything with Lois because it would ruin his and Peter's friendship. However, he has a confession to make—while he was living with the Griffins, he had "lots of nasty-ass sex with Meg." Devoid of emotion, Peter says, "I don't care about that." 19
Peter's harmful remarks and actions towards Meg differ greatly in their offhandedness from the earlier episodes mentioned. Functionally similar to Family Guy's ubiquitous cutaways, the "Shut-up-Meg" moments occur without warning and have little effect on the outcome of an episode's storyline. They lack context within a given episode, only maintaining the larger context of Meg's metanarrative. Actress Mila Kunis has provided the voice of Meg since the second season of Family Guy; 20 in an attempt to explain Meg's character and justify the treatment of her, she said, "Meg gets picked on a lot. But it's funny. It's like the middle child. She is constantly in the state of being an awkward 14-year-old, when you're kind of going through puberty and what-not. She's just in a perpetual mode of humiliation, and it's fun." 21 Meg certainly gets picked on a lot, not just from Peter but from almost all of the characters in the Family Guy world. That the disdain towards Meg is universal is part of the reason it is problematic. As indirect satire, the target should be he or she who behaves poorly—when Peter brands Meg with a hot iron or starts her beanie on fire, he should represent what the satirist is
attacking. Because everyone seems to find something wrong with Meg, though, she becomes the problem.
Peter appears less of a jerk when others engage in the act of abusing Meg. The rest of the family detests her, and Peter's friends know it: in one instance, Lois holds onto next-doorneighbor Joe, as he is about to fall off a steep ledge. Losing her grip, Lois says, "I can't hold on much longer." Joe responds: "Lois, pretend I'm one of your children." Her grip begins to loosen more, and he says, "Not Meg!" Meg's teacher, Mr. Berler keeps Meg in her place: when he sees her standing by Connie D'Amico's group of friends he says, "Wait a minute. You're not part of the popular clique. You run along and play alone somewhere." Meg even succeeds in disgusting complete strangers: when she and Lois are out shopping, a clothing store clerk inadvertently sees her trying on a tight pair of jeans. Repulsed by the sight, the clerk screams in horror, starts herself on fire and jumps out the window. Shortly after, a cameraman who sees Meg in the corridors of the mall does the same. 22
Meg's essence—her Meg-ness—loses its satiric quality as it becomes increasingly selfreferential. Lacking the intertextual component of satire, Meg's character becomes something of an inside joke—one in which her tormentors and the show's frequent viewers are in on. Some might perceive Meg's abuse as satirical if taken holistically—like Kunis says, Meg could be a viewed as an allegory of the middle child. 23 Such a viewpoint requires one to consider the sum of Meg's abuse to be greater than its parts. However, an even better explanation of Meg's treatment is the need for Family Guy's writers to up the ante in terms of degradation towards her.
Others' abrupt interactions with Meg have diminished her role, turning her into a onenote character. Though this presentation of Meg has predominated for much of the series, Family Guy manages to sneak in a Meg-centric episode from time-to-time. At least a few of these Meg
episodes could be considered Peter-and-Meg-centric episodes, like those cited earlier in this section. Those episodes arguably reflect a period of Family Guy that, after thirteen seasons, does not represent the series as a whole. If "The Story on Page One" and "Let's Go To The Hop," at least, feature Peter-Meg storylines when Meg "was a beloved member of the family," what might a Peter-Meg episode look like after she becomes the whipping post of the show, and specifically the whipping post of Peter? Does it follow a similar plot structure to that mentioned earlier— Peter causes problems for Meg, followed by Peter's attempt to fix those problems—or is it simply a concentrated series of abuses? Our study of Peter and Meg began with analyses of three episodes, each of which present a satirical take on the relationship between parents and children. Having described the abusive turn in the evolution of Meg, we will bookend this section with an exploration of three more Meg episodes: "Hell Comes to Quahog," "Road to Rupert," and "Peter's Daughter."
"Hell Comes to Quahog" begins with Peter favoring his friends over his daughter. 24 Peter—with Joe, Cleveland and Quagmire—goes to the roller skating rink to pick up Meg. While there, they decide to skate, and they have so much fun they forget their reason for being there. They leave without Meg, forcing her to walk home in the rain. To prevent this from happening again, Peter takes Meg to a car dealership to buy her a car. Just as he does at the roller skating rink, Peter forgets his reason for being at the dealership; by the time they leave, Meg is still carless, but Peter is the owner of a new tank. Meg eventually gets a job at the new Superstore USA—a thinly veiled reference to Walmart—with hopes that she can save money on her own to buy a car. Unfortunately, she cannot escape Peter. As Superstore USA begins to take over Quahog, he loses his job at Pawtucket Brewery, which has now become superfluous. He gets a job at Superstore USA and, in a reversal, is working under Meg, his new superior. Meg's
superior—named Mr. Penisburg—is unimpressed with Peter's poor work ethic, and he orders Meg to fire her father. Mr. Penisburg stands beside her to support her dismissal of Peter, but Meg instead changes course and quits her job on the spot, citing her relationship with her father as more important. Meg's actions have an immediate effect on Peter: "Meg, that was a wonderful thing you just did for me. I can't believe this is coming out of my mouth, but I love y…" Stewie and Brian, however, interrupt Peter as they drive the family tank into the building and demolish the store. Afterwards, Peter's near admission is not lost on Meg. The episode closes with the Griffins at home, sitting on the couch. Meg says, "Dad, you were going to say something in the store." In denial, Peter replies, "No, I don't think so." Meg presses: "No, I'm sure of it. You were gonna say you love me. You love me and you know it," she teases, knowing she has the upper hand at the moment. Chris steals Meg's momentum by repeating a game he and Peter play earlier in "Hell Comes to Quahog": he says Meg's name and blows raspberries. Peter does the same, and the two go back and forth until the credits start rolling.
In its satire of a father-daughter relationship, this episode comes close to the redemptive formula of earlier episodes: father's poor decisions and neglect adversely affect daughter—Peter forgets to pick Meg up from the skating rink, leaving her to walk home in the rain; father's attempt to remedy his mistake leads to more foolish behavior—instead of buying Meg a car for practical purposes like he said he would, he buys himself a useless tank; despite father's continual malfeasance, daughter forgives him—Meg demonstrates her ability to forgive when she quits her job rather than fire Peter. Lest Family Guy become too sentimental, "Hell Comes to Quahog" ends as if it does not want us to forget that Meg is still Meg. Though Peter finds resolution and redemption via Meg's forgiveness, Meg is left hanging.
"Road to Rupert" also contains moments in which Peter and Meg appear to have a positive breakthrough in their relationship, although not until after several instances of poor treatment by Peter. 25 At the beginning of the episode, Joe revokes Peter's driver's license after he attempts an Evel Knievel-like stunt that results in the damage of several cars on Spooner Street. Meg becomes the unfortunate chauffeur of her father, at least until his license is reinstated. Their first ride does not exactly begin well; the scene begins with a close-up of Peter, sitting in the back seat of a car. He says, "Aw, this sucks. Can you believe I'm stuck with Meg driving me around?" The camera pulls back, revealing Meg as the driver, and—as the only other person in the car—an awkward participant in a conversation about herself. Peter proceeds to act childishly, calling Meg "Stinky McPoop-Pants" and begging for apple juice. When he does not get it, he begins kicking the back of Meg's seat. In order to appease him, she not only has to give him apple juice—she also has to turn on Spongebob Squarepants for him to watch in the backseat.
Peter's behavior changes from childish fit to drunken pranks when Meg drives his friends and him home from The Drunken Clam. First, Meg must endure ribald conversation from the four men. Peter asks Cleveland, Quagmire and Joe, "Who would you rather do? Queen Latifah or Halle Berry if she's been dead for six hours?" Their attention turns from hypotheticals to harassing Meg. Cleveland shushes the other three so they can watch him give Meg a wet willy. Wanting to one-up Cleveland, Peter pulls out a lighter and ignites Meg's beanie. She is oblivious until the men ask her teasingly if it is starting to get hot. When she realizes her head is on fire, she becomes hysterical until Quagmire douses her head with the remains in his beer can. Meg slams on the brakes, causing an accident when the car behind rear-ends them. The man who slams into them gets out of his car and approaches Meg's door, ready to give her a piece of his
mind: "What the hell is your problem, you dumb bimbo?" Unleashing all of her pent-up rage of Peter, she jumps out of the car and pummels the man bloody, earning Peter's respect and praise for the first time, at least in the episode. "Meg, that was awesome," he says, as Meg's victim lay on the ground unconscious.
Meg's eruption proves to be an icebreaker, as father and daughter begin to bond on their car rides: in a montage, Peter and Meg break mailboxes together with a baseball bat, go to a drive-in movie, and complete the exact dare-devil stunt that got Peter's license revoked. Reflecting on their newfound friendship, Peter and Meg sit on the porch while drinking lemonade. "You know, Dad, it's been really great hanging out with you. I know there's probably a million things you'd rather be doing." Peter agrees with the first sentiment and denies the second: "Are you kidding Meg? I've had more fun with you than I did going to see Lost in Translation with Cleveland and Quagmire." Following an irrelevant cutaway, he continues: "Look, I know sometimes I give you a hard time, you know, calling you names, reading your diary, farting in your cereal when you go to get milk and then laughing: 'ah, ha-ha ha-ha! She doesn't know she's eating my fart.' But you know Meg, I'm starting to realize I got a really wonderful daughter." Syrupy, heartwarming music build to a crescendo. "Thanks, Dad."
In civilian clothes, Joe rolls up to the Griffin house and unwittingly destroys the fatherdaughter moment. "Peter, good news. Your suspension is up. You can have your license back." Peter takes the news with surprise and excitement: "You…you mean it? I'm free? No more getting driven around? Aw, sweet!" Joe exits, and the attention is again on Peter and Meg. With a look of resignation, Meg says, "So, I guess you don't need me anymore. You'll probably go back to treating me like crap, huh?" Peter nonchalantly confirms her suspicions: "Well, maybe just to keep up appearances in front of the family. You know, peer pressure and all that. But from
now on, Meg, you and me are 'secret' best friends." He kisses her forehead. Lois opens the door and asks, "Who wants a glass of fresh lemonade?" Back to his usual self, Peter says, "Not me! What I want is a fresh glass of better daughter!" He throws lemonade in her face and follows Lois into the house. Out of Lois's sight, he turns to Meg and winks, acknowledging the inside knowledge each of them have about his purported abuse.
In "Peter's Daughter," Peter again acknowledges his poor treatment of Meg. 26 At the beginning of the episode, a flash flood makes the Griffin home uninhabitable; this does not stop Peter from ordering Meg into the house to get a case of beer for him. Unfortunately, she nearly drowns, and she falls into a coma as a result. Peter's realization that he must become a better father coincides with the romance between Meg and a medical intern named Michael, who helps bring her out of her coma. Wanting to play the role of responsible father, Peter spies on Meg and Michael as a means to protect her but fails when he discovers that Meg is pregnant. A shotgun wedding ensues, after Peter goes to Michael's house with a literal shotgun. As the wedding date approaches, the pretense for the marriage becomes unraveled: Meg has a period, meaning she had made a mistake in reading the pregnancy test. She reveals this information to Michael at the altar, and he runs out of the chapel immediately. Instead of offering consoling words, a hug, or any acknowledgement of what just happened to Meg, Peter introduces a cutaway of country singer Conway Twitty, singing "Hello Darlin'."
Try as she might, Meg cannot receive the reassurance she so desperately craves. "Road to Rupert" does not end with a sea change in Meg and Peter's relationship, but instead with a conditional acknowledgement that their relationship has to be how it has always been, or at least how it has mostly been since Family Guy was brought back from cancellation in 2005. Despite
his attempts at redemption in "Peter's Daughter," Peter cannot help Meg when she needs it most; instead, he closes the episode doing what he does best—introducing an off-topic cutaway.
What conclusions can be gathered about these Peter-Meg episodes? They corroborate Peter's offhanded treatment of her mentioned earlier, and while they are not just thirty-minute versions of Meg-bashing, neither are they out of place in Peter's overall treatment of her—the lack of resolution and reassurance given to Meg keeps with the verisimilitude of the larger Meg metanarrative. With a general awareness of Meg's unpopularity, one can decipher some amount of effective satire in each of these three episodes, which mostly paint Meg as the sympathetic character and Peter as the satirical target. It is hard to argue that Meg is not the voice of reason in "Hell Comes to Quahog" when she tells Peter, "Dad, I'm sorry I have to say this, but you're a fat ass who's completely incapable of performing the simplest tasks." As indirect satire of other television families, these episodes resist the "cyclical nature of the normalcy of the premise of undergoing stress or threat of change and becoming restored." Peter does not change, obviously, in any of these episodes, but Family Guy is open about his un-malleability. In other TV families, the perception of change is an illusion, as father and daughter—for example—engage in the same conflict over and over again, seemingly resolving it at the end of each episode, only to face it again in the following episode. As indirect satire of the institution of family, in general, these episodes comment on the perceived real experience of children who identify as non-favorites of their parents. Like Meg, they can never quite receive the approval they so desperately seek. Although "Hell Comes to Quahog," "Road to Rupert" and "Peter's Daughter" are much different than the episodes covered at the beginning of this section—those which originally aired when Family Guy was still finding its voice—they are no less satire. They lack redemptive conclusions, but in doing so make a satirical statement.
Comparing the diverse ways in which Family Guy deals with Meg, one of its biggest problems is not giving her enough of a voice. Both of the Peter-and-Meg-centric episode types— those of the older variety and those more representative of their current relationship—afford her a bigger role and, consequently, more power. As mentioned, abrupt interactions with Meg, regardless of the character, appear as a direct attack on her, not an indirect attack on her bullies, as judgment is displaced from its rightful targets. Even if her attackers come across poorly, the brevity of the "Shut up, Meg" moments lack depth and tell us very little about her attackers aside from their obvious cruelty.
To conclude our analysis of Peter and Meg, we will turn our attention to Peter to briefly discuss the meaning of his actions and attitudes toward his only daughter. Based on the examples provided, we cannot describe Peter as a flawed man who loves his daughter. He is more accurately a selfish, negligent, often mean-spirited man who would more likely avoid his daughter than spend time with her. This verdict of Peter possibly disqualifies him from achieving the everyman status of Homer Simpson, who arguably fits the "flawed but loving" description above, which makes him a mirror of most men and most fathers. That Peter lacks relatability to a certain extent does not make his vices any less worthy of censure. Selfishness, negligence, and mean-spiritedness typify some families; even if these vices are not representative of the majority of families as a whole, they at least define isolated incidents inevitable in any family.
Summary
Through the course of this study, our intention was to address several questions and issues specific to Family Guy, and more generally to the topics of satire, animation and the sitcom, among them: how is family presented in Family Guy? Is there a purpose to the way it is presented, and if so, what is it? Is there anything problematic about Family Guy's use of satire,
especially as it targets the family? How do the filters of animation and television affect the perception of a satiric program like Family Guy? Is the "biting satire" of the show—words used by MacFarlane and other writers—actually satire, or is it an umbrella term for everything shocking and offensive?
The literature review of Chapter One established a satiric context for this study, while our analysis of animated form and sitcom structure enlightened our understanding of Family Guy's subversive uniqueness. Chapters Three and Four focused more closely on the family—in particular, the way in which Family Guy directly comments on other families, both real and fictional, and the way it comments indirectly on the family through its portrayal of the Griffins. Our analyses up to this point have hopefully addressed and provided answers for the questions above; however, in an attempt to underline our main conclusions and address any questions that have received less attention, the remainder of this essay seeks to tie up any loose ends.
The primary goal in this study was to identify purpose in Family Guy's presentation of the family. Lest we become confused about the implications of an apparent purpose in the show, this does not have any bearing on whether children should or should not watch it; if inappropriateness in the show is deemed satiric, it is still probably inappropriate for certain audiences, even with its arguable purposefulness. Even after subjecting Family Guy to a quadripartite analysis by checking its balance of aggression, laughter, play and judgment, we still must ask if it satirizes its target in the most effective manner. Of the examples given of Meg and Peter, is there a better way to satirically represent their relationship, characterized by selfishness, negligence, and mean-spiritedness?
Even if an incident in Family Guy is best categorized as satire, rather than parody or abuse, the likely aggressiveness of it might make one question whether it is uncalled for or if "it
functions as a means to an end." 27 The shockingly real nature of many satiric moments in Family Guy seems to overshadow the vices symbolized. For example, actions representing general maltreatment, such as Peter punching Meg in the face, might be better understood if the symbolic action were either preposterous or extremely exaggerated, rather than plausible. Family Guy features plenty of examples that fit that description—one, for example, is found in "Hell Comes to Quahog." When Peter buys a tank instead of a car for Meg, no viewer would consider the specificity of the incident as the object of satire—in other words, nobody would, or should, interpret the scene as an attack on tank-buying, because the idea of buying a tank at a car lot is implausible and ridiculous. The scene, at the very least, satirizes a father's general selfishness.
What happens, though, when the symbolic, satiric action is something very plausible and, further, much worse than the vice it is meant to symbolize? Two incidences in Family Guy illustrate this point, and both of them signal retribution for all of the awful things Peter has done. In "Lethal Weapons," Lois begins taking martial arts lessons and quickly earns her black belt. As her skills develop, she becomes more aggressive and assertive, and ultimately she makes a power play in her marriage. First, she grabs Peter's crotch in plain sight to assert her dominance after she defeats her martial arts instructor in a match. On a power trip that night, she enters her and Peter's bedroom and rapes him. The incident is implied after Lois tells Peter to take his underpants off; he reluctantly agrees, and as his hands grip the waste band of his boxers, the shot cuts to the next morning. We only see the aftermath, which involves a traumatized Peter eating Stewie's graham crackers. "Dial Meg For Murder" features a similar scene, but this time Peter is on the receiving end of Meg's abuse. In this episode, Meg strikes up a relationship with a convict named Luke. He eventually escapes from prison, and holes up in Meg's room. They are both caught, and Meg is sent to prison for three months for harboring a fugitive. After Meg completes
her prison term, she comes back to Spooner Street hardened and eager to pay back all those who have given her a hard time. Peter receives the brunt of this punishment. First, she beats him up and curb-stomps him on the bottom stair in the house. Later when Peter is taking a shower, she opens the curtain and enters and proceeds to rape him with a loofah. More graphic than the scene from "Lethal Weapons," the shot stays on the outside of the shower curtain while Peter screams. The debate about rape's place in comedy is controversial and complex, and it exceeds the scope of this study. Suffice it to say, because rape is considered a type of power play in reality, it does not fit with the other examples of allegorical satire mentioned. Symbolizing a general problem like the power struggle in a marriage or between a parent and sibling with something as hideous and plausible as rape takes attention away from the object of satire and places it on the symbolic action. In the examples mentioned, one would be hard-pressed to argue that Family Guy is commenting on rape or sexual assault. While the carnivalesque nature of animation arguably softens the actions—they appear less graphic on screen than they do described in print—they should be held up to scrutiny and measured for their effectiveness and appropriateness.
The examples in this chapter and earlier dealing specifically with the Griffin family as objects of indirect satire leave us without definitive answers. Are the Griffins like other TV families, especially those they parody, satirize and abuse in their ever-present cutaways? They can be at times. Peter and Lois's dispute in "The King is Dead" is a fairly typical example of a cyclical story depending on conflict-resolution between a husband and wife. However, its chaotic, non-linear structure, exemplified by its use of cutaways—like almost all episodes of Family Guy—disrupts the flow of the cycle; a visual representation of an episode's structure would surely look like a circle with many meandering paths. Plenty of evidence also suggests the Griffins are not like other TV families. The relationship between Peter and Meg—not to mention
Meg and everyone else on the show—is characterized by its lack of cyclicality. Father and daughter butt heads regularly in Family Guy, though the reasons are often unclear, aside from Peter's seemingly innate dislike of her. His refusal to ever fully concede to his daughter is counter to the tradition of other TV families and to sitcom characters in general.
Closing in true cyclical fashion, we return to the Family Guy theme song from the beginning. One presumably considers the second half of the song as the answer to the question in the first half. In their actual order, "Where are those good old fashioned values on which we used to rely?" followed by, "Lucky there's family guy, lucky there's a man who positively can do all the things that make us laugh and cry." Can the second half of the song be better understood not as an answer to the question, but as an alternative? After all, Family Guy succeeds fabulously at times in pointing out what is wrong with families—maybe the "good old-fashioned values" were not so good after all—but at times it falls flat in its direct attack on other families and its indirect attack of its own. Peter can do all the things that make us laugh and cry because he cannot show us the good values of today, whatever they may be.
Chapter Five
Conclusion
To deem Family Guy as a valuable text or not is a difficult—if not impossible—task, considering the challenge one faces in establishing a definition and/or criteria of "value." Some find value in the propagation of "traditional" moral examples while others find it in the subversion of tradition; some find value in socially uplifting texts while others find it in texts that target the ugly truth. An audience-centric continuation of this study would certainly illuminate some of the questions left unanswered in our text-centric analyses.
Rather than enter a discussion about Family Guy's "value" at this point, we can more easily see how it fits with another term provided earlier—Douglas Kellner's "emancipatory text." Breaking apart the definition of "emancipatory text," does Family Guy "subvert ideological stereotypes, and [show] the inadequacy of the rigid conceptions that prevent insight into the complexities and changes of social life?" Does it "reject idealizations and rationalizations that apologize for the suffering in the present social system and, at its best, [suggest] that another way of life is possible?" 1
The not-so-simple answers to each of those questions are sometimes, most of the time, and almost never. This study found tension in Family Guy's satiric—albeit stereotypical— presentation of the family. Surely Peter Griffin is meant to represent the worst of human behaviors at times—however, his persistent sexist speech and actions towards Lois and other woman, coupled with his negligent attitude regarding parental matters make him a stereotype of domineering patriarchy. In general, though, Family Guy rejects idealizations and rationalizations
of the present social system—in our case, the family—by attacking idealized families of popular culture's past and present. Perhaps the most important issue to address is whether Family Guy suggests that another way of life is possible, as Ortved claims about The Simpsons: Homer, for example, stands as "a symbol of what we all strive for and what we should avoid." 2 Peter clearly epitomizes that which we should avoid but fails to show us a better way.
Family Guy is an emancipatory text insomuch that it frees us from our expectations of a formulaic, cyclical sitcom, and by extension, the formulaic sitcom family, arguably existent within all of the eras described by Mills and Tueth. However, its treatment of the family in cutaways and via the Griffins does not so much "[suggest] that another way of life is possible" as it points to ways of life that are not possible. Family Guy's attacks on TV and real families past and present undermine original textual intent and public perception of the targeted families partly in an attempt to get laughs but also to comment on something it finds "ugly" about the text. Its own presentation of the Griffin family does little to offer alternative approaches to family life. After all, the Griffins do not come across any more enviable than the families they parody, satirize and lampoon.
By not showing us what to strive for, Family Guy betrays its own attempt to present a truly emancipatory vision of the family. Does its unfulfilled potential disqualify it as a "valuable" text? Considering the strengths and weaknesses of Family Guy, this study does not seek to persuade or dissuade one from watching the program. The reader who has never seen Family Guy will not likely take our analyses and conclusions as ringing endorsements of the show; conversely, the reader familiar with—even appreciative of—Family Guy will not likely consider our study a condemnation. As suggested in the introduction, value arguably lies more in the audience's approach to the text than in the text itself. Viewers who are able to critique the
ideological and institutional forces that shape culture and formulate their own alternative cultural perspectives do so regardless of the text's subversive or emancipatory propensity. 3 The question, then, is how can a viewer approach a text like Family Guy with an appropriate critical lens? Through our approach to Family Guy, we were able to address critical questions about the show's purpose by unpacking encoded characteristics of the show that largely influence an audience's decodings, or interpretations. Factors pertaining to satire, animation and the sitcom greatly affect the presentation of family, as we have found. With some modification, this same approach could be used to analyze different topics found in Family Guy, such as race, politics, and religion. It could also be utilized in analyses of other satiric texts, animated or not, as long as definitions and criteria are adapted according to the genres, modes and forms represented. Similar studies of Family Guy or related texts would, at the very least, reveal the same indisputable conclusion found here: this "simple" cartoon is surprisingly complex.
Notes
1 Introduction
1. Walter Murphy (Composer), Seth MacFarlane and David Zuckerman (Lyricists), Main Title, Family Guy, 20 th Century Fox Television, 1999.
3. "Parents Television Council-Home," Parentstv.org, accessed February 16, 2015, http://w2.parentstv.org/Main/. The Parents Television Council describes itself on the homepage of its website as "A non-partisan education organization advocating responsible entertainment."
2. "8 Simple Rules for Buying My Teenage Daughter," #4ACX11, Aired July 10, 2005; "Fresh Heir," #BACX13, Aired March 23, 2014; "Stewie Kills Lois," #5ACX17, Aired November 4, 2007.
4. John Ortved, Simpsons Confidential: The Uncensored, Totally Unauthorised History of the World's Greatest TV Show by the People That Made It (London: Ebury, 2009), 1.
6. Wendy Hilton-Morrow and David T. McMahan, "The Flintstones to Futurama: Networks and Prime Time Animation," in Prime Time Animation: Television Animation and American Culture, ed. Carol A. Stabile and Mark Harrison (New York: Routledge, 2003), 77. The authors clarify the assertion that no animated series appeared between The Flintstones and The Simpsons by noting the appearance of the brief summer replacement series Where's Huddles in 1970.
5. Ibid., 3.
7. Diane F. Alters, "We Hardly Watch That Rude, Crude Show: Class and Taste in The Simpsons," in Prime Time Animation: Television Animation and American Culture, ed. Carol A. Stabile and Mark Harrison (New York: Routledge, 2003), 177.
9. Chris Turner, Planet Simpson (London: Ebury Press, 2005), 9.
8. Ibid., 178.
10. Matthew A. Henry, The Simpsons, Satire, and American Culture (New York: Palgrave Macmillan, 2012), 22.
12. Douglas Kellner, "TV, Ideology, and Emancipatory Popular Culture," in Television: The Critical View, 4 th ed., ed. Horace Newcomb (New York: Oxford University Press, 1987), 489.
11. Alters, "We Hardly Watch," 165.
13. Ibid.
15. Ibid.
14. Mary Reeves, "School is Hell: Learning with (and from) The Simpsons," Daspit, Toby, and John A. Weaver. Popular Culture and Critical Pedagogy: Reading, Constructing, Connecting (New York: Garland Pub., 1999), 47.
16. Alters, "We Hardly Watch," 165. One cannot draw a straight line from The Simpsons to these FOX programs. The popularity of The Simpsons arguably made their existence possible, but a number of other animated programs—especially those that faced (and continue to face) looser censors on cable TV—such as Beavis & Butthead, Ren & Stimpy,
and South Park have greatly influenced the increased grotesqueness and crudeness of modern FOX animated programs, including The Simpsons.
18. Ibid., 8.
17. Turner, Planet Simpson, 9.
19. Nellie Andreeva, "Full Series Rankings for the 2009-10 Broadcast Season," deadline.com, May 27, 2010, http://deadline.com/2010/05/full-series-rankings-for-the-2009-10-broadcastseason-44277/; Nellie Andreeva, "Full 2010-11 TV Season Series Rankings," deadline.com, May 27, 2011, http://deadline.com/2011/05/full-2010-11-season-series-rankers-135917/; Nellie Andreeva, "Full 2011-12 TV Season Series Rankings," deadline.com, May 24, 2012, http://deadline.com/2012/05/full-2011-2012-tv-season-series-rankings-277941/; Dominic Patten, "Full 2012-13 TV Season Series Rankings," deadline.com, May 23, 2013, http://deadline.com/2013/05/tv-season-series-rankings-2013-full-list-506970/; "Full 201314 TV Season Series Rankings," deadline.com, May 22, 2014, http://deadline.com/2014/05/tv-season-series-rankings-2013-full-list-2-733762/.
,
21. Ken Tucker, "Long Live 'King,'" Entertainment Weekly, April 9, 1999, 52.
20. Frazier Moore, "'Family Guy:' So Wrong, But So Very, Very Right," huffingtonpost.com July 9, 2008, http://www.huffingtonpost.com/2008/07/01/family-guy-so-wrong-but- s_n_110141.html.
22. "'Simpsons'/'Family Guy' crossover under fire for rape joke," CBSnews.com, September 24, 2014, http://www.cbsnews.com/news/simpsons-family-guy-crossover-under-fire-forrape-joke/.
24. James Poniewozik, "Hyper Animation," Time Magazine, October 26, 2009, 61.
23. "Emily Blunt Wants to Star in Family Guy," The Nation, June 12, 2009, http://nation.com.pk/Entertainment/12-Jun-2009/Emily-Blunt-wants-to-star-in-Family-Guy; Chris Sheridan, Family Guy season 4 DVD commentary for the episode "The Fat Guy Strangler" (DVD). 20th Century Fox, 2005. In this commentary, Sheridan explains that actor Robert Downey, Jr., approached the staff of Family Guy and asked if he could be involved in an episode, which resulted in Season 4's "The Fat Guy Strangler."
25. "The Simpsons Guy," #BACX22/BACX23, Aired September 28, 2014. A Family Guy episode set in The Simpsons universe, this episode came under fire for a scene in which Stewie Griffin attempts to impress Bart Simpson by prank-calling Moe's Tavern. Instead of asking a mildly crude question as Bart typically does, Stewie says to Moe, "Your sister is being raped." The shocked look on Bart's face after Stewie makes this statement epitomizes the difference between these programs.
27. Bethany Ogdon, "Why Teach Popular Culture," College English 63, no. 4 (2001): 500-515; Richard Beach and David O'Brien, "Teaching Popular Culture Texts in the Classroom," in Handbook of Research on New Literacies, ed. Julie Coiro (New York: Lawrence Erlbaum Associates/Taylor & Francis Group, 2008), 775-804. The quote comes from Beach and O'Brien.
26. Henry, The Simpsons, Satire and American Culture, 42.
28. "The Father, The Son, and the Holy Fonz," #4ACX22, Aired December 18, 2005; "Mr. Griffin Goes to Washington," #2ACX11, Aired July 25, 2001; "PTV," #4ACX17, Aired November 6, 2005.
29. "Top 10 Worst Anti-Family Shows on Television," Human Events, August 25, 2000, 12.
30. "Program Information: Family Guy," www.parentstv.org, accessed February 16, 2015. http://w2.parentstv.org/Main/News/Detail.aspx?ProgramID=504
32. Ibid.
31. "PTC Mission," www.parentstv.org, accessed February 16, 2015. http://w2.parentstv.org/main/About/mission.aspx
33. Dustin H. Griffin, Satire: A Critical Reintroduction (Lexington, KY: University Press of Kentucky, 1994), 1.
35. Michael V. Tueth, "Back to the Drawing Board: The Family in Animated Television Comedy," in Prime Time Animation: Television Animation and American Culture, ed. Carol A. Stabile and Mark Harrison (New York: Routledge, 2003), 134.
34. George A. Test, Satire: Spirit and Art (Tampa: University of South Florida Press, 1991), 16-17.
36. Test, Satire: Spirit and Art, 2.
38. LaChrystal D. Ricke, "Funny or Harmful?: Derogatory Speech on Fox's Family Guy," Communication Studies (63, no. 2, April-June 2012), 121.
37. Paul Wells, Animation and America (New Brunswick, NJ: Rutgers University Press, 2002), 74.
39. Ibid., 120.
41. Ibid., 178.
40. Nick Marx, "Family Guy: Undermining Satire," How to Watch Television, ed. Ethan Thompson and Jason Mittell (New York: New York University Press, 2013), 178.
42. Ibid., 179.
44. Test, Satire: Spirit and Art, 13.
43. Stuart Hall, "Encoding/Decoding," Culture, Media, Language: Working Papers in Cultural Studies, 1972-79 (London: Hutchinson, 1980), 174-175.
45. Ibid.
47. Stephen E. Kercher, Revel with a Cause: Liberal Satire in Postwar America (Chicago: University of Chicago Press, 2006), 1-2.
46. Linda A. Morris, "American Satire: Beginnings Through Mark Twain," A Companion to Satire: Ancient and Modern, ed. Ruben Quintero (Malden, MA: Blackwell, Pub., 2007) 377.
48. Ibid., 59.
50. Ibid., 164-165.
49. Ibid., 164.
51. Brett Mills, Television Sitcom (London: BFI, 2005), 8.
53. Tueth, "Back to the Drawing Board," 135, 138-139.
52. Ibid., 8-9.
54. Ibid., 139.
56. Brett Mills, The Sitcom (Edinburgh: Edinburgh University Press, 2009), 21.
55. Ibid., 133.
57. David Marc, Demographic Vistas: Television in American Culture (London, Sydney and Wellington: Unwin Hyman, 1989), 56.
59. Test, Satire: Spirit and Art, 5.
58. Stephanie Coontz, The Way We Never Were: American Families and the Nostalgia Trap (New York: Basic Books, 2000), 11.
60. Ibid., 15.
61. Ibid., 16.
63. Ibid., 23.
62. Ibid., 19.
64. Ibid.
66. Ibid., 28.
65. Ibid., 16.
67. Ibid.
69. Henry, The Simpsons, Satire, and American Culture, 9.
68. Ibid., 34.
70. Test, Satire: Spirit and Art, 34.
72. Ibid., 112.
71. Ibid., 103.
73. Ibid., 116.
75. Ibid., 30.
74. Ibid., 121.
76. Ibid., 267.
78. Ibid., 16.
77. Ibid., 17.
79. Ibid., 16-17.
81. Ibid., 43.
80. Ibid., 18-19.
82. Ibid., 47.
84. Ibid.
83. Ibid., 48.
85. Ibid., 51-52.
87. Tueth, "Back to the Drawing Board, 141.
86. Ibid., 44.
88. Ellen Bishop, "Bakhtin, Carnival and Comedy: The New Grotesque in Monty Python and the Holy Grail," Film Criticism 15, no. 1 (September 1990), 49.
90. Ibid., 58.
89. Ibid., 50.
91. Robert Stam,Subversive Pleasures(Baltimore: Johns Hopkins University Press, 1989), 86.
93. Darrell Y. Hamamoto, Nervous Laughter: Television Situation Comedy and Liberal Democratic Ideology (New York: Praeger, 1989), 2.
92. Ibid., 49.
94. Henry, The Simpsons, Satire and American Culture, 24.
96. Allen Larson, "Re-Drawing the Bottom Line," in Prime Time Animation: Television Animation and American Culture
95. Ibid., 25.
, ed. Carol A. Stabile and Mark Harrison (New York: Routledge, 2003), 59-60.
98. Stuart Elliott, "Crude? So What? These Characters Still Find Work in Ads," New York Times (New York, NY), June 18, 2008.
97. T.L. Stanley, "Billion-dollar Franchise? Fox Eyes 'Family' Value," Advertising Age 76, no. 17 (April 25, 2005), 12.
99. T.L. Stanley, "All Kidding Aside, Here Comes a Family Guy Beer," Brandweek 48, no. 42 (November 19, 2007), 9.
101. Joanne Ostrow, "HBO Leads the Pack in Bringing Satire Back," Denver Post, June 8, 1997, H01.
100. "The 25 Smartest People in TV," Entertainment Weekly, December 12, 2008, 40-47.
102. Ella Taylor, Prime Time Families: Television Culture in Postwar America (Berkeley and Los Angeles: University of California Press, 1989), 17.
104. Ibid., 139.
103. Tueth, "Back to the Drawing Board, 134-135.
105. Jeremy Wisnewski, "Killing the Griffins: A Murderous Exposition of Postmodernism," in Family Guy and Philosophy: A Cure for the Petarded, ed. Jeremy Wisnewski (Malden, MA: Blackwell Pub., 2007), 9.
107. Ricke, "Funny or Harmful?" 120.
106. Tucker, "Long Live 'King,'" 52.
108. Ortved, Simpsons Confidential, 259; Marx, "Family Guy: Undermining Satire," 178.
109. Suzanne Williams-Rautiola, "Animated Fathers: Representations of Masculinity in The Simpsons and King of the Hill," in Animated 'Worlds', ed. Suzanne Buchan and David Surman (Eastleigh, U.K.: J. Libbey Pub., 2006), 98-99.
2 The Subversive Look and Feel of Family Guy
1. Alters, "We Hardly Watch," 176.
3. Kristin Thompson, "Implications of the Cel Animation Technique," in The Cinematic Apparatus, ed. Teresa De Lauretis and Stephen Heath (New York: St. Martin's Press, 1980), 106-107.
2. David Bordwell and Kristin Thompson, Film Art: An Introduction (New York: McGrawHill Companies, 2008), 56. Says Bordwell and Thompson: "Every component functions as the overall pattern that engages the viewer."
4. Ibid., 106.
6. Ibid., 108.
5. Ibid., 106-107.
7. Ibid., 107.
9. Ibid., 108.
8. Ibid., 107-108.
10. Ibid., 110.
12. Annette Kuhn, "History of Narrative Codes," in The Cinema Book: A Complete Guide to Understanding Movies, ed. Pam Cook (New York: Pantheon Books, 1985), 208.
11. Ibid.
13. Ibid.
15. To be clear, any discussion of the IMR thus far in this chapter, be it related to texts that support it or texts that resist it, is in reference to live-action film and animation released theatrically, before the advent of television.
14. Ibid., 216.
16. Terrance R. Lindvall and J. Matthew Melton, "Towards a Post-Modern Animated Discourse: Bakhtin, Intertextuality and the Cartoon Carnival," in A Reader in Animation Studies, ed. Jayne Pilling (London: J. Libbey, 1997), 210.
18. In this Chuck Jones Merrie Melodies short from 1953, Daffy Duck interacts with his artist, who continually erases and re-draws the background, scenery, and costumes, thus angering Daffy. At the end of the short, the animator is revealed to be Bugs Bunny.
17. Ibid., 209.
19. Paul Wells, Animation and America (New Brunswick, NJ: Rutgers University Press, 2002), 45.
21. Ibid., 46.
20. Ibid.
22. Ibid., 49.
24. Ibid., 13.
23. Ibid.
25. Ibid., 50.
27. Ibid.
26. Ibid.
28. Timothy R. White, "From Disney to Warner Bros.: The Critical Shift," in Reading the Rabbit: Explorations in Warner Bros. Animation, ed. Kevin S. Sandler (New Brunswick, NJ: Rutgers University Press, 1998), 45.
30. This Oscar-winning animated short (1961) follows the story of a man who inflates almost everything he sees during a trip to the beach.
29. Ronald Holloway, Z Is for Zagreb (London: Tantivy Press, 1972), 9.
31. Jason Mittell, "The Great Saturday Morning Exile," in Prime Time Animation: Television Animation and American Culture, ed. Carol A. Stabile and Mark Harrison (New York: Routledge, 2003), 34.
33. Ibid., 43.
32. Ibid.
34. Rebecca Farley, "From Fred and Wilma to Ren and Stimpy: What Makes a Cartoon "Prime Time?" in Prime Time Animation: Television Animation and American Culture, ed. Carol A. Stabile and Mark Harrison (New York: Routledge, 2003), 151.
36. Ibid., 47.
35. Mittell, "The Great Saturday Morning Exile," 42-43.
37. Ibid., 42.
39. Ibid.
38. Ibid., 50.
40. Larson, "Re-Drawing the Bottom Line," 56.
42. Ibid., 141.
41. Tueth, "Back to the Drawing Board, 141-142.
43. "Best and Worst TV Shows of the Week," parentstv.org, accessed February 20, 2015, http://www.parentstv.org/ptc/publications/bw/welcome.asp. This list includes the Parents Television Council's picks for Best and Worst Shows of the Week over a three-year span.
44. Lynette Rice, "Ratings Alert: What You're Watching If You're 11, 50, or 34 Years Old (The Results May Surprise You!)," Entertainment Weekly, January 17, 2015. http://www.ew.com/article/2011/03/15/ratings-by-age. Family Guy finished behind two
American Idol specials this week in this demographic. Granted, the weaknesses of the Nielsen ratings system and the size of this demographic—which includes at least sixteen years that cannot be considered childhood—makes conclusions about this data dubious at best.
46. Larry Mintz, "Situation Comedy," in TV Genres: A Handbook and Reference Guide, ed. Brian G. Rose (Westport, CT: Greenwood Press, 1985), 114-15.
45. See note 1 above; Susan explains she does not approve of the look and feel of The Simpsons but she is unable to explain why.
47. Mills, The Sitcom, 39.
49. "The King Is Dead," #1ACX15, Aired March 28, 2000.
48. Ibid.
50. This analysis of "The King Is Dead" utilizes film terminology related to framing and editing, and it also refers to "the camera" when describing transitions. Our use of the word "camera" is meant to simplify the concepts behind our discussion, given that Family Guy uses an animated rendition of a multi-camera setup.
http://www.huffingtonpost.com/2011/07/24/who-understands-stewie-on-family- guy_n_908040.html.
51. Debate exists about Stewie's intelligibility among other characters of Family Guy. According to MacFarlane—and supported by their interactions on the show—Brian always hears Stewie, but the rest of the family typically does not. MacFarlane addressed these issues in a 2011 Comic-Con interview, which can be seen here:
52. Slight decline should not be interpreted as abandonment; besides Season Eight's "Brian and Stewie," which distinctly features no cutaways, every episode of Family Guy includes at least one cutaway.
54. "Cartoon Wars Part II," #1004, Aired April 12, 2006. In this Season Ten episode of South Park, Eric Cartman meets the writers of Family Guy, who turn out to be an aggregation of manatees. These manatees get their ideas for Family Guy episodes, and especially the cutaway gags, by pushing idea balls into a random generator. The point is that the cutaways are so tangential as to not be relevant or funny.
53. Jason Hughes, "Sundays With Seth: It's Just One Madcap Adventure After Another," TV Squad, http://www.aoltv.com/2010/05/17/sundays-with-seth-its-just-one-madcap-adventureafter-another/.
55. Though somewhat different than the typical Family Guy cutaway, an extreme disruption of family life—or whatever else is going on at a given moment—is the entrance of Ernie the Giant Chicken, who appears randomly in over a dozen episodes to fight Peter. Season Five's "No Chris Left Behind" features a perfect example: Peter and Lois sit at the table discussing possible solutions to Chris's repeated failures at school. As Peter debates Chris's options, he is stopped in his tracks when he sees Ernie looking at him through the window. A fight erupts that lasts five minutes, thus disrupting the flow of their family problem.
3 Other Families in Family Guy
1. "100 th Episode Special," November 4, 2007.
3. Ibid.
2. Test, Satire: Spirit and Art, 17 (see chap. 1, n. 77).
99,
4. An exception is the cutaway of The Jetsons in "Meet the Quagmires," which uncannily resembles the original animation by Hanna-Barbera.
6. "The Tan Aquatic with Steve Zissou," #5ACX06, Aired February 18, 2007.
5. "The Son Also Draws," #1ACX06, Aired May 9, 1999.
7. See note 77, Chapter 1. Henry, The Simpsons, Satire, and American Culture, 9 (see chap. 1, n. 69).
9. Merriam-Webster's Collegiate Dictionary. 11th ed. Springfield, MA: Merriam-Webster, 2003, http://www.merriam-webster.com/.
8. In Satire: Spirit and Art, Test gives examples of satires by H.L. Mencken—the so-called Great Bathtub Hoax, published as "A Neglected Anniversary" in the New York Evening Mail on December 28, 1927—and Herbert R. Mayers—a mock biography of Horatio Alger, called A Biography Without a Hero published a year later—that were generally received as factual by readers. Following the publication of these texts, some researchers cited them as factual in serious articles and books. Test notes, "the irony that should have been produced was in fact stillborn since no one recognized the models that were being mocked. The only irony was in the eye of the creator." See Test, Satire: Spirit and Art, 182.
10. "North by North Quahog," #4ACX01, Aired May 1, 2005.
12. "Fore Father," #2ACX16, Aired August 1, 2000.
11. "The Story on Page One," #2ACX14, Aired July 18, 2000.
13. "North by North Quahog," #4ACX01, Aired May 1, 2005.
15. Aubree Bowling, "Worst TV Show of the Week: Family Guy on Fox," PTC.com, June 13, 2007, http://web.archive.org/web/20070613130300/http://www.parentstv.org/PTC/publications/b w/2005/0508worst.asp.
14. Test, Satire: Spirit and Art, 26.
16. Most notably in the Little House on the Prairie cutaway from "Fore Father."
18. "PTV," #4ACX17, Aired November 6, 2005.
17. "Emission Impossible," #3ACX01, Aired November 8, 2001.
19. "The Worst Examples of Cousin Oliver Syndrome in TV Sitcom History." Crustula.com. October 8, 2012. http://crustula.com/2012/10/08/the-worst-examples-of-cousin-oliversyndrome-in-tv-sitcom-history/.
20. Griffin, Satire: A Critical Reintroduction, 1; Morris, "American Satire: Beginnings," 377; Kercher, Revel with a Cause,1-2.
One blogger goes so far as to call Cousin Oliver the precedent for this sitcom phenomenon: "Cousin Oliver Syndrome is the well worn TV sitcom trope of introducing a younger character to the cast of a show in its later years as a desperate attempt to add life to a show that has grown a big long in the tooth."
21. "Brian: Portrait of a Dog," #1ACX07, Aired May 16, 1999.
23. Tueth, "Back to the drawing board: The family in animated television comedy," 138.
22. "Peter, Peter, Caviar Eater," #1ACX08, Aired September 23, 1999.
24. "The Son Also Draws."
26. "PTV."
25. Coontz, The Way We Never Were, 11 (see chap. 1, n. 58).
27. Mills, Television Sitcom, 8; Tueth, "Back to the Drawing Board," 135, 138-139.
28. Pamela Wilson, "The Waltons," Encyclopedia of Television, accessed March 14, 2015,
http://www.museum.tv/eotv/waltonsthe.htm
29. Lisa Anne Lewis, "Happy Days," Encyclopedia of Television, accessed March 14, 2015, http://www.museum.tv/eotv/happydays.htm
30. Wilson, "The Waltons," http://www.museum.tv/eotv/waltonsthe.htm
32. "Brian in Love," #2ACX01, Aired March 7, 2000.
31. Bishetta D. Merrit, "Bill Cosby," Encyclopedia of Television, accessed March 14, 2015, http://www.museum.tv/eotv/cosbybill.htm
33. "Meet the Quagmires," #5ACX13, Aired May 20, 2007.
35. "8 Simple Rules for Buying My Teenage Daughter," #4ACX11, Aired July 10, 2005; "I Take Thee Quagmire," #4ACX11, aired July 10, 2005.
34. Mintz, "Situation Comedy," 114-15 (see chap. 2, n. 47).
36. Although the characters portrayed are Ray and Debra Barone of Everybody Loves Raymond, Ray calls his wife "Patty"—a reference to the actress who plays Debra, Patricia Heaton.
38. "PTV."
37. "Mr. Griffin Goes To Washington," #2ACX11, Aired July 25, 2001.
39. "Let's Go To The Hop," #2ACX04, Aired June 6, 2000.
41. Miss Representation, directed by Jennifer Siebel Newsom and Kimberlee Acquaro (2011; USA: The Oprah Winfrey Network, 2011) TV.
40. Dallas W. Smythe, "On the Audience Commodity and its Work," Dependency Road: Communications, Capitalism, Consciousness, and Canada (Norwood, NJ: Ablex Pub., 1981), 38-39.
42. Similar to the way in which Saturday Morning cartoons function as a half-hour-long commercial.
44. "Brian Sings and Swings," #4ACX21, Aired January 8, 2006.
43. Test, Satire: Spirit and Art, 121 (see chap. 1, n. 74).
45. Test, Satire: Spirit and Art, 122.
47. "Fast Times at Buddy Cianci Jr. High," #4ACX02, Aired May 8, 2005.
46. Ibid., 123.
48. CNN Larry King Live, "Interview with Marie Osmond," CNN.com, August 7, 2004, http://www.cnn.com/TRANSCRIPTS/0408/07/lkl.01.html.
50. "The Tan Aquatic with Steve Zissou," #5ACX06, February 18, 2007.
49. Jennifer Vineyard, "Britney Spears and Parenting: A Timeline of Tumult," MTV.com, October 1, 2007, http://www.mtv.com/news/1570950/britney-spears-and-parenting-atimeline-of-tumult/.
51. A clearer example of Family Guy satirizing the media appears in "Saving Private Brian." Commenting on the obsession of news media to focus on tragic stories involving young, white girls, a cutaway begins in which an officer standing outside of a crashed school bus announces the death of nine-year-old Becky Gunderson. After reporters at the scene sigh, the officer announces, "No, wait. That's Becki Gutierrez." The reporters this time sigh in relief, and one says, "That's not news."
53. Arthur Caplan, "Ten Years After Terri Sciavo, Death Debates Still Divide Us: Bioethicist," nbcnews.com, March 31, 2015, http://www.nbcnews.com/health/health-news/bioethicist-tkn333536. The debate in this case centered on the desires of Terri's husband, Michael, who
52. "Peter-Assment," #7ACX16, Aired March 21, 2010.
wanted her feeding tube removed, and her family, who believed she would have wanted to live.
55. Jill Staneck, "TV show Family Guy: 'Terri Schiavo, the Musical,'" jillstaneck.com, March 22, 2010, http://www.jillstanek.com/2010/03/tv-show-family-guy-terri-schiavo-themusical/.
54. Suzanne Vitadamo, "Five Years Later, Terri Schiavo Mocked on Fox Prime Time," Christian Newswire, March 22, 2010, http://www.christiannewswire.com/news/3538013418.html.
56. "Extra Large Medium," #7ACX14, Aired February 14, 2010.
58. TJ Ortenzi, "Sarah Palin Responds To "Family Guy" And Repeats Call For Rahm Emanuel To Resign," huffingtonpost.com, April 18, 2010, http://www.huffingtonpost.com/2010/02/16/sarah-palin-responds-to-f_n_464939.html.
57. Sarah Palin, "Fox Hollywood—What a Disappointment," facebook.com, February 15, 2010, https://www.facebook.com/notes/sarah-palin/fox-hollywood-what-adisappointment/305122263434.
59. Maria Elena Fernandez, "Sarah Palin vs. Family Guy: Seth MacFarlane Responds (Sort of)," Los Angeles Times, February 16, 2010, http://latimesblogs.latimes.com/showtracker/2010/02/sarah-palin-v-family-guy.html.
61. "Fat Guy Strangler," #4ACX20, Aired November 27, 2005; "PTV;" "Stewie Loves Lois," #4ACX32, Aired September 10, 2006.
60. Besides the controversial attack of Palin in "Extra Large Medium," Family Guy attacks Palin in the episode "Road to Germany." Part of the "Road to..." series of episodes starring Stewie and Brian, the two travel back in time to Germany, and in their adventures they pick up a Nazi uniform that has a McCain-Palin button on it.
62. Test, Satire: Spirit and Art, 124.
63. Test, Satire: Spirit and Art, 47 (see chap. 1, n. 82).
4 The Griffin Family as Indirect Satire
1. "Running Mates," #1ACX09, Aired April 9, 2000; "April in Quahog," #7ACX18, Aired April 11, 2010; "Lois Kills Stewie," #5ACX18, Aired November 11, 2007; "Brian Griffin's House of Payne," #7ACX13, Aired March 28. 2010; "Bango Was His Name Oh," #4ACX06, Aired May 21, 2006; Lethal Weapons," #2ACX18, Aired August 22, 2001. "The Father, The Son, and the Holy Fonz," #4ACX22, Aired December 18, 2005; "8 Simple Rules for Buying My Teenage Daughter;" "Peter's Daughter," #5ACX21, Aired November 25, 2007.
3. Ibid., 48 (see chap. 1, n. 83).
2. Test, Satire: Spirit and Art, 17 (see chap. 1, n. 77).
4. Ibid., 58 (see chap. 1, n. 90).
6. Ortved, Simpsons Confidential, 258.
5. "Lisa's Pony," #8F06, Aired November 7, 1991; "Lisa's Sax," #3G02, Aired October 19, 1997; "Lisa the Beauty Queen," #9F02, Aired October 15, 1992; "Homer vs. Lisa and the 8 th Commandment," #7F13, Aired February 7, 1991; "And Maggie Makes Three," #2F10, Aired January 22, 1995.
7. "Make Room For Lisa," #AABF12, Aired February 28, 1999.
8. Test 16.
10. Ibid., 16-17.
9. Ibid., 18-19.
11. Kercher, 1-2.
13. "The Story on Page One."
12. Test, Satire: Spirit and Art, 48.
14. "8 Simple Rules For Buying My Teenage Daughter."
16. "IGN's Top 25 Family Guy Characters," IGN, May 27, 2009, http://www.ign.com/articles/2009/05/28/igns-top-25-family-guy-characters?page=5. In conjunction with characters' changes, the show has also gotten considerably cruder in comparison to its earlier seasons. Matt Collazo, "Modern Propaganda: How Animated Comedies Can Change Our Opinions," TheArtifice.com, July 10, 2014, http://theartifice.com/animated-comedies-change-our-opinions/.
15. "Let's Go To The Hop."
17. "Model Misbehavior," #4ACX13, Aired July 24, 2005; "German Guy," #8ACX14, Aired February 20, 2011; "Halloween on Spooner Street," #8ACX06, Aired November 7, 2010; "Stuck Together, Torn Apart," #3ACX10, Aired January 31, 2002; "Petergeist," #4ACX29, Aired May 7, 2006; "Big Man On Hippocampus," #7ACX09, Aired January 3, 2010; "PTV."
19. "Untitled Griffin Family History," #4ACX30, May 14, 2006; "Model Misbehavior;" "Not All Dogs Go To Heaven," #6ACX17, Aired March 29, 2009; "Don't Make Me Over," #4ACX03, Aired June 5, 2005; "Jerome Is The New Black," #7ACX08, Aired November 22, 2009.
18. Whitey McRosenski, "Shut up, Meg," Urban Dictionary, updated September 17, 2010, http://www.urbandictionary.com/define.php?term=Shut+up%2C+Meg. Urban Dictionary's definition: "Taken from the hit sitcom Family Guy, this phrase can be said to anybody who either kills a joke, makes an uncalled for comment, or otherwise just needs to be ridiculed spontaneously." The last reason reflects the treatment of Meg most accurately.
20. Actress Lacey Chabert voiced Meg—uncredited—during the first season of Family Guy.
22. "Breaking Out Is Hard To Do," #4ACX12, Aired July 17, 2005; "Let's Go To The Hop;" Don't Make Me Over."
21. Kris De Leon, "Mila Kunis Talks About Working on Family Guy and Her Upcoming Movie," Buddy TV, September 3, 2009, http://www.buddytv.com/articles/family-guy/milaskunis-talks-about-workin-11435.aspx.
23. Even though, technically, Meg is the oldest child in the Griffin family.
25. "Road To Rupert," #5ACX04, Aired January 28, 2007.
24. "Hell Comes To Quahog," #4ACX33, Aired September 24, 2006.
26. "Peter's Daughter," #5ACX21, Aired November 25, 2007.
27. Test, Satire: Spirit and Art, 114.
5 Conclusion
1. Kellner, "TV," 489 (see chap. 1, n. 12).
2. Ortved, Simpsons Confidential, 258 (see chap. 4, n. 6).
3. Ogdon, "Why Teach Popular Culture," 500-515; Beach and O'Brien, "Teaching Popular Culture Texts," 775-804 (see chap. 1, n. 27).
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Annual Audit Letter
Armagh City, Banbridge and Craigavon Borough Council 2016-17
Belfast
Armagh City, Banbridge and
Craigavon Borough Council
Louise Mason
Contents
Audit of Financial Statements
* The 2016-17 financial statements were certified without qualification as outlined in my audit report.
Work on economy, efficiency and effectiveness
Governance
Other areas of audit interest
Outlook
* The Council has in place proper arrangements to secure economy, efficiency and effectiveness in the use of its resources.
* The governance statement reflects compliance with relevant guidance standards.
* The Whole of Government Accounts annual return has been submitted for HM Treasury's consolidation process.
* The latest National Fraud Initiative exercise, using 2016-17 data, was commissioned in January 2017.
* The audit work was completed within the estimated fee quoted.
* The Local Government Auditor's Report for 2017 was published in July 2017.
* Performance improvement work and my associated audit responsibilities continue to be phased in.
* Update on the transfer of services.
* Impact of Local government reform.
* Community Planning for Councils.
* Telling the Story in next year's accounts.
Introduction
1. The results of my statutory responsibilities for the audit of the Statement of Accounts and my work on proper arrangements in 2016-17 are summarised in this report. The legislative role for the Local Government Auditor is contained in the Local Government (Northern Ireland) Order 2005 and the Local Government (Northern Ireland) Act 2014. In addition, the Code of Audit Practice, published in March 2016, prescribes the ways in which statutory audit functions are to be carried out. The Code of Audit Practice is supported further by a Statement of Responsibilities of Local Government Auditors and Local Government Bodies. Both of these documents are published on the NIAO website.
2. Management have specific responsibilities regarding the production of financial statements and are expected to have effective governance arrangements in place to deliver the Council's corporate objectives. The publication of the financial statements is an essential means to account for the stewardship and use of public money each year.
3. As external auditor, it is my responsibility to form an opinion on whether:
* the financial statements give a true and fair view of the financial position of the Council and its expenditure and income for the year;
* the financial statements have been prepared properly in accordance with the relevant accounting and reporting framework as set out in legislation, applicable accounting standards or other directions;
* other information published together with the audited financial statements is consistent with the financial statements; and
* the part of the remuneration report to be audited has been properly prepared in accordance with the Department for Communities' directions.
4. There is a range of various other matters which can be reported by exception and they are outlined in the Code of Audit Practice. One of these items relates to the information published with the audited financial statements, such as the governance statement. I report if the governance statement is not consistent with the information gathered during the audit including that gained from carrying out work on the Council's arrangements for securing economy, efficiency and effectiveness of resources, and our work on performance improvement.
5. This report is solely based upon those matters that have come to my attention as a result of normal audit procedures. Consequently, our comments should not be regarded as a comprehensive record of all deficiencies that may exist or all improvements that could be made.
Audit of Financial Statements
Statement of Accounts
1. The accounts should be prepared in accordance with International Financial Accounting Standards as interpreted for Local Government in the, `Code of Practice on Local Authority Accounting in the United Kingdom'.
2. The financial statements were signed by the Chief Financial Officer and submitted for audit before the statutory deadline of 30 June 2017. Following the audit, the Statement of Accounts were approved by the Council and certified by me within the statutory deadline of 30 September 2017. The Statement of Accounts is published on the Council's website.
3. On conclusion of the audit, the 2005 Order requires me to issue a certificate stating that the audit is complete and to give an opinion on the Statement of the Accounts. The audit certificate and opinion are contained within the Statement of Accounts.
Audit Opinion
4. For the year ended 31 March 2017, I gave the following unqualified opinion on the financial statements.
In my opinion:
* the financial statements give a true and fair view, in accordance with relevant legal and statutory requirements and the Code of Practice on Local Authority Accounting in the United Kingdom 2016-17 , of the financial position of the Council as at 31 March 2017, and its income and expenditure for the year then ended; and
* the financial statements give a true and fair view, in accordance with relevant legal and statutory requirements and the Code of Practice on Local Authority Accounting in the United Kingdom 2016-17 , of the financial position of the Council as at 31 March 2017, and its income and expenditure for the year then ended; and
5. At the end of the audit I issue a Report to those charged with Governance, addressed to the Chief Executive of Council, on the results of the audit, noting the most significant issues, making recommendations and seeking comments. That report is presented separately to the Performance & Audit Committee.
Work on economy, efficiency and effectiveness
Proper Arrangements
1. The Local Government (Northern Ireland) Order 2005 requires me to be satisfied that the Council has in place proper arrangements for securing economy, efficiency and effectiveness in the use of its resources.
2. Councils are required to maintain an effective system of internal control that supports the achievement of their policies, aims and objectives, while safeguarding and securing value for money from the public funds and other resources at their disposal.
3. My review of the Council's arrangements for securing value for money covered a wide range of areas including:
* Strategic priorities, financial strategies and policies;
* Financial reporting systems and sound financial internal controls;
* Procurement strategies and policies to deliver sustainable outcomes and value for money;
* Promoting a good governance environment including managing risks and systems of internal control;
* Asset management strategies and policies to safe guard assets, deliver objectives and generate value for money; and
* A framework in place to manage the work force to effectively support the achievement of strategic priorities.
4. On the basis of my review this year, I am satisfied the Council has in place proper arrangements to secure economy, efficiency and effectiveness in the use of its resources.
Governance
Key Principles
1. The "Delivering Good Governance in Local Government: Framework," issued by CIPFA has been updated and came into effect for the 2016-17 financial year. Whilst the new Framework is similar in content to the 2007 edition there is a shift in emphasis. As a result there are now seven key principles, as follows:
* Behaving with integrity, demonstrating strong commitment to ethical values, and respecting the rule of law;
* Ensuring openness and comprehensive stakeholder engagement;
* Defining outcomes in terms of sustainable economic, social and environmental benefits;
* Determining the interventions necessary to optimise the achievement of the intended outcomes;
* Developing the entity's capacity, including the capacity of its leadership and the individuals within it;
* Managing risks and performance through robust internal control and strong public financial management; and
* Implementing good practices in transparency, reporting and audit to deliver effective accountability .
Annual Governance Statement
2. The Local Government (Accounts and Audit) Regulations (Northern Ireland) 2015 requires the Council to conduct a review, at least once in a financial year, of the effectiveness of its governance framework (including its system of internal control) and to then approve an Annual Governance Statement.
3. I am required to report if the Annual Governance Statement
* does not reflect compliance with the Code of Practice on Local Authority Accounting in the United Kingdom 2016-17;
* does not comply with proper practices specified by the Department for Communities; or
* is misleading or inconsistent with other information I am aware of from my audit.
4. My review did not highlight any inconsistencies.
Internal Audit
5. The 2015 Regulations also require councils to undertake an adequate and effective internal audit of its accounting records and of its system of risk management, internal control and governance processes using current internal auditing standards. The Council has an in-house Internal Audit function that conducted a review on the effectiveness of the systems of internal controls in place during 2016-17. The findings of this work were presented to the Council's Performance & Audit Committee for review and considered by me as part of the audit process.
Audit Committee
6. It is essential that Members exercise effective scrutiny of the internal control processes and procedures in place within the Council. One way that Members carry out this function is through the Performance & Audit Committee.
7. The Performance & Audit Committee is also invited to review my audit reports and my staff attend meetings to present audit findings.
Other areas of audit interest
WGA
1. Whole of Government Accounts (WGA) are consolidated financial statements for the whole of the UK public sector. The National Audit Office audits these accounts and sets the overall audit approach. As such the Council is within the band of organisations in 2016-17 where additional audit procedures were not required.
2. The Whole of Government Accounts annual return has been submitted for HM Treasury's consolidation process.
NFI
3. The Council participates in the National Fraud Initiative, a UK wide data matching exercise undertaken every two years that is designed to highlight savings for the public sector as a whole.
4. NFI data matches for the 2016-17 exercise were issued to the Council on 31st January 2017. The Council has until March 2018 to complete its NFI investigation work.
5. The latest report, based upon 2014-15 data, was published in July 2016 and is available on the NIAO website. The next report is due to be published in 2018.
Absenteeism
6. For the twelve months to the end of March 2017, the average number of day's sick absence in the Council was 13.07 days per full time employee as compared to 14.16 days in 201516. The Council has told me that the decrease of 1.09 days has been because it has been closely monitoring the sickness absence since April 2015 with monthly meetings to review individual cases. A new occupational health provider has been appointed in order to assist with absenteeism.
Audit Fee
7. The estimated audit fee is disclosed in note 4 of the financial statements. The final audit cost is in line with the estimate.
Local Government Auditor's Report - 2017
8. The annual Local Government Auditor's Report was published in July 2017 and is available on the NIAO website. The report summarises my perspective on financial audits and performance improvement work in the financial year to 31 March 2017.
9. The Report highlights areas of strength and areas for improvement within local councils. It also considers important issues that may affect council's in the medium term. The Council and its members should consider this report in the context of its own activities for any improvements that could be made.
Improvement audit and assessment
10. Under the Local Government (Northern Ireland) Act 2014 the Council has a statutory duty to make arrangements to secure continuous improvement in the exercise of its functions and to set improvement objectives for each financial year.
11. The 2016-17 financial year was the second year of a three year phased introduction of the performance improvement framework with limited requirements for Councils which in turn limited the scope of my audit and assessment. I completed and issued my Audit and Assessment Report 2016-17 which included my audit certification and opinion to the Council (and the Department for Communities) on 30 November 2016. A summary of this report was published in my Annual Improvement Report which is published on the NIAO website.
12. From 2017-18, the Council is required to publish a self-assessment of its prior year performance, to include where practicable, a comparison of its performance with that in previous years and with other councils. The programme of audit work for 2017-18 is underway and I plan to issue my findings to the Chief Executive and the Department for Communities by 30 November and publish in my Annual Improvement Report thereafter.
Outlook
Transfer of Services
1. The Minister for Communities announced in November 2016 that urban regeneration and community development powers would no longer transfer to local government as planned. Instead the draft Programme for Government 2016-2021 sets out a vision for central and local government working together within the respective legislative remits to create more vibrant places with employment opportunities and better housing, addressing poverty and improving the quality of people's lives.
Impact of Local Government Reform
2. The Council continues to adapt to changes following Local Government Reforms, such as alterations to staff structures, voluntary exit schemes for staff, assimilating systems for new services and generally seeking to generate efficiencies.
3. There is consideration being given to the potential to centralise some of the functions in Local Government. Central government in Northern Ireland has implemented such arrangements in relation to services for payroll, transaction processing, procurement, accommodation, ICT and internal audit.
Community Planning
4. This is a new responsibility for councils where community planning is now designed alongside the Council's long term corporate plans to improve the lives and wellbeing of residents throughout the council's area. It involves working with a wide range of partners including the community and voluntary sector, education, health, Police Service of Northern Ireland and Tourism Northern Ireland.
5. The Local Government Act (Northern Ireland) 2014 requires the council to publish a statement on outcomes achieved and actions taken within two years of the plan being published. In addition, the Council and its partners must carry out a review of the plan before its fourth anniversary.
6. Although an audit of community plans is not required, I assess and report on whether the Council's improvement objectives have links to its community planning, as part of the improvement audit and assessment as outlined above.
Telling the Story
7. Councils will have to prepare the 2017-18 Statement of Accounts in line with the new, "Telling the Story" format. This will involve re-analysing the 2016-17 presentation to match the new format.
8. The change in presentation is aimed at assisting the users' understanding of the accounts and to potentially facilitate better decision making. A key aspect of the format is to record income and expenditure in line with the management accounts classifications.
And Finally…..
9. I would like to thank the Council for its continued co-operation during the audit. I and my staff look forward to working with the Council during the year in preparation for next year's audit and specifically in relation to the new presentation for the Statement of Accounts.
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ELECTROSTATIC FIELD ANALYSIS IN DIELECTRIC BODY WITH CAVITY
Mirjana T. PERIĆ 1 , Bojana Z. NIKOLIĆ 2 and Zlata Ž. CVETKOVIĆ 3
Abstract: A calculation of electrostatic field strength in a cylindrical dielectric body with arbitrary positioned and dimensioned cavity is presented in this paper. An influence of several parameters to the electrostatic field strength in the cavity is considered. The cross-section of dielectric body has a circular shape. The whole system is in the homogeneous transverse electrostatic field. These results, obtained by Charge simulation method, will be compared to the results obtained by most commonly used software in Electromagnetic.
Keywords: Electrostatic field, Charge simulation method, Boundary conditions, Penetrated electrostatic field.
INTRODUCTION
One of the mostly used methods for numerical electrostatic problems solving is Charge simulation method (CSM). Basic idea of the method is replacing the existing electrodes by fictitious charges (FCs), chosen in certain order and placed inside the electrodes volumes. The unknown intensities of FCs are determined to satisfy boundary conditions on the electrodes surfaces. In that way, system of linear equations with FCs as unknown values is formed. After solving this system, the unknown FCs can be determined. Using standard electrostatic formulas the potential and the electric field strength can be calculated. The correct choice of the type and the form of FCs is very important, especially with the respect to the realized accuracy and convergence with the number of FCs.
The problem of potential determination in dielectric bodies with cavities is considered also before at previous conferences [1, 3], international seminar [4], in magazine [2] and thesis [5]. Part of the results shown in this paper had been obtained at Technical University of Ilmenau, Germany [6]. y
cavity is considered, Fig. 1. The dielectric body has a circular cross-section. The whole system is placed in the homogeneous transverse electrostatic field, . x E ˆ 0 0 E =
APPLICATION OF THE METHOD
In this particular case, the system is plan-parallel, so the line charges with constant density per unit length are used as FCs. The whole system is divided in three FCs systems.
The first FCs system is presented in Fig. 2. For determination of electrostatic field strength outside the dielectric body FCs are placed inside the body [2]. The FCs are placed at the cylindrical surface of radius , where 1 N a f 1
f 1
1
<.
Components of the electrostatic field vector outside the body are:
where j q 1 ′ ( 1 ..., ,1 N j = ) is unknown line charge placed at the cylindrical surface and ( , ) is its position. j x 1 j y 1
The second system (for determination of electrostatic field strength inside the dielectric body) is shown in Fig. 3. The FCs are placed at the cylindrical surfaces of radii and , where and . With and the number of line charges in this system is denoted. a f 2 b f 3 1 2 > f 1 0 3 < < f 2 N 3 N
In this paper the calculation of electrostatic field strength in a cylindrical dielectric body with eccentric circular
Components of the electrostatic field vector in this system are:
1 University of Niš, Faculty of Electronic Engineering, Aleksandra Medvedeva 14, 18000 Nis, Serbia, E-mail: email@example.com
3 University of Niš, Faculty of Electronic Engineering, Aleksandra Medvedeva 14, 18000 Nis, Serbia, E-mail: firstname.lastname@example.org
2 University of Niš, Faculty of Electronic Engineering, Aleksandra Medvedeva 14, 18000 Nis, Serbia, E-mail: email@example.com
Input data are:
Distributions of and electrostatic field vector components in the cavity along the x E y E x -axis are presented in Fig. 5 and Fig. 6.
E E /
x
0
Fig. 5 - Distribution of electrostatic field component x E in the cavity along the x -axis
where ( ) and ( ) are unknown line charges placed at the cylindrical surfaces and ( , ) and ( , ) are their positions. j q 2 ′ 2 ..., ,1 N j = j q 3 ′ 3 ..., ,1 N k = j x 2 j y 2 k x 3 k y 3
For determination of electrostatic field strength inside the cavity, FCs are placed inside the body, Fig. 4. The FCs are placed at the cylindrical surface of radius , where b f 4
f. The number of line charges in this system is.
1
4
>
4
N
ε
Fig. 4 - Third system of FCs
Components of the electrostatic field vector are:
where ( ) is unknown line charge placed at the cylindrical surface and ( , ) is its position. j q 4 ′ 4 ..., ,1 N j = j x 4 j y 4
NUMERICAL RESULTS
The dielectric body with circular cross-section and eccentric circular cavity is placed in transverse external electrostatic field, . The electric field strength is E x E ˆ 0 0 E = 0 = 100 V/m.
From these figures it can be seen that the electrostatic field vector is homogeneous in the cavity. component is almost constant and the value of component is negligible. x E y E
In Table I a convergence of electrostatic field strength results for different number of FCs, , is shown. The values are given in two characteristic points: centre of the body (0, 0) and centre of the cavity (0.45, 0). e N
Table I
Electrostatic field strength, , in point for different number of fictitious charges 0 / E E ) / , / M( a y a x
From this table a very good convergence of the results can be noticed. But, if the system of linear 150 e > N
equations becomes ill conditioned, because the FCs are very close to each other, so the problem of division by zero appears. When , the results converge to 4 decimals. 120 e = N
An influence of parameter a c on the electrostatic field strength in the centre of the cavity is shown in Fig. 7 [5].
Input data are:
,
c/a
Increasing the value of eccentricity, a c , better penetration of external electrostatic field, , are obtained. 0 / E E
In Fig. 8 a dependence of the electrostatic field strength in the cavity for different values of relative permittivity, , is shown. r ε
x/a
Fig. 8 - Electrostatic field distribution in the cavity for different values of relative permittivity r ε
Also, a change of electrostatic field strength for different values of parameter in two characteristic points is given in Table II. Input data are: r ε,
An influence of parameter a b on the electrostatic field strength was investigated in two characteristic points: centre of the body and centre of the cavity. These results are shown in Table III for 0.0 = a c and in Table IV for 45 .0 = a c .
Table II Electrostatic field strength for different values of parameter r ε in two characteristic points
Input data are:
Table III
Electrostatic field strength for 0.0 = a c and different values of parameter a b
Table IV
Electrostatic field strength for 45 .0 = a c and different values of parameter a b
From these tables it can be noticed that when parameter a b increases, the electrostatic field strength increases, too.
Figs. 9-12 show the boundary condition satisfying for tangential components of electrostatic field strength at the separating surfaces: air - dielectric body and dielectric body – cavity. In ideal case these components should be equal.
E
-/ E E
Fig. 10 - Change of tangential component of electrostatic field at the separating surface air - dielectric body for
f 8.0
1
= ,
4.1
2
= f,
,
6.0
3
= f
2.1
4
= f
and different number of fictitious charges
A good satisfaction of boundary condition is accomplished with increase of FCs number. However, better satisfaction of boundary condition is obtained when FCs are a little further from separating surface (Fig. 10 and Fig.
12). In that case the obtained accuracy has the order 10 -6 10 -9 .
In Fig. 13, the results obtained by the CSM are compared to the results obtained by software for electrostatics problems solving (FEMLAB [7], femm [8] and QuickField [9]).
FEMLAB and femm software gave better results agreement than QuickField software. On the other hand, QuickField demands shorter time for these calculations.
CONCLUSION
In this paper, an application of CSM for calculation of electrostatic field strength inside the circular cavity of the cylindrical dielectric body is considered. The system is placed in the homogeneous transverse electrostatic field.
Theoretically, the precision of the solution depends on the number and position of FCs, i.e. a higher precision can be realized by increasing the number of FCs. However, if they are very close or too far from the cylindrical surface, the obtained error is higher.
A good satisfaction of boundary condition is accomplished with increase of number of FCs. Also, when the FCs are a little further from separating surface, better satisfaction of boundary condition is obtained.
Results, obtained by the CSM are compared to the results obtained by most commonly used software in Electromagnetic (QuickField, femm and FEMLAB). Certain disagreement with the CSM results is product of limited number of the nodes of Student's QuickField (max. 200 nodes).
It can be noticed a very good agreement CSM results with the results obtained by femm and FEMLAB software. FEMLAB, femm and QuickField software use Finite element method.
REFERENCES
[1] M. T. Perić: "Dielectric arbitrary shaped cylinder with arbitrary shaped and positioned cavity in homogeneous transverse electrical field", 6 th International Conference on Applied Electromagnetics ПEC 2003, 01-03 June 2003, Niš, Serbia and Montenegro, pp. 209-212.
[2] M. T. Perić: "Dielectric body with arbitrary shaped and positioned cavity in homogeneous transversal electric field", Serbian Journal of Electrical Engineering, Technical faculty of Čačak, Serbia and Montenegro, Volume 1, No. 2, June 2004, pp. 175-186.
[3] S. R. Aleksić, Z. Ž. Cvetković, M. T. Perić, B. Z. Nikolić: "Electric field strength and potential determination in dielectric body with cavity", 11 th International Conference on Electrical Machines, Drives and Power Systems ELMA 2005,15-16 September 2005, Sofia, Bulgaria, Volume 2, pp. 361-366.
[4] B. Z. Nikolić, M. T. Perić: "Electrostatic field analysis using FEMM 4.0", International PhD-Seminar "Numerical Field Computation and Optimization in Electrical Engineering", 20-25 September 2005, Ohrid, Macedonia, pp. 159-163.
[5] M. T. Perić: "Penetration of electric field into hollow bodies", Master thesis, Faculty of Electronic Engineering, Niš, February 2006.
[6] B. Z. Nikolić: "Calculation of the electric field strength and the potential in the arbitrary shaped cavity of the dielectric body", research during study staying on TU Ilmenau, Germany, 2004.
[7] FEMLAB, Version 22.214.171.124, http://www.femlab.com
[8] femm 4.0 ("Finite Element Method Magnetics"), David Meeker, 2003,http://femm.berlios.de
[9] Student's QuickField 5.2T, Version 126.96.36.199, Tera Analysis, http://quickfield.com
Bojana Z. Nikolić was born in 1982 in Niš, Serbia. After finishing high school "Bora Stanković" Niš in 2001, she enrolled at the Faculty of Electronic Engineering, University of Niš. Her major of study is Telecommunications.
In the period from October 15, 2004 to December 15, 2004, she was chosen for a study visit at Technical University in Il- menau, Germany. There she participated in the DAAD project "Academic Reconstruction of South Eastern Europe" and the cooperation between Niš and Ilmenau.
Currently, she is attending 5th year of regular studies with an average grade of 9.5.
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Tuesday, July 31, 2018 6:00PM
Council Chambers, University Hall
We would like to respectfully acknowledge that our University and our Students' Union are located on Treaty 6 Territory. We are grateful to be on Cree, Dene, Saulteaux, Métis, Blackfoot, and Nakota Sioux territory; specifically the ancestral space of the Papaschase Cree. These Nations are our family, friends, faculty, staff, students, and peers. As members of the University of Alberta Students' Union we honour the nation-to-nation treaty relationship. We aspire for our learning, research, teaching, and governance to acknowledge and work towards the decolonization of Indigenous knowledges and traditions.
VOTES AND PROCEEDINGS (SC-2018-06)
2018-06/1 SPEAKERS BUSINESS
2018-06/1a Announcements - The next meeting of the Students' Council will take place on Tuesday, August 21, 2018 at 6:00PM in the Council Chambers.
2018-06/2 PRESENTATIONS
2018-06/2a Presentation Title:
UASU 2018/19 Executive Committee Goals and Mandate
Abstract: UASU 2018/19 Executive Committee goals and mandate.
Presenter(s):
* Reed Larsen - President, Students' Union
* Akanksha Bhatnagar - Vice-President (Academic), Students' Union
* Emma Ripka - Vice-President (Operations & Finance), Students' Union
* Andre Bourgeois - Vice-President (Student Life), Students' Union
* Adam Brown - Vice-President (External), Students' Union
LARSEN MOVES to allow the "2018/19: Executive Goals" Presentation.
See SC-2018.06.11.
2018-06/3 EXECUTIVE COMMITTEE REPORT
Adam BROWN, Vice President (External) - Report. Akanksha BHATNAGAR, Vice President (Academic) - Report. Andre BOURGEOIS, Vice President (Student Life) - Report. Emma RIPKA, Vice President (Operations and Finance) - Report. Reed LARSEN, President - Report.
2018-06/4 BOARD AND COMMITTEE REPORT
Aboriginal Relations and Reconciliation Committee - Report
STUDENTS' COUNCIL
2018-06/7b
Audit Committee - Report. Bylaw Committee - Report. Council Administration Committee - Report. Nominating Committee - Report. Policy Committee - Report. Finance Committee - Report. Executive Committee - Report.
2018-06/5 OPEN FORUM
2018-06/6 QUESTION PERIOD
2018-06/7 BOARD AND COMMITTEE BUSINESS
2018-06/7a
RAITZ MOVED to nominate one (1) member of Students' Council to the Policy Committee.
RAITZ: Established that Policy Committee is working on the renewal of twelve remaining policies. Emphasised passion and accountability as key traits of successful members. Identified the meeting schedule as bi-weekly. Noted that the members are expected to oversee at least one policy, engage with stakeholders, and review and write policy.
BHATNAGAR nominated THIBAUDEAU: accepted. SUNDAY nominated SUNDAY: accepted. THIBAUDEAU nominated LEY: accepted. BILAK nominated STATT: accepted. RAITZ nominated BELCOURT: declined. BHATNAGAR nominated CUTARM: accepted KIM nominated BRIDAROLLI: withdrew. RAITZ nominated HADDOUCHE: declined. RAITZ nominated KIM: declined.
LARSEN/BOURGEOIS MOVEDto recess for fifteen minutes.
CARRIED.
THIBAUDEAU is declared appointed to Policy Committee via secret ballot.
BILAK/PALMER MOVED, on behalf of the Policy Committee, to approve the First Reading of the Non-Partisan Political Policy.
BILAK: Established that Policy Committee authored the Non-Partisan Political Policy to set out rules and practices to govern the impartial conduct of the Students' Union.
BROWN: Noted that he received the draft Policy last year. Identified that he added Fact 4 and consulted Policy Committee on amending Resolution 3. Emphasised
2018-06/7c
that the Policy formalises an existing convention of organisational independence and impartiality.
SUNDAY: Inquired into the manner in which the Policy will affect individual councillors' partisan activity.
LARSEN: Responded that the Policy applies only in circumstances in which a councillor is acting in an official, representative role.
FLAMAN: Noted that the term "primarily" in Resolution 3 allows the Students' Union to advocate on issues not related to political policies. Considered amending "primarily" to "solely".
BROWN: Identified that the term "primarily" provides flexibility for the Students' Union to advocate in relation to issues that emerge unexpectedly and require immediate attention.
LEY: Noted that a future bylaw could fill in any gaps later discovered within the Policy.
CARRIED.
See SC-2018.06.10.
SUNDAY/THIBAUDEAU MOVED, on behalf of the Bylaw Committee, to approve Bill #3: Bylaw 100 Students' Council committee regulations as follows:
1. Bylaw 100 is the premier piece of legislation of Students' Council, housing much of the administrative and operational regulation of the body.
2. In January 2018, Students' Council approved amendments to Bylaw 100 that created four types of committees: legislative committees, oversight committees, ad hoc committees, and operational committees.
a. Prior to these amendments, Bylaw 100 stipulated only one type of committee: Standing Committees
3. As a result of these amendments, legislative committees were housed in Bylaw 100, while oversight, ad hoc, and operational committees were placed in Bylaw 100: Schedule B.
4. The differentiation between legislative committees and oversight committees received wide criticism from students; specifically, Aboriginal students.
5. Bylaw 100 shall be amended to replace legislative committees and oversights committees with Standing Committees.
6. In light of the criticism surrounding the current Students' Council committee structure, as a well as discussions surrounding committee structure at the Aboriginal Relations and Reconciliation Committee, three categories of committees and their creation procedures will be defined:
a. "Standing" committees;
b. "Ad Hoc" committees; and
c. "Operational" committees.
7. Bylaw committee will outline a process for any student at large (SAL) positions on standing committees to be ultimately ratified through Council.
SUNDAY: Established that Bill 3 addresses the controversy surrounding the differentiation of operational, legislative, oversight, and ad-hoc committees in Bylaw 100. Noted that Bill 3 reclassifies the committees as standing, ad-hoc, and operational.
LARSEN: Supported an open and transparent dialogue in advocacy and consultation.
FLAMAN: Identified that §4 and §6 reference criticism over the original change. Inquired into the character of the criticisms and the manner in which Bill 3 addresses them.
SUNDAY: Responded that the differentiation between oversight and legislative committees, in which ARRC was the oversight committee, was made on the basis of possessing delegated authority from Students' Council. Suggested that the differentiation is arbitrary as all committees, including ARRC, have delegated authority. Noted that at least ten Aboriginal students attended the vote of the original change in opposition.
FLAMAN: Expressed concern over repealing the legislation of last year's Council, which followed the democratic process, to accommodate a small subset of students.
KIM: Identified two justifications for the plan to differentiate committees: (1) permitting for students at large to sit on committees and (2) allowing for an easier creation of new committees. Suggested that these justifications require revision as there are other ways to involve students at large and a difficult process of committee creation ensures a high-standard of standing orders.
SUNDAY: Expressed concern over referring to of Aboriginal students as a small subset of students. Suggested that there was neither compromise nor consultation in the latest amendment of Bylaw 100.
2018-06/8b
BILAK: Inquired into how §7 would affect the selection of students at large.
BELCOURT: Suggested that Bill 5, of last year, created an unnecessary power imbalance between oversight and legislative committees. Suggested that Indigenous voices were excluded from the legislative process leading up to the passage of Bill 5.
SUNDAY: Responded that Nominating Committee could serve to select students at large throughout the year. Encouraged councillors to attend ARRC meetings.
PALMER: Inquired into whether Bill 3 affects all students at large or only Aboriginal students.
LARSEN: Responded that items 1-7 are first-principles for an amendment to Bylaw 100.
SUNDAY: Reaffirmed that, notwithstanding this legislation, committees have discretion as to whether they include students at large.
CARRIED
2018-06/8 GENERAL ORDERS
2018-06/8a
BILAK/BOURGEOIS RATIFIED the appointment of Karamveer Lalh to Chief Tribune of the Discipline, Interpretation, and Enforcement Board.
SUNDAY/PALMER MOVED to enter in camera CARRIED.
.
RAITZ/BOURGEOIS MOVED to exit in camera .
CARRIED
LALH: Noted that DIE Board has a procedure which ensures the independence and impartiality of its tribunes. Noted that tribunes will recuse themselves in when conflicts arise.
CARRIED
LARSEN/CUTARM MOVED to ratify the hiring of Nadia Halabi (2017/18 Chief Returning Officer) to a remunerated position in accordance with Bylaw 100.18.7.
LARSEN: Established that Council was delayed in ratifying Halabi's appointment as Chief Returning Officer.
SUNDAY: Suggested that officially appointing Halabi prior to the ratification contravened bylaw.
LARSEN: Noted that the ratification was delayed because the obligation to do so was discovered late. Emphasised that no bylaw has been contravened.
CARRIED
MEETING ADJOURNED AT 8:39PM.
2018-06/9 INFORMATION ITEMS
2018-06/9a President - Report.
See SC-2018.06.01.
2018-06/9b Vice-President, Academic - Report(s).
See SC-2018.06.02 and SC-2018.06.02 (1).
2018-06/9c Vice-President, External - Report.
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2018-06/9d Vice-President, Operations and Finance - Report(s).
See SC-2018.06.04 and See SC-2018.06.04 (1).
2018-06/9e Vice-President, Student-Life - Report.
See SC-2018.06.05.
2018-06/9f Students' Council - Attendance.
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2018-06/9e Students' Council Motion Tracker.
See SC-2018.06.07.
2018-06/9f Executive Committee Motion Tracker
See SC-2018.06.08.
2018-06/9g Students' Council, Votes and Proceedings (SC-2018-05).
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2018-06/9h Non-Partisan Political Policy - First Reading
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2018-06/9i "2018/19: Executive Goals" Presentation
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International Journal of Current Research Vol. 8, Issue, 11, pp.41824-41829, November, 2016
CASE STUDY
GRAD 2 MEDIAL MENISCUS INJURY WITH POSTERIOR HORN CONTUSION
* *Waleed Khaleefa Alshemimary
Physiotherapist at Sa audi Ministry of Health, Riyadh, Kingdom of Sau udi Arabia
ARTICLE INFO ABST
TRACT
Article History:
Received 15
th
August, 2016
Received in revised form
28
th
September, 2016
Accepted 12
th
October, 2016
Published online 30
th
November, 2016
Key words:
Knee injury, Meniscus, Sport Injury Rehabilitation.
Object Contus tive: To discuss treatment plane of Grad 2 Medial Men sion. niscus Injury with Posterior Horn
Design n: Case Study
Main betwee Outcome Measures: The management plan was structur en 3 different weeks. The improvement for each stage was m red into separate stages of progress measured.
Result movem landing was eq runnin sufficie minute limitati test sh anticip improv ts: At the end of the treatment plane the footballer gained ment and he was able to balance on unstable-based devi g developed to the same level of the non-injured leg and th qual to 92% of the non-injured knee. In addition, he was ab g, and his sprints, acceleration and deceleration were al ent control of ball training. Furthermore, he became able to es. However, the strength of the injured leg is 85% of the ion in the movement velocity level comparing to pre-injure howed that there is a minor shortage to the hop distance i pated, as it had been previously stated that the development vements in the strength may develop within weeks d full stability during multi-planned ices. Likewise, his stability during he injured knee valgus angle, which le to complete 30 minutes of fitness ll pain free. Moreover, he showed o work at 80 percent of MHR for 30 non-injured leg and there is minor d level. Similarly, the crossover hop in the injured leg. Indeed, this was of speed could take months and the
Conclu satisfac usion: Focus on the problem list and building a coherent ctory results, which will save the athletes' time to return for t treatment program usually lead to practical phase.
Copyright©2016, Waleed Khaleefa Alshemimary. Thi unrestricted use, distribution, and reproduction in any m is is an open access article distributed under the Creative Comm medium, provided the original work is properly cited. mons Attribution License, which permits
Citation: Waleed Khaleefa Alshemimary, 2016. Research, 8, (11), 41824-41829. "Grad 2 medial meniscus injury with posterior horn contusion n", International Journal of Current
INTRODUCTION
Nature of the injury
The subject of this study is a male 20 y midfield football player, who was suffering injury. During the beginning of the season, i session, he experienced a knee injury competitive contact with another player, wh knee twist (dominant leg, or the preferred when kicking a ball). Consequently, a sudde rotation of the femur was incurred with a par while the foot was firmly positioned. After 2 major complaint of knee swelling and the joint line increased during bothcomplete kn and hyper-flexion. Therefore, the antalgic g with limitation of the active Range of althoughneither knee locking was, nor othe or injuries were reported. Moreove wasnot using any medication.In fact, the play year old defensive g from acute knee in a daily exercise y resulting from hich led to a right leg of the player en, strong, internal rtially flexed knee, 24hoursthere wasa pain inthe medial nee joint extension gait was presented Motion (ROM), er health problems er, the subject yer's attitude was very positive, as he remained heal with good management,t improve. McMurray's test w physiotherapist applied a valgu the other hand rotated the leg e to induce pain that could ind Moreover, a positive reac compression and rotation of the a meniscus injury. Furthermo dynamic clinical examination t Thessaly test at 5° and 20° d uncomfortable for the injured and Drawer Test were negative Imaging (MRI) found Grad 2 injury with posterior horn cont nature and grade of injury, an physician, the footballer and meniscus tear non-operatively. convinced that the injury would together with his dedication to was implemented, where the us stress to the flexed knee whilst externally and extended the knee dicate a torn medial meniscus. ction toApley's test during e knee is most likely to highlight ore, to evaluate the knee by a test, the physiotherapist used the degree knee flexion, which was player. Both the Lachman Test e, although Magnetic Resonance 2 (Transverse) medial meniscus tusion. Consequently, due to the agreement was concurred by the the physiotherapist to treat a
Problem list
*Corresponding author: Waleed Khaleefa Alshem mimary,
Physiotherapist at Saudi Ministry of Health, R Riyadh, Kingdom of
Saudi Arabia.
The injury to the footballer nee any sporting requirement of reh eded to be fully analysed, as with habilitation. It was imperative to
z
I INTERNATIONAL JOURNAL OF CURRENT RESEARCH
understand the potential issues that would arise due to the knee injury and how they would actively affect the full rehabilitation towards subsequent return to practice.
1-Knee pain
The pain localized in the area of the medial knee joint line is often worse during twisting or complete extending motions and hyper-flexion. Hence, the footballer is prevented from remaining active in their normal functions, such as training, comfortable walking, or even driving a car. VAS current pain at rest = 2, whilst driving a car = 3 and when completely extending the knee = 8 and with complete knee flexion = 4.
2-Knee Swelling
The right patella was not completely visible due to some swelling, as measured by Girth Measurement. At the joint line the differences between RT knee and LT knee was 4cm, whilst at 5cm above the joint line it was 2cm. The swelling disappeared at 10cm above the joint line and at 15cm below.
3-Lack of ROM
Full knee flexion and extension led to pain increasearound the medial joint line. The medial knee pain at end of ROM (VAS rises to 4 on full flexion and 8 on full extension). Therefore, the injured knee remained bent, resulting in the tightening of the hamstring and stiffness of joint.
4-Muscle weakness
One of the effective factors on the injured athletes is muscle strength, endurance and power. Muscle weakness may appear during rehabilitation stages because the injured athlete has disability to move his limb by same range and strong that before injury. By using hand-held dynamometry, the therapist found that, the injured player loss around 50% of quad and hamstring muscles strength compared by non-injured leg.
5-Neuromuscular control
Reestablishing neuromuscular control is a necessary concern in the overall process of sporting rehabilitation programs. This is because the central nervous system remains dormant from injury-induced rest and immobilization, which results in muscle and joint mechanoreceptors not functioning as prior to the injury. Hence neuromuscular control is a vital concept in the final stage of returning to sporting activity.
6-Cardiorespiratory fitness
Cardiorespiratory fitness commonly decreases rapidly following a lack of training due to injury.Subsequently, thestructured rehabilitation period must incorporate cardiorespiratory fitness at the earliest possible stage or the final return to sport will result in shock.
Management plan
The management plan was structured into separate stages of progress between 3 different weeks, in order to identify a more precise formulation of measured improvement.
AROM= Active Range of Motion, LE= Lower Extremity, VAS= Visual Analog Scale for Pain, ADL= Activity of Daily Living, EX= Exercises, BESS= Balance Error Scoring
System, FP= Functional Performance, MHR= Maximal Heart Rate.
Justification and critical appraisal of management plan
Early rehabilitation phase 7/7
It is important that the initial process of rehabilitation is formulated immediately following knee meniscus injury, to focus on pain and swelling reduction, with a view to full activity of the affected muscles, by using the following treatment methods:
Restricted Activity (Rest)
A period of up to 2 days rest prior to pain free AROM has been proposed, as the healing process, which begins immediately after injury, is negatively affected when unnecessary strain is applied directly after an incident (Prentice, 2004).
Knee brace locked at 10 degrees of flexion
Prentice (2004) states thatin order to minimize the amount of swelling around the injury, the area must be protected from additional harm. Therefore, a knee brace locked at 10 degrees of flexion was used to protect the injured knee, which prevented full knee extension toprotect healing, andminimization of knee pain.
Ice
Athletes suffering from injuries to the musculoskeletal system generally desire cold treatment as their initial choice (Prentice, 2003). In rehabilitation, colddecreases pain and promotes local vasoconstriction, which actively controls hemorrhages and edemas, as well as reducing the metabolism and oxygen demand in the injured tissue, resulting in hypoxia reduction (Prentice, 2004). Nevertheless, Prentice states thatcold treatmentalso functions for uninjured tissue, as it prevents the spreading to adjacent normal cellular structures, together with the reduction of spastic conditions following pain. Therefore, ice was used as a cold application to reduce the pain and swelling of the knee.
Electrical stimulation
Electrotherapeutic stimulationmay improve muscle reactions, as ithas demonstrated strength improvementafter inhibition, together with as lowering edema (Thornton et al., 1998).
Moreover, Bird et al. (1997) recommend using electrical stimulation to relieve musculoskeletal pain.
Pain free AROM
Following the period of rest the player will asked to start doing pain free AROM to maintain the available range and prevent any more loss of knee motion. The therapist focused on pain free range, asthe pain indicatesan excessive load that is detrimental to therepair or remodel of the tissue (Prentice, 2004).
Isometric muscles setting
Isometric exercises are commonly performed in the early phase of rehabilitation asthe immobilization of a joint reduces strength and endurance, because they aid the function of resistance training through a full ROM that might otherwise prove harmful; additionally, isometric improves static strength and assists in helping muscle tissue improvement, as well asinducing swelling reductionthrough removing fluid and edema in the affected area (Prentice, 2004).
Cardiorespiratory endurance training
Through various different techniques, an injured athlete, due to a lack of training, is required to improve upontheir decreased cardiorespiratory fitness at the earliest opportunity (Magnusson et al., 1995). Cardiorespiratory endurance provides the base in rehabilitation to regain pre-injury levels of fitness, which makes it vital for the therapist to implement alternative activities (Prentice, 2004). Hence, the therapist applied alternative activities, such as cycling or swimming, whilst avoiding full ROM of the injured knee by focusing on pain free movement. This was based on MHR in order to develop the cardiorespiratory endurance of the athlete. Nevertheless, the athlete is required to exercise for a continuous 20 minutes (Swain and Leutholtz, 2002), with a required heart rate to a minimum of 60 percent of their MHR (Astrand and Rodahl, 1986; Koyanagi et al., 1993) in order to assess the minimal development in cardiorespiratory endurance. Likewise, the American College of Sport Medicine (2001) has advised athletes when training in a continuous fashion of 20-60 minutes to perform 60-90% of their MHR in order to develop cardiorespiratory endurance.Indeed, a sustained heart rate of 85 percent is easily maintained by a trained athlete (Swain and Franklin, 2002). Furthermore, Prentice (2004) has
demonstrated that a training period of 45 minutes should be the minimum for a competitive athlete.
Environmental modification
Dealing with possible activities throughenvironmental modificationto maintain the positive attitude of the injured footballer is an essential part of treatment. The therapist made walking easer by using the knee brace and advising the player to move his car seat slightly forward in order to be more comfortable through not extending the leg or a need for a brace.
The reflective of early rehabilitation phase
Therapeutic techniques reduced swelling to become less than 2cm in the joint line, instead of 4cm, which disappeared above the knee joint, while the pain was mostly relieved in all directions,except for the full extension wherethe pain was around 2 (VAS), which might have been caused by new healing tissue. In addition, the athlete became able to work at 60 percent of MHR for 20 minutes. Moreover, the footballer avoided muscle atrophy by isometric exercises as muscle strength became 60% of the non-injured leg, which enabled the next step of rehabilitation.
Medium rehabilitation phase 2/52
Rehabilitation through this stage maintainsthe gainsfrom the earlier stage and completes the progression ofrehabilitation. The therapist used the cold therapy until swelling and pain was eradicated. Furthermore, ROM and flexibilitythat are usually affected after knee injuries are focused upon. Additionally, muscle actions (both concentric and eccentric) were implementedtogether with isotonic exercises, as the therapist used static proprioceptive to improve the performance and biomechanical stability of the player.
Progression ROM programme
An athlete, through the rehabilitation progress, must develop pain-free active ROM in the frontal, saggital and transverse parts of the joint in order to enableperformancefor all the necessary movements of the sport, as well as toactively contract the affected muscle with the antagonist muscles (Liebenson 2006). Therefore, the therapist applied a progression ROM program to regain full pain free AROM.
Stretching techniques (flexibility)
Through the use of a flexibility programme, stretchingmust be avoided during the initial 72 hours post-injury, although for more severe injuries this duration can be 7–10 days (Neidlinger-Wilke et al., 2002). Similarly, Comfort and Abrahamson (2010) state that joint flexibility may develop againafter a few days. Therefore, the therapist applied a flexibility programme in this stage of treatment in order to optimize ROM at the joint.
Progressive resistive exercises and loading
An athlete must provide a force capable of initiating muscle actions (both concentric and eccentric) during isotonic exercises, whilst handling a permanent external load. Hence, rehabilitation can utilize various forms of isotonic exercises, whichmay include dumbbells, weights, and resistance bands
(Beam, 2002). Therefore, based on the early rehabilitation phase, which showed pain and swelling minimization, the footballer became ready to start his isotonic exercises.
Proximal muscles training
The correlation between the trunk lateral flexor and gluteal muscles' weakness and excessive knee valgus has been proven (Willson et al., 2006). Moreover, the connection between excessive knee valgus and a variety of knee injuries was also documented (Hewett et al., 1999). Therefore, the plan of treatment should include strength training for the trunk lateral flexor and gluteal muscles, whichdecrease and control theknee valgus angle (Comfort and Abrahamson, 2010).
Static proprioceptive
Neuromuscular control training has been shown to improve performance and biomechanical stability, which actively decreases injury risk (Myer et al., 2005). Comfort and Abrahamson (2010) state that during isotonic exercises, which are initiated by the development of neuromuscular control, the athlete requires slow movements which permitimproved neural responses to the functioning muscles. Moreover, before an athlete can progress to a more dynamic proprioceptive training programme, theyare required to focus on their posture, alongside modifying static proprioceptive training (Liebenson, 2006). Therefore, the therapist began with exercises that promoted a stable base with static proprioceptive development, while increasing minimal movement.
The reflective of medium rehabilitation phase
At the end of this stage of treatment, the pain was relived, while the swelling became less than 1cm. Moreover, the full pain free AROM and flexibility was achieved. However, the strengthening measurement showed that the muscles' strength had become 75% of the non-injured leg. In addition, the player became able to work at 70 percent of MHR for 30 minutes. Moreover, the footballer maintained posture control, whileperforming various modifications to static proprioceptive training.
Final rehabilitation phase 3/52
Rehabilitation at this stage tends to improve the balance and coordination by employed dynamic proprioceptive training and progressive stability-balance exercises. Moreover, the therapist implemented plyometric training to develop the capabilityfor dynamic movement through muscular power, which also enhanced the footballer's functional performance.
Dynamic proprioceptive exercises
In order to improve the muscle capability and motion of the injured joint, as well as stabilize the body through various directional movement, dynamic proprioceptive exercises can be performed (Myer et al., 2006; Stracciolini et al., 2007; Pasanen et al., 2008; Subasi et al., 2008). The progress through the dynamic neuromuscular control exercises must be monitored, and the intensity and frequency adjustedto any new required level, in order to increase overall development. Hence, theadaptive changes that occur within the neuromuscular system can lead to improved running exercise balance and leg coordination, as well as an increased ability to
perform plyometric based exercises (Cameron et al. 2007). Therefore, the therapist prepared neuromuscular exercises to progress the footballer's rehabilitation through to dynamic plyometric training.
Balance and perturbation training
The athletemust receive encouragementto maintain maximumalignment of the pelvis-hip-knee-ankle whilst performing balance training on unstable apparatus, such asrocker-boards (Comfort and Abrahamson, 2010). In fact, to deliberately unbalance the injured athlete the therapist can tap or knock the apparatus as well as unsettle the rhythm of the athlete by pushing and pulling, through perturbation training. Nevertheless, this form of exercise does not incorporate impact forces, so it isnecessary to comprehend this methodprior toincluding exercisedrills of extensive impact (e.g. plyometric).
Progressive plyometric training
A type of resistance training which incorporates exercises of high-velocity through quick eccentric (lengthened) followed by rapid concentric (shortened) muscle contractions are known as plyometric training, which is achieved through a process referred to as the stretch-shortening cycle (SSC) (Shiner et al., 2005). Through the process of motor-unit recruitment improvement, as well as sensitivity and development of the neuromuscular system, power production is enhanced, which ultimately increasesthe efficiency of neuromuscular control (Newberry and Bishop 2006). Furthermore, plyometric activities advance on the tendons, muscles and fascia development, together with the improved motor recruitment that is caused by the stretch reflex. Therefore, progressive plyometric training was utilized by the therapist in order toenablethe progress in the speed of movement.
Progression agility and FP programme
Rehabilitation with sporting injuries helps athletes to redevelop their abilities to be able to cope with the specific demands that their sport entails, which is developed through a process of defined exercises for challenging progression. Moreover, the therapist should use the activities that comprise the patient's sport and study the individual intricacies involved within them, as to emphasise more focus on predesigned individual parts of the game prior to a full combination through an uncontrolled scenario to simulate full competition (Prentice, 2004). Hence, the therapist included more complex and unpredictable exercises, which had higher velocity and load, in order to enhance better sporting performance. Furthermore, the therapist focused on specific football tasks, such as: running for fitness, sprints, acceleration and deceleration runs, shuffle slides progressing to shuffle run, carioca and ball work (i.e. turn/stop the pass; turn/mark opponent; mark/steal/; two-touch and shoot; one-touch and shoot; passing, etc).
The reflective of final rehabilitation phase
At the end of this stage, the footballer gained full stability during multi-planned movement and he was able to balance on unstable-based devices. Likewise, his stability during landing developed tothe same level of the non-injured leg and the injured knee valgus angle, which was equal to 92% of the noninjured knee. In addition, he was able to complete 30 minutes of fitness running, and his sprints, acceleration and deceleration were all pain free. Moreover, he showed sufficient control of ball training. Furthermore, hebecame able to work at 80 percent of MHR for 30 minutes. However, the strength of the injured leg is 85% of the non-injured leg and there is minor limitation in the movement velocity level comparing to preinjured level. Similarly, the crossover hop test showed that thereis a minor shortage to the hop distance in the injured leg.Indeed, this was anticipated, asit had been previouslystated thatthe development of speed could take months and the improvements in the strength may develop within weeks (Comfort and Abrahamson, 2010).
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Bird, S. R., Black, N., and Newton, P. 1997. Sports injuries: causes, diagnosis, treatment and prevention. Nelson Thornes.
Cameron, M.L., Adams, R.D., Maher, C.G. and Misson, D. 2007. Effect of the Hamsprint Drills training program on lower limb neuromuscular control in Australian football players. Journal of Science and Medicine inSport, 12, pp. 24–30.
Comfort, P. and Abrahamson, E. (Eds.). 2010. Sports rehabilitation and injury prevention. John Wiley & Sons.
Hewett, T, Lindenfeld, T, Riccobene, J, and Noyes, F. 1999. The effect of neuromuscular training on the incidence of knee injury in female athletes. A prospective study. Am J Sports Med., 27, pp. 699–706.
Koyanagi, A., Yamamoto, K., Nishijima, K., Kurahara, K., Kuroki, Y. and Koyama, W. 1993. Recommendation for an exercise prescription to prevent coronary heart disease. Journal of Medical Systems, 17(3-4), pp. 213-217.
Liebenson, C. 2006. Functional training for performance enhancement - Part 1: The basics. Journal of Bodyworkand Movement Therapies, 10, pp. 154–158.
Magnusson, P. and McHugh, M. 1995. Current concepts on rehabilitation in sports medicine. In The lower extremity and spine in sports medicine, edited by J. Nicholas and E. Hirschman. St. Louis: Mosby.
Myer, G.D., Ford, K.R., McLean, S.G. and Hewett, T.E. 2006. The effects of plyometric vs Dynamic stabilization and balance training on power, balance and landing force in female athletes, American Journal ofSports Medicine, 34 (3), pp. 445–455.
Myer, G.D., Ford, K.R., Palumbo, J.P., and Hewett, T.E. 2005. Nueromuscular training improves performance and lowerextremity biomechanics in female athletes. Journal of Strength and Conditioning,19 (1), pp. 51–60.
Neidlinger-Wilke, C., Grood, E., Claes, L. and Brand, R. 2002. Fibroblast orientation to stretch begins within three hours. Journal Orthopaedic Research, 20, pp. 953–956.
Newberry, L. and Bishop, M.D. 2006. Plyometric and agility training into the regimen of a patient with postsurgical anterior knee pain. Physical Therapy in Sport, 7, pp. 161– 167.
Pasanen, K., Parkkari, J., Pasanen, M., Hilloskorpi, H., Makinen, T., Jarvinen, M. and Kannus, P. 2008.
Neuromuscular training and the risk of leg injuries in female floorball players: Cluster randomised controlled study. British Journal of Sports Medicine, 42 (10), pp. 802–805.
Prentice, W.E. 2003. Therapeutic modalities in sport medicine and athletic training. New York: McGraw-Hill.
Prentice, W.E. 2004. Rehabilitation Techniques for Sports Medicine and Athletic Training. New York:McGraw–Hill.
Shiner, J., Bishop, T. and Cosgarea, A.J. 2005. Integrating low-intensity plyometrics into strength and conditioning programs. Journal of Strength and ConditioningResearch, 27 (2), pp. 10–20.
Stracciolini, A., Meehan, W.P. and d'Hemecourt, P.A. 2007. Sports Rehabilitation of the Injured Athlete:Clinical Pediatric Emergency Medicine. Amsterdam: Elsevier.
balance in healthy young individuals. Journal ofSport Rehabilitation, 17, pp. 186–205.
Swain, D. P.and Franklin, B. A. 2002. VO~ 2 reserve and the minimal intensity for improving cardiorespiratory fitness. Medicine and Science in Sports and Exercise, 34(1), 152157.
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Thornton, R., Mendel, F. and Fish, D. 1998. Effects of electrical stimulation on edema formation in different strains of rats. Physical Therapy, 78, pp. 386–394.
Willson, J., Ireland, M. and Davis, I. 2006. Core Strength and Lower Extremity Alignment During Single–Leg Squats. Medicine and Science in Sports and Exercise, 38, pp. 945– 952.
Subasi, S.S., Gelecek, N. and Aksakoglu, G. 2008. Effects of different warm-up periods on knee proprioception and
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A COMPARISON OF ACTIVITIES OF METABOLIC ENZYMES IN LIZARDS AND RATS
ALBERT I?. BENNETT*
Department of Zoology, The University of Michigan, Ann Arbor, Michigan 48104
(Received 21 December 1971)
Abstract-1. Protein-specific activities of metabolically important enzymes were measured in liver and skeletal muscle homogenates from three species of lizards, Sauromalus hispidus and Dipsosaurzis dorsalis (Iguanidae) and Varanus gouldii (Varanidae), and laboratory rats.
3. The soluble (anaerobic) enzymes had equal activities in the lizards and the rat; however, the mitochondria1 (aerobic) enzymes were approximately onefifth as active in the reptiles.
2. Phosphofructokinase activity was relatively high in the muscle tissue of the iguanid lizards, which rely heavily on anaerobic metabolism during activity. Other enzymes had similar activities in all species of lizards.
4. This differential activity parallels differences in organismal oxygen consumption and is probably due to a lower number of mitochondria in the reptilian tissue. The implications of this differential activity for the evolution of homeothermy are discussed.
INTRODUCTION
ENZYMATIC studies on reptilian tissues have been directed primarily toward the investigation of thermal rate dependence (Hussein, 1960; Licht, 1964, 1967; Abrahamson & Maher, 1967) or heat denaturation (Licht, 1964; Ushakov, 1964; Precht, 1968); the regulation of metabolism in reptiles and differences between species of reptiles at the enzymatic level are almost completely uninvestigated. Furthermore, the enzymatic bases of the very large differential in organismal metabolic rate between reptiles and homeotherms-four- to tenfold (Dawson & Bartholomew, 1956, 1958; Bartholomew & Tucker, 1963; Templeton, 1970)have not been clarified. This study examines the specific activities of metabolically important enzymes in liver and skeletal muscle from lizards and from laboratory rats and attempts to contribute information to both these questions. The lizards investigated, Sauromalus hispidus and Dipsosaurus dorsalis (Iguanidae) and Varanus gouldii (Varanidae), have a differential reliance on anaerobiosis during activity. Vmanus, a large carnivore, maintains high levels of oxygen consumption during activity and does not experience considerable lactic acid production (Bartholomew & Tucker, 1964; Bennett, 1971). In contrast, iguanid lizards investigated (Moberly,
* Present address: Department of Zoology, University of California, Berkeley, California 94720.
1968a, b; Bennett, 1971) rely heavily on anaerobic metabolism. This study was undertaken to determine whether these interspecific differences in oxygen utilization are reflected in the species enzymic complement.
;
Some enzymes examined in this study were selected on the basis of their function in regulating metabolic rate: phosphofructokinase, pyruvate kinase and NAD-linked isocitrate dehydrogenase* (Atkinson, 1966); others were chosen with regard to location within the cell or position within a metabolic pathway: lactic dehydrogenase, succinic dehydrogenase, NADP-linked isocitrate dehydrogenase and cytochrome oxidase. Most of these are considered indicator enzymes for a particular subcellular compartment (see Mahler & Cordes, 1966, Table 9-2): soluble fraction-phosphofructokinase, pyruvate kinase and lactic dehydrogenase mitochondrial fraction-succinic dehydrogenase, NAD-linked isocitrate dehydrogenase and cytochrome oxidase. The enzymes in the soluble fraction are involved in anaerobiosis and lactate production during activity; the mitochondrial enzymes are linked to oxygen as the terminal electron acceptor and, thus, operate aerobically. The locality of NADP-linked isocitrate dehydrogenase is variable between tissues and species (Pette, 1965; Visentin, 1969), and its distribution in reptilian tissue is unknown. Whole tissue homogenates (minus nuclei) of liver and skeletal muscle, the most metabolically interesting tissues, were used to avoid uncertainties in purification and to permit comparisons on the basis of total protein content of the tissue examined.
MATERIALS AND METHODS
Adult lizards were collected in the following localities: Dipsosaurtrs dorsalis, Palm Springs, Riverside Co., California; Sauromalus hispidus, Isla Mejia, Baja California Norte, Mexico; Varanus gouldii, widely scattered localities in the southern half of Western Australia. They were transported to the University of Michigan and maintained in a healthy condition in indoor cages until time of experimentation. Adult laboratory rats (Rattus norvegicus) were used as a representative mammal.
Determination of enzymatic activities was done according to the methods outlined for each enzyme. Concentrations are expressed in the total volume of the final reaction mixture. Doubling of enzyme concentration doubled the reaction rate over the time intervals and the range of substrate concentrations utilized; all reactions were run in duplicate. Sufficient
Animals, fasted at least 2 days, were killed rapidly by decapitation. Samples of liver and skeletal muscle (hind limb) were removed immediately, weighed and iced. All procedures involving the preparation of homogenates were carried out on ice or at 4OC. The tissue samples were suspended in 0-25 M sucrose in the proportion of 4 an3 sucrose solution to 1 g tissue (20 per cent homogenate by weight). The liver samples were homogenized in a smooth glass homogenizer equipped with a loose-fitting Teflon pestle rotated at 600 rev/ min. The skeletal muscle samples were ground in a small-capacity Waring Blendor for 10 sec to break down connective tissue elements. The samples were transferred to a glass homogenizer and treated as above. The samples were centrifuged at 4OC at 120g for 10 min. The nuclear sediment was resuspended and recentrifuged at 120 g for 10 min. The sediments were discarded and the supernatant fluids were used in the enzymatic analyses.
* Abbreviations used in this paper: ADP, adenosine diphosphate; AMP, adenosine-5'monophosphate; ATP, adenosine triphosphate; NAD, diphosphopyridine nucleotide; NADH, reduced diphosphopyridine nucleotide; NADP, triphosphopyridine nucleotide.
time was allowed for the metabolism of endogenous substrates in the homogenate before the reaction was initiated. Determinations were made with a Beckman DB spectrophotometer and recorded on a Sargent recorder. Substrates, cofactors and enzymes were obtained from Sigma Chemical Corporation. All reactions except the cytochrome oxidase assay were run at 23OC. Specific activities are expressed in n-moles of product formed per minlmg protein nitrogen. Each assay was run on two to six animals of each species and the results expressed as the mean values observed.
NAD-linked isocitrate dehydrogenase (E.C. 18.104.22.168) was assayed by a modification of the method of Ernster & Navazio (1957). The reaction mixture contained: phosphate buffer, pH 6.5, 20 mM; MgCl,, 1-7 mM; MnCl,, 0.17 mM; KCN, pH 7-5, 0.50 mM; dichlorophenol indophenol, 0.030 mM; NAD, 0.17 mM; sodium DL-isocitrate, 6.7 mM; and homogenate. The reaction was initiated by the addition of the isocitrate and the decrease in optical density at 600 nm was used to calculate specific activity.
Cytochrome oxidase (E.C. 22.214.171.124) was assayed by the method of Wharton & Tozagoloff (1955). The reaction mixture contained: phosphate buffer, pH 7.0, 11 mM; and reduced ferrocytochrome-c, 0.033%. The reaction mixture was incubated at 38'C for 5 min and the reaction was started by addition of the homogenate. Specific activity was determined from the rate of decrease in optical density at 550 nm.
NADP-linked isocitrate dehydrogenase (E.C. 126.96.36.199) activity was determined according to the method of Kornberg (1955b). The reaction mixture contained: phosphate buffer, pH 7.5, 10 mM; NADP, 0.1 mM; MgCl,, 3.3 mM; Triton X-100, 0.064%; sodium DLisocitrate, 6.7 mM; and homogenate. The reaction was started by the addition of isocitrate and the increase in optical density at 340 nm was measured.
Phosphofructokinase (E.C. 188.8.131.52) activity was determined with a modification of the method of Prichard & Schofield (1968). The reaction mixture contained: imidazole buffer, 21 mM; MgCl,, 5.2 mM; KCl, 209 mM; NADH, 0.050mM; ATP, 1.0 mM; AMP, 2.1 mM; KCN, pH 7.5, 0.31 mM; a-glycerophosphate dehydrogenase, 2.1 Units; glucose6-phosphate, 2.1 mM; and homogenate. The reaction was started by the addition of glucose6-phosphate; the decrease in optical density at 340 nm was used to calculate specific activity.
Lactic dehydrogenase (E.C. 184.108.40.206) was assayed according to the method of Kornberg (1955a). The reaction mixture contained: phosphate buffer, pH 7.4, 33 mM; NADH, 0.067 mM; sodium pyruvate, 0.33 mM; and homogenate. The reaction was started by the addition of pyruvate. The specific activity was measured from the decrease in optical density at 340 nm.
Pyruvate kinase (E.C. 220.127.116.11) was assayed with a modification of the method of Biicher & Pfleiderer (1955). The reaction mixture contained: Tris-HC1 buffer, pH 7.5, 35 mM; MgS04, 8.5 mM; KCl, 80 mM; NADH, 0.053 mM; ADP, 0.24 mM; lactic dehydrogenase, 3.8 Units; phosphoenol pyruvate, 0.41 mM; and homogenate. The reaction was started by the addition of phosphoenol pyruvate. Decrease in optical density at 340 nm was used to determine specific activity.
Protein determinations were made by the biuret reaction, according to Kabat & Mayer (1961). Potassium deoxycholate (pH 9.0, final concentration: 0.33%) was added to the samples to decrease turbidity. The samples were placed in boiling water for 30 sec and immediately iced. Liver samples were run through Millipore filters to remove residual turbidity. Samples of the homogenates and standards of purified bovine serum albumin (Armour) were read on a Beckman DB spectrophotometer at 540 nm.
Succinic dehydrogenase (E.C. 18.104.22.168) activity was measured according to the method of Singer & Kearney (1957). The reaction mixture contained: phosphate buffer, pH 7.5, 39 mM; KCN, pH 7.5, 3.6 mM; dichlorophenol indophenol, 0.040 mM; phenazine methosulphate, 0.13 mM; sodium succinate, pH 7-5, 26 mM; and homogenate. The reaction was started by the addition of succinate, and the decrease in optical density, read at 600 nm, was used to calculate specific activity.
RESULTS AND DISCUSSION
1
The present experiments are open to a number of objections: extrapolation from in vitro systems to in vivo conditions is always hazardous, and assays developed for mammalian or yeast enzymes may not be optimal for reptilian tissue. All enzymes except cytochrome oxidase were measured at room temperature. Although this is far below the activity temperatures of the lizards and normal body temperature of the rat, all of which approximate 38"C, it is reasonable to assume that an equal temperature decrement would have approximately equal effects on the energy systems of the animals. Saturating concentrations of substrate were utilized in all experiments; the kinetics of non-saturated reptilian enzyme systems are unknown. The striking result, however, is the similarity of activity pattern within the soluble and mitochondrial fractions, respectively, of each species.
The protein-specific activities of the enzymes tested are reported in Tables and 2, and the activities of the reptilian enzymes are expressed as a percentage of the activities of the rat enzymes in Fig. 1. Because of the inherent variability in enzymic activity measurements, these results should be used only to reflect major differences between species or tissues. The rates are comparable for all tissues for a given enzyme, but differences between enzymes may reflect differences in assay procedures and not greater in vivo activity.
The glycolytic enzymes have much higher activities in skeletal muscle than in liver in all animals tested. The activity of the aerobic enzymes in the liver is nearly four times that in the muscle tissue. These observations are in accord with the decrease in oxygen availability during activity and consequent anaerobiosis in muscle tissue.
The soluble enzymes and NADP-linked isocitrate dehydrogenase in the lizards, with the exception of muscle phosphofructokinase, have activities similar to those of the rat (i.e. within 5&175 per cent of the mammalian level). The activities of the mitochondrial enzymes are, however, considerably lower in the reptiles: NAD-linked isocitrate dehydrogenase and cytochrome oxidase are one-fifth as active as the mammalian enzymes. The activity of cytochrome oxidase is highly correlated with standard metabolic rate in several species of mammals and a turtle (Robin & Simon, 1970), and a similar relationship was reported between cytochrome oxidase activity and standard and maximal metabolic rate in mammals (Jansky, 1962). The activities of the mitochondrial enzymes compare favorably with the observed six- to eightfold differences in organismal metabolic rates
The most striking difference in the enzymatic complements of the different lizards is the comparatively high levels of phosphofructokinase activity present in the skeletal muscles of the iguanids. Phosphofructokinase is generally considered the rate-limiting enzyme in glycolysis (see Scrutton & Utter, 1968), and a high in vivo activity of this enzyme would result in a capacity for rapid anaerobic catabolism of glycogen or glucose during physical activity. The higher activity present in iguanid muscles may be implicated in the formation of the large amounts of lactate present during activity in these animals. The other enzymes examined show no pronounced difference between the lizards.
fi rn
FIG. 1. Protein-specific activities of metabolic enzymes from three species of lizards expressed as a percentage of the activity measured in tissue from laboratory rats. Abbreviations: PFI<, phosphofructokinase; PI<, pyruvate kinase; LDH, lactic dehydrogenase; IDH, NAD-linked isocitrate dehydrogenase; SDH, succinic dehydrogenase; CO, cytochrome oxidase.
200r
LIVER
PFK
SKELETAL
PK
L D H
IDH
SDH
CO
MUSCLE
IDH
SDH
CO
Soluble Enzymes
Milochondriol
Enzymes
between these reptiles and comparably-sized homeotherms at the same body temperature (Dawson & Bartholomew, 1958; Bennett, 1971).
The few studies which have involved both reptilian and mammalian or avian tissue in the same experiments support the conclusions reached in the present experiments. Lactic dehydrogenase levels in skeletal and cardiac muscle from rat and turtle (Pseudemys elegans) are equivalent (80-90 per cent) (Miller & Hale, 1968). The activity of aldolase (fructose-1,6-diphosphate), an enzyme in the main glycolytic pathway, is essentially equal in samples comprised of representatives of three species each of reptiles (Lacerta agilk, Natrix natrix and Testudo hermanni), birds and mammals. Other enzymes examined in this study were outside of the main catabolic pathway, being associated with fructose metabolism, and the reptilian activities were appreciably below levels observed in birds and mammals (Heinz & Weiner, 1969). A comparison of glucose metabolism in pectoral muscle of the lizard Uromastix hardwickii and rat diaphragm (Beloff-Chain & Rookledge, 1970) found no qualitative differences in glucose catabolism but a much slower rate in the reptilian tissue; the rate of glycogen and lactate formation was one-fifth the rate in rat muscle at 37OC, a situation again paralleling differences in organisma1 metabolic rate. Since these experiments were done aerobically, the glycolytic enzymes were undoubtedly under respiratory control; the results of a similar experiment performed anaerobically would be very interesting.
It is quite probable that the hiatus in organismal metabolic rates between
The higher activity of the mitochondrial enzymes in the rat might be due to a higher specific enzymatic activity per se, i.e. no difference exists in the number of enzyme molecules but each of them has a more rapid turnover of substrate. Alternatively, the amount of enzyme may be greater in rat tissue, either because of an increased amount of cristae within each mitochondrion or because of a greater number of mitochondria per g of tissue. It is not possible at the present time to judge conclusively which of these is the primary factor; probably all of them are involved to a certain extent. Direct observations at 1000 x magnification under polarized light revealed a much greater number of mitochondria, approximately three- to fivefold, in the homogenates of rat tissue than in those from the lizards. Mitochondria isolated from turtle heart (Chrysemys picta) have rates of utilization of tricarboxylic acid cycle intermediates equal to those isolated from mammalian cardiac muscle (Mersmann & Privitera, 1964). Liver mitochondria from a lizard, Agama stellio, have rates of oxygen consumption on a protein basis equal to those from a mammal (Cassuto, 1971). The intensity of histochemical staining for succinic dehydrogenase in liver tissue is much greater in reptiles than in fish or amphibians, but is considerably less than in mammals (Hack & Helmy, 1964). Histochemically determined concentrations of succinic dehydrogenase are equally high in reptilian, avian and mammalian red fibers in skeletal muscle; however, the proportion of red to white fibers appears higher in the tissues of the homeotherms (Ogata & Mori, 1964). All these observations suggest that less enzyme, and not a lower specific activity per se, is responsible for the lower activity found for the mitochondrial enzymes of the lizards. The number of mitochondria is known to reflect metabolic activity of individual tissues (Paul & Sperling, 1952; Pette, 1965); Smith (1956) found the number of mitochondria per g of tissue varies with body weight in the same proportion as standard metabolic rate in several species of mammals.
reptiles and homeotherms is a reflection of a greater number of mitochondria per unit tissue weight in the latter and that this increment was one of the fundamental adjustments which occurred during the evolution of homeothermy. Bartholomew & Tucker (1963) postulated that an increased metabolic rate would be advantageous to a poikilothermic animal with a high thermal preferendum possessing a variable insulation, since it would provide an internal heat source and permit increased foraging time. An increased number of mitochondria would provide such a metabolic increment, while requiring little new genetic information, and presumably would represent a relatively easy evolutionary transformation. A larger number of mitochondria in homeothermic tissue may be related to the reliance of homeotherms on fatty acids as a metabolic substrate (Drummond, 1971); fatty acids are catabolized aerobically in the mitochondria. Fat deposits in reptiles are generally located in discrete storage sites, which appear to be used as reserves for periods of reproduction or scarcity of food (Dessauer, 1955 ; Hahn & Tinkle, 1965 ; Smith, 1968). T h e role played by fats in reptilian metabolism is completely unknown and merits investigation.
Acknowledgements-This paper is part of a doctoral dissertation submitted to the Department of Zoology, University of Michigan. Financial support for this study was provided by four N.S.F. Graduate Fellowships (1966-70), N.S.F. Grant GB-3656 to Dr. William R. Dawson, the Graduate Student Research Fund of the Horace H. Rackham School of Graduate Studies and N.S.F. Grant GB-8212 to Dr. Nelson G. Hairston for research in Systematic and Evolutionary Biology. I am indebted to the Departments of Zoology at the Universities of Michigan and Western Australia for use of their facilities. In particular, I wish to thank Dr. William R. Dawson for his assistance and advice throughout my graduate tenure. Dr. Louis P. Visentin was most helpful in the formation of this project, and Drs. John M. Allen, Robert E. Beyer and George W. Nace generously provided laboratory facilities. I thank Dr. Paul Licht and Ms. Rudi Arnold for critically reading the manuscript.
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Key Word Index-Anaerobiosis; cytochrome oxidase; Dipsosaurus do+salis; enzyme; glycolysis; homeothermy; isocitrate dehydrogenase; lactic dehydrogenase; lizard; mitochondria; muscle; oxygen consumption; phosphofructokinase; pyruvate kinase; reptile; Sauromalus hispidus; succinic dehydrogenase; tricarboxylic acid cycle; Varanus gouldii.
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Fearful Symmetries:
Representations of Anxiety in Cultural, Literary and Political Discourses
Fearful Symmetries:
Representations of Anxiety in Cultural, Literary and Political Discourses
Edited by Leszek Drong and Jacek Mydla
Editor of the Series: Historia Literatur Obcych Magdalena Wandzioch
Referee
Andrzej Wicher
After this edition runs out, the book will be available online:
Śląska Biblioteka Cyfrowa www.sbs.org.pl
Contents
Introduction
This book has grown out of a project called "Civilisation and Fear," which culminated in an international conference – held by the Institute of English Cultures and Literatures, University of Silesia, in 2010 – that addressed manifestations of anxiety in culture. Fearful Symmetries is mostly about how fears, apprehensions and phobias find their representation in writing. Consequently, these essays are not psychological, philosophical or sociological studies of anxiety. That is to say, we are not concerned here with fear in the abstract: the individual contributions focus on texts in which anxiety has appeared in discourse, thus as a contextualized and historicized presence. The readers who expect clear-cut answers to such fundamental questions as "What is fear?" may be disappointed. However, those who expect inspiring insights into textual manifestations of anxiety are likely to find these essays of interest. We do believe that the value of this book lies in the viable, not infrequently fresh approaches to some of the most problematic and complicated junctions between fear and civilisation. The overarching assumption which underlies most of the essays is that fear feeds on the individual psyche, and certainly cannot exist in a social vacuum; discourse, as an element of culture, seems to be its natural habitat.
Such ideas as anxiety and fear may be used to reduce the multiple matrices of civilisation, and the many discourses which represent them, to a common denominator. Still, in this book, we aim to recognise the potential for differentiation at the heart of civilisation. Inevitably, the essays vary in scope, historical context, angle of vision and interpretive method. We see such differences as an asset, rather than a threat. Divergent, perhaps deviating, approaches and methodologies should not multiply anxieties; instead, they may increase the chances of containment and dissipation. As a result, a book like this may be useful in coming to terms with those fears which thrive on the unknown and the (yet) unnamed. Diversified treatment, in the scholarly sense, may, in the long run, translate into treatment in another, therapeutic, sense. Once articulated and exposed to the analytical light of academic discourse, the fears and anxieties which our civilisation has foisted upon us are likely to look less manacing.
As editors obliged to produce an introduction to a volume of essays by other authors we want to be clear about our role in prefacing this publication. In order to give our readers a lucid picture of what those essays are concerned with, we are bound to introduce them by the usual means of summary and paraphrase. Still, the authors themselves might be anxious that we misrepresent their ideas by selecting and highlighting what we consider crucial about their contributions. That is why henceforth we let the authors speak on their own behalf by almost literally quoting their abstracts, which – sometimes minimally edited – shall serve as vignettes of their own writing. In what follows, you will find brief descriptions of the themes raised in each essay and the claims that the authors make.
Anna Antonowicz, "Indian Zigzags – the Industrial Monster."
The governmental reform of decorative art undertaken in the mid-Victorian period aimed to imbue low-quality British artefacts with the principles of Indian art. It provoked the war of values in the period of great anxiety over the influence of technological advancement upon aesthetics and taste. This essay analyses the negative views of John Ruskin upon the reform and confronts them with those of Owen Jones.
Dorota Babilas, "The Victorian Culture and the Fear of the Talented Woman in George Eliot's Daniel Deronda."
Victorian culture, with its preoccupation with social order and clearly defined gender roles, was both titillated and alarmed by the possibility of the feminine talent. This essay explores a selection of examples dealing with the themes of the musical talent displayed by the heroines of George Eliot's novel Daniel Deronda (1876). The visions of an angelic creature, a dangerous siren, and an un-sexed monster are all variations on the theme of musically gifted women.
Katarzyna Blacharska, "The Renaissance Plus ultra and the Recurrence of Non plus ultra as Reflected in the Poetry of John Donne and John Milton's Epic Paradise Lost."
The mappae mundi, characteristic medieval world maps which are a reflection of a ubiquitous anxiety that permeated the period, provide partly allegorical image of the world, but also communicate certain ideas, most notably the notion of Non plus ultra, which marked the Pillars of Hercules as the ultimate border of the world, beyond which there was nothing. This medieval notion continues to be relevant through the Renaissance, in the poetry of John Donne and John Milton.
Katarzyna Chruszczewska, " 'To Be Saved by Chaos': 'Emancipation' of Self by Mutilation and Perversion. Chuck Palahniuk's Invisible Monsters and Choke."
In Palahniuk's fiction, the struggle for a true identity explodes in a total rebellion against the cultural regime, manifested through different forms of sexual perversion or through the intentional mutilation of one's body. The necessity to hybridize one's identity entails the destruction of the main structures of the self. Palahniuk's characters aim for indefinability of the self by disputing sexuality and questioning the body.
Joanna Jodłowska, "Who's Afraid of the Supermarket: A Study of Andrzej Wójcik's and Ewan Jones-Morris's Semi-documentary Brand New World." "Who's Afraid of the Supermarket…" offers a comparison of the kinds of dystopian fear embodied by the experimental semi-documentary Brand New World (2005) directed by Andrzej Wójcik and Ewan Jones-Morris in comparison with Aldous Huxley's 1932 novel Brave New World, and expressed in the way these two works handle the themes they have in common: consumerism, marketing, the functioning of the mass-media, and rebellion against modern society.
Paulina Kamińska, "Civilisation, Fear and Trauma in Doris Lessing's Writing."
By analysing the representations of civilisation in Doris Lessing's writing, one can discern imaginary societies at different stages of their development: from their beginnings, through the breakdown, to attempts at the rebuilding of social structures. Fear and threat of death are imminent within all these transformations. Such features of trauma narratives as the breakdown of chronology, multiple narrators, the impossibility of a faithful account surface in Doris Lessing's novels, and enhance her depictions of civilisation.
Robert Kielawski, "Masochism and Its (Dis)contents: The Politics of In-YerFace Theatre and Mark Ravenhill's Bodies in Crisis."
The article tries to account for the politics of masochism in Faust is Dead and The Cut by Mark Ravenhill by making links between in-yer-face aesthetics and anti-humanist tradition of Antonin Artaud and Sigmund Freud. The oppositional energy of the analysed plays is identified with the way the characters' political agency is restricted to masochistic acts. In phenomenological terms, the body in pain becomes a site of political intervention.
Sławomir Konkol, "What Else is Civilisation For? Narration Overcoming Fear and Trauma in Graham Swift."
Fragmented and repetitive, the structure of most of Graham Swift's narratives represents the characters' sense of being separated from the world and trapped in traumatic temporality which refuses linear development. While mourning the impossibility of retrieving original wholeness, Swift's novels celebrate the contingency of the human condition since the protagonists' efforts at overcoming fear can only be temporary and tentative. At the same time, the status of the narrative is questioned as morally ambiguous, potentially violent and responsible for the irreversible involvement of the subject in temporality.
Anna Krawczyk-Łaskarzewska, " 'Seek and Ye Shall Mind' – Conspiracy Theories and the Mechanisms of Online Exposure."
Fuelled by fears related to terrorism, surveillance, and signs of collapse of the global financial system, the conspiracist and/or synchrony-seeking webpages have shown remarkably similar, suspicious/hostile attitudes towards a variety of issues, e.g. global warming research, government-imposed vaccination programs, alleged diabolical pacts made by global elites concerning mind and population control, the influence of the Illuminati and all things occult, etc. But the fear of enslavement and subordination they so often express proves to be a double-edged weapon manipulating the readers' sound judgment even further.
Sławomir Kuźnicki, "Civilisation Renewal Project – the Ultimate Solution of Margaret Atwood's Oryx and Crake."
By focusing on biotechnology and the commercialisation of life, Margaret Atwood, in her dystopia Oryx and Crake (2003), questions the morality of genetic engineering procedures. As a result, she proposes a revolutionary shift, an apocalypse, after which the old order ceases to exist and is apparently succeeded by a heaven on earth. This article is concerned with Atwood's reasons for annihilating our present civilisation, but it also points out why the new version of the world, although preconceived and logically manufactured, has no real chances of succeeding.
Tadeusz Lewandowski, "Indulging a Terrorist's Fears: A Critical Evaluation of Theodore Kaczynski's Industrial Society and Its Future."
In mid-September of 1995 the New York Times and Washington Post published Theodore Kaczynski's Industrial Society and Its Future, a 35,000-word essay that decried the effects of technology on mankind and the natural world. When made public, the manifesto garnered a surprisingly positive reception in the American media. Though Industrial Society and Its Future certainly expresses some rational fears, this essay argues that its importance as an ideological tract has been overestimated by readers drawn to Kaczynski's bizarre charisma, strong pro-environmentalist stances, and an ability to tap into the frustration of those disenchanted with modernity.
Tomasz Markiewka, " 'The Gently Budding Rose': Greeks and Fear in Teodor Parnicki's Historical Novel The End of 'The Concord of Nations'."
The End of "The Concord of Nations" (Koniec „Zgody Narodów," Paris 1955) marks a turning point in the development of Teodor Parnicki's oeuvre. In a world of constant and profound fear, the protagonist, a half-Greek and halfJewish adolescent by the name of Leptines, is caught in the network of secret services and, being constantly interrogated, starts a quest for self-identity. The essay examines the clash of civilisations and cultures, which is dramatized and internalized in Leptines, who embodies the situation in which the borderline between "I" (Greek) and "the Other(s)" falls within the protagonist's self.
Gabriela Marszołek, " 'Fetch Me My Feathers and Amber': Gary Snyder on Civilisation and the Primitive."
In "Poetry and the Primitive," Gary Snyder says that part of our being modern means to be "contemporary with all periods"; it is to be one with our own beginnings, since civilisations do not "rise and fall," but absorb, bloom, burst, and scatter their seed. This essay presents Snyder's standpoint on the notion of civilisation in regard to the native American theme of hunting magic. Gary Snyder, influenced by such anthropologists as Stanley Diamond and Claude Lévi-Strauss, depicts the modern man as the one who has failed to understand the richness and complexity of ancient cultures.
Przemysław Michalski, "Original Sin, Fear and Metaphysical Poetry."
This essay sets out to discuss the problem of the relationship between the original sin and fear in metaphysical poetry. One of the key questions it grapples with is to what extent the legacy of the doctrine of the original sin informed the poetry of John Donne, George Herbert, Henry Vaughan and Thomas Traherne, and how far it shaped their general Weltanschauung.
Dominika Oramus, "Gods for the Final Days: Selected Religious Systems Devised by Kurt Vonnegut Jr. and Philip K. Dick."
In the mid-twentieth century in the West, the political atmosphere of insecurity spawned religious radicalism and made more and more people pay heed to preachers announcing the approaching doom. L. Ron Hubbard devised and marketed a new religion, the Church of Scientology; Kurt Vonnegut Jr.'s postmodernist novels Sirens of Titan, Cat's Cradle and Slapstick also describe new religious systems. Philip K. Dick, in turn, presented religions of his own making, Mercerism, and belief in the Four Manifestations of God, in the short story "The Little Black Box" and novels Do Androids Dream of Electric Sheep and A
Maze of Death. This essay compares these religions in order to show how they take advantage of human fear and anxiety and what they offer to their followers.
Kamilla Pawlikowska, "Fear of the Inside: Neurology as a Science of Sensation in Victorian literature."
Despite the attempts undertaken by nineteenth-century psychologists, philosophers and physiologists to define "sensation," the latter remained a conspicuously fluid notion. This indefiniteness provided a vast hermeneutic space for writers seeking new rhetorical devices to convey the complexity of human nature. This essay examines a variety of diverse accounts of "sensation" in Victorian fiction, discusses their functions and approaches to the mind-body relationship.
Izabella Penier, "The Black Atlantic Zombie: National Schisms and Utopian Diasporas in Edwidge Danticat's The Dew Breaker."
This essay discusses Edwidge Danticat's collection of short stories The Dew Breaker, which is about the terror and trauma caused by the horrifying system of repression brought by the Duvalier regime. It deals with the theme of the subjection and dehumanization of Haitians, expressed through a new Haitian aesthetics of degradation, whose most salient trope is zombification. Zombification is a mechanism of terror and debasement that turns Danticat's protagonists, both torturers and their victims, into the living dead, deprived of the self, human dignity and freedom.
Maciej Piątek, "Fears and Fictions of Samuel Beckett."
This essay is an interpretation of Samuel Beckett's short stories ("The Calmative," "The Expelled") and dramaticules ("That Time," "Footfalls") as literary expressions arising from the overwhelming feeling of fear. Beckett's writings show that creating fictions to repress fear is on the one hand necessary, but on the other, this process is bound to fail in the postmodern age. His texts do not speak about this failure in a descriptive mode – they actually stage this failure by their own structure and meaning, which remain always on the verge of collapsing.
Brian Reis, "Deeper Darkness: Fear of the Dionysian Ultimate in H.P. Lovecraft."
H.P. Lovecraft's tales of terror strike at key questions of human existence – specifically, the origins of fear. Creating narratives that invoke and capitalize on Nietzsche's fear of the advent of nihilism, Lovecraft drafted a world that was alternately mysterious and terrifying, and also coldly rooted in the scientific determinism that was at the core of his materialist atheism. In doing so, he uproots Nietzsche's hope for man to transcend beyond the "death of God" and the subsequent nihilistic retreat into outmoded religious ideas.
John Eric Starnes, "Mr. Turner's Fears and Fantasies: The Turner Diaries and White Fear in America."
This essay explores the White Nationalist novel The Turner Diaries and analyses the themes that are prevalent within the novel. By analysing these themes and by placing them in their historical context, it is hoped that a clearer picture will emerge of the fears and trepidation expressed by certain sectors of white America. These fears include attempts at subverting white power by the manipulation of "aliens," blacks, and other minorities.
Nurseli Yeşim Sünbüloğlu, "Gender Implications of Literary Representations of Anxieties about Modernisation in Turkey: Aganta, Burina, Burinata (1945)."
The years 1940–1950 was a period in which Turkey went through profound social, political, and economic changes. The reactions towards these changes can be regarded as an intersection of discontent, fears, and anxieties on various levels. Through an analysis of a novel (Aganta, Burina, Burinata) written in 1945, this essay examines the literary representations of those concerns. The response of the novel's author to these anxieties was to reconceptualise nature as an alternative space – pure, harmonious, and homogeneous – where a much needed reconstruction of modern masculine identity would take place.
By way of concluding this introduction, we would like to indulge in an observation which led to the choice of the main title for this collection of essays. Our reference to William Blake's "Tyger" and its enigmatic phrase bespeaks an ambivalent attitude to whatever is capable of inspiring fear, anxiety, and awe. The authors of the following essays are singularly attracted to those works and phenomena which are surrounded by an aura of anxiety. Thereby the contradictory energies of attraction and repulsion – fascination and fear – are responsible for the thematic paradox of this volume: despite the fearsome and portentous nature of many aspects of contemporary civilisation, we continue dissecting them, even at the cost of exposing our own fears and anxieties in the process. We are preoccupied by what we should, by definition, keep at a distance – does that mean that we are poised to overcome those fears or, on the contrary, that we have developed a morbid taste for wallowing in them?
On the cover: "Fearful Symmetry" by a graphic artist Joe Angelillo (www.joeangelillo.com)
Copy editor Krystian Wojcieszuk
Cover designer Magdalena Starzyk
Technical editor Barbara Arenhövel
Proofreader Sabina Stencel
Typesetting and text make up Grażyna Szewczyk
Copyright © 2013 by Wydawnictwo Uniwersytetu Śląskiego All rights reserved
ISSN 0208-6336 ISBN 978-83-226-2120-2
Published by
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GCS Leadership Framework May 2020
Contents
Foreword
As a profession, the Government Communication Service (GCS) cannot afford to stand still, it must continually evolve. Science, technology and society are changing at an exciting and rapid pace. As well as excellence in our professional and technical communication skills, we need excellent leadership to meet these challenges. As a part of our improvement programme, GCS2020, we are creating new tools, models and processes to ensure that we are fit for the future.
We already have established technical competencies for our recruitment and development of people across all grades and disciplines. However, until now, there has been less focus on the strengths and behaviours of GCS professionals – how we think and how we deliver, not just what we do. For me, this is just as important an aspect of leadership. It is not just technically knowing what to do, but also ensuring that you support and bring out the best of those you work with.
I believe that we lead at every level. We all have a responsibility to be leaders and to demonstrate the leadership behaviours set out in the Civil Service
Leadership Statement; to be inspiring, confident and empowering. Each of us will have our own examples of great leadership in mind, whether it is somebody you know at work or somebody you have seen in the news or world leadership space. But whoever you aspire to emulate, it is likely that they demonstrate these three characteristics in one way or another.
Our new leadership framework builds on this to set out what great communication leadership looks like. We set out that we want our leaders to be strong strategic thinkers, creative, collaborative, connected and ultimately trusted. Wherever you are in your career, these strengths will support you to build on your leadership capability and progress and develop in line with your goals.
GCS Leadership Framework Summary
GCS2020 Government Communication Leadership Framework
Civil service
LEADERSHIP
Inspiring
GCS leadership strengths & behaviours HOW
GCS Technical Competencies WHAT
Civil Service VALUES
Connected
Perceptive to our audience, to ministers and officials, understanding their perspectives
Objectivity
4
Confident
Strategic
approach to communications
Creative
Fostering new, innovative and effective ways to engage and influence our audience
Ideas
Implementation
Impact
Insight
Trusted
by the public, partners and each other
Honesty
Integrity
Empowering
Collaborative
Breaking down silos, working in partnership across government, professions
Impartiality
How to use the GCS leadership framework
Strategic thinking is at the heart of good communications. We deliver the priorities of the Government by understanding the most effective ways to influence within the resources that we have, making deliberate choices to provide the most effective outcomes for the public benefit. We consider the big picture, including the social and political context, being flexible and responsive to a rapidly changing world and understanding the changing needs of our audiences.
GCS leadership is not just within your team or organisation but has a range of dimensions.
Government Communications professionals at all levels also need to:
Be connected and perceptive to our audiences, understand their perspective using research, behavioural science and emotional intelligence. We will listen to, understand and interpret the needs and priorities of our audience from a range of diverse backgrounds.
Be creative in finding new, innovative and effective ways to engage and influence our audience. We will foster an environment that supports bold and courageous communications, encouraging teams to continually push the boundaries of creativity.
Be collaborative with one another and work in partnership across government and professions, as well as with our partners and audience. We will take collective responsibility and have clear accountability throughout, taking an audience-based approach to our communications.
Ultimately, we want to be trusted by the public, our stakeholders, ministers, officials and each other. We will deliver authoritative, credible and honest communications, using our public-facing position to help build and maintain trust and confidence in the government.
DIMENSIONS OF GCS LEADERSHIP
Corporate
leaders
System
leaders
Crisis
leaders
Into the
profession
Up to
our boards
With peers
in our
organisation
Thought
leaders
Change
leaders
GCS
leadership
Within
our teams
Who should use the government communication leadership framework
This framework is for leadership at all levels, across all roles, grades and communications disciplines.
GCS professionals should aspire to demonstrate all these strengths, and they should be considered an essential part of any appointments and/or promotions. This is particularly relevant to senior leaders focusing on securing the right people, developing the right strategy and, critically, creating the right culture.
Using the framework to help recruit, train, develop, appraise performance and set goals for yourself and your staff
For example:
* Use the framework for recruitment – test the strengths in interviews as part of the blended success profile approach to interviewing
* On the job learning – finding opportunities in your day to day work that allow you to practice doing things differently. This may involve changing jobs in order to get the development opportunities you need
* Stretch assignments – signing up for new activities, projects or assignments that allow you to stretch yourself and develop new skills and behaviours
6
* Feedback – seek formal or informal feedback from a range of stakeholders on the areas that you are developing (your manager, direct reports, peers or customers)
* Learning from role models – identify people who are excellent at the things you want to develop. Observe them (perhaps by job shadowing) and reflect on what you can learn from the way they do things. Ask them questions to help you understand what they do and ask for feedback on your behaviour
* Coaching or mentoring – seeking a coach or mentor who can help you reflect on your leadership journey
* Leadership workshops and training – through civil service learning or GCS for example
* Widen your network – for example by working on a cross-government GCS project, attending communication industry events or seminars
* Get involved in a project that requires you to engage with the big picture and the longer-term strategy
* Look for opportunities to learn how things are done outside the civil service so you can bring into new ideas to your work.
1. Strategic
Strategic thinking is at the heart of good communications. In an increasingly complex and rapidly changing world, GCS professionals need to make sense of this complexity while maintaining a focus on the bigger picture, and to place things in their wider political and social context. They will need to be flexible and responsive to their environment, knowing that priorities can change, while also setting a clear and consistent long-term direction and destination for government communications and prioritising their resources to focus effectively.
Examples of strategic behaviours:
* Shaping the communication priorities of your department, external audiences and the wider government, and prioritising your resources to achieve those objectives
* Agreeing and communicating your long-term goal, and keeping this in mind when making decisions on day-to-day priorities
* Understanding the inter-dependencies between policy, operations and communication, and translating complicated policy and operational challenges into a key message or call to action
* Diagnosing and addressing sensitive and complex problems, and using strategic communications to help solve them.
Case study
Rebecca Thould
Head of Marketing Department for Education
I oversee marketing for a range of technical education qualifications including T levels and apprenticeships. Looking at the audience insight, it was clear that young people and parents do not consider their choices after GCSE in isolation and need to understand how technical routes compare with their other options, including academic qualifications. I knew we had to take a more strategic approach to our communications to achieve the desired outcome and help our target audiences to make sense of the complex landscape of post 16 choices.
I recognised that this was a strategic leadership challenge that would mean we needed to adopt an audience-led, rather than an individual policy-led, approach to communications. I set out a clear plan of how we could deliver this project and identified the resources needed to deliver the end goal.
I used audience insight to influence communications leaders, policy leads, ministers and the wider team to make the case for an umbrella strategy to communicate post 16 choices and frame campaigns to drive take up of T Levels and apprenticeships. The first step has been to create some collateral to support information, advice and guidance through schools and careers advisers, which has tested extremely well with audiences, and the project is gaining momentum.
2. Connected
Building a strong connection with our audience is crucial if we want to be responsive and ensure that their perspectives form the heart of public service communications. Those audiences are increasingly polarised and fragmented, so GCS leaders need to be perceptive and use a number of tools – including research, behavioural science and emotional intelligence – to understand, interpret and influence a diverse range of needs and priorities. They need to build these connections from the inside out, developing strong personal and strategic relationships with their own colleagues and stakeholders, as well as wider audiences.
Examples of connected behaviours:
* Building relationships with a broad range of people from different backgrounds and levels, both within and external to Government, seeking multiple perspectives to improve thinking and bring the audience needs into designing communications
* Actively building teams with different skill sets and experiences to solve problems; creating a culture that encourages diverse thinking and variety – a fusion 1 approach
* Making time to listen to staff, audiences and stakeholders on the ground; utilising all insight channels to understand the public mood and dominant narratives to ensure that our communications resonate
* Understanding that human choices are often emotional rather than rational; designing communications to resonate with the heart and head to move people.
1 The fusion doctrine, National Security Council Review 2018 (https://www.gov.uk/government/ publications/national-security-capability-review-nscr)
8
Case study
Steve Fairman
Head of Internal Communications and Engagement, Food Standards Agency
In my experience, being connected is a vitally important part of leadership in government communications. If I'm getting it right, it means I'm listening to what my team, my organisation, stakeholders and audiences are saying – not just with their words but with their behaviours. This gives me the best insight to tell stories that will resonate.
The idea of being connected is truly tested when we're under pressure. That's when things can break down quickly if you aren't using the insight and knowledge you have in an effective way. For instance, we know that a large percentage of our staff work from home or are based in operational settings – so in a crisis how we do we engage with them in the best way? How do we help them to feel a part of a collective effort? We create opportunities for them to be heard. We ask things. We listen. We measure and test again. It's dynamic and challenging but it unlocks so much that we can use to make things even better for everyone. It's the role of internal communications to join the dots across the organisation, which is the very essence of connectedness.
From a team perspective, by getting to know my colleagues professionally, and personally, I can encourage us to all bring the best versions of ourselves to our work. Sometimes these kind of connections can't be measured but the rewards show themselves in different ways. Being connected, and staying connected, is hard work but it's the best work we do.
3. Creative
The best communicators look for new and creative ways to engage, influence their audience and solve problems. As channels continue to proliferate and the public becomes increasingly discerning about the media landscape, GCS leaders need to foster an environment that encourages teams to be bold and courageous in their communications. They should empower teams to push the boundaries of creativity and solve complex challenges through managed risks, as well as tried-and-tested methods, innovating and adopting the latest game‑changing approaches from across the industry.
Examples of creative behaviours:
* Committing time and resource to trialling new techniques, communications solutions, platforms and channels to solve problems
* Accepting mistakes, and diligently learning from them, emulating the 'fail‑fast' culture of start-ups
* Using creative leadership techniques e.g. divergent and convergent thinking
* Encouraging challenge and creating a safe space for experimentation where all colleagues can cultivate creative ideas
* Using practical solutions to foster creative environments, such as online collaboration spaces; 'play time' initiatives used by start-ups; using a percentage of the campaign budget to test innovative approaches; and flexible and inclusive working patterns.
Case study
Minaxi Henegan
Head of Strategic Campaigns, HMRC
To keep engaging with our audiences and achieve cut-through we need to get more creative with our communications. That's why we've set up the Creative Hub at HMRC.
The Hub is about generating innovation and creativity, being on the front foot through horizon scanning and presenting communications solutions to business problems. It brings together creative minds and skillsets from across different teams, including PR and consumer marketing, design, audio-visual, digital and social media.
This is a new way of working and I'm creating a safe and collaborative environment to foster creativity and help the team break out of the 'normal' ways of working. Part of my approach is giving the team time and space to get curious, work together to think about the audience and data, bounce ideas off each other and build ideas. The team has licence to be bold. If an idea is risky, it's our job to help manage and mitigate the risks.
With the team spread across the UK, we're using online collaborative spaces and video conferencing facilities to make sure that location isn't a barrier.
This is an exciting time. Through the Hub we are exploring and piloting new ideas, learning quickly, sharing and putting these learnings into practice.
4. Collaborative
GCS professionals work best when they work together, solving problems in a truly cross-government operation. The Fourth Industrial Revolution has been defined by an unprecedented and hugely disruptive level of digital innovation, and communicators will only respond to this challenge effectively if they break down silos and collaborate at all levels, bringing different teams, departments and the wider Civil Service together behind one goal. We should take collective responsibility and have clear accountability throughout this process, while looking to build relationships across the wider industry to bring in new ideas, learning and expertise from outside the Government.
Examples of collaborative behaviours:
* Working with others to identify shared communication challenges across systems and prioritising the best outcome for the audience over narrow team or departmental objectives
* Recognising differences and understanding creative tension to overcome barriers and find where objectives align
* Bringing a broad range of people together in mixed teams from different disciplines, and encouraging cross-system working and knowledge-sharing within and between departments and partners
* Asking who is 'not' in the room, and making sure other voices are heard to improve effectiveness
* Bringing ideas and learning from outside the government to enhance performance.
10
Case study
Karen Clubbe
Insight and Strategy Campaign Lead, DWP
It's difficult to envisage any type of successful communications without inclusive and collaborative leadership.
In my campaign role, my starting point is to explore a problem or challenge by consulting with a 'virtual team' of colleagues, taking an audience-focused approach. This includes drawing together external affairs, press office, digital and internal specialists.
It's also equally important to look outwards to analysts, project portfolio managers, policy and operations leads.
Different voices bring different perspectives and promote valuable knowledge sharing. I've been able to produce more nuanced strategies using this approach, both for national paid and localised no/low cost campaigns.
Recently, by reaching outside of communications, I've been able to learn a lot more about programme risk management. I've folded this into our campaign governance. As a communications team this is enabling us to be more closely aligned with our internal stakeholders and strengthen our credibility.
Sharing learnings and insights from varied sources is incredibly important to continuing to grow our communications capabilities. Being open to peer reviews and objectively scrutinising our evidence base and outcomes will enable us to continue to respond effectively to the many and varying challenges ahead.
5. Trusted
As the custodians of public trust, GCS professionals have a duty to deliver authoritative, credible and honest communications. This is increasingly important in the current climate, which has seen a decline in trust in the institution of government and the media alongside a rise in misinformation and fake news. GCS professionals need to foster trusted relationships within their own teams, provide trusted counsel to boards and ministers, and feel able to speak truth to power while holding themselves to the highest professional and ethical standards in their public communications.
Examples of trusted behaviours:
* Demonstrating confidence and professional expertise to internal clients and external partners to be seen as credible and trusted
* Using insight and evidence to build trust in our advice; sharing strategies to ensure that others understand what you are trying to achieve
* Taking accountability: doing what you say you will, and telling people if you have responded to their feedback
* Owning mistakes and failings; identifying processes to ensure we are learning from them
* Building relationships that allow us to be honest and frank with colleagues and stakeholders; demonstrating active listening and understanding their motivations and concerns and sharing yours, as appropriate.
Case study
George Kotschyn
Deputy Head of News Department for Transport
Earning and maintaining the trust of your colleagues, your team, senior stakeholders and the public, is one of the most important parts of being an effective leader in the Government Communication Service. We are at the forefront of building trust and confidence with the public.
In my role, it is vital that members of my team feel I will always honour my commitments to them, treat them fairly, take their opinions into account and offer support. Equally, senior figures – from communications colleagues to ministers – need to know that they can rely on me to provide trusted advice and help deliver against their priorities.
The other side of building trust as a leader is setting and maintaining a culture of high standards for the accuracy and credibility of your team's work – something which is of paramount importance in government communications. At a time when public trust in politicians has reached an all-time low, it has never been more important to ensure that our output is authoritative, reliable and factually correct.
I underline the importance for this in my team, stressing the need for colleagues to go through a rigorous fact-checking process with policy experts on all communications materials being produced to make sure they are trustworthy.
How we developed this framework
We conducted an analysis of the academic evidence and carried out quantitative and qualitative research within the Civil Service. Our research included interviews with Civil Service leaders, leading academics and quantitative research across 4,500 GCS members, 100 civil servants and 100 new GCS recruits. We tested the framework with Directors of Communications, ALB communication leaders, Inspire graduates who did a leadership master class, and over 50 GCS members across grades, disciplines and geographic locations.
In addition, the Chartered Institute of Public Relations' annual State of the Profession report has explored the trends, issues and challenges facing public relations in 2019. It is the largest and most statistically robust investigation of its kind. It found that for senior communications professionals the attributes most valued by recruiters are: strategic thinking (91%), problem solving (48%) and emotional intelligence (41%). 3
The five strengths we have identified are underpinned by academic research. For example, between 2016-18 the University of Huddersfield conducted a two-year research project to create a global capability framework for public relations and communication management that identified communications, organisational and professional capabilities. 2 The top capabilities under these categories respectively are being able to:
* align communication strategies with organisational purpose and values is the top communication capability;
* facilitate relationships and build trust with internal and external stakeholders and communities; and
* provide valued counsel and be a trusted advisor.
12
We are confident that cultivating these strengths will ensure that the GCS has leaders who can confront our biggest challenges head on in 2020 and beyond. The model aims to capture those strengths and behaviours considered core for all communications professionals which are aligned with, and mutually supportive of, the Civil Service Leadership attributes (inspiring, confident, empowering) and civil service values (honesty, integrity, impartiality and objectivity).
Further reading and evidence
Strategic
Model:
The Communications Management Standard (CMS) is the mark of communications professionalism worldwide. Created by the PRCA, it is based on ISO 9001 and Investors In People, with criteria tailored specifically to the needs of in-house PR and communications teams. The model contains benchmarks for good practice, which includes providing "clearly defined responsibilities" and basing planning "on a clear view of your organisation's strategic plan, marketplace or policy issues, potential and direction". 4
Book:
Strategic Public Relations Leadership, Anne Gregory and Paul Willis.
Reports:
University of Huddersfield global capability framework for public relations and communication management. 5
CIPR annual state of the profession report. 6
4 https://www.prca.org.uk/about-us/communications-management-standard-cms/house-cms
5hud.ac/ect
6 https://cipr.co.uk/CIPR/Our_work/Policy/CIPR_State_of_the_Profession_2019_20.aspx
May 2020
Connected
Book:
Emotional agility: get unstuck, embrace change and thrive in work and life, by Susan David.
Blog:
As the World's Leadership Crisis Drags On, Research Points to the Cure, 7 by Rod Cartright.
Reports:
The COO as pacesetter, 8 by Arthur W Page society. This report includes a number of interesting concepts for GCS leadership, for example:
The changing global environment: "As we near the third decade of the 21st century, the landscape of business, society and public communications is being reshaped by new technologies; by new business models; by falling barriers to entry; by geographic, demographic, socioeconomic and political shifts; and by rising stakeholder expectations. Above (and underlying) all, our world is being reinvented by the phenomenon of data, both its application for greater knowing and its weaponization for mischief and profit."
Progression path (Page 45 to 51) outlines the pathways to defining and communicating the desired culture based on the research Page has carried out. It supports the actions that GCS is taking to develop our leadership framework, the refinement of our internal brand, and some of the other GCS2020 actions. It also outlines some suggested KPIs that would be useful to reflect in a relevant document. You will see that GCS is between the 'Pathfinder' and 'Pacesetter' in the progression path.
7 https://www.ketchum.com/leadership-communication-monitor-2013/
8 https://knowledge.page.org/wp-content/uploads/2019/09/CCO_as_Pacesetter_2019_Page_Research_Executive_Summary.pdf
Creative
Watch:
David Marquet on Greatness. 9
Reports:
How creative leaders live in paradox, by THNK School of Creative Leadership
USC Annenberg’s 2017 Global Communications Report, for the Global Alliance for Public Relations and Communications Management, found that: “When asked what personal traits they felt were critical for the future, industry leaders ranked traditional values of teamwork (92%) and hard work (82%) near the top of the list but they believe their teams are already strong in these areas. They say more horsepower is needed in curiosity, creativity, and critical thinking.”
GCS Blog:
Want a more creative team? Blog post by GCS leader Sara Vogt.
Collaborative
Reports:
5 trends in leading-edge communications, GCS, 2018.
Communications Professionals: Four Lessons In Leadership, Forbes, 2019.
The fusion doctrine, 10 National Security Council Review 2018. The fusion doctrine starts with strategy and fuses capabilities to maximise collective effect. It is Mark Sedwill’s initiative to deliver strategy-led design of policy and planning.
9 https://www.youtube.com/watch?v=OqmdLcyES_Q
May 2020
Trusted
Reports:
Edelman trust barometer 2019. This found a lack of meaningful engagement between the government and the public, with 59 percent of respondents saying the UK government fails to listen to people like them.
Ipsos Mori's 2019 veracity of truth index says that only 17 percent of people trust government ministers.
Quote:
Christina Clinton, Christina Clinton Coaching, for the PRCA said; the secret sauce when creating a communications team culture is "when a leader can create an environment of trust, safety, truth, and feedback that leads to radical success – basically your team knows you have their back and this gives them confidence to take ownership, risks and innovate." 11
Blog:
Debra Davenport, Purdue University's Brian Lamb School of Communication, in her blog Five Traits of Effective Leadership: A Guide for Communication Professionals, says; "A willingness to be open, straightforward, and forthcoming with information is essential for organizational wellness and positive public perception. Employees and audiences alike lose trust very quickly if they sense any level of subterfuge – and that trust can be extremely difficult to regain once it's been compromised." 12
Book:
Jim Macnamara, Creating an 'architecture of listening' in organizations.
Further suggested reading on communication leadership is available on the GCS website.
11 https://www.prca.org.uk/What-does-a-Leader-Leader-Culture-look-like
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MINUTES
REGULAR SCHOOL BOARD MEETING
GADSDEN COUNTY SCHOOL BOARD MAX D. WALKER ADMINISTRATION BUILDING 35 MARTIN LUTHER KING, JR. BLVD. QUINCY, FLORIDA
March 29, 2011
6:00 P.M.
This meeting was open to the public and electronically recorded.
The following Board members were present: Mr. Judge B. Helms, Vice Chairman; Mr. Charlie D. Frost; Mr. Eric F. Hinson; and Mr. Isaac Simmons. Also present were Mr. Reginald C. James, Superintendent and Secretary to the Board; Mr. Kevin Carroll, Attorney for the Board; and others. Mr. Roger P. Milton, Chairman, was absent.
1. CALL TO ORDER
The meeting was called to order by the Vice Chairman, Mr. Judge B. Helms, at 6:05 p.m.
2. OPENING PRAYER
The opening prayer was led by Mr. Charlie D. Frost.
3. PLEDGE OF ALLEGIANCE
Recited in unison.
4. RECOGNITIONS
The Superintendent and Board recognized the following students: 1) Alexia Phillips – Middle School Winner for the Tropicana Speech Contest; 2) Leonardo Torres – Elementary School Winner for the Tropicana Speech Contest; and Orynell Lewis – Perfect score on Math/Reading FCAT. Students Alexia Phillips and Leonardo Torres recited their Tropicana speeches for the Board.
Mr. Hinson encouraged the students to get involved with speaking engagements. He recognized Ms. Alice Dupont – Gadsden County Times Editor, Mr. Byron Spires – Havana Herald Editor; Dr. Kimblin NeSmith and Ms. Debra Rackley for reaching their goals with the Gadsden Leadership and Law Academy.
Mr. James stated that the gala for the Gadsden Leadership and Law Academy was outstanding. He stated that another Superintendent attended the gala to observe the program.
Mr. Hinson invited everyone to the Alpha Scholarship Banquet on May 13 th at 7:00 p.m.
ITEMS FOR CONSENT
Mr. Helms entertained a motion to approve the remaining consent agenda. The motion was made by Mr. Charlie D. Frost, seconded by Mr. Eric F. Hinson and carried unanimously.
5. REVIEW OF MINUTES
a. February 22, 2011, 4:30 p.m. – School Board Workshop
b. February 22, 2011, 6:00 p.m. – Regular School Board Meeting ACTION REQUESTED: The Superintendent recommended approval.
7. BUDGET AND FINANCIAL TRANSACTIONS
a. Approval of bills and vouchers - See back-up material
ACTION REQUESTED: The Superintendent recommended approval.
a. Budget Amendment Number Twenty-One
c. Budget Amendment Number Twenty-Two
Fund Source: 420 (Federal) Funds
Amount: $1,639,041.30
ACTION REQUESTED: The Superintendent recommended approval.
Fund Source: 420 (Federal) Funds
Amount: $.00
ACTION REQUESTED: The Superintendent recommended approval.
d. Budget Amendment Number Twenty-Three
Fund Source: 420 (Federal) Funds
Amount: $722,755.00
ACTION REQUESTED: The Superintendent recommended approval.
e. Budget Amendment Number Twenty-Four
Fund Source: 432 Targeted ARRA Stimulus Funds
Amount: $.00
ACTION REQUESTED: The Superintendent recommended approval.
f. Budget Amendment Number Twenty-Five
Fund Source: 431 Funds
Amount: $5,537.00
ACTION REQUESTED: The Superintendent recommended approval.
8. AGREEMENTS/PROJECT/GRANT APPLICATIONS
a. Contract for Unemployment Compensation Cost Control Services
Fund Source: General Fund
Amount: $3,100.00 annually ($775.00 per quarter)
ACTION REQUESTED: The Superintendent recommended approval.
b. Contracted Services
Fund Source: General Fund
Amount: $11,600.00
ACTION REQUESTED: The Superintendent recommended approval.
c. Contracted Services
Fund Source: General Fund
Amount: $5,600.00
ACTION REQUESTED: The Superintendent recommended approval.
d. Contracted Services
Fund Source: Title I School Improvement ARRA – Project #432261S
Amount: $38,950.00
ACTION REQUESTED: The Superintendent recommended approval.
9. STUDENT MATTERS
a. Student Expulsion – See back-up material
Case #53-1011-0231
ACTION REQUESTED: The Superintendent recommended approval.
b. Student Expulsion – See back-up material
Case #54-1011-0231
ACTION REQUESTED: The Superintendent recommended approval.
c. Student Expulsion – See back-up material
Case #55-1011-0231
ACTION REQUESTED: The Superintendent recommended approval.
d. Student Expulsion – See back-up material
Case #56-1011-0231
ACTION REQUESTED: The Superintendent recommended approval.
e. Student Expulsion – See back-up material
Case #58-1011-0211
ACTION REQUESTED: The Superintendent recommended approval.
f. Student Expulsion – See back-up material
Case #59-1011-0211
ACTION REQUESTED: The Superintendent recommended approval.
g. Student Expulsion – See back-up material
Case #61-1011-0051
ACTION REQUESTED: The Superintendent recommended approval.
h. Student Expulsion – See back-up material
Case #63-1011-0071
ACTION REQUESTED: The Superintendent recommended approval.
i. Student Expulsion – See back-up material
Case #71-1011-0071
ACTION REQUESTED: The Superintendent recommended approval.
j. Student Expulsion – See back-up material
Case #72-1011-0071
ACTION REQUESTED: The Superintendent recommended approval.
k. Student Expulsion – See back-up material
Case #74-1011-0071
ACTION REQUESTED: The Superintendent recommended approval.
10. SCHOOL FACILITY/PROPERTY
a. HVAC Full Service Agreement with Brooks Air System at East Gadsden High School
Fund Source: 110 Fund
Amount: $45,924.00
ACTION REQUESTED: The Superintendent recommended approval.
b. Walkway Cover Replacement at George W. Munroe Elementary School
Fund Source: Capital Outlay
Amount: $11,650.00
ACTION REQUESTED: The Superintendent recommended approval.
c. New Parking and Road Paving at Greensboro Elementary School
Fund Source: General/Dollars Earmarked for Paving
Amount: $41,750.00
ACTION REQUESTED: The Superintendent recommended approval.
d. Certification of Facilities Data
Fund Source: N/A
Amount: N/A
ACTION REQUESTED: The Superintendent recommended approval.
11. EDUCATIONAL ISSUES
a. ESOL Add –On Endorsement Plan
Fund Source: N/A
Amount: N/A
ACTION REQUESTED: The Superintendent recommended approval.
ITEMS FOR DISCUSSION
Items preceded by an (*) asterisk were removed from the CONSENT agenda at the beginning of the meeting and acted upon during the DISCUSSION portion of the agenda.
*6. PERSONNEL MATTERS (resignations, retirements, recommendations, leaves of absence, terminations of services, volunteers, and job descriptions)
a. Personnel 2010 – 2011
Mr. Helms requested correction on page #7 of the agenda to remove Sara Anzualda from the personnel leave of absence list.
Following discussion, Mr. Isaac Simmons made a motion to accept the Superintendent's recommendation to approve agenda item #6a with the noted correction to remove Sara Anzualda from the personnel leave of absence list. The motion was seconded by Mr. Charlie D. Frost.
In response to Mr. Hinson's concern about when substitutes are going to get a pay increase, Mr. James stated that no one has received a pay increase in years and substitutes are no different.
The motion for agenda item #6a carried unanimously.
ACTION REQUESTED: The Superintendent recommended approval.
*8.
AGREEMENTS/PROJECT/GRANT/APPLICATIONS
e. 2011 – 2012 Fresh Fruit and Vegetable Grant Applications
Fund Source: Florida Department of Education
Amount: Determined by Grant Approval
Mr. Helms requested an overview of agenda item #8e – 2011 – 2012 Fresh Fruit and Vegetable Grant Applications.
Mrs. Joanette Thomas shared with the Board a brief overview of the 2011-2012 Fresh Fruit and Vegetable Grant Application. She stated that the Food, Conservation, and Energy Act of 2008 authorized funds for the Fresh Fruit and Vegetable Program for all states. She stated that all participating schools must offer fresh fruit and vegetable as a snack to students during the school day. She stated that five schools are presently participating in the Fresh Fruit and Vegetable Program, and seven schools will be eligible to participate the next school year. She stated that the fresh fruit and vegetables are served at 2:45 p.m., and students receive curriculum on fruit and vegetables.
Following discussion, Mr. Charlie D. Frost made a motion to accept the Superintendent's recommendation to approve agenda item #8e. The motion was seconded by Mr. Eric F. Hinson and carried unanimously.
ACTION REQUESTED: The Superintendent recommended approval.
*10. SCHOOL FACILITY/PROPERTY
e. Request to Delete from Capital Assets – Motor Vehicles
Fund Source: Applicable Funds
Amount: $76,224.00
Mr. Simmons asked what were the actual purchased price for the motor vehicles to be deleted from capital assets.
Mr. Bruce James stated that the vehicles have depreciated value at this time. He stated that vehicles will be advertised for sale and have open bids. He stated that Board approval is needed to delete the applicable depreciation from the Motor Vehicle Capital Assets. He stated that this action is based on information received from the Maintenance Department.
ACTION REQUESTED: The Superintendent recommended approval.
12. EDUCATIONAL ITEMS BY THE SUPERINTENDENT
Mr. James stated that the Student Success Act (Senate Bill 736) passed legislation. He stated that Senate Bill 736 will no longer require teacher tenure; evaluations will be done every three years; the 97-day rule will no longer be in tact; and a new performance appraisal for principals. He stated that the district is preparing for a new era. He stated that there will be flexibility with class size. He stated that FCAT testing will be administered in two weeks. He stated that the proficiency level has been increased. He stated there will be challenges with the new math. He stated that his prediction is there will be no failing schools this year. He stated that East Gadsden High School received an outstanding rating from the State. He stated that the coaches were extended an invitation to present at the State-wide conference.
State Representative Alan Williams presented the Board with a check in the amount of $3,000 from his campaign funds. He praised the Board and Superintendent for their success in the district. He stated that the district should brand its programs such as the Gadsden Leadership and Law Academy because other districts want to follow with similar programs. He complimented the district for having three "A" schools. He stated that he made the contribution because of the needs in the county and his commitment to give back to the community. He stated that the check was made out to the Gadsden County Educational Foundation, a non-profit organization that aids in educational functions for the district.
The Superintendent and Board thanked State Representative Alan Williams for his contribution.
Mr. James stated that he attended the function to meet the new President of Tallahassee Community College, Dr. Murdaugh. He commended Dr. Murdaugh for his support to the Gadsden district. He also commended Mr. Milton. He stated that many of Gadsden's students were featured at the President's meet and greet function.
13. SCHOOL BOARD REQUESTS AND CONCERNS
Mr. Hinson stated that a district-wide process needed to be put in place for students entering the schools from other districts. He stated that he was concern that students who had discipline problems in other districts were allowed into the Gadsden district without proper background checks.
Mr. James stated that Mr. Hinson had a valid point in regards to the district putting in place a district-wide process for students to enter schools from other districts. He stated that he would look into developing a process that could be followed district-wide. He stated that currently principals check the students out as they transfer into the district.
Mr. Helms introduced Attorney Kevin Carroll with Ausley & McMullen Law Firm. He requested the Board have a closed-door session immediately following the regular meeting to discuss a pending litigation matter.
14. Mr. Helms recessed the meeting at 7:08 p.m. for a closed-door session to discuss a pending litigation matter. The closed-door session adjourned at 7:18 p.m.; the regular meeting reconvened at 7:19 p.m.; and adjourned at 7:20 p.m.
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Comparison of reservoir knowledge, drilling benefits and economic advantages of UB, MP
By Sara Shayegi, Randy Lovorn, Sperry Drilling Services
UNDERBALANCED AND managed pressure drilling may be effective solutions for overbalanced drilling problems, but the full benefit of these technologies can be realized only with better understanding of where each technique should be used and what benefits can be expected.
As the industry gains familiarity with underbalanced (UBD) and managed pressure drilling (MPD), the techniques have proven to be effective solutions to severe fluid losses and other problems inherent to conventional drilling. However, with better understanding of the basic concepts of each drilling method, their application can be optimized to yield significant additional benefits.
Generally, UBD is both a reservoir performance improvement and characterization tool, as well as a solution for tackling difficult drilling problems, while offering a unique well testing-while-drilling capability.
MPD, on the other hand, is a well construction enhancement tool, used primarily to address drilling-related problems that result in costly nonproductive time (NPT).
Given these generalities, there are well scenarios in which both techniques may be needed to provide different benefits in different hole sections of the same well.
Whether a full underbalanced program, managed pressure drilling or both are applied, in all cases maximum benefit is realized when program design is based on best practices for safely achieving specified project objectives in the most cost-effective way.
DEFINING UBD
While all drilling can be considered a form of "managed pressure drilling," since the pressure must be controlled or "managed" for safe drilling, the industry has adopted this terminology to specify certain drilling practices different from conventional overbalanced drilling. This has caused confusion because different interpretations can be made of what constitutes managed pressure drilling.
March/April 2007
A formal definition of UBD is as follows: "When the hydrostatic head of a drilling fluid is intentionally designed to be lower than the pressure in the formations being drilled, the operation is considered underbalanced drilling."
tures and identifying fracture swarms. Additionally, UBD eliminates losses and differential sticking typically associated with OBD and can improve drilling efficiencies in hard rock or mature reservoirs.
Whether the hydrostatic head is naturally less than formation pressure or induced, the underbalance condition is intended to allow influx of formation fluids that are circulated from the wellbore and controlled at surface. That means by definition, UBD provides the benefit of production during drilling — a fact that becomes a major factor in calculating comparative economics with other methods.
In addition, UBD allows comprehensive reservoir characterization while drilling, which may help reduce time and cost associated with conventional methods of gathering and analyzing well-test data, and which in some cases has led to discovery of previously unseen zones.
In terms of drilling benefits, reservoirs benefiting most from UBD are those formations prone to damage. These can include all types of formations, although significant benefits have been seen in naturally fractured reservoirs by minimizing damage to the micro-frac-
In view of these benefits, UBD initially was only reluctantly adopted by the industry, with high equipment rental costs, regulatory limitations offshore, and unstable formations such as Gulf of Mexico being reasons most often cited for rejecting that option. By addressing those concerns specifically, MPD has emerged as an intermediary solution between underbalanced drilling and conventional overbalanced drilling.
WHAT IS MPD ?
IADC has defined managed pressure drilling as "an adaptive drilling process used to precisely control the annular profile throughout the wellbore. The objectives are to ascertain the downhole pressure environment limits and to manage the annular pressure profile accordingly."
To describe the process, MPD is drilling with a controlled annulus and controlled returns to surface using an equivalent mud weight that is maintained at, or
DRILLINDRILLIN GC O N T R A C T O R
marginally above, formation pressure by manipulation of a dedicated choke device or other method. The key point is that reservoir fluid is not intended to reach the surface.
Rather, the primary purpose of managed pressure drilling is to enhance well construction by minimizing drilling problems, with reservoir benefits a secondary advantage. As a drilling solution, MPD can improve ROP and extend bit life, as well as minimize differential sticking and lost circulation. Capable of drilling narrow pressure margins efficiently and safely, MPD can reduce the number of casing strings required to access the target and allows full integration of MWD/LWD, directional, engineering and mudlogging services.
The critical difference between the two drilling methods lies in how well each can provide benefits for both drillingrelated and reservoir/production-related problems.
Perhaps the single largest benefit of both techniques is how safe they are compared with conventional overbalanced drilling. As described below, both employ a closed pressure-controlled system, making them ideal for pressure control.
SURFACE EQUIPMENT REQUIREMENTS
Because both UBD and MPD provide means of controlling downhole pressures during drilling, as implemented in the industry, both techniques use the same type of equipment, and for both, surface equipment requirements and configurations vary widely.
System design set-ups range from simple wellhead rotating control devices (RCDs) to full equipment packages. Across the entire spectrum, a key consideration is safety and whether the equipment setup controls the operation within strict safety limits.
In general, for UBD applications, key components of a complete surface equipment package where influx is expected and reservoir productivity is the primary objective includes:
* Upstream gas generation and fluid compression/injection systems.
* Wellhead RCD.
* Downstream choke-manifold system.
* Open or closed fluid-handling systems, including downstream fluid separation
DRILLINDRILLIN GC O N T R A C T O R
package (3-phase or 4-phase separation system).
* geologic sampler.
* emergency shutdown (ESD) systems.
* data acquisition and display systems.
* flow metering devices and pressure valves.
* rig-injection pumps.
Similarly, for MPD, requirements can range from a RCD tied to rig flow lines, to the comprehensive UBD-type equipment package listed above.
Several equipment set-ups can be derived from a combination of these key equipment components, with best practices driving design of the system most appropriate for safely handling the well. For example, where no or very minimal influx is anticipated, an MPD set-up may include only the RCD, with manual or automated choke control providing strict control of BHP within the pore pressure and fracture pressure operating window.
fluid influx, an MPD set-up may include downstream fluid separation equipment to safely process fluid within the pressurized system. Similarly, reservoir pressure and available mud system may dictate the need for a comprehensive UBD set-up that includes "all of the above" plus an upstream gas-generation and compression system. In these cases, UBD should be considered if technically feasible, because from an economics standpoint, there will be little cost difference since very similar equipment spreads are used.
Again, best practices will drive system design and dictate surface equipment required based on specific project objectives, as well as reservoir conditions.
WHICH TO USE AND HOW TO CHOOSE
Where very narrow or inverse pore pressure/fracture gradients or fractures/ permeable zones increase potential
While both underbalanced and managed pressure drilling provide means of controlling downhole pressures during drilling, the methods differ significantly in how they do it. During candidate well selection, the benefits and limitations of each technique must be considered qualitatively and quantitatively to determine which should be applied.
March/April 2007 63
WELL SELECTION
In light of the main objectives identified at the start of the project, the selection process consists of analyzing geomechanical and petrophysical information to determine whether a particular well and/or reservoir is a potential candidate .
For a UBD candidate, preliminary wellbore-hydraulics modeling is performed to determine operational feasibility. That is, whether underbalanced conditions are possible and can be maintained through the entire hole section while providing adequate hole cleaning and satisfying downhole motor limits.
Since the primary driver for MPD is to resolve drilling problems, candidate selection is guided by whether MPD is capable of delivering the required results under the specific formation conditions. The process is the same as for UBD candidate selection; however, since no reservoir influx is expected with MPD, consideration of production potential is not as critical, except in cases where the system will be at-balance or potentially may be underbalanced in some sections of the open hole.
Once a prospect is identified, the optimal technique is selected and any potential production improvement is evaluated. (Currently, further investigation is required for quantification of production improvement potential of MPD.) Of primary importance in this evaluation are reservoir properties, which determine formation production and are input for reservoir modeling that estimates anticipated production during UBD. Different scenarios are modeled, and the results used in both detailed wellbore-hydraulics flow modeling and economics evaluation.
Final candidate qualification depends on the economic evaluation , as well as comparing other technologies such as stimulation . At this point, the importance of the quantified productivity improvement becomes apparent as various economic benefits are evaluated.
For example, both UBD and MPD techniques can significantly reduce fluid costs through use of lighter fluid systems and reduced mud losses. Both techniques require some level of surface system automation for rapid response to downhole conditions, and both require some form of data acquisition system, with costs dependent on the specific UBD or MPD equipment set-up necessary to obtain the required amount of data. Both have an effect on formation damage, where UBD can minimize or eliminate it, while MPD may reduce it compared with conventional drilling, which has long-term implications for improved productivity.
Utilizing MPD in non-reservoir sections may require a simpler equipment package to satisfy safety considerations for the well, reducing the dayrate compared with UBD. However, in many instances, the same equipment set-up is necessary for both methods, with the only difference being that smaller separation equipment may be used for MPD.
In some cases, MPD may not be capable of solving the problems encountered, such as when fracture pressure is too close to pore pressure, or when variations occur in pore and fracture pressures in different intervals within the same open hole. These cases may require well design to include UBD in some sections, and overbalance – including MPD – in others .
March/April 2007
DRILLINDRILLING
Thus, the selection process comes back to the primary objectives of the project – what needs to be accomplished to deliver specific benefits, and what equipment and data acquisition capabilities are required to do so.
CASE HISTORIES
With proper candidate selection, using these drilling techniques to meet the specific needs of a challenging drilling project can improve overall success and add tremendous value for the operator.
MPD – Mexico: In one application, formation clean-up times after wells were brought on production were reduced from 20 days for conventional OB wells to an average of 3 days for wells drilled with MPD, and drilling time was cut in half. The multi-well project in Southern Mexico was a deep, depleted, fractured and compartmentalized reservoir with widely variable pore pressures. The main objective was to design a flexible system to cover pressure gradients ranging from 2 to 8.34 ppg, minimizing overbalance because of the narrow margin between pore and fracture pressures, and to reduce or eliminate drilling problems of differential sticking and lost circulation.
BHP was controlled through precise selection of critical operating parameters, such as injection flow rates, fluid properties and chemical injection control. During MPD, important variables were measured, recorded and displayed at the rig site and/or transmitted to other locations, allowing remote monitoring and real-time adjustments to maintain the narrow target BHP.
Successful implementation of MPD in this case included process improvements
CONTRACTOR
from lessons learned while drilling challenging hole sections under changing conditions, as well as increased ROP despite controlled drilling for hole cleaning. MPD times were approximately half those of offset conventional OBD wells, and when the MPD wells were brought on for production, cleanup times were reduced by 15%.
UBD – East Asia: When a severe loss zone prevented conventional drilling from accessing the reservoir in several onshore East Asia wells, UBD was successfully employed to achieve two goals. First, it solved drilling problems by maintaining underbalanced pressure control to minimize losses while drilling to TD. S econd, it minimized reservoir damage and evaluated productivity of different intervals. This included characterizing properties from flow testing and determining production sustainability and any need for stimulation.
This application required high-end data acquisition, using PWD and additional downhole memory gauges for controlling BHP. In some wells, two types of gas meters were used to allow constant monitoring of the gas rate. Data were transmitted via satellite to the service company's reservoir evaluation center, where analysis was carried out in real time, including periodic flow tests and pressure build-ups in some wells.
In this case, successful UBD made it possible to drill into the reservoir without losses, although some wells did not reach TD when unexpectedly high production made further drilling unfeasible without going overbalanced and causing formation damage, or the surface and rig equipment limits were reached.
Compared with conventional overbalanced drilling in this application, UBD reduced NPT by 75% through elimination of time associated with controlling losses, kicks, stuck pipe and improved well control. In addition, bit requirements for the high compressive strength rock were reduced to just two or three bits, compared with six to eight bits typically required for overbalanced drilling.
Because the formation was extremely sensitive to damage even with limited short periods of overbalance, MPD would not likely have yielded the productivity improvements observed.
UBD also provided reservoir characterization for the application, confirming reserves and further delineating reser-
DRILLINDRILLING
voir properties of production intervals, including confirming at least one zone previously thought to be not productive.
However, in this case the greatest benefit of UBD was realized in a ten-fold production increase compared with the sustained offset OB wells, and a five-fold increase compared with the best performance of stimulated wells in this and offset fields.
decline in the sustained production.
Sara Shayegi has has worked for 9 years in the underbalanced drilling industry with a focus on reservoir evaluation while drilling and MPD and has a PhD Petroleum Engineering/Chemical Engineering minor from Louisiana State University. Randy Lovorn has 29 years of experience in drilling E&P and f or last 10 years has focused on drilling optimization. He holds a degree in Chemistry from the University of Mississippi.
Stimulation was not necessary, providing additional cost savings from UBD, and long-term production tests reveal little
This article is based on a presentation being made at the 2007 IADC/SPE Managed Pressure Drilling and Underbalanced Operations Conference & Exhibition, 28-29 March 2007, Galveston, Texas.
CONTRACTOR
March/April 2007 65
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Who shall inspect the inspectors?
H Cannell Consultant Oral and Maxillofacial Surgeon Harley Street, London
This article reflects the author's personal opinion and not that of the Bulletin or the RCS. The author sent a draft of his remarks to the CQC.
For over three years, from March 2014, I was an occasional surgical advisor to the Care Quality Commission (CQC). During that time, I was a team member for both NHS and private hospital provider inspections. My experiences led me to have real misgivings about the inspection process for the administration and management of healthcare. This article details the reasons for some of these misgivings. They concern not only recent changes to the way in which specialist advisors (SpAs) are treated and managed by the CQC but also aspects of current managerial practice in hospitals and theatre practice more generally.
It may be worth reminding the reader of the role of the SpA, as it functioned until recently. The SpA is used on an ad hoc basis for hospital inspections by the CQC. The role of a SpA is to 'provide timely, robust and objective specialist advice to CQC staff, either through verbal or written communication'.1 The SpA accompanied staff inspectors, providing clinical input interpretation and evaluation as required. Inspections of the larger trusts were staffed by a number of SpAs and by up to 50 other CQC staff.
For all inspections, everyone in the inspecting team was issued with a warrant, active for the duration of that inspection. This allowed access to all areas of the hospital, to any records and, if necessary, to patients' notes. Briefings were given before every inspection. Deviations from a national mean in a certain area of performance indicated that the area of performance required scrutiny. The system worked well enough apart from a noticeable reluctance of the inspecting team to receive a SpA's findings in any other way than through a staff inspector and (on a few occasions) the unavailability of warrants.
From 19 September 2016, however, a revised set of terms of engagement was introduced, under the heading 'Flexible workforce'. This included a pay cut in all but name. The terms and conditions applying to ad hoc requirements for a 'casual worker' SpA were, in fact, comparable with those for peripatetic crop pickers.
Any SpA who did not accept the terms would not be selected for any further inspections. Moreover, the new terms devalued the SpAs' work. They stipulated that even a consultant SpA must work under the direction of a staff inspector. At first, I was not especially concerned about this; many staff inspectors, after all, were mature and knowledgeable ex-nurses. This view turned out to be too sanguine. The 'flexible workforce' rubric meant that newly recruited permanent staff inspectors had to become generalists, miraculously able to review any hospital department; the turnover of such appointees was about 10% per year, with roughly a quarter of those leaving for negative reasons.2 The revised employment model exhausted past goodwill from staff, including the ad hoc SpAs.
The devaluation of SpAs' work is especially serious given some of the substantive concerns brought to light. We found surgery taking place in metal boxes (similar to those seen in container ports), masquerading as 'temporary' operating theatres. In one trust, some day-case patients had to stand in a queue between two buildings, but were not adequately shielded from the cold in winter or the sun in summer. Capture of induction data for general anaesthetics varied greatly; sometimes the data had simply been lost or apps on mobile devices used for induction records were incapable of recording changes. Patients and visitors mainly seemed to avoid using hand hygiene stands. Theatre staff were fully changed into scrubs and shod in electrostatically safe clogs for all clean areas, and yet some patients were not appropriately attired. Only one or two trusts appeared to have any idea of how to tackle this problem.3
Only very rarely did we have to intervene to protect the safety of patients. On one
PeerRev occasion it was necessary to persuade a consultant colleague to get some rest after finding that the consultant had been on shift over a sequence of busy days followed by a night on call; at other times, we had to step in and recommend tests of capacity for informed consent for some patients. The CQC's inspection reports generally failed to confront these embarrassing facts.
Of equal concern were the deficiencies in management structures and practices. Only one NHS trust I visited, in three years of inspections, had a stable middle management team. Sometimes the tenure even of senior managers was so short that they could achieve nothing. At one meeting with a senior manager of over three months' standing, we had to introduce that person to their own departmental heads. Some managerial staff appeared to have been overpromoted and it was not always clear who was responsible for what.
One especially disturbing feature of inspections was that bad news seemed to reach us only after we had been there for a few days, often during the last hours of a three or four-day comprehensive inspection. 'You are being told lies by the trust management,' clinicians might say. 'They just won't listen to us. We have tried everything. Can you help?' Or they might ask: 'Did you see the extent of out-of-hours working for elective surgery?'
We were unable to ensure that such concerns were reflected in CQC reports. The language of these reports was euphemistic. It would not be permitted, for example, to write that staffing levels for acute surgical emergencies in a trust were lower than in trusts of similar size, but only that they 'appeared' to be so. In such cases, the management of the trust had not wished to ease a problem (or even describe it). Still less would they accept responsibility for solving it. Even where the CQC's report did highlight a problem, the regulator's threshold
PeerRev for applying sanctions for underperformance by management, curiously, was not reached. There are five questions that the CQC asks for all care services it inspects; one of these is: 'Are they well led?' One can only hope that this area will include an analysis of the costs and benefits of all managerial posts.
In its wide ranging report on every hospital inspected from 2014 to 2016, the CQC explained that contributions from tion and feedback were recurrent problems. 6 SpAs were invited to complete a short feedback questionnaire but this happened long after an inspection, when details had lost clarity; in any event, the questions were anodyne. Occupational health checks and appraisals for staff are now said to be available at the CQC. These have long been overdue.
A further source of concern was the inaccessibility to inspectors of work done by
A further source of concern was the inaccessibility to inspectors of work done by private providers
whistleblowing staff were greatly valued.4 Figures for the period November 2017 to October 2018 indicated an input of over 700 whistleblowing reports on average per month.2 However, it remains unclear when and by whom these whistleblowing reports were considered. Whistleblowers could not be sure that pressing concerns raised to SpAs would be properly addressed. Despite the declarations that whistleblowers' contributions are strongly valued, this lack of clarity can hardly give them confidence.
In addition, there were other problems with CQC reports. Permanent staff inspectors were instructed not to ask for written or verbal advice from the SpAs after the inspections when writing up their reports. This led the reports to follow a straitjacket, tick-box culture. For this reason, important matters that should have been unearthed were missed.
private providers. At one inspection in 2014, we were told that a busy unit, in an NHS hospital, was out of bounds to the inspecting team as it was administered and staffed by a private company. Such exceptions to a comprehensive trust inspection have now been abolished. From April 2018, inspections of private hospitals will have become focused on selected risk areas – presumably, after preparatory use of the CQC's intelligence data banks. The management and administration will also be scrutinised more closely, with an emphasis on improvements in patient safety.
The inadequacies of the reports may reflect wider problems within the CQC. Bullying of juniors by line managers appears to have been a chronic issue.5 Annual staff surveys showed that a gradual improvement had been made and yet some staff preferred not to respond to the survey. It was apparent that communica-
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These are welcome changes. Previously, commercial pressures still seemed to control available information. During 2016–2017, the CQC was at last able to concentrate on private provider hospitals; most have now been inspected at least once. Unhappily, however, the private providers have been allowed to submit hospital performance data almost on a voluntary basis to the Private Healthcare Information Network (PHIN). PHIN is described as the government mandated source of information for private healthcare. Since April 2015, PHIN has been tasked with the collection and publication of data of sufficient quality to enable patients to make informed choices regarding their treatment. 7
Data on 11 aspects of performance were collected and participation was required by every one of roughly 12,500 consultants offering treatment by private contract, but the PHIN annual report for 2016–2017 showed that 151 private hospitals had yet to submit any data.8 Despite this, with an initial phase of light touch regulation by the CQC, no enforcement had occurred. Changes, due now, have for the first time targeted the companies that own the provider hospitals. Breaches could therefore initiate enforcement action and fines, at both the parent company and the local provider levels.
Nevertheless, gaps in information about privately funded facilities remain unfilled.9 It may be suspected that the tardy responses to requests to fill them reflect the commercial interests of providers. Furthermore, the gaps demonstrate that the CQC, as a regulator, has been poorly advised and has failed to consider working patterns during an average surgeon's seven-day week. If missing outcome figures were supplied, this would at least make it possible to compare a minimum dataset but data should also include patient safety measures, especially those raised by newer techniques or by non-NHS recognised procedures.
CQC Insight (the regulator's new data monitoring tool) is stated to be able to help identify changes and trends in performance and quality. As with any such software, the data input (and its regulation, use and monitoring) will be crucial. Perhaps the CQC has also already chosen to place too much reliance on data gathering alone. Only when data are coupled with informed input of high quality from working clinicians, can data and artificial intelligence succeed.
Who shall inspect the inspectors? In common with other regulatory bodies, any doctors with leadership functions must be seen, on appointment, to include themselves
in appraisals and also to open their facilities for inspection to ad hoc SpAs. The CQC, however, is hardly encouraging or valuing the work of SpAs in the way it should. Ad hoc SpAs too often appear to be regarded by the CQC's core staff as a distraction from the important work of box ticking. Sometimes SpAs are treated as little more than window dressing. The CQC should not think of itself as being the 'line manager' for SpAs. Finally, the terms and conditions under which SpAs work surely require thorough revision by medically qualified clinical staff.
be assessed by the CQC. To date, 'management' has been able to evade its responsibilities and to remain a serious obstacle to the efficacy of a CQC inspection. It should not have taken the events at Mid-Staffordshire to bring this to the fore. The sign of the revolving door was already there but ignored.
References
1. Care Quality Commission. Job title: specialist advisor. https://www.cqc.org.uk/sites/default/files/20171110_ specialist_advisor_job_description.pdf (cited February 2019).
The CQC's currently declared focus on whether care services are 'well led' is timely – if about four years too late. At last, too, the recruitment and performance of 'fit and proper persons' as directors of healthcare services will
2. Care Quality Commission. Performance report: October 2018. https://www.cqc.org.uk/sites/default/files/ CM121805_Item5_PerformanceReport-October.pdf (cited February 2019).
3. Pluck L. Infection Prevention and Control Practice in the Operating Department. Salisbury: Salisbury NHS Foundation Trust; 2017.
RCS webinars
Webinars are just one of the many benefits offered for RCS members. These online sessions are very popular due to their flexibility and the range of topics addressed. Viewers participate in in-depth discussions and presentations by a panel of experts. Topics for webinars are picked from members' suggestions and internet polls. If you have an idea for an RCS webinar, please email: email@example.com.
Past webinars can be downloaded from the News and Events section of the website, and include: How to build your portfolio, Writing a good paper and Surgical placements. We have an exciting line up for the coming months:
8 May The law and the surgical practice chaired by Leslie Hamilton
5 June The surgical care team: Human factorschaired by
Ian Martin and Peter Brennan
Find the full list of upcoming webinars and RCS events at: www.rcseng.ac.uk/events.
PeerRev
4. Care Quality Commission. State of Care in NHS Acute Hospitals: 2014–2016. Newcastle upon Tyne: CQC; 2017. p37.
5. Hunter S. Exploring Bullying and Harassment in the CQC. Doncaster: People Opportunities Ltd; 2013.
6. Care Quality Commission. Board meeting 21 February 2018. Agenda item 9: 2017 staff survey. https://www. cqc.org.uk/sites/default/files/CM021809_Item9_ StaffSurveyResults.pdf (cited February 2019).
7. Private Healthcare Information Network. The 2016 Annual Report. London: PHIN; 2016.
8. Private Healthcare Information Network. The Private Healthcare Information Network Annual Report 2016–17. London: PHIN; 2017.
9. Ramesh R. NHS trusts are enmeshed in private provision – as buyers and suppliers. The Guardian. 2012 December 18.
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LEGACY Winter 2017
Donor Profile
Don & Betty Flood
his space is not large enough for me to describe all that Don and Betty Flood have done. I can rattle off a few snippets though: US Naval Academy, Stanford, San Jose State, flight attendant, and physical education, 50 mile run at age 50, mechanical engineering, entrepreneurs, pilots, sailors, parents and grandparents. Ask them for details of their many escapades! T
Jumping ahead to the more recent past, Quail Creek (and also a large motor home) was home to the Floods for 10 years. They moved into a Park Centre Home at La Posada in January 2014. While they had thought about moving in earlier years, it wasn't until the detached single-family homes were built that they decided the time was right. "Don really needs a two-car garage," commented Betty. "If you look in there you'll see why!"
Even with the two-car garage, Don wasn't ready to move until he reviewed La Posada's financials. "I was pleased to see the financial stability and that there was local, on-site management and a local board." As residents, Don and Betty are now both involved in activities related to employees. Betty is helping a staff member prepare to take her U.S. Citizenship test – hopefully later this year. Meanwhile, Don has accepted an invitation to join the Scholarship Committee in 2017.
Law enforcement was the beneficiary of Don's
interest in giving back to his local communities. For 18 years, he volunteered in various capacities in Reno, Tucson and Sahuarita. The Floods also decided to support La Posada by adding the Posada Life Foundation to their charitable interests.
"There are several reasons why we decided to fund a charitable gift annuity with La Posada," said Don. "Obviously, we believe in management, the annuity income is nice, the charitable deduction helps on taxes, and we know that, ultimately, the residual will aid the scholarship program after we're gone. I think many people would benefit from learning more about a Posada Life Foundation charitable gift annuity."
I have no doubt that exciting experiences await Don and Betty as they continue to live life to the fullest at La Posada.
Sweeten Your IRA
Have you ever tried to pour coffee before it is done percolating? The result is usually coffee everywhere! Even if you avoid spills, your coffee just won't taste right if it hasn't finished brewing.
There are other times in life when we may be forced to take something sooner than desired. An example of this is the required minimum distribution (RMD) from your IRA. Did you know that once you reach 70½, the government will require you to take distribution from your IRA, even if you do not need the money or might think it better to preserve your IRA for something important, such as a rainy day? The RMD could also substantially increase the taxes you have to pay on your income.
If you are faced with an RMD this year, consider a better use for the funds. Make a gift of your RMD (up to $100,000 this year) directly to charity.
continued on page 2
Foundation U P D A T E
It is peak snowbird season in southern Arizona. When the snow starts to fly up north, the birds flock to Green Valley. The Safeway parking lot becomes a combat zone, the golf courses charge maximum greens fees, and seating is at a premium at Posada Java. But with sunshine and comfortable temperatures, who cares!
It's nice to custom order your favorite barista concoction at Posada Java on a winter day. We're all a bit different and we can satisfy our individual needs during a trip to Java. The same thinking applies when it comes to philanthropy. John may be interested in scholarships while Mary is concerned about a senior lunch program. Bill may have appreciated stocks to share while Alice could donate a rarely used vacation home. Allen would like to increase his income while Sally wonders about the benefits of an IRA Charitable Rollover. And all are interested in reducing their tax liability.
As you read through this winter issue, you will see articles that provide information on all the ways we can provide you with just the right solution to your philanthropic thirsts. There is, of course, one caveat. You must take the first step. Give us a call to chat about your 'what ifs' and what's on your mind. We'll buy the coffee.
YOU CAN BENEFIT FROM GIVING FROM YOUR IRA IF…
* You do not need all or a portion of your IRA income.
* You wish to make a significant gift without using cash or other assets.
* You are paying too much in taxes and are looking to reduce your income.
* You want to give over and above your normal giving this year. An IRA rollover gift does not count towards the 50% annual limitation on charitable gifts.
* You do not itemize deductions. Because a rollover gift can reduce your income and taxes, you can still benefit from charitable giving even as a non-itemizer.
continued from page 1
Contact your IRA administrator and ask for the forms to make a charitable transfer to support our mission. The transfer counts against your RMD, but because you never received the IRA distribution, you will not be taxed on this amount.
Rather than pay income tax on your required minimum distribution, transfer the funds to charity instead.
While this helps with your immediate RMD concerns, consider amplifying your annual gift with a legacy gift. Your IRA rollover gift can be combined with a bequest made in your will or additional IRA beneficiary designation gift to make an even greater difference. By giving directly from your IRA today and supplementing it with a bequest, you can make your giving go further by giving when the timing is right for you.
If you want your IRA to continue your giving legacy, ask your plan administrator to add us as a remainder beneficiary on your account.
HELP US SERVE THE NEXT GENERATION . . .
By remembering the Posada Life Foundation in your trust or will you help us serve the next generation. The statement below provides appropriate language for a lasting legacy to take place:
“I bequeath the sum of $______ to La Posada at Park Centre, Inc., Green Valley, Arizona, 85614, to be used or disposed of as La Posada, in its sole discretion, deems appropriate.” (Or specify a special program or interest.)
By leaving a legacy gift to La Posada.
A gift annuity gives you benefits today, tomorrow and for as long as you live.
Charitable Gift Annuity? Have you heard of a
A gift annuity is a simple agreement between you and our organization in which you give us money or an asset, and in exchange, we promise
Gift annuities are as flexible as they are appealing. You can designate the payments for yourself, for someone else, or for yourself and another person. Plus there's another benefit with a charitable gift annuity—after a lifetime of payments to you, any funds left in the gift annuity automatically go to support our mission.
to pay you fixed payments for as long as you live.
The amount never changes, no matter what the economy does.
Gift annuities offer you:
* Possible capital gains benefits (ask us how).
If a gift annuity sounds appealing, consider giving it even more power. In addition to the funds remaining in the gift annuity that will go to our mission, you can add to those funds by making a second gift in your will or as part of your estate plan. You can make your second gift in a specific amount or as a certain percent of your estate. You can even use your estate plan to establish a testamentary charitable gift annuity to provide the same kind of great gift annuity payments to a loved one after you are gone. A gift annuity gives you incredible benefits while also helping a cause that matters to you.
* An income tax deduction this year.
* Payments for life, no matter how long you live.
2017 CHARITABLE GIFT ANNUITY RATE TABLE
Why are charitable gift annuities the most popular way to support La Posada and Posada Life Community Services? As the accompanying chart illustrates, donors can …
* receive income for life;
* gain a current-year charitable tax deduction;
* support La Posada's programs and mission; and avoid the angst over the stock market or low money market and CD rates.
Call the Foundation office for annuity rates for other ages or to receive a no-obligation sample calculation tailored to your specific needs.
MANY THANKS!
Once again many of our Foundation friends found their favorite campus causes to support. Their interest provides critical support to the people who benefit from these programs. Congratulations on making a difference!
19th Annual Giving 2016
| Unrestricted | $54,689.00 |
|---|---|
| Los Ninos Del Valle | $30,625.00 |
| Scholarship Fund | $12,530.00 |
| Good Neighbor Fund | $11,265.00 |
| Bowers Scholarship Endowment | $10,100.00 |
| Casa Community Services | $9,130.00 |
| Casa Adult Day Care Services | $8,677.00 |
| In House TV Fund | $5,888.00 |
| Central Park | $5,339.00 |
| Fitness Activities | $4,219.00 |
| The Shoppes | $3,021.00 |
| Casa Outdoor Classroom | $2,550.00 |
| La Vista Library Fund | $2,375.00 |
| Casa Community Center | $2,012.00 |
| La Perla Library Fund | $1,861.00 |
| Performing Arts | $1,736.00 |
| La Via General Fund | $1,225.00 |
| Miscellaneous Funds | $1,137.00 |
| La Joya General Fund | $817.00 |
| Out Patient Therapy | $717.00 |
| Workshop | $661.00 |
| Bark Park | $541.00 |
| Posada Life at Home | $500.00 |
| Intergenerational Fund | $50.00 |
TOTAL
$171,665.00
From a tax perspective, a gift of appreciated assets makes sense. You can make the capital gains taxes optional, achieve significant tax savings and support our work.
Scenario:
Jenny and her husband Bob supported the Posada Life Foundation for years. Bob handled all the finances which left Jenny nervous dealing with the finances after Bob passed away. As she is adjusting to life as a widow, Jenny still wants to support the Foundation. In fact, she wants to sponsor a sculpture in Central Park in Bob's memory, but isn't sure of the best way to do that.
Question:
Is there a tax-wise way for Jenny to remember Bob with a gift to the Posada Life Foundation?
Solution:
Jenny met with Mark at the Foundation office and learned that using some of the appreciated stocks that Bob purchased years ago could be the tax-wise solution she was looking for. After talking with her accountant, Jenny learned that she could make a gift of her stock and receive an income tax deduction this year. By transferring the stock, as opposed to selling the stock and gifting the cash, she can avoid the capital gains tax on the appreciated value. "I know Bob would be proud of me for having the confidence to research this gift, Jenny said. "And I'm pleased to remember Bob every time I walk through Central Park and see his beautiful sculpture."
2016 MASTER PROGNOSTICATOR Patricia Graffweg
It pays to be optimistic!! After a lackluster 2015, most of our contestants made pretty conservative predictions on how the DOW would end the year, but not our new Master Prognosticator, Patricia Graffweg. "I didn't think it would hit 20,000", so she forecast a 14% rise (to 19,876) in the DOW, which actually rose 13.4% (closed at 19,763). Pat's win now extends the ladies lead to 8 – 6 over the men.
The Posada Life Foundation is the philanthropic arm of La Posada at Park Centre, Green Valley's not-for-profit continuing care community. La Posada was established to provide resources for programs to enhance the quality of life for seniors.
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GCSE
Principal Moderator's Report
Chief Examiner's and Art and Design
Foreword
This booklet outlines the performance of candidates in all aspects of this specification for the Summer 2023 series.
CCEA hopes that the Chief Examiner's and/or Principal Moderator's report(s) will be viewed as a helpful and constructive medium to further support teachers and the learning process.
This booklet forms part of the suite of support materials for the specification. Further materials are available from the specification's microsite on our website at www.ccea.org.uk.
Contents
Contact details:
GCSE Art and Design
Chief Examiner's Report
Subject Overview
This report has been compiled with the help of our moderation team and informed by evidence in centres. This is the first complete series without optional unit omission since before the Covid-19 pandemic.
Supporting the return to 'normal' in the current context has been challenging for reasons including absenteeism, and skills and confidence deficits. Thank you to all teachers for supporting the journey towards pre-pandemic standards.
It was wonderful to see some evidence of a return to previous levels of excellence and in some cases a renewed energy and enthusiasm for creative, varied, and innovative work. However, in general the standard was inconsistent and varied to a concerning degree. Whilst a return to pre-pandemic standards was not expected this year there is clear evidence of unprecedented generous marking across levels and particularly at Levels 4 and 5. There was less rigour, technical skill, maturity and ambition in developing and realising ideas than is expected at this level, however marking by teachers was over generous and did not reflect that.
Moderation
The Moderation Briefing Meeting for this series took place at Saint Catherine's College Armagh. We would like to thank the Head of Department, Principal and staff for their cooperation, organisation, warm welcome and hospitality. This year was our first year using EModeration. This led to a much smoother operation for both schools and the moderation process. Feedback from centres and our moderating team will help to improve this process further.
During centre visits, moderation was sometimes challenging due to inappropriate presentation of work such as overlapping portfolios, and work presented at height. Work sometimes had to be viewed on the floor. Centres are reminded that moderators require space in a suitable room where the work can be viewed properly. Centres should present the sample in rank order, and clearly labelled, as outlined in the Instructions to Teachers booklet. The display for Moderation should take precedence over an exhibition for parents. Centres are asked not to arrange a viewing for parents on the afternoon of the moderation visit, to allow the moderation process to be completed without pressure. Centres are free to modify and change the display to be suitable for parents after the moderation process is complete.
Internal Assessment Overview
In many centres the standard of marking and the application of the assessment matrix was good. However, in a significant number of centres marking was lenient or inconsistent, and not in line with the agreed standard. An escalation in marking results in an escalation in grade boundaries. Attendance at Agreement Trials and rigorous internal standardisation is fundamental to maintaining appropriate and consistent standards and grade boundaries.
Moderators reported that teachers spoke of taking absence and other pandemic related issues into consideration when assessing work. As a result, marks were inflated to one or more levels higher than the agreed standard in many cases. Centres are reminded that individual pupil circumstances cannot be considered by teachers in their marking.
If there is an application for special consideration marks are adjusted later through our Post moderation procedures.
It was evident that some teachers had not read all instructions and/or circulars. Information is frequently updated, and the instructions often change year on year, particularly in the current context.
Component 1
Part A
Exploratory Portfolio
Candidates demonstrated an understanding of the formal visual elements mainly through investigating artists. In some cases, practitioner-led workshops were used successfully as starting points for developing work and ideas. However, many centres rely on a small number of the same practitioners. This has led to very similar work being produced across many centres. A personalised and context specific approach would allow for more diversity. Unfortunately, the knowledge and understanding gained from such workshops did not always inform candidates' own ideas development. Printmaking remains popular, but there is over-reliance on tracing imagery rather than candidates creating their own imagery. In a significant and increasing number of cases, there was an overreliance on artworks and imagery found online that lacked credibility.
Centres that explored a well-considered range of media and processes, provided opportunities for candidates to explore at a more meaningful level. Less successful approaches involved teaching an extensive range of techniques without opportunity to focus in and refine and develop, applying learning to more independent work. Teachers commented on the necessity of a formulaic approach because of pandemic related issues such as attendance, confidence, and motivation. However, candidates must have the opportunity to develop their own ideas and outcomes with guidance from teachers.
Practices for recording observations ideas and experiences varied across centres. Many relied heavily on secondary imagery rather than direct observation. In some centres candidates initially used photography skills to record and investigate with varying levels of success. Stronger candidates used their own photography to record sensitively and skillfully and inform further investigations in other media. In some centres observational drawing was sparse or absent entirely. Some recordings showed an obvious overreliance on using the lightbox and other tracing methods. Recording from primary sources and using drawing to develop original imagery is a requirement of the course. (See Page 8 of the specification).
Part B
Investigating the Creative and Cultural Industries
Delivery of this part is continuing to evolve and develop in interesting ways. In the best centres there was a clear progression of learning from Part A through to Part B with candidates applying and building on learning. Successful approaches included working on a theme that carried through Parts A & B, and setting clear briefs for Part B that developed their learning from Part A. The use of briefs to lead work was significantly improved in this series. The Guidance and examples for teachers booklet is available on the website under "Assessment", and provides a wide range of approaches which can be adapted.
Assessment objective one remains the most challenging particularly for candidates in centres that have not fully adapted to this specification. Candidates struggle to show confidence and understanding of purpose without a clear and appropriate brief. When this is the case even the most technically skilled and diligent candidate cannot achieve high marks.
Where a brief was present from the beginning candidates demonstrated better skills in selection, discrimination, and refinement with purpose. To show understanding of the creative and cultural industries some centres had photoshopped work into galleries or other settings. Sometimes this was simply an 'add-on' and did not display any critical understanding of purpose or intention. Most investigations of relevant artists were secondary. Stronger candidates made good links with their intentions and ideas.
Centres that explored a well-considered range of media and processes in Part A, provided more opportunities for candidates to explore at a more meaningful level in Part B. In centres that used a more formulaic or prescribed approach, work produced was much less individual, creative, and ambitious.
Candidates produced more original outcomes, when they were given the opportunity to work creatively, purposefully and with understanding. The formulaic approach allowed less able candidates to gain marks at lower levels and the outcomes were safe and predictable.
Best practice was seen when candidates made successful connections to their preparatory work leading to outcomes which were more individual and personal. In a number of centres outcomes were disappointing and not reviewed and refined in a meaningful way. In some cases, final pieces were disjointed and separate from previous development work. The restriction of time may have played a part in this. Weaker candidates tended to complete 2D outcomes which followed a standard formula. Overall, outcomes were less ambitious than in previous years.
Component 2 Externally Set Assignment
The Externally Set Assignment theme for this series was 'Contrast.' Feedback on the theme and paper was positive, and there was significant improvement in how the paper was used. This was the first ESA since before the COVID-19 pandemic, and it was great to see candidates apply the skills and knowledge gained through Component 1 to more independent work. We saw wide ranging and interesting interpretations of the paper.
Whilst most candidates responded to the theme and the Art and Design starting points and visual references in Section 2, there was a marked increase in the number of candidates using/adapting the briefs in Section 1 of the paper. Teachers commented on the briefs being 'usable' and in line with the approach they had taken to Component 1, Part B. Moderators reported that the paper was accessible and supported success across all levels. Less success was achieved when whole centres worked on very similar projects. Centres are reminded that all candidates must be given full access to the paper, and choice as to how they respond. This component should not be teacher led. Over directing candidates' work for the ESA can constitute malpractice. (See Appendix 3 Page 15, Instructions to teachers). There is concern that in some centres work is very tenuously linked with the ESA and almost appears to be a preplanned project made to fit with the theme.
The most successful candidates investigated the references in the paper with purpose and carried out further independent research and analysis. More able candidates were perceptive and critical in their analysis, leading to creative, well-informed, and independent ideas development. Many candidates used the references in the paper to great effect. Less success was achieved when the investigation of practitioners lacked purpose and relevance to the ESA. This was often due to restricted access to the paper, or when the project was teacher-led.
Good practice in using Component 1 to develop knowledge, skills and independence positively impacted candidates' confidence and success in the ESA. Where this was the case candidates were fully involved in rigorous, exciting, personal, and meaningful ideas development. When an entirely whole class and teacher led approach to Component 1 was evident, candidates lacked confidence and were often unable to achieve marks at a level matched to their technical skill.
There remains a pattern in some centres of technically skilled candidates achieving a higher mark in assessment objective three than in the other objectives. This tends to be a pattern in centres where there is an over emphasis on technical mastery of traditional forms of drawing rather than the other core knowledge and skills in Art and Design such as critical appraisal, idea generation, development and realisation. Section 3.3 of the specification gives a wealth of examples of approaches to drawing which should help broaden development and generation of ideas by using a diverse range of approaches.
There is clear evidence of many centres regaining confidence in encouraging more ambitious outcomes in a range of disciplines. However, some have retained a prescriptive approach for example, specifying the format and media candidates worked in. As with Part B this led to outcomes that were not appropriate to intentions, interesting ideas abandoned and, in some cases, restricted achievement. Assessment objective four was overmarked in many centres.
Contact details
The following information provides contact details for key staff members:
* Specification Support Officer: Louise Millar
* (telephone: (028) 9026 1200, extension: 2610, email: email@example.com)
* Officer with Subject Responsibility: Anne McGinn (telephone: (028) 9026 1200, extension: 2263, email: firstname.lastname@example.org)
© CCEA 2023
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Original Research Paper
A Computational Method Based on Bernstein Polynomials for Solving FredholmIntegro-Differential Equations under Mixed Conditions
1 Miloud Moussai and 2 Lakhdar Chiter
1 Laboratoire de Mathématiques Pures et Appliquées, University of M'sila, M'sila, 28000 Algeria 2 Department of Mathematics, University of Setif, 19000 Algeria
Article history Received: 21-10-2016 Revised: 27-01-2017 Accepted: 27-02-2017
Corresponding Author: Miloud Moussai Laboratoire de Mathématiques Pures et Appliquées, University of M'sila, M'sila, 28000 Algeria
Abstract: In this study, a computational method for solving linear FredholmIntegro-Differential Equation (FIDE) of the first order under the mixed conditions using the Bernstein polynomials. First, we present some properties of these polynomials and the method is explained. These properties are then used to convert the integro-differential equation to a system of linear algebraic equations with unknown Bernstein coefficients. Using Galerkin method, we give an approximate solution. This method seems very attractive and simple to use. Illustrative examples show the efficiency and validity of the method we discuss the results using error analysis, the results are discussed.
Email: firstname.lastname@example.org
Keywords: Bernstein Polynomials, Linear FredholmIntegro-Differential Equations of the First Order, Mixed Conditions, Galerkin Method, Numerical Analysis, Error Estimates
Introduction
Integro-differential equations, which are composed by integral and differential equations, are a well-known mathematical tool and an important branch of modern mathematics. Among these equations, FredholmIntegroDifferential Equations (FIDE) are encountered in several areas such as biology, economics, engineering and many others, so as usual, there is no specific analytic method to solve this equations, several numerical methods are presented to approximate the solution of FIDEs. Recently, different methods based on basic functions have been proposed to approximate the solution of FIDE, such as orthogonal basis and wavelets. At the same time, various numerical methods take an important place in solving FIDE numerically, such as Legendre polynomials, which have been used for high-order linear FIDE (Yalçinbaş et al., 2009), rationalized Haar functions and Walsh series, differential transform method (Golubov et al., 1991) and many other known methods in the literature. Among these methods, the polynomials of Bernstein that have been widely used to solve both linear and non linear integro-differential equations. Very few paper using Bernstein polynomials to solve FIDE with mixed conditions have been considered in the literature.
The aim of this paper is to find the solution of the following integro-differential equation:
under the following mixed conditions:
where, Q,R,f and K are continuous functions on the interval [0,1]. Equation 1.1 can be found in (IdreesBhattia and Bracken, 2007; Swarup, 2007).
This paper is organized as follows. In section 2, we introduce the properties of the Bernstein polynomials. In section 3, we present the numerical method to solve the problem (1.1-1.2). Illustrative examples are presented in section 4 and finally, in section 5 we give a brief conclusion.
Properties of Bernstein Polynomials
The Bernstein polynomials of degree n on [a,b] are defined by:
where:
n! n
i
()
!!
i n
i
=
−
In what follows, we give some basic properties of the Bernstein polynomials. Formore details, we refer to (Isik et al., 2012; Boyer and Thiel, 2002):
In particular if [a,b] = [0, 1], we obtain:
The linear combination of the basic Bernstein polynomials is given by the following formula:
where, ci are the Bernstein coefficients. We have also the following proprieties:
and the recurrent formula:
The derivatives of different degrees of Bernstein polynomials have an important role in the numerical solution of differential and integro-differential equations.
Lemma 2.1
The derivative of order k≥ 1 of the Bernstein polynomials is given by:
31
Proof
We prove the relation by induction. We check the property for k = 1:
Thus the relation holds for k = 1.
It is assumed that the relation is true for k∈N * and we should prove it for (k + 1).
Indeed, we have:
( )
( ) k
′
, i n
b x
According to the above relations, we have:
Substituting (2.16) in the relation (2.15), we obtain:
It is easy to check that:
L [0, 1].
where, cin = 〈f,bin〉 and 〈,〉 is the standard inner product on 2
By substituting (2.18) and (2.19) in the relation (2.17), we obtain:
If the series (2.25) are trunctated at n = m, then we have (Isik et al., 2012):
where, C and B are (m + 1)×1 matrices and are given by:
and:
=
()
( )
1
s k =
k +
∏
n
1
−
s
()
0
0
=
Numerical Method
(2.21) Consider the linear FIDE of the first order (1.1) with the mixed conditions (1.2). The approximation of y(x) by the polynomials of Bernstein is given by:
−
( )
k +
()
,
1
1
i k n
k
b x
− − +
which proves that the relation is true for all k.
Approximation Function
A function f square integrable in the interval [0, 1] can be written as:
where, bi,n(x) are the Bernstein polynomials of degree n defined in Equation 2.1 and ai (i = 0, 1,...,n) are unknown parameters.
Derivating Equation 3.1, we get:
Substituting (3.2) into (1.1), we get:
which can be written, after simplification, as:
s
b x
i − k +1 , −− n k 1
Multiplying both sides in (3.4) by bj,n(x) and integrating with respect to x from 0 to 1 we obtain:
which can be written by the following system:
Condition (1.2) can be written in the following form:
by setting:
we obtain:
The general system can be obtained as follows:
and the linear algebraic equation is given by:
where:
The linear system corresponding to the solution of Equation 1.1 under the condition (1.2) is given by an approximate solution (Singh et al., 2009):
Remark 3.1
The square error E is defined by the formula:
where, y(x) and ỹ(x) are the exact and approximate solutions respectively.
Illustrative Examples
The following examples illustrate the efficiency of the used method. Note that in these examples, the series (3.1) are truncated at levels 4 and 5, i.e., (n = 4) and (n = 5).
Example 4.1
Consider the following linear FIDE equation of the first order with mixed conditions:
The exact solution is given by:
By a comparison of Equation 1.1 and 1.2 with the Equation 4.1, we find:
By using the method described in section (4), Equation 4.1 is then solved and we have:
For n = 4, the matrix à and the vector b ɶ are given by:
and:
Since detÃ≠ 0; then equation AX b = ɶ ɶ has a unique solution given by:
The approximate solution is:
The graph of the exact and approximate solutions for Equation 4.1 is represented in Fig. 1. The results, together with the square error, are reported in Table 1 for different values of x.
Example 4.2
Consider the following linear FIDE of the first order with mixed conditions:
The exact solution (4.2) is:
We do the same as in example 1 by a comparison of the Equation 1.1 and 1.2 with (4.5), we find:
We solve (4.5) by using the method described in Section (4), for (n = 5), we find:
The approximate solution is:
The graph of the exact and approximate solutions for Equation (4.5) is represented in Fig. 2 and the results are reported in Table 2 for different values of x.
Table 1. Exact and approximate solutions and square error for (n = 4), Example (4.1)
Table 2. Exact and approximate solutions and square error for (n = 5) of Example (4.2)
Conclusion
Ethics
We have applied the Galerkin's method by using the Bernstein polynomials to find the approximate solution of the linear FIDE of the first order. Using this procedure, the integro-differential form is reduced to solve a system of algebraic equations. Examples have been introduced to demonstrate the validity of the present technique. These examples also exhibit the accuracy and efficiency of the present method.
Acknowledgment
The authors are very grateful to the anonymous referees and the editor for their guidance and suggestions which greatly improved this paper.
Author's Contributions
Miloud Moussai: Did the research, analysed and interpreted the results. Prepared the manuscript and responsible for the paper submission.
Lakhdar Chiter: Designed the research plan, supervised and organized the structure of the manuscript and reviewed it. Responsible for the paper corrections.
The corresponding author confirms that the co-author have read and approved the manuscript and no ethical issues involved.
References
Boyer, R.P. and L.C. Thiel, 2002.Generalized Bernstein polynomials and symmetric functions. Adv. Applied Math., 28: 17-39.
DOI: 10.1006/aama.2002.0765
Golubov, B., A. Efimov and V. Skvortsov, 1991. Walsh Series and Transforms: Theory and Applications. 1st Edn., Springer Netherlands, Dordrecht,
ISBN-10: 0792311000, pp: 368.
IdreesBhattia, M. and P. Bracken, 2007. Solutions of differential equations in a Bernstein polynomial basis. J. Comput. Applied Math., 205: 272-280. DOI: 10.1016/j.cam.2006.05.002
Isik, O.R., Z. Güneyin and M. Sezer, 2012. Bernstein series solutions of Pantograph equations using polynomial interpolation. J. Diff. Equ. Applic., 18: 357-374.
DOI: 10.1080/10236198.2010.496456
Miloud Moussai and Lakhdar Chiter / Journal of Mathematics and Statistics 2017, 13 (1): 30.37
DOI: 10.3844/jmssp.2017.30.37
Singh, A.K., V.K. Singh and O.P. Singh, 2009. The Bernstein operational matrix of integration. Applied Math. Sci., 3: 2427-2436.
Swarup, S., 2007. Integral equations. Krishna Prakashan Media Pvt. Ltd.
Yalçinbaş, S., M. Sezer and H.H. Sorkun, 2009.
Legendre polynomial solutions of high-order linear
Fredholmintegro-differential equations.
Applied
Math. Comput., 210: 334-349.
DOI: 10.1016/j.amc.2008.12.090
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■By using the most suitable cutting edge and groove shape, the stability drilling of small diameter and deep hole.
■Apply to very wide work materials that Carbon Steels, Alloy Steels and Stainless Steels.
■Drills for small diameter and guide hole drilling also is serialized at the same time.
小径深穴加工に最適化
The stability for drilling of small diameter and deep hole
■加工点へ直接クーラントを供給するオイルホールドリル
■切りくずを分断する切刃形状
■切りくずの排出性に優れた溝形状
平滑な溝面
Flat and smooth aspect of groove
切りくず排出に優れた平滑溝面
深穴でも安定加工
The stability drilling to deep hole
長寿命
Long tool life
Competitor
Cutting holes
AQDEXOH10D
EX 10D
LIST9612
AQDEXOH15D
EX 15D
AQDEXOH20D
EX 20D
LIST9616
単位：mm/円
単位：mm/円
単位：mm/円
単位：mm/円
単位：mm/円
AQDEXOHPLT EX
LIST9622
単位：mm/円
基準切削条件
The conditions of standard drilling
AQDEXOH 10D 15D 20D
| 被削材 Workmaterial | 構造用鋼、炭素鋼、ねずみ鋳鉄 SS400 S50C FC250 Structural Steels Carbon Steels | 合金鋼、プレハードン鋼 SCM440 NAK HPM Alloy Steels Pre-Hardened Steels | ダイス鋼、プレハードン鋼 SKD61 NAK HPM Mold Steels Hardened Steels | 高硬度鋼 Hardened Steels | ダクタイル鋳鉄 FCD400 Ductile Cast Irone | ステンレス鋼 SUS304 SUS316 Stainless Steels | 耐熱・耐食合金、Ti合金 インコネル Nickel Alloys Titanium Alloys |
|---|---|---|---|---|---|---|---|
| | ～200HB | 20～30HRC | 30～40HRC | 40～50HRC | | | 30～40HRC |
| 直径 mm | 回転数 送り速度 Rotation Feed min-1 mm/min | 回転数 送り速度 Rotation Feed min-1 mm/min | 回転数 送り速度 Rotation Feed min-1 mm/min | 回転数 送り速度 Rotation Feed min-1 mm/min | 回転数 送り速度 Rotation Feed min-1 mm/min | 回転数 送り速度 Rotation Feed min-1 mm/min | 回転数 送り速度 Rotation Feed min-1 mm/min |
| 1 | 14300 310 | 12700 250 | 11150 170 | 6350 65 | 11150 220 | 7950 80 | 3150 30 |
| 1.5 | 9550 310 | 8500 250 | 7400 170 | 4250 65 | 7400 220 | 5300 80 | 2100 30 |
| 2 | 7150 310 | 6350 250 | 5550 170 | 3200 65 | 5550 220 | 4000 80 | 1600 30 |
| 2.5 | 7000 470 | 6350 360 | 5700 280 | 3200 95 | 5700 350 | 3800 140 | 1650 50 |
| 2.9 | 6050 470 | 5500 360 | 4950 280 | 2750 95 | 4950 350 | 3300 140 | 1400 50 |
切削条件ご利用の注意
Warnings to use the conditions of drilling
1） 機械剛性やワーククランプ、加工部形状などの状況により切削条件を調整してください。 2） この切削条件は水溶性切削油剤を使用した場合です。
3） 不水溶性油剤の場合には回転数と送り速度を30%下げてください。
4） 内部給油でお使いください。 5） 切削油剤の給油圧は、1.5MPa以上としてください。
6） 切削油剤中の不純物による油穴詰まりを防止するために、目の細かいフィルタを通した切削液をご使用ください。 フィルタはメッシュ５μｍをおすすめします。
7） 穴あけ深さが10Dを超える場合にはステップ加工を行ってください。 ただし、被削材や加工条件により切りくず排出性が悪くなることがあります。その場合には所定の穴深さ以下であっても ステップ送りをするか切削条件を見直してください。
8） ステンレス鋼は、穴あけ深さ10D以下であってもステップ加工を行ってください。
9） ステップ送りは、穴の上面まで戻してください。
10） ステップ量は0.1D～0.5Dを目安にしてください。
11） ガイド穴加工を事前にあけてください。穴深さは1D～2D。
12） ガイド穴加工にはAQDEXOHPLTをお勧めします。深穴ドリルよりも0.015mm大きいサイズを推奨します。
１. By the conditions such as the rigidity of machine, work clamp and the shape of the drilling part, adjust cutting conditions.
２. This table is the case of using water-soluble cutting fluid.
３. In the case of using non-water-soluble cutting fluid, reduce RPM and feed speed by 30%.
４. Use the internal lubricating oil-hole. ５. Lubricated pressure of fluid is over 1.5Mpa.
６. To prevent oil-hole stopped up by impurities of cutting fluid, use fine mesh filter, recommend to filtration efficiency 5μm.
７. In case hole-depth exceed 10D, please step drilling.
There are cases that chips ejection is bad by work materials and drilling conditions.
Even if hole-depth under 10D, please step feed or check drilling conditions.
８. In case of Stainless Steels, even if hole depth under 10D, please step feed.
９. In step feed, return to the entrance hole.
１０. Step feed interval is about 0.1D～0.5D.
１１. Recommend pre-drilling of guide holes. Hole-depth is 1D～2D.
１２. Recommend the AQDEXOHPLT for guide drilling.
Recommend the diameter that is 0.015mm larger than the deep-hole drill.
PLT AQDEXOH
| 被削材 Workmaterial | 構造用鋼、炭素鋼、ねずみ鋳鉄 SS400 S50C FC250 Structural Steels Carbon Steels | 合金鋼、プレハードン鋼 SCM440 NAK HPM Alloy Steels Pre-Hardened Steels | ダイス鋼、プレハードン鋼 SKD61 NAK HPM Mold Steels Hardened Steels | 高硬度鋼 Hardened Steels | ダクタイル鋳鉄 FCD400 Ductile Cast Irone | ステンレス鋼 SUS304 SUS316 Stainless Steels |
|---|---|---|---|---|---|---|
| | ～200HB | 20～30HRC | 30～40HRC | 40～50HRC | | |
| 直径 mm | 回転数 送り速度 Rotation Feed min-1 mm/min | 回転数 送り速度 Rotation Feed min-1 mm/min | 回転数 送り速度 Rotation Feed min-1 mm/min | 回転数 送り速度 Rotation Feed min-1 mm/min | 回転数 送り速度 Rotation Feed min-1 mm/min | 回転数 送り速度 Rotation Feed min-1 mm/min |
| 1.015 | 15700 400 | 14100 350 | 12550 250 | 9400 140 | 12550 320 | 9400 115 |
| 1.515 | 10500 400 | 9450 350 | 8400 250 | 6300 140 | 8400 320 | 6300 115 |
| 2.015 | 7900 400 | 7100 350 | 6300 250 | 4750 140 | 6300 320 | 4750 115 |
| 2.515 | 7600 520 | 6950 470 | 6300 360 | 4400 200 | 6300 430 | 4400 165 |
| 2.915 | 6550 520 | 6000 470 | 5450 360 | 3800 200 | 5450 430 | 3800 165 |
切削条件ご利用の注意
Warnings to use the conditions of drilling
1） 機械剛性やワーククランプ、加工部形状などの状況により切削条件を調整してください。
2） この切削条件は水溶性切削油剤を使用した場合です。
3） 不水溶性切削油剤の場合には回転数と送り速度を20%下げてください。
4） 内部給油でお使い下さい。
5） 切削油剤の給油圧は、1.5MPa以上としてください。
6） 切削油剤中の不純物による油穴詰まりを防止するために、目の細かいフィルタを通した切削液をご使用ください。
7） 穴深さは、1D～2Dを目安としてください。
１. By the conditions such as the rigidity of machine, work clamp and the shape of the drilling part,
adjust cutting conditions. ２. This table is the case of using water-soluble cutting fluid.
３. In the case of using non-water-soluble cutting fluid, reduce RPM and feed speed by 20%.
４. Use the internal lubricating oil-hole.
５. Lubricated pressure of fluid is over 1.5Mpa.
６. To prevent oil-hole stopped up by impurities of cutting fluid, use fine mesh filter, recommend to filtration efficiency 5μm.
7. Hole-depth is about 1D～2D.
超硬
AQD A AQD
AQ
EX
EX
150
OH OH
24
30 ～
H
h6
工具材料 コーティング
ねじれ角
直径許容差
シャンク径許容差
先端角
単位：mm/円
小径深穴ステンレス加工で長寿命
耐熱性と耐摩耗性をさらに向上
Improved in heat resistance and wear resistance
アクアEXコート
AQUA EX coating
■特殊潤滑膜と平滑化処理により、スムーズな切り屑排出性 り屑排出性
■Al含有量の多い層を配置し、高い耐酸化性（1100℃）を確保 00℃）を確保
■多層化により、膜の亀裂伝搬を抑制。適度な圧縮応力により、 膜の高硬度化（3300HV）を実現。耐摩耗性を向上 縮応力により、 向上
シリーズ拡充
Expand series
アクアドリルEXオイルホールシリーズは 穴あけ深さ3D用から30D用までラインナップ
EX
小径AQDEXOHPLTを同時発売
AQUA Drills EX Oil-Hole Pilot
AQDEXOHPLT
■小径AQDEXOHにマッチングさせたガイド穴加工用ドリル
■食付き性の高いガイド穴は 深穴ドリル加工の求心性を高め、穴あけ性能を向上
■ AQUA Drills EX Oil-Hole Pilot for guide hole drilling.
■ High concentricity guide hole improves drilling of deep hole.
適用被削材
Applicable work materials
| 一般構造 圧延鋼 | 炭素鋼 | 合金鋼 プレハードン鋼 | 調質鋼 ダイス鋼 | 高硬度鋼 | | ステンレス鋼 | | Ti合金 耐熱合金 | 鋳鉄 | アルミニウム 合金 | 銅合金 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Structual Steels | Carbon Steels | Pre-Hardened Steels Alloy Steels | Hardened Steels Mold Steels | Hardened Steels | | Stainless Steels | | Titanium Alloys Nickel Alloys | Cast Irons | Aluminum Alloys | Copper Alloys |
| SS400 | S45C/S50C | SCR/NAK | 30～40HRC | 40～50HRC | 50～65HRC | SUS304/SUS316 | SUS420 | | FCD/FC | AC/ADC | Cu |
| ◎ | ◎ | ◎ | ◎ | ○ | | ◎ | ◎ | ○ | ◎ | | |
小径深穴加工の注意点
The attentions for drilling of small diameter and deep hole
1．ガイド穴加工（アクアドリルEXオイルホールパイロット）
Guide hole drilling(AQDEXOHPLT)
AQDEXOHPLT
AQDEXZ
傾斜面の加工
Drilling slope
AQDEXOHPLT
2.深穴加工（ガイド穴に挿入）
Deep hole drilling (Insert in a guide hole)
3．深穴加工
Deep hole drilling
4．深穴加工（加工完了）
Deep hole drilling (Drilling completion)
傾斜面の通し穴
Through hole of slope
5．深穴加工（戻し）
Deep hole drilling(Back)
0.5mm
小径深穴ドリルの取扱注意点
１．切削油の取扱い
*切削油中の不純物による油穴詰まりを防止するために、目の細かいフィルタに通した切削液をご使用ください。
フィルターメッシュは、5μm以下を推奨します。
*切削油は、水溶性切削油剤を推奨します。
２．切削油の給油圧
*水溶性切削油剤を使用する場合の給油圧は、1.5MPa以上としてください。
*給油圧は、高く設定していただく程、安定した加工が可能となります。
*不水溶性切削油剤の場合は、より高圧領域での調整を行ってください。
３．工具の取扱い
*ATCによる工具交換では、衝撃を抑えるため、ATC速度を下げることを推奨します。
給油圧1.5MPa以上
www.nachi-fujikoshi.co.jp
東京本社 富山本社
Tel:03-5568-5111
Tel:076-423-5111
Fax:03-5568-5206
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富山市不二越本町1-1-1 〒930-8511
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困ったときのテレホンサービス
*切削条件・工具選定など、お気軽にお問い合わせください。
0120-714-159
*商品の価格、在庫はお求めになる販売店、代理店および不二越の営業拠点へお問い合わせください。
*お求めになる販売店をお探しには最寄りの不二越営業拠点までお問い合わせください。
ガイド穴を事前に加工してください。穴深さは1～2D。ガイド穴加工にはアクアドリルEXオイルホール パイロットをお奨めします。
深穴ドリルよりも0.015mm大きい直径を選定ください。加工部が傾斜面、異形状の場合には、アクアド リルEXフラットで平坦面になるように事前に加工してください。
We recommend pre-drilling of guide holes. Hole-depth is 1D～2D. We recommend AQDEXOHPLT for guide hole drilling. Select one with a diameter 0.015mm larger than the deep-hole drill when using AQDEXOHPLT. The case of drilling part is slope or different shape, drilling to make a flat surface by AQDEXZ before.
ガイド穴手前0.5～1.0mmまで低回転でガイド穴に挿入ください。
-1
（回転数500min 、送り速度300mm/min程度）
Penetrate into the guide hole at low speed until 0.5～1.0mm from the guide hole.
通常の回転数、送り速度で加工をスタートさせてください。
Start drilling at normal speed and feed.
通し穴で貫通部が傾斜面や異形状の場合には、抜けぎわの衝撃が大きいため、 送り速度を下げてください。 （通常送り速度の1/2以下を目安）
The case of through hole is slope or different shape, drilling at less than half of normal feed until penetration. Before penetrating through, lower the feed. To prevent drill from breaking.
加工完了後、回転数を下げて、ドリルを抜いて戻してください。
止まり穴の場合には、0.5～1.0mmほどわずかに手前に戻してから回転数を下げてください。
（回転数500min
-1
、送り速度2000mm/min程度）
After drilling is complete, decrease speed and pull the drill back through the hole.
The case of blind hole, to decrease speed after pull the drill until 0.5～1.0mm.
(About, Rotation 500min
-1
, Feed 2000mm/min)
CATALOG NO. 2247
2014.02.Q-MIZUNO
|
PHCOG MAG.: Research Article Rapid Micropropagation of Curculigo orchioides in Shake Flask Culture
R.K.Nema a* , K.G.Ramawat b and J.M.Merillon c
a S.D.College of Pharmacy & Vocational Studies, Muzaffarnagar b Laboratory of Biomolecular Technology, College of Science, MLS University, Udaipur c Faculte' des Sciences, Pharmaceutiques, Universite' de Bordeaux II, France *Corresponding Author: firstname.lastname@example.org
ABSTRACT
Curculigo orchioides (Hypoxidaceae) is a monocot stemless perennial herb. It is an endangered plant species of medicinal importance. Efficiency of two different culture systems, viz., different gelling agents as static cultures and shake flask cultures were compared for the production of bulbils. A protocol for micropropagation of C. orchioides through direct bulbil formation from leaf explants in shake flask cultures has been standardized. Effect of different concentrations of sucrose and different sugars has also been studied. Plantlets developed in vitro were successfully transferred to soil with a high rate of survivability (90%) and were comparable to natural population in growth and vigour.
KEY WORDS: Curculigo orchioides,Microprppagation, Shake Flask Culture
INTRODUCTION
Tuberous roots of Curculigo orchioides (Hypoxidaceae) also called "Kali musli", are widely used as tonic for health, vigour and vitality due to the presence of flavanone glycosides and other steroidal saponin (1,2). Plant extract of C. orchioides showed hypoglycemic, spasmolytic and anticancer properties (3). The rhizome is also prescribed for the treatment of piles, jaundice, asthma, diarrhoea (4). Pharmacological studies in China showed several active effects of alcoholic extract such as adaptogenic, anti-inflammatory, anticonvulant, sedative, androgenic and immunopromotion activities (5).
The plant is naturally propagated through seeds and underground bulbils. Over-exploitation of the plant associated with poor seed set and germination has made it an endangered species. Efforts are needed to propagate this species on the commercial scale to meet the demand of pharmaceutical firms and to protect the existing natural population of the species. Plant tissue culture technique has become a powerful tool to develop micropropagation methods for such plants. Excised leaf explants from in vitro plantlets serve as aseptic reservoir of inoculum required for large-scale multiplication. Direct regeneration of embryos and bulbils from the leaf explants makes them an excellent system for such a purpose. Bulbil formation has gained considerable attention as a novel method for micropropagation due to easy in transportation, better survivability of germinated bulbils in soil, low cost, and rapid propagation. This study shows a method for large-scale propagation of Curculigo orchioides through direct bulbil formation from leaf explants in shake flask culture.
MATERIAL AND METHODS
Improvement in direct bulbils formation from leaf explants of C. orchioides for scale up technology has been achieved. Initially MS medium containing BA (0.1mg/l) and (IBA 0.1mg/l) was used (6). Young leaves of C. orchioides from aseptically maintained plantlets, raised through shoot proliferation from stem disc and leaf explants were used as source material (7). Leaf segments (5×10 mm) were aseptically transferred in the MS liquid and on MS solid medium containing various combinations and concentrations of auxins and cytokinins as per the design of the experiment. The Murashige and Skoog (1962) medium was gelled with different concentrations of different gelling agents and pH of the medium was adjusted to 5.8 with 0.5 N HCl or NaOH after incorporation of all ingredients of the medium and various concentrations and combinations of cytokinins and auxins.100 ml medium was dispensed in each conical flasks (250 ml Borosil). Flasks were plugged with nonabsorbent cotton and autoclaved for 20 minutes at 121 0 C at 1.05 kg cm -2 (8).
For the comparison of the efficiency of two different culture systems, viz., different gelling agents as static cultures and shake flask cultures the appropriate concentration of different gelling agents was incorporated in MS medium supplemented with BA (0.1 mg/l) and IBA (0.1 mg/l). Following agents were used
ISSN: ISSN: ISSN: ISSN: 0973 0973 0973 0973----1296 1296 1296
viz., agar (8 g/l), agarose (7 g/l), phytogel (5 g/l), transfer gel (25 g/l) and husk of plantago (50 g/l). Ten leaf explants (5×10 mm) were transferred aseptically into each 250 ml conical flask containing 100 ml gelled medium and 20 leaf explants in 100 ml liquid medium. To study the effect of density on regeneration potential, different number of the leaf explants viz., 33, 50 and 100 (5×10mm) were aseptically transferred in 100 ml (250 ml 'Borosil') standard MS medium supplemented with BA (0.1mg/l) and IBA (0.1mg/l). The effect of different concentrations of sucrose and different sugars on the initiation and growth of bulbils in standard MS liquid medium supplemented with IBA (0.1 mg/l) and BA (0.1 mg/l) was studied by preparing the medium containing 2, 3, 4, 5 and 6 % of sucrose. MS liquid medium containing 3% fructose, maltose and glucose separately was also prepared and 50 explants were aseptically transferred in each 250 ml conical flasks containing 100 ml liquid medium. After 4-weeks of growth the spent medium was replaced with 100ml fresh media and incubated for another period of 4weeks.
To study rhizogenesis, B5 gelled medium with various concentrations and combinations of IAA (0.0, 0.1, 1.0, 10.0 mg/l) with or without IBA 0.1 mg/l was prepared. Ten germinated bulbils of uniform size were transferred in each flask containing 100 ml medium. After 8-weeks of growth, plantlets were planted in pots containing sterilized soil: vermiculite mixture (3:1 v/v). To maintain ambient humidity, pots were covered with transparent polythene bags and plants were irrigated with tap water (25 ml / pot) on alternate days. After one month's growth, plants were transferred to green house.
All cultures were incubated in the culture room at 26.0 ± 0.5 0 C under white fluorescent light (Philips cool TL 36 W, 220 V) with a total irradiance of 36 µ mol. m -2 s -l for 16 hours photo-period and 55-60% relative humidity. Liquid cultures were agitated on a rotary shaker at 80 rpm (with 2" displacement from the central axis) and medium was replaced with its corresponding fresh medium after four weeks. Formations of bulbils were recorded at an interval of four weeks and eight weeks. The medium was replaced by fresh medium after four week.
RESULTS AND DISCUSSION
A method for rapid and high frequency multiplication of C. orchioides through bulbil formation has been developed by utilizing leaf explants grown in static and liquid media. Leaf-segment in the liquid medium supplemented with 0.1mg/l benzyl adenine (BA) and
PHCOG MAG.
An official Publication of Phcog.Net
0.1 mg/l indole butyric acid (IBA) produced maximum number of bulbils (7140 bulbils/l at 8-weeks growth, 100% explants response) in the medium. Higher number of bulbils per explants and shoots (germinating bulbils) per flask was recorded in liquid media with shorter initiation time and maximum percent response of explants as compared to gelled media. This was applicable to all gels irrespective of its type (Table:1). Maximum number of bulbils per explant was recorded in the liquid medium (Figure-1). Plantago husk was least effective for bulbils formation from the leaf explants. It is evident from the data that these bulbils started germinating during 6 to 8 weeks growth irrespective of gelled or liquid media (Figure-2).
Numbers of bulbils per explant and percent response were highest in one explants/two ml of medium (Table: 2). However, in terms of bulbils yield/liter of medium was maximum when one explant/one ml of medium was used because of high number of explants (Figure-3). Growth index (GI) was higher in former condition. Therefore, one explant/two ml of medium was used in further experiments. Sucrose is used as source of carbon but at higher concentration it also acts as osmoticum. The bulbils are storage organs full of starch. Therefore, increasing concentration of sucrose was incorporated in MS liquid medium to record effect on bulbils formation. At 4-weeks growth, standard concentration (30 g/l) was recorded optimal for % explant response (100%), bulbils (10.7 / explant), yield (5350 /l) and fresh weight of bulbils (90.7 g/l). However, maximum number, yield and fresh weight was recorded in explants grown in the medium supplemented with 50 g/l sucrose. Therefore it is evident that at higher concentration of sucrose, initial growth was slow. High concentration of sucrose (60 g/l) was slightly inhibitory to the bulbils formation (Table: 3). Among different sugars used as source of carbon at 3% concentration, fructose was the best source at 4-weeks and 8-weeks growth. Maximum number of bulbils per explant, yield per litre and fresh weight per litre were recorded in the medium supplemented with fructose followed by sucrose, maltose and glucose (Table: 4).
A number of roots and length of roots increased with increase in concentration of IAA in the rooting medium. However, improvement in rooting was observed when IAA and IBA both were used in combination of 0.1 mg/l each (~ 6 roots/bulbil). This may be due to synergistic effect of combined auxins (Table: 5; Figure-4). Bulbil formation has gained considerable attention as a novel method for
Table 1 Effects of different gelling agents on the formation of bulbils in MS liquid medium containing BA 0.1mg/l and IBA 0.1mg/l
Readings are the average of 8 explants per flask per treatment.
Table 2 Effect of inoculums size on in vitro formation of bulbils from leaf explants in MS liquid medium supplemented with BA 0.1 mg/l and IBA 0.1 mg/l.
Table 3 Effects of different concentrations of sucrose on the formation of bulbils in MS liquid medium containing BA 0.1 mg/l and IBA 0.1 mg/l
Table 4 Effects of different types of sugars on the formation of bulbils in MS liquid medium containing BA 0.1 mg/l and IBA 0.1 mg/l
Readings are the average of 15 explants per 30 ml treatment.
Table 5 Rhizogenesis on B5 medium
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Pharmacognosy Magazine
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ISSN: ISSN: ISSN: ISSN: 0973 0973 0973 0973----1296 1296 1296
Vol 4, Issue 1
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micropropagation due to ease of handling, storage, transport, exchange, better survivability of germinated bulbils in soil and low-cost rapid propagation. Methods for rapid multiplication of C. orchioides are highly desirable to meet the commercial demand and to conserve the valuable endangered plant. Plant tissue culture technique has become a powerful tool to develop micropropagation methods for such plants.
CONCLUSION
Subterranean parts pose serious problem of contamination and aerial parts in monocots are difficult material to regenerate (9,10). Improvement in direct bulbils formation from leaf explants of C. orchioides for scale up technology has been achieved. Initially MS medium containing BA (0.1mg/l) and (IBA 0.1mg/l) was used (6,7). Explants produce bulbils when grown on IBA and BA supplemented medium and in liquid medium irrespective of presence of different auxins as reported earlier (6). Attempts made for large-scale rapid multiplication of C. orchioides through leaf explants was successful.These results were sufficient to produce the bulbils in large numbers and allow their successful transfer in pots/field conditions for mass propagation. Field transfer was already evaluated in previous study (6,7). Therefore, plantlets were successfully transferred in field conditions without any problem.
ACKNOWLEDGEMENTS
One of the author (R.K.Nema) is thankful to the Head, Department of Molecular Biotechnology, Science College, M.L.S.University, Udaipur for providing necessary facilities to carry out this work.
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REFERENCES
1. G.V. Satyavati, M.K. Raina, and M. Sharma, Medicinal plants of India, Indian Council of Medical Research. New Delhi. I: 310-12(1976).
2. R.P. Rastogi and B.N. Mehrotra, Compendium of Indian medicinal plants, Central Drug and Research Institute Lucknow and PID and CSIR. New-Delhi. 2: 232-33; 690-91(1993).
3. M.L. Dhar, M.M. Dhar, B.N. Dhawan, B.N. Mehrotra and C. Ray, Screening of Indian plants for biological activity: I. Indian J. Exp. Biol. 6: 232-47(1968).
4. K.R. Kirtikar and B.D. Basu, Indian Medicinal Plants, International book distributors, Dehradun. III: 1631-32(1996).
5. J.P. Xu, R.S. Xu and X.Y. Li, Four new saponins from Curculigo orchioides, Planta Medica. 58: 208-10(1992).
6. S.S. Suri, S. Jain and K.G. Ramawat, Plantlet regeneration and bulbil formation in-vitro from leaf and stem explant of Curculigo orchioides-An endangered medicinal plant, Scientia Hort., 1210: 1-8(1998).
7. S.S. Suri, D.K. Arora and K.G. Ramawat, A method for largescale multiplication of Curculigo orchioides through bulbil formation from leaf explant in shake flask culture, Indian J. Exp. Biol., 38: 145-48(2000).
8. T. Murashige and F. Skoog, A revised medium for rapid growth and bioassays with tobacco tissue cultures, Physol. Plantarum, 15: 473-97(1962).
9. Ramawat, K. G., Jain, S., Suri, S.S. and Arora, D.K. (1998). Aphrodisiac plants of Aravalli Hills with special reference to safed musli. In: Khan, I. and Khanum, A. (eds.) Role of Biotechnology in Medicinal and Aromatic Plants. Ukaaz Pub. Hyderabad. 210-23.
10. Fay, M.F. and Gratton, J. (1992). Tissue culture of cacti and other succulents- A literature review and report on micropropagation at Kew. Bradleya., 10: 33-48.
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BTAIJ, 8(1), 2013 [90-95]
In vivo assessment of the oxidative and apoptotic potential of perfluorooctanoic acid
Shaoli Yang*, Zhen Su Yantai Institute of Coastal Zone Research, Chinese Academy of Sciences, Yantai, (CHINA) E-mail: email@example.com
ABSTRACT
KEYWORDS
Perfluorooctanoic acid (PFOA) is an organic pollutant abundant in the environment, and the potential toxicity of which is causing great concern. The oxidative and apoptotic potential of PFOA was assessed in a shortterm in vivo zebrafish assay in this study. Activities of antioxidative enzymes, including superoxide dismutase and catalase, were significantly altered in PFOA-treated embryos. Lipid peroxidation was increased with exposure to higher concentrations. Expression profiles of certain genes related to cellular apoptosis were then investigated. The expression of p53 and Baxwere partially increased, which could be linked to PFOA-induced cell apoptosis in zebrafish. The overall results demonstrated that PFOA could induce oxidative stress and alter the expression of genes involve in apoptosis, resulting in oxidative damagesin zebrafish embryos.
Oxidative stress; Perfluorooctanoic acid; Zebrafish.
2013 Trade Science Inc. - INDIA
INTRODUCTION
Perfluorooctanoic acid (PFOA) is a perfluorinated compound (PFC), which consists of a carbon backbone and hydrogen replaced by fluorine. The strong carbon-fluorine bonds result in remarkable chemical stability and the compound therefore do not undergo photolysis, hydrolysis, or biodegradation. Over the recent years, numerous reports of increasing concentrations of PFOA in the environment such as air, water and soil, as well as in wildlife and humans have been published [2,5,14,25] . PFOA is well absorbed but poorly cleared with a half-life of 3.8 years in humans [11] . It is well established that human serum PFOA levels are elevated in communities with highly contaminated drink- ing water [14] .
Aquatic ecosystems serve as the ultimate sink for many environmental pollutants that accumulate in fish species. The average concentrations of PFC in the fish can reach 8850-fold greater than those in surface wa-
PFOA may cause health effects in animals and humans. Information on the developmental toxicity of PFOA in rodents and birds have been reported and illustrate the developmental toxicity, hepatotoxicity, reproductive toxicity, immunotoxicity and carcinogenicity of PFOA in experimental animals [4,6,19] . A genomic analysis demonstrates that genes involved in the transport and metabolism of fatty acids and lipids, cell communication, adhesion, growth, and apoptosis are significantly altered in PFOA treated rats [16] .
ter [9] . Toxicant exposures that cause oxidative stress during embryonic development are a significant health risk in adults. Fish embryonic development may be especially sensitive to toxicant-induced oxidative stress since even a 15 –20% increase in ROS can tip progenitor cells into premature cell cycle arrest or differentiation [21] . As a result of this oxidative stress, fish, like many other vertebrates, try to reduce the damage using the antioxidant defense system. While oxidative effects of PFOA are well documented in rodents, the information in fish is scarce and variable by species and treatment regimen. PFOA induced a significant inhibition of catalase (CAT) activity at high concentrations with no changes of superoxide dismutase (SOD) or glutathione peroxidase (GPx) activities in the liver of male Japanese medaka [13] . Liu et al. reported significant induction of caspase-3,-8, -9 activities accompanied by increased levels of SOD, CAT activities and lipid peroxidation (LPO) level (measured by maleic dialdehyde, MDA) in PFOA treated hepatocytes of freshwater tilapia, whereas GPx activity was decreased [7] . PFOA affects the circulating sex steroid levels, increases hepatic fatty acyl-CoA oxidase activity, and increases oxidative damage [10,15] . Rare minnow exposed to PFOA for 28 d exhibits the suppression of gene related to fatty acid biosynthesis and mitochondrial fatty acid beta-oxidation [26] . Another study confirms that exposure of salmon to PFOA produce changes in mRNA expression for PPARs, ACOX1, oxidative stress responses and lipid â -oxidation, but these responses show marked organ differences [1] .
The zebrafish embryo is an appropriate vertebrate model for investigating developmental toxicity of environmental contaminants [22,24] . This is mainly due to its easy maintenance, the short reproduction cycle and the high number of eggs per spawning, the rapid development, the transparency of the eggs and the well-documented and abundant biological and genetic information. Nevertheless, effect of PFOA induced oxidative damage in this valuable model fish remains largely unclear. Therefore, this study attempted to analyze the mechanism of PFOA-induced oxidative toxicity in zebrafish. The changes in the activities of antioxidative enzymes and lipid peroxidative product were measured. The effect of PFOA on apoptosis related gene expression (e.g., Bax and p53) were further assessed in a short-term zebrafish assay in vivo .
MATERIALS AND METHODS
Zebrafish maintenance and embryo exposure
Adult zebrafish were maintained at 28 ± 0.5 C in a 14/10 h light/dark cycle in a closed flow- through water. Tap water was treated to remove residual ammonia, chlorine and chloramines. The fish were fed with live artemia nauplii twice daily. Zebrafish embryos were obtained from spawning adults in groups of about 6 males and 6 females in tanks overnight. Mating, spawning, and fertilization took place within 30 minutes after light onset in the morning. Eggs were collected from spawn traps and washed with clean water. At 6 hours post fertilization (hpf) embryos were examined under a dissecting microscope, and those embryos that had developed normally and reached the blastula stage were selected for PFOA exposure. PFOA (96%) was obtained from Sigma Chemical Corporation (St Louis, MO). We observed the development of zebrafish embryos and replaced the exposure solutions every day, and the embryos were then grown up in an incubation chamber at 28 ± 0.5 C.
Activities of antioxidant enzymes
The exposure solution was removed and the embryos were rinsed gently with distilled water for three times. Then whole-body homogenates in 500 µl of cold phosphate buffered saline (PBS, pH=7.5) were immediately prepared and centrifuged at 12000 g for 15 min at 4 C. The supernatants were collected for various assays.
Catalase (CAT) and superoxide dismutase (SOD) activities were measured following the instructions of the commercially available kits (Nanjing Jiancheng Bioengineering Institute, Nanjing, China). CAT activity was measured by the decrease in absorbance at 240 nm due to H 2 O 2 consumption. One unit of CAT activity was defined as the amount of enzyme decomposing 1 µmol H 2 O 2 in 1 s. SOD activity was evaluated by the inhibition rate of the superoxide radicals –dependent cytochrome C reduction. The result of this enzymatic assay was given in units of SOD activity per milligram of protein (U/mg), where 1 U of SOD was defined as the amount of sample causing 50% inhibition of cyto-
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chrome C reduction.
Lipid peroxidation and protein assay
Lipid peroxidation (measured as MDA) level was determined by the kit (Nanjing Jiancheng Bioengineering Institute, Nanjing, China). The MDA level was expressed as nanomoles per milligram protein. Protein concentrations were measured using a 2-D Quant Kit (GE Healthcare, Piscataway, NJ).
Total RNA extraction and quantitative real-time PCR (QPCR)
Total RNA was extracted from 15 zebrafish embryos for each group using Trizol reagent (Invitrogen, California, USA) followed by the purification step of phenol-chloroform extraction according to the instructions of manufacturer. RNA integrity was assessed by standard denaturing agarose gel electrophoresis. The concentration of total RNA was measured based on the A260 value. Real-time PCR was performed with a ABI 7500 fast Sequence Detector System (PerkinElmer Applied Biosystems, Foster City, CA) using SYBR Premix ExTaq ™ (Takara Bio., Japan). The gene-specific primers were used as previously reported [12] . Each reaction was performed in three replicate samples. The expression level of each target gene was normalized to â-actin content. The melting curve was analyzed to differentiate the desired amplicons and the primer-dimers or DNA contaminants.
Statistical analysis
All results were presented as mean ± SEM. The differences were evaluated by one-way ANOVA followed by Tukey 's test using SPSS software. A p-value of less than 0.05 was considered to be statistically significant.
RESULTS
Activities of antioxidative enzymes
SOD, the endogenous scavenger, catalyzes the dismutation of the highly reactive superoxide anion to H 2 O 2 . In PFOA treated zebrafish embryos, SOD activities were significantly increased by 60, 110, 190 and 83% in the 1, 5, 10 and 15 mg L -1 exposure groups, respectively (Figure 1).
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CAT is responsible for the reduction of hydrogen peroxide and protection from the oxidation of unsaturated fatty acids in cell membrane. CAT activities were significantly increased by 93 and 73% in the 10 and 15 mg L -1 exposure groups, respectively. The CAT activities were slightly increased or decreased but not significantly changed in the 1 and 5 mg L -1 PFOA exposure groups (Figure 1).
Figure 1 : Changes of SOD and CAT activities in zebrafish larvae exposed to different concentrations of PFOA. Values that were significantly different from the control were indicated by asterisks (one-way ANOVA, *p < 0.05; **p < 0.01). Values were the means of four replicate exposures and were presented as mean ± SEM.
Lipid peroxidation
MDA was indicative of lipid peroxidation. MDA contents were increased by 74% and 86% in the higher concentration treated groups (10 and 15 mg L -1 ) compared with the control. The MDA contents were slightly increased but not significantly changed in the 1 and 5 mg L -1 PFOA exposure groups (p>0.05) (Figure 2).
Effects of PFOA exposure on mRNA expression of P53 and Bax
We measured gene expression of Bax and p53 by Q-PCR. The mRNA expression of Bax gene was significantly increased 1.6- and 1.8- fold in 5 and 10 mg L -1 PFOA exposure groups. The Bax transcription was also increased in the 1 and 15 mg L -1 PFOA exposure groups, but the change was not statistically significant (p>0.05) (Figure 3A).
p53, a critical gene involved in the regulation of apoptosis, was induced in PFOA treated animals compared with the control. p53 gene transcription was significantly increased by 2.1- , 2.0- and 2.9- fold in the 5, 10 and 15 mg L -1 PFOA exposure groups, respectively. There was no significant difference in 1mg L -1 treatment group compared with the control (Figure 3B).
DISCUSSION
The zebrafish develop rapidly and gastrulation begins at about 6 hpf. Spontaneous movements emerge and tail is detached from the yolk with heart beating at 24 hpf, and embryogenesis is essentially completed at 96 hpf, as most organs are formed and functioning by this time [8] . Thus at 6 hpf embryos were examined under a dissecting microscope, and those embryos that developed normally and reached the blastula stage were selected for PFOA exposure.
Fish embryonic development may be especially sensitive to toxicant-induced oxidative stress since even a 15 –20% increase in ROS can tip progenitor cells into premature cell cycle arrest or differentiation [21] . Excessive rate of ROS formation as a result of exposure to environmental pollutants may exceed the antioxidant capacity and subsequently result to oxidative stress in organisms. Thus, organisms are able to adapt to ROS formation by increasing the expression of antioxidant enzymes, in addition to many other forms of defense and repair of oxidative damages [3] . The enzymes SOD
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and CAT play significant roles as antioxidants and their elevated expression and activity are indicative of oxidative stress. SOD is a metalloenzyme that catalyzes the dismutation of superoxide radicals (.O 2–) to O 2 and H 2 O 2 , while CAT subsequently reduces the produced H 2 O 2 to H 2 O in the peroxisomes. In the present study, SOD and CAT activities were significantly changed. Alteration of these parameters indicated that oxidative stress-related process was involved in the PFOA-induced in vivo toxicity.
SOD activity was significantly increased presumably to counteract oxidative damage. However, higher concentration of PFOA (15 mg L -1 ) appeared to alleviate SOD activity (Figure1). This was similar with the
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previous report that higher concentration of PFOA (30 mg L -1 ) induced no significant change in SOD activity while lower concentration could increase SOD activity in cultured hepatocytes of freshwater tilapia [7] . This might be explained by the excess production of superoxide radicals, which, after their transformation to H 2 O 2 , caused an oxidation of the cysteine in the enzyme and deactivate SOD activity. Catalase serves as a primary defense enzyme against oxidative stress such as hydrogen peroxide generated from peroxisomal-oxidation of fatty acids [17] . The change of CAT activityin this study suggested that PFOA might induce oxidative stress through the alteration of cellular oxidative homeostasis.
Stress-induced apoptosis is thought to contribute to abnormal development during embryogenesis. The tumor suppressor gene p53 has been examined for its role in DNA damage-induced apoptosis that is chemically induced [24] . Typically, p53 is activated when DNA damage occurs or the cell is stressed. Most apoptotic signaling processes are related to alterations of apoptosis-related molecules, such as p53, Bcl-2/Bax, cytochrome c etc., which then trigger caspase activation via caspase-3 and subsequently induce cell apoptosis [18,20] . On the basis of results obtained in the present study, it might be hypothesized that, in embryos exposed to PFOA, ROS induced oxidative stress and caused damage to cell membrane (as evident from in-
Environmental stressors result in an imbalance between ROS production, and scavenging by endogenous antioxidants can directly or indirectly disturb physiological functions of many cellular macromolecules such as DNA, protein, and lipids and activate cellular stresssensitive signaling pathways. Lipid peroxidation is commonly used as marker of oxidative stress response in aquatic animals, and has been shown to be significant contributors of reduced cell function under oxidative stress conditions [23] . In the present study, we observed a significant increase in a lipid peroxidative product (MDA) at higher exposure groups. The results suggested that PFOA exposure might affect cell membrane function and thus impair early development of zebrafish embryos. Notably, no discernable lipid peroxidation induction was observed in 1 and 5 mg L -1 exposure groups, while SOD changed dramatically at these concentration points, indicating the contribution of the antioxidant defense system.
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In summary, our results clearly showed that PFOA could induce antioxidative responses in zebrafish embryos, resulting in oxidative damages. Further studies are needed to evaluate the toxic potential of this compound in fish models with the extended exposure time points and concentrations. Furthermore, the relationship between the protective role of certain gene function and developmental toxicity remains to be further investigated.
ACKNOWLEDGMENT
This study was supported by the National Natural Science Foundation of China (No.41001336).
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[5] C.Kunacheva, S.Fujii, S.Tanaka, S.T.Seneviratne, N.P.Lien, M.Nozoe, K.Kimura, B.R.Shivakoti, H.Harada; Worldwide surveys of perfluorooctane sulfonate (PFOS) and perfluorooctanoic acid (PFOA) in water environment in recent years, Water Science and Technology, 66, 2764 –2771 (2012).
[6] C.Lau, K.Anitole, C.Hodes, D.Lai, A.PfahlesHutchens, J.Seed; Perfluoroalkyl acids: A review of monitoring and toxicological findings, Toxicological Sciences, 99, 366 (2007).
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Citation for published version:
Allen, P & Cutts, D 2017, 'Aspirant candidate behaviour and progressive political ambition', Research & Politics, vol. January-March 2017, pp. 1-9. https://doi.org/10.1177/2053168017691444
DOI:
10.1177/2053168017691444
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691444 research-article2017
RAP0010.1177/2053168017691444Research & PoliticsAllen and Cutts
Aspirant candidate behaviour and progressive political ambition
Peter Allen 1 and David Cutts 2
Abstract
In this paper we take account of the role of aspirant candidate behaviour in progressive political ambition, specifically how some individuals signal their political ambition to political actors by approaching them to discuss running for office. We examine how the effect of this behaviour compares to the more prominently studied effect of elite recruitment. We conclude that signalling behaviour by an aspirant candidate has a substantial effect, particularly with regard to actually acting on initial considerations of whether to stand, and that elite recruitment makes a difference but only in conjunction with the aspirant candidate themselves signalling their ambition to political actors.
Keywords
Political ambition, political recruitment, progressive ambition, signalling
Introduction
In many significant ways politicians do not resemble the overall populations from which they are drawn. Thanks to existing research, we know, for example, that politicians are more likely to be male (Lawless and Fox, 2010; Norris and Lovenduski, 1995), white, wealthy, highly-educated and to have held certain professional occupations than the average member of society (Carnes, 2013). One explanation for these patterns is that political elites are more likely to encourage the kinds of candidates they want to see running for office to do so (Broockman, 2014). This idea of recruitment, or mobilisation, has also been put forward as a possible remedy for these varying kinds of political unrepresentativeness, working on the evidence-based assumption that an effective method of getting individuals from traditionally under-represented groups to run for political office at any level is simply to ask them to do so (Carroll and Sanbonmatsu, 2013; Lawless and Fox, 2010; Moncrief et al., 2001). David Broockman (2014: 109) writes, 'having been asked to run [is] the modal explanation for candidacy or the factor most positively associated with interest in running'. Evidence on whether this effect holds in the case of progressive political ambition, where incumbent legislators consider whether to run for higher office, is mixed, with previous research highlighting the added importance of strategic and electoral concerns relating to the political opportunity structure facing a prospective candidate in line
with classic rational choice approaches (Maestas et al., 2006; Schlesinger, 1966).
However, existing work is less clear on the effect that the behaviour of aspirant candidates themselves has on progressive political ambition relative to being recruited; the possibility that the behaviour of aspirant candidates might itself be correlated with both being recruited in the first instance, and correlated with that appeal consequently being successful and resulting in the individual running for higher office. Although this can be explored through the use of experimental approaches (Broockman, 2014; Preece and Stoddard, 2015; Preece et al., 2016), data collected from incumbent legislators on their progressive ambition is often observational. Here, we use observational data to explore how recruitment appeals affect the political ambition of incumbent sub-national legislators, specifically asking whether recruitment effects hold having controlled for the behaviour of aspirant candidates themselves. Breaking down the process of running for higher office, we find that
1Queen Mary University of London, UK 2University of Bath, UK
Corresponding author:
Peter Allen, Queen Mary University of London, Mile End Road, London, E1 4NS, UK.
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Research and Politics
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https://doi.org/10.1177/2053168017691444
DOI: 10.1177/2053168017691444 journals.sagepub.com/home/rap
signalling behaviour by the prospective candidate increases the likelihood of them entering the selection process for higher office, but does not affect the likelihood of them being successful in this endeavour. We conclude, like other recent research in this area, that targeted elite recruitment alone might not be enough to increase the diversity of the candidate pool for national political office (Preece et al., 2016). Why does this identification of the importance of candidate signalling matter? Practically, it means that the efforts of political parties to reverse the under-representation of certain groups might be less effective than is currently thought: recruitment appeals might simply be tapping in to an already-existing well of political ambition that was generated independently of them. Theoretically, it follows that academic research on political ambition might also be looking at the question of why some are more ambitious than others in the wrong way – instead of focusing solely on issues of structure and recruitment, a greater focus on underlying psychological dispositions and the role of discriminatory politico-social networks might be called for.
Data and methods
We utilise original data collected via an online survey available between February and May 2014 from incumbent local legislators (termed local councillors in the UK) in London, United Kingdom. 1 Data was collected ahead of the May 2014 London local elections at which all electoral wards would be contested. A personalised link to the survey was emailed to 1804 legislators from 32 different London councils at the email address on their official webpages. We received 420 responses and 395 were complete, a valid response rate of 22%.
London is a useful case to focus on when exploring progressive ambition. Local legislators in London differ from their colleagues in the rest of the UK: they are younger, more likely to be women, less likely to be white and less likely to be retired (and thus more likely to hold additional occupations) (Kettlewell and Phillips, 2014). Additionally, London is the political centre of the United Kingdom. Proximity to the UK Parliament at Westminster will afford local legislators greater proximity to national party organisations based in the city as well as opportunities to work in national-level political-focused occupations. Our sample is representative of London legislators as a whole in terms of party, sex and ethnicity (Kettlewell and Phillips, 2014). Although, as with all case studies, our results may not generalise to sub-national legislators everywhere, we expect there to be a substantial number of individuals in our sample who are progressively ambitious in some way, increasing our ability to explore the underlying phenomenon in question.
Our measure of political ambition comprises four categories that account for whether a legislator has expressed no interest in running for higher office, has considered running for office but has not acted on it, or has actually acted on their intention by either entering a candidate selection process or standing as a parliamentary candidate: 42% of respondents had not considered running for higher office, whilst 30% had expressed an intention to run and considered higher office and a further 28% had taken some action towards actually doing so. 2
Our variable of interest seeks to distinguish individuals who were solely recruited by political actors from those who signalled their ambition by approaching a political actor regarding their running for higher office, and from those who both approached and were recruited. We compare these categories against the reference category who were neither recruited nor signallers. We control for a range of demographic variables, including sex, age, ethnicity, marital and parental status and personality traits as measured on the Big Five scale (Dietrich et al., 2012; Lawless and Fox, 2010). We also control for the political socialisation of prospective candidates, including their family backgrounds and early-life engagement with politics (Lawless, 2012) as well as non-legislative political experience, for example as Congressional staffers or in other 'instrumental' political occupations (Hernsson, 1994). 3 Full details of survey items, and more information on the sample, are available in the Appendix (see Supplementary material online).
Model results: progressive ambition among incumbent local legislators
How important to the expression of political ambition is being recruited by a political actor? Does the signalling of ambition by the prospective candidate through approaching political actors matter more? Or are those individuals who are both signallers and recruited more likely to express progressive ambition? To address these questions, we first use a binomial logistic regression model to contrast those who are actively seeking office against those who have not taken active steps to stand (see Table 2). Model 1 includes only the recruited and signaller categorical variable: those recruited only; signallers only; and both recruited and signalled are examined against the base category neither recruited nor signalled. Model 2 explores whether these effects hold after controlling for established predictors of political ambition and other social baseline indicators. Second, we use a multinomial logistic regression to examine progressive ambition in more depth, contrasting those incumbent local legislators who have either entered the selection process, have actually stood for parliamentary office or who have no intention of standing against those individuals who have considered standing but not acted on it (see Table 3). We follow the same format as in Table 2, with Model 1 focusing only on recruitment and approaching political actors and Model 2 examining whether such effects hold once other covariates are included. All model fit statistics operate in the expected direction with
reductions in the log-likelihood and the Akaike Information Criterion (AIC) evident from Model 1 to Model 2.
Before the models, Table 1 provides a descriptive comparison of respondents falling across the four categories of progressive ambition. Confirming existing findings, there is a negative relationship between being female and progressive ambition. Of those who entered a selection process, fewer than 35% were women, declining to just over 25% of those who stood for election. More than 20% of non-white legislators had entered the selection process, but of those who stood for election, fewer than 8% were nonwhite compared to 12% in the overall sample. There is some evidence to suggest that individuals who had been employed in instrumental occupations were more likely to have entered the selection process or stood as a parliamentary candidate. Similarly, there is also evidence that individuals who exhibit emotional stability, and whose parents were heavily politically involved, are more likely to have stood in an election.
More than 60% of those who had not considered standing were neither recruited nor signallers, and just under a third were solely recruited by political actors. More than 20% of those who had entered the selection process were individuals who signalled their ambition by approaching a relevant political actor while more than 60% had both approached and been recruited. A similar number of those who actually stood as a candidate had both signalled to, and been recruited by, a political actor. 4
Based on existing findings in this area, we might expect sex to have a notable influence on levels of progressive ambition, and on the interplay of elite recruitment and decision-making. Of those who had been recruited by political actors, just under half were women. Fewer than 40% of individuals who had both signalled and been recruited were women, compared to just over 25% of those who signalled their ambition by approaching a relevant political actor. Around a fifth of the 40% of women who had both signalled and been recruited had stood as a parliamentary candidate. Our data suggests that more women were recruited by political actors than men, and that a slightly higher percentage of men signalled their ambition by approaching a political actor than women. Whilst this is not entirely conclusive, there seems to be some circumstantial evidence that women are recruited more than men, perhaps reflecting recent party efforts to increase women's representation in political institutions. However, this does not seem equally true of ethnicity. Notwithstanding the caveat of relatively low numbers, just over 22% of those who signalled their ambition were non-white compared to 11.2% who were recruited. A similar number were both recruited and had signalled their ambition. Comparing non-whites and whites, only 9% of whites signalled their ambition compared to around 19% of non-whites, while slightly more whites were recruited by political actors than non-whites. Relative to their overall presence in the sample, it seems reasonably clear that more minority ethnic than majority ethnic local legislators are signallers, something that should be explored in future research.
The findings in Model 1, Table 2 suggest that those who signalled their ambition and those who were both recruited and signallers were significantly more likely to actively seek to stand for public office when compared against the base category not approached nor recruited. Signallers were 9.7 times more likely to actively seek to stand whereas those who were both signallers and recruited were nearly 13 times more likely. Yet there was no similar effect for those who were just recruited by political actors alone. Such individuals were not significantly more likely to actively seek to stand than those who were neither signallers nor recruited. Do these results hold when other established indicators of political ambition are taken in account? We present the full results in Model 2. Holding all variables constant, signallers were 10 times more likely to actively seek to stand. However, individuals who were both recruited and also signallers increased their odds of actively seeking to run by a magnitude of 13.6. To ease interpretation, we estimate the discrete change on the probability for each of the values averaged across the observed values. 5 These average marginal effects (AMEs) are graphically illustrated in Figure 1. We calculate the baseline probability of actively seeking office if all independent variables are set on their empirical mean. The predicted probability equals 1.9 percentage points. This helps us to evaluate the impact of each of the indicators because we can compare the respective effect to the baseline probability. On average, the probability of signallers actively seeking to stand is 30% higher than the reference category which is being neither a signaller nor recruited by political actors. Being both a signaller and being recruited had a slightly larger effect. On average, such individuals were 34% more likely to stand. Recruitment was therefore influential only where an individual had also signalled their interest in running for higher office to political actors. Recruitment alone did not have a significant influence on individuals actively seeking to stand (compared to those who were neither signallers nor recruited). Of the remaining predictors, well-established drivers of progressive ambition were significant. There is also evidence of a sex effect, with the odds of women actively seeking higher office being 2.8 times smaller than those of men, a statistically significant difference. On average, the probability of women actively standing for public office is fourteen percentage points lower than it is for men. Finally, those aged under 40 are on average sixteen percentage points less likely to stand than those aged between 40 and 59.
When does signalling or being recruited actually matter? Are they key drivers of whether an individual actually acts on their consideration to stand for public office by entering the selection process? And when compared against those who have not taken active steps, are they the major drivers among those legislators who have actually stood for
Table 1.Socio-economic, socialisation, barriers to running, personality traits, etc. characteristics of progressive ambition (percentages).
parliamentary office? We address these questions using a multinomial logistical regression where considering to stand is the reference category. As before, we use the same format and predictor variables with the key findings
Table 2.Logistic model of progressive ambition of sitting councillors: actively seeking to stand versus not standing.
*Significant ⩽ 0.05.
presented in Table 3 (full model results are in Appendix Table A1). Once again, an aspirant candidate signalling their interest in running appears to have a greater effect than being recruited (see Model 1). But crucially, the
Table 3.Multinomial logistic model of progressive ambition (base = considered standing but not acted on it).
*Significant ⩽ 0.05.
signalling effect is only present for entering the selection process, not for actually standing for higher office. Similar effects are found for those who have both signalled to, and been recruited by, political actors. These results are robust to the addition of further predictor variables. Compared to those who have not acted but are considering standing, legislators are 6.8 times more likely to enter a selection process if they have signalled their interest in running to a political actor and around 8 times more likely if they have both signalled and been recruited. Those that have solely been recruited are no more likely to have either entered a selection process or actually stood for higher office than those who have experienced neither.
We again examine the average marginal effects to fully assess the impact of these variables (see Figure 2 and Table A2 in the Appendix). 6 On average, the probability that legislators who had signalled their interest to political actors had entered the selection process to stand for higher office increases by 21 percentage points. The probability that those who had both signalled and been recruited entering the selection process increases by 25 percentage points.
Of the remaining predictors, legislators with a degree were 3.2 times more likely to enter the selection process (compared to the base category). The most important driver among those who actually had stood for higher public office, holding all other variables constant, was being a man. The probability of having stood for higher office is on average 11 percentage points lower for women than men. Other variables, including early-life political exposure and socialisation, are insignificant. This suggests that although they may not explain progressive ambition, they might have a more pronounced effect on the decision to seek public office in the first instance.
Discussion and conclusion
This paper explores the effect of aspirant candidate behaviour on progressive political ambition. We find that signalling their ambition by approaching a political actor to discuss running for higher office has a significant effect the likelihood that an aspirant candidate will act on considerations to stand for higher office. Recruitment by a political actor only has a significant effect in combination with such signalling. In conjunction with signalling, being recruited certainly matters, but the signalling of ambition to a political actor by the aspirant candidate is the key driver, something that needs to be explored better in future research in order to identify in detail who the people more likely to
Figure 2.Average marginal effects of key variables on progressive ambition.
undertake signalling behaviour are, why this is the case and what the mechanism in play here actually is. For example, building on Broockman's notion of selective recruitment, self-instigated approaches might be a reaction to not being recruited, a pro-active attempt by an aspirant candidate to put themselves on the radar of potential recruiters. In such a case, signalling interest to a political actor might act as social proof of dedication or could be seen as indicative of the possession of inherent traits that might be considered relevant to a successful candidacy. For those individuals who feel they are not ingratiated into the relevant social networks, something perhaps correlated with membership of traditionally under-represented social groups, signalling might be especially important. Alternatively, it might
simply be that certain patterns of socialisation and/or personality traits are present in individuals who approach political actors. These are just some of the aspects of aspirant candidate behaviour that could be examined in future research. Such research would have important real-world implications: it is generally accepted that an effective way for political parties to increase the number of candidates from traditionally under-represented groups is to go out and recruit them. Our findings here show that this might not be as simple a relationship as first thought.
Our study has limitations. It is possible that those aspirant candidates who undertook signalling behaviour did so because they fully expect to get a positive response. Conversely, it might be that those who were instead recruited were particular types of local legislators who were seen to require a lot of persuasion as it was perceived that would not be interested in running without it. As such, recruitment by political actors might have been used here to persuade them and thus didn't have much success given their underlying negativity to stand. The data we analyse in this paper does not permit us to explore these ideas, but future research should consider them. Additionally, it might be the case that recruitment functions in a different way for progressive ambition than any initial run for office, something that we cannot test here. Finally, owing to our case study approach, it is possible that our findings may be particular to the case of London or the UK, which has a stronger party system than the United States, the focus of much existing research in this area. Interrogating the role of aspirant candidate behaviour in different political contexts would greatly develop understanding on this point. Notwithstanding these limitations, our findings should encourage scholars and practitioners alike to question how the process of candidate mobilisation appears to function.
Declaration of conflicting interest
The authors declare that there are no conflicts of interest.
Funding
This research received no specific grant from any funding agency in the public, commercial, or not-for-profit sectors.
Supplementary material
The online appendices and replication files are available at http:// journals.sagepub.com/doi/suppl/10.1177/2053168017691444 and http://dx.doi.org/10.7910/DVN/20HOBW respectively.
Notes
1. It is well-established that sub-national legislative offices provide a pool of eligible candidates to run for higher office (Allen, 2013; Lawless and Fox, 2010; Moncrief et al., 2001). In the United Kingdom, research has found that around a third of all Members of Parliament (MPs) elected since 1945 have had experience in a local
legislature prior to their election to the House of Commons (Local Government Association, 2008).
2. Full details of the dependent variable are in the Appendix. This distinction is based on the response category 'Have entered a selection process or otherwise made efforts to run for parliamentary candidacy'. We might expect this to encompass putting one's name forward for a selection process, entering such a process, contesting such a process if shortlisted and so on. Critically, undertaking such activities shows not only intent but also a related action towards the goal of holding higher office.
3. Of course, based on classic contributions to this research area, we might also expect aspirant candidates to adjust their activities in accordance with the political opportunity structure in front of them, namely whether they resided in or close to a district with an open seat or not (Maestas et al., 2006). Although this might seem pertinent, we do not account for this in our analysis for various reasons. Primarily, the UK has a tradition of candidates travelling to contest constituencies that may be far from their current place of residence or where they sit on a local council. In addition, it is common for candidates to 'blood' themselves in seats considered unwinnable for their party as a demonstration of partisan loyalty. As such, it is not clear how we would tie individual legislators to given open or closed districts, especially given the intimate proximity of the 73 constituencies in the Greater London area.
4. For brevity, the percentages of the progressive ambition categories within each category of signalling and recruiting are as follows. For those recruited only, 61.8% did not consider standing, 27% considered standing, 6.7% entered the selection process and 4.5% stood for parliamentary election. Of those who signalled their ambition, 15% did not consider standing, 37.5% considered standing, 30% entered the selection process and 17.5% stood for parliament. For those who were both signalled and recruited, the figures were 4% not considered standing, 41.6% considered standing, 29.6% entered the selection process and 24.8% stood as a parliamentary candidate.
5. A marginal effect measures the effect on the conditional mean of y of a change in one of the regressors. In a linear model, the marginal effect equals the slope coefficient but in nonlinear models, this is not the case. This has led to a number of methods for calculating marginal effects. Here we use average marginal effects (AMEs). To get the AME, the marginal effect is first calculated for each individual with their observed levels of covariates. These values are then averaged across all individuals.
6. The baseline probabilities when all independent variables are set at their empirical mean are as follows: not considered standing 36 percentage points; considered standing 44 percentage points; entered selection process 10 percentage points; and stood for Parliamentary election 11 percentage points.
Carnegie Corporation of New York Grant
This publication was made possible (in part) by a grant from Carnegie Corporation of New York. The statements made and views expressed are solely the responsibility of the author.
References
Allen P (2013) Gendered candidate emergence in Britain: Why are more women councillors not becoming MPs? Politics 33(3): 147–159.
Broockman DE (2014) Mobilizing candidates: Political actors strategically shape the candidate pool with personal appeals. Journal of Experimental Political Science 1(2): 104–119.
Carnes N (2013) White Collar Government: The Hidden Role of Class in Economic Policy Making. Chicago: University of Chicago Press.
Carroll SJ and Sanbonmatsu K (2013) More Women Can Run. New York: Oxford University Press.
Dietrich BJ, Lasley S, Mondak JJ, et al. (2012) Personality and legislative politics: The Big Five trait dimensions among U.S. state legislators. Political Psychology 33(2): 195–210.
Hernsson PS (1994) Congress' other farm team: Congressional staff. Polity 27(1): 137–156.
Kettlewell K and Phillips L (2014) Census of Local Authority Councillors 2013 (LGA Research Report). Slough: NFER.
Lawless JL and Fox RL (2010) It Still Takes A Candidate: Why Women Don't Run for Office. New York: Cambridge University Press.
Local Government Association (2008) One Country Two Systems. London: Local Government Association.
Maestas CD, Fulton S, Maisel S, et al. (2006) When to risk it?
Institutions, ambitions, and the decision to run for the U.S. House. American Political Science Review 100(2): 195–208.
Moncrief GF, Squire P and Jewell ME (2001) Who Runs for the Legislature? Upper Saddle River, NJ: Prentice Hall.
Norris P and Lovenduski J (1995) Political Recruitment: Gender, Race and Class in the British Parliament. Cambridge: Cambridge University Press.
Preece JR and Stoddard OB (2015) Does the message matter? A field experiment on political party recruitment. Journal of Experimental Political Science 2(1): 26–35.
Preece JR, Stoddard OB and Fisher R (2016) 'Run, Jane, Run! Gendered Responses to Political Party Recruitment', Political Behavior 38(3): 561–577.
Schlesinger JA (1966) Ambition and Politics: Political Careers in the United States. American Politics Research Series. Skokie, IL: Rand McNally.
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STAKEHOLDER DIALOGUE
ADDRESSING STUDENT MENTAL HEALTH NEEDS AT MCMASTER UNIVERSITY
REPORT
to
Forward with
Integrity
31 October2013
Student-led stakeholder dialogue
Addressing Student Mental Health Needs at McMaster University Report to Forward with Integrity
(Last updated 31 October 2013)
Funding Statement:
Name: Asha Behdinan, Sherna Tamboly, Emily Milko, Ileana Ciurea
Faculty/Area: McMaster Health Forum, Faculty of Health Sciences
Project Title: Addressing Student Mental Health Needs at McMaster University
Summary of how Forward with Integrity funds have been spent:
Event Costs:
$2,500 Travel expenses for dialogue participants
Research:
$2,500 Resources for preparation of the issue brief, and dissemination activities
Balance remaining:
All funds have been exhausted to support the project, and so there is no balance remaining.
Summary of Results:
We prepared an issue brief and conducted a stakeholder dialogue on the topic of Addressing Student Mental Health Needs at McMaster University. In line with the Forward with Integrity research-focused, student-centered approach, the initiative ensured that relevant evidence on the topic of student mental health was used to fuel action for improving health outcomes through collective problem solving. We provided a briefing to the Deans and Provost meeting in June 2013, presented the findings at the Forward with Integrity event on 10 October 2013, made the outputs of the initiative available in the public domain, and disseminated them to all stakeholders identified through the duration of the project:
* Issue Brief
* Topic Overview
* Dialogue Summary
* Interviews with dialogue participants (available on our YouTube channel, and as downloadable audio and video podcasts on iTunes U).
The Topic Overview attached to this report provides a high-level summary of the findings. The following pages provide further details about the project.
Forward With Integrity Funding Report
Student-led stakeholder dialogue Addressing Student Mental Health Needs at McMaster University
Report to Forward with Integrity
| | Work plan element | | Date of delivery |
|---|---|---|---|
| Pre-event consultations with a dialogue steering committee (to frame the terms of reference for the issue brief and to develop the list of key stakeholders) | | Completed: 8 consultations were conducted by teleconference between November 2012 and May 2013 | |
| Key informant interviews to refine the terms of reference for the issue brief and to identify the different types of individuals who will be involved in or affected by the topic). | | Completed: Eighteen key informants interviews were successfully completed prior to completion of the final pre-dialogue version of the issue brief | |
| Pre-event preparation and circulation of an issue brief that mobilizes both global and local research evidence about the problem, three options for addressing the problem, and relevant implementation considerations; | | Completed: The issue brief was finalized and disseminated to dialogue participants one week prior to the dialogue date. It has been posted in the public domain on the Forum website. | |
| Hold an event on 10 April 2013 which convenes 18-22 participants for a stakeholder dialogue to address the need for cohesive and collaborative mental health programming strategies on campus. | | Completed: The stakeholder dialogue took place on 10 April 2013 and brought together 21 participants. | |
| Post-event video interviews with willing dialogue participants (1.5 minutes on average), talking about the insights that they derived from the dialogue and any actions that they think need to be taken to address the challenge | | Completed: Sixteen video interviews we conducted and are be posted on the Forum’s YouTube channel and iTunesU page in the next few weeks. | |
| Post-event preparation and dissemination of a high-level dialogue summary; | | Completed: The dialogue summary has been prepared and is posted in the public domain, on the Forum website. | |
| Post-event preparation and delivery of a personalized briefing to a group selected by the dialogue steering committee; the briefing will include the findings the evidence brief and the dialogue, and a discussion about implications and action considerations for key stakeholders | | Completed: The personalized briefing is planned for 5 June at the Deans’ and Provost meeting. | |
| Post-event preparation and dissemination (in hard copy and electronically) of a topic overview document, that will provide a high- level summary (two pages) of the stakeholder dialogue, with hyperlinks to the brief that informed the dialogue, the dialogue summary and the post- dialogue video interviews, and with acknowledgement of partners and funders. | | Completed: The draft topic overview has been prepared and is posted in the public domain, on the Forum website. | |
There has been a recent movement towards addressing mental health needs of students and the challenges they face in post-secondary institutions across Canada, and there is growing focus on improving mental health services on McMaster campus to address the varied needs of the student population. Student and university leaders have been taking steps to proactively approach this topic and ensure the mental health system is adequately prepared to meet the needs of the students. In order to address the need for cohesive and collaborative mental health programming strategies on campus, the McMaster Health Forum Student Subcommittee led the coordination of a stakeholder dialogue project on the topic of 'Addressing student mental health needs at McMaster University'. This stakeholder dialogue, convened on April 10, 2013, aimed to address the key issue of mental health needs of undergraduate and graduate students at McMaster University, and was centred on how access, coordination, promotion, and continuity of mental health support services could be improved to enhance the student experience.
Forward With Integrity Funding Report
Preparations for this dialogue began in November 2012 when the steering committee was set up to help inform and oversee the project. The steering committee comprised of representatives from the Student Wellness Centre, School of Graduate Studies, DeGroote School of Business, Faculty of Humanities, and McMaster Health Forum, and pre-event consultations with the dialogue steering committee were made through seven hour-long meetings between November 2012 to April 2013. An issue brief, prepared prior to the dialogue, mobilized both global and local research evidence about the problem, three options for addressing the problem, and relevant implementation considerations. The steering committee helped frame the terms of reference for the issue brief, identify key informants and dialogue participants, identify potential funding avenues for the dialogue, and review the draft student-led issue brief. Additionally, the steering committee will also convene for two post-dialogue consultations to review the draft dialogue summary and the dialogue evaluation report.
The content of the issue brief was also developed based on the input received from 18 key informants identified by the steering committee. Key informants (from all over Canada) were selected based on their ability to provide input on the issues that were covered in the draft terms of reference for the issue brief about the health challenge, ability to suggest sources of data and/or research evidence about the issues covered in the terms of reference for the issue brief, and the ability to suggest potential invitees to the dialogue given the issues covered in the terms of reference for the issue brief. We conducted 20-30 minute key informant interviews over the phone or Skype, or in person.
The steering committee also helped identify the participants for the dialogue. Participants were selected based on their ability to bring unique views and experiences to bear on the challenge and learn from the research evidence and from others' views and experiences and ability to champion within their respective constituencies the actions that will address the challenge creatively. The dialogue participants represented one or more of the following categories: policymaker in the McMaster community, manager in a university-run student support service, manager in a student-run mental health service delivery organization/clinic, manager/clinical leader in a healthcare institution, manager in a community-based organization (e.g., community mental health programs, etc), staff/member of a mental health provider association or group, student/family with lived experience in University life, researcher at McMaster University, and researcher/manager in another university/jurisdiction.
The dialogue, held on 10 April 2013, convened 21 participants for an off-the-record deliberative dialogue, which included all planning and management of event coordination, participants' travel, food and drinks at the event, and equipment. The event took place from 8:30 am to 4:00 pm in the DialogueSpace, a purpose-build facility located centrally on campus, at McMaster Health Forum office in Mills Memorial Library. Key deliberations and overarching themes at the dialogue were captured by two student secretariat members, Emily Milko and Lebei Pi, who drafted the dialogue summary with support from the dialogue facilitator, Dr. John Lavis. In addition to the dialogue summary, the student secretariat members prepared a topic overview document that provides a high-level summary (two pages) of the dialogue, with hyperlinks to the brief that informed the dialogue, dialogue summary and post-dialogue video interviews, and with acknowledgement of partners and funders.
Both the dialogue summary and the topic overviews have been disseminated to the key stakeholders, partners, and funders following the steering committee's review and approval. Dissemination activities included making the dialogue outputs available in the public domain through the McMaster Health Forum website and iTunes U account, and through all the organizations represented in the Student Subcommittee and its Advisory Council, as well as through electronic dissemination to stakeholders identified during the project, submissions of articles to a variety of publications, postings through our social media channels (the Forum's Facebook and Twitter account, the Student Subcommittee's Twitter account and blog).
Forward With Integrity Funding Report
Post-event video interviews were conducted with 16 willing dialogue participants (1.5 minutes on average), talking about the insights that they derived from the dialogue and any actions that they thought needed to be taken to address the challenge. Additionally, the McMaster Health Forum and the student organizers prepared and delivered a personalized briefing to leaders at McMaster. The briefing included the findings and the evaluation of both the issue brief and the dialogue, as well as a discussion about implications and action considerations for key stakeholders at McMaster.
The initiative has provided students with an opportunity to conduct hands-on work and participate directly in all aspects of the project. We have integrated research into educational activities: during the project, students involved were mentored and coached and had the opportunity to work under the supervision of faculty and staff to learn specific skills such as finding an using research evidence, writing issue briefs, interviewing, presentation, networking, and project management. Our work involved interdisciplinary collaboration among the programs represented in the Student Subcommittee (Bachelor of Health Sciences, Arts and Science, Life Sciences) and its Advisory Committee (nursing, engineering, and health, aging and society), as well as between the student organizers and the dialogue steering committee (comprised of representatives from the Student Wellness Centre, School of Graduate Studies, DeGroote School of Business, Faculty of Humanities, and McMaster Health Forum).
Further Criteria to be addressed:
How has the project challenged the confines of existing programming and advanced new paradigms of research or education?
We hope that this initiative will help generate action both by those who participated in the dialogue and by those who review the dialogue outputs (topic overview, issue brief, dialogue summary and the video interviews with dialogue participants), towards a campus-wide strategy that would have a profound impact on the student body and would have a long-lasting effect on how mental health needs are addressed at McMaster. We believe that the entire student body of McMaster University will eventually benefit directly or indirectly from the adoption of a strategy to address student mental health needs, including better services, more cohesion, greater access, and removal of stigma. This includes the 3000+ graduate full-time students, along with an additional 4000+ part-time students enrolled at McMaster University.
Please outline any barriers or challenges that may have prevented you from achieving some of your project goals.
We successfully reached all our project goals, and want to thank Forward with Integrity again for the support provided to this important initiative.
Forward With Integrity Funding Report
|
TM-02-94 London Police Automated Charge Sheet
System
By: J. Hill and A. Rosenberg, PRAEDA Management and Waterloo Regional Police Service
TECHNICAL MEMORANDUM
Submitted by Canadian Police Research Centre
June, 1994
NOTE: Further information about this report can be obtained by calling the CPRC information number (613) 998-6343
EXECUTIVE SUMMARY
The London Police Service in London, Ontario, developed an in-house system to produce court documents. The system was prepared specifically and solely for the London Police Service.
Praeda Management Systems of (Praeda) London, Ontario, proposed a computerized court document preparation system to the National Research Council of Canada that is modifiable to the needs of any police service. The Industrial Research Assistance Program of the National Research Council of Canada, through the Canadian Police Research Centre, funded the technology transfer of the London In-Charge System to Praeda.
A series of meetings defined the functional design specifications. Staff at Praeda Management Systems then selected the hardware, and operating system. The Waterloo Regional Police Service assisted Praeda with the work flow, information entry and types of documents. Upon completion of a series of test cases at Praeda, the system was installed for operational evaluation at Waterloo Regional Police Service Headquarters. The staff were trained in the system's use. Several cases were selected at random and the system produced the required court documents. The documents were accepted by the Waterloo region judicial system.
The In-Charge System produced all the documentation required by the Courts, the Crown Attorney and the Police for a criminal charge to be brought before the courts. The system, as tested, is well designed, efficient, and reliable. The single user, stand alone system consists of a single workstation, and printer occupied little space.
The In-Charge is well suited to a small to medium-sized police service operating out of a single facility and should be cost effective. Large services would require multiple workstations possibly networked to different facilities dependent upon their organizational structure.
For further information please contact:
John Arnold, Chief Scientist at (613) 993-3737.
RÉSUMÉ
Le Service de la police de London (Ontario) a développé un systeme maison qui permet de produire des documents judiciaires. Le systeme a été conçu exclusivement à I'intention de ce service de police.
La compagnie Praeda Management Systems (Praeda) de London, en Ontario, a propose au Conseil national de recherches du Canada un systeme informatise de preparation de documents judiciaires qui peut être adapte aux besoins de n'importe quel service de police. Par I'entremise du Centre canadien de recherches policieres, le Programme d'aide à la recherche industrielle du Conseil national de recherches a finance le transfert technologique à la compagnie Praeda du systeme In Charge du Service de la police de London.
II a fallu plusieurs rencontres pour définir la conception fonctionnelle du systeme, et des employés de la compagnie Praeda ont ensuite choisi le materiel et le systeme d'exploitation. Le Service de police de la region de Waterloo a aide Praeda à s'initier au deroulement des operations, à la saisie d'information ainsi qu'au traitement de divers types de documents. Après une série d'essais à la compagnie, le systeme a été installé aux quartiers généraux de la police de Waterloo pour en faire l'évaluation fonctionnelle. Les employés ont reçu une formation sur I'utilisation du systeme. Plusieurs cas ont été choisis au hasard et le systeme a produit les documents judiciaires demandés. Les documents ont été approuves par le systeme judiciaire de la region de Waterloo.
Le systeme In Charge a produit tous les documents demandés par la Cour, le procureur de la Couronne et la police relativement à une affaire criminelle devant Qtre portée devant les tribunaux. Au cours des essais, le systeme s'est avéré efficace, fiable est bien conçu. II s'agit d'un systeme monousager autonome constitué d'un seul poste de travail et dont I'imprimante occupe peu d'espace.
Le systeme est bien adapte aux besoins d'un service de police de petites ou moyennes dimensions loge dans un seul immeuble, et devrait s'averer rentable. Un service de grandes dimensions necessiterait plusieurs postes de travail qu'il faudrait possiblement connecter à diverses installations, selon la structure de I'organisation.
Pour plus de renseignements, veuillez communiquer avec John Arnold, expert scientifique en chef, au (613) 993-3737.
Evaluation Report Praeda InCharge System
The London Police Service, London Ontario developed an in-house system to produce court documents. The system was prepared specifically and solely for London Police Service.
Praeda Management System of London Ontario proposed a computerized court document preparation system to the National Research Council of Canada that is modifiable to the needs of any police service. Mr. John Arnold, Chief Scientist at the Canada Police Research Centre of the National Research Council, agreed to fund the project. The Waterloo Regional Police Service was asked to participate, test and evaluate the system.
The project steering team consisted of Mr. Arnold, Mr. James Hill, President of Praeda Management Systems and Staff Sergeant A. Rosenberg, Waterloo Regional Police Service. A series of meetings defined the functional design specifications. Staff at Praeda Management Systems then selected the hardware, and operating system.
The Waterloo Regional Police Service assisted Praeda Management Systems with the work flow, information entry and types of documents. Upon completion of a series of tests cases at Praeda Management Systems offices the system was installed at Waterloo Regional Police Service Headquarters for evaluation and live testing.
Operational staff at Waterloo Regional Police Service were trained in the use of the system. A variety of cases were selected at random and the system to produce the required documents. The documents were then placed into the Judicial System and were accepted.
SYSTEM DESIGN
Several key components were defined during the system design and as such they form the basis of this evaluation report.
1) The documents must be approved for use by the Ministry of the Solicitor-General
2) The system must be able to produce documents automatically, based on the information entered
3) The system must not require a technical person for general use and must be easy to use
4) The system must maintain a record of each case
5) The system must prepare documents required by the Police Service and the Crown Attorney
6) The system documents must be accepted by the local courts
7) The system should reduce the time and work required to produce the documents
EVALUATION
This evaluation will address the six issues from the system design. To be successful the system must satisfy each issue.
A) The documents must be approved for use by the Ministry of the SolicitorGenera/
Praeda Management Systems prepared a set of all documents to be produced by the system and submitted them for approval. All were accepted. Praeda Management System selected a duplexing Postscript laser printer to produce the documents.
The system meets this requirement.
B) The system must produce documents automatically, based on the information entered
The system, based on the information entered, name, age, charge, etc. produces all of the required court, police and Crown documents. During the design it was determined that the greatest number of documents was produced by a Young Offender impaired driver, held for a bail hearing. The system produced all of the required reports, including, the notice to parent
the information the notice to introduce documentary evidence
the breath technician's report the twelve hour suspension notice
the bail hearing report charge sheets used by the Crown and police
the witness list
The system meets this requirement.
C) The system must not require a technical person for general use and must be easy to use
The staff selected to do the actual functional testing at the Waterloo Regional Police facility were clerical staff with little or no technical background. The staff were familiar with data entry into a Records Management System. The staff were able to enter the required data and print the documents with a minimum of training.
The actual method of data entry is best described as "fill in the blanks." The system has predefined many areas with a list of acceptable values, including the charge wordings. This makes entry by even non-clerical staff easy with a short learning curve.
The only contact with technical staff at Praeda Management Systems, outside of training, was for clarification on the use of some of the functions. This was required as no formal detailed documentation was available.
The system meets this requirement.
D) The system must maintain a record of each case
The system assigns a unique case number to each charge entered. The system saves this information in a "book." The information can be retrieved and amended as required and new or additional documents produced.
The system meets this requirement.
E) The system must prepare documents required by the Police Service and the Crown Attorney
The system produces documents not entered into the Judicial system but are required by both police and the Crown Attorney. Each charge produces copies of a Charge sheet listing the basic information for the person, charge and a brief description of the circumstances surrounding the charge. The system also produces the Bail Hearing report, and witness lists.
The original set of documents was a copy of those used by the London Police Service and was easily modified to suit the needs of the Waterloo Regional Police Service and local Crown Attorneys.
The system meets this requirement.
F) The system documents must be accepted by the local courts
The test cases prepared at the Waterloo Regional Police Service were entered into the court system and were accepted.
The only problem encountered was attributed to the method of filing documents in the local court office. A small cosmetic change alleviated the concern.
The system meets this requirement.
G) The system should reduce the time and work required to produce the documents
This is the most difficult area to evaluate and requires some qualification. The evaluation is based on the premise that it would be used in a single user setting, that present method of forms production is with typewriters or basic wordprocessors filling the areas on preprinted forms.
Based on the aforementioned premise the system allows for a single point of entry. The information must only be entered once to produce all required reports. The use of preprinted forms is eliminated. Entering of the same information on each of the different forms is eliminated. The system will reduce the amount of time and resources required to produce the documents. Actual savings are dependent upon the system cost versus the current and projected resources cost to produce the documents.
It is impossible to determine how cost effective the system may be for several reasons. First, the savings that can be attributed to such a system are dependent upon the number of charges laid, the greater the number of charges the greater the potential savings. The cost of computer hardware continues to decline and may reduce the payback period. Enhancements or changes required by an individual Police Service or Judicial Jurisdiction may change the cost and by that increase the payback period.
To determine the potential savings for such a system find the following;
CURRENT COSTS
a) the current cost to produce a single set of documents (will vary for each Service dependent upon who produces the documents, their pay scale the equipment used and the method used to produce the documents)
multiply by
b) the number of charges processed in a year
POTENTIAL COSTS
a) the proposed cost to produce a single set of documents (will vary for each Service dependent upon who produces the documents, and their pay scale estimated to be 25 - 50% of current cost)
multiply by
b) the number of charges processed in a year
SYSTEM COST
This cost is dependent upon the final system design for a Service. Included in this cost should be maintenance for both the hardware and the software if the calculations are extrapolated beyond the warranty period.
SAVINGS
CURRENT COSTS minus POTENTIAL COSTS = POTENTIAL SAVINGS then POTENTIAL SAVINGS minus SYSTEM COST = SAVINGS
The current costs and potential costs will rise with increases in pay and the number of charges from year to year. The potential and actual savings will also rise. A system of this nature has a life expectancy of at least five years.
Based on the evaluation period, and consultation with the London Police Service that has used a similar system, the system will reduce the time required to produce the documents from 50 - 75% of the current time. Based on estimated pricing from Praeda Management Systems a medium sized Service can expect a quick payback period.
CONCLUSION
Praeda Management Systems' proposal was to design a system to produce all the documentation required by the Courts, the Crown Attorney and the Police for a criminal charge to be brought before the courts. The system tested by the Waterloo Regional Police Service performs as proposed.
The system, as tested, is well designed, efficient, and reliable. The test system can be described as a single user, stand alone system. The test system configuration consisting of a single workstation, and printer occupied little space.
The single user configuration tested, is well suited to a small to medium sized police service operating out of a single facility and should be cost effective. Larger services would require multiple workstations possibly networked to different facilities dependent upon their organizational structure.
1) A customised interface to established records management systems could eliminate double keystroking by extracting the required information from the systems database.
2) A version of the system designed to run on a personal computer network would allow use of the workstation for other than court document preparation.
STATUS REPORT
Introductory Remarks
The criminal charge system, developed in accordance with the terms and conditions of IRAP Project # 23256U, is copyright protected under the name inCHARGE Informations Technology and all commercial activity relating to the distribution and support of the product will be conducted using this product name.
inCHARGE consists of two distinct control elements. The first is the application software programs that manage the creation, maintenance and printing of criminal code charges. The second element is a criminal code wording file that includes more than 930 Criminal Code, Food and Drug Act, and Narcotics Control Act charges. The programs were originally defined and written by London Police Force. The criminal code wordings have been interpreted and prepared by Mr. David Amtfield, Q.C. and Sgt. William Johnson under agreement with Praeda. All business agreements, copyright declarations, and rights to represent the executable software and criminal code wordings are in the final stages of completion.
The project has resulted in a significantly enhanced product that successfully melds a specialized and complex legal process with computer technology. Preliminary reaction suggests the operational benefits to the police community will be numerous. From the outset, it has been understood the system would promote the timely and accurate preparation of criminal charges. Consideration of several other factors has revealed that the system will also satisfy aspects of the justice system beyond the requirements of the Police Services Act. By eradicating the slow and often incorrect preparation of charges and providing a full suite of charge documents, inCHARGE satisfies the right to trial within a reasonable time period and the right to access criminal charge information.
The following report will review technical results, actual and expected benefits, and future technical activity. The report also identifies and discusses various problems encountered during the development term and offers some recommendations for future projects of a similar nature. A summary of the savings realized by London Police Force, plus an estimate of annual savings to the Province of Ontario are provided in Appendix "A".
Praeda Management, SystemsInc., London, Ontario.
Technical Results
Computer generated statutory forms and criminal charges originally produced by London Police Force were subject to a mandatory review and approval by the Middlesex County Courts and the office of Ontario's Attorney General. Approval demanded strict compliance with the format of statutory forms issued by the Attorney General of Canada. The statutory forms produced by inCHARGE are identical in format to the approved forms.
Reliable generation of printed charges can be ensured only in a controlled production environment. Although not understood at the outset of the project, it became readily apparent the ultimate challenge was to develop a commercial version of the application that blended the unyielding demand for consistent performance and production with a professional, all encompassing, support program at a moderate costs. This proved to be no small challenge. To assure the integration of physical technology, development strategies, and actual application requirements would result in a functional and affordable commercial product, Praeda had to define hardware standards and select hardware vendors before development commenced. In addition to hardware selections, various software development tools that would best compliment the application had to be identified and reviewed. While pursuing hardware and development software issues, Praeda staff had to grapple with the esoteric requirements of the Canadian justice system, as it pertains to the creation of criminal code charges in the Province of Ontario.
Technical development issues are summarized below.
Hardware: Few hardware or operating system standards appear to be defined within the Ontario Police community at this time. As a result, Praeda has defined four (4), task dedicated, hardware configurations to accommodate criminal charge processing for one, four, eight and sixteen user servers. All systems include point-to-point communication software to augment remote support. Multi-user systems include network controllers and standard, open network protocol software to facilitate inter-system connectivity and data interchange at a future date.
Printer: A multi-tray, duplexing laser printer is required. The printer originally used by London Police Force had been replaced by a model priced at more than $9,000.00 when the project was approved. After a comprehensive evaluation of commercial printers, the IBM Lexmark 4039 laser printer series was selected as the standard printer for the project on the basis of performance, service and cost.
Server: Intel architecture from DIGITAL. Memory, disk drives, tape drive, and uninterruptible power supply are specified for each configuration. DEC was selected for several reasons:
cl comprehensive, on-site hardware service throughout the Province
cl history of building high quality, commercial grade equipment
cl servers assembled in Canada (Kanata)
cl competitively priced in the commercial, desktop server market
Software: The original application was written in Informix' 4GL, relational database development software. inCHARGE was redeveloped in the newest release of the 4GL software and will be distributed in compiled, object code form resulting in improved speed of performance and significantly lower licence costs to the user.
General Conditions: Several technical enhancements and additions have been completed.
0 Input screens and query zooms have been rewritten to provide point and select access to pertinent data tables, minimizing entry errors.
0 Data management routines and processing logic have been rewritten to achieve faster and more reliable performance.
0 Print routines and report query options have been redeveloped to improve reporting procedures.
a Original input limitations have been removed to simplify the entry of complete charge information.
Cl New charge wording entry routines have been added to substantially reduce the amount of typing required to prepare a charge.
0 A text manager with word processing features has been added to allow users to prepare, and spell check, all witness statements and other free form text associated with a charge. Several weeks of Praeda’s time was required to research, test and select a functional, reasonably priced text manager.
inCHARGE includes all Criminal Code of Canada wordings, plus significant performance and production improvements in all entry, processing and printing functions. The mandate of the project was to produce a commercial version of the criminal charge system used by London Police Force. In reality, the new version includes many additional features that were not part of the original application. We are confident that both the NRC and the Ontario Police community will be satisfied with the results.
Actual Benefits
Operations:
0 Savings and Efficiency: Drastic reduction of time and/or wages for officer and civilian personnel at each site. Officers will spend more shift time in public patrol and investigation by reducing the amount of time spent in the office preparing charges, and in court representing charges.
0 Control. Controlled, consistent production of criminal code charges and court documents, minimizing incorrect interpretation of charge wordings, data entry errors, omissions and oversights, redundant input of common data, and court rejection of incorrectly prepared charges. Backlogs will be eliminated. Charges can be prepared and printed on demand. Charges can also be updated over the full period of investigation and printed when required.
Acquisition Costs:
Low Cost Technology. A turnkey solution, providing a specialized, police application can be procured at a small fraction of the development cost with the knowledge that ongoing usage costs are minimal. Further, there is no need to hire specially trained technicians to maintain or administer the system.
0 Ease of Acquisition. Complete, turnkey supply, eliminating problems relating to warranties, on-site support, and multi-vendor acquisition. Procurement options performance will include acquisition as a capital expense purchase, or long term, fixed monthly rates, as an operating expense.
Other Costs:
0 Minimal Operating Costs. On-going direct costs are limited to bonded paper and printer toner, as consumed, and long distance modem support charges.
Expected Benefits
cl An Up to Date Criminal Charge System: Corrections, enhancements and minor additions to the existing application, plus corrections, amendments, and minor revisions to the Criminal Code of Canada will be provided at no charge to each supported site, as required.
a Input and Control of Future Upgrades and New Applications: Regional user group representation to define revisions and additions, plus development of new applications related to inCHARGE. Group representatives will define the features and functions of on-going development at an annual conference, ensuring pertinent user needs are addressed and incorporated in future releases.
Other Benefits To Contemplate
CI Provincial Savings: The Province of Ontario could save several $million annually in printing and paper costs if the system was used by all police services in the Province.
0 Consistency: The use of inCHARGE to prepare consistently worded and formatted criminal charges throughout Ontario would promote savings as a result of the efficiencies that naturally accompany the standardization of any multifarious process.
Future Technical Activity
No new technical development is planned for the application in the immediate future. The needs and demands of the Ontario Police community, however, could force the inCHARGE system to embrace new technology. Future changes to the Criminal Code of Canada or the Police Services Act could have a similar affect. In either case, we can only acknowledge there may be a need to readdress the technical issues at a later date.
Technology that Praeda will evaluate for future releases includes, but is not limited to:
Cl programming utilities that produce post script output and provide rapid adaptation of changes to existing statutory forms, or quick addition of new forms.
CI 4GL development tools that will run on DOS and UNIX operating systems; support character and graphical user interfaces; access multiple database systems; and address multiple network protocols
0 Canadian Police connectivity standards to determine the feasibility of incorporating communications into the system as an optional link to federal records. It may prove there is no merit in this consideration.
Preliminary discussions have been conducted with London Police and Waterloo Regional Police regarding data transfer of charge information to the central records management systems as a complimentary function. A technical evaluation of host tile definitions, data translation parameters, and communication/network protocols will be required before development work can begin.
Research Bearing Upon the Outcome of the Project
Research for the project can be separated into two areas. The first is application. The second is technology. The time taken to study, and grasp the procedural requirements of the project surpassed the time expended in analysis of the technology used to complete the redevelopment of the application.
Application: Praeda assumed the original criminal charge system, created by London Police Force, would be a generic representation of the process, and that our task would be limited to technical development only. This was not the case. WhiIe Praeda's initial lack of knowledge regarding the Criminal Code of Canada, the Police Services Act, and the requirements of criminal charge creation is understandable, it severely hampered the normal process of software development. Although we have achieved a sound understanding of the stated requirements relating to the creation of criminal charges, we have little knowledge of the manner in which the process is completed at different police services. After ten months of working closely with London Police Force and Waterloo Regional Police on the project, we are still encountering discrepancies in stated needs between the sites. If this condition is encountered at each subsequent site, the sale of a standard system may be difficult.
Technology: The application development platform was inherited with the project. Informix relational database development products were used to create the original application and have been used to produce the commercial version. Evaluation of a newer release of the development tools, operating system software, and auxiliary software products, used to augment charge creation and charge printing, was completed. Hardware evaluations, measuring server performance, and printer functionality, were also completed.
Cost and Performance: Praeda has had telephone conversations with several sites throughout the Province. In all cases, the sites expressed considerable interest in the application, and considerable concern about the cost of acquisition. As a consequence, all technology research has been conducted to evaluate best performance at best price. In some instances, products that offered good functionality and performance were rejected because the cost per site was prohibitive.
Recommendations
Future projects of this nature would be advantaged by a change in development procedure. Using the inCHARGE project as an example, we submit the following recommendations for change:
Actual Format:
Praeda prepared a detailed application to produce a commercial version of the criminal charge sheet system developed by London Police Force (LPF). An IRAP development grant was awarded. With the full co-operation of LPF, Praeda set about to superimpose commercial software disciplines and requirements by rewriting the application. In that regard, alI went well. Problems were encountered because we assumed the original software, as received from the LP, was the final definition of the requirements. While the original version addressed most criminal charge issues, it also automated many local practices and functions that may apply only to London's operation. A considerable amount of unplanned development time has been spent developing software features that accommodate both London's and Waterloo's manner of operation. The issues we are aware of have been
resolved to everyone's satisfaction, at a direct cost to Praeda.
Proposed Format:
Praeda would submit a preliminary application, identifying a two phase development schedule. Phase 1 would declare firm prices and deadlines. Phase 2 would be preliminary budget.
Phase 1 would be dedicated to the definition of the application. LPF, plus two other sites appointed by the NRC, would participate. At the start of Phase 1, the two appointed sites and Praeda would use the original software in a controlled test for a 30 day period. At the end of the test period, a detailed critique from each test site would be used to finalize a statement of development requirements that embraced both the software and hardware demands. A final price for Phase 2 would then be completed and submitted to IRAP for approval.
Phase 2 would entail all technology research and application development. An integral part of Phase 2 would be regularly scheduled development meetings, and final proof of concept testing of the commercial version by the users identified in Phase 1.
Although a two phase assistance program would be more difficult to administer and more costly to complete, we contend the final product would better represent the global needs and requirements of the user community.
APPENDIX A - Savings Expected From the Use of inCHARGE
London Police Force:
The folIowing is reproduced in part from correspondence received from Mr. Eldon Amoroso, Director of Information and Technology, London Police Force, dated April 20, 1994.
1. Direct Savings: Back in 1990, we told the Board that we would save two people at the current rate of charges. This continues to be completely true. The cost of this at current rates is $74,34 1 (2 computer terminal operators X annual salary of $3 7,263 + fringe benefits of 79%). Also worth mentioning is that we could absorb an increase in charges from our current 14,000 charges up to 19,000 withoutincreasing staff in the area that does charge sheets (a 35% increase in charges). The ability to distribute data entry of charges to the officers is also working well in our Criminal Investigation Division.
3. Up Loading of Informations to the Courts: We must not overtook this phase as an absolute money saver for the Province. This should be mentioned. It is not mere wishful thinking, but is completely possible since we have the informations electronically stored today. This could be forwarded to the Courts, akng with the signed paper infonnations from the computer, and it would save data entry effort for Court Administration wherever the system was installed. Think of the savings across the Province, knowing the number of charges that are produced. This direct/y related to people. In return, we would expect electronic transfer of dispositions and charge dates, however, the bulk of the benefit goes directly to the Courts. We should stress that our infonnations are stored electronically today, and would be available for a pilot study. "
2. Bail Hearings Officers: Implementing a Bail Hearings Officer plan was much easier due to the Charge Sheet system. The Bail Hearings report is done on-tine, and is subsequently available at Court Services (Field Support Branch). Although not directly responsible for the $100,000 annual savings, the implementation was very easy due to technological assistance.
Data provided by London Police in February 1993 stated the system had also reduced officer overtime costs, representing a total reduction of 3.75 personnel. Applying the costs identified above, LPF realizes a total savings of $139,389 in annual wages using inCHARGE to produce criminal charges.
Attorney General - Preprinted Forms:
Praeda has estimated the Province of Ontario could significantly reduce the Attorney General's annual budget for preprinted forms if the system was used throughout Ontario. Provincial savings have been calculated by extrapolating 1993 data provided by London Police Force. The number of charges for a five year period commencing 1995, increase at 10% per annum as indicated in the 1992 National Crime Statistics Catalogue 85-205. Inflation is factored at 2.0% per annum for all cost calculations. Other factors will be discussed upon request.
| CHARGE INFORMATION | 1995 | 1996 | 1991 | 1998 | 1999 |
|---|---|---|---|---|---|
| Total Criminal Charges | 1,610,163 | 1,771,179 | I ,948,297 | 2.143.127 | 2,357,440 |
| Totalp acpoers t, manualsystem | $4,100,449 | $4,182,458 | $4,266,107 | $4.35 1.429 | $4,438,458 |
| Total paper & toner cost, inCHARGE | $430.965 | $439.584 | $448,376 | 5457.344 | $466.490 |
| Savings | $3,669,484 | $3,742,873 | $3,817,731 | $3,894,085 | $3,97 1,967 |
Two considerations are excluded. 1) The cost of software licence rights and annual support charges are not considered. If included, such costs would reduce total savings to approximately $10,000,000. 2) Praeda cannot foresee what additional savings the Attorney General's office may realize if the task of purchasing, receiving, warehousing, order taking, and shipping of pre-printed forms was eliminated.
- NEWSLETTER -
For The Ontario Police Community
June, 1994
Volume 2. Issue1
We Make Mistakes . . .
Two mistakes appeared in the sample Charge Sheet printed in the April Newsletter. Waterloo Regional Police Service is shown as the charge site for an offence committed in London. In addition, some Charge Summary text was omitted at the right margin in the duplication process. A corrected copy of the Charge Sheet has been included with this Issue.
Ongoing Changes
Three significant changes have been introduced since April.
Hardware: IBM has released and enhanced version of their Lexmark printers. The Lexmark 12R Plus laser printer has 12 page per minute output, at 600 dpi resolution, and several new or enhanced settings and controls. The 12R Plus will be the standard printer for inCHARGE forms.
Software: Fineline's text management software has replaced the SlickEDIT product. Fineline offers better functionality and ease of use at a lower cost.
Output Forms: "Show Cause" reports are now called "Bail Hearing" reports, and include more charge information, as requested by London Police Force.
Testing
Testing of inCHARGE at Waterloo Regional Police was deferred for one month. Forms testing/approval has now been completed at Headquarters and production testing at the Kitchener operating division is scheduled to start within days of this writing. Although we cannot provide a final report on the testing results for the OACP Conference. preliminary indications will be available. A copy of the final results will bc printed and mailed within 30 days of the end of test.
0
Phone:
(519)685 33.50 (519)685 3009
Fax: Email:
email@example.com
- June Newsletter
-
Savings
It was understood from the outset of the project that the computer assisted criminal charge system would provide direct savings to all users. The following is reproduced in part from correspondence received from Mr. Eldon Amoroso, Director of Information and Technology, London Police Force (LPF). dated April 20, 1994.
1. Direct Savings: ... , save two people at the current rate q/charges. This continues to be completely true. The cost of this at current rates is $74,341 (2 computer terminal operators Xannual salary of $31,263 + fringe benefits of 19%). Also worth mentioning is that we could absorb an increase in charges from our current 14,000 charges up to 19,000 without increasing staff in the area that does charge sheets (a 35% increase in charges). The ability to distribute data entry of charges to the officers is also working well in our Criminal Investigation Division.
2. Bail Hearings Officers: Implementing a Bail Hearings Officer plan was much easier due to the Charge Sheet system. The Bail Hearings report is done on-line, and is subsequent& available at Court Services (Field Support Branch). Although not directly responsible for the $ 100,000 annual savings, the implementation was very easy due to technological assistance.
3. Up Loading of informations to the Courts : We must not overlook this phase as an absolute money saver for the Province, This should be mentioned. It is not mere wishful thinking, but is complete+ possible since we have the informations electronically stored today. . This could be forwarded to the Courts, along with the signed paper informations from the computer, and it would saw data entry effort for Court Administration wherever the system was installed. Think of the savings across the Province, knowing the number q/charges that are produced. This direct& relates to people. In return, we would expect electronic transfer of dispositions and charge dates, however, the bulk of the benefit goes directly to the Courts. . We should stress that our informations are stored electronically today, and would be availablefor a pilot study. "
NOTE: LPF statistics indicate the number of criminal charges will increase to 19,000 per annum by 1.397. Creation of 19,000 charges using a traditional, type written procedure would require 5.75 full time personnel to complete Applying the costs identified above, LPF will realize annual payroll savings in e x c e s s of $140,000 by 1997 using inCHARGE to produce criminal charges.
OACP Conference, June 26-30
inCHARGE will be on exhibit at the Conference from Monday June 27 to Wednesday June 29. Praeda's booth will include a 5 minute self running demonstration and samples o f printed forms and output. A fully configured production server and printer will also be set up to conduct hands on demonstrations.
Please stop at BOOTH # 64 for a personal demonstration of inCHARGE.
- Sample Charge Sheet -
LONDON POLICE FORCE - CHARGE SHEET POLICE COPY
ARREST - PTA
ACCUSED
(Surname Gien1 Given2)
DOE, John Joseph
(Occurrence No.): 94-1678
(Alias)
(Sex)
(Date ofBirth)
(Age) (Place ofBirth)
(Interpreter)
(Local Crim. No.) (CR2)
M 0 1 Jan. 1 9 5 9 3 5
ONTARIO
14-567
ATTACHED
(Address. City,Postal Code)
(Phone No.)
123 MAIN STREET, LONDON,ONTARIO, N5Y 1S1
(519) 654-1234
(Height) (Weight)
(Hair) (Eyes) (Race)
(Caution)
183 88 BRNBLU w Vio1
(Marks)
(Driver's Licence)
(FPS)
YOTEXR= TAT ONRIGHT FOREARM
D1468-35345-90101D14053
(Occupation)
(EmployedBy)
(Marital Status)
LABOURER
SMITHCONSTRUCTION COMPANY SINGLE
(Fingerprinted) Y (Fingerprint Date): 01Jan. 1994 (Fingerprint Time): 08:30-16:30
OFFENCE
-
cc 253(a)
IMPAIRED
OPERATION/MOTOR VEHICLE/ALCOHOL
(OffenceTime) (Offence Date)
(Damage)
01:30 01J a n . 1 9 9 4
(Victim Injury)
(Stolen)
(Recovered)
(Victim Age) (Civilian Witnesses)
(co-Accused/JointWith):
DRIVING OFFENCE
(VehicleDescription. Make. Model. Colour, Licence Plate, Pmv.. Year)
BLUE FORD 2-DOOR MUSTANG,DJJ148, ONT,1994
(Vehicle Owner)
(AccusedDriver'sLicence)
(Prov. IIssued)
SAMEAS ACCUSED
D1468-35345-90101
OUT
(Accident)
(Total Damage)
NOT APPLICABLE
(Victim Injury)
(Victim Age)
BREATHALYZER
(TimeArrested)
(Time/ReadingI)
(Time/Reading2)
01:40
02:05 140mg gper 100ml d blood 02:25 140mg gper100ml d blood
Defence:
crown:
Justice:
Procedure: Summary: []Election: 11 Inv. Officer: JOSEPH, SCHLOTZ
Indictable []
456U.D. 1-C
Next Action
YYYY/MM/DDI/C RECUT BW SC PLEA TBA C TTBW PH T FS
Notes
_----- - - - - - - -
2 1Jan. 94 _ - - - - -- _ _ - - - -
_----- - m m - - - -
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CHARGE WORDING
On or abou t the lmt day of January i n the yeu 1994 at the City O f Londo n in the maid region did, whil e him ability t o operate a roto r vehicle w as impaired by Alcohol operate a motor vehicle, Criminal Code of Canada. contrary to Section 253 , clause (a) of the
PR OVI NCIA L OFFEN CE ASSO CIATED
ADDITIONAL OFFICERS -
JO HN AL EX AN DER 551
IDE NT
Pleads:
Location:
Date:
Code:
Disposition:
CHARGE SUMMARY -
On January 1, 1994 at about 01:30 hours, the ccumed va8 westbound o n Dundas Street near Highbury Avenue , being followed by the witness Mary Jane Smith. The investigating officer w a s amtbound on Dundas Street near Highbury Avenue AVmUa when t h e witness, Mary Jane Smith, attracted his ttuation by flashing her headlights and pointing to the ccumed'm vehicle in front of her. The officer made a "U" turn and stopped the accused. The witness ala0 stopped a n d advised the officer he umpected the accrued was impaired as he w a s weaving all Over the road while driving. The officer spoke with the ccumed and detected a strong odour of intoxicant on the ccumed’m breath. Hi8 speech was mlurred and hi8 eyes were bloodshot. The officer had the CCU8ed perform a "heel to toe" teat and a ‘finger to nose" test, both o f which he failed. The officer formed the opinion the accused' a ability t o operate a motor vehicule va8 impaired by lcOhO1. The officer arrested the ccumed at 01:40 hours, road him his rights, and gave his a demand to supply samples of him breath suitable for analysis. He vaa transported to the police station and turned over to officer John Alexander, who performed the Breathalyzer tests.
Date/Time Generated: 1994-06-15 08:48 -NIX
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Oregon achieves . . . together!
OPERATIONAL BLUEPRINT FOR SCHOOL REENTRY 2020-21
Updated 11/30/2020
Under ODE's Ready Schools, Safe Learners guidance, each school has been directed to submit a plan to the district in 1 2 order to provide on-site and/or hybrid instruction. Districts must submit each school's plan to the local school board and make the plans available to the public. This form is to be used to document a district's, school's or program's plan to ensure students can return for the 2020-21 school year, in some form, in accordance with Executive Order 20-25(10). Schools must use the Ready Schools, Safe Learners guidance document as they complete their Operational Blueprint for Reentry. ODE recommends plan development be inclusive of, but not limited to, school-based administrators, teachers and school staff, health and nursing staff, association leadership, nutrition services, transportation services, tribal consultation, parents and others for purposes of providing expertise, developing broad understanding of the health 3 protocols and carrying out plan implementation.
1. Please fill out information:
| Name of School, District or Program | |
|---|---|
| Key Contact Person for this Plan | |
| Phone Number of this Person | (541) 549-2099 |
| Email Address of this Person | |
| Sectors and position titles of those who informed | |
| the plan | |
1 For the purposes of this guidance: "school" refers to all public schools, including public charter schools, public virtual charter schools, alternative education programs, private schools and the Oregon School for the Deaf. For ease of readability, "school" will be used inclusively to reference all of these settings.
2 For the purposes of this guidance: "district" refers to a school district, education service district, public charter school sponsoring district, virtual public charter school sponsoring district, state sponsored public charter school, alternative education programs, private schools, and the Oregon School for the Deaf.
3 Tribal Consultation is a separate process from stakeholder engagement; consultation recognizes and affirms tribal rights of self-government and tribal sovereignty, and mandates state government to work with American Indian nations on a government-to-government basis.
2. Please list efforts you have made to engage your community (public health information sharing, taking feedback on planning, etc.) in preparing for school in 2020-21. Include information on engagement with communities often underserved and marginalized and those communities disproportionately impacted by COVID-19.
Sisters School District is committed to instructional excellence for all.
The school district engaged parents with online surveys, followed by superintendent chats to glean input, and principal parent meetings to solicit parent input. Staff engaged in surveys as well as in team meetings to provide input. We collaborated in equity meetings, discussed COVID-19 effects on underserved students, and provided information on how to serve them. We consulted with the Oregon Department of Education, Safe Schools Alliance, High Desert ESD, district staff, community care providers and the Deschutes County Public Health Authority. We prepared a re-entry design that will support the educational and safety needs of our students and staff. We have engaged with our community by sharing our blueprint summary.
We have determined that in-person learning is the most effective instructional model for our rural community. We understand that some families will require a Comprehensive Distance Learning option, and we have developed our instructional model to be inclusive of all instructional needs. In reviewing our student enrollment, facilities, transportation, nutrition and staffing, we have determined capacity to safely provide daily in-person instruction. Based on our demographics, community needs and strategic plan goals, a reopening blueprint has been developed for each building to ensure equity and excellence in meeting the needs of our families.
3. Indicate which instructional model will be used.
Select One:
☐ On-Site Learning
☒ Hybrid Learning
☐ Comprehensive Distance Learning
4. If you selected Comprehensive Distance Learning, you only have to fill out the green portion of the Operational Blueprint for Reentry (i.e., page 2 in the initial template).
5. If you selected On-Site Learning or Hybrid Learning, you have to fill out the blue portion of the Operational Blueprint for Reentry (i.e., pages 3-19 in the initial template) and submit online . ( https://app.smartsheet.com/b/form/a4dedb5185d94966b1dffc75e4874c8a ) by August 17, 2020 or prior to the beginning of the 2020-21 school year.
* Note: Private schools are required to comply with only sections 1-3 of the Ready Schools, Safe Learners guidance.
REQUIREMENTS FOR COMPREHENSIVE DISTANCE LEARNING OPERATIONAL BLUEPRINT
This section must be completed by any school that is seeking to provide instruction through Comprehensive Distance Learning. For Private Schools, completing this section is optional (not required). Schools providing On-Site or Hybrid Instructional Models do not need to complete this section.
Describe why you are selecting Comprehensive Distance Learning as the school's Instructional Model for the effective dates of this plan.
Our county has not yet met the metrics for onsite learning. We are eager to welcome students back once we have met state and county metrics.
In completing this portion of the Blueprint you are attesting that you have reviewed the Comprehensive Distance Learning Guidance. Here is a link to the overview of CDL Requirements. Please name any requirements you need ODE to review for any possible flexibility or waiver.
We have received the guidance and will implement to the best of our ability. We have families who live in rural areas where internet and cell phone service do not exist. We will offer families locations where they can travel to connect virtually.
We will be regularly reviewing the county metrics and will be ready to enter Hybrid learning once those metrics are met and we have conferred with our LHA. Our next anticipated date for return to Hybrid learning will be on January 11, 2021.
Describe the school's plan, including the anticipated timeline, for returning to Hybrid Learning or On-Site Learning consistent with the Ready Schools, Safe Learners guidance.
The remainder of this operational blueprint is not applicable to schools operating a Comprehensive Distance Learning Model.
ESSENTIAL REQUIREMENTS FOR HYBRID / ON-SITE OPERATIONAL BLUEPRINT
This section must be completed by any school that is providing instruction through On-Site or Hybrid Instructional Models. Schools providing Comprehensive Distance Learning Instructional Models do not need to complete this section unless the school is implementing the Limited In-Person Instruction provision under the Comprehensive Distance Learning guidance.
0. Community Health Metrics
METRICS FOR ON-SITE OR HYBRID INSTRUCTION
EXCEPTIONS FOR SPECIFIC IN-PERSON INSTRUCTION WHERE REQUIRED CONDITIONS ARE MET
☐ The school currently meets the required metrics to successfully reopen for in-person instruction in an On-Site or Hybrid model. If this box cannot yet be checked, the school must return to Comprehensive Distance Learning but may be able to provide some in-person instruction through the exceptions noted below.
☐ The school currently meets the exceptions required to provide in-person person education for students in grades K-3 (see section 0d(1) of the Ready Schools, Safe Learners guidance).
☐ The school currently meets the exceptions required to provide limited in-person instruction for specific groups of students (see section 0d(2) of the Ready Schools, Safe Learners guidance).
☐ The school currently meets the exceptions required for remote or rural schools in larger population counties to provide in-person instruction (see section 0d(3) of the Ready Schools, Safe Learners guidance).
☐ The school currently meets the exceptions required for smaller population counties to provide in-person instruction (see section 0d(4) of the Ready Schools, Safe Learners guidance).
☐ The school currently meets the exceptions required for schools in low population density counties (see section 0d(5) of the Ready Schools, Safe Learners guidance).
☐ The school currently meets the exceptions required for small districts to provide in-person instruction (see section 0d(6) of the Ready Schools, Safe Learners guidance).
1. Public Health Protocols
1a. COMMUNICABLE DISEASE MANAGEMENT PLAN FOR COVID-19
☒ Include names of the LPHA staff, school nurses, and other medical experts who provided support and resources to the district/school policies and plans. Review relevant local, state, and national evidence to inform plan.
☒ Process and procedures established to train all staff in sections 1 - 3 of the Ready Schools, Safe Learners guidance. Consider conducting the training virtually, or, if in-person, ensure physical distancing is maintained to the maximum extent possible.
C. Implement established stable cohorts for instruction and lunch/recess periods. (See Section 1D/2G/2H)
D. Implement established entry and screening procedures for students, staff and visitors. *see section 1F)
E. Implement established routines for arrival and dismissal. (See Section 2E)
F. Limit visitors and volunteers to essential functions only. (See Section 1G)
G. Implement established protocols for face coverings and face shields. (See Section 1H)
☒ Protocol to notify the local public health authority (LPHA Directory by County) of any confirmed COVID-19 cases among students or staff.
☒ Plans for systematic disinfection of classrooms, offices, bathrooms and activity areas.
☒ Process to report to the LPHA any cluster of any illness among staff or students.
H. Implement established isolation protocols for exposed and symptomatic students and staff in all locations, including bus stops. (See Section 1I)
☒ Protocol to cooperate with the LPHA recommendations.
☒ Provide all logs and information to the LPHA in a timely manner.
☒ Protocol for screening students and staff for symptoms (see section 1f of the Ready Schools, Safe Learners guidance).
☒ Protocol to isolate any ill or exposed persons from physical contact with others.
☒ Protocol for communicating potential COVID-19 cases to the school community and other stakeholders (see section 1e of the Ready Schools, Safe Learners guidance).
☒ Create a system for maintaining daily logs for each student/cohort for the purposes of contact tracing. This system needs to be made in consultation with a school/district nurse or an LPHA official. Sample logs are available as a part of the Oregon School Nurses Association COVID-19 Toolkit .
* If a student(s) is part of a stable cohort (a group of students that are consistently in contact with each other or in multiple cohort groups) that conform to the requirements of cohorting (see section 1d of the Ready Schools, Safe Learners guidance), the daily log may be maintained for the cohort.
* If a student(s) is not part of a stable cohort, then an individual student log must be maintained.
☒ Required components of individual daily student/cohort logs include:
* Child's name
* Drop off/pick up time
* Parent/guardian name and emergency contact information
* All staff (including itinerant staff, district staff, substitutes, and guest teachers) names and phone numbers who interact with a stable cohort or individual student
☒ Protocol to record/keep daily logs to be used for contact tracing for a minimum of four weeks to assist the LPHA as needed.
☒ Process to ensure that all itinerant and all district staff (maintenance, administrative, delivery, nutrition, and any other staff) who move between buildings keep a log or calendar with a running four-week history of their time in each school building and who they were in contact with at each site.
☒ Process to ensure that the school reports to and consults with the LPHA regarding cleaning and possible classroom or program closure if anyone who has entered school is diagnosed with COVID-19.
☒ Protocol to respond to potential outbreaks (see section 3 of the Ready Schools, Safe Learners guidance).
2. The SSD has updated their Communicable Disease Management Plan for all schools.
Links:
Management Plan (pdf)
COVID-19 Specific Communicable Disease
SSD Pandemic Plan (pdf)
The Sisters School District also follows School Board Policies GBEB and JHCC.
The principal will enforce and implement established physical distancing requirements that are consistent with ODE and OHA guidance.
4. The SSD will regularly consult with the Local County Health Authority, the High Desert, and the school-based nurse.
5. All staff will attend required Ready Schools, Safe Learning training throughout the week of August 20-August 31, 2020 (in-service). The SSD has increased staff in-service by 3 days to allow for this training. Training will be done in socially -distanced small-groups and virtually.
6. The district will notify public health authorities according to its Communicable Diseases and Pandemic plans. (See link above) 7. Sisters Middle School developed a plan to disinfect all school areas. (See Sections 2C/2D/2F/2G/2J)
8. Sisters Middle School will follow its Communicable Diseases Policy to report clusters of illnesses among students and/or staff. (See LPHA contact above).
9. Sisters Middle School will follow the district Communicable Diseases Policy to cooperate with the Deschutes County Health Authority recommendations and to provide requested information in a timely manner. (See LPHA contact above).
10. Sisters Middle School will implement established routines for screening of staff and students--See Sections 1F
11. Sisters Middle School will implement established isolation
Protocols--See Section 1. Screening/Isolation: Visual screening of all students and staff is outlined in 1e. Potentially symptomatic students will be escorted by a staff member to a designated area for screening/isolation
12. Sisters Middle School will implement its plan for communication to the School Community--See Section 1E
13/14/15. The building secretary will work with the school nurse to create and maintain stable cohort logs and individual student logs for those who are not part of a stable cohort. (See Section 1D for Cohort Plan). Logs will meet Ready Schools, Safe Learners guidelines.
Contact Tracing: Contact-tracing logs will be kept in each classroom for 1 week then turned into office to be kept for at least 3 weeks (total of at least 4 weeks).
16/17. Outbreak and exposure protocols will be followed--See Section 3B
1b. HIGH-RISK POPULATIONS
OHA/ODE Requirements
Hybrid/Onsite Plan
☒ Serve students in high-risk population(s) whether learning is happening through On-Site, Hybrid (partially On-Site and partially
*All staff and students will be provided an opportunity to document information pertaining to vulnerable health conditions for self and/ or an immediate family member.
Comprehensive Distance Learning models), or Comprehensive Distance Learning models.
Medically Fragile, Complex and Nursing-Dependent Student Requirements
☒ All districts must account for students who have health conditions that require additional nursing services. Oregon law ( ORS 336.201 ) defines three levels of severity related to required nursing services:
1. Medically Complex: Are students who may have an unstable health condition and who may require daily professional nursing services.
2. Medically Fragile: Are students who may have a life-threatening health condition and who may require immediate professional nursing services.
3. Nursing-Dependent: Are students who have an unstable or life-threatening health condition and who require daily, direct, and continuous professional nursing services.
☒ Staff and school administrators, in partnership with school nurses, or other school health providers, should work with interdisciplinary teams to address individual student needs. The school registered nurse (RN) is responsible for nursing care provided to individual students as outlined in ODE guidance and state law:
Staff:
This documentation will be offered to licensed, classified and contractual employees. Administration will work with Impacted staff to support redeployment or leave options.
Students:
*All students identified as vulnerable will be enrolled in a Comprehensive Distance Learning/SEO option to include twice weekly instructional monitoring. Documentation from a physician or parent/guardian will be maintained.
*Students identified as requiring Specially Designed Instruction Through Special Education will continue to receive instruction as identified through individual plans following Individual Education Plan meetings. *Students with language services will receive instructional services specific to language needs.
Visitors/Volunteers:
* Communicate with parents and health care providers to determine return to school status and current needs of the student.
Visitors/Volunteers will be unable to work in schools, or complete volunteer activities that require in person interaction. Adults in schools are limited to essential personnel as identified through this safety plan.
* Coordinate and update other health services the student may be receiving in addition to nursing services. This may include speech language pathology, occupational therapy, physical therapy, as well as behavioral and mental health services.
* Modify Health Management Plans, Care Plans, IEPs, or 504 or other student-level medical plans, as indicated, to address current health care considerations.
* The RN practicing in the school setting should be supported to remain up to date on current guidelines and access professional support such as evidence-based resources from the Oregon School Nurses Association.
* Service provision should consider health and safety as well as legal standards.
* Appropriate medical-grade personal protective equipment (PPE) should be made available to nurses and other health providers.
* Work with an interdisciplinary team to meet requirements of ADA and FAPE.
*
High-risk individuals may meet criteria for exclusion during a local health crisis.
* Refer to updated state and national guidance and resources such as:
o U.S. Department of Education Supplemental Fact Sheet: Addressing the Risk of COVID-19 in Preschool, Elementary and Secondary Schools While Serving Children with Disabilities from March 21, 2020.
o ODE guidance updates for Special Education. Example from March 11, 2020.
o OAR 581-015-2000 Special Education, requires districts to provide 'school health services and school nurse services' as part of the 'related services' in order 'to assist a child with a disability to benefit from special education.'
o OAR 333-019-0010 Public Health: Investigation and Control of Diseases: General Powers and Responsibilities, outlines authority and responsibilities for school exclusion.
1c. PHYSICAL DISTANCING
OHA/ODE Requirements
☒ Establish a minimum of 35 square feet per person when determining room capacity. Calculate only with usable classroom space, understanding that desks and room set-up will require use of all
Hybrid/Onsite Plan
Capacity for Sisters Middle School Settings:
Square Footage
Human Capacity
Gym (used for PE in 12180
348 people
space in the calculation. This also applies for professional development and staff gatherings.
☒ Support physical distancing in all daily activities and instruction, maintaining six feet between individuals to the maximum extent possible.
☒ Minimize time standing in lines and take steps to ensure that six feet of distance between students is maintained, including marking spacing on floor, one-way traffic flow in constrained spaces, etc.
☒ Schedule modifications to limit the number of students in the building (e.g., rotating groups by days or location, staggered schedules to avoid hallway crowding and gathering).
☒ Plan for students who will need additional support in learning how to maintain physical distancing requirements. Provide instruction; do not employ punitive discipline.
| addition to the outdoors) | | |
|---|---|---|
| Band/Choir Room | 1146/1153 | 32 people |
| Art Room- | 2721 | 77 people |
| Cafetorium | 6755 | 193 people |
| Library | 1748 | 49 people |
| Lecture/Drama | 1912 | 54 people |
| Classrooms (4) | Range from 671-768 | 15-17 people* |
| Classrooms (6) | Range from 895-988 | 21-24 people* |
| Classrooms (9) | Range from 1001-1644 | 24-42 people* |
*Occupancy has taken into account furniture.
Student Population By Level and Grade
☒ Staff should maintain physical distancing during all staff meetings and conferences, or consider remote web-based meetings.
| | Student Capacity based on Room Sizes | Student Population |
|---|---|---|
| 5th grade: | 113 | As of 8/1: 93 |
| 6th grade: | 122 | As of 8/1: 74 |
| 7th grade: | 117-122 | As of 8/1: 107 |
| 8th grade: | 117-125 | As of 8/1: 99 |
Students will travel directly to their homeroom class after entry from their grade-level specific entry door.
Hallways will be utilized on a very limited basis by only one cohort at a time.
Staggered start and dismissal will ensure that there will be minimized opportunities for contact between student cohorts.
1d. COHORTING
OHA/ODE Requirements
Hybrid/Onsite Plan
☒ Where feasible, establish stable cohorts: groups should be no larger than can be accommodated by the space available to provide 35 square feet per person, including staff.
* The smaller the cohort, the less risk of spreading disease. As cohort groups increase in size, the risk of spreading disease increases.
☒ Students cannot be part of any single cohort, or part of multiple cohorts that exceed a total of 100 people within the educational week. Schools should plan to limit cohort sizes to allow for efficient contact-tracing and minimal risk for exposure.
☒ Each school must have a system for daily logs to ensure contract tracing among the cohort (see section 1a of the Ready Schools, Safe Learners guidance ).
☒ Minimize interaction between students in different stable cohorts (e.g., access to restrooms, activities, common areas). Provide access to All Gender/Gender Neutral restrooms.
☒ Cleaning and disinfecting surfaces (e.g., desks, door handles, etc.) must be maintained between multiple student uses, even in the same cohort.
☒ Design cohorts such that all students (including those protected under ADA and IDEA) maintain access to general education, grade-level academic content standards, and peers.
☒ Staff who interact with multiple stable cohorts must wash/sanitize their hands between interactions with different stable cohorts.
There will be consistent daily tracking of stable cohorts utilizing logs: Transportation:
* Bus transportation (see 2i)
* Walking transportation: encourage social distancing while walking to school.
5th/6th Grade Classroom Cohorts:
Each class of up to 25 students (based on room capacity) will be maintained as a stable classroom cohort throughout all school settings with the possibility of one or two small additional stable cohort formed for extra academic supports.
* Electives as a cohort.
* Recess as a cohort.
* Lunch will be with their homeroom cohort.
7th/8th Grade Classroom Cohorts:
Each class of up to 25 students (based on room capacity) will be maintained as a stable classroom cohort throughout all school settings with the possibility of one or two small additional stable cohort formed for extra academic supports or elective classes.
* Recess/Library as cohort.
* Lunch will be with their classroom cohort.
Title and Special Education staff will provide services through direct support in class and cohorts.
To the extent possible, students receiving supports beyond core instruction (e.g., Title Services, Special Education and Related Services) will receive these supports within their classroom cohort.
* Staff will ensure, to the extent possible, that the pulled student doesn't interact with another cohort
* When student needs or administrative logistics require a student to be pulled from a classroom cohort to receive support, it creates a new cohort and additional contact tracing log requirements.
1e. PUBLIC HEALTH COMMUNICATION
OHA/ODE Requirements
Hybrid/Onsite Plan
☒ Communicate to staff at the start of On-Site instruction and at periodic intervals explaining infection control measures that are being implemented to prevent spread of disease.
☒ Develop protocols for communicating with students, families and staff who have come into close contact with a confirmed case.
* The definition of exposure is being within 6 feet of a COVID-19 case for 15 minutes (or longer).
☒ Develop protocols for communicating immediately with staff, families, and the community when a new case(s) of COVID-19 is
* All communication will be disseminated in English and Spanish
* The School Nurse, LPHA, and District Administration will collaborate to determine appropriate measures and messaging in the event that cohorts need to be excluded and to inform staff or parents of students who have had an exposure to a confirmed COVID-19 case. Letters produced to the families will be revised to reflect potential exposure dates, associated risk, potential onset of illness windows and interventions advised by the LPHA.
diagnosed in students or staff members, including a description of how the school or district is responding.
☒ Provide all information in languages and formats accessible to the school community.
1f. ENTRY AND SCREENING
OHA/ODE Requirements
Hybrid/Onsite Plan
☒ Direct students and staff to stay home if they, or anyone in their homes or community living spaces, have COVID-19 symptoms , or if anyone in their home or community living spaces has COVID-19. COVID-19 symptoms are as follows:
* Primary symptoms of concern: cough, fever ( temperature greater than 100°F) or chills, shortness of breath, or difficulty breathing.
* Note that muscle pain, headache, sore throat, new loss of taste or smell, diarrhea, nausea, vomiting, nasal congestion, and runny nose are also symptoms often associated with COVID-19. More information about COVID-19 symptoms is available from CDC.
* In addition to COVID-19 symptoms, students should be excluded from school for signs of other infectious diseases, per existing school policy and protocols. See pages 9-12 of OHA/ODE Communicable Disease Guidance .
* Emergency signs that require immediate medical attention:
o Trouble breathing
o Persistent pain or pressure in the chest
o New confusion or inability to awaken
o Bluish lips or face (lighter skin); greyish lips or face (darker skin)
o Other severe symptoms
☒ Screen all students and staff for symptoms on entry to bus/school every day. This can be done visually and/or with confirmation from a parent/caregiver/guardian. Staff members can self-screen and attest to their own health.
* Anyone displaying or reporting the primary symptoms of concern must be isolated (see section 1i of the Ready Schools, Safe Learners guidance) and sent home as soon as possible. See table " Planning for COVID-19 Scenarios in Schools. "
* Additional guidance for nurses and health staff.
☒ Follow LPHA advice on restricting from school any student or staff known to have been exposed (e.g., by a household member) to COVID-19. See table " Planning for COVID-19 Scenarios in Schools. "
☒ Staff or students with a chronic or baseline cough that has worsened or is not well controlled with medication should be excluded from school. Do not exclude staff or students who have other symptoms that are chronic or baseline symptoms (e.g., asthma, allergies, etc.) from school.
☒ Hand hygiene on entry to school every day: wash with soap and water for 20 seconds or use an alcohol-based hand sanitizer with 60-95% alcohol.
1g. VISITORS/VOLUNTEERS
OHA/ODE Requirements
Hybrid/Onsite Plan
☒ Restrict non-essential visitors/volunteers.
* Examples of essential visitors include: DHS Child Protective Services, Law Enforcement, etc.
* Examples of non-essential visitors/volunteers include: Parent Teacher Association (PTA), classroom volunteers, etc.
☒ Screen all visitors/volunteers for symptoms upon every entry. Restrict from school property any visitor known to have been
Visitors/Volunteers will be unable to work in schools, or complete other volunteer activities that require in person interaction, at this time. Adults in schools are limited to essential personnel only.
Screening Students:
Students will be visually screened by the staff at their exterior grade level designated door and when they enter the classroom. When the screening indicates that a student may be symptomatic, the child will not be accepted into the school and will be sent home. The school nurse will be consulted if there are any questions at the time of drop off.
When the screening at the classroom door indicates that a student may be symptomatic, the child will remain outside the classroom and the nurse will escort the student to the office. *Follow established protocol from CDMP (see section 1a). Screening will include updating the cohort or individual student logs.
Entry
There will be a staggered entrance into the building in order to accommodate the visual screening requirement.
Students will enter through 4 main entrances into the school, which will be labeled and staffed for clarity:
* 5th: Far East Side Doors
* 6th: South East Front Doors
* 7th: Far West Side Doors
* 8th: South West Front Doors
Students will sanitize hands upon entry to the classroom. Students who get breakfast will have from 8:15-8:30 to have a grab and go breakfast in the cafeteria.
Screening Staff:
* Staff are required to report to the administrator when they have symptoms related to COVID-19.
* Staff are required to report to the administrator when they may have been exposed to COVID-19.
* Staff members are not responsible for screening other staff members for symptoms.
exposed to COVID-19. See table “ Planning for COVID-19 Scenarios in Schools. ”
☒ Visitors/volunteers must wash or sanitize their hands upon entry and exit.
☒ Visitors/volunteers must maintain six-foot distancing, wear face coverings, and adhere to all other provisions of this guidance.
1h. FACE COVERINGS, FACE SHIELDS, AND CLEAR PLASTIC BARRIERS
OHA/ODE Requirements
Hybrid/Onsite Plan
☒ Face coverings or face shields for all staff, contractors, other service providers, or visitors or volunteers following CDC guidelines for Face Coverings . Individuals may remove their face coverings while working alone in private offices.
☒ Face coverings or face shields for all students in grades Kindergarten and up following CDC guidelines for Face Coverings.
☒ If a student removes a face covering, or demonstrates a need to remove the face covering for a short-period of time:
* Provide space away from peers while the face covering is removed. In the classroom setting, an example could be a designated chair where a student can sit and take a 15 minute "sensory break;"
o Students should not be left alone or unsupervised;
o Designated area or chair should be appropriately distanced from other students and of a material that is easily wiped down for disinfection after each use;
* Provide additional instructional supports to effectively wear a face covering;
* Provide students adequate support to re-engage in safely wearing a face covering;
* Students cannot be discriminated against or disciplined for an inability to safely wear a face covering during the school day.
☒ Face masks for school RNs or other medical personnel when providing direct contact care and monitoring of staff/students displaying symptoms. School nurses should also wear appropriate Personal Protective Equipment (PPE) for their role.
* Additional guidance for nurses and health staff.
Protections under the ADA or IDEA
☒ If any student requires an accommodation to meet the requirement for face coverings, districts and schools should limit the student's proximity to students and staff to the extent possible to minimize the possibility of exposure. Appropriate accommodations could include:
* Offering different types of face coverings and face shields that may meet the needs of the student.
* Spaces away from peers while the face covering is removed; students should not be left alone or unsupervised.
* Short periods of the educational day that do not include wearing the face covering, while following the other health strategies to reduce the spread of disease;
* Additional instructional supports to effectively wear a face covering;
☒ For students with existing medical conditions and a physician's orders to not wear face coverings, or other health related concerns, schools/districts must not deny any in-person instruction.
☒ Schools and districts must comply with the established IEP/504 plan prior to the closure of in-person instruction in March of 2020.
* If a student eligible for, or receiving services under a 504/IEP, cannot wear a face covering due to the nature of the disability, the school or district must:
Protections under ADA or IDEA:
The Sisters School District will ensure that any student who requires an accommodation to meet the requirement for face coverings, districts and schools should work to limit the student's proximity to students and staff to the extent possible to minimize the possibility of exposure. Appropriate accommodations could include:
* Spaces away from peers while the face covering is removed; students should not be left alone or unsupervised.
* Offering different types of face coverings and face shields that may meet the needs of the student.
* Short periods of the educational day that do not include wearing the face covering, while following the other health strategies to reduce the spread of disease;
* Additional instructional supports to effectively wear a face covering;
For students with existing medical conditions; doctor's orders to not wear face coverings, or other health related concerns,
The Sisters School District will comply with established IEP/504 plan prior to the closure of in-person instruction in March 2020.
* If a student eligible for, or receiving services under a 504/IEP, cannot wear a face covering due to the nature of the disability, the school or district will:
1. Review the 504/IEP to ensure access to instruction in a manner comparable to what was originally established in the student's plan including on-site instruction with accommodations or adjustments.
2. Placement determinations cannot be made due solely to the inability to wear a face covering.
3. Plans should include updates to accommodations and modifications to support students.
Students protected under ADA/IDEA, who abstain from wearing a face covering, or students whose families determine
the student will not wear a face covering, the school or district will:
* The team must determine that the disability is not prohibiting the student from meeting the requirement.
* Review the 504/IEP to ensure access to instruction in a manner comparable to what was originally established in the student's plan.
o If the team determines that the disability is prohibiting the student from meeting the requirement, follow the requirements for students eligible for, or receiving services under, a 504/IEP who cannot wear a face covering due to the nature of the disability,
o If a student's 504/IEP plan included supports/goals/instruction for behavior or social emotional learning, the school team must evaluate the student's plan prior to providing instruction through Comprehensive Distance Learning.
* Hold a 504/IEP meeting to determine equitable access to educational opportunities which may include limited on-site
*
1. Review the 504/IEP to ensure access to instruction in a manner comparable to what was originally established in the student's plan including on-site instruction with accommodations or adjustments.
2. Placement determinations cannot be made due solely to the inability to wear a face covering.
3. Plans should include updates to accommodations and modifications to support students.
* Students protected under ADA/IDEA, who abstain from wearing a face covering, or students whose families determine the student will not wear a face covering, the school or district must:
1. Review the 504/IEP to ensure access to instruction in a manner comparable to what was originally established in the student's plan.
2. The team must determine that the disability is not prohibiting the student from meeting the requirement.
o If the team determines that the disability is prohibiting the student from meeting the requirement, follow the requirements for students eligible for, or receiving services under, a 504/IEP who cannot wear a face covering due to the nature of the disability,
o If a student's 504/IEP plan included supports/goals/instruction for behavior or social emotional learning, the school team must evaluate the student's plan prior to providing instruction through Comprehensive Distance Learning.
3. Hold a 504/IEP meeting to determine equitable access to educational opportunities which may include limited in-person instruction, on-site instruction with accommodations, or Comprehensive Distance Learning.
☒ For students not currently served under an IEP or 504, districts must consider whether student inability to consistently wear a face covering or face shield as required is due to a disability. Ongoing inability to meet this requirement may be evidence of the need for an evaluation to determine eligibility for support under IDEA or Section 504.
☒ If a staff member requires an accommodation for the face covering or face shield requirements, districts and schools should work to limit the staff member's proximity to students and staff to the extent possible to minimize the possibility of exposure.
1i. ISOLATION AND QUARANTINE
OHA/ODE Requirements
Hybrid/Onsite Plan
☒ Protocols for exclusion and isolation for sick students and staff whether identified at the time of bus pick-up, arrival to school, or at any time during the school day.
* All students who become ill at school will remain at school supervised by staff until parents can pick them up in the designated isolation area (i.e., health room).
Our nurse will continue to collaborate with the other district school nurse and county officials to provide updates for plan and isolation measures taken to that point.
☒ Protocols for screening students, as well as exclusion and isolation protocols for sick students and staff identified at the time of arrival or during the school day.
* Work with school nurses, health care providers, or other staff with expertise to determine necessary modifications to areas where staff/students will be isolated. If two students present COVID-19 symptoms at the same time, they must be isolated at once. If separate rooms are not available, ensure that six feet distance is maintained. Do not assume they have the same illness.
* Consider required physical arrangements to reduce risk of disease transmission.
* Plan for the needs of generally well students who need medication or routine treatment, as well as students who may show signs of illness.
* Additional guidance for nurses and health staff.
* Student will be escorted to the office by the nurse and provided with a disposable medical grade facial covering.
* While exercising caution to maintain safety is appropriate when working with children exhibiting symptoms, it is also critical that staff maintain sufficient composure and disposition so as not to unduly worry a student or family.
* Staff should wear a facial covering and maintain physical distancing, but never leave a child unattended.
* Staff will maintain student confidentiality as appropriate.
* Daily logs must be maintained containing the following:
instruction, on-site instruction with accommodations, or Comprehensive Distance Learning.
The Sisters School District will consider child find implications for students who are not currently eligible for, or receiving services under, a 504/IEP who demonstrate an inability to consistently wear a face covering or face shield as required. Ongoing inability to meet this requirement may be evidence of the need for an evaluation to determine eligibility for support under IDEA or Section 504.
If a staff member requires an accommodation for the face covering or face shield requirements, districts and schools should work to limit the staff member's proximity to students and staff to the extent possible to minimize the possibility of exposure.
☒ Students and staff who report or develop symptoms must be isolated in a designated isolation area in the school, with adequate space and staff supervision and symptom monitoring by a school nurse, other school-based health care provider or school staff until they are able to go home. Anyone providing supervision and symptom monitoring must wear appropriate face covering or face shields.
* School nurse and health staff in close contact with symptomatic individuals (less than 6 feet) should wear a medical-grade face mask. Other Personal Protective Equipment (PPE) may be needed depending on symptoms and care provided. Consult a nurse or health care professional regarding appropriate use of PPE. Any PPE used during care of a symptomatic individual should be properly removed and disposed of prior to exiting the care space.
* After removing PPE, hands should be immediately cleaned with soap and water for at least 20 seconds. If soap and water are not available, hands can be cleaned with an alcohol-based hand sanitizer that contains 60-95% alcohol.
* If able to do so safely, a symptomatic individual should wear a face covering.
* To reduce fear, anxiety, or shame related to isolation, provide a clear explanation of procedures, including use of PPE and handwashing.
☒ Establish procedures for safely transporting anyone who is sick to their home or to a health care facility.
☒ Involve school nurses, School Based Health Centers, or staff with related experience (Occupational or Physical Therapists) in development of protocols and assessment of symptoms (where staffing exists).
☒ Staff and students who are ill must stay home from school and must be sent home if they become ill at school, particularly if they have COVID-19 symptoms. Refer to table in " Planning for COVID-19 Scenarios in Schools. "
☒ Record and monitor the students and staff being isolated or sent home for the LPHA review.
* Name of students sent home for illness, cause of illness, time of onset; and
* Name of students visiting the office for illness symptoms even if they are not sent home.
* Staff and students with known or suspected COVID-19, or displaying COVID-19 symptoms per current OHA guidance , CDC guidance , o r LPHA guidance, cannot remain at school and should return only after their symptoms resolve and they are physically ready to return to school. The procedures and conditions for returning to school are outlined in the OHA/ODE guidelines.
2. Facilities and School Operations
Some activities and areas will have a higher risk for spread (e.g., band, choir, science labs, locker rooms). When engaging in these activities within the school setting, schools will need to consider additional physical distancing or conduct the activities outside (where feasible). Additionally, schools should consider sharing explicit risk statements for instructional and extra-curricular activities requiring additional considerations (see section 5f of the Ready Schools, Safe Learners guidance).
2a. ENROLLMENT
(Note: Section 2a does not apply to private schools.)
OHA/ODE Requirements
Hybrid/Onsite Plan
☒ Enroll all students (including foreign exchange students) following the standard Oregon Department of Education guidelines.
☒ The temporary suspension of the 10-day drop rule does not change the rules for the initial enrollment date for students:
* The ADM enrollment date for a student is the first day of the student's actual attendance.
* No student will be dropped for non-attendance if they meet the following conditions:
* A student with fewer than 10 days of absence at the beginning of the school year may be counted in membership prior to the first day of attendance, but not prior to the first calendar day of the school year.
* If a student does not attend during the first 10 session days of school, the student's ADM enrollment date must reflect the student's actual first day of attendance.
* Students who were anticipated to be enrolled, but who do not attend at any time must not be enrolled and submitted in ADM.
☒ If a student has stopped attending for 10 or more days, districts must continue to try to engage the student. At a minimum, districts must
* All students will be enrolled following the Oregon Department of Education guidelines.
o Are identified as vulnerable, or otherwise considered to be part of a population vulnerable to infection with COVID-19
o Have COVID-19 symptoms for the past 14 days
* When a student is absent beyond 10 days and meets the criteria for continued enrollment due to the temporary suspension of the 10 day drop rule, continue to count them as absent for those days and include those days in our Cumulative ADM reporting.
* When a student has a pre-excused absence or COVID-19 absence, the school will reach out to offer support at least weekly until the student has resumed their education.
attempt to contact these students and their families weekly to either encourage attendance or receive confirmation that the student has transferred or has withdrawn from school. This includes students who were scheduled to start the school year, but who have not yet attended.
☒ When enrolling a student from another school, schools must request documentation from the prior school within 10 days of enrollment per OAR 581-021-0255 to make all parties aware of the transfer. Documentation obtained directly from the family does not relieve the school of this responsibility. After receiving documentation from another school that a student has enrolled, drop that student from your roll.
☒ Design attendance policies to account for students who do not attend in-person due to student or family health and safety concerns.
☒ When a student has a pre-excused absence or COVID-19 absence, the school district should reach out to offer support at least weekly until the student has resumed their education.
☒ When a student is absent beyond 10 days and meets the criteria for continued enrollment due to the temporary suspension of the 10 day drop rule, continue to count them as absent for those days and include those days in your Cumulative ADM reporting.
2b. ATTENDANCE
(Note: Section 2b does not apply to private schools.)
OHA/ODE Requirements
Hybrid/Onsite Plan
☒ Grades K-5 (self-contained): Attendance must be taken at least once per day for all students enrolled in school, regardless of the instructional model (On-Site, Hybrid, Comprehensive Distance Learning, online schools).
☒ Grades 6-12 (individual subject): Attendance must be taken at least once for each scheduled class that day for all students enrolled in school, regardless of the instructional model (On-Site, Hybrid, Comprehensive Distance Learning, online schools).
☒ Alternative Programs: Some students are reported in ADM as enrolled in a non-standard program (such as tutorial time), with hours of instruction rather than days present and days absent. Attendance must be taken at least once for each scheduled interaction with each student, so that local systems can track the student's attendance and engagement. Reported hours of instruction continue to be those hours in which the student was present.
☒ Online schools that previously followed a two check-in per week attendance process must follow the Comprehensive Distance Learning requirements for checking and reporting attendance.
* Attendance policies and plans will encourage staff and students to stay home if someone in their house is sick.
* Attendance will be taken daily on instructional days, taking into account staggered entrance when considering tardies.
* Secretary will notify the principal when the absence rate has increased by 10% or more.
* In the Comprehensive Distance Learning plan, the school will provide families with clear and concise descriptions of student attendance and participation expectations as well as family involvement expectations that take into consideration the home environment, caregiver's work schedule, and mental/physical health.
☒ Provide families with clear and concise descriptions of student attendance and participation expectations as well as family involvement expectations that take into consideration the home environment, caregiver's work schedule, and mental/physical health.
2c. TECHNOLOGY
OHA/ODE Requirements
Hybrid/Onsite Plan
☒ Procedures for return, inventory, updating, and redistributing district-owned devices must meet physical distancing requirements.
☒ Update procedures for district-owned or school-owned devices to match cleaning requirements (see section 2d of the Ready Schools, Safe Learners guidance).
* Each student will be assigned a Chromebook and instructed on appropriate sanitation and usage protocols.
* SSD will review and update its Distance Learning practices and policies relating to connectivity, device management, technology assistance, privacy, communication, and distribution/retrieval procedures in order to be prepared to move to Comprehensive Distance Learning for a student, cohort class, or school.
* Any device used for distance learning will be distributed and collected per the physical distancing requirements as stated in the Ready School, Safe Learners document.
* SSD will support Comprehensive Distance Learning for families requesting an online option. These students will be supported by a classroom teacher through online and packet developed standard
* The district has attendance policies that are a part of the Comprehensive Distance Learning plan to include students in an online platform of learning.
* If a student has stopped attending for 10 or more days, the district will continue to try to engage the student. The district will attempt to contact these students and their families weekly to either encourage attendance or receive confirmation that the student has transferred or has withdrawn from school. This includes students who were scheduled to start the school year, but who have not yet attended.
* The district has attendance policies to account for students who do not attend in-person due to student or family health and safety concerns that are a part of the Comprehensive Distance Learning plan.
based instruction. Teachers will connect regularly with online students, ensure student engagement, and meet student and family needs.
2d. SCHOOL SPECIFIC FUNCTIONS/FACILITY FEATURES
OHA/ODE Requirements
Hybrid/Onsite Plan
☒ Handwashing: All people on campus should be advised and encouraged to wash their hands frequently.
☒ Equipment: Develop and use sanitizing protocols for all equipment used by more than one individual or purchase equipment for individual use.
☒ Events: Cancel, modify, or postpone field trips, assemblies, athletic events, practices, special performances, school-wide parent meetings and other large gatherings to meet requirements for physical distancing.
☒ Transitions/Hallways: Limit transitions to the extent possible. Create hallway procedures to promote physical distancing and minimize gatherings.
☒ Personal Property: Establish policies for personal property being brought to school (e.g., refillable water bottles, school supplies, headphones/earbuds, cell phones, books, instruments, etc.). If personal items are brought to school, they must be labeled prior to entering school and use should be limited to the item owner.
* Handwashing: Provide age appropriate hand washing education, define appropriate times to wash hands, and provide hand sanitizer when hand washing is not available.
* Equipment: All classroom supplies and PE equipment will be cleaned and sanitized before use by another student or cohort group. As much as possible, each student will be issued their own supplies and books to eliminate shared materials. As much as possible, each cohort will be assigned their own PE and recess equipment to minimize sharing between cohorts.
* Events: Field trips that cannot meet the safety requirements will be designed virtually for the school year. All assemblies, special performances, school-wide parent meetings and other large gatherings will be cancelled or held in a virtual format if they cannot meet the OHA/ODE COVID safety requirements.
* Transitions/Hallways:
- Teachers will implement established physical distancing guidelines for classrooms and transitions that are consistent across the building. Students will be trained in physical distancing protocols.
- Time standing in lines will be minimized and six feet apart.
- Transitions will occur utilizing exterior doors as much as is practicable and when weather allows.
- When necessary to use hallways, staff will maintain 6 feet of distancing and only one cohort will occupy the hallway at a time.
* Personal Property: Each classroom will have a limit on the number of personal items brought into school. A full list of allowable items will be sent home prior to the start of school (refillable water bottles, jackets, tennis shoes). If personal items are brought to school, they must be labeled prior to entering school, and not shared with other students. All personal items are to be maintained within the classroom space.
* Restrooms: Each cohort will have designated restrooms. The restrooms will be cleaned multiple times throughout the day.
2e. ARRIVAL AND DISMISSAL
OHA/ODE Requirements
Hybrid/Onsite Plan
☒ Physical distancing, stable cohorts, square footage, and cleaning requirements must be maintained during arrival and dismissal procedures.
☒ Create schedule(s) and communicate staggered arrival and/or dismissal times.
☒ Ensure accurate sign-in/sign-out protocols to help facilitate contact tracing by the LPHA. Sign-in procedures are not a replacement for entrance and screening requirements. Students entering school after arrival times must be screened for the primary symptoms of concern.
☒ Assign students or cohorts to an entrance; assign staff member(s) to conduct visual screenings (see section 1f of the Ready Schools, Safe Learners guidance).
* Eliminate shared pen and paper sign-in/sign-out sheets.
* Ensure hand sanitizer is available if signing children in or out on an electronic device.
☒ Ensure alcohol-based hand sanitizer (with 60-95% alcohol) dispensers are easily accessible near all entry doors and other high-traffic areas. Establish and clearly communicate procedures for keeping caregiver drop-off/pick-up as brief as possible.
Screening Students:
Students will be visually screened by the staff upon arrival. When the screening indicates that a student may be symptomatic, the student is directed to the office. *Follow established protocol from CDMP (see section 1a). Screening will include updating the cohort or individual student logs.
Entry
All Students and Cohorts
* Staff will fill in the information and not allow a shared pen/paper.
* Each teacher/staff member will use a sign-in/sign-out protocol to help facilitate contact tracing.
* Hand sanitizer will be available at reception to use in conjunction with arrival/dismissal and signin/sign-out.
* Handwashing stations or hand sanitizer dispensers will be placed near all entry doors and other high-traffic areas.
* Share with families the need to keep drop-off/pick-up interactions as brief as possible.
* Students will sanitize hands in classroom upon entry.
* Mark specific areas and designate one-way traffic flow for transitions of traffic for vehicles and on-foot.
Dismissal
* Students will remain in their assigned cohort at the end of day until released by their teacher.
Cohort will dismiss as follows:
* Cohorts will be individually released both by a homeroom schedule and/or an announcement over the intercom one cohort at a time.
* Upon release all students in the cohort will go directly to their bus or departure point from campus.
2f. CLASSROOMS/REPURPOSED LEARNING SPACES
OHA/ODE Requirements
Hybrid/Onsite Plan
☒ Seating: Rearrange student desks and other seat spaces s o that staff and students' physical bodies are six feet apart to the maximum extent possible while also maintaining 35 square feet per person; assign seating so students are in the same seat at all times.
☒ Materials: Avoid sharing of community supplies when possible (e.g., scissors, pencils, etc.). Clean these items frequently. Provide hand sanitizer and tissues for use by students and staff.
☒ Handwashing: Remind students (with signage and regular verbal reminders from staff) of the utmost importance of hand hygiene and respiratory etiquette. Respiratory etiquette means covering coughs and sneezes with an elbow or a tissue. Tissues should be disposed of in a garbage can, then hands washed or sanitized immediately.
* Wash hands with soap and water for 20 seconds or use an alcohol-based hand sanitizer with 60-95% alcohol.
* Seating: Schools will rearrange student desks and other seat spaces so that staff and student bodies are at least six feet apart to the maximum extent possible while still maintaining the 35 square feet per person ; assign seating so students are in the same seat at all times.
* Materials: Each student will be assigned their own materials with their own designated materials storage whenever possible. Each classroom will limit sharing of community supplies when possible (e.g., scissors, pencils, etc.). If needed to share, these items will be cleaned frequently. Hand sanitizer and tissues will be available for use by students and staff.
* Hand Washing and Respiratory Etiquette: Students will be reminded, through signage and regular reminders from staff, of the utmost importance of hand hygiene and respiratory etiquette. Respiratory etiquette means covering coughs and sneezes with an elbow or a tissue. Tissues should be disposed of and hands washed or sanitized immediately. Handwashing is recommended over sanitizing by the CDC. Wash hands with soap and water for 20 seconds or use an alcohol-based hand sanitizer with 60-95% alcohol.
* Furniture: All upholstered furniture and soft seating will be removed from student accessibility prior to students return to the building.
* Classroom Procedures: Discontinue use of permanent restroom/hall passes and shared hard copy student sign-in/sign-out logs. Assign cubby or storage spaces for individual student belongings. All shared spaces (e.g. library and gymnasium) will be cleaned between cohort uses.
* Libraries: Staff will clean libraries and books prior to distribution. Schools will consider designating specific days/times for specific cohorts. Schools will create checkout and return procedures allowing books to be untouched for 72 hours and sanitized.
* Seating: Use visual aids (e.g., painter's tape, floor signs, etc.) to illustrate traffic flow, appropriate spacing, and assigned seating areas.
* Environment: When possible, schools will open windows or otherwise ventilate (through HVAC systems) the classroom before students arrive and after students leave, and while students are present if feasible. Staff will hold classes outside when possible and encourage students to spread out.
* Only the 5th grade will utilize the playground.
☒ Keep school playgrounds closed to the public until park playground equipment and benches reopen in the community (see Oregon Health Authority's Specific Guidance for Outdoor Recreation Organizations ).
☒ After using the restroom students must wash hands with soap and water for 20 seconds. Soap must be made available to students and staff.
* Schools will keep school playgrounds closed to the general public until playground equipment and benches reopen in the community (see Oregon Health Authority's Specific Guidance for Outdoor Recreation Organizations).
* Schools will remind students using the restroom, through signage and age-appropriate training, that they must wash hands with soap and water for 20 seconds. Soap will be made available to students and staff in all restrooms.
☒ Before and after using playground equipment, students must wash hands with soap and water for 20 seconds or use an alcohol-based hand sanitizer with 60-95% alcohol.
☒ Designate playground and shared equipment solely for the use of one cohort at a time. Disinfect at least daily or between use as much as possible in accordance with CDC guidance.
* Schools will designate playground and shared equipment solely for the use of one cohort at a time. Playgrounds and outdoor recreation equipment will be cleaned at least daily, or as often as possible, in accordance with CDC guidance.
o Each grade level will be given a designated outdoor space for recess.
☒ Maintain physical distancing requirements, stable cohorts, and square footage requirements.
☒ Cleaning requirements must be maintained (see section 2j of the Ready Schools, Safe Learners guidance).
☒ Provide signage and restrict access to outdoor equipment (including sports equipment, etc.).
☒ Design recess activities that allow for physical distancing and maintenance of stable cohorts.
☒ Clean all outdoor equipment at least daily or between use as much as possible in accordance with CDC guidance.
☒ Limit staff rooms, common staff lunch areas, elevators and workspaces to single person usage at a time, maintaining six feet of distance between adults.
* Playground supplies: Schools will designate playground and shared equipment solely for the use of one cohort at a time. Playgrounds and outdoor recreation equipment will be cleaned at least daily, or as often as possible in accordance with CDC guidance: refer to section 3j.
o These zones may also be utilized by classroom cohorts for instruction.
* Schools will provide signage and restrict access to outdoor equipment (including sports equipment, etc.).
* Playground / Recess activities will be planned to support physical distancing and maintain stable cohorts. This can include limiting the number of students on one piece of equipment, at one game, etc.
* Students must wash hands with soap and water for 20 seconds or use an alcohol-based hand sanitizer with 60-95% alcohol before and after using playground equipment.
o Activities that encourage physical distancing will be shared with cohorts.
* Elevator use is limited to one person at a time and signage must be posted.
* Given the lessened capacity for equipment use due to cohorting and physical distancing requirements, teachers will set expectations for shared use of equipment by students and will support students with schedules for when specific equipment can be used.
2h. MEAL SERVICE/NUTRITION
OHA/ODE Requirements
Hybrid/Onsite Plan
☒ Include meal services/nutrition staff in planning for school reentry.
☒Prohibit self-service buffet-style meals.
☒ Prohibit sharing of food and drinks among students and/or staff.
☒ At designated meal or snack times, students may remove their face coverings to eat or drink but must maintain six feet of physical distance from others, and must put face coverings back on after finishing the meal or snack.
* Students will eat breakfast and lunch in the cafeteria within their designated cohort space.
* Grab and Go meals will be available at identified school sites on school days for students in hybrid or on-line learning environments. On site, meals will be delivered to scheduled locations.
* Schools will have closed campus meals to help reduce contact outside of cohorts and to improve contact tracing ability.
☒ Staff serving meals and students interacting with staff at mealtimes must wear face shields or face covering (see section 1h of the Ready Schools, Safe Learners guidance).
* Schools staff serving meals will wear face shields or face covering (see section 1h).
☒ Students must wash hands with soap and water for 20 seconds or use an alcohol-based hand sanitizer with 60-95% alcohol before meals and should be encouraged to do so after.
☒ Appropriate daily cleaning of meal items (e.g., plates, utensils, transport items).
☒ Cleaning and sanitizing of meal touch-points and meal counting system between stable cohorts.
☒ Adequate cleaning and disinfection of tables between meal periods.
* When possible, Sisters School District schools will find alternate locations (e.g., classrooms) for eating meals, stagger meal times, restrict access to vending machines, limit use of communal serving utensils, establish non-contact payment methods.
* Students will be advised that they must wash hands with soap and water for 20 seconds or use an alcohol-based hand sanitizer with 60-95% alcohol before meals and will be encouraged to do so after.
* Students will dispose of meal items in a scheduled cohort-by-cohort manner.
☒ Since staff must remove their face coverings during eating and drinking, staff should eat snacks and meals independently, and not in staff rooms when other people are present. Consider staggering times for staff breaks, to prevent congregation in shared spaces.
* Desks / tables will be cleaned and sanitized after meals.
* Staff will eat snacks and meals independently, or in a location that maintains 6 feet of distance between them and other staff.
2i. TRANSPORTATION
OHA/ODE Requirements
Hybrid/Onsite Plan
☒ Include transportation departments (and associated contracted providers, if used) in planning for return to service.
☒ Buses are cleaned frequently. Conduct targeted cleanings between routes, with a focus on disinfecting frequently touched surfaces of the bus (see section 2j of the Ready Schools, Safe Learners guidance).
☒ Develop protocol for loading/unloading that includes visual screening for students exhibiting symptoms and logs for contact-tracing. This should be done at the time of arrival and departure.
* If a student displays COVID-19 symptoms, provide a face shield or face covering (unless they are already wearing one) and keep six feet away from others. Continue transporting the student.
o The symptomatic student should be seated in the first row of the bus during transportation, and multiple windows should be opened to allow for fresh air circulation, if feasible.
o The symptomatic student should leave the bus first. After all students exit the bus, the seat and surrounding surfaces should be cleaned and disinfected.
* If arriving at school, notify staff to begin isolation measures.
o If transporting for dismissal and the student displays an onset of symptoms, notify the school.
☒ Consult with parents/guardians of students who may require additional support (e.g., students who experience a disability and require specialized transportation as a related service) to appropriately provide service.
☒ Drivers wear face shields or face coverings when not actively driving and operating the bus.
☒ Inform parents/guardians of practical changes to transportation service (i.e., physical distancing at bus stops and while loading/unloading, potential for increased route time due to additional precautions, sanitizing practices, and face coverings).
SSD supports its own transportation services. We have 7 permanent drivers, 1 Lead Coordinator and 1 Director of Operations. Our transportation goals are to transport students according to ODE and the OHA Medical Covid guidelines.
Each bus driver will be required to:
* Passively, visually screen students for illness.
* Maintain attendance logs for contact tracing. Students will be identified and documented by cohort bus assignments. This can be done at the time of arrival or departure.
Each bus:
* When possible, maintain six (6) feet of physical distance between the driver and passengers (except during boarding and in assisting those with mobility devices); reinforce this requirement by cordoning off seats as appropriate. The first seat behind the driver will be empty as feasible.
* When possible, maintain three (3) feet of physical distance between passengers. Student passengers will be seated one student to a seat or household will be allowed to share a seat.
* If needed, use physical partitions or visual cues (e.g., floor decals, colored tape or signs) to discourage students from standing and sitting within three (3) feet of other passengers, drivers and other transit employees on the bus. High seat backs act as a barrier.
* Clean and sanitize buses between cohort routes.
* Meet with parents/guardians of students who may require additional support (e.g., students who experience a disability and require specialized transportation as a related service) to appropriately provide service.
* Drivers will wear a face covering while driving with students on board. (Face shield or mask).
* Inform parents/guardians of practical changes to transportation service (i.e., physical distancing at bus stops and while loading/unloading, potential for increased route time due to additional precautions, sanitizing practices, and face coverings).
☒ Face coverings or face shields for all students in grades Kindergarten and up following CDC guidelines applying the guidance in section 1h of the Ready Schools, Safe Learners guidance to transportation settings.
* Employee's students will continue established shuttle to and from their specific schools. Students will use their assigned bus; home to school and school to home.
2j. CLEANING, DISINFECTION, AND VENTILATION
OHA/ODE Requirements
Hybrid/Onsite Plan
☒ Clean, sanitize, and disinfect frequently touched surfaces (e.g. door handles, sink handles, drinking fountains, transport vehicles) and shared objects (e.g., toys, games, art supplies) between uses multiple times per day. Maintain clean and disinfected ( CDC guidance ) environments, including classrooms, cafeteria settings and restrooms.
☒ Clean and disinfect playground equipment at least daily or between use as much as possible in accordance with CDC guidance.
* Schools custodians and staff will clean, sanitize, and disinfect frequently touched surfaces (e.g., playground equipment, door handles, sink handles, drinking fountains, transport vehicles) and shared objects (e.g., toys, games, art supplies) between uses multiple times per day, per Cleaning and Disinfecting Plan. Facilities should be cleaned and disinfected at least daily to prevent transmission of the virus from surfaces in accordance with CDC guidance.
* ☒ Apply disinfectants safely and correctly following labeling direction as specified by the manufacturer. Keep these products away from students.
☒ To reduce the risk of asthma, choose disinfectant products on the EPA List N with asthma-safer ingredients (e.g. hydrogen peroxide, citric acid, or lactic acid) and avoid products that mix these with
Staff will maintain clean and disinfected (CDC guidance) environments, including classrooms, cafeteria settings, restrooms, and playgrounds. Playgrounds and outdoor recreation equipment will be cleaned at least daily, or as often as possible, in accordance with CDC guidance.
asthma-causing ingredients like peroxyacetic acid, sodium hypochlorite (bleach), or quaternary ammonium compounds.
☒ Schools with HVAC systems should evaluate the system to minimize indoor air recirculation (thus maximizing fresh outdoor air) to the extent possible. Schools that do not have mechanical ventilation systems should, to the extent possible, increase natural ventilation by opening windows and doors before students arrive and after students leave, and while students are present.
* Staff will apply disinfectants safely and correctly following labeling directions as specified by the manufacturer and keep these products away from students.
* Schools will operate ventilation systems properly and/or increase circulation of outdoor air as much as possible by opening windows and doors, using fans, and through other methods. Staff will not use fans if they pose a safety or health risk, such as increasing exposure to pollen/allergies or exacerbating asthma symptoms. Staff will consider the need for increased ventilation in areas where students with special healthcare needs receive medication or treatments. Ventilation systems will be checked regularly.
☒ Consider running ventilation systems continuously and changing the filters more frequently. Do not use fans if they pose a safety or health risk, such as increasing exposure to pollen/allergies or exacerbating asthma symptoms. Consider using window fans or box fans positioned in open windows to blow fresh outdoor air into the classroom via one window, and indoor air out of the classroom via another window. Fans should not be used in rooms with closed windows and doors, as this does not allow for fresh air to circulate.
☒ Consider the need for increased ventilation in areas where students with special health care needs receive medication or treatments.
☒ Facilities should be cleaned and disinfected at least daily to prevent transmission of the virus from surfaces (see CDC's guidance on disinfecting public spaces ) .
☒ Consider modification or enhancement of building ventilation where feasible (see CDC's guidance on ventilation and filtration and American Society of Heating, Refrigerating, and Air-Conditioning Engineers' guidance ) .
2k. HEALTH SERVICES
OHA/ODE Requirements
Hybrid/Onsite Plan
* Our school nurse or trained staff member will be on-site daily and will support plan implementation.
☒ OAR 581-022-2220 Health Services, requires districts to "maintain a prevention-oriented health services program for all students" including space to isolate sick students and services for students with special health care needs. While OAR 581-022-2220 does not apply to private schools, private schools must provide a space to isolate sick students and provide services for students with special health care needs.
☒ Licensed, experienced health staff should be included on teams to determine district health service priorities. Collaborate with health professionals such as school nurses; SBHC staff; mental and behavioral health providers; dental providers; physical, occupational, speech, and respiratory therapists; and School Based Health Centers (SBHC).
* Schools will provide age appropriate hand hygiene, physical distancing and respiratory etiquette education to endorse prevention. District communications, in collaboration with the local health authority, will be provided to schools to share in newsletters and school signage.
* Staff will participate in required health services related training to maintain health services practices in the school setting.
* Schools will adhere to OAR 581-022-2220 Health Services, which requires districts to "maintain a prevention-oriented health services program for all students" including space to isolate sick students and services for students with special healthcare needs.
* Staff will review 504 and IEP accommodations and IHP's to address vulnerable populations and have a plan for sustaining operations alongside COVID-19 specific planning (i.e., medication administration, diabetic care.)
* When a vaccine becomes available, Sisters School District Schools will work with the local health authority to provide space for vaccine clinics and nursing staff to aid in this work.
* Schools will work with SBHCs to potentially provide telehealth and COVID-19 testing services.
2l. BOARDING SCHOOLS AND RESIDENTIAL PROGRAMS ONLY
OHA/ODE Requirements
Hybrid/Onsite Plan
☐ Provide specific plan details and adjustments in Operational Blueprints that address staff and student safety, which includes how you will approach:
* Contact tracing
* The intersection of cohort designs in residential settings (by wing or common restrooms) with cohort designs in the instructional settings. The same cohorting parameter limiting total cohort size to 100 people applies.
* Quarantine of exposed staff or students
* Isolation of infected staff or students
Not applicable
* Where possible, staff will modify or enhance building ventilation (see CDC's guidance on ventilation and filtration and American Society of Heating, Refrigerating, and Air-Conditioning Engineers' guidance), as we are aware that air circulation and filtration are helpful factors in reducing airborne viruses.
* Communication and designation of where the "household" or "family unit" applies to your residents and staff
☐ Review and take into consideration CDC guidance for shared or congregate housing:
* Not allow more than two students to share a residential dorm room unless alternative housing arrangements are impossible
* Ensure at least 64 square feet of room space per resident
* Reduce overall residential density to ensure sufficient space for the isolation of sick or potentially infected individuals, as necessary;
* Configure common spaces to maximize physical distancing;
* Provide enhanced cleaning;
* Establish plans for the containment and isolation of on-campus cases, including consideration of PPE, food delivery, and bathroom needs.
2m. SCHOOL EMERGENCY PROCEDURES AND DRILLS
OHA/ODE Requirements
Hybrid/Onsite Plan
☒ In accordance with ORS 336.071 and OAR 581-022-2225 all schools (including those operating a Comprehensive Distance Learning model) are required to instruct students on emergency procedures. Schools that operate an On-Site or Hybrid model need to instruct and practice drills on emergency procedures so that students and staff can respond to emergencies.
* At least 30 minutes in each school month must be used to instruct students on the emergency procedures for fires and safety threats.
* Fire drills must be conducted monthly.
* Safety threats including procedures related to lockdown, lockout, shelter in place and evacuation and other appropriate actions to take when there is a threat to safety must be conducted two times a year.
In accordance with ORS 336.071 and OAR 581-022-2225 the school will instruct students on emergency procedures and practice drills on emergency procedures so that students and staff can respond to emergencies.
* At least 30 minutes in each school month will be used to instruct students on the emergency procedures for fires and safety threats.
* Fire drills will be conducted monthly.
* Safety threats including procedures related to lockdown, lockout, shelter in place and evacuation and other appropriate actions to take when there is a threat to safety will be conducted two times a year.
During fire drills (and all other safety drills), all cohort classes will be physically distanced during exit, recovery, and reentry procedures, only if they do not compromise the drill.
* Safety drills at the start of the school year will be scheduled for cohorts of students (evacuation and lockdown) as appropriate.
* Staff and students will follow distance requirements during exit of the building.
* Re-entry to the building will be through an assigned entry point to reduce incidental contact.
☒ Drills can and should be carried out as close as possible to the procedures that would be used in an actual emergency. For example, a fire drill should be carried out with the same alerts and same routes as normal. If appropriate and practicable, COVID-19 physical distancing measures can be implemented, but only if they do not compromise the drill.
☒ When or if physical distancing must be compromised, drills must be completed in less than 15 minutes.
☒ Drills should not be practiced unless they can be practiced correctly.
☒ Train staff on safety drills prior to students arriving on the first day on campus in hybrid or face-to-face engagement.
Staff will be trained on safety drills prior to students arriving on the first day on campus.
☒ If on a hybrid schedule, conduct multiple drills each month to ensure that all cohorts of students have opportunities to participate in drills (i.e., schedule on different cohort days throughout the year).
☒ Students must wash hands with soap and water for 20 seconds or use an alcohol-based hand sanitizer with 60-95% alcohol after a drill is complete.
Students will wash hands with soap and water for 20 seconds or use an alcohol-based hand sanitizer with 60-95% alcohol after a drill is complete.
2n. SUPPORTING STUDENTS WHO ARE DYSREGULATED, ESCALATED, AND/OR EXHIBITING SELF-REGULATORY CHALLENGES
OHA/ODE Requirements
Hybrid/Onsite Plan
☒ Utilize the components of Collaborative Problem Solving or a similar framework to continually provide instruction and skill-building/training related to the student's demonstrated lagging skills.
☒ Take proactive/preventative steps to reduce antecedent events and triggers within the school environment.
☒ Be proactive in planning for known behavioral escalations (e.g., self-harm, spitting, scratching, biting, eloping, failure to maintain
The Sisters School District is committed to the practices of Collaborative Problem Solving and the use of de-escalation strategies. Staff have received and will continue to receive on-going professional development to support these practices. The District works to ensure the following:
- Utilize components of Collaborative Problem Solving or a similar framework to continually provide instruction and skill-building/training related to the student's demonstrated lagging skills.
physical distance). Adjust antecedents where possible to minimize student and staff dysregulation. Recognize that there could be new and different antecedents and setting events with the additional requirements and expectations for the 2020-21 school year.
☒ Establish a proactive plan for daily routines designed to build self-regulation skills; self-regulation skill-building sessions can be short (5-10 minutes), and should take place at times when the student is regulated and/or is not demonstrating challenging behaviors.
☒ Ensure all staff are trained to support de-escalation, provide lagging skill instruction, and implement alternatives to restraint and seclusion.
☒ Ensure that staff are trained in effective, evidence-based methods for developing and maintaining their own level of self-regulation and resilience to enable them to remain calm and able to support struggling students as well as colleagues.
☒ Plan for the impact of behavior mitigation strategies on public health and safety requirements:
* Student elopes from area
o If staff need to intervene for student safety, staff should:
* Use empathetic and calming verbal interactions (i.e. "This seems hard right now. Help me understand… How can I help?") to attempt to re-regulate the student without physical intervention.
* Use the least restrictive interventions possible to maintain physical safety for the student and staff.
* Wash hands after a close interaction.
* Note the interaction on the appropriate contact log.
o *If unexpected interaction with other stable cohorts occurs, those contacts must be noted in the appropriate contact logs.
* Student engages in behavior that requires them to be isolated from peers and results in a room clear.
- Take proactive/preventative steps to reduce antecedent events and triggers within the school environment.
- Be proactive in planning for known behaviorally escalations (e.g., self-harm, spitting, scratching, biting, eloping, failure to maintain physical distance). Adjust antecedents where possible to minimize student and staff dysregulation. Recognize that there could be new and different antecedents and setting events with the additional requirements and expectations for the 20-21 school year.
- Establish proactive plans for daily routines to support self-regulation skills; self-regulation skill-building sessions can be short (5-10 minutes), and take place at times when the student is regulated and/or is not demonstrating challenging behaviors.
- Ensure staff are trained to support de-escalation and foster resilience to enable them to remain calm and able to support the students as well as other staff.
- Plan for the impact of behavior mitigation strategies on public health and safety:
* Student elopement: If staff intervenes they will:
o Use empathetic and calming verbal interactions to attempt to re-regulate the student without physical intervention.
o Use least restrictive interventions to maintain physical safety for the student and staff.
o Wash hands after close interaction.
o Note the interaction on appropriate contact log.
o *If unexpected interaction with other stable cohorts occurs, those contacts must be noted in the appropriate contact logs.
* Student engages in behavior that requires them to be isolated from peers and results in a room clear.
o If students leave the classroom:
* Preplan for a clean and safe alternative space that maintains physical safety for the student and staff
o If students leave the classroom:
* Preplan for a clean and safe alternative space that maintains physical safety for the student and staff
* Ensure physical distancing and separation occur, to the maximum extent possible.
* Use the least restrictive interventions possible to maintain physical safety for the student and staff.
* Wash hands after a close interaction.
* Note the interaction on the appropriate contact log.
o *If unexpected interaction with other stable cohorts occurs, those contacts must be noted in the appropriate contact logs.
* Student engages in physically aggressive behaviors that preclude the possibility of maintaining physical distance and/or require physical de-escalation or intervention techniques other than restraint or seclusion (e.g., hitting, biting, spitting, kicking, self-injurious behavior).
o If staff need to intervene for student safety, staff should:
* Maintain student dignity throughout and following the incident.
* Use empathetic and calming verbal interactions (i.e. "This seems hard right now. Help me understand… How can I help?") to attempt to re-regulate the student without physical intervention.
*
Use the least restrictive interventions possible to maintain physical safety for the student and staff
* Wash hands after a close interaction.
* Ensure physical distancing and separation occur, to the maximum extent possible.
* Use the least restrictive interventions possible to maintain physical safety for the student and staff.
* Wash hands after a close interaction.
* Note the interaction on the appropriate contact log.
o *If unexpected interaction with other stable cohorts occurs, those contacts must be noted in the appropriate contact logs.
* Student engages in physically aggressive behaviors that preclude the possibility of maintaining physical distance and/or require physical de-escalation or intervention techniques other than restraint or seclusion (e.g., hitting, biting, spitting, kicking, self-injurious behavior).
o If staff need to intervene for student safety, staff should:
* Maintain student dignity throughout and following the incident.
* Use empathetic and calming verbal interactions (i.e. "This seems hard right now. Help me understand… How can I help?") to attempt to re-regulate the student without physical intervention.
* Use the least restrictive interventions possible to maintain physical safety for the student and staff
* Wash hands after a close interaction.
* Note the interaction on the appropriate contact log.
- *If unexpected interaction with other stable cohorts occurs, those contacts must be noted in the appropriate contact logs.
* Note the interaction on the appropriate contact log.
o *If unexpected interaction with other stable cohorts occurs, those contacts must be noted in the appropriate contact logs.
☒ Ensure that spaces that are unexpectedly used to deescalate behaviors are appropriately cleaned and sanitized after use before the introduction of other stable cohorts to that space.
Protective Physical Intervention
☒ Reusable Personal Protective Equipment (PPE) must be cleaned/sanitized after every episode of physical intervention (see section 2j of the Ready Schools, Safe Learners guidance: Cleaning, Disinfection, and Ventilation).
3. Response to Outbreak
3a. PREVENTION AND PLANNING
3b. RESPONSE
- Ensure that spaces that are unexpectedly used to deescalate behaviors and appropriately cleaned and sanitized after use before the introduction of other stable cohorts to that space.
Protective Physical Intervention
Reusable Personal Protective Equipment (PPE) must be cleaned/sanitized after every episode of physical intervention (see section 2j of the Ready Schools, Safe Learners guidance: Cleaning, Disinfection, and Ventilation).
3c. RECOVERY AND REENTRY
OHA/ODE Requirements
Hybrid/Onsite Plan
☒ Review and utilize the " Planning for COVID-19 Scenarios in Schools " toolkit.
* Re-entry occurs when State/County metrics are met and in coordination with LPHA.
☒ Clean, sanitize, and disinfect surfaces (e.g., playground equipment, door handles, sink handles, drinking fountains, transport vehicles) and follow CDC guidance for classrooms, cafeteria settings, restrooms, and playgrounds.
☒ When bringing students back into On-Site or Hybrid instruction, consider smaller groups, cohorts, and rotating schedules to allow for a safe return to schools.
* Plan instructional models that support all learners in CDL/Hybrid/On-Site Learning
* Clean, sanitize, and disinfect surfaces (e.g., playground equipment, door handles, sink handles, drinking fountains, transport vehicles) and follo w CDC guidance for classrooms, cafeteria settings, restrooms and playgrounds.
ASSURANCES
This section must be completed by any public school that is providing instruction through On-Site or Hybrid Instructional Models. Schools providing Comprehensive Distance Learning Instructional Models do not need to complete this section unless the school is implementing the Limited In-Person Instruction provision under the Comprehensive Distance Learning guidance. This section does not apply to private schools.
x
We affirm that, in addition to meeting the requirements as outlined above, our school plan has met the collective requirements from ODE/OHA guidance related to the 2020-21 school year, including but not limited to requirements from:
* Sections 4, 5, 6, 7, and 8 of the Ready Schools, Safe Learners guidance,
* The Ensuring Equity and Access: Aligning Federal and State Requirements guidance, and
* The Comprehensive Distance Learning guidance,
* Planning for COVID-19 Scenarios in Schools
x We affirm that we cannot meet all of the collective requirements from ODE/OHA guidance related to the 2020-21 school year from:
* Sections 4, 5, 6, 7, and 8 of the Ready Schools, Safe Learners guidance,
* The Ensuring Equity and Access: Aligning Federal and State Requirements guidance, and
* The Comprehensive Distance Learning guidance,
* Planning for COVID-19 Scenarios in Schools
We will continue to work towards meeting them and have noted and addressed which requirement(s) we are unable to meet in the table titled "Assurance Compliance and Timeline" below.
Assurance Compliance and Timeline
If a district/school cannot meet the requirements from the sections above, provide a plan and timeline to meet the requirement.
4. Equity
5. Instruction
6. Family, Community, Engagement
7. Mental, Social, and Emotional Health
8. Staffing and Personnel
List Requirement(s) Not Met
Provide a Plan and Timeline to Meet Requirements
Include how/why the school is currently unable to meet them
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Mr Tickle And The Scary Halloween Mr Men And Little Miss
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My Brother and Me - Roger Hargreaves 2020-03-03 Tell your brother how much you love him in this sweet and fun book with the characters from Mr. Men Little Miss! Whether your brother's games and tickles make you happy or his silly tricks make you giggle, he's always there to make life more fun. Mr. Tickle, Happy, Mischief, and many more Mr. Men friends are here to show your brother how much you love him. The perfect book for your brother's birthday, a new baby brother or big brother, or for sharing any time you want to say, "I love you, too." Children can also add their own words about their brother at the end of the book to make it a special, personalized gift.
you need for a Mr Happy Halloween! The perfect Halloween treat for Mr Men and Little Miss fans.
Mr Mischief and the Leprechaun - Roger Hargreaves 2015-01-29 Mr Mischief plays tricks on everyone, but one morning when some strange things begin to happen in his house, he wonders who is responsible. Until he meets a Leprechaun, sitting at his kitchen table! Mr Mischief and the Leprechaun decide to join forces in a spot of mischief making. The poor Mr Men and Little Misses are in for some surprises! But who will win in the battle of wits and tricks?
Mr. Tickle in a Tangle- 2014-01-31
Mr. Tickle's favourite thing to do is tickle people. But, sometimes, his extraordinarily long arms can get him into trouble, especially if Little Miss Naughty is involved!
Mr. Men the Big Match - Roger Hargreaves 2014 When the Mr Men and Little Miss decide to stage their own version of the World Cup, Mr Small is desperate to join in - but will he be just too small to make it into the team? With legendary saves from Mr Tickle, plenty of injury time from Mr Bump and Mr Noisy as the loudest referee around, this game of football is like no other! Mr Men and Little Miss Celebrations introduce children to all the exciting occasions that people celebrate including birthdays, Christmas, Halloween, Easter, sporting events ... and even a trip to the moon. These colourful adventures will delight children of two years and upwards. Bold illustrations and funny stories make Mr Men and Little Miss the perfect story time experience. Have you collected all the Mr Men and Little Miss Celebrations? Mr Birthday Little Miss Birthday Mr Christmas Little Miss Christmas Mr Men A Christmas Carol Mr Men The Night Before Christmas Mr Men 12 Days of Christmas Mr Men A Christmas Pantomine Mr Men A White Christmas Mr Men Meet Father Christmas Mr Men The Christmas Tree Mr Men The Christmas Party Little Miss Princess and the Very Special Party Mr Men Sports Day Mr Tickle and the Scary Halloween Mr Men The Big Match Mr Men and the Tooth Fairy Mr Men Trip to the Moon Mr Impossible and the Easter Egg Hunt Mr Mischief and the Leprechaun Mr Men: The Rugby Match It all started with a tickle. Roger Hargreaves' son Adam asked him what a tickle looked like. In response, Roger drew a small orange man with extraordinarily long arms that could reach anywhere and tickle anyone. Mr Tickle, the first of the Mr Men, was born. Mr Tickle was soon joined by Mr Greedy, Mr Happy, Mr Nosey, Mr Sneeze and Mr Bump. The books were an instant hit and Roger went on to create many more Mr Men and Little Miss characters. What Roger really wanted was to make children laugh, which is probably why his own favourite character is Mr Silly.
Mr Noisy and the Silent Night- 2015-08-27
Poor Mr Quiet doesn't look forward to Christmas, like you and I do. It's just too noisy for him. Noisy crackers, noisy carol singers, a noisy postman delivering Christmas cards, and, noisiest of all, an annual visit from Mr Noisy himself! But perhaps this year will be different. Maybe, just maybe, Mr Quiet will find a way to get the Silent Night he's always dreamed of ...
Little Miss Scary - Roger Hargreaves 2009-08-20 Little Miss Scary loves to scare the socks off of the other Mr. Men and Little Misses. But can she handle it when the tables are turned? Mr. Men Halloween Sticker Activity Book - 2016-09-08 Join the Mr Men for some spooky Halloween fun. With creepy colouring, ghoulish games, perfect pumpkins and four pages of stickers, there is all mr-tickle-and-the-scary-halloween-mr-men-and-little-miss
Mr. Penguin and the Tomb of Doom - Alex T. Smith 2022-06-14 Mr. Penguin returns for another sidesplitting adventure in this abundantly illustrated detective series chock-full of silly antics and goodspirited, page-turning peril. Mr. Penguin and his kung-fu spider sidekick, Colin, are in for another wild and daring escapade! After arriving in the bustling desert town of Laghaz, their good friend Edith Hedge goes missing! Then someone strikingly familiar appears, and the Adventuring gang is snared in a web of clues that lures them right into...THE VALLEY OF PERIL: hidden crypts, cursed treasure, and nefarious figures skulking in the shadows! Could Edith's disappearance be connected with the treasure in the tombs? Will the gang be reunited to find out? And will someone please get rid of that spooky eyeball that's been following Mr. Penguin before it catches up to him? This fourth madcap mystery in the Mr. Penguin series from Alex T. Smith is sure to thrill transitional readers with quick pacing and plenty of comical, two-tone illustrations. Mr. Tickle and the Dragon - Roger Hargreaves 2008-05-01 Mr. Tickle has returned home from a day full of tickling to discover that his house has burned down! After some detective work, he discovers that a dragon is to blame. But can he stop the dragon from burning down everything else?
Little Miss Sparkle - Adam Hargreaves 2016-10-04 Let Little Miss Sparkle knock your socks off with glimmering, shimmering razzle dazzle! Little Miss Sparkle is the brightest and sparkliest addition to the world of the Little Misses. Her shiny presence is guaranteed to add a little pizzazz to any situation!
The Mr. Men Little Miss Guide to Life - Stacia Deutsch 2014-08-14 Have you always wondered how Little Miss Sunshine stays so happy? Or how Mr. Perfect stays so, well, perfect? The Mr. Men and Little Misses know a lot, and they're finally spilling their secrets! This book also has practical information, like how to play a prank on someone (Little Miss Naughty is the resident expert), and how best to enjoy your weekend (no one knows better than Mr. Lazy). You won't want to miss this useful and entertaining book!
A Christmas Pantomime - Roger Hargreaves 2010 Little Miss Trouble loves Christmas. There are just so many opportunities to cause trouble! So when it comes to the auditions for the Christmas pantomime, it's no surprise to hear that she doesn't get a part. But when things start to go wrong in the rehearsals, Little Miss Bossy knows just who to look for...This is a hilarious take on the Christmas pantomime, Aladdin, with many favourite "Mr. Men" and "Little Miss" characters, including Mr. Small as the Genie and Mr. Grumpy as Widow Twankey. Mr Men and Little Miss Celebrations introduce children to all the exciting occasions that people celebrate including birthdays, Christmas, Halloween, Easter, sporting events ... and even a trip to the moon. These colourful adventures will delight children of two years and upwards. Bold illustrations and funny stories make Mr Men and Little Miss the perfect story time experience. Have you collected all the Mr Men and Little Miss Celebrations? Mr Birthday Little Miss Birthday Mr Christmas Little Miss Christmas Mr Men A Christmas Carol Mr Men The Night Before Christmas Mr Men 12 Days of Christmas Mr Men A Christmas Pantomine Mr Men A White Christmas Mr Men Meet Father Christmas Mr Men The Christmas Tree Mr Men The Christmas Party Little Miss Princess and the Very Special Party Mr Men Sports Day Mr Tickle and the Scary Halloween Mr Men The Big Match Mr Men and the Tooth Fairy Mr Men Trip to the Moon Mr Impossible and the Easter Egg Hunt Mr Mischief and the Leprechaun Mr Men: The Rugby Match It all started with a tickle. Roger Hargreaves' son Adam asked him what a tickle looked like. In response, Roger drew a small orange man with extraordinarily long arms that could reach anywhere and tickle anyone. Mr Tickle, the first of the Mr Men, was born. Mr Tickle was soon joined by Mr Greedy, Mr Happy, Mr Nosey, Mr Sneeze and Mr Bump. The books were an instant
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hit and Roger went on to create many more Mr Men and Little Miss characters. What Roger really wanted was to make children laugh, which is probably why his own favourite character is Mr Silly.
Mr. Men Meet Father Christmas - Roger Hargreaves 2015-08-27 When Little Miss Tiny secretly wishes she could visit Father Christmas she doesn't expect her wish to come true. But magical things really do happen at Christmas and crazy things too when you're with the Mr. Men and the Little Miss! Complete with celebrating sheep, yellow snow, sneezing elves and a very sooty Father Christmas, this story will having you laughing all through Christmas!
Mr. Mischief and the Leprechaun - Adam Hargreaves 2016-02-02 In this Mr. Men mash-up perfect for St. Patrick's Day, Mr. Mischief gets a taste of his own medicine! Mr. Mischief is known for playing tricks on everyone, so when tricks are played on him one morning, he wonders who's responsible. Turns out it's a Leprechaun! Mr. Mischief and the Leprechaun decide to join forces. The poor Mr. Men and Little Misses are in for some surprises! But when the Leprechaun convinces Mr. Mischief to dig a hole at the end of a rainbow, Mr. Mischief is in for his own surprise!
Mr. Men Little Miss Go to School - Adam Hargreaves 2022-07-07
Mr. Christmas - Roger Hargreaves 2008-06
One day Mr Christmas receives a call from his uncle asking for help. Can Mr Christmas help Father Christmas deliver presents to all of the Mr Men? Mr Men and Little Miss Celebrations introduce children to all the exciting occasions that people celebrate including birthdays, Christmas, Halloween, Easter, sporting events ... and even a trip to the moon. These colourful adventures will delight children of two years and upwards. Bold illustrations and funny stories make Mr Men and Little Miss the perfect story time experience. Have you collected all the Mr Men and Little Miss Celebrations? Mr Birthday Little Miss Birthday Mr Christmas Little Miss Christmas Mr Men A Christmas Carol Mr Men The Night Before Christmas Mr Men 12 Days of Christmas Mr Men A Christmas Pantomine Mr Men A White Christmas Mr Men Meet Father Christmas Mr Men The Christmas Tree Mr Men The Christmas Party Little Miss Princess and the Very Special Party Mr Men Sports Day Mr Tickle and the Scary Halloween Mr Men The Big Match Mr Men and the Tooth Fairy Mr Men Trip to the Moon Mr Impossible and the Easter Egg Hunt Mr Mischief and the Leprechaun Mr Men: The Rugby Match It all started with a tickle. Roger Hargreaves' son Adam asked him what a tickle looked like. In response, Roger drew a small orange man with extraordinarily long arms that could reach anywhere and tickle anyone. Mr Tickle, the first of the Mr Men, was born. Mr Tickle was soon joined by Mr Greedy, Mr Happy, Mr Nosey, Mr Sneeze and Mr Bump. The books were an instant hit and Roger went on to create many more Mr Men and Little Miss characters. What Roger really wanted was to make children laugh, which is probably why his own favourite character is Mr Silly.
Mr. Men: A Very Thankful Thanksgiving - Adam Hargreaves 2018-08-14 Get ready for an extra-big helping of fun when you celebrate Thanksgiving with the characters from Mr. Men Little Miss! It takes a lot of work to get everyone around the table on Thanksgiving. But once all the Mr. Men Little Miss characters sit down, they realize they have a lot to be thankful for.
Mr. Tickle and the Scary Halloween - Adam Hargreaves 2014-08-14 Ever since Little Miss Scary moved to town, Halloween had become scare-your-pants-off scary! But Mr. Tickle has a plan to make this year different - a ticklishly, tricky plan! Watch out, Little Miss Scary, there's someone behind you!
Mr Men in London - 2015-06-04
The Mr Men are in London. Everyone is very excited. Mr Busy is taking them on a very busy tour of the sights, including Trafalgar Square, Buckingham Palace and the Tower of London. But will they get into a tangle on the tube and what will Mr Uppity make of it all?
Mr. Men the Christmas Tree - Roger Hargreaves 2015-08-27 Mr. Forgetful is not at all good at remembering things, so it is hardly surprising that this Christmas he has forgotten to buy a tree. Christmas with no tree! Where will Father Christmas leave the presents?! And so begins a very funny and forgetful tale of Christmas trees, presents, snow and a plump, jolly man who might just be able to save the day ... Mr Men and Little Miss Celebrations introduce children to all the exciting occasions that people celebrate including birthdays, Christmas, Halloween, Easter, sporting events ... and even a trip to the moon. These colourful adventures will delight children of two years and upwards. Bold illustrations and funny stories make Mr Men and Little Miss the perfect story time experience. Have you collected all the Mr Men and Little Miss mr-tickle-and-the-scary-halloween-mr-men-and-little-miss
2/4
Celebrations? Mr Birthday Little Miss Birthday Mr Christmas Little Miss Christmas Mr Men A Christmas Carol Mr Men The Night Before Christmas Mr Men 12 Days of Christmas Mr Men A Christmas Pantomine Mr Men A White Christmas Mr Men Meet Father Christmas Mr Men The Christmas Tree Mr Men The Christmas Party Little Miss Princess and the Very Special Party Mr Men Sports Day Mr Tickle and the Scary Halloween Mr Men The Big Match Mr Men and the Tooth Fairy Mr Men Trip to the Moon Mr Impossible and the Easter Egg Hunt Mr Mischief and the Leprechaun Mr Men: The Rugby Match It all started with a tickle. Roger Hargreaves' son Adam asked him what a tickle looked like. In response, Roger drew a small orange man with extraordinarily long arms that could reach anywhere and tickle anyone. Mr Tickle, the first of the Mr Men, was born. Mr Tickle was soon joined by Mr Greedy, Mr Happy, Mr Nosey, Mr Sneeze and Mr Bump. The books were an instant hit and Roger went on to create many more Mr Men and Little Miss characters. What Roger really wanted was to make children laugh, which is probably why his own favourite character is Mr Silly.
Little Miss Trouble and the Mermaid - Roger Hargreaves 2008-05-01 Little Miss Trouble just loves causing trouble for all the Mr. Men! But when she causes too much trouble at the beach one day, a mermaid decides to teach her a lesson.
Mr. Men the Christmas Party - Adam Hargreaves 2015-08-27 Little Miss Shy is the shyest person in the world, so when she gets an invite to Mr Happy's Christmas Party, just the thought of going makes her blush. The other Mr Men are very excited. Mr Strong finds the Christmas tree, Mr Greedy bakes a Yule tree trunk and Little Miss Naughty brings the mistletoe! But will Little Miss Shy's blushes be spared when there's a thick blanket of snow on the day of the party? Little Miss Sunshine and the Wicked Witch - Roger Hargreaves
2007-08-16
Little Miss Sunshine discovers a wicked witch who is casting evil spells. Can she put a stop to the witch's nasty tricks? Mr. Men in London - Adam Hargreaves 2021-02-18
Mr. Men: 12 Days of Christmas - Roger Hargreaves 2011-10-13 Every year Mr. Muddle gets in a terrible muddle: He just can't remember when Christmas is! He can never get the right day, or the right present for that matter. But this year Mr. Muddle has a plan to make sure he will get the right day for Christmas! This hilarious caper through the months of the year costars many favorite Mr. Men and Little Miss characters along the way.
Mr. Tickle and the Scary Halloween - Adam Hargreaves 2013-09-02 Ever since Little Miss Scary moved to town, Halloween had become really scary. Scare your pants off scary! But Mr. Tickle has a plan to make this year different – a ticklishly, tricky plan! Watch out little Miss Scary, there's someone behind you!
Mr. Men Birthday Party - 2016-05-05
It's Mr Silly's birthday and Little Miss Helpful is organising his birthday party, but unfortunately Little Miss Helpful isn't as helpful as she sounds. Somehow or other things never quite turn out as they are meant to. Will Mr Silly's birthday party be a success?
Mr. Birthday - Roger Hargreaves 2008-06-02
Mr. Birthday is very good at organizing birthday parties. He likes to make sure that everyone he knows has a party on his or her birthday. But there seems to be an important birthday coming up that Mr. Birthday knows nothing about . . . Mr Men and Little Miss Celebrations introduce children to all the exciting occasions that people celebrate including birthdays, Christmas, Halloween, Easter, sporting events ... and even a trip to the moon. These colourful adventures will delight children of two years and upwards. Bold illustrations and funny stories make Mr Men and Little Miss the perfect story time experience. Have you collected all the Mr Men and Little Miss Celebrations? Mr Birthday Little Miss Birthday Mr Christmas Little Miss Christmas Mr Men A Christmas Carol Mr Men The Night Before Christmas Mr Men 12 Days of Christmas Mr Men A Christmas Pantomine Mr Men A White Christmas Mr Men Meet Father Christmas Mr Men The Christmas Tree Mr Men The Christmas Party Little Miss Princess and the Very Special Party Mr Men Sports Day Mr Tickle and the Scary Halloween Mr Men The Big Match Mr Men and the Tooth Fairy Mr Men Trip to the Moon Mr Impossible and the Easter Egg Hunt Mr Mischief and the Leprechaun Mr Men: The Rugby Match It all started with a tickle. Roger Hargreaves' son Adam asked him what a tickle looked like. In response, Roger drew a small orange man with extraordinarily long arms that could reach anywhere and tickle anyone. Mr Tickle, the first of the Mr Men, was born. Mr Tickle was soon joined by Mr Greedy, Mr Happy, Mr Nosey, Mr Sneeze and Mr Bump. The
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on by guest books were an instant hit and Roger went on to create many more Mr Men and Little Miss characters. What Roger really wanted was to make children laugh, which is probably why his own favourite character is Mr Silly.
Little Miss Christmas - Roger Hargreaves 2015-08-27 Little Miss Christmas lives in an igloo at the North Pole, next door to her uncle, Father Christmas, a long, long way from her brother, Mr Christmas. Little Miss Christmas works for Father Christmas. There are an awful lot of presents to wrap. Who will finish the wrapping when Little Miss Christmas decides she needs a holiday? Mr Men and Little Miss Celebrations introduce children to all the exciting occasions that people celebrate including birthdays, Christmas, Halloween, Easter, sporting events ... and even a trip to the moon. These colourful adventures will delight children of two years and upwards. Bold illustrations and funny stories make Mr Men and Little Miss the perfect story time experience. Have you collected all the Mr Men and Little Miss Celebrations? Mr Birthday Little Miss Birthday Mr Christmas Little Miss Christmas Mr Men A Christmas Carol Mr Men The Night Before Christmas Mr Men 12 Days of Christmas Mr Men A Christmas Pantomine Mr Men A White Christmas Mr Men Meet Father Christmas Mr Men The Christmas Tree Mr Men The Christmas Party Little Miss Princess and the Very Special Party Mr Men Sports Day Mr Tickle and the Scary Halloween Mr Men The Big Match Mr Men and the Tooth Fairy Mr Men Trip to the Moon Mr Impossible and the Easter Egg Hunt Mr Mischief and the Leprechaun Mr Men: The Rugby Match It all started with a tickle. Roger Hargreaves' son Adam asked him what a tickle looked like. In response, Roger drew a small orange man with extraordinarily long arms that could reach anywhere and tickle anyone. Mr Tickle, the first of the Mr Men, was born. Mr Tickle was soon joined by Mr Greedy, Mr Happy, Mr Nosey, Mr Sneeze and Mr Bump. The books were an instant hit and Roger went on to create many more Mr Men and Little Miss characters. What Roger really wanted was to make children laugh, which is probably why his own favourite character is Mr Silly.
Mr. Impossible and the Easter Egg Hunt - Adam Hargreaves 2022-02-01
Join the Mr. Men and Little Misses in this fun Easter Adventure! Mr. Impossible is organizing an Easter Egg hunt for all his friends. He's hiding them in all the most impossible places -- some are so high that only Mr. Tall can find them and some so low and cleverly hidden that Mr. Small will need to be called. Can his friends find all the eggs? Find out in this new Mr. Men and Little Miss adventure, packed with Easter fun! Little Miss Giggles - Roger Hargreaves 2012-11-29
They're back! Rediscover the zaniest and most lovable characters you've ever met in the Mr. Men and Little Miss series—the best-selling, timeless, and universal books, which have sold millions of copies worldwide. Digitally available for the first time, these bright, charming books, with their easily recognizable characters, are easy enough for young readers and witty enough for adults. This fantastic read-to-me edition is read by Audie and Grammy award-winning narrator of Harry Potter, Jim Dale, who perfectly captures each character's unique voice and personality. Get ready to fall in love with Mr. Men and Little Miss books all over again or for the very first time!
Mr. Men 12 Days of Christmas - Roger Hargreaves 2015-08-27 Every year Mr. Muddle gets in a terrible muddle. He just can't remember when Christmas is. He can never get the right day or the right present for that matter. But this year Mr. Muddle has a plan. A plan to make sure he will get the right day for Christmas . . . Mr Men and Little Miss Celebrations introduce children to all the exciting occasions that people celebrate including birthdays, Christmas, Halloween, Easter, sporting events ... and even a trip to the moon. These colourful adventures will delight children of two years and upwards. Bold illustrations and funny stories make Mr Men and Little Miss the perfect story time experience. Have you collected all the Mr Men and Little Miss Celebrations? Mr Birthday Little Miss Birthday Mr Christmas Little Miss Christmas Mr Men A Christmas Carol Mr Men The Night Before Christmas Mr Men 12 Days of Christmas Mr Men A Christmas Pantomine Mr Men A White Christmas Mr Men Meet Father Christmas Mr Men The Christmas Tree Mr Men The Christmas Party Little Miss Princess and the Very Special Party Mr Men Sports Day Mr Tickle and the Scary Halloween Mr Men The Big Match Mr Men and the Tooth Fairy Mr Men Trip to the Moon Mr Impossible and the Easter Egg Hunt Mr Mischief and the Leprechaun Mr Men: The Rugby Match It all started with a tickle. Roger Hargreaves' son Adam asked him what a tickle looked like. In response, Roger drew a small orange man with extraordinarily long arms that could reach anywhere and tickle anyone. Mr Tickle, the first of the Mr Men, was mr-tickle-and-the-scary-halloween-mr-men-and-little-miss
3/4
born. Mr Tickle was soon joined by Mr Greedy, Mr Happy, Mr Nosey, Mr Sneeze and Mr Bump. The books were an instant hit and Roger went on to create many more Mr Men and Little Miss characters. What Roger really wanted was to make children laugh, which is probably why his own favourite character is Mr Silly.
My Mom and Me- Adam Hargreaves 2019-03-12
From making you smile--even when things are going wrong--to knowing just when hugs are needed, moms are Splendid, Fun, Magic, and Sunshine: lots of the Little Misses rolled into one! This book featuring the Little Miss characters will help you show your mom just how special she is to you.
Little Miss Late - Roger Hargreaves 2008-07-31
Little Miss Late as you can imagine, is late for everything. If you ask her round for dinner, she probably won't arrive until next week, and that's if you're lucky!
Mr. Tickle and the Scary Halloween - Roger Hargreaves 2018-01-31 Ever since Little Miss Scary moved to town, Halloween had become really scary. Scare your pants off scary! But Mr. Tickle has a plan to make this year different - a ticklishly, tricky plan! Watch out little Miss Scary, there's someone behind you! Mr Men and Little Miss Celebrations introduce children to all the exciting occasions that people celebrate including birthdays, Christmas, Halloween, Easter, sporting events ... and even a trip to the moon. These colourful adventures will delight children of two years and upwards. Bold illustrations and funny stories make Mr Men and Little Miss the perfect story time experience.
The Halloween Tree - Ray Bradbury 2015-08-04 In The Halloween Tree, master of fantasy Ray Bradbury takes readers on a riveting trip though space and time to discover the true origins of Halloween. Originally published in 1972, this striking new hardcover edition features dramatic illustrations throughout by Gris Grimly, giving a new generation of readers a chance to discover the magic. Trick or Treat! - Adam Hargreaves 2020-08-11
You're invited to a night of tricks and treats at Mr. Happy's Halloween party! The Mr. Men and Little Miss characters are dressed up and ready for the spookiest night of the year! Mr. Happy shows off his friendly smile with a pair of Dracula fangs, Mr. Greedy's Frankenstein costume matches his monster appetite, and Little Miss Magic makes an entrance dressed as a witch on a flying broomstick! But who came to the party dressed as a ghost? Is this Halloween party haunted, or is someone pulling off the ultimate trick? Find out in this fa-BOO-lous new Halloween story!
Mr. Men Sports Day - Roger Hargreaves 2018-01-31 There's going to be a Sports Day in Nonsenseland and all the Mr. Men are invited, but will it be what they are expecting? A silly, fun-filled sport's day story featuring lots of your favourite Mr. Men characters showing their sporting prowess ... or not! Mr Men and Little Miss Celebrations introduce children to all the exciting occasions that people celebrate including birthdays, Christmas, Halloween, Easter, sporting events ... and even a trip to the moon. These colourful adventures will delight children of two years and upwards. Bold illustrations and funny stories make Mr Men and Little Miss the perfect story time experience. A Christmas Carol - Adam Hargreaves 2015-08-27
A funny and charming take on the classic Christmas tale by Charles Dickens, with many favourite Mr Men and Little Miss characters, including Mr Mean, Mr Happy and Little Miss Bossy! Mr Men and Little Miss Celebrations introduce children to all the exciting occasions that people celebrate including birthdays, Christmas, Halloween, Easter, sporting events ... and even a trip to the moon. These colourful adventures will delight children of two years and upwards. Bold illustrations and funny stories make Mr Men and Little Miss the perfect story time experience. Have you collected all the Mr Men and Little Miss Celebrations? Mr Birthday Little Miss Birthday Mr Christmas Little Miss Christmas Mr Men A Christmas Carol Mr Men The Night Before Christmas Mr Men 12 Days of Christmas Mr Men A Christmas Pantomine Mr Men A White Christmas Mr Men Meet Father Christmas Mr Men The Christmas Tree Mr Men The Christmas Party Little Miss Princess and the Very Special Party Mr Men Sports Day Mr Tickle and the Scary Halloween Mr Men The Big Match Mr Men and the Tooth Fairy Mr Men Trip to the Moon Mr Impossible and the Easter Egg Hunt Mr Mischief and the Leprechaun Mr Men: The Rugby Match It all started with a tickle. Roger Hargreaves' son Adam asked him what a tickle looked like. In response, Roger drew a small orange man with extraordinarily long arms that could reach anywhere and tickle anyone. Mr Tickle, the first of the Mr Men, was born. Mr Tickle was soon joined by Mr Greedy, Mr Happy, Mr Nosey, Mr Sneeze and Mr Bump. The books were an instant
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on by guest hit and Roger went on to create many more Mr Men and Little Miss characters. What Roger really wanted was to make children laugh, which is probably why his own favourite character is Mr Silly.
Mr Impossible and the Easter Egg Hunt - Roger Hargreaves 2015-02-26
mr-tickle-and-the-scary-halloween-mr-men-and-little-miss
4/4
Mr Impossible is organising an Easter egg hunt for all the Mr Men and Little Miss and he is hiding the eggs in the most impossible places … Some are so high that only Mr Tall can find them and some so low and cleverly hidden that Mr Small will need to be called. But it is Mr Nobody who manages to find the most difficult egg of all – the invisible egg! Packed with Easter fun from beginning to end!
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Digital Commons @ Andrews University
Human Subject Research Archive
3-2008
2008 March Newsletter
Nancy Rockey
Institute of Church Ministry
Life Renewal Institute Newsletter
Vol. 15 251 Stenton Ave., Plymouth Meeting, PA 19462 March 2008
" Sometimes the best thing (in fact the only thing) to do is just sit down and laugh." – Mary Anne m.b.l.radmacher
In This Issue:
Editor's Corner
A Cheerful Heart
The Heart Speaks
The Heart's Code
The Truth
LRI Connect
Last Chan ce
Upcoming Even
Blog Titles
Bargain Corner
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Editor's Corner
A few weeks ago I was in Ventura with Ron and Nancy for the "Attachment" seminar. Being from Portland, OR where they say a person grows web toes from all the rain in the winter, I had been looking forward to getting to spend some time in sunny Southern CA. To my disappointment Southern CA wasn't sunny and warm. In fact on the day I left to drive home, One would have thought I was in Portland already by looking outside at the low clouds and drizzle. I had chosen to drive up the coast as there was 2-3 ft of snow forecasted in the Siskiyous. The ocean is my place to go for peace, tranquility, and rejuvenation and the thought of being close to it for 2 days was very appealing.
Upon leaving Ventura, the clouds were so heavy and the mist so thick I couldn't see the ocean even though at times the beach was almost right next to the road. Envisioning driving for two days up the coast in this weather was very disappointing. Might as well be going over the Siskiyous and wrestling with putting chains on.
I began conversing with God, "Do you think you could maybe raise the clouds just a little so I could at least see the ocean as I'm driving by?" Almost immediately the clouds lifted a little. A few minutes later, it stopped raining altogether. Within half an hour I was driving with beautiful blue sky and bright sunlight overhead. I was ecstatic. There were clouds, to be sure, on the sides of the road. I could even see it raining in spots as I went past, but the road stayed dry and the sun shone for two days. I felt so blessed and definitely rejuvenated by the time I arrived home.
What do you do to de-stress and be rejuvenated? In this issue, Ron and Nancy tell us how much our mind set affects our physical health. According to the U.S. Centers for Disease Control and Prevention, stress accounts for around 75% of all doctor visits.
If you would like to find emotional health, we at LRI will be happy to help you get started. Contact me at email@example.com with questions, or visit http://www.yourlri.com for resources.
Audrey Woods
A Cheerful Heart
A very wise man wrote many, many years ago in a book entitled Proverbs, "A cheerful heart is good medicine, but a crushed spirit dries up the bones." This passage is spoken in many languages and in many circumstances, but usually only the first half of the statement is relayed.
Writer, Norman Wright has written extensively of the importance of laughter to the recovery from illness. He has encouraged cancer patients to watch slapstick comedies and their resulting laughter seems to aid in the healing process. If this is really true, why is it so, and is there any scientific evidence that attitude and emotional freedom enhances one's chances of good physical health and wellbeing? Could it be that surroundings, friends, loved ones and state of mind can actually aid in a patient's recovery?
Mimi Guarneri, M.D., a cardiologist and surgeon by Profession, testifies to the benefits of a stress free life for the recovery of patients in whom she has placed stents to improve cardiac blood flow. In her book, "The Heart Speaks", she actually relates that patients who return home after a procedure to a poor marriage or a stressful life, are sure to return for another stent within five years.
Dr. Paul Pearsall, a psycho-neuro-immunologist relates his story in his book, "The Heart's Code". After a soccer ball sized malignant ts
tumor was removed from his hip, he feels that his year-long recovery can be, in a major part, credited to his wife and children, and the love he felt coming from them to him during his recovery.
In our work of supplying people with information and tools for emotional recovery, we have seen many who were gravely ill regain physical health as they were relieved of the emotional baggage they had carried for years. A woman who was almost always bedridden and unable to perform her duties gained the strength to return to her daily tasks and even take on additional creative pursuits. A man, dying in a hospital on a remote island off the coast of Russia, who was given two weeks to live, read about the effects of early childhood wounds and determined he would recover. Eight months of emotional healing later he traveled across Russia to tell us his story. Several who have struggled to keep their heads above water physically, find themselves figuratively swimming to shore with renewed strength and power because they have chosen to recover emotionally. They are becoming over comers, and in the process, are finding renewed health and zest for life.
The famous psychoanalyst Carl Jung was one of the first modern day physicians to observe the connection between mind and body. In speaking with his patients, he paid close attention to the language they used in describing their emotional pains. He found in many cases he could make accurate predictions about the physical health of a patient based on the emotional stress the patient was experiencing. For example, someone who described himself as "brokenhearted" could develop cardiac symptoms. Little did he know that his observations in the 1920s were yielding fruit for hard research in the 1990s. For example, a study at the Johns Hopkins School of Public Health established a link between depression and heart attacks. Physicians found that people who have had major depression may be four times as likely to have a heart attack as those who have not been depressed.
There have been many studies which show that certain personality characteristics are connected with both heart disease and cancer. For example, one study found a link between carotid atherosclerosis and cynical distrust.
Hans Eysenck, a well-known researcher in this area, collected data from a 40-year study on coronary heart disease which also unexpectedly yielded a connection with cancer. He states that the Type C personality tends to:
* Suppress appropriate assertiveness and confidence;
* Suppress emotions such as anxiety and anger;
* Cope poorly with stress; and
* Feel hopeless, helpless and depressed under stress.
Eysenck further states that these personality traits do not cause cancer, but rather underlie other known risk factors such as smoking, drinking, bad eating habits and other behavior which indicate lack of self care.
In the book, "Love, Medicine and Miracles", Bernie S. Siegel, MD, takes the mind-body connection to a higher level. As a surgeon and oncologist who has worked with cancer patients for years, Bernie is a firm believer in what the human spirit can do in the face of life-threatening cancers. He describes the healing effects of love, both selflove and love from others, in the lives of his patients. In the 1970s, he began his ECaP (Exceptional Cancer Patients) groups to help patients deal with the effects of their disease, and share their experiences with each other. He found that patients who experienced the most love in their lives and took control over the emotions of their disease, seemed to experience more frequent recoveries and remissions. Dr. Siegel talks openly to his patients about fear and depression, and encourages them to demonstrate control over their disease through expressive art therapy. He feels cancer is a disease of the spirit as well as the body, and the whole patient should be treated.
In another study, which was designed to equate worry and stress with the risk of developing Alzheimer's disease, 1000 people were asked about their tendencies to experience bouts of worry and stress. In 3-6 years these people were evaluated to determine if they had developed Alzheimer's Disease.
The study revealed two key findings:
* The participants who were more prone to feelings of stress were more than twice as likely to develop Alzheimer's disease
* The link between stress and Alzheimer's was more predominant in white participants
Researchers advise that if you know a loved one who seems to be unhappy on a regular basis, urge them to seek out a qualified mental health professional.
40,000 people in the US are over 100 years old. What they have in common are:
1. Connection (sense of being connected)
2. Meaningfulness (purpose)
3. Freedom from Shame & Guilt.
4. An ability to bond forever regardless of physical loss.
5. Regular use of the body to remain active.
Looking at the above list, and hearing modern statistics regarding the importance of emotional health to one's physical health, it is easy to ascertain why having healthy emotions, satisfying relationships and a life free of undue stress contributes greatly to vital physical health and longevity.
According to the U.S. Centers for Disease Control and Prevention, stress accounts for around 75% of all doctor visits. This involves an extremely wide span of physical complaints including, but not limited to: headache; back pain; heart problems; upset stomach; stomach ulcer; sleep problems; tiredness; inability to overcome disease; accidents.
Other studies have found that up to 90% of all visits to primary care physicians are for stress-related complaints. (Occupational Health and Safety news and the National Council on compensation Insurance)
Emotional Stress is a major contributing factor to the six leading causes of death in the United States: cancer, coronary artery disease, accidental injuries, respiratory disorders, cirrhosis of the liver and suicide. According to statistics from Meridian Stress Management Consultancy in the UK, almost 180,000 people in the UK die each year from some form of stress-related illness.
Optimists live about 20% longer than pessimists. (Research study by Donald D. Hensrud, M.D., Director of the Mayo Clinic Executive Health Program)
Stress reduction and relaxation training techniques are now considered to be an important adjunct to many medical therapies for the treatment of a variety of illnesses. Teaching patients to take care of themselves by expressing their emotions and developing good health habits is tantamount to encouraging self-love. When someone begins to love himself, he or she is more likely to be able to love others, and in turn becomes more lovable by others. Love, care, joy and peace are healthy habits to practice and integrate into one's personality. They are antidotes for stress, and the prescription for a healthier life.
I guess that old Solomon, author of the Proverbs, was right. A crushed spirit does dry up the bones and cause many physical illnesses. The weight of emotional baggage produces stress which causes us to be crushed, trodden and trampled beneath their heavy load, but a cheerful spirit does as good as a medicine.
Putting on a happy face won't do, because a mask does not change one's spirit. The spirit must be created from the inside out. First comes the recognizing of the need, then a reaching for help, applying the information for recovery to yourself, using the tools for recovery, emptying the baggage and then, at last, feeling the joy. You owe it to yourself and to those who love you. Think about it, you'll be around longer to feel their love and to give it out to them and to others.
The Heart Speaks
Every day, 2,600 Americans die of cardiovascular diseaseone person every thirty-three seconds. Ten times more women die of heart disease than breast cancer. Despite remarkable interventional and surgical procedures, over 650,000 new heart attacks occur annually: With groundbreaking new research, Dr. Guarneri skillfully blends the science and drama of the heart's unfolding. She reveals the heart as a multi-layered, complex organ and explores the new science that indicates the heart acts as a powerhouse of its own, possessing intelligence, memory, and decisionmaking abilities that are separate from the mind.
One reviewer wrote: "This is an excellent, fascinating and insightful read. Dr Guarneri knows her stuff and has written this book well. She wrote it because obviously we need to think about nutrition, cholesterol and exercise, but there are deeper issues too like peoples emotions. She believes that heart problems can be caused by the stress's in our lives and our emotions - we could literally die of a broken heart. Emotional events can weaken heart muscles. You produce stress hormones when you are upset which raise blood sugars and blood pressure etc which ultimately weaken or can destroy the heart. She talks about this in the book and on the flip side, talks about happy people too and how positive emotions and feelings do good for our hearts. When we are happy, our hearts beat in a coherent rhythm. She says we have to look at our hearts in various ways. We need to look at it as a pump to keep us alive but to also look at the emotional heart, the mental heart and the spiritual heart in order to keep us healthy…If you have a healthy and happy outlook on life, you will also have a happy and healthy heart."
Click here to get your copy of this book.
The Heart's Code
You know that the heart loves and feels, but did you know that the heart also thinks, remembers, communicates with other hearts, helps regulate immunity, and contains stored information that continually pulses through your body? In "The Heart's Code", Dr. Paul Pearsall explains the theory and science behind energy cardiology, the emerging field that is uncovering one of the most significant medical, social, and spiritual discoveries of our time: The heart is more than just a pump; it conducts the cellular symphony that is the very essence of our being.
What others are saying about this book: "The subject of this book will resonate differently with a variety of readers. Some will reject the theories presented as preposterous. But, for those who have experienced this "heart" connection it will be the "aha!" or "yes!" that makes sense to their own experience. As unusual as it sounds to hear the language of the body used, as Pearsall does, to describe this heart to heart dialogue, the heart metaphor is a language that has been used to communicate love and human relations throughout the ages. Those who know the power of prayer and of letting go will have an easy time following Pearsall's logic…His proposition is that the heart has a code and each cell is imprinted with memories. He goes further to say that the heart (not the brain) is the link between mind, body and spirit. He supports his Lenergy theory (or fifth force) with research results, ancient wisdom, examples from his own practice and personal experience…I urge all to consider reading this book (and begin to use its wisdom) with a "heart" open to the incredible possibilities that it suggests!"
Click here to get your copy of this book.
LRI Connect
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The Truth
The truth about our childhood
is stored up in our bodies, and although
we can repress it, we can never alter it.
our intellect can be deceived,
our feelings manipulated, our perception confused,
and our body tricked with medications,
but some day the body will present its bill,
for it is as incorruptible as a child,
who, still whole in spirit, will accept no compromises or excuses,
and it will not stop tormenting us
until we stop evading the truth.
Author: Unknown
Last Chance to Register
February blog titles:
* "The Comfort of Friendships"
* "One, Two, Three, Love"
* "Musical Love"
* "Early Spring"
| Upcoming Live 2008 Events | | |
|---|---|---|
| Date | Place | Seminar |
| March 22— 23 | Portland, OR | Abuse |
| April 12—13 | Chattanooga, TN | Attachment |
| April 18—19 | Ventura, CA | Acceptance |
| June 9—15 | Mt. Vernon, OH | Camp meeting |
| Sept. 5—6 | Ventura, CA | Abuse |
| Oct. 25-26 | Walla Walla, WA | TBA |
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BOOK OF ABSTRACTS
Colloquium:
To sea or not to sea
Ter zee of niet ter zee
2nd international colloquium on maritime and fluvial archaeology in the southern North Sea area
2de internationaal colloquium over maritieme en fluviale archeologie in het zuidelijk Noordzeegebied
Bruges/Brugge, Provinciaal Hof,
21-23 September 2006
VLIZ Special Publication 32
BOOK OF ABSTRACTS
2nd international colloquium on maritime and fluvial archaeology in the southern North Sea area
2de internationaal colloquium over maritieme en fluviale archeologie in het zuidelijk Noordzeegebied
Bruges/Brugge, 21-23 September 2006
Edited by
Marnix Pieters\textsuperscript{1}, Glenn Gevaert\textsuperscript{2}, Jan Mees\textsuperscript{3} and Jan Seys\textsuperscript{3}
\textsuperscript{1}Maritime Archaeology and Heritage Afloat Unit of the Flemish Heritage Institute (VIOE)
Phoenix-gebouw, Koning Albert II-laan 19 bus 5
1210 Brussel, Belgium
\textsuperscript{2}Provincial Museum Walraversijde, Province of West Flanders
Nieuwpoortsesteenweg 636
8400 Oostende, Belgium
\textsuperscript{3}Flanders Marine Institute (VLIZ)
Wandelaarkaai 7, 8400 Oostende, Belgium
This conference was jointly organized by:
Flemish Heritage Institute (VIOE)
Province of West-Flanders-Museum Walraversijde
Flanders Marine Institute (VLIZ)
Port Authority Zeebrugge (MBZ)
City of Bruges, Bruggenmuseum
Ministry of Flanders, Coastal Division
University of Ghent
VZW Nata
VZW Maritieme Archeologie
VZW Nelos
VLIZ Special Publication No. 32
This publication should be cited as follows:
Pieters M., G. Gevaert, J. Mees & J. Seys (Eds). 2006. Colloquium: To sea or not to sea – 2nd international colloquium on maritime and fluvial archaeology in the southern North Sea area = Colloquium: Ter zee of niet ter zee – 2de internationaal colloquium over maritieme en fluviale archeologie in het zuidelijke Noordzeegebied. Brugge (B), 21-23 September 2006. VLIZ Special Publication 32. Flemish Heritage Institute (VIOE) – Province of West Flanders – Provincial Museum Walraversijde – Flanders Marine Institute (VLIZ) – Port Authority Zeebrugge (MBZ) – City of Bruges, Bruggemuseum – Ministry of Flanders, Coastal Division – University of Ghent – vzw Maritieme Archeologie – vzw Nata – vzw Nelos. Oostende, Belgium. x + 108 p.
Vlaams Instituut voor de Zee (VLIZ) vzw
Flanders Marine Institute vzw
Wandelaarkaai 7
B-8400 Oostende, Belgium
Tel. +32-(0)59-34 21 30
Fax +32-(0)59-34 21 31
E-mail: email@example.com
http://www.vliz.be
No part of this publication may be reproduced, stored in a retrieval system or transmitted in any form or by any means, electronic, mechanical, photographic or otherwise, without the prior permission of the original copyright owner.
ISSN 1377-0950
# TABLE OF CONTENTS
**INHOUDSTAFEL**
Preface .................................................................................................................. v
*Voorwoord* ........................................................................................................... viii
Keynote lecture
Donny L. Hamilton
*La Belle, Louis XIV’s flag ship: excavation, conservation, display* ................................. 2
*La Belle, het vlaggenschip van Lodewijk XIV: opgraving, conservering, tentoonstelling* ........ 4
---
Session 1: Study of maritime archaeological heritage in Flanders/Belgium
Chair: Dr Marnix Pieters, Flemish Heritage Institute (VIOE)
Marnix Pieters, Ine Demerre, Tom Lenaerts and Inge Zeebroek
*Maritime Archaeology and Heritage Afloat Unit of the VIOE: state of affairs* .................... 8
*Cel Maritieme Archeologie en Varend Erfgoed VIOE: stand van zaken* ............................... 10
Aleydis Van de Moortel
*Ancient and medieval ship finds from Belgium* ............................................................. 12
*Scheepsvondsten uit de oudheid en de middeleeuwen in België* ........................................ 14
Jan Parmentier
*The maritime abundance of the North Sea bottom* .......................................................... 17
*De maritieme rijkdom van de Noordzeebodem* ................................................................. 18
Stéphane Vandenberghe
*Major finds from the Zeebrugge site* .............................................................................. 19
*Belangrijke vondsten van de Zeebrugge-site* ..................................................................... 20
Martin Van Dromme
*Conservation of a cast-iron bombard from the Zeebrugge site* ........................................ 21
*Conservering van een smeedijzeren bombarde afkomstig van de Zeebrugge-site* ............. 22
Marc Thierens *(on behalf of vzw Nata)*
*The wreck on the ‘Buitenratel’ bank* ............................................................................... 23
*Het wrak op de zandbank ‘de Buitenratel’* ....................................................................... 24
Tomas Termote
*The archaeology of U-boatwrecks: tangible traces of the war at sea in the early 20th century* .................................................................................................................. 25
*Maritieme archeologie van U-bootwreken: tastbare sporen van de oorlog op zee in de vroege 20e eeuw* ........................................................................................................... 27
Karel Vlierman
The cog finds at Doel: state of affairs of accommodation, documentation and research .......................................................... 29
De koggenvondsten bij Doel: stand van zaken huisvesting, documentatie en onderzoek .................................................. 31
Karine Bausier
Boats built in the Celtic tradition found in Belgium – from the site at Pommeroeul to the Gallo-Roman Museum at Ath ........................................................................................................... 33
Boten in Keltische traditie in België – van de site van Pommeroeul tot het Gallo-Romeins Museum te Ath ........................................................................................................... 34
Des bateaux de tradition celtique en Belgique – du site de Pommeroeul à l’espace gallo-romain ........................................................................................................... 35
Marie-Hélène Corbiau
The archaeological heritage of the Haute Meuse region ........................................................................................................... 36
Het archeologische erfgoed van de Bovenmaas ........................................................................................................... 37
Le patrimoine archéologique de la Haute Meuse ........................................................................................................... 38
Free lecture
Vincent Zintzen, Edward Vanden Berghe, Steven Degraer, Alain Norro and Jérôme Mallefet
North Sea wrecks: hotspots for biodiversity ........................................................................................................... 39
Wrakken in de Noordzee: hotspots van biodiversiteit ........................................................................................................... 40
Session 2: Legislation related to maritime archaeological heritage:
the situation in Flanders/Belgium compared to the situation in the neighbouring countries
Chair: Dr Jan Parmentier
Bart Schiltz
Viewpoint of the ‘sport diver’-amateur-underwater archaeologist ........................................................................................................... 42
Standpunt van de ‘sportduiker’-amateuronderwaterarcheoloog ........................................................................................................... 44
Ian Oxley
Legislation related to maritime archaeological heritage: England ........................................................................................................... 46
Wetgeving met betrekking tot het maritiem archeologisch erfgoed: Engeland ........................................................................................................... 48
Thijs J. Maarleveld
Measure for measure ........................................................................................................... 51
Measure for measure ........................................................................................................... 52
Jean-Luc Massy
French legislation on maritime cultural assets ........................................................................................................... 53
De Franse wetgeving inzake maritieme cultureel erfgoed ........................................................................................................... 55
La législation française au regard des biens culturels maritimes ........................................................................................................... 57
Michiel Deweerdt
Maritime archaeological heritage legislation in Flanders/Belgium ........................................................................................................... 59
Wetgeving in verband met het maritiem archeologisch erfgoed in Vlaanderen/België ........................................................................................................... 62
Session 3: International case-studies in conservation of maritime archaeological heritage
Chair: Natalie Cleeren, researcher archaeological conservation VIOE
Martijn Manders
The Netherlands: a maritime culture. How we protect our past for the future ...........................................66
Nederland: een maritieme cultuur. Hoe we ons verleden beschermen voor de toekomst ..................................67
Jan Bill
The Skuldelev and Roskilde ships from excavation to the building of replicas – the price of perfection .................................................................................................................................68
De schepen van Skuldelev en Roskilde, van de opgraving tot de bouw van replica’s – de prijs van perfectie .................................................................................................................................69
Peter Clark
Coping with the unexpected: the story of the Dover Bronze Age boat .......................................................70
Confrontatie met het onverwachte: het verhaal van de Boot van Dover uit de bronstijd ................................71
Bob Peacock
The largest ships’ graveyard in the world ......................................................................................................73
Het grootste scheepskerkhof ter wereld ............................................................................................................74
Free lectures
Aoife Daly
Determining the origin of ancient ships’ timbers .......................................................................................75
Vaststelling van de oorsprong van het hout van oude schepen .....................................................................78
Nathalie Balcaen and Philippe Formesyn
The Flemish Banks Nautical Chart: a gateway to wrecks .............................................................................82
De zeekaart Vlaamse Banken: een wegwijzer naar de wrakken .....................................................................83
Session 4: Examples of presentations to the public
Chair: Hubert De Witte, Curator Bruggemuseum
Alex Hildred
The Mary Rose 1545 – the multi-story ship ..................................................................................................85
De Mary Rose 1545 – het multi-story schip ..................................................................................................86
Wilbert Weber
A Dutchman no longer knows his own past, the ‘tVliegent Hart collection therefore seems to have been hidden in the muZEEum .........................................................................................87
Een Nederlander kent zijn eigen verleden niet meer, de ‘t Vliegent Hart collectie is daarom schijnbaar verstopt in het muZEEum .................................................................................................................................89
Lars U. Scholl
The Bremen Cog of 1380 ...............................................................................................................................91
De Kogge van Bremen uit 1380 .......................................................................................................................93
Willem Bijleveld
A museum and a replica: to see or not to see ................................................................. 95
Een museum en een replica: zien of niet zien .................................................................. 96
Fred Van de Walle
SWAP – Scottish Wetland Archaeology Programme and INA-Bodrum ............................ 97
SWAP – Scottish Wetland Archaeology Programme en INA-Bodrum .................................. 99
Mikkel H. Thomsen
Worlds beneath: in situ presentation of underwater sites and monuments via mobile phone ................................................................................................................................. 101
‘Worlds beneath’: in situ presentatie van sites en monumenten onder water via mobiele telefonie ......................................................................................................................... 102
Jan Durnez
The provincial Museum of Walraversijde, from archaeological research to a cultural tourism project ........................................................................................................... 103
Het provinciaal Museum Walraversijde, via archeologisch onderzoek tot een cultuurtoeristisch project ........................................................................................................... 106
The public at large is clearly increasingly interested in everything that has to do with the sea and certainly also in maritime archaeology. The terms ‘ship archaeology’ and ‘underwater archaeology’ are frequently used as synonyms of ‘maritime archaeology’. However, maritime archaeology has a much wider scope, and ship archaeology (part of nautical archaeology) and underwater archaeology are actually subdisciplines. The former especially focuses on ships (e.g. shipwrecks found on land or on the seabed as well as heritage vessels that are still operational while nautical archaeology also concerns other nautical elements than ships) while the latter emphasises the underwater element (certain shipwrecks but also cargoes lost at sea, crashed airplanes, sunken settlements or remains of extinct species found on the seabed). Nevertheless, the scope of maritime archaeology is much wider and also includes witnesses on land, for example all environments that are to a considerable extent related to the sea, such as the medieval fishermen’s settlement of Walraversijde, the ‘Vierboete’ lighthouse in Nieuwpoort and sluice complexes and docks. As opposed to maritime archaeology, fluvial archaeology concerns everything that has to do with rivers, channels and inland harbours. It is clear that it is often only a very small step to industrial archaeology.
It is also clear that if we really want to understand a sea-related environment we need to examine not only the living accommodations and workplaces but also the vessels used, remains of which we may only find on the bottom of the sea. If we investigate wreck sites on the seabed or on land, we have to determine the ports or anchorages where these ships called at as well as the trade flow and the living conditions of the people on board. The investigation naturally has to be multidisciplinary and should not only focus on material sources but also work with written, pictorial and any other sources.
We attempt to shed light on all these very diverse research aspects in ‘To Sea or Not to Sea’, the second international colloquium on maritime and fluvial archaeology in the southern North Sea area. The colloquium takes place in the very fitting location of the Provinciaal Hof, located in the very heart of the famous medieval trade metropolis and port of Bruges.
The first colloquium of this series was organised in April 2000 in Sandwich, Kent, UK by the ‘East Kent Maritime Trust’ in collaboration with the ‘Nautical Archaeology Society’. The first impulses to hold a second colloquium on these themes in Flanders were given soon after by ‘vzw Maritime Archaeology’ and MBZ, the Port Authority of Bruges. The Flemish Heritage Institute, the Province of West Flanders, the Flanders Marine Institute, the city of Bruges and the Coast division of the Agency for Maritime Services and Coast support the organisation. In addition, amateur underwater archaeologists were involved even more closely through NELOS and vzw NATA. The decision was also made to have the colloquium in the Provinciaal Hof coincide with an exhibition on the same theme entitled ‘Drowned Past’. This exhibition runs for one month.
The colloquium ‘To Sea or Not to Sea – 2nd international colloquium on maritime and fluvial archaeology in the southern North Sea area’ and the exhibition have four main objectives:
- take stock of realisations in the field of maritime archaeology in Flanders/Belgium;
- increase the general public outreach of maritime archaeology in Belgium;
- present and analyse a number of internationally important case studies in the field of conservation and communication of maritime archaeological heritage;
- bring together persons interested in maritime archaeological heritage in a discussion forum on themes relating to legislation and collaboration/interaction between archaeologists and sport divers as well as between professionals and amateurs.
The main objectives of the colloquium are also clearly recognisable in the themes of the four sessions into which the colloquium is divided: maritime archaeological heritage research in Belgium, maritime archaeological heritage legislation, international examples of maritime archaeological heritage conservation and examples of disclosure to the public. These sessions are chaired by Marnix Pieters, maritime excavation coordinator at the VIOE, Jan Parmentier, assistant professor at Ghent University, Natalie Cleeren, conservation researcher at the VIOE and Hubert De Witte, curator of Bruggemuseum, respectively.
The colloquium is opened by Donny Hamilton, Texas A&M University, College Station, with the very impressive story of the excavation, conservation and presentation of ‘La Belle’, the flagship of Louis XIV lost in Matagorda Bay (Texas) in 1686. This project is very inspiring and can actually be considered a model for dealing with maritime archaeological heritage of exceptional importance. An example of maritime archaeological heritage of exceptional importance in Flanders is the Doel cog, found in September 2000 during excavation works for the Deurganck dock within the scope of the expansion of the Port of Antwerp.
Some ten contributions discuss the realisations in the field of maritime archaeological heritage in Flanders/Belgium in great detail. Although this type of heritage with very specific needs received little structural attention from local and national authorities until recently, some achievements have nevertheless already been made. In other words, there is already a basis for future work. The comprehensive maritime database www.maritieme-archeologie.be, an initiative of the Flemish Heritage Institute and the Province of West Flanders in collaboration with the Flanders Marine Institute and the Coast division of the Agency for Maritime Services and Coast, was made accessible to the public in spring 2006 and can be considered a convincing example.
The legal aspects with regard to archaeological investigation of shipwrecks on the sea bottom are discussed by lecturers from France, England and the Netherlands and subsequently confronted with the applicable legislation in Flanders/Belgium. During this session attention is also paid to the sport diver/professional archaeologist relationship. The lectures are followed by a roundtable discussion to convert the information from these lectures into a document that is useful for maritime archaeological heritage policy.
The final two sessions focus on a number of maritime archaeological projects/sites in north-west Europe, including the Skuldelev and Roskilde ships (Denmark), the Dover Boat, the Goodwin Sands, the Mary Rose, the Bremen Cog, the Netherlands Maritime Museum in Amsterdam and the Provincial Museum of Walraversijde in Oostende. These sessions extensively discuss the different aspects of conservation and presentation: from conservation and presentation *in situ* through the reassembly of the original remains and the construction of replicas to the presentation of underwater heritage monuments through the combination of internet and mobile telephony. The colloquium is concluded with an excursion to the Provincial Museum of Walraversijde, which is the result of many years of archaeological research under the guidance of the Flemish Heritage Institute.
We are confident that the intended objectives of the colloquium will largely be realised through this series of lectures. The colloquium undoubtedly offers everyone interested in maritime
heritage in the broad sense an excellent opportunity to gather very comprehensive information on this broad subject and to conceive new ideas within a short period of only three days. We hope that this colloquium as well as the exhibition may stimulate the research and a correct approach of maritime archaeological heritage in Flanders and on the bottom of the Belgian part of the North Sea.
Marnix Pieters, Glenn Gevaert, Jan Mees & Jan Seys
VOORWOORD
Bij het brede publiek bestaat er een duidelijk groeiende interesse voor alles wat met de zee te maken heeft; heel zeker ook voor de maritieme archeologie. De begrippen ‘scheepsarcheologie’ en ‘onderwaterarcheologie’ worden vaak als synoniemen gebruikt voor ‘maritieme archeologie’. Nochtans heeft de maritieme archeologie een veel ruimer onderzoeksveld en zijn de scheepsarcheologie (een deel van de nautische archeologie) en de onderwaterarcheologie er subdisciplines van, de eerste toegespitst op schepen (bijvoorbeeld scheepswrakken gevonden aan land of op de zeebodem maar ook het nog varend erfgoed, terwijl de ‘nautische archeologie’ ook andere zaken die met varen te maken hebben dan schepen betreft), de laatste gefocust op het ‘onderwateraspect’ (sommige scheepswrakken dus maar ook bijvoorbeeld op zee verloren ladingen, in de zee neergestorte vliegtuigen, ‘verdronken nederzettingen’ of vindplaatsen op de zeebodem van resten van uitgestorven diersoorten). Het actieterrein van de maritieme archeologie is echter nog veel uitgebreider en omvat bijvoorbeeld ook getuigen op het land zoals alle in belangrijke mate op de zee gerichte milieus zoals de laatmiddeleeuwse vissernederzetting Walraversijde, de Vierboete van Nieuwpoort of sluizencomplexen en scheepsdokken. De fluviale archeologie, een neventak van de maritieme, behandelt dan weer alles met betrekking tot rivieren, kanalen en binnenhavens. Het is duidelijk dat de stap naar de industriële archeologie vaak heel klein is.
Het is eveneens duidelijk dat wanneer we een op de zee gericht milieu echt willen kennen, we niet alleen onderzoek moeten doen naar de woon- en werkplaatsen ervan maar ook op zoek moeten gaan naar de gebruikte vaartuigen, waarvan mogelijk alleen nog op de zeebodem resten te vinden zijn. Wanneer we op de zeebodem of op het land wraksites onderzoeken, moeten we voor een goed begrip dan weer op zoek naar de haven- of ankerplaatsen waar die schepen langskwamen, naar de handelsstromen en de leefomstandigheden van de opvarenden. Het onderzoek moet uiteraard ook multidisciplinair zijn en moet naast de materiële bronnen bijvoorbeeld ook de geschreven en picturale bronnen gebruiken.
We hebben gepoogd om die zeer diverse onderzoeksaspecten aan bod te laten komen tijdens het colloquium ‘Ter Zee of niet Ter Zee’, het tweede internationaal colloquium over de maritieme en fluviale archeologie in het zuidelijk Noordzeegebied. De locatie van dit colloquium is met het Provinciaal Hof, in het hart van de beroemde middeleeuwse handelsmetropool en havenstad Brugge, alvast goed gekozen.
Het eerste colloquium in deze reeks werd in april 2000 georganiseerd te Sandwich (Kent, Verenigd Koninkrijk) door de ‘East Kent Maritime Trust’ in samenwerking met de ‘Nautical Archaeology Society’. De eerste aanzetten om een tweede colloquium over deze thema’s te organiseren in Vlaanderen werden gegeven door de vzw Maritieme Archeologie en de MBZ, het Brugse havenbestuur. Alras zetten het Vlaams Instituut voor het Onroerend Erfgoed, de provincie West-Vlaanderen, het Vlaams Instituut voor de Zee, de stad Brugge en de afdeling Kust/Maritieme Dienstverlening en Kust hun schouders onder de organisatie. Bovendien werden via NELOS en de vzw NATA ook de amateur-onderwaterarcheologen nog nauwer betrokken. Er werd eveneens voor gekozen om ter gelegenheid van het colloquium in het Provinciaal Hof gedurende een ganse maand een tentoonstelling over dezelfde themata te organiseren onder de titel ‘Verdronken Verleden’.
Het colloquium ‘Ter Zee of niet Ter Zee – 2de internationaal colloquium over maritieme en fluviale archeologie in het zuidelijk Noordzeegebied’ en de tentoonstelling hebben vier hoofddoelstellingen:
- een balans opmaken van de verwezenlijkingen tot nu toe op het vlak van de maritieme archeologie in Vlaanderen/België;
- de algemene publieke reikwijdte van de maritieme archeologie in België vergroten;
- een aantal internationaal belangrijke voorbeelden op het vlak van conservering en bekendmaking van het maritieme archeologische erfgoed voorstellen en ontleden;
- personen die interesse hebben voor het maritieme archeologische erfgoed bijeenbrengen in een discussieforum over thema’s met betrekking tot de wetgeving en de samenwerking/interactie tussen archeologen en sportduikers, en tussen professionelen en amateurs.
De hoofddoelstellingen van het colloquium zijn ook duidelijk terug te vinden in de thema’s van de vier sessies waarin het colloquium is onderverdeeld: onderzoek naar maritiem archeologisch erfgoed in België, wetgeving in verband met maritiem archeologisch erfgoed, internationale voorbeelden van conservering van maritiem archeologisch erfgoed en voorbeelden van publiekswerking. Deze sessies worden respectievelijk voorgezeten door Marnix Pieters, opgravingscoördinator maritieme archeologie VIOE, Jan Parmentier, assistent-professor universiteit Gent, Natalie Cleeren, onderzoeker Conservatie VIOE en Hubert De Witte, conservator van het Bruggemuseum.
Het startschot van de lezingenreeks wordt gegeven door Donny Hamilton, Texas A&M, College Station, met het indrukwekkende verhaal van opgraving tot conservatie en presentatie van ‘La Belle’, het in 1686 in de Matagorda Baai (Texas) vergane vlaggenschip van Lodewijk XIV. Dit project is zeer inspirerend en kan eigenlijk doorgaan als model voor het omgaan met maritiem archeologisch erfgoed van uitzonderlijk belang, zoals Vlaanderen er één heeft met de kogge van Doel, in september 2000 gevonden bij het graven van het Deurganckdonk voor de uitbreiding van de Antwerpse haven.
Een 10-tal bijdragen belichten uitvoerig de realisaties met betrekking tot maritiem archeologisch erfgoed in Vlaanderen/België. Ondanks de tot voor kort van overheidswege geringe structurele aandacht voor dit erfgoed met zeer specifieke noden, is er toch al één en ander gerealiseerd. Er is m.a.w. reeds een basis om op verder te werken. De in dit voorjaar voor het publiek toegankelijk gemaakte databank www.maritieme-archeologie.be, een initiatief van het Vlaams Instituut voor het Onroerend Erfgoed en de provincie West-Vlaanderen, in samenwerking met het Vlaams Instituut voor de Zee en de Afdeling Kust/Maritieme Dienstverlening en Kust, kan als overtuigend voorbeeld gelden.
De wettelijke aspecten in verband met het archeologisch onderzoek van scheepswrakken op de zeebodem worden ons door sprekers uit Frankrijk, Engeland en Nederland voor de spiegel gehouden en geconfronteerd met de regelgeving in Vlaanderen/België, ook in verband met de relatie sportduiker/beroepsarcheoloog. Met een op deze lezingen aansluitend panelgesprek wordt vervolgens beoogd om de informatie uit deze lezingen gericht om te zetten naar een document nuttig voor het beleid inzake maritiem archeologisch erfgoed.
In twee sessies komen tenslotte een aantal maritieme archeologische projecten/sites uit NW-Europa aan bod, waaronder de schepen van Skuldelev en Roskilde (Denemarken), de boot van Dover, de site van de ‘Goodwin Sands’, de ‘Mary Rose’, de kogge van Bremen, het scheepvaartmuseum te Amsterdam en het provinciaal museum ‘Walraversijde’ te Oostende. In deze sessies komen de diverse aspecten van conservatie en presentatie uitvoerig aan bod: van conservatie en presentatie in situ, over het terug in mekaar zetten van de originele resten en het bouwen van replica’s tot het presenteren van monumenten onder water via de combinatie
internet en gsm. Het colloquium eindigt met een excursie naar het provinciaal museum ‘Walraversijde’, het resultaat van vele jaren onderzoek geleid door het Vlaams Instituut voor het Onroerend Erfgoed.
We zijn ervan overtuigd dat met deze lezingenreeks de vooropgestelde doelstellingen van het colloquium in ruime mate gerealiseerd worden. Het colloquium biedt allen die begaan zijn met het maritieme erfgoed in ruime zin ongetwijfeld een uitstekende gelegenheid om binnen de korte tijdspanne van slechts drie dagen zeer uitgebreide informatie over het brede onderwerp te verzamelen en om ongetwijfeld ook nieuwe ideeën op te doen. We hopen dat dit colloquium, alsook de tentoonstelling, stimulansen mogen zijn voor zowel het onderzoek naar als het verantwoord omgaan met het maritiem archeologisch erfgoed in Vlaanderen en op de bodem van het Belgische deel van de Noordzee.
Marnix Pieters, Glenn Gevaert, Jan Mees & Jan Seys
KEYNOTE LECTURE
In 1684 the small barque longue named the *Belle* along with the L’Amiable (a flute) the Joly (3rd-class ship) and the St. Francois (a ketch) left La Rochelle France to establish a fort on the mouth of the Mississippi River. No one could know that the *Belle* would become one of the best known and studied shipwrecks in American history. Just two years earlier on April 8, 1682 René-Robert Cavelier, Sieur de la Salle came down the Mississippi from Canada to discover the mouth of this great river. He claimed all the land drained by the Mississippi for King Louis and France. This became the Louisiana Purchase and now comprises the bulk of the central part of the United States. In order to secure the claim on this vast stretch of land it was necessary to establish a fort and start settling the land to protect it from the Spanish who also claimed the land. Accordingly, King Louis provided La Salle with the four ships listed above and approximately 300 potential colonists, supplies and armaments were loaded. Everything thought necessary to establish a French colony in the New World was loaded onto the four ships.
Nothing went as planned. The voyage took longer than planned, the St. Francois was captured by Spanish pirates off the coast of Haiti, and there was a layover in Haiti so La Salle could get over an illness or a state of depression. On leaving Haiti the small fleet sailed past the Mississippi and thought the inlet to be the Matagorda Bay, some 240 kilometers too far westward was the Mississippi. The small *Belle* successfully made it through the narrow, shallow inlet. However the L’Amiable, carrying the bulk of the supplies ran aground in an attempt to enter the bay. The Joly did not attempt to enter and within weeks returned to France with the majority of the colonists. This left La Salle with a single ship, the *Belle*, a small band of colonists, and no idea where the Mississippi River was. He was stranded on the Gulf coast in a mosquito infested, desolate area inhabited by wild Indians unlike any that he was familiar with in Canada. In April 1685, a small fort named Fort St. Louis was established on Garcitas Creek on the northwest end of the bay. Several attempts were made to locate the Mississippi River and in January 1686, the *Belle* ran aground on the barrier separating the bay from the Gulf of Mexico. Now the colonists were stranded and most were to perish from disease and Indian attacks. La Salle organized a small party of 17 men which included his brother and a nephew to walk to Canada to get help to rescue the remaining French colonists. A short distance inland La Salle’s nephew and then La Salle were killed by his own men. Only 6 men made it successfully to Canada and eventually to France. When the Spanish found the ill-fated settlement, they found the remaining inhabitants massacred by the Indians. They rescued four children from the local Indians. In addition, two men who had gone to live with the Indians surrendered to the Spanish and apparently a few men lived their lives out among the Indians.
In the summer of 1995, Texas State Underwater Archaeologist, J. Barto Arnold III, located the wreck and started excavation plans. This excavation will continue to stand out in the annals of underwater archaeology in the United States. A double walled coffer dam was constructed around the *Belle* and the water within closed ‘doughnut’ was drained, making the submerged site a land excavation. From the beginning of the excavation, the intent was to make it as accessible to the public as possible. A viewing area was provided on the coffer dam for visitors
to view the on-going excavations and an intensive web page presence was established on the internet. Without exception, visitors to the excavation sites (and the web site) were impressed with the small size of the *Belle* (15.8 m long by 4.6 m wide) and how densely the hold was loaded with supplies, tools, trade goods, and armaments. Indeed, the ship took a lot of innovation to excavate and document, and eventually to conserve as well. The excavation continued from June of 1996 through April of 1997. The scene of action now shifted from the excavation site to the Conservation Research Laboratory (CRL) at Texas A&M University where the conservation of the recovered material is still on-going.
The Conservation Research Laboratory was responsible to extracting, documenting, and conserving the excavated material and preparing it for eventual display. The majority of the artefacts have been conserved but it will be a decade or more before the ship is completed and is put on display at the Bob Bullock Museum in Austin, Texas. Since the ship was a flagship, it and the contents remain under the ownership of France, but permanently displayed in Texas.
The CRL followed the example of the Texas Historical Commission by maintaining an active Internet presence with web cameras on the more interesting projects. The public were able to view the on-going reassembly of the ship in a specially constructed conservation vat (18.3 long x 6.1 m wide x 3.7 m deep) with a platform that lifts the ship. Presently, this is the largest wood conservation vat in the United States and probably the largest in the world where the reassembled ship is conserved by totally immersing it in the polyethylene glycol solution. It is also the only conservation vat this large with a platform to lift the ship in and out of the solution for viewing and inspection. Incorporated in the vat is a heating and filtration system.
A web camera continuously broadcasted over the Internet the disassembly and conservation of the contents of a sealed chest. Likewise the building of a scaled model of the ship was conducted in the same manner allowing viewers to contribute valuable information. This model is based on actual data from the ship so it is the most accurate representation of how the *Belle* might have appeared on this her maiden and only voyage.
During the conservation process, new techniques had to be improvised to handle the difficult problems. Radiography electrolytic reduction, casting, and the entire litany of conservation techniques were used. For the smaller artifacts – wood, rope, and leather – silicone oil has provided superior results – much better than by any other comparable conservation process. The use of silicone oil remains controversial in the conservation community but it remains a part of CRL’s arsenal of techniques and consistently provides good results on difficult artifacts. Highlights of the conservation are presented in the paper.
When the conservation of the artifacts is completed, the THC distributes them to eight regional Texas museums, each telling a different part of the story of La Salle’s ill-fated colonization venture.
In 1684 verliet de kleine ‘barque longue’ met de naam Belle samen met de L’Amiable (een fluitschip), de Joly (derdeklas schip) en de St. François (een kits) de haven van La Rochelle in Frankrijk om een fort te vestigen aan de monding van de Mississippi. Niemand kon weten dat de Belle een van de best bekende en meest bestudeerde scheepswrakken in de Amerikaanse geschiedenis zou worden. Twee jaar voordien, op 8 april 1682, was René-Robert Cavelier, Sieur de la Salle, vanuit Canada de Mississippi afgevaren om de monding van de grote rivier te verkennen. Hij maakte in naam van Koning Lodewijk en Frankrijk aanspraak op al het land dat door de Mississippi werd ontwaterd. Dat gebied werd de ‘Louisiana Purchase’ en vormt nu het grootste deel van het centrum van de Verenigde Staten. Om de aanspraak op dit uitgestrekte stuk land veilig te stellen, was het noodzakelijk een fort te bouwen en het land te gaan bewonen om het te beschermen tegen de Spanjaarden, die er ook aanspraak op maakten. Dus stelde Koning Lodewijk de vier voornmelde schepen ter beschikking van La Salle. Ongeveer 300 kolonisten gingen aan boord en de schepen werden geladen met proviand en wapens. Alles wat men dacht nodig te hebben om in de Nieuwe Wereld een Franse kolonie te stichten werd op de vier schepen geladen.
Niets verliep zoals voorzien. De reis duurde langer dan gepland, de St. François werd voor de kust van Haïti door Spaanse piraten buitgemaakt en de reis werd in Haïti onderbroken zodat La Salle kon herstellen van een ziekte of wellicht een depressie. Na het verlaten van Haïti voer de kleine vloot de monding van de Mississippi voorbij. Men dacht dat de inham naar de Matagorda Baai, zowat 240 kilometer te ver naar het westen, de monding van de Mississippi was. De kleine Belle slaagde erin zonder problemen doorheen de smalle, ondiepe inham te varen. De L’Amiable, die het grootste deel van de voorraden aan boord had, strandde bij een poging de baai binnen te varen. De Joly probeerde het zelfs niet en keerde enkele weken later naar Frankrijk terug met de meerderheid van de kolonisten. La Salle had dus nog één enkel schip, de Belle, en een kleine groep kolonisten over, en had geen idee waar de Mississippi was. Hij was gestrand op de Golfkust in een woest gebied, geteisterd door muggen en bewoond door wilde Indianen die in niets leken op de Indianen die hij in Canada had ontmoet. In april 1685 werd een klein fort, Fort St. Louis genoemd, opgericht bij Garcitas Creek aan de noordwestelijke kant van de baai. Verschillende pogingen werden gedaan om de Mississippi te vinden en in januari 1686 liep de Belle vast op het barrièrerif dat de baai van de Golf van Mexico scheidde. De meeste van de aldus gestrande kolonisten kwamen om door ziekte of werden het slachtoffer van aanvallen van de Indianen. La Salle bracht een kleine groep van 17 mannen samen, waaronder zijn broer en een neef, die naar Canada zouden lopen om hulp te halen voor de overblijvende Franse kolonisten. Niet lang nadat ze vertrokken waren, werd de neef van La Salle en later La Salle zelf gedood door zijn eigen mannen.
Slechts 6 personen bereikten Canada en keerden uiteindelijk naar Frankrijk terug. Toen de Spanjaarden de tot mislukken gedoemde vestiging vonden, troffen ze de overgebleven bewoners vermoord door de Indianen aan. Ze redden vier kinderen uit de handen van de lokale stammen. Daarnaast gaven twee mannen die bij de Indianen waren gaan wonen zich
over aan de Spanjaarden en naar verluidt zijn een aantal personen tot aan hun dood bij de Indianen gebleven.
In de zomer van 1995 vond de Texaanse onderwaterarcheoloog J. Barto Arnold III het wrak en startte hij met de plannen voor de opgraving. Die opgraving is blijvend opgenomen in de annalen van de onderwaterarcheologie in de Verenigde Staten. Een dubbelwandige kofferdam werd rondom de *Belle* gebouwd en het water binnen die gesloten ‘donut’ werd afgevoerd, zodat de site onder water een opgravingsterrein op het land werd. Van bij het begin van de opgravingen was het de bedoeling de werken zoveel mogelijk zichtbaar te maken voor het publiek. Op de kofferdam werd een uitkijkpunt voorzien zodat bezoekers het verloop van de opgravingen konden volgen, en een uitgebreide website werd aangemaakt. Iedereen die het opgravingsterrein (en de website) bezocht was onder de indruk van de kleine omvang van de *Belle* (15.8 m lang op 4.6 m breed) en van de manier waarop het ruim was volgestouwd met voorraden, werktuigen, handelsgoederen en wapens. Er waren een groot aantal innoverende technieken vereist om het schip op te graven en te documenteren, en uiteindelijk te conserveren. Het opgravingswerk begon in juni 1996 en duurde tot april 1997. Daarna werd het werk voortgezet in het Conservation Research Laboratory (CRL) van de Texas A&M University, waar men nu nog steeds bezig is het geborgen materiaal te conserveren.
Het Conservation Research Laboratory was verantwoordelijk voor het naar boven halen, het documenteren en het conserveren van het opgegraven materiaal en voor het klaarmaken ervan voor een eventuele tentoonstelling. Het grootste deel van de voorwerpen werd geconserveerd maar het zal nog tien jaar of langer duren voor het schip klaar zal zijn om te worden tentoongesteld in het Bob Bullock Museum in Austin, Texas. Daar het schip een vlaggenschip was, blijft het samen met de inhoud ervan eigendom van Frankrijk, maar het zal permanent worden tentoongesteld in Texas.
Het CRL volgde het voorbeeld van de Texas Historical Commission door de creatie van een actieve website en de installatie van webcamera’s bij de interessantste projecten. Zo kan het publiek het verloop van de reconstructie van het schip in een speciaal daarvoor gebouwd vat (18.3 lang x 6.1 m breed x 3.7 m diep) volgen. Door middel van een platform kan het schip worden opgetild. Vandaag is dit het grootste houten conserveringsvat in de Verenigde Staten, en hoogstwaarschijnlijk zelfs de grootste van de wereld. Het opnieuw samengestelde schip wordt geconserveerd door volledige onderdompeling in de polyethyleen-oplossing. Het is ook het enige conserveringsvat met die afmetingen die uitgerust is met een platform om het schip uit de oplossing te tillen voor onderzoek en inspectie. In het vat is een verwarmings- en filtersysteem ingebouwd.
Een webcamera zond via het internet continu beelden uit van de demontage en conservering van de inhoud van een gesloten kist. Ook het bouwen van een schaalmodel van het schip werd op beeld vastgelegd, zodat de bezoekers van de website de mogelijkheid geboden werd waardevolle informatie te verstrekken. Het schaalmodel is gebaseerd op de informatie die uit het echte schip verkregen werd en geeft dus op de meest nauwkeurige manier weer hoe de *Belle* er waarschijnlijk uitzag op haar eerste maar ook enige reis.
Tijdens het conserveringsproces moesten nieuwe technieken worden uitgewerkt om een oplossing te vinden voor de aanzienlijke problemen. Er werd gebruik gemaakt van radiografie, elektrolytische reductie, gietsmallen en een hele reeks conserveringstechnieken. Voor de kleinere voorwerpen – hout, stukken touw en leder – werden heel goede resultaten behaald met siliconeolie, veel beter dan met eender welk ander vergelijkbaar conserveringsproces. Het gebruik van siliconeolie blijft controversieel in de wereld van de conservering van archeologische vondsten, maar het CRL blijft de techniek toepassen en behaalt consequent
goede resultaten, zelfs voor moeilijk te behandelen voorwerpen. In de lezing worden de belangrijkste fasen van het conserveringsproces besproken.
Wanneer de conservering van alle voorwerpen voltooid zal zijn, zal de THC ze verspreiden over acht regionale musea in Texas. Elk van deze musea zal een ander aspect belichten van La Salle’s noodlottige kolonisatiepoging.
Session 1:
STUDY OF MARITIME ARCHAEOLOGICAL HERITAGE IN FLANDERS/BELGIUM
Chair: Dr Marnix Pieters, Flemish Heritage Institute (VIOE)
In the summer of 2003 the then IAP (Archaeological Heritage Institute) started studying a new research area: maritime archaeology. Until that time this internationally highly regarded research area had not been given any structural attention in Flanders and Belgium in spite of the considerable interest of numerous individuals and individual organisations. This lack of attention from the government was to a large extent due to the complexity of the division of competence over the part of the North Sea bordering Belgium as well as the lack of financial means available to organisations responsible for archaeological heritage. The territorial competence over the part of the North Sea bordering Belgium lies with the federal government while the competence over archaeological heritage lies with the regions, and the already scarce means available for archaeology did not make it possible to undertake significant initiatives at sea until then. As the rest of this contribution will demonstrate, the situation has changed considerably in the mean time.
In order to eliminate the issue of competence attempts were made to conclude mutual agreements between the different governments, which was realised in 2004 in the form of a cooperation agreement between the federal government and the Flemish Region whereby the Flemish Region and more in particular the IAP, at that time already converted into the VIOE (Flemish Heritage Institute), were recognised as the preferred partner of the federal government with regard to maritime archaeological heritage research. Among other things, this cooperation agreement stipulated that the Flemish Region had to realise a first database within 18 months after conclusion of the agreement from which the competent federal minister would be able to select a number of wrecks to be protected. In the mean time this database and the corresponding website have been completed and made accessible via the Internet since the end of April at the following address: www.maritieme-archeologie.be. This database, available in four languages, was realised by Aexis-Belgium nv by order of the VIOE in close collaboration with the province of West Flanders, the Coastal Division of the Agency for Maritime Services and Coast and the VLIZ (Flanders Marine Institute). The protection of the first wrecks will probably be realised by the federal government in the second half of 2006.
In the mean time the scope of the Maritime Archaeology cell was broadened in autumn 2005 to include the heritage afloat, as a result of which the cell was renamed the Maritime Archaeology and Heritage Afloat unit at the end of 2005. These closely related themes can now also be approached in an integral manner.
At the same time considerable efforts were made to substantially expand the public support for this type of heritage, e.g. by organising regular exhibitions on maritime archaeological themes in the Provincial Museum of Walraversijde, by conducting an archaeology workshop for divers in spring 2005, by organising lectures and by participating in important maritime events such as Ostend at Anchor, the Fishery Festival in Ostend and the Belgian Boat Show, to name only a few.
In the mean time the situation has evolved even further in the right direction, so that it will be possible to actually start active maritime archaeological heritage research in the Belgian territorial waters as from the summer of 2006. This is especially made possible by the facilities provided by the VLIZ (dedicated platform for underwater recording) and by the Coastal Division of the Agency for Maritime Services and Coast (dedicated platform for high-quality multi-beam recordings).
CEL MARITIEME ARCHEOLOGIE EN VAREND ERFGOED VIOE: STAND VAN ZAKEN
Marnix Pieters\(^1\), Ine Demerre\(^2\), Tom Lenaerts\(^1\) en Inge Zeebroek\(^1\)
\(^1\) Cel maritieme archeologie en varend erfgoed, Vlaams Instituut voor het Onroerend Erfgoed (VIOE), Koning Albert-II laan 19 bus 5, B-1210 Brussel, België
E-mail: firstname.lastname@example.org
\(^2\) Cel maritieme archeologie en varend erfgoed, Vlaams Instituut voor het Onroerend Erfgoed (VIOE), p/a Provinciaal Museum Walraversijde, Nieuwpoortsesteenweg 636, B-8400 Oostende, België
In de zomer van 2003 werd in de schoot van wat toen nog het Instituut voor het Archeologisch Patrimonium (IAP) heette een nieuw wetenschappelijk onderzoeksterrein aangesneden: de maritieme archeologie. Tot dan toe was voor dit internationaal hoog aangeschreven onderzoeksveld in Vlaanderen/België niet de minste structurele aandacht, ondanks de grote belangstelling van heel wat particulieren en privéorganisaties. Dit gebrek aan aandacht vanwege de overheid was in belangrijke mate te wijten aan de complexiteit van de bevoegdhedsverdeling over het aan België grenzende deel van de Noordzee, evenals aan het gebrek aan financiële mogelijkheden bij de voor archeologisch erfgoed verantwoordelijke instellingen. De territoriale bevoegdheid over de aan België grenzende Noordzee is een federale materie, terwijl de bevoegdheid over archeologisch erfgoed bij de gewesten is ondergebracht. De al te schaarse voor de archeologie beschikbare middelen lieten niet toe om zinvol initiatief op zee te ontplooiën. Ondertussen is zoals het vervolg van deze bijdrage aantoont, de situatie grondig gewijzigd; dat willen we in deze bijdrage toch aantonen.
Om de bevoegdheidsonduidelijkheid zo snel mogelijk uit de weg te ruimen werd geïjverd om tussen de verschillende beleidsniveaus duidelijke afspraken te maken, wat in oktober 2004 werd gerealiseerd onder de vorm van een samenwerkingsakkoord afgesloten tussen de federale overheid en het Vlaamse Gewest. Daarbij werd het Vlaamse Gewest en met name het ondertussen tot het Vlaams Instituut voor het Onroerend Erfgoed (VIOE) omgevormde IAP erkend als de bevoorrechtte partner van de federale overheid in relatie tot het onderzoek van maritiem archeologisch erfgoed. In dit samenwerkingsakkoord werd o.a. gestipuleerd dat door het Vlaamse gewest – binnen 18 maanden na het afsluiten van het akkoord – een eerste databank zou gerealiseerd worden waarruit de federale minister bevoegd voor Noordzeezaken enkele wrakken ter bescherming zou selecteren.
Ondertussen is deze databank een feit en is ze sinds eind april ook op het internet beschikbaar: www.maritieme-archeologie.be. Deze databank werd gerealiseerd door Aexis-Belgium nv in opdracht van het VIOE (80%) en de provincie West-Vlaanderen (20%), in nauwe samenwerking met de afdeling Kust/Maritieme dienstverlening en het Vlaams Instituut voor de Zee (VLIZ). De eerste beschermingen mogen wellicht in de 2de helft van 2006 verwacht worden.
In het najaar van 2005 werd de cel maritieme archeologie verruimd met het thema ‘varend erfgoed’ zodat sinds eind 2005 sprake is van de cel ‘maritieme archeologie en varend erfgoed’ waardoor deze nauw bij elkaar horende thema’s nu ook geïntegreerd kunnen benaderd worden.
Het totale onderzoeksdomein van de cel omvat nu dus varend erfgoed; scheepswrakken in zee en aan land; alle op het water gerichte constructies zoals bruggen, sluizen of vuurtorens; maritieme nederzettingen en alle vondsten die in de zee gedaan kunnen worden, zoals bijvoorbeeld verloren ladingen of wrakken van vliegtuigen, boeien, …
Tegelijkertijd werden ook heel wat inspanningen gericht op het in belangrijke mate verhogen van het draagvlak voor dit erfgoed, o.a. door het op geregelde tijdstippen opzetten van tentoonstellingen omtrent maritiem archeologische thema’s en het organiseren van een ‘workshop archeologie voor duikers’ in het provinciaal museum Walraversijde te Oostende, door het organiseren van lezingen en door het participeren aan belangrijke maritieme evenementen zoals ‘Oostende voor Anker’ en de Visserijfeesten te Oostende of de Belgian Boatshow te Gent, om er slechts enkele te noemen.
Ondertussen is de situatie verder in de goede richting geëvolueerd zodat vanaf de zomer van 2006 ook kon worden gestart met het effectief uitvoeren van waardestellend onderzoek naar het maritiem archeologisch erfgoed in de Belgische territoriale wateren. Dit wordt vooral mogelijk gemaakt door de faciliteiten ter beschikking gesteld via het VLIZ (een geschikt platform met mogelijkheid tot het maken van onderwateropnames) en de afdeling Kust/Maritieme dienstverlening (een geschikt platform met mogelijkheid tot het maken van zeer kwaliteitsvolle multibeamopnames).
ANCIENT AND MEDIEVAL SHIP FINDS FROM BELGIUM
Aleydis Van de Moortel
Department of Classics, University of Tennessee
1104 McClung Tower, Knoxville, TN 37996-0413 USA
E-mail: email@example.com – http://web.utk.edu/~avdm
At this colloquium promoting maritime and fluvial archaeology in Belgium, it is fitting to take stock and consider the ship remains that have been found here. It is the aim of this overview to point out some of the tremendous potential of Belgium in this field, and at the same time to demonstrate that this potential can be fulfilled only if shipwrecks receive proper archaeological excavation, conservation, and study.
This paper focuses on boat and ship finds from Antiquity and the Middle Ages: logboats from Austruweel (Antwerp); Roman-era boats from Pommeroeul; Roman or early medieval boats from Brugge and Oostende; early medieval finds from Knokke, Appels, Moerzeke-Mariekerke, Zele, Wetteren, Hamme, and Antwerp; possible remains of a Viking ship from Antwerp; and late medieval logboats, planked boats and a large cog from the Antwerp area. With the exception of the boats from Pommeroeul and the large cog, none of these remains have been properly excavated or documented. Finds are briefly discussed, placed in their historical context, and evaluated with respect to their importance for the history of seafaring.
Belgium is a country located on the North Sea and crisscrossed by navigable rivers and streams. Thus it is to be expected that waterborne transport played an important role in human activities in the past, as it does today. What is more, the frequent silting up and lateral movement of waterways in the lowlands of Belgium has created excellent opportunities for the preservation of sunken and abandoned boats and ships made of organic materials. The current absence of boat finds predating the era of Roman occupation is remarkable, but must be due to chance, since until recently Belgium did not have a law protecting archaeological discoveries.
In contrast, the wealth of boat remains dating to the Migration period is unique in this part of Europe. Germanic tribes migrating over the Rhine after the disintegration of the Roman Empire brought their own ships. Six figureheads dredged up from the River Scheldt provide a tantalizing glimpse of these new craft, but no hull remains have been preserved to tell us how these ships contributed to the success of the Frankish immigrants.
It is likely that a blending of local ‘Romano-Celtic’ and newly arrived Germanic boatbuilding methods took place. Understanding how such transfer of technology actually happened would give us valuable insights into the relations between local people and immigrants. It is possible that the boat from Oostende, in its reliance on heavy oak planking reminiscent of the ‘Romano-Celtic’ tradition and with its overlapping strakes comparable to Scandinavian vessels, is such a hybrid craft, but our information is sketchy and the boat’s date not well established. Fascinating is the report that it carried an octagonal wooden tower amidships. Some reconstructions of the boat from Brugge would likewise make it a good candidate for an early medieval hybrid, but there is again considerable ambiguity about its date and construction. One study considers it to be a 2nd or 3rd c. A.C. vessel typical of the ‘Romano-Celtic’ tradition.
In the 9th and early 10th centuries, Belgium, like its neighbors, was terrorized by Vikings. In spite of their strongly felt presence, those Scandinavians have left few physical remains in this country. Some ship timbers found by chance on the left bank of the River Scheldt in Antwerp,
built in the Viking tradition and with medieval-style wrought iron nails, may belong to a Viking vessel, but C14 dating suggests that they postdate the Viking age.
After the Viking attacks, the economy recovered, and soon cities dominated political, economic, and social life. A prominent late medieval trading vessel in this region was the hulk. Medieval depictions show it with a crescent shape and seemingly improbable upcurving plank runs. In spite of its importance, the construction of the hulk is little understood, primarily because of the lack of identifiable ship remains.
Some researchers have proposed that expanded logboats of the so-called ‘Utrecht type’ dating to the 10th-12th centuries are early hulks. These logboats are crescent-shaped and have sides raised by curving strakes. It is hypothesized that when late medieval builders ran out of large oak trees needed to make these logboats, they switched to fully planked hulks.
Finds from Belgium seem to support this hypothesis. One 11th-century Utrecht-type logboat and fragments of possibly a second one have been found as far south as the Antwerp harbor. Two fully planked 13th-century vessels found elsewhere in this harbor have a comparable hull shape in plan view. Even though their profile was not documented, their closely-set symmetrical floor timbers and hull extremities formed by upcurving bottom planks makes them excellent candidates to be the fully planked successors of the Utrecht type. Their overlapping side planking reportedly is joined in a unique manner, suggesting that they belong to an as yet unknown local boatbuilding tradition.
Two smaller hulls with similar characteristics but extremities ending in a stem and sternpost were found partially superimposed over these possible hulks. With their posts, flush bottom planks and overlapping side planking they are reminiscent of cogs, but their strakes are joined in a different manner that is identical to the joins of the possible hulks.
In the 12th century, large ships in northern Europe changed from the quarter rudder to the fixed stern rudder. The earliest known stern rudders are seen on hulks depicted on Flemish baptismal fonts from Zedelgem and Winchester. This suggests that the stern rudder was invented in Belgium, but without actual ship finds that must remain a hypothesis.
During the 13th and 14th centuries, the most important trading vessel was the cog. A large and beautifully preserved example of a 14th-century seagoing cog was recently excavated at Doel in the harbor of Antwerp.
In sum, it is likely that some very important developments in early European shipbuilding took place in Belgium. Only proper archaeological treatment of ship finds will ensure that our country takes the place it deserves in the history of ancient and medieval European seafaring.
Scheepsvondsten uit de Oudheid en de Middeleeuwen in België
Aleydis Van de Moortel
Department of Classics, University of Tennessee
1104 McClung Tower, Knoxville, TN 37996-0413 USA
E-mail: firstname.lastname@example.org – http://web.utk.edu/~avdm
Het colloquium ter bevordering van de maritieme en fluviale archeologie in België is wellicht een ideale gelegenheid om de scheepsresten die hier werden gevonden te inventariseren en te onderzoeken. Het doel van dit overzicht is het enorme potentieel van België op dat vlak te benadrukken en tegelijkertijd aan te tonen dat dit potentieel enkel kan worden gerealiseerd indien de scheepswrakken behoorlijk worden opgegraven, bewaard en bestudeerd.
Deze bijdrage legt de nadruk op scheepsvondsten uit de oudheid en de middeleeuwen. Het betreft: boomstamkano’s uit Austruweel (Antwerpen), boten uit de Romeinse tijd uit Pommeroeul, Romeinse of vroegmiddeleeuwse boten uit Brugge en Oostende, vroegmiddeleeuwse vondsten uit Knokke, Appels, Moerzeke-Mariekerke, Zele, Wetteren, Hamme en Antwerpen, mogelijke overblijfselen van een Vikingschip uit Antwerpen, laatmiddeleeuwse boomstamkano’s, uit planken gebouwde boten en een grote kogge uit de omgeving van Antwerpen. Met uitzondering van de boten uit Pommeroeul en de grote kogge werden geen van deze overblijfselen naar behoren opgegraven of gedocumenteerd. Vondsten worden kort besproken en in hun historische context geplaatst. Hun belang voor de geschiedenis van de zeevaart wordt beoordeeld.
België is aan de Noordzee gelegen en wordt doorkruist door bevaarbare rivieren en stromen. Er kan dus worden aangenomen dat transport over water in het verleden een belangrijke rol speelde bij de menselijke activiteiten, zoals dat nu nog steeds het geval is. Bovendien creëerden de frequente verzilting en de laterale beweging van waterwegen in de laaglanden van België uitstekende omstandigheden voor de bewaring van gezonken en achtergelaten boten en schepen gemaakt uit organische materialen. Het ontbreken van scheepsvondsten die dateren van vóór de Romeinse bezetting is merkwaardig maar moet te wijten zijn aan toeval, aangezien België tot voor kort geen wet had die archeologische vondsten beschermt.
Daarentegen is de overvloed aan scheepsresten uit de periode van de Grote Volksverhuizing uniek in dit deel van Europa. Germaanse stammen die over de Rijn trokken na het ineenstorten van het Romeinse Rijk brachten hun eigen schepen mee. Zes boegbeeldens die werden opgevist uit de Schelde bieden een aanlokkelijke glimp van dit nieuwe scheepstype, maar er zijn geen overblijfselen van de romp gevonden die ons iets meer hadden kunnen vertellen over hoe deze schepen hebben bijgedragen tot het succes van de Frankische immigranten.
Waarschijnlijk vond een vermenging van de lokale ‘Romeins-Keltische’ en de nieuwe Germaanse scheepsbouwmethoden plaats. Een begrip van de manier waarop die overdracht van technologie in werkelijkheid plaatsvond zou ons een waardevol inzicht geven in de relaties tussen de lokale bevolking en deze immigranten. Het is mogelijk dat de boot van Oostende, met zijn zware eiken beplanking die doet denken aan de ‘Romeins-Keltische’ traditie en met zijn overlappende huidgangen die vergelijkbaar zijn met die van Scandinavische schepen, een dergelijk hybride vaartuig is, maar onze informatie is onvolledig en het is niet duidelijk hoe oud de boot precies is. Fascinerend is de vaststelling dat de boot in het midden een achthoekig houten kasteel had. Op basis van enkele reconstructies van de boot van Brugge zou dit boottype een vroegmiddeleeuws hybride scheepstype kunnen zijn, maar wederom is er
onduidelijkheid over de exacte ouderdom en de scheepsbouw. Volgens één studie is het een typisch Romeins-Keltisch vaartuig uit de 2e of 3e eeuw na Christus.
In de 9e en vroege 10e eeuw werd de bevolking van het grondgebied van het latere België net als dit van de omliggende landen geterroriseerd door de Vikings. Ondanks hun uitgesproken aanwezigheid hebben deze noorderlingen maar weinig fysische overblijfselen achtergelaten in dit land. Enkele spanten die per toeval gevonden werden op de linkeroever van de Schelde in Antwerpen en volgens de traditionele bouwmethode van de Vikings met smeedijzeren nagels in middeleeuwse stijl vervaardigd werden, horen misschien toe aan een vikingschip, maar volgens datering met de C14-methode zouden de spanten stammen uit een periode die na het Vikingtijdperk valt.
Na de aanvallen van de Vikings herstelde de economie zich en begonnen de steden al snel het politieke, economische en sociale leven te overheersen. Een belangrijk laatmiddeleeuws handelsvaartuig in deze regio was de hulk. In middeleeuwse afbeeldingen heeft dit schip de vorm van een maansikkel en een schijnbaar onmogelijke opwaarts krommende beplanking. Ondanks het belang van dit schip is het niet duidelijk hoe dit schip gebouwd werd, vooral omdat er geen identificeerbare overblijfselen van dit scheepstype gevonden werden.
Sommige onderzoekers stellen dat de verlengde boomstamkano’s van het zogenaamde ‘Utrechts type’ uit de 10de tot 12e eeuw eigenlijk vroege hulken zijn. Deze boomstamkano’s hebben de vorm van een maansikkel en de zijden zijn verhoogd door middel van gebogen huidgangen. Er wordt verondersteld dat de overstep naar volledig beplankte hulken plaatsvond toen laatmiddeleeuwse scheepsbouwers geen grote eiken meer hadden om deze boomstamkano’s te maken.
Vondsten uit België lijken deze hypothese te bevestigen. Een boomstamkano van het Utrechts type uit de 11e eeuw en fragmenten van een mogelijk tweede exemplaar werden te Antwerpen gevonden, tot nog toe de meest zuidelijk gelegen vindplaats van dit type schepen. Twee elders in deze haven gevonden volledig beplankte 13e-eeuwse vaartuigen hebben een qua vorm vergelijkbare romp. Hoewel hun profiel niet gedocumenteerd werd, is het zeer goed mogelijk dat ze de volledig beplankte opvolgers van het Utrechts type zijn, vooral door hun zeer nauw aaneengesloten symmetrische vloerbeplanking en uiteinden van de romp, gevormd door de opwaarts gebogen bodembeplanking. De overlappende zijbeplanking zou op een unieke manier verbonden zijn, wat suggereert dat deze boten werden gebouwd volgens een nog onbekende lokale scheepsbouwtraditie.
Twee kleinere scheepsrompen met gelijkaardige kenmerken maar met uiteinden die uitlopen op een voor- en achtersteven werden gedeeltelijk bovenop deze mogelijke hulken gevonden. Hun stevens, vlakke bodembeplanking en overlappende zijbeplanking doen aan koggen denken, maar hun huidgangen zijn samengevoegd op een manier die identiek is aan de manier waarop de naden van de mogelijke hulken gevormd zijn.
In de 12e eeuw schakelden grote schepen in Noord-Europa over van het zijroer naar het vaste achterstevenroer. De oudste gekende achterstevenroeren zijn te zien op afbeeldingen van hulken op Vlaamse doopvonten uit Zedelgem en Winchester. Dit suggereert dat het achterstevenroer uitgevonden werd in België, maar zonder echte scheepsvondsten blijft dit enkel een hypothese.
In de 13e en 14e eeuw was het belangrijkste handelsvaartuig de kogge. Een groot en uitstekend bewaard exemplaar van een 14e-eeuwse zeevarende kogge werd onlangs opgegraven in de haven van Antwerpen in Doel.
Samengevat is het waarschijnlijk dat enkele uitermate belangrijke ontwikkelingen in vroeg-Europese scheepsbouw plaatsvonden in de zone van het latere België. Enkel een correcte archeologische benadering van scheepsvondsten kan verzekeren dat België de plaats inneemt die het verdient in de geschiedenis van de Europese zeevaart in de oudheid en de middeleeuwen.
THE MARITIME ABUNDANCE OF THE NORTH SEA BOTTOM
Jan Parmentier
Department of Early Modern History, University of Gent
Blandijnberg 2, B-9000 Gent, België
E-mail: email@example.com
The often grey North Sea only rarely invites maritime archaeologists and divers to explore the sea bottom. Visibility in the shallow coastal waters of Belgium and the Netherlands is very poor and the strong currents near the river estuaries interfere with the underwater working conditions. The southern part of the North Sea bottom is furthermore covered with treacherous banks that are constantly in motion. The location of an archaeological site can thus disappear under a thick layer of sand within 24 hours.
North Sea sailors have been faced with these unfavourable conditions since prehistory. As a result of the relatively limited nautical knowledge and means of navigation maritime activities in this region especially focused on coastal navigation. As urbanisation and trade increased in the Middle Ages and the Early Modern times the southern part of the North Sea, between the southeastern coast of England and the Low Countries, evolved into the busiest maritime zone in the world. A consequence of this unique fact was that in comparison with other regions quite a high number of ships were lost in this area as the natural conditions resulted in difficult navigability and demanded great skill from the steersmen and captains. Even for sailors with considerable steering skills the battle against the elements frequently turned out to be unequal.
This enormous treasure of archaeological information is still relatively unknown as in comparison with other regions such as the Mediterranean or the Caribbean this area is protected in a natural manner. Nevertheless, the relatively swift technological progress in the maritime archaeology sector offers new possibilities to explore this historical database.
In this presentation we furthermore discuss a number of remarkable North Sea finds that have broadened our historical knowledge. Archival sources make it possible to analyse the past, but the confrontation and comparison of this information with archaeological artefacts, mainly from shipwrecks, regularly result in a more correct interpretation of written sources. In addition, these artefacts frequently provide data on objects, techniques and aspects of socio-economic life that have not or hardly been described yet. Finally we also shed light on the unique phenomenon of maritime archaeology as a way to take specific snapshots of history. It seems like the sea bottom contains numerous pictures or detailed paintings, which allow us to fathom many aspects of the everyday life of our ancestors.
DE MARITIEME RIJKDOM VAN DE NOORDZEEBODEM
Jan Parmentier
Vakgroep Nieuwe Geschiedenis, Universiteit Gent
Blandijnberg 2, B-9000 Gent, België
E-mail: firstname.lastname@example.org
De vaak grijsgrauwe Noordzee is zelden uitnodigend voor maritieme archeologen en duikers om de zeebodem te gaan exploreren. De zichtbaarheid bijvoorbeeld in de ondiepe kustwateren van België en Nederland is zeer gering en de sterke stromingen nabij de riviermondingen bemoeilijken de werkomstandigheden onder water. Voorts ligt het zuidelijk deel van de Noordzee bezaaid met verraderlijke zandbanken die constant in beweging zijn. Een vindplaats van een archeologische site kan in een etmaal onder een dik zandpakket verdwijnen.
Met deze ongunstige omstandigheden worden de zeevaarders van de Noordzee geconfronteerd sinds de prehistorie. Door de relatief beperkte nautische kennis en navigatiemiddelen richtten de maritieme activiteiten in deze regio zich voornamelijk op de kustvaart. Naarmate de urbanisatie en het handelsverkeer toenamen tijdens de middeleeuwen en de vroegmoderne tijd, groeide het zuidelijk deel van de Noordzee, tussen de zuidoostkust van Engeland en de Lage Landen, tot de drukst bevaren zone op wereldvlak uit. Dit unieke gegeven zorgde ervoor dat er een veelvoud aan schepen zijn vergaan in vergelijking met andere regio’s. Immers: de natuurlijke omstandigheden veroorzaakten moeilijke bevaarbaarheid en vereisten bijzondere vaardigheid van de stuurlui en schippers. Ook voor zeelui met een gedegen stuurmanskunst bleek het regelmatig een ongelijke strijd tegen de natuurelementen.
Deze enorme schat aan archeologische informatie is nog relatief onbekend omdat ze in vergelijking tot andere regio’s zoals het Middellandse-Zeegebied of de Caraïben op een natuurlijke wijze beschermd wordt. Maar de relatief snelle technologische vooruitgang in de sector van de maritieme archeologie opent nieuwe mogelijkheden om deze historische databank te verkennen.
In deze presentatie overlopen we verder een aantal opmerkelijke ‘Noordzee’-vondsten die de historische kennis hebben verruimd. Archiefbronnen maken het mogelijk het verleden te analyseren, doch de confrontatie met en de vergelijking van deze informatie met maritiem archeologische artefacten, vooral uit scheepswrakken, zorgt geregeld voor een correctere interpretatie van de geschreven bronnen. Bovendien verstrekken deze artefacten niet zelden data over voorwerpen, technieken en aspecten van het sociaal-economische leven die amper of niet beschreven zijn. Ten slotte belichten we ook het unieke fenomeen van de maritieme archeologie als bijzondere momentopnames in de geschiedenis. Het lijkt alsof de zeebodem tal van foto’s bevat of gedetailleerde schilderijen, die het mogelijk maakt veel facetten van het dagelijkse bestaan van onze voorouders te doorgronden.
MAJOR FINDS FROM THE ZEEBRUGGE SITE
Stéphane Vandenberghe
Groeningemuseum
Dijver 12/16, B-8000 Brugge, Belgium
E-mail: email@example.com
From 1990 onwards very important metal objects were recovered from the water of the North Sea off the coast of Zeebrugge. Initially these objects were thought to belong to a sunken ship of the Dutch East India Company, but after long investigation it became clear that all these objects date from around the first quarter of the 16th century. The unique element of this find is the presence of dozens of intact but unmarked brass candleholders that can be subdivided into different types, the presence of some twenty sets of nested weights with famous Nürnberg master marks, small and large marked taps, undecorated mortars first cast and subsequently finished on the lathe with corresponding pestles in the same material as well as some forty objects in pewter. The pewter especially concerns small and larger dining plates, a few rather rare octagonal dishes, pewter saltcellars with a pear-shaped body or an opening lid, a lidded jug with the representation of St. Michael and several spoons with crowned hammer marks. The freighter also carried a large amount of other brassware and bronzeware, including two tripod cooking pots, decorated and undecorated offering dishes, a few unfinished embossed brass kettles stacked together and a large colander. Apparently there were also numerous small metal objects on board, including bells, pins, double-hooked fasteners, thimbles, lace-tags, engraved needle cases and even bone hair combs. It was furthermore possible to identify hundreds of religious and devotional objects, such as monstrances, fragments of holy water fonts, a pewter medallion depicting the Mass of Saint Gregory and Our Lady on the Crescent Moon as well as a very fine casting mould engraved in natural stone intended for making round medallions with an analogous iconographic representation. Apart from the very small and carefully finished sets of nested weights mentioned above, the finds also included a pair of compasses in perfect condition, coin weights some of which made in Antwerp and perhaps even the mechanism of an early table clock. As regards numismatics, a few Venus coins with the arms of Philip the Fair (1478-1506) were found in mint condition as well as some damaged coins of Charles V (1500-1558). It is clear that it concerns part of a shipload of a destroyed armed sailing vessel as large quantities of bullets and four iron cannons were found, one of which was salvaged and preserved.
A detailed study on this major discovery is currently being prepared, which will certainly constitute a contribution to maritime archaeology.
BELANGRIJKE VONDSTEN VAN DE ZEEBRUGGE-SITE
Stéphane Vandenberghe
Groeningemuseum
Dijver 12/16, B-8000 Brugge, België
E-mail: firstname.lastname@example.org
Vanaf 1990 werden er buiten Zeebrugge zeer belangrijke metalen voorwerpen uit de Noordzee uit het water gehaald, waarvan men aanvankelijk dacht dat deze misschien tot een gezonken VOC-schip behoorden. Langdurige studie heeft hierover uitsluitsel gegeven, vermits al deze objecten in werkelijkheid te situeren zijn rond het eerste kwart van de 16de eeuw. Het unieke aan deze vondst is de aanwezigheid van tientallen gave maar ongemerkte tafelkandelaaars in geelkoper die typologisch onder te verdelen zijn in verschillende types, het voorkomen van een twintigtal pijp- of sluitgewichten met bekende Nürenbergse meestermerken, kleine en grote gemerkte tapkransen, onversierde gegoten en daarna op de draaibank afgedraaide vizels of mortieren met bijhorende stampers in hetzelfde materiaal, alsook een veertigtal stuks tinwerk. Wat dit laatste betreft gaat het hier vooral om kleine en grotere eetborden, enige vrij zeldzame achtkantige schotels, tinnen zoutvaten met peervormig lichaam of opendraaiend deksel, een schenkkan met deksel met de voorstelling van Sint-Michiel als bodemmedaillon en meerdere eetlepel met gekroonde hamermerken. Het vrachtschip vervoerde ook tal van ander koper- of bronswerk, zoals een tweetal grappen, versierde en onversierde offerandeschotels, enige onafgewerkte en in elkaar geschoven ketels in gedreven geelkoper en een groot vergiet. Men had blijkbaar ook tal van kleine objecten in metaal aan boord zoals belletjes, kopseldjes, kledinghaken, vingerhoeden, nestels, gegraveerde naaldenkokers en zelfs benen haarkammen. Voorwerpen die verband houden met de religie of de devotie konden ook onder de honderden voorwerpen geïdentificeerd worden, zoals enige torenmonstransen, fragmenten van wijwatervaten, een tinnen medaille met de uitbeelding van de Mis van de Heilige Gregorius en O.-L.-Vrouw op de Maansikkel, alsook een zeer fijne in natuursteen gegraveerde gietmatrijs voor een ronde medaille met een analoge iconografische voorstelling. Zoals hoger vermeld waren er niet alleen de zeer kleine en zorgvuldig afgewerkte sluitgewichtjes aan boord, maar ook een puntgave scheepspasser, muntgewichtjes van deels Antwerpse makelij en misschien zelfs het mechanisme van een vroeg tafeluurwerk. Wat de numismatiek betreft, werden er enige gave ‘Venuspenningen’ met het wapen van Filips de Schone ontdekt (1478-1506) en beschadigde muntjes van Karel V (1500-1558). Het is duidelijk dat het hier gaat om een deel van een scheepsvracht die behoorde tot een stukgeslagen bewapend zeilschip. De aanwezigheid werd immers vastgesteld van grote hoeveelheden kogels en een viertal ijzeren kanonnen, waarvan er één exemplaar boven werd gehaald en geconserveerd.
Momenteel wordt een geillustreerde studie over deze belangrijke ontdekking voorbereid, die ongetwijfeld een bijdrage zal zijn tot de maritieme archeologie.
CONSERVATION OF A CAST-IRON BOMBARD FROM THE ZEEBRUGGE SITE
Martin Van Dromme
Deco Diving Engineering & Consultancy Office
Peraltastraat 61, 8000 Brugge, Belgium
E-mail: email@example.com
On the wreck site an elongated object was found the dimensions of which suggested it concerned a cannon. However, it was impossible to recover and conserve the cannon at once as the necessary expertise and technical and financial means were not available. It was therefore decided to lift the cannon from the seabed and to transport it underwater to the Zeebrugge port area, where it was deposited in the soft soil of the outer port. The cannon was left untouched at this location for almost ten years.
Thanks to the support of the Port Authority Zeebrugge and diving company DECO NV the conservation process could start in 2000. The cannon was located and appeared to have sunk almost 4 metres into the soil of the port by that time. Covered by wet blankets the cannon was transported to the workshop of diving company DECO NV, where it was immediately placed in a container and submerged in a sodium hydroxide solution.
Hammers were used to systematically remove the incrustation and it became clear that it concerned a cast-iron cannon with a fixed power chamber. The cannon was mounted on a gun carriage in solid wood and held in place by ropes, all of which were still intact. The carriage did not have wheels.
After the removal of all overgrowth and deposits the ropes were removed in order to separate the cannon from the gun carriage. The cannon was then placed in a container containing a sodium hydroxide solution while the carriage was submerged in a solution of polyethylene glycol (PEG). The conservation of the cannon was monitored by measuring the Cl-ion concentration in the solution. The solution was replaced every time a certain concentration had been reached. The conservation of the carriage was realised by replacing the PEG solution at regular intervals. The evolution of the dimensions of a carefully measured crack in the carriage was monitored so as to determine the progress of the conservation process.
Four years after the start of the conservation process the bombard was replaced in its carriage and tied in the original manner. Cannon, carriage and ropes were subsequently waxed abundantly.
The bombard is currently exhibited in the reception hall of the head office of the Port of Zeebrugge on a permanent basis.
CONSERVERING VAN EEN SMEEDIJZEREN BOMBARDE AFKOMSTIG VAN DE ZEEBRUGGE-SITE
Martin Van Dromme
Deco Diving Engineering & Consultancy Office
Peraltastraat 61, 8000 Brugge, België
E-mail: firstname.lastname@example.org
Op de wraksite werd een langwerpig voorwerp aangetroffen. Op basis van de dimensies werd er aangenomen dat het een kanon betrof. Het was onmogelijk meteen het kanon te bergen en te conserveren. Daarvoor ontbraken de kennis en de middelen, zowel technisch als financieel. Besloten werd het kanon te hijsen en onder het wateroppervlak te transporteren tot binnen het havenareaal van Zeebrugge waar het neergelegd werd in de zachte bodem van de voorhaven. Hier bleef het kanon bijna 10 jaar onaangeroerd liggen.
Dankzij de steun van de Maatschappij der Brugse Zeevaartinrichtingen en het duikbedrijf DECO NV kon de conservering een aanvang nemen in 2000. Het kanon werd opgespoord en bleek ondertussen nagenoeg 4 meter diep in de bodem van de haven weggezakt te zijn. Onder natte dekens werd het getransporteerd naar de werkplaats van het duikbedrijf DECO NV waar het meteen in een container werd geplaatst, ondergedompeld in een oplossing van natriumhydroxide.
Met hamers werd systematisch de omkorsting verwijderd zodat het duidelijk werd dat het om een smeediijzeren kanon ging met een vaste kruitkamer. Het kanon lag in een massief houten slede en was ermee verbonden door touwwerk. Het touwwerk was integraal aanwezig. De slede had geen wielen.
Na het verwijderen van alle begroeiing en afzettingen werd het kanon gescheiden van de slede waarbij het touwwerk diende verwijderd te worden. Het kanon werd neergelaten in een container met een natriumhydroxide oplossing. De slede werd ondergedompeld in een oplossing van polyethyleenglycol (PEG). De conservering van het kanon werd opgevolgd door het meten van de Cl-ion concentratie in de oplossing. Bij het bereiken van een bepaalde concentratie werd de oplossing vervrest. De conservering van de slede werd gerealiseerd door het op geregelde basis verversen van de PEG-oplossing. De evolutie van de dimensies van een nauwkeurig gemeten barst in de slede was de maatstaf voor het verloop van de conservering.
Vier jaar na de start van de conservering werd de bombarde terug in zijn slede geplaatst en gebonden op de originele manier. Het geheel werd overvloedig met was ingestreken.
De bombarde wordt momenteel permanent tentoongesteld in de ontvangsthal van het hoofdkantoor van de haven van Zeebrugge.
THE WRECK ON THE ‘BUITENRATEL’ BANK
Marc Thierens (on behalf of vzw NATA)
Mandekensstraat 1
B-9360 Buggenhout, Belgium
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On 7 April 1996 a group of experienced North Sea divers boarded the fishing vessel ‘MS Aquarius’ in Nieuwpoort for a trip to the ‘Buitenratel’ bank. Their objective was to explore an unknown obstacle that had caused the nets of the N95 fishing vessel of shipmaster Luc Louwagie to get stuck. It was the beginning of an intense search into history.
The two anchors found during the first dive indicated an old wreck site. During the following dives several musket bullets and cannon balls were found.
Soon after, the ‘Armada’ association was founded to steer further research in the right direction. Its name was later changed in the non-profit organisation ‘North Sea Archaeological Team Aquarius’ or ‘NATA’. From that time contact was made with maritime archaeology experts. The decision was taken to buy a compressor and to construct an air lift as the major part of the wreck was located under the sand. A report was prepared on each activity and a detailed sketch was made of the site with indication of all objects found. The large, heavy anchors served as reference points for these measurements.
In the subsequent years various objects were found, inventoried and preserved. The finds mainly consisted of clay pipe fragments, fragments of wine bottles (some still intact), tin plates and wooden barrels filled with nails. A number of museums were called upon to conserve the wood. The most remarkable find was a golden pocket watch.
However, the discovery and research did not always proceed well. As the group was only able to dive in their free time, progress was very slow. In addition, the group only had limited financial means. The site was furthermore heavily disturbed by treasure hunters in 1997. Much work was lost at that time.
A new impulse came in 2004. The non-profit organisation vzw NATA finally received the recognition it had strived to achieve for so many years from the VIOE. The Belgian TV documentary “Vergaan in de Noordzee” (Lost in the North Sea) and the publications in Eos magazine resulted in intensive attempts to identify the wreck. The clay pipes were dated between 1740 and 1770 and the golden watch was tentatively dated to 1741. Identification of the wreck as the lost Dutch East Indian Company ship Bethlehem is a possibility but there is no absolute certainty.
In the mean time the NATA team was reinforced by Tomas Termote, who coordinates the activities on a scientific basis. The collaboration with the Maritime Archaeology and Nautical Heritage cell of the VIOE is excellent as well.
This project has existed for 10 years and will without any doubt require many more years until completion. However, it is essential to uncover the secrets of this time capsule in a scientific manner.
HET WRAK OP DE ZANDBANK ‘DE BUITENRATEL’
Marc Thierens (namens vzw Nata)
Mandekensstraat 1
B-9360 Buggenhout, België
E-mail: firstname.lastname@example.org
Op 7 april 1996 vertrok een groepje ervaren Noordzeeduikers met het vissersschip de ‘MS Aquarius’ vanuit Nieuwpoort richting de ‘Buitenratel’. Het doel was het verkennen van een onbekend obstakel waaraan de netten van de N95 van schipper Luc Louwagie waren blijven hangen. Het werd het begin van een intense speurtocht in de geschiedenis.
Tijdens de eerste duik wees de vondst van een tweetal ankers een oude wraksite aan. Tijdens de daaropvolgende duiksessies werden verscheidene musketkogels en kneppels aangetroffen. Al snel werd de vereniging ‘Armada’ opgericht om het verdere onderzoek in goede banen te leiden. Later werd dit de V.Z.W. ‘Noordzee Archeologisch Team Aquarius’ (NATA). Vanaf dan werden contacten gelegd met experts in de maritieme archeologie. Er werd besloten tot de aanschaf van een compressor en het construeren van een airlift omdat het grootste gedeelte van het wrak onder het zand zat. Over elke activiteit werd een rapport gemaakt en er werd een nauwkeurige tekening van de site gemaakt, waarop alle gevonden voorwerpen werden aangeduid. De grote, zware ankers dienden als referentiepunt voor deze opmetingen.
In de daaropvolgende jaren werden verscheidene gebruiksvoorwerpen ontdekt, geïnventariseerd en bewaard. Het betreft voornamelijk fragmenten van kleipijpen, (fragmenten van) wijnflessen, tinnen borden en houten vaten gevuld met spijkers. Voor de conservering van het hout werd beroep gedaan op enkele musea. Een gouden zakuurwerk is de meest opvallende vondst. Maar de ontdekking en het onderzoek verliepen niet altijd even vlot. Gezien de groep enkel in hun vrije tijd kon duiken, was de vooruitgang van dit project uiterst langzaam. Ze beschikten ook slechts over bescheiden financiële middelen. Daarenboven werd de site in 1997 zwaar verstoord door schattenjagers. Veel werk is toen verloren gegaan.
In 2004 kwam er een nieuwe impuls. Vanuit het VIOE kreeg de vzw NATA de erkenning waarnaar ze al die jaren gestreefd had. De Canvas documentaire ‘Vergaan in de Noordzee’ en de artikelen in het magazine Eos brachten een doorgedreven poging tot identificatie van het wrak op gang. De kleipijpen werden gedateerd tussen 1740 en 1770 en het gouden uurwerk zou van 1741 kunnen zijn. Een identificatie van het wrak als dit van het verloren gegane VOC schip Bethlehem is een mogelijkheid, evenwel zonder absolute zekerheid.
Ondertussen werd het NATA team versterkt door Tomas Termote die de activiteiten op een wetenschappelijke basis coördineert. Ook de samenwerking met de cel maritieme archeologie en varend erfgoed van het VIOE loopt uitstekend.
Dit project bestaat ondertussen 10 jaar en zal ontegensprekelijk nog ettelijke jaren vergen. Het is echter noodzakelijk dat we de geheimen van deze tijdscapsule op een wetenschappelijke wijze ontfutselen.
The First World War has been engrained in our memories with names like Passchendale, Ypres, the Somme and Verdun which symbolize the beginning of warfare on a larger, more mechanical and efficient scale.
In the end the great land battles would not be the deciding factor for the outcome of the war. Keeping a country supplied and upholding a strong public morale would be deciding factors. For the allied side this could only be done by guarding and maintaining the shipping lanes which brought goods, troops and weapons from all corners of the world towards the home- and battlefronts.
The German U-boat was the only weapon which stood at the brink of toppling this supremacy at sea and bringing nations on the verge of starvation and surrender. It also marked an end to an era where two mighty fleets faced each other in a conventional sea battle where antiquated battleships pounded minute dots on the horizon with their great guns.
Created from a fast craft which could fire torpedo warheads, the U-boat or submersible was adapted to be able to approach an enemy undetected below the surface. As with the invention of the aircraft we enter a new area of warfare, unlimited in its possibilities.
In the last few years conventional archaeology has slightly changed its thinking and now includes modern history. In so doing the Flemish Heritage Institute (VOE) created branches which focus on the archaeology of the First World War in the ‘Westhoek’ and on maritime archaeology.
Eventhough relics, traces and landscapes dating back to the earlier part of the 20th century have more or less disappeared, there are still tangible traces to be found in the soil archive. The war at sea has given us a different view on the history. We used to rely mostly on written sources for information concerning submarine and shipping losses. But now the sea is proving to be a place where we can do reliable research and retrieve information which can be confronted with the written sources.
During four years of war a stretch of 40 km of Flemish coastline was held by German forces and fortified to protect and maintain three large submarine bases. These proved to be a major obstacle for the supremacy of the British Royal Navy at sea.
The Flanders bases of Oostende, Brugge and Zeebrugge harboured hundreds of U-boats which left for their missions in the North Sea, Channel and Atlantic. These ships managed to destroy nearly 5 million tons of allied merchant and naval shipping by means of gunfire, torpedoes or mines.
But the cost of these successes was enormous: 178 U-boats were lost, together with about 5000 seamen. The heaviest of these losses being situated in the southern North Sea and Channel area.
The main cause of the losses was the efficiency of the British Royal Navy in laying out large net barrages, minefields and busy patrol areas. Nearly 1/3 of all wartime U-boat losses occurred in
the area stretching from Westkapelle in Zeeland, to the east coast of the United Kingdom and down to the Dover Channel area.
Most of these losses were reported by the German or British Admiralties as ‘disappeared’ or ‘verschollen’ because there was not always certainty that a U-boat had been destroyed or lost when it concerned minefields, depth charges or torpedoes from other submarines.
Today, we not only rely on the information from the hydrographic departments of the countries whose wrecks we do research on, but mainly on the local fishermen and divers who can provide us with information about what lies on the bottom of the sea.
So, the question remains: why is the archaeology of 20th century ships interesting and what more can be added to the facts that we already know about these vessels?
Maritime archaeology provides us with the means of confirming or correcting information concerning areas where a U-boat was reported to be lost. It will give us a positive identification of a certain boat and also yield information of how the vessel was sunk. It may provide us with information about its actions before it was sunk and the spreading of the wrecks on a navigational chart will show how effective the allied countermeasures were against the U-boats.
Giving positive identification will also provide closure for families of seamen who were reported lost at sea about 90 years ago.
Many builders’ plans and photographs of the boats were lost when archives were destroyed or dispersed during the Second World War and its aftermath. So it is up to the evidence found on the wreck sites to provide us with an insight into the typology of the vessels used, their effectiveness and the everyday life of the seamen on board.
The wrecks of submarines can also be used as a measure for keeping track of the effects of corrosion, electrolysis, currents, storms, fauna, flora and modern fishing methods.
MARITIEME ARCHEOLOGIE VAN U-BOOTWRAKKEN: TASTBARE SPOREN VAN DE OORLOG OP ZEE IN DE VROEGE 20E EEUW
Tomas Termote
Sluisvlietlaan 28, B-8450 Bredene, België
E-mail: email@example.com
Bij de meeste mensen wordt de Eerste Wereldoorlog gesymboliseerd door namen zoals Passendale, Ieper, de Somme en Verdun. Deze geven het begin aan van oorlogsvoering op een grotere, mechanische en efficiëntere schaal.
Uiteindelijk waren het niet de grote veldslagen die de beslissende factoren zouden zijn bij de afloop van een oorlog. De blijvende bevoorrading van een land en het moreel van de bevolking hoog houden zouden de belangrijkste elementen zijn om een oorlog tot een goed einde te brengen. Aan geallieerde zijde kon dit enkel gedaan worden door de scheepvaartroutes, die bevoorrading uit alle hoeken van de wereld naar het thuis- en oorlogsfront brachten, open te houden.
De Duitse onderzeeboot was het enige wapen dat de Britse alleenheerschappij op zee bedreigde en naties op de rand van de hongersnood en van de overgave bracht. Het betekende ook het einde van een tijdperk waar twee machtige vloten elkaar bekampten in een traditionele zeeslag waarbij slagschepen op kleine stappen aan de horizon vuurden met zwaar geschut. De onderzeeboot was een vaartuig dat ontworpen werd uit de torpedoboot, een snel vaartuig dat torpedo’s kon afvuren. Nu werd ze aangepast om een vijand ongezien te kunnen benaderen. Men bereikte een tijdperk met ongelimiteerde mogelijkheden inzake oorlogsvoering.
Tijdens de laatste jaren heeft de archeologie veranderingen ondergaan in haar denkwijze en heeft ze de recente geschiedenis ook als onderzoeksdomen opgenomen. Het Vlaams Instituut voor het Onroerend Erfgoed (VIOE) heeft zo enige tijd geleden een cel gecreëerd die zich wijdt aan de archeologie van de Eerste Wereldoorlog in de Westhoek en meer recentelijk een cel maritieme en fluviale archeologie en varend erfgoed.
Alhoewel vele sporen en overblijfselen uit de vroege 20e eeuw nu min of meer uit het landschap gewist zijn, toch vinden we er nog talloze sporen van terug in de bodem.
De oorlog op zee en de overblijfselen onderwater hebben ons een andere kijk gegeven op het verloop van de geschiedenis. Vroeger vertrouwden we enkel op geschreven bronnen om ons informatie te geven in verband met U-boot- en scheepvaartverliezen. Nu is de zee de beste plaats om betrouwbare onderzoek te doen en zo feiten te ontdekken waarmee we de geschreven bronnen kunnen confronteren.
Tijdens vier jaar oorlog had Duitsland 40 km Vlaamse kust bezet en versterkt om drie grote duikbootbasissen uit te bouwen en te beschermen. Deze bewezen grote obstakels te zijn voor de alleenheerschappij van de Britse Royal Navy op zee.
De basissen van Oostende, Brugge en Zeebrugge herbergdenden honderden U-boten die van hieruit vertrokken op missies in de Noordzee, het Kanaal en de Atlantische Oceaan. Ze slaagden erin om bijna 5 miljoen ton geallieerd scheepvaartverkeer te vernietigen door middel van kanonvuur, torpedo’s en mijnen. De kost van deze successen was heel hoog: 178 U-boten gingen verloren, samen met 5000 zeelui. De zwaarste verliezen werden geleden in het zuidelijke Noordzeegebied en het Kanaal.
De hoofdoorzaken van de verliezen waren te wijten aan de efficiëntie van de Britse Royal Navy om grote netversperringen, mijenvelden en patrouillegebieden uit te zetten. Bijna 1/3 van alle
U-bootverliezen tijdens de oorlog waren gelegen in het gebied tussen Westkapelle in Zeeland, de Britse oostkust en het Kanaal in het zuiden.
De meeste van deze verliezen werden door de Duitse en Britse admiraliteiten aangegeven als “disappeared” of “verschollen”, want wanneer het om mijnenvelden, dieptebommen of torpedo’s ging was er niet altijd zekerheid omtrent de juiste plaats en wijze waarop een onderzeeboot vernietigd werd.
Om vandaag de dag een idee te krijgen van wat er juist op de zeebodem te vinden is, hangen we niet alleen af van de informatie afkomstig van de hydrografische diensten maar ook in belangrijke mate van de kennis van lokale vissers en duikers.
Toch blijft de vraag: waarom is archeologie van 20ste eeuwse schepen interessant en wat kunnen we meer leren over deze schepen?
Maritieme archeologie geeft ons de mogelijkheid om informatie omtrent verlies van U-boten te bevestigen of te verbeteren. Het zal ook een positieve identificatie opleveren van bepaalde schepen en aantonen hoe ze juist vergingen.
Het spreidingsveld van wrakken op een navigatiekaart zal ons de effecten tonen van de geallieerde U-boot bestrijdingsmiddelen.
Een wrak positief identificeren zal na 90 jaar ook toelaten om de nabestaanden van verdwenen zeelui op de hoogte te brengen.
Vele bouwplannen en foto’s van deze U-boten gingen verloren toen archieven vernietigd of verspreid werden tijdens en na de Tweede Wereldoorlog. Nu vertrouwen we dus op het bewijsmateriaal van de wrakken om ons een volledig beeld te geven van typologie en effecten van de U-boten, alsook het dagelijkse leven van de zeeman aan boord.
Wrakken van onderzeeboten kunnen ook gebruikt worden als leidraad in verband met de inwerking van corrosie, elektrolyse, stroming, stormen, fauna, flora en gebruikte vismethodes op het wrakkenbestand.
THE COG FINDS AT DOEL: STATE OF AFFAIRS OF ACCOMMODATION, DOCUMENTATION AND RESEARCH
Karel Vlierman
Rozemarijn 145
NL-8252 CT Dronten, the Netherlands
In the year 2000 a shipwreck was found in a silted medieval gully during excavation works for the Container Tidal Dock West (the so-called Deurganck dock) at Doel (municipality of Beveren, Province of East Flanders). Characteristic construction details of the oak hull, which was found upside down like a stranded whale, soon indicated that it concerned the wreck of a cog, the famous trading vessel from the Hanseatic era. In 2002 parts of a second cog were discovered some 50 m away from the place where the first cog had been found. The keel plank of the second cog also pointed upwards. Examination of the growth rings showed that both vessels were constructed in the period 1325-1335. The iron nails connecting the clinker planking and the specific iron nails (sintels) of the moss caulking, the standard caulking method for traditional Hanseatic ships, had almost completely disappeared as a result of the centuries-long exposure to salty (ground)water.
The wrecks were disassembled and salvaged in a very professional manner by collaborators of the Archaeological Service Waasland (ADW), who supervised the excavation operations archaeologically. A compliment is certainly well earned in view of the lack of any experience with ship finds, the high time pressure under which the entire project had to be carried out and the not always very favourable weather conditions. Most working days ended after sundown. The individual parts are packed on specially designed support pallets, which are in turn stored underwater in thirty steel containers. Out of sheer necessity the containers have been stored in the open.
Immediately after the find of the first ship and the ministerial decree stipulating that the most complete and eldest cog ever found in Europe had to be salvaged and conserved, appeals were made to construct as soon as possible a building where the containers can be stored and where stage 1 of the treatment (cleaning of the individual parts, documenting, examining and describing, the graphical reconstruction of the vessel and conservation research) can be carried out. For practical and financial reasons this building preferably also has to be the building in which the subsequent stages (impregnation/reconstruction and hull assembly and exhibition) can take place. The author of the present text was asked to draw up a master plan.
Due to some commotion and confusion regarding the site where the cog would eventually be conserved and the diverse responsibilities it took until spring 2005 before a decision could be taken with regard to the required financial resources for the realisation of stage 1 thanks to a rational approach by ministers Dirk Van Mecheleen and Kris Peeters. ADW was given the responsibility for the implementation of the order and the use of the EUR 250 000 made available for this stage. The municipality of Beveren in turn reserved EUR 300 000 of its 2005 budget for the construction and design of a suitable building close to the Liefkenshoek historical fort at the River Scheldt that had been made available by the Maritime Access Division and is situated only a few kilometres from the place where the cogs were found. A design project was carried out and the budget was increased to EUR 500 000. Both the design of and budget for the building were approved. Construction was scheduled to start in spring 2006. The financial resources for the realisation of stage 1 are made available. However, the realisation of stage 1 can only start after construction of the building.
Inventory of the quality of the wood of the cog elements in February 2004 indicated that the wood still had not deteriorated noticeably in spite of the outdoor storage. Experiences in the Netherlands have shown that the wood can nevertheless be expected to deteriorate noticeably within a couple of years. Further postponement of the treatment may imply that it will be necessary to depart from the impregnation method currently considered to be the most appropriate. This means that the wood will have to be impregnated in warm baths still to be constructed, which will result in considerably higher conservation and impregnation costs.
References
Van Hove R. 2005. De Doelse kogge(n). Maritiem Erfgoed van Europees formaat. p.50-69. In: Monumenten, Landschappen en Archeologie 24/4, July-August 2005. Ministry of the Flemish Community. Brussel.
DE KOGGENVONDSTEN BIJ DOEL: STAND VAN ZAKEN HUISVESTING, DOCUMENTATIE EN ONDERZOEK
Karel Vlierman
Rozemarijn 145
NL-8252 CT Dronten, Nederland
Tijdens de graafwerkzaamheden voor het Containergetijdendok-West (het zogenaamde Deurganckdok) bij Doel (gemeente Beveren, Oost-Vlaanderen) kwam in een verzande middeleeuwse geul in 2000 een scheepswrak aan het licht. Kenmerkende constructiedetails van de eikenhouten scheepsromp, die als een gestrande walvis ondersteboven werd aangetroffen, maakten snel duidelijk dat het om het wrak van een kogge handelt, het fameuze handelschip uit de Hanzetijd. In 2002 werd op ca. 50 m van de vindplaats de bodem van een tweede kogge ontdekt, eveneens met de kielplank naar boven. Jaarringonderzoek resulteerde in bouwdata van beide vaartuigen tussen 1325-1335. De ijzeren spijkers van de verbindingen tussen de overnaadse huidplanken onderling en de ijzeren sintels van het gesinteld mosbreeuwsel (de breeuwmethode die bij de scheepsbouwtraditie van de Hanzescheepen standaard is), waren volledig verdwenen als gevolg van een eeuwenlang verblijf in zout (grond)water.
De wrakken zijn door de medewerkers van de Archeologische Dienst Waasland (ADW), die de graafwerkzaamheden archeologisch begeleidden, op zeer professionele wijze gedemonteerd en geborgen. Een compliment hiervoor is zeker op zijn plaats, gezien het ontbreken van enige ervaring met scheepsvondsten, de hoge tijdsdruk waaronder het geheel moest worden uitgevoerd en de niet altijd goede weersomstandigheden. De meeste werkdagen werden ’s avonds in het donker afgesloten. De onderdelen zijn verpakt op speciaal ontworpen ondersteuningspallets, die op hun beurt onder water zijn opgeslagen in ruim dertig stalen containers. De containers staan sindsdien noodgedwongen in de openlucht opgesteld.
Direct na de vondst van het eerste schip en het ministeriële besluit dat deze meest complete, oudste kogge ooit in Europa gevonden moest worden geborgen en bewaard, is aangedrongen op een zo snel mogelijk realisatie van een gebouw waarin de containers worden ondergebracht en fase 1 van de behandeling (het schoonmaken van de onderdelen, het documenteren, het bestuderen en beschrijven, de grafische reconstructie van het schip en het conserveringsonderzoek) kan worden uitgevoerd. Om praktische en financiële redenen moet dit bij voorkeur ook het gebouw zijn waarin de volgende fasen (de impregnatie/het reconstrueren en het opbouwen en het exposeren van de scheepsromp) kunnen plaatsvinden. Schrijver deszes werd gevraagd een masterplan te schrijven.
Enige commotie en verwarring met betrekking tot de locatietoewijzing van de kogge en de diverse verantwoordelijkheden waren er mede oorzaak van dat eerst in het voorjaar van 2005, dankzij een rationale benadering van de ministers Dirk Van Mechelen en Kris Peeters, zeer snel een beslissing genomen kon worden over de benodigde financiële middelen voor de uitvoering van fase 1. Hierbij is de ADW belast met de uitvoering van de opdracht en de besteding van de voor deze fase beschikbaar gestelde EUR 250 000. De gemeente Beveren heeft op haar begroting voor 2005 EUR 300 000 ingeschreven voor de bouw en inrichting van een loods op een door de Afdeling Maritieme Toegang beschikbaar gesteld terrein nabij het historische fort Liefkenshoek aan de Schelde (slechts enkele kilometers van de vindplaats van de koggen). Een ontwerpopdracht voor de loods is uitgevoerd, terwijl de daarop betrekking hebbende begroting is opgetrokken tot EUR 500 000. Het ontwerp en de begroting voor de loods zijn goedgekeurd.
De start van de bouw was voorzien voor het voorjaar van 2006. De financiële middelen voor de uitvoering van fase 1 zijn vrijgegeven. Met de uitvoering van fase 1 kan pas worden begonnen als de huisvesting is gerealiseerd.
Inventarisatie van de houtkwaliteit van de kogge in februari 2004 maakte duidelijk dat er ondanks de buitenopslag nog geen waarneembare achteruitgang van het hout was vast te stellen. Ervaringen in Nederland hebben aangetoond dat deze over enkele jaren zeker zijn te verwachten. Verder uitstel van de behandeling kan betekenen dat van de nu te verwachten meest geschikte impregnatiemethode moet worden afgeweken. De consequenties hiervan zullen zijn dat er in (te bouwen) verwarmde baden zal moeten worden geïmpregneerd. Dit zal beduidend hogere kosten voor zowel de conserveringsinstallatie als het impregneren met zich meebrengen.
Referenties
Van Hove R. 2005. De Doelse kogge(n). Maritiem erfgoed van Europees formaat.p.50-69. In: Monumenten, Landschappen en Archeologie 24/4, juli-augustus 2005. Ministerie van de Vlaamse Gemeenschap. Brussel.
BOATS BUILT IN THE CELTIC TRADITION FOUND IN BELGIUM – FROM THE SITE AT POMMEROEUL TO THE GALLO-ROMAN MUSEUM AT ATH
Karine Bausier
Espace gallo-romain
2, rue de Nazareth, 7800 Ath, Belgium
E-mail: firstname.lastname@example.org
In the summer of 1975 a Roman settlement was discovered at Pommeroeul. During the excavation of the portus by Prof. Dr Guy De Boe and François Hubert the remains of several boats built in the Celtic tradition were uncovered: a logboat and two fragmented flat-bottomed vessels.
Under the supervision of Alfred Terfve three of these boats were conserved by impregnation with a polyethylene glycol solution. The reassembly of the logboat and of one of the two flat-bottomed vessels was started in May 1991 and completed in 2000.
The old art academy of the city of Ath, which was chosen as the location for the exhibition of the vessels, was renovated and converted into a museum, which was eventually opened in 1997. A second conversion phase, completed in 2002, enabled the extension of the exhibition.
The Roman vessels, which were a unique find for Belgium, are the central exhibition objects. They are integrated into a presentation destined at giving visitors a better insight into inland navigation and everyday life during the Gallo-Roman era. For an optimal understanding of the subject, the presentation is organised in such a way that the information given is accessible to all, especially to children, who constitute a large part of the visitors of the Gallo-Roman museum.
Each year new educational activities and temporary exhibitions are offered to an increasingly larger public.
BOTEN IN KELTISCHE TRADITIE IN BELGIË – VAN DE SITE VAN POMMEROEUL TOT HET GALLO-ROMEINS MUSEUM TE ATH
Karine Bausier
Espace gallo-romain
2, rue de Nazareth, 7800 Ath, België
E-mail: email@example.com
In de zomer van 1975 werd te Pommeroeul een nederzetting uit de Romeinse periode blootgelegd.
Tijdens de opgravingen van de portus door Prof. Dr. Guy De Boe en François Hubert werden de restanten van enkele vaartuigen in Keltische traditie ontdekt: een boomstamkano en twee onvolledige platbodems.
Onder de leiding van Alfred Terfve werden drie van de boten geconserveerd door impregnering met een polyethyleenglycol oplossing. De wedersamenstelling van de kano en van een van de twee platbodems werd aangevat in mei 1991 en werd beëindigd in 2000.
De oude Tekenaacademie van de stad Ath, die werd gekozen als locatie om de vaartuigen tentoon te stellen, werd gerenoveerd en als museum ingericht. Het gebouw werd in 1997 opengesteld voor het publiek. Na een tweede fase van de inrichting – uitgevoerd in 2002 – werd de tentoonstelling uitgebreid.
De boten uit de Romeinse periode, uniek in België, zijn de belangrijkste stukken van het museum. Ze maken deel uit van een tentoonstelling die tot doel heeft de bezoekers een beter idee te geven over de binnenscheepvaart en het dagelijkse leven in de Gallo-Romeinse tijd. Voor een zo goed mogelijk begrip van het onderwerp werd de tentoonstelling zo opgezet dat de informatie die wordt gegeven bevattelijk is voor iedereen, vooral voor kinderen, die een groot deel van de bezoekers van het Gallo-Romeins museum vormen.
Elk jaar worden nieuwe leerrijke animaties en tijdelijke tentoonstellingen voorgesteld aan een steeds groter wordend publiek.
DES BATEAUX DE TRADITION CELTIQUE EN BELGIQUE – DU SITE DE POMMEROEUL A L’ESPACE GALLO-ROMAIN
Karine Bausier
Espace gallo-romain
2, rue de Nazareth, 7800 Ath, Belgique
E-mail: firstname.lastname@example.org
Au cours de l’été 1975, une agglomération antique est mise au jour à Pommeroeul. Les fouilles du portus par Prof. Dr. Guy De Boe et François Hubert ont révélé les vestiges d’embarcations de tradition celtique: une pirogue de type monoxyle et deux chalands fragmentaires.
Sous la direction d’Alfred Terfve, trois de ces bateaux ont fait l’objet d’un traitement de conservation par imprégnation dans une solution de polyéthylène glycol. L’opération de remontage de la pirogue et d’un des deux chalands a commencé en mai 1991 pour s’achever en 2000.
L’ancienne Académie de dessin de la ville d’Ath, choisie pour exposer les embarcations, a fait l’objet d’une rénovation et d’un aménagement muséographique global qui a permis son ouverture au public en 1997. Une seconde phase d’aménagement achevée en 2002, a permis de développer encore plus la présentation.
Les bateaux antiques, ensemble unique en Belgique, constituent les pièces majeures du musée. Ils sont intégrés dans une présentation destinée à faire percevoir à tous ce que fut le monde de la batellerie mais aussi la vie quotidienne des Gallo-Romains. Pour que chacun puisse appréhender au mieux ce sujet, la présentation a été pensée pour rendre le propos accessible à tous et en particulier aux plus jeunes qui constituent une grosse part des visiteurs de l’Espace gallo-romain.
Chaque année, de nouvelles animations pédagogiques et des expositions temporaires sont proposées à un public de plus en plus nombreux.
Numerous archaeological remains reveal human activities related to the River Meuse. Some hundred archaeological sites unknown until then were discovered during a standstill in systematic protection works carried out in the riverbed and on the banks of the River Meuse.
The finds mainly concern wooden piles, some of them isolated, others appearing in groups, sometimes of more than one hundred units, as well as stone facilities such as dams, fords and launching platforms, which illustrate the importance of navigation, transport by water and fishing in everyday life in centuries past.
Under the supervision of the ‘Service de l’Archéologie’ (Archaeological Department) in the province of Namur (MRW) in co-operation with the ‘Centre de Recherches archéologiques fluviales (CRAF)’, research was carried out with the participation of a great number of volunteers concerned about the archaeological heritage of the river.
This work contributes to the creation of an inventory of the archaeological sites of the Walloon region on the initiative of the Direction de l’Archéologie and the Services de l’Archéologie of the province (DGATLP, MRW).
HET ARCHEOLOGISCHE ERFGOED VAN DE BOVENMAAS
Marie-Hélène Corbiau
Direction de l’Archéologie, Ministère de la Région wallonne
1, rue des Brigades d’Irlande, B-5100 Jambes (Namur), België
E-mail: email@example.com
Talrijke archeologische resten tonen de aanwezigheid van menselijke activiteiten aan die op de een of andere manier iets te maken hebben met de Maas. Een honderdtal onbekende archeologische sites werden ontdekt tijdens een werkonderbreking in het kader van systematische werkzaamheden ter bescherming van de bedding en de oevers van de Maas.
De vondsten bestaan hoofdzakelijk uit houten palen, sommigen alleenstaand, anderen in groepen van soms meer dan honderd, en uit stenen constructies zoals dammen, oversteekplaatsen en scheepshellingen, die onder andere het belang van de scheepvaart, het transport over water en de visserij in het dagelijkse leven in de voorbije eeuwen aantonen.
Onder leiding van de ‘Service de l’Archéologie’ van de provincie Namur (MRW) en in samenwerking met het ‘Centre de Recherches archéologiques fluviales (CRAF)’ werd onderzoek uitgevoerd met de medewerking van een groot aantal vrijwilligers die zich inzetten voor het archeologische erfgoed van de rivier.
Deze werkzaamheden dragen bij tot de verwezenlijking van een inventaris van archeologische sites van het Waalse gewest, waarvoor het initiatief werd genomen door de ‘Direction de l’Archéologie’ en de ‘Services de l’Archéologie’ van de provincie (DGATLP, MRW).
LE PATRIMOINE ARCHEOLOGIQUE DE LA HAUTE MEUSE
Marie-Hélène Corbiau
Direction de l’Archéologie, Ministère de la Région wallonne
1, rue des Brigades d’Irlande, B-5100 Jambes (Namur), Belgique
E-mail: firstname.lastname@example.org
De nombreux vestiges archéologiques révèlent les activités des hommes en relation avec la Meuse. Une centaine de sites archéologiques inconnus ont été découverts lors de protections systématiques menées dans le lit et sur les berges de la Meuse à l’occasion d’un chômage technique.
Ce sont surtout des pieux en bois, les uns isolés, les autres groupés, parfois réunissant plus de cent unités, ainsi que des aménagements en pierre comme des battes, des gués, des mises à l’eau qui illustrent entre autres l’importance de la navigation et des transports par voie d’eau dans la vie quotidienne des siècles passés ou encore la pêche.
Conduites par le Service de l’Archéologie en province de Namur (MRW) en collaboration avec le Centre de Recherches archéologiques fluviales (CRAF), les prospections ont été réalisées avec la participation de très nombreux bénévoles, soucieux du patrimoine archéologique du fleuve.
Ces travaux contribuent à la réalisation de l’inventaire des sites archéologiques de la Région wallonne, initié par la Direction de l’Archéologie et les Services de l’Archéologie en province (DGATLP, MRW).
NORTH SEA WRECKS: HOTSPOTS FOR BIODIVERSITY
Vincent Zintzen\textsuperscript{1}, Edward Vanden Berghe\textsuperscript{2}, Steven Degraer\textsuperscript{3}, Alain Norro\textsuperscript{4} and Jérôme Mallefet\textsuperscript{5}
\textsuperscript{1} Afdeling Malacologie, Departement Invertebraten, Koninklijk Belgisch Instituut voor Natuurwetenschappen, Vautierstraat 29, 1000 Brussel, Belgium
E-mail: email@example.com
\textsuperscript{2} Flanders Marine Institute (VLIZ)
Wandelaarkaai 7, 8400 Oostende, Belgium
\textsuperscript{3} Marine Biology Section, Department of Biology, University of Gent, Campus De Sterre, s8, Krijgslaan 281, 9000 Gent, Belgium
\textsuperscript{4} Royal Belgian Institute of Natural Sciences, Management Unit of the North Sea Mathematical Models, Gulledelle 100, 1200 Brussel, Belgium
\textsuperscript{5} Laboratoire de Biologie Marine, Université Catholique de Louvain, Bâtiment Kellner, 3 Place Croix du Sud, 1348 Louvain-la-Neuve, Belgium
The number of artificial habitats in the marine environment has been increasing continuously over the last decades: planned artificial reefs mainly devoted to fisheries enhancement, lost cargoes, fishing nets and shipwrecks to name some. The Belgian waters harbour at least 231 obstructions for navigation and/or fishing. These 3-dimensional structures represent a very special habitat, especially when they are widely distributed in flat, sand- or mud-dominated areas such as those present in the Belgian waters.
Shipwrecks create a network of hard substrate in a sea of sand. Even if scientific publications about the topic are scarce, there is a general agreement that these sites harbour a large amount of all kinds of living organisms. This is particularly striking when artificial substrates are sitting on soft sediments where they could be qualified as oases of life. Actually, the presence of shipwrecks implies that many organisms are found in the area because they need to live on a hard substrate. This substrate could not be found anywhere else. Up to now, we collected and identified on Belgian shipwrecks more than 200 species. Many of these were new records for the Belgian part of the North Sea, and are direct contributions to our knowledge of the biodiversity for the Belgian waters. Shipwrecks also create a habitat that is frequented by different fish species, some of them being commercially important like cod and sea bass. We observed that the concentration of these species around shipwrecks is high and we have clues that some of these survive on the fauna living on shipwrecks, using wrecks as a hunting ground but also as a hiding place. There is still a lot of work to do in order to understand the role of shipwrecks in relation to the biodiversity in our waters!
WRAKKEN IN DE NOORDZEE: HOTSPOTS VAN BIODIVERSITEIT
Vincent Zintzen¹, Edward Vanden Berghe², Steven Degraer³, Alain Norro⁴ and Jérôme Mallefet⁵
¹ Afdeling Malacologie, Departement Invertebraten, Koninklijk Belgisch Instituut voor Natuurwetenschappen, Vautierstraat 29, 1000 Brussel, België
E-mail: firstname.lastname@example.org
² Vlaams Instituut voor de Zee (VLIZ)
Wandelaarkaai 7, 8400 Oostende, België
³ Afdeling Mariene Biologie, Vakgroep Biologie, Universiteit Gent, Campus De Sterre, s8, Krijgslaan 281, 9000 Gent, België
⁴ Koninklijk Belgisch Instituut voor Natuurwetenschappen, Beheerseenheid Mathematisch Model Noordzee en Schelde-estuarium, Guldeldelle 100, 1200 Brussel, België
⁵ Laboratoire de Biologie Marine, Université Catholique de Louvain, Bâtiment Kellner, 3 Place Croix du Sud, 1348 Louvain-la-Neuve, België
Het aantal kunstmatige habitats in het maritieme milieu is tijdens de laatste decennia continu gestegen: kunstmatige riffen, hoofdzakelijk aangelegd ter bevordering van de visserij, verloren gegane scheepsvrachten, visnetten en scheepswrakken, om er maar een paar te noemen. In de Belgische territoriale wateren liggen minstens 231 obstakels voor de zeevaart en/of de visserij. Deze driedimensionale structuren vormen een zeer speciale habitat, in het bijzonder wanneer ze wijd verspreid liggen over vlakke zones van zand of silt zoals deze in de Belgische territoriale wateren.
De scheepswrakken vormen een netwerk van hard substraat in een zee van zand. Hoewel wetenschappelijke publicaties over het onderwerp schaars zijn, is iedereen het erover eens dat deze sites grote aantallen levende organismen van allerlei aard herbergen. Dat valt in het bijzonder op wanneer kunstmatige substraten op zachte sedimenten gelegen zijn. Daar vormen ze echte oases van leven. De aanwezigheid van scheepswrakken impliceert dat vele organismen in dit gebied worden aangetroffen omdat ze een hard substraat nodig hebben om in leven te blijven. Dat substraat kan nergens anders worden gevonden. Tot op vandaag werden op Belgische scheepswrakken meer dan 200 soorten geïdentificeerd en verzameld. Vele ervan werden voor het eerst geregistreerd in het Belgische deel van de Noordzee en dragen zodoende bij tot onze kennis van de biodiversiteit voor de Belgische wateren. Scheepswrakken vormen bovendien een habitat voor verschillende soorten vis, waarvan sommige van commercieel belang zijn, zoals bijvoorbeeld kabeljauw en zeebaars. We hebben vastgesteld dat de concentratie van die vissoorten rondom scheepswrakken hoog is, en er zijn aanwijzingen dat enkele ervan leven van de fauna die op de scheepswrakken voorkomt, waarbij scheepswrakken dus worden gebruikt als jachtterrein maar ook als schuilplaats. Er moet nog heel wat werk gebeuren om de rol van scheepswrakken met betrekking tot de biodiversiteit in onze wateren te begrijpen!
Session 2:
LEGISLATION RELATED TO MARITIME ARCHAEOLOGICAL HERITAGE: THE SITUATION IN FLANDERS/BELGIUM COMPARED TO THE SITUATION IN THE NEIGHBOURING COUNTRIES
Chair: Dr Jan Parmentier, University of Ghent
VIEWPOINT OF THE ‘SPORT DIVER’ – AMATEUR UNDERWATER ARCHAEOLOGIST
Bart Schiltz
Kragenhoek 31, B-8300 Knokke-Heist, Belgium
E-mail: email@example.com
The idea to organise this colloquium originated in the United Kingdom. By using the title ‘It’s about time’ the organisers clearly wanted to point out that it is about time to reflect on how well-meaning laymen, scientists and authorities can be brought closer together. The United Kingdom already introduced wreck legislation many years ago. Numerous speakers expressed their concern regarding the considerable distance between authorities, science and the well-meaning ‘amateur’. Practice had shown that over-stringent legislation or excessively strict application of legislation overshot itself in certain cases.
The most appropriate approach to follow has become the subject of much discussion in Flanders. This is a positive evolution. On the occasion of different meetings the idea was put forward that a thorough inventory had to be made first. Indeed a very good idea, but how should this be accomplished? Archives and a database are to be created and valuable sites need to be selected and protected. Right again, but where does one look for such information? And is the person who has access to such information prepared to disclose it just like that? And even more important, who has this information: government services, dredging and salvaging companies, offshore fishermen, sport and/or professional divers, treasure hunters or scientists?
The intentions may be good, but how to meet the objective? How does one arrive at a project that is carried out in a sound manner? An important theme in society today is how to create a workable legal framework and how to apply this framework in an international context. We may with the usual reservations draw inspiration from our neighbouring countries that already have wreck legislation, but allow me to be a bit chauvinistic and to hold up a realisation of our own as an example.
When I located the wreck remains currently known as the Zeebrugge site on 15 September 1990 after three years of searching, there was no wreck legislation at all in Flanders. Belgium was even the only country in Europe that did not yet have a twelve mile zone. The site was situated over three miles off the coast close to a major shipping channel. I then assumed that the East Indiaman Anna Catharina had been found. The first object recovered was a bronze candlestick. A second dive resulted in the recovery of a wine bottle and a number of pins in a copper alloy.
We took these objects to specialists from the museums of Bruges. The pins and candlestick may be much older, but according to Stéphane Vandenberghe the wine bottle dated from the 18th century.
This information supported our assumption that the East Indiaman Anna Catharina, lost simultaneously with ‘t Vliegend Hart on 3 February 1735, had been found. The next step was the composition of a team to approach the possible recovery in a professional manner and to offer support. A non-profit organisation was founded that comprised two scientists, one lawyer, a professional diver/salvager, two officials, one chemist and two businessmen.
The lawyer was ordered to investigate the legal framework. After a few weeks of study he reached the conclusion that the Edict of Emperor Charles was the only applicable legislation.
He therefore advised to negotiate a contract with the authorities of the Netherlands, which succeeded early 1991.
The recovery of the ship started in spring 1991 after thorough examination of the site. After a couple of weeks it became clear that the wreck remains found did not belong to the Anna Catharina as the remains were over two hundred years older.
It would take too long to discuss in great detail which negotiations were conducted, in which manner the necessary permits were obtained by trial and error, which efforts were made to convince the authorities of the value of maritime heritage and how difficult it eventually appeared to be provided the required financial resources. The fact is that the recovery and conservation were successful, the entire collection has been preserved and the objectives have been met.
The suggestion to follow the example of our British friends and organise an international colloquium in Belgium was made on the occasion of Sail 2002. The MBZ gave the necessary incentives. We agreed the time was right to conduct serious talks on an international level. However, talking alone does not suffice. The desire to realise something has to be present as well. In the mean time four years have passed and there still is no specific wreck legislation. Nevertheless, everything seems to indicate we will succeed this time. The Flemish Heritage Institute got involved. A Maritime Archaeology cell was founded. The driving forces are present. The objective we set ourselves fifteen years ago suddenly seems to be within reach.
On the directions of a fisherman, a fisherman/sport diver/amateur archaeologist discovered a historically valuable site sixteen years ago. At that time the Belgian and Flemish authorities did not realise that offshore waters hold valuable heritage objects. The non-profit organisation VZW Maritieme Archeologie greatly contributed to the awakening of the authorities in this respect. Thanks to the assistance of a professional team and the support of the authorities a major heritage resource has been preserved. At that time there was hardly any legal framework. In addition, the finder was given the opportunity to actively participate in the project. The project was eventually brought to a favourable conclusion. Scientists, authorities and ‘amateurs’, all were satisfied.
The introduction of wreck legislation may be a positive evolution. The fact that an institute such as the Flemish Heritage Institute takes the helm is applauded. However, a project like this as carried out by VZW Maritieme Archeologie has to remain possible. The finder has to be able to play a significant role and should be entitled to a reasonable share of the profits if the goods found are sold, if only to cover part of the costs. In short, the conclusion is that ‘the realisations accomplished by VZW Maritieme Archeologie are in my view a textbook example of how things should be done.’
STANDPUNT VAN DE ‘SPORTDUIKER’-AMATEURONDERWATERARCHEOLOOG
Bart Schiltz
Kragenhoek 31, B-8300 Knokke-Heist, België
E-mail: firstname.lastname@example.org
Het idee rond het houden van dit colloquium vindt zijn oorsprong in het Verenigd Koninkrijk. Met de titel ‘It’s about time’ wilden de organisatoren duidelijk maken dat het stilaan tijd werd dat er werd nagedacht hoe goedbedoelende leken, wetenschappers en overheid dichter bij elkaar konden worden gebracht. Het Verenigd Koninkrijk heeft al vele jaren een wrakkenwet. Verschillende sprekers uitten er hun bezorgdheid over de te grote afstand tussen overheid, wetenschap en de goedbedoelende ‘amateur’. De praktijk had geleerd dat een te strenge wetgeving of het te streng toepassen van de wetgeving in bepaalde gevallen zijn doel voorbijschoot.
De jongste tijd is er in Vlaanderen – gelukkig trouwens – heel wat discussie ontstaan over de te volgen aanpak. Ter gelegenheid van verschillende bijeenkomsten werd al gesteld dat eerst een grondige inventarisatie diende te gebeuren. Juist, goed idee, maar hoe doe je zo iets? Er moet een archief komen, een database en de waardevolle sites moeten worden geselecteerd en beschermd. Even juist, maar waar haal je de informatie? Is diegene die over informatie beschikt ‘zomaar’ bereid die te geven? Vooral, wie heeft die informatie: overheidsdiensten, bagger- en bergingsbedrijven, zeevissers, sport- en/of beroepsduikers, schattenjagers of wetenschappers?
De bedoelingen kunnen goed zijn, maar hoe bereik je het doel? Hoe kom je tot een ‘project’ dat op een verantwoorde manier wordt uitgevoerd. Belangrijk thema voor vandaag: hoe creëer je een werkaar wettelijk kader? Hoe pas je dat in in een internationale context? We kunnen met het nodige voorbehoud wel inspiratie opdoen bij de ons omringende landen die al wrakkenwetten hebben, maar laat mij toe een beetje chauvinistisch te zijn en een eigen realisatie als voorbeeld te stellen.
Toen ik op 15 september 1990, na drie jaar ‘zoeken’ wrakresten lokaliseerde die nu als de ‘Zeebrugge site’ bekend staan, was er in Vlaanderen van een ‘wrakkenwet’ geen sprake. België had als enig land in Europa nog niet eens een twaalfmijlsszone. De site bevond zich buiten de drie mijl, op de rand van een belangrijke vaargeul. Ik ging er toen van uit dat het VOC schip Anna Catharina was gevonden. Het eerste voorwerp dat werd opgehaald was een bronzen kaarshouder. Een tweede duik leverde een wijnfles en een aantal speldjes in een koperlegering op.
Met deze voorwerpen gingen we naar de Brugse Musea. Speldjes en kandelaar konden veel ouder zijn, maar de wijnfles dateerde volgens Stéphane Vandenberghe uit de achttiende eeuw. Deze gegevens steunden ons in de overtuiging dat het VOC schip de Anna Catharina – op 3 februari 1735 samen met het Vliegend Hert vergaan – was gevonden. De volgende stap was een ‘team’ samenstellen om de eventuele berging op een professionele manier aan te pakken en te begeleiden. Er werd een vzw opgericht, met daarin twee wetenschappers, een advocaat, een beroepsduiker/berger, twee ambtenaren, een chemicus en twee zakennemsen.
De advocaat kreeg de opdracht om het wettelijk kader te onderzoeken. Na een paar weken onderzoek kwam hij met de conclusie dat het Edict van Keizer Karel de enige vigerende wet was. Het advies luidde derhalve om een contract te onderhandelen met de Nederlandse staat wat begin 1991 lukte.
In het voorjaar 1991 werd na een grondig onderzoek van de site met de berging begonnen. Na een paar weken werd duidelijk dat niet de wrakresten van de Anna Catharina waren gevonden maar wrakresten die meer dan tweehonderd jaar ouder waren.
Het zou veel te lang duren om in detail te gaan vertellen welke onderhandelingen er werden gevoerd, hoe met vallen en opstaan de nodige toestemmingen werden verkregen, welke inspanningen werden gedaan om de overheid bewust te maken van de waarde van het maritiem erfgoed, hoe moeilijk het uiteindelijk bleek om de nodige financiële middelen op tafel te leggen. Feit is dat de berging en de conservering tot een goed einde werden gebracht, dat de collectie in haar geheel bewaard is gebleven en dat de doelstellingen werden bereikt.
De suggestie om in navolging van de Engelse vrienden een internationaal colloquium te organiseren, werd gedaan ter gelegenheid van Sail 2002. De Maatschappij van de Brugse Zeevaartinrichtingen NV (MBZ) gaf hiervoor de nodige impulsen. Wij ook vonden dat het de hoogste tijd was dat er grondig werd gepraat, over de grenzen heen. Praten alleen is echter niet genoeg. Er moet ook een wil zijn om iets te realiseren. Intussen zijn we vier jaar verder, weliswaar nog steeds zonder aangepaste wetgeving, maar alles geeft de indruk dat het deze keer zal lukken. Het Vlaams Instituut voor het Onroerend Erfgoed sprong op de kar. Er werd zowaar een cel Maritieme Archeologie opgericht. De drijvende krachten zijn er. Het doel dat wij ons vijftien jaar geleden stelden ligt plots binnen handbereik.
Op aanwijzen van een visser vond een visser/sportduiker/amateurarcheoloog zestien jaar geleden een historisch waardevolle site. Bij de toenmalige Belgische of Vlaamse overheid was men er zich totaal niet van bewust dat ook de wateren voor de kust een waardevol patrimonium herbergden. Tot die bewustwording heeft de vzw Maritieme Archeologie in elk geval in belangrijke mate bijgedragen. Omringd door een professioneel team en gesteund door de overheid werd een belangrijk stuk erfgoed bewaard. Er bestond toen nauwelijks een wettelijk kader. Bij dat project kreeg de vinder de kans om zelf actief mee te werken. Het project werd tot een goed einde gebracht. Wetenschappers, overheid en ‘amateurs’: iedereen tevreden.
Als er een wrakkenwet komt, kan dat een goede zaak zijn. Dat een instelling zoals het VIOE het roer in handen neemt, wordt toegejuicht. Een project zoals dit uitgevoerd door de vzw Maritieme Archeologie moet echter mogelijk blijven. De vinder moet een belangrijke rol kunnen spelen en zou bij eventuele verkoop van goederen aanspraak moeten kunnen maken op een billijk deel van de opbrengst. Al was het maar om een stuk van de kosten te dekken. Kort samengevat luidt de conclusie: ‘Wat door de vzw Maritieme Archeologie werd gerealiseerd is volgens mij een schoolvoorbeeld van hoe het zou moeten.’
The National Heritage Act (NHA 2002) has corrected an anomaly in the way archaeology is managed in England and has given responsibility to English Heritage for maritime archaeology to the 12nm Territorial Limit of the seabed off England.
Prior to NHA 2002 English Heritage published its initial policy on maritime archaeology (Roberts and Trow, 2002) which discussed the broad characteristics of the maritime archaeological resource in English territorial waters, the character of inventories of marine archaeological sites and the role and relationships of professional maritime archaeologists, amateur maritime archaeologists, recreational divers, and other sea users. The policy also discussed the legislative framework pertaining to maritime archaeology. The present legislation and initiatives for reform will be the subject of the paper for the Colloquium.
Archaeological sites of any type underwater in the UK are not protected unless there has been a specific legal order of protection. Although there are relatively few pieces of legislation with direct relevance to archaeology underwater, their interrelationships are often complex, misunderstood and subject to variations in interpretation. Separate legislation is currently applied to shipwreck sites thought to be of significance and there is no provision for the comprehensive portable antiquities legislation that has equal application regardless of the environment in which the find was made.
**Reform of Historic Environment Heritage Protection**
In November 2002, Tessa Jowell [Secretary of State, Department of Culture, Media and Sport (DCMS)] announced the need for:
‘a designation system that sustains the historic environment as a whole rather than relating in a piece-meal way to its constituent parts’ adding that ‘we all know about the problems which can arise from some of the current procedures… We need to reform these, make them work better for everyone, while maintaining the same level of protection for the historic environment’.
As a result the DCMS Review of Heritage Protection was developed to address issues of the protection of heritage ‘assets’ of any age or type, including those which currently lie in terrestrial or marine burial environments.
At the same time English Heritage commissioned a research project to review in depth the genesis and the nature of the present legal framework relating to maritime archaeology in England and Wales (School of Legal Studies, 2003).
On 26 March the DCMS’s marine consultation entitled *Protecting our Marine Historic Environment: Making the System Work Better* (DCMS, 2004) was launched. It set out the key issues and questions in relation to marine historic environment designation:
- seek the closest practical integration of marine and terrestrial historic environment protection;
- define the term ‘marine historic asset’;
- create a new unified designation for marine heritage assets;
- establish appropriate criteria for designating marine sites;
- debate the proper management and control for marine protected historic assets;
- propose the development and publication of statements of significance;
- debate the determination of site boundaries;
- discuss the appropriate levels of openness and interim protection for marine historic sites.
and sought to provide:
- a positive approach to managing the marine historic environment, which will be transparent, inclusive, effective and sustainable and central to social, environmental and economic agendas at a local as well as national level; and
- a legislative framework that protects the marine historic environment but enables appropriate management techniques to be applied and to evolve.
English Heritage commissioned the drafting of the consultation document and organised stakeholder seminars around England. The consultation period ended on 31 July 2004 and DCMS has recently published its analysis of the responses and its proposals for the way forward, acknowledging the considerable work already underway by English Heritage and others (DCMS 2005). The paper will provide an up-to-date account of the progress of the marine designation review.
**Recommended reading**
DCMS. 2004. *Protecting our Marine Historic Environment: Making the System Work Better*. London, Department of Culture, Media and Sport.
DCMS. 2005. *Protecting our Marine Historic Environment: Making the System Work Better – Analysis of responses*. July 2005. London, Department of Culture, Media and Sport.
Historic Scotland. 1999. *Conserving the Underwater Heritage*. Operational Policy Paper, HP6, Historic Scotland, Edinburgh.
JNAPC. 2000. *Heritage Law at Sea: Proposals for Change*, Joint Nautical Archaeology Policy Committee. The School of Legal Studies, University of Wolverhampton.
Receiver of Wreck. 1994. *Where to turn to when you’ve turned something up*. The Coastguard Agency, Southampton.
Roberts P. and S. Trow. 2002. *Taking to the Water: English Heritage’s Initial Policy for the Management of Maritime Archaeology in England* (London, English Heritage).
School of Legal Studies. 2003. *Marine Archaeology Legislation Project*. School of Legal Studies, University of Wolverhampton. Unpublished report for English Heritage.
WETGEVING MET BETREKKING TOT HET MARITIEM ARCHEOLOGISCH ERFGOED: ENGELAND
Ian Oxley
Maritieme Archeologie, English Heritage, Fort Cumberland, Fort Cumberland Road, Eastney, Portsmouth, PO4 9LD, Verenigd Koninkrijk
E-mail: email@example.com
De Wet op het Nationaal Erfgoed (NHA, 2002) heeft een anomalie rechtgezet met betrekking tot de manier waarop archeologie wordt beheerd in Engeland en heeft English Heritage de verantwoordelijkheid gegeven voor de maritieme archeologie op de zeebodem tot aan de Territoriale Grens van 12 zeemijlen buiten de kust van Engeland.
Vóór de invoering van NHA 2002 publiceerde English Heritage haar oorspronkelijke beleid inzake maritieme archeologie (Roberts and Trow, 2002), dat de algemene kenmerken van de maritieme archeologische rijkdommen in de Engelse territoriale wateren, de aard van de inventarissen van maritieme archeologische sites en de rol van en relaties tussen professionele maritieme archeologen, amateurarcheologen, sportduikers en andere gebruikers van de zee besprak. Het beleid behandelde eveneens het wetgevende kader met betrekking tot de maritieme archeologie. De huidige wetgeving en initiatieven voor hervorming zullen het voorwerp uitmaken van de bijdrage voor het Colloquium.
Archeologische sites onder water van welke aard ook in het Verenigd Koninkrijk zijn niet beschermd tenzij een specifiek wettelijk beschermingsbevel is uitgevaardigd. Hoewel er relatief weinig wetgeving bestaat die rechtstreeks verband houdt met onderwaterarcheologie, is het onderlinge verband ervan vaak complex, wordt het verkeerd begrepen en varieert de interpretatie ervan. Een afzonderlijke wetgeving wordt momenteel toegepast op scheepswrakken die geacht worden van betekenis te zijn, en er zijn geen voorzieningen voor de uitvoerige wetgeving op verplaatsbare overblijfselen, die eveneens van toepassing is ongeacht de omgeving waar de vondst werd gedaan.
Hervorming van de Bescherming van Erfgoed in een Historische Omgeving
In november 2002 maakte Tessa Jowell [Ministerie van Cultuur, Media and Sport (DCMS)] bekend dat er nood bestond aan:
‘een beschermingssysteem dat de historische omgeving dekt als een geheel eerder dan stuksgewijs verwijst naar de samenstellende delen ervan’, waarbij ze eraan toevoegde dat ‘we allemaal de problemen kennen die kunnen voortvloeien uit een aantal van de huidige procedures… We moeten die procedures hervormen, ze beter doen werken voor iedereen, terwijl we toch hetzelfde niveau van bescherming aanhouden voor de historische omgeving’.
Ten gevolge hiervan werd binnen het DCMS de Herziening van de Bescherming van het Erfgoed ontwikkeld, met het doel de problemen in verband met de bescherming van ‘erfgoederen’ van welke leeftijd of welke aard dan ook aan te pakken, met inbegrip van de goederen die momenteel op het land of in de zee begraven liggen.
Tezelfdertijd gaf English Heritage opdracht voor het uitvoeren van een onderzoeksproject met het doel de oorsprong en de aard van het huidig wettelijk kader voor de maritieme archeologie in Engeland en Wales grondig te herzien (School of Legal Studies, 2003).
Op 26 maart werd de maritieme gespreksronde met als titel: Protecting our Marine Historic Environment: Making the System Work Better (DCMS, 2004) opgestart. Hierbij werden de belangrijkste problemen en vragen in verband met de bescherming voor de maritieme historische omgeving besproken:
- zoeken naar de best mogelijke integratie van de bescherming van de historische omgeving in de zee en op het land;
- de term ‘maritiem historisch erfgoed’ definiëren;
- een nieuwe éénvormige bescherming voor maritieme erfgoederen ontwikkelen;
- geschikte criteria vaststellen voor de bescherming van maritieme sites;
- het geschikte beheer en de gepaste controle van beschermd maritiem erfgoed bespreken;
- de ontwikkeling en publicatie voorstellen van definities van waardebepalende criteria;
- de vastlegging van de grenzen van de sites bespreken;
- het correcte niveau van openheid en de voorlopige bescherming van maritieme historische sites bespreken.
en werd gezocht naar:
- een positieve benadering van het beheer van de maritieme historische omgeving, die transparant, veelomvattend, doeltreffend en duurzaam is, en centraal staat op de sociale, economische en milieu-agenda op lokaal en op nationaal niveau;
- en
- een wetgevend kader dat de maritieme historische omgeving beschermt, maar toch de toepassing en ontwikkeling van geschikte beheerstechnieken toelaat.
English Heritage gaf opdracht tot het opstellen van het consultatiedocument en organiseerde seminaries voor de betrokken partijen in heel Engeland. De consultatieperiode werd afgerond op 31 juli 2004 en het DCMS heeft onlangs zijn analyse van de reacties en de voorstellen voor de toekomst gepubliceerd, rekening houdend met de belangrijke werkzaamheden die reeds werden uitgevoerd door English Heritage en andere instellingen (DCMS, 2005). De bijdrage zal een bijgewerkt overzicht bieden van de vooruitgang van de herziening van het maritieme beschermingssysteem.
Aanbevolen lectuur
DCMS. 2004. Protecting our Marine Historic Environment: Making the System Work Better. London, Department of Culture, Media and Sport.
DCMS. 2005. Protecting our Marine Historic Environment: Making the System Work Better – Analysis of responses. July 2005. London, Department of Culture, Media and Sport.
Historic Scotland. 1999. Conserving the Underwater Heritage. Operational Policy Paper, HP6, Historic Scotland, Edinburgh.
JNAPC. 2000. Heritage Law at Sea: Proposals for Change, Joint Nautical Archaeology Policy Committee. The School of Legal Studies, University of Wolverhampton.
Receiver of Wreck. 1994. Where to turn to when you’ve turned something up. The Coastguard Agency, Southampton.
Roberts P. and S. Trow. 2002. Taking to the Water: English Heritage’s Initial Policy for the Management of Maritime Archaeology in England (London, English Heritage).
School of Legal Studies. 2003. Marine Archaeology Legislation Project. School of Legal Studies, University of Wolverhampton. Unpublished report for English Heritage.
‘To Sea or not to sea’ is clearly inspired on the winged Shakespearean words ‘to be or not to be’. The title of this symposium thus also indicates a certain inevitability. It is as it were a condition of existence to go to sea. Where my own existence is concerned this inevitability always seems to have played a dominant role, but this is probably less relevant here. It is more important that in my own development this inevitability corresponded to a large extent with an inevitably growing interest in the sea and in the underwater world in general. In the 1960s it was still an area that was only explored by few, but this has changed drastically in the mean time. Traditionally there are widely divergent and sometimes conflicting views and interests as regards the use of the sea and everything located below the surface. Obviously, this is not something that is limited to the sea only; it is rather the method by which these different interests are traditionally balanced that is exceptional. Traditionally this is not done in advance or in an administrative manner but afterwards when conflicts have got out of hand and need to be settled in court. In this respect we can see an inevitable development as well.
The inevitably larger pressure on the use of the sea and the inevitable increase of the kinds of use and experience inevitably create a situation where interests increasingly need to be balanced. This results in a specific role for the government organising the balancing of interests, regardless whether this is the Flemish Community, the Kingdom of Belgium, the European Union or a group of states that participate in an international convention for reasons of safety or any other reasons.
As regards archaeology, this inevitable development means that archaeological policy and heritage protection in different zones have to be in line with each other. A government and its supporters have to balance the different interests according to clear procedures that offer equal legal security to equal parties. The principles used by a government within this context for one zone cannot conflict with the principles used for another zone. A complicating factor is the fact that insights on the meaning of heritage and the method by which heritage is valued and the method by which the formal valuation with legal consequences may be realised is to a large extent subject to change. In spite of the inevitability of the choice of ‘to Sea or not to Sea’, this means that the development of a system for administration and conservation of monuments and historic buildings as already available on land will not be an easy process. To the contrary. The general interests as well as the long-term objectives regarding public benefit may be the same, but this does not make it less impossible or less undesirable to carry through changes in one go.
No, in practice there is only one Shakespearean way to take the inevitable route to the sea, more in particular ‘measure for measure’. During the lecture governmental developments of the last decades on the national, regional and global level will be discussed step by step, ‘measure for measure’.
‘To Sea or not to Sea’ is duidelijk geïnspireerd op de gevleugelde Shakespeariaanse woorden ‘to be or not to be’. Als zodanig geeft de titel van dit symposium ook een zekere onvermijdelijkheid aan. Het is als het ware een zijnsvoorwaarde om de stap zeewaarts te zetten. Kijk ik naar mijn eigen bestaan, dan lijkt die onvermijdelijkheid steeds sturend te zijn geweest, maar dat doet hier wellicht iets minder ter zake. Belangrijker is dat die onvermijdelijkheid in mijn eigen ontwikkeling in belangrijke mate gelijk op liep met een groeiende belangstelling voor de zee en de onderwaterwereld in den brede. Was het tot in de jaren zestig een gebied waar weinigen binnentraden, dan is dat inmiddels drastisch veranderd. Traditioneel is er bij gebruik van de zee en hetgeen zich onder het wateroppervlak bevindt sprake van uiteenlopende uitgangspunten en belangen die soms tegenstrijdig zijn. Daarin is de zee natuurlijk geen uitzondering, maar wat wel uitzonderlijk is, is de wijze waarop de afweging tussen conflicterende belangen traditioneel plaatsvindt. Traditioneel is dat niet vooraf en administratief, maar achteraf, als conflicten uit de hand zijn gelopen en gerechtelijk beslecht moeten worden. Ook daar echter zien we een onvermijdelijke ontwikkeling.
De grotere druk op het gebruik van de zee en de toename van soorten gebruik en beleving leiden er onvermijdelijk toe dat meer en meer belangenafweging naar voren wordt gehaald. Dat betekent een rol voor de Overheid die de belangenafweging organiseert, of dit nu de Vlaamse Gemeenschap is, het Koninkrijk België, Europa of een groep staten die om veiligheids- of andere redenen deelnemen aan een internationale Conventie.
Wat de archeologie betreft betekent deze onvermijdelijke ontwikkeling het op één lijn brengen van archeologiebeleid en erfgoedbescherming in uiteenlopende zones. Een overheid en haar achterban staan immers voor een belangenafweging volgens inzichtelijke procedures die gelijke rechtzekerheid bieden aan gelijke partijen. De principes die een overheid daarbij hanteert kunnen voor de ene zone onmogelijk haaks staan op de principes waar men voor de andere zone van uit gaat. Een complicerende factor is dat de inzichten over de betekenis van erfgoed en de wijze waarop de waardering plaatsvindt en de wijze waarop de formele waardering met rechtsgevolgen vorm kan krijgen in belangrijke mate aan verandering onderhevig zijn. Dat betekent ondanks de onvermijdelijkheid van de keuze ‘to Sea or not to Sea’ dat het uitrollen van een systeem van monumentenzorg en administratie zoals dit op het land een ruime traditie heeft, niet zonder horten of stoten kan geschieden. Integendeel. De algemene belangen mogen dezelfde zijn evenals de langetermijndoelstellingen tot het algemeen nut, maar daarmee blijft het even onmogelijk als ongewenst om veranderingen in één keer door te voeren.
Nee, in de praktijk is er maar één Shakespeariaanse weg om de onvermijdelijke weg naar zee in te slaan, en dat is ‘measure for measure’. Bestuurlijke ontwikkelingen van de laatste decennia op nationaal, regionaal en globaal plan zullen in de voordracht de revue passeren, stap voor stap, ‘measure for measure’.
FRENCH LEGISLATION ON MARITIME CULTURAL ASSETS
Jean-Luc Massy
Département des Recherches archéologiques, subaquatiques et sous-marines (DRASSM)
Fort Saint-Jean, 13235 Marseille Cedex 02, France
E-mail: firstname.lastname@example.org
Until the decree of 26 December 1961 the stipulations of the Colbert Ordinance of 1681 were applicable to all maritime wrecks in France without particular distinction, and the concept of maritime cultural assets was certainly not taken into consideration.
With the invention of the SCUBA, perfected in 1943 by Cousteau-Gagnant, the matter of the protection of archaeological wrecks became quite acute in France, where the plundering of undersea sites assumed alarming proportions as from 1947, especially in the Mediterranean. The Carcopino act of 27 September 1941, which was ratified in 1945 and which exclusively related to on-land archaeological research, was not able to limit the intensive plundering organized by clubs of sport divers or maritime professionals (sailors, fishermen and coral fishers), who had found a new, particularly lucrative sideline.
The decree of 26 December 1961 made a first correction by introducing into French law a distinction between wrecks of an archaeological nature and other wrecks. One problem continued to exist, however: this decree, which focused on objects found on the sea bed, only used the concept ‘site’ if these objects had a certain connection and coherence, for example entire vessels with their cargoes. A few years later, in 1966, the ‘Direction des Recherches archéologiques sous-marines’ (DRASM) was established, with offices in Marseille and with the task to implement the regulations and co-ordinate undersea archaeological research in the entire national territory.
The most important and most radical changes, that still determine archaeological research today, were made by the Act of 1 December 1989, which was ratified by Ordinance in the ‘Code du Patrimoine’ (French Heritage Code) on 20 February 2004. This Act drastically improved the weak points of the earlier regulations by taking into account the entire submarine national heritage as well as the exact location of the sites: ‘Maritime cultural assets shall comprise deposits, wrecks, artefacts or in general all assets of prehistoric, archaeological or historical interest which are situated in the maritime public domain or on the seabed in the contiguous zone’.
The ‘Code du Patrimoine’ thus covers the largest possible time span, from prehistoric times to the most recent history, provided that the study of the sites contributes to historical knowledge. It has in the mean time been acknowledged that remains of military vessels which participated in recent major armed conflicts all over the world can be considered maritime cultural assets. The recognition of merchant vessels from modern times (19th-20th century) as maritime cultural assets is more delicate, but is possible provided that an increase of knowledge – in the broadest sense of the word – is proved, for instance if the finds relate to naval architecture, maritime trade or the social organization of sailors.
The second stipulation of the ‘Code du Patrimoine’ relates to the geographical boundaries within which the French State is competent in matters of maritime cultural assets: this geographical area comprises both the maritime public domain of the mother country and that of the overseas territories, as well as the contiguous zones. At the same time, implementation
decrees entrust the responsibility for the supervision of the scientific research to a specialised service with national competence, the ‘Département des Recherches archéologiques subaquatiques et sous-marines’ (DRASSM), which is placed under the authority of the Ministry for Culture and Communication. This service replaces the former DRASM.
Article 2 of the ‘Code du Patrimoine’ contains the stipulation that has most radically broken with the customs, which dated back to the time of Louis XIV and regulated the distribution of the submarine finds between the discoverer and the State:
‘Maritime cultural assets situated in the maritime public zone whose owner cannot be located shall be the property of the State’.
This new stipulation not only regulates the scientific exploration of the sites and the subsequent enhancement of their value in a museum, but also considerably clarifies the legal status of most of the wrecks, either French or foreign state-owned vessels or, as is mostly the case, merchant vessels of which the owner can no longer be found.
Finally, the last change to the regulations relates to the obligation to maintain the archaeological finds *in situ*, which confirms the fundamental principle of the importance of the study relating to environmental factors in archaeological research: ‘Any person discovering a maritime cultural asset shall leave it *in situ* and shall not cause damage to it. Such person shall, within 48 hours of the discovery or of arrival at the first port, report the asset to the Administrative Authority’.
These new regulatory stipulations have been the cause of some indignation and annoyance on the part of certain partners of the State (in particular researchers and sailors) during some time, who felt that they were deprived of their share in the finds to which they thought they were entitled by tradition. Today, the ‘Code du Patrimoine’ provides basic measures that considerably increase our possibilities for the scientific exploration of submarine archaeological sites and the subsequent enhancement of their value within the framework of publications or exhibitions accessible to the large public.
DE FRANSE WETGEVING INZAKE MARITIEM CULTUREEL ERFGOED
Jean-Luc Massy
Département des Recherches archéologiques, subaquatiques et sous-marines (DRASSM)
Fort Saint-Jean, 13235 Marseille Cedex 02, Frankrijk
E-mail: email@example.com
Tot op het ogenblik van de uitvaardiging van het decreet van 26 december 1961 waren de bepalingen van de Ordonnantie van Colbert van 1681 in Frankrijk van toepassing op alle scheepswrakken zonder onderscheid, zonder dat er sprake was van het begrip maritiem cultureel erfgoed.
Met de ingebruikname van het duikerpak met zuurstoffles, dat in 1943 door Cousteau-Gagnant werd geperfectioneerd, werd de kwestie van de bescherming van de archeologische wrakken in Frankrijk actueel, aangezien de plundering van onderzeese vindplaatsen daar reeds vanaf 1947 onrustwekkende proporties aannam, vooral in de Middellandse Zee. De wet Carcopino van 27 september 1941, bekraftigd in 1945, die enkel betrekking had op archeologische activiteiten op het land, kon de intensieve plunderingen, georganiseerd door clubs van sportduikers of zeelieden (matrozen, vissers en koraalvissers) die hiermee een bijzonder lucratieve bijverdienst hadden gevonden, niet tegengaan.
Het decreet van 26 december 1961 bracht een eerste rechtzetting aan door in het Franse recht een onderscheid in te voeren tussen wrakken met een archeologisch karakter en andere wrakken. Er bleef echter één probleem: het betreffende decreet, dat in het bijzonder gericht was op voorwerpen die op de zeebodem werden gevonden, hanteerde enkel het begrip ‘vindplaats’ wanneer deze voorwerpen een zekere samenhang en coherentie vertoonden, zoals bijvoorbeeld zeeschepen met hun volledige lading. Enkele jaren later, in 1966, werd de ‘Direction des Recherches archéologiques sous-marines’ (DRASM) in het leven geroepen, met kantoren te Marseille. Haar taak bestond erin het onderzeese archeologische onderzoek op het hele nationale grondgebied te reglementeren en te coördineren.
De belangrijkste en meest radicale wijzigingen die op heden het archeologisch onderzoek bepalen, werden aangebracht door de wet van 1 december 1989, die op 20 februari 2004 in de ‘Code du Patrimoine’ (Frans Wetboek voor het Erfgoed) bij Verordening werd bekraftigd. Die wet heeft de zwakke punten van de vroegere reglementeringen op ingrijpende wijze aangepast door rekening te houden met het hele onderzeese erfgoed evenals met de precieze plaats van de sites: ‘Worden als maritiem cultureel erfgoed beschouwd: vindplaatsen, wrakken, resten of in het algemeen elk voorwerp met een prehistorische, archeologische of historische waarde dat zich in het maritieme openbare domein of op de zeebodem in de onmiddellijke omgeving ervan bevindt’.
De ‘Code du Patrimoine’ dekt dus de grootst mogelijke tijdsspanne vanaf de verre prehistorie tot de meest recente geschiedenis, op voorwaarde dat de studie van deze vindplaatsen bijdraagt tot de historische kennis. Er wordt inmiddels erkend dat resten van militaire schepen die hebben deelgenomen aan de recente grote wereldconflicten tot het maritiem cultureel erfgoed behoren. De erkenning als maritiem cultureel erfgoed van koopvaardijschepen uit de moderne tijd (19e-20e eeuw) ligt moeilijk, maar is mogelijk op voorwaarde dat een verrijking van kennis – in de meest brede betekenis van het woord – wordt aangetoond, dat het bijvoorbeeld gaat om scheepsarchitectuur, maritieme handel of de sociale organisatie van zeelieden.
De tweede bepaling van de ‘Code du Patrimoine’ betreft de geografische grenzen waarbinnen de Franse staat bevoegd is voor het maritiem cultureel erfgoed: dat geografische gebied omvat zowel het maritieme openbare domein van het moederland als de overzeese gebieden, en de aangrenzende zones. Tezelfdertijd wordt door middel van uitvoeringsbesluiten de verantwoordelijkheid voor de controle van het wetenschappelijk onderzoek toevertrouwd aan een gespecialiseerde dienst met nationale bevoegdheid, het ‘Département des recherches archéologiques subaquatiques et sous-marines’ (DRASSM), dat ressorteert onder het Ministerie van Cultuur en Communicatie. Deze dienst kwam in de plaats van het vroegere DRASM.
Artikel 2 van de ‘Code du Patrimoine’ heeft gezorgd voor de grootste breuk met de vroegere gebruiken, die teruggaan naar de tijd van Lodewijk XIV en die de verdeling van de onderzeese vondsten tussen de vinder en de Staat regelden:
‘Het maritiem cultureel erfgoed dat zich in het maritiem openbaar domein bevindt en waarvan de eigenaar niet kan worden teruggevonden, behoort de Staat toe’.
Dit nieuwe wetsartikel regelt niet alleen de wetenschappelijke ontginning van de vindplaatsen en de latere tentoonstelling in een museum, maar verduidelijkt ook aanzienlijk de juridische status van de meeste wrakken, of het nu gaat om Franse of buitenlandse schepen die eigendom zijn van de staat of, zoals meestal het geval is, om koopvaardijschepen waarvan allang niet meer duidelijk is wie de eigenaar is.
Tenslotte heeft de laatste reglementaire aanpassing betrekking op de verplichting om de archeologische vondsten *in situ* te bewaren, hetgeen het fundamentele principe bevestigt van het belang van de studie van de omgevingsfactoren in het kader van het archeologisch onderzoek: ‘Elke persoon die een maritiem cultureel erfgoed ontdekt, moet het ter plaatse laten en mag het niet beschadigen. Deze persoon dient binnen achtenveertig uren na de ontdekking of na de aankomst in de eerste haven aangifte te doen bij de administratieve overheden’.
Het geheel van deze nieuwe reglementaire bepalingen heeft gedurende een zekere tijd bij bepaalde partners van de Staat (met name onderzoekers en zeelieden) ergernis gewekt, daar zij van mening waren dat het aandeel in de vondsten waar zij dachten volgens de traditie recht op te hebben, hen was ontnomen. Vandaag de dag vormt de ‘Code du Patrimoine’ een basis van maatregelen die onze mogelijkheden voor de wetenschappelijke ontginning van onderzeese archeologische vindplaatsen en hun latere aanwending in het kader van publicaties of tentoonstellingen voor het grote publiek aanzienlijk vergroten.
LA LEGISLATION FRANÇAISE AU REGARD DES BIENS CULTURELS MARITIMES
Jean-Luc Massy
Département des Recherches archéologiques, subaquatiques et sous-marines (DRASSM)
Fort Saint-Jean, 13235 Marseille Cedex 02, France
E-mail: firstname.lastname@example.org
Jusqu’au décret du 26 décembre 1961 les dispositions de l’Ordonnance de Colbert de 1681 s’appliquaient en France à l’ensemble des épaves maritimes sans distinction particulière, la notion de bien culturel maritime n’étant certainement pas prise en considération.
Avec l’apparition du scaphandre autonome mis au point par Cousteau-Gagnant en 1943, la question de la protection des épaves archéologiques s’est posée avec acuité en France où les pillages des gisements sous-marins ont pris très tôt des proportions inquiétantes dès les années 1947 en particulier dans le sud de la France en Méditerranée. La loi Carcopino du 27 septembre 1941, validée en 1945, qui ne visait que les interventions archéologiques en milieu terrestre n’a pu endiguer ces pillages intensifs organisés par les clubs de plongées sportifs ou les professionnels de la mer (marins, pêcheurs et corailleurs) qui trouvèrent là une nouvelle activité particulièrement lucrative.
Le décret du 26 décembre 1961 a apporté une première correction en distinguant enfin dans le droit français les épaves à caractère archéologique des autres épaves. Une difficulté subsistait cependant: ce décret qui se focalisait sur les objets prélevés dans les fonds marins ne prenait en considération la notion de gisement que lorsque ces objets présentaient une certaine cohésion et cohérence comme des navires entiers avec leur cargaison. Quelques années plus tard, en 1966, est créée une Direction des Recherches archéologiques sous-marines (DRASM) basée à Marseille et chargée de mettre en œuvre la réglementation et de coordonner la recherche archéologique sous-marine sur l’ensemble du territoire national.
Les modifications les plus importantes et les plus radicales qui conditionnent aujourd’hui la recherche archéologique ont été apportées par la loi du 1er décembre 1989 confirmée dans le Code du Patrimoine en date du 20 février 2004 par une Ordonnance. Cette loi a en effet très profondément corrigé les faiblesses des dispositions antérieures en prenant en considération l’ensemble du patrimoine immergé ainsi que l’espace dans lequel ces gisements sont localisés: ‘Constituent des biens culturels maritimes les gisements, épaves, vestiges ou généralement tout bien qui, présentant un intérêt préhistorique, archéologique ou historique, est situé dans le domaine public maritime ou au fond de la mer dans la zone contiguë’.
Le Code du Patrimoine couvre ainsi la plus grande temporalité depuis les époques préhistoriques jusqu’aux périodes les plus récentes pourvu que l’étude de ces gisements contribue à la connaissance historique. Sans abus d’interprétation des textes, on admet désormais que les vestiges d’épaves militaires ayant participé aux grands conflits mondiaux récents entrent dans le champ des biens culturels maritimes. La justification de biens culturels maritimes pour les navires marchands d’époque contemporaine (XIX-XXe siècle) est plus délicate mais possible pourvu que soit argumenté un enrichissement de la connaissance – dans son acceptation la plus large – qu’il s’agisse par exemple d’architecture navale, de commerce maritime ou de l’organisation sociale des gens de mer.
La seconde disposition du Code du Patrimoine concerne les limites géographiques où s’exerce la compétence de l’État français en matière de biens culturels maritimes: sont ainsi visés le domaine public maritime en métropole comme outre-mer et sa zone contiguë. Elle confie parallèlement par des décrets d’application la responsabilité du contrôle des investigations scientifiques à un service spécialisé à compétence nationale, le Département des recherches archéologiques subaquatiques et sous-marines (DRASSM), placé sous l’autorité du Ministre de la Culture et de la Communication, service qui succède ainsi à l’ancien DRASM.
L’article 2 du Code du Patrimoine est celui qui a rompu avec le plus de détermination avec les usages antérieurs remontant à l’époque de Louis XIV qui réglaient le partage des découvertes sous-marines entre inventeur et l’État:
‘Les biens culturels maritimes situés dans le domaine public maritime dont le propriétaire n’est pas susceptible d’être retrouvé appartiennent à l’État’.
Outre que cette nouvelle disposition conditionne l’exploitation scientifique des gisements et leur mise en valeur ultérieure dans un cadre muséographique, cet article de loi clarifie considérablement le statut juridique de la plupart des épaves qu’il s’agisse de navires d’État français ou étrangers et le plus souvent de navires marchands dès lors que le propriétaire se perd dans la nuit des temps.
Enfin, l’ultime ajustement réglementaire est celui de l’obligation du maintien *in situ* des découvertes archéologiques, ce qui consacre le principe fondamental de l’importance de l’étude du contexte environnemental en matière de recherche archéologique: ‘Toute personne qui découvre un bien culturel maritime est tenue de le laisser en place et de ne pas y porter atteinte. Elle doit, dans les quarante-huit heures de la découverte ou de l’arrivée au premier port, en faire la déclaration à l’autorité administrative’.
L’ensemble de ces nouvelles dispositions réglementaires, ont effectivement contrarié et indisposé, un temps, certains partenaires de l’État (prospecteurs et gens de mer notamment) qui considéraient qu’ils étaient spoliés de la part des découvertes qui leur revenait par tradition. Aujourd’hui, le Code du Patrimoine constitue un socle de mesures qui augmentent considérablement nos capacités d’exploitation scientifique des gisements archéologiques sous-marins et de leurs futures mises en valeur dans le cadre de publications ou d’exposition à l’intention du grand public.
MARITIME ARCHAEOLOGICAL HERITAGE LEGISLATION IN FLANDERS/BELGIUM
Michiel Deweirdt
Monard-D’Hulst Law Firm
Doorniksewijk 66, B-8500 Kortrijk, Belgium
E-mail: email@example.com
Introduction
The part of the North Sea bordering the Belgian coast features a large number of shipwrecks and a wide variety of other maritime archaeological heritage resources, including sunken settlements and remains of lost shiploads. The number of wrecks in the Belgian part of the North Sea is estimated at over one thousand by some scientists. A number of these wrecks have considerable scientific value in the archaeological field as they can be considered time capsules. The ships in question often went down with everything on board and if they have been preserved well, they provide us with a very qualitative picture of the past. Consequently, scientific research of these heritage resources is indispensable, especially in order to develop a well-considered policy.
Until today there has been no legislation that protects these shipwrecks, settlements and other archaeological finds in the North Sea. In comparison with other countries, Belgium and Flanders still have to make significant efforts in this field.
Jurisdiction in Belgium
Belgium has a complex state structure and this also shows in the protection of the archaeological heritage. The Regions are the competent authorities for immovable archaeological heritage whereas the Communities are competent for movable archaeological heritage. The Regions only have limited territorial competence. As the western border of the Flemish Region coincides with the border of the province of West Flanders, the competence of the Flemish region ends in principle at the coastline. The Council of State furthermore declared that the geographical delineation of the Flemish Region implies that the open sea and the territorial sea are not part of the Flemish Region. Consequently, the North Sea does not fall under the competence of the Regions but under the competence of the Federal Government. This means that both immovable and movable archaeological heritage is a federal matter.
North Sea
The federal competence over the North Sea certainly concerns the territorial sea. Article 303, §2 of the Convention on the Law of the Sea of 1982 stipulates that archaeological and historical objects found in the adjacent or adjoining zone fall under the control of the coastal state or in other words under the control of the federal government.
Pursuant to article 303 of the Convention on the Law of the Sea, states have the duty to protect objects of an archaeological nature. However, there is no specific legislation on maritime archaeological heritage at the federal level. To overcome this problem, the federal government concluded a cooperation agreement with the Flemish Region in 2004. This agreement took
effect on 4 October 2004 but is for the time being limited to a declaration of intent. Under normal circumstances an initiative to transform this agreement into a law will be taken later on. At the time it was agreed that the Flemish Region would realise a first database of maritime archaeological heritage in the North Sea within eighteen months. This database is intended to collect all possible information on archaeological heritage in the Belgian territorial sea, on the Belgian continental shelf and on the bottom of rivers in Flanders as well as all available information on maritime subterranean heritage resources in Flanders situated on land. This database has recently been made accessible to the public at large via the website www.maritieme-archeologie.be. The federal government has permanent access to this information so that it can be used within the scope of the management of and formulation of plans for the North Sea at any given time.
On the basis of this first database, made available by the competent Flemish Minister, and on the basis of the scientific research into marine biodiversity around shipwrecks, the competent federal Minister selects a number of shipwrecks to be protected in accordance with the measures determined in the Act of 20 January 1999 on the protection of the marine environment in marine areas.
The Cooperation agreement furthermore stipulates that the competent Federal Minister is to ensure that proper attention is paid to the archaeological dimension within the scope of the permit policy for works at sea, including sand extraction, gravel extraction, dredging operations and construction of wind farms. In cooperation with the competent Flemish minister the competent Federal minister attempts to ensure that no archaeological heritage is destroyed without prior scientific research.
Regrettably, the Cooperation Agreement does not have any legal value, which means that citizens in principle cannot invoke this agreement and makes it more difficult to enforce. In contrast with its neighbouring countries Belgium clearly has no effective archaeological heritage protection legislation. Shipwrecks are indirectly protected through the Act of 20 January 1999 on the protection of the marine environment in sea areas. However, this cannot be considered proper protection. Archaeological finds in the North Sea furthermore remain easy prey for treasure hunters. There is actually no legislation on rights of ownership or obligatory reporting of finds. The Edict of Emperor Charles of 1547 on maritime finds, which is completely outdated and is no longer applied in practice, is actually still the only applicable legislation in this respect. In other words, current legislation does not provide for decent archaeological heritage protection in any way.
Despite many requests from the archaeological world the federal government is apparently afraid to take steps in this field because of possible disputes between the different communities in Belgium. It may be recommendable to hand over the jurisdiction concerning maritime archaeological heritage from the Federal Government to the Flemish Region. The experience of the Flemish Region as regards heritage protection may certainly benefit sound legislation on archaeology in the North Sea. A single uniform policy and uniform legislation for the Flemish Region and the North Sea also offers legal security and brings clarity to the citizens.
**Heritage Afloat Decree**
The management and protection of the heritage afloat is regulated by the Decree on the Protection of Heritage Afloat of 29 March 2002 and the implementing order of 24 June 2004. This decree has legal force in Flanders but doesn’t apply to archaeological finds in the North Sea.
The term heritage afloat covers all ships, boats and vessels as well as their equipment and propulsion mechanisms conservation of which is in the public interest in view of their historical, scientific, industrial archaeological or other socio-cultural value.
The decree provides for specific protection and management regulations as well as a subsidy scheme.
It would be ideal if the scope of this decree was extended to the North Sea and if the decree was complemented with clear regulations regarding the ownership of objects found in the North Sea.
WETGEVING IN VERBAND MET HET MARITIEM ARCHEOLOGISCH ERFGOED IN VLAANDEREN/BELGIË
Michiel Deweirdt
Advocatenkantoor Monard-D’Hulst
Doorniksewijk 66, B-8500 Kortrijk, België
E-mail: firstname.lastname@example.org
Inleiding
In het aan België grenzend deel van de Noordzee bevinden zich een groot aantal scheepswrakken en een grote verscheidenheid aan ander ‘maritiem archeologisch erfgoed’, zoals verdronken nederzettingen of restanten van verloren gegane scheepsladingen. Het aantal wrakken in het Belgische gedeelte van de Noordzee wordt door sommigen geschat op meer dan duizend. Een aantal hiervan heeft grote wetenschappelijke waarde op archeologisch vlak omdat ze kunnen beschouwd worden als ‘tijdscapsules’. Ze zijn vaak op één moment met alles erop en eraan vergaan en wanneer ze goed bewaard zijn gebleven, verschaffen ze een zeer kwaliteitsvolle momentopname uit het verleden. Dit maakt wetenschappelijk onderzoek van dit erfgoed onontbeerlijk vooral in functie van het ontwikkelen van een goed beleid.
Er is nog steeds geen wetgeving die deze scheepswrakken, nederzettingen en archeologische vondsten in de Noordzee beschermt. In vergelijking met de buurlanden, moeten België en Vlaanderen hier nog heel wat werk verzetten.
Bevoegdheidsverdeling in België
België heeft een complexe staatsstructuur die ook tot uiting komt in de bescherming van het archeologisch patrimonium. Zo zijn de Gewesten bevoegd voor het archeologisch onroerend erfgoed en de Gemeenschappen voor het roerend archeologisch patrimonium. De territoriale bevoegdheid van de Gewesten is beperkt, waardoor de grenzen van het Vlaamse Gewest zeewaarts eindigen aan de provinciegrens van West-Vlaanderen. Dit betekent dat het Vlaamse Gewest in beginsel slechts bevoegd is tot aan de basislijn (kustlijn). De Raad van State heeft dan ook duidelijk gemaakt dat uit de geografische afbakening van het Vlaamse Gewest moet worden afgeleid dat de volle zee en de territoriale zee niet tot het Vlaamse Gewest behoren. Bijgevolg valt de Noordzee niet onder de bevoegdheid van de Gewesten, maar onder de bevoegdheid van de federale overheid. Zowel het archeologisch roerend als onroerend patrimonium in de Noordzee zijn dus federale materie.
Noordzee
De federale bevoegdheid inzake de Noordzee heeft sowieso betrekking op de territoriale zee. Artikel 303, §2 van het Zeerechtenverdrag van 1982 bepaalt dat archeologische en historische objecten gevonden in de aangrenzende of aansluitende zone onder de controle van de kuststaat vallen of met andere woorden onder de controle van de federale overheid.
Op basis van artikel 303 van het Zeerechtenverdrag heeft de overheid de plicht archeologische vondsten te beschermen. Op het federale niveau is er echter geen specifieke regelgeving met betrekking tot het maritiem archeologisch patrimonium. Om dit te verhelpen sloot de federale overheid in 2004 een samenwerkingsakkoord met het Vlaams Gewest, dat in werking is
getreden op 4 oktober 2004. Dit akkoord blijft voorlopig een intentieverklaring. Een wettelijk initiatief zou normaal gezien later moeten volgen.
Er is toen afgesproken dat het Vlaamse Gewest binnen de achttien maanden een eerste databank van het maritiem archeologisch erfgoed in de Noordzee zou realiseren. Het is de bedoeling om in deze databank zo veel mogelijk informatie samen te brengen over het archeologisch erfgoed in de Belgische territoriale zee, het Belgisch continentaal plat en op de bodem van de Vlaamse rivieren met de informatie over het aan land gesitueerde maritieme deel van het bodemarchief in Vlaanderen. Deze databank is sinds mei 2006 toegankelijk voor het grote publiek via de website www.maritieme-archeologie.be. De federale overheid kan ten allen tijde een beroep doen op deze informatie om ze te betrekken in de planvorming en het beheer van de Noordzee.
Op basis van deze eerste databank, die ter beschikking wordt gesteld door de Vlaamse Minister, en het wetenschappelijk onderzoek naar de mariene biodiversiteit rond scheepswrakken worden door de federale minister enkele wrakken ter bescherming geselecteerd, conform de maatregelen voorzien in de Wet van 20 januari 1999 ter bescherming van het mariene milieu in de zeegebieden.
Verder bepaalt het Samenwerkingsakkoord dat de federale minister ervoor zorgt dat in het kader van het vergunningsbeleid voor werken op zee, zoals ontzandingen, ongrindingen, baggeren, aanleggen van windmolenparken, aandacht wordt besteed aan de archeologische dimensie. De federale minister tracht in samenspraak met de Vlaamse minister te bewerkstelligen dat geen archeologisch patrimonium wordt vernield zonder voorafgaandelijk wetenschappelijk onderzoek.
Het jammere van het Samenwerkingsakkoord is dat het geen wettelijke waarde heeft, zodat burgers er zich in principe niet op kunnen beroepen en waardoor het moeilijker afdwingbaar is. Het is duidelijk dat er geen doeltreffende wetgeving is om het archeologisch patrimonium te beschermen en dit in tegenstelling tot onze buurlanden. Scheepswrakken worden via een omweg beschermd door de Wet van 20 januari 1999 ter bescherming van het mariene milieu in de zeegebieden. Dit kan moeilijk aanzien worden als een degelijke bescherming. Ook archeologische vondsten in de Noordzee blijven een gemakkelijke prooi voor schattenjagers. Er is eigenlijk niets duidelijk geregeld over het eigendomsrecht of over verplichte vondstmeldingen. Het Edict van Keizer Karel van 1547 betreffende de zeevondsten dat volledig verouderd is en in de praktijk niet meer wordt toegepast, is nog steeds de geldende wetgeving. Met andere woorden de huidige wetgeving voorziet geenszins in een degelijke bescherming van het archeologisch patrimonium.
Blijkbaar is de federale overheid omwille van communautair geruzie bang om hier in te grijpen, ondanks vele oproepen uit de archeologische wereld. Misschien is het aangewezen om de bevoegdheid met betrekking tot het maritieme archeologische patrimonium in de Noordzee over te dragen van de federale overheid naar het Vlaamse Gewest. De ervaring van het Vlaams Gewest in de bescherming van het erfgoed kan ongetwijfeld bijdragen tot een degelijke regelgeving omtrent archeologie in de Noordzee. Eén uniform beleid en wetgeving voor het Vlaamse Gewest en de Noordzee biedt ook rechtszekerheid en duidelijkheid naar de burger toe.
**Decreet Varend Erfgoed**
Het beheer en de bescherming van het varend erfgoed wordt geregeld door het Decreet van 29 maart 2002 tot bescherming van het varend erfgoed en het uitvoeringsbesluit van 24 juni
2004. Dit decreet is van toepassing in Vlaanderen maar niet op archeologische vondsten in de Noordzee.
Onder varend erfgoed wordt verstaan het nautische erfgoed, inbegrepen de schepen, de boten en de drijvende inrichtingen, inclusief hun uitrusting en voortstuwingsmiddelen, waarvan het behoud van algemeen belang is wegens hun historische, wetenschappelijke, industrieel-archeologische of andere sociaal-culturele waarde.
Het decreet voorziet in specifieke beschermings- en beheersvoorschriften, maar ook in een subsidieregeling.
Ideaal zou zijn mocht het toepassingsgebied van dit decreet kunnen uitgebreid worden naar de Noordzee en aangevuld worden met een duidelijke eigendomsregeling van vondsten in de Noordzee.
Session 3:
INTERNATIONAL CASE-STUDIES IN CONSERVATION OF MARITIME ARCHAEOLOGICAL HERITAGE
Chair: Natalie Cleeren, researcher archaeological conservation Flemish Heritage Institute (VIOE)
THE NETHERLANDS: A MARITIME CULTURE. HOW WE PROTECT OUR PAST FOR THE FUTURE
Martijn Manders
Rijksdienst voor het Oudheidkundig Bodemonderzoek (ROB)
Kerkstraat 1, 3811 cv Amersfoort, the Netherlands
E-mail: email@example.com
The incredible abundance and diversity of perfectly preserved (post)medieval shipwrecks in the underwater soil archives of the Netherlands are a blessing for maritime archaeologists. This abundance nevertheless also creates many problems with regard to the management of these wrecks. It is absolutely not difficult to select a shipwreck for research and to collect a wealth of data from this wreck. However, it is quite a different story to assume the responsibility over the entire underwater heritage resources and to act correspondingly. This is an expensive and time-consuming activity. The Minister for Culture, Education and Science is responsible for the management and the ROB for the management of maritime heritage resources. Over the course of the approximately 25 years during which underwater archaeology was practised in a professional manner the conditions, possibilities and ambitions of the archaeological world, including ROB, have changed drastically. Because of these changes we also have to make different decisions with regard to this type of heritage. Maritime archaeology changed from an ad hoc discipline where solutions were sought for incidents to a discipline where overviews are created and attempts are made to inventory and overview the entire heritage.
The next step – which is where we are today – consists of abandoning national borders and determining whether the cultural underwater heritage can be managed, protected and studied within a European framework. In this context a project application was sent within the scope of the culture 2000 programme of the European Union called MACHU (Managing Cultural Heritage Underwater). This concerns collaboration between government services from the Netherlands, Belgium, Germany, England, Sweden and Portugal as maritime heritage has an international character; ships cross borders and may be lost everywhere.
NEDERLAND: EEN MARITIEME CULTUUR. HOE WE ONS VERLEDEN BESCHERMEN VOOR DE TOEKOMST
Martijn Manders
Rijksdienst voor het Oudheidkundig Bodemonderzoek (ROB)
Kerkstraat 1, 3811 cv Amersfoort, Nederland
E-mail: firstname.lastname@example.org
De ongelofelijke rijkdom en diversiteit aan (post-) middeleeuwse scheepswrakken, die ook nog eens uitzonderlijk bewaard zijn gebleven in de Nederlandse onderwaterbodems, zijn een zegen voor de maritieme archeologen. Toch levert deze rijkdom ook veel problemen op met betrekking tot het beheer ervan. Het is absoluut niet moeilijk om een scheepswrak te selecteren voor onderzoek en er een schat aan gegevens van naar boven te halen. Maar om de verantwoordelijkheid over het gehele onderwaterarchief te nemen en om daar ook naar te handelen: dat is een heel ander verhaal. Dat is een dure en tijdverzijdende bezigheid. De minister van Cultuur (Ministerie van Onderwijs, Cultuur en Wetenschap: OCW) is verantwoordelijk voor dit beheer en de ROB heeft het beheer van het maritieme erfgoed mede als opdracht meegekregen. In de loop van de (ongeveer) 25 jaar waarin op professionele basis onderwaterarcheologie wordt bedreven, zijn de condities, mogelijkheden en ambities van de archeologische wereld, inclusief de ROB, drastisch veranderd. Vanwege die veranderingen zijn de keuzes die wij met betrekking tot dit erfgoed moeten maken ook anders. De maritieme archeologie is veranderd van een ad hoc discipline waarin oplossingen voor incidenten werden gezocht, naar een discipline waarin overzichten worden gecreëerd en getracht wordt het totale erfgoed te inventariseren en te overzien.
Een volgende stap bestaat erin – en deze moeten we nu zetten - om de landsgrenzen los te laten en te bekijken of het culturele erfgoed onder het wateroppervlak in een Europees verbond kan worden beheerd, beschermd en onderzocht. Hiertoe is een projectaanvraag gedaan binnen het cultuur 2000 programma van de Europese Unie met de naam MACHU (Managing Cultural Heritage Underwater). Dit is een samenwerking tussen overheidsdiensten uit Nederland, België, Duitsland, Engeland, Zweden en Portugal. Het maritiem erfgoed is immers internationaal; schepen overschrijden grenzen en kunnen overal vergaan.
THE SKULDELEV AND ROSKILDE SHIPS FROM EXCAVATION TO THE BUILDING OF REPLICAS – THE PRICE OF PERFECTION
Jan Bill
Viking Ship Museum Roskilde
Vindeboder 12, DK-4000 Roskilde, Denmark
E-mail: email@example.com
The excavation in 1962 of the five Skuldelev ships was a first-time experience for Danish archaeology. It resulted in the formation of a new branch within the discipline, and in the creation of a new museum of international reputation. Without neglecting the effect of public interest and support for ‘Viking ship archaeology’ in a Scandinavian country, this paper argues that the success was based on a strategy that can be summarized as ‘quality above speed’. This strategy, which was implemented whenever possible – but not, for example, in the excavation – served to establish the new discipline as ‘scientific’, and its practitioners as ‘specialists’. It also became defining for developing ship archaeological antiquarian practice, and it was successfully applied in the series of ‘scientific’ full-scale reconstructions that have been produced at the Viking Ship Museum since 1982.
In recent years, however, the magic seems to have lost its power. We are – fortunately – seeing an increasingly efficient legal protection of archaeological monuments and the implementation of a principle that ‘the person who causes the loss, pays the bill’ in rescue archaeology. But this also creates a growing demand for ‘value for money’ – often without an accompanying understanding of ‘value’. The speciality character of ship archaeology now means there is little acceptance and support from the surroundings for costly documentation, research and conservation procedures. This may eventually lead to a collapse in Danish ship archaeology as we know it today.
The paper outlines the history of the ‘quality above speed’ strategy as it has unfolded from the excavation of the Skuldelev ships to the present-day documentation of nine medieval wrecks from Roskilde harbour, excavated in 1996 and 1997. Emphasis will be put on the gains, but also on the losses caused by this strategy, and on situations where it has been under stress. The aim is to examine, in which direction ship archaeology should move in the coming years, to uphold and develop high quality in documentation and research while oblige the public demand for cost-efficiency. Some key points discussed will be public value, relevance and the role of the specialist.
DE SCHEPEN VAN SKULDELEV EN ROSKILDE, VAN DE OPGRAVING TOT DE BOUW VAN REPLICA’S – DE PRIJS VAN PERFECTIE
Jan Bill
Viking Ship Museum Roskilde
Vindeboder 12, DK-4000 Roskilde, Denemarken
E-mail: firstname.lastname@example.org
De opgraving in 1962 van de vijf schepen van Skuldelev was een primeur voor de Deense archeologie, die resulteerde in de creatie van een nieuwe tak binnen de discipline en in de oprichting van een nieuw museum met internationale faam. Zonder de impact van de publieke belangstelling en de steun voor ‘de archeologie van Vikingschepen’ in een Scandinavisch land te veronachtzamen, stelt deze bijdrage dat het succes te danken is aan een strategie die kan worden samengevat als ‘kwaliteit voor snelheid’. Door die strategie, die waar mogelijk werd toegepast – maar bijvoorbeeld niet tijdens de opgravingsfase – werd de nieuwe discipline als ‘wetenschappelijk’ beschouwd, en werden de beoefenaars ervan ‘specialisten’ genoemd. Ze is ondertussen ook bepalend geworden voor de ontwikkeling van het scheepsarcheologische antiquariaat, en werd met succes toegepast in de reeks ‘wetenschappelijke’ levensgrote reconstructies die sinds 1982 werden verwezenlijkt in het Vikingschip Museum.
De jongste jaren lijkt de magie echter een deel van haar kracht te hebben verloren. Archeologische monumenten worden – gelukkig – op een steeds efficiëntere manier wettelijk beschermd, en het principe dat stelt dat ‘de persoon die de schade veroorzaakt, de rekening betaalt’ werd ingevoerd voor noodonderzoek. Dat heeft echter ook geleid tot een groeiende vraag naar ‘waarde voor geld’ – vaak zonder bijhorend begrip van het concept ‘waarde’. De specialistische aard van scheepsarcheologie brengt met zich mee dat er vanuit de omgeving weinig aanvaarding is van en steun voor de dure documentatie-, onderzoeks- en instandhoudingsprocedures. Dat kan uiteindelijk leiden tot de ondergang van de Deense scheepsarcheologie zoals we die vandaag kennen.
De bijdrage beschrijft de historiek van de strategie ‘kwaliteit voor snelheid’, zoals die zich heeft ontwikkeld vanaf de opgraving van de schepen van Skuldelev tot de huidige documentatie van negen middeleeuwse wrakken uit de haven van Roskilde, die in 1996 en 1997 werden opgegraven. De nadruk zal worden gelegd op de voordelen, maar ook op de verliezen die door die strategie werden veroorzaakt, en op situaties waardoor die strategie onder druk kwam te staan. Het doel is te onderzoeken welke richting de scheepsarcheologie zou moeten uitgaan in de komende jaren, om een hoge kwaliteit van de documentatie en het onderzoek te ontwikkelen en te behouden, en tegelijk tegemoet te komen aan de publieke vraag naar rendabiliteit. Enkele belangrijke punten die zullen worden behandeld zijn de publieke waarde, relevantie en de rol van de specialist.
COPING WITH THE UNEXPECTED: THE STORY OF THE DOVER BRONZE AGE BOAT
Peter Clark
Canterbury Archaeological Trust
92a Broad Street, Kent CT1 2LU, United Kingdom
E-mail: email@example.com
In September 1992, archaeologists discovered the perfectly preserved remains of a complex sewn-plank boat of middle Bronze Age date buried 6m below the streets of modern day Dover. This completely unprecedented and unexpected discovery was made during routine archaeological monitoring of a major road building scheme linking the port of Dover with the Channel tunnel and the motorway network to London and beyond. Under intense time pressure (just 24 hours were originally given to record and salvage the vessel), the archaeological team had to rapidly mobilise and deploy resources, and to develop innovative techniques of recording and lifting the boat from the deep, narrow shaft in which it was found. This paper describes the story of how the excavation team responded to this remarkable discovery, developing techniques through trial and error to rescue the boat from destruction.
Eventually a seven metre long section of the vessel was salvaged, fashioned from oak planks hewn into complex shapes, joined together by an elaborate system of wooden wedges and twisted yew withies. In order to retrieve the vessel, it was necessary to cut the boat into some 32 pieces, preserving the complex jointing between the planks that could not be studied in detail when *in situ*. About 2.3m broad, it was clear at the time of excavation that the boat was not a shipwreck, but had been deliberately abandoned and partially dismantled some three and a half millennia ago. But the physical recovery of the hull was just the beginning of the story; from the moment the ancient timbers were exposed to the air, they started to decay. Conservation of the timbers was a priority, made more pressing by the development of fungal growths in the water tanks where the timbers were temporarily stored. Again working without precedent, the team decided to freeze-dry the large boat timbers, a procedure that had only been carried out on small individual artefacts before. Similarly, a large multi-disciplinary analysis team was assembled and charged with devising a programme of study that would realise the research potential of the discovery. Following conservation, the team faced another challenge in re-assembling the 32 pieces so that the vessel could be placed on public display, a job made more difficult by the fact that the shape of the underside of the vessel could not be recorded during excavation. Again, new techniques for manipulating and supporting the fragile timbers had to be devised to realise the form of the boat as it was originally found.
Fourteen years after its discovery, the Dover Bronze Age boat is the centrepiece of an award winning gallery of Bronze Age life in Dover museum and the results of the scientific study of the vessel are fully published in a major academic monograph. From a standing start, the archaeologists involved with the boat have developed the skills and techniques to successfully deal with the discovery of such internationally important finds. However, given the rarity of such discoveries, this was perhaps not such a good career move for the individuals concerned. But the experience of coping with this unexpected find and the lessons learned in the process may be of assistance to others who stumble across similar remarkable survivals from prehistory.
CONFRONTATIE MET HET ONVERWACHTE: HET VERHAAL VAN DE BOOT VAN DOVER UIT DE BRONSTIJD
Peter Clark
Canterbury Archaeological Trust
92a Broad Street, Kent CT1 2LU, Verenigd Koninkrijk
E-mail: firstname.lastname@example.org
In september 1992 ontdekten archeologen de perfect bewaarde resten van een complexe plankenboot uit de midden bronstijd, die 6 m diep onder de straten van het moderne Dover begraven lagen. Deze unieke en volledig onverwachte ontdekking werd gedaan tijdens een archeologisch routineonderzoek in het kader van een grootschalig wegenbouwproject waardoor de haven van Dover zou worden verbonden met de tunnel onder het Kanaal en met het autowegennetwerk naar Londen en andere steden in het binnenland. Het archeologische team moest onder zeer hoge tijdsdruk (het kreeg oorspronkelijk slechts 24 uur om de boot te registreren en te bergen) middelen mobiliseren en inzetten en nieuwe methodes ontwikkelen om de boot uit de diepe, smalle schacht te halen waarin hij werd gevonden. Deze bijdrage vertelt het verhaal over hoe het opgravingsteam op deze opmerkelijke ontdekking reageerde en met vallen en opstaan nieuwe technieken ontwikkelde om de boot van de vernieling te redden.
Uiteindelijk werd een zeven meter lang stuk van de boot geborgen. De boot was gemaakt van eiken planken die in complexe vormen waren gekapt en samengevoegd door middel van een minutieus systeem van houten wiggen en gedraaide taxustwijgen. Om de bergingswerkzaamheden mogelijk te maken, moest de boot in zowat 32 stukken worden verdeeld, waarbij de complexe naden tussen de planken intact werden gelaten, daar het niet mogelijk was ze ter plaatse in detail te bestuderen. Op het ogenblik van de opgraving werd duidelijk dat de ongeveer 2,3 m brede boot geen schipbreuk had geleden, maar zowat drieduizend vijfhonderd jaar geleden doelbewust werd achtergelaten en gedeeltelijk ontmanteld. Maar de eigenlijke berging van de romp was nog maar het begin; vanaf het ogenblik waarop het oude hout aan de lucht werd blootgesteld, begon het te rotten. De conservering van het hout was een prioriteit, en werd nog dringender toen zich in de waterreservoirs waarin het hout tijdelijk werd bewaard schimmels begonnen te vormen. Het team kon opnieuw niet terugvallen op bestaande technieken en besloot de grote planken te vriesdrogen, een procedure die tot dan toe enkel werd toegepast op kleine artefacten. Er werd een groot multidisciplinair analyseteam opgericht, dat als opdracht kreeg een studieprogramma op te stellen met als doel de researchmogelijkheden van de ontdekking optimaal te benutten. Na de conservering werd het team met een nieuwe uitdaging geconfronteerd, namelijk het opnieuw samenvoegen van de 32 stukken, zodat de boot kon worden tentoongesteld. Deze taak werd bemoeilijkt door het feit dat het tijdens de opgraving niet mogelijk was geweest de vorm van de onderkant van de boot op te tekenen. Opnieuw moesten nieuwe technieken worden ontwikkeld voor het behandelen en ondersteunen van het broze hout en om de boot de vorm te geven die hij had toen hij werd gevonden.
Veertien jaar na de ontdekking vormt de boot van Dover uit de bronstijd het middelpunt van de tentoonstelling in de bekroonde galerij over de bronstijd van het Dover museum en werden de resultaten van de wetenschappelijke studie gepubliceerd in een belangrijke academische monografie. De archeologen betrokken bij de opgraving en conservering van de boot hebben vanuit een ‘staande start’ de vaardigheden en technieken ontwikkeld waarmee met succes kan worden omgegaan met dergelijke internationaal belangrijke vondsten. Gelet op de zeldzaamheid van dergelijke vondsten was dat misschien niet echt gunstig voor de verdere
loopbaan van de betrokken personen, maar de ervaringen die werden opgedaan bij de confrontatie met deze onverwachte vondst en de lessen die tijdens het opgravings- en conserveringproces werden getrokken zullen wellicht van nut zijn voor anderen die op gelijkaardige opmerkelijke restanten uit de prehistorie stuiten.
THE LARGEST SHIPS' GRAVEYARD IN THE WORLD
Robert Peacock
Generals Meadow, St. Clare Road, Walmer
Kent CT 147PY, United Kingdom
E-mail: email@example.com
Situated in Kent is an object that has been feared by sailors throughout the centuries: the Goodwin Sands, a ten mile sandbank which stretches from Ramsgate to Dover, approximately five miles offshore. Surrounding the Sands, are treacherous shoals swept by strong tides. It takes very little wind to cause tumultuous and confused seas. In thick fog, darkness and adverse weather it has been the downfall for vast amounts of seamen and their vessels.
In this area the sheer amount of shipwrecks are estimated in their thousands. It is only the constant movement of the Sands that has protected and hidden them from detection. Occasionally a discovery is found with monumental circumstances. The Bronze Age haul from the sea-bed near Dover proved to be the largest cache of axes, rapiers and spear heads to be located in the country, if not the world. The third rate man-of-war Stirling Castle, a warship from Queen Anne's navy, met her fate close to the Goodwins in the great storm of 1703. The ship emerged from a sand wave almost complete and inside her hull was an entire time capsule of life from the early eighteenth century. The following year two more ships, commissioned by Samuel Pepys, were also uncovered. Currents, weather, underwater visibility are a curse to the diving archaeologists. Also the movement of the sandbanks make identification of wrecks complicated, as they can disappear over a tide, as quickly as they were discovered.
The potential of the locale is so great that there are steps being taken to make it a region of world heritage. The treasure-house of antiquity and history is waiting to be established. Knowledge and restraint should be required of the divers, but bureaucratic legislation ought to be relaxed, to a certain degree, to encourage and not deter them.
Finance and equipment can overcome many of these problems, but it must be monitored by either the government or responsible bodies that are willing to invest in Britain's heritage that lies under the sea.
HET GROOTSTE SCHEEPSKERKHOF TER WERELD
Robert Peacock
Generals Meadow, St. Clare Road, Walmer
Kent CT 147PY, Verenigd Koninkrijk
E-mail: firstname.lastname@example.org
Voor de kust van Kent bevindt zich een zone die zeelieden reeds eeuwenlang vrees inboezemt: de Goodwin Sands, een tien mijl lange zandbank die zich uitstrekt van Ramsgate tot Dover ongeveer vijf mijl voor de kust. Rond de Sands bevinden zich verraderlijke ondiepe plaatsen, waar sterke getijden heersen. Daar is zeer weinig wind nodig om een woelige zee te krijgen. Bij dikke mist, duisternis en slechte weersomstandigheden hebben deze ondiepten reeds de ondergang betekend van ontelbare schepen met bemanning en passagiers.
Het volledige aantal scheepswrakken dat in deze zone onder het wateroppervlak ligt, wordt in de duizenden geschat. Het is enkel de constante beweging van de Sands die hen heeft beschermd en heeft vermeden dat ze werden ontdekt. Nu en dan wordt een vondst van kolossale omvang gedaan. De lading uit de bronstijd, die vanop de bodem van de zee bij Dover werd bovengehaald, bleek de grootste hoeveelheid bijlen, dolken en speerpunten te bevatten die ooit in het land of zelfs in de hele wereld werd gevonden. Het derderangsslagschip Stirling Castle, een oorlogsschip uit de vloot van Queen Anne, ging ten onder tijdens de grote storm van 1703 dicht bij de Goodwin Sands. Het schip kwam bijna intact uit een zandgolf tevoorschijn, en in de romp ervan werd als het ware een volledige tijdscapsule uit het begin van de achttiende eeuw aangetroffen. Het volgende jaar werden twee andere schepen, die werden gebouwd in opdracht van Samuel Pepys, eveneens blootgelegd. Stromingen, weersomstandigheden en de zichtbaarheid onder water zijn een vloek voor de duikers-archeologen. De constante bewegingen van de zandbanken bemoeilijken de identificatie van de wrakken eveneens, daar ze met het getij even snel kunnen verdwijnen als ze worden blootgelegd.
Het potentieel van de site is zo groot dat stappen worden ondernomen om deze in de lijst van het werelderfgoed op te nemen. Een schatkamer van de oudheid en de geschiedenis zal kunnen worden ingericht. Van de duikers wordt kennis en zelfbeheersing verwacht, maar de bureaucratische wetgeving moet tot op een zekere hoogte soepel zijn, zodat ze aangemoedigd, en niet afgeschrikt worden.
Financiering en het ter beschikking stellen van uitrusting kan veel van deze problemen overwinnen, maar de regering of verantwoordelijke groeperingen die bereid zijn te investeren in het onderzeese Britse erfgoed moeten controle uitoefenen.
DETERMINING THE ORIGIN OF ANCIENT SHIPS’ TIMBERS
Aoife Daly
Centre for Maritime and Regional Studies, Institute for History and Civilization, University of Southern Denmark, Niels Bohrs Vej 9-10, DK-6700 Esbjerg, Denmark
E-mail: email@example.com
One of the enormous advantages of the study of ancient shipwrecks is the fact that the ships usually have timber suitable for dendrochronological analysis. This of course means that a very precise chronological framework for ship archaeology has over the years been established. Developments though, in the dendrochronology field, means that information on the region of origin of the ships’ timbers is also now becoming widespread. For Northern Europe, a network of chronologies is established, allowing the identification for example of Southern Baltic timber in the west, or an Irish built ship in Scandinavia.
The technique used for determining the region of origin of ship timber has been based on use of large regional master chronologies, resulting in a provenance determination to the regional level. My current work has been to examine the possibility of identifying the timber’s origin to a more local level. Using tree-ring data from Northern Europe, which has very kindly been made available to me by various researchers and institutions (Mike Baillie, Ian Tyers, Cathy Tyers born Groves, Esther Jansma, Dieter Eckstein, Hans Hubert Leuschner, Tomasz Ważny, and the National Museum of Denmark), I have been regrouping the data, but into very small units. The measurements from every archaeological site or historic building are grouped into so-called site chronologies. This means that a much finer network of tree-ring references has gradually been constructed. I have then worked with the data, testing the usability of these smaller site chronologies in the provenance determination exercise. Using data from living trees, where the growth location of the trees is known, I have tested the limits of the technique. I have found that it is in many instances possible to identify the area of origin of oak timber to within a 50km radius.
The origin of the oak timber of medieval shipwrecks from Scandinavia are being analysed or reassessed using the new provenance determination technique and results are showing that the origin of the timber can be suggested to within a relatively small area. There are several instances where a very good result is achieved but others where the oak origin cannot be so well pinpointed. I find that the reason for this can usually be ascribed to the density of the network of the small site chronologies, as some regions are more densely covered while others are thinly represented in the oak building-timber tree-ring dataset. Let’s take some examples. Three ship finds, all dendrochronologically dated to the 1140s or 1150s, provide a clear demonstration of the results emerging from this new approach. The Eltang ship of Nordic type, located in Eltang Vig, a small inlet in Kolding Fjord in Southeast Jutland, was excavated in 1947 (Skov, 1952) and was dendrochronologically analysed in 1999 (Eriksen, 1999). The felling date for the oak timber from the ship is within the period AD 1138-1158. The region of origin of the timber, using the large regional master chronologies, was identified as local, as it matched best with West Denmark and Schleswig-Holstein chronologies. In my re-assessment of the provenance of this ship, using the new finer network of site chronologies, I find that the provenance determination can be refined, as the ship has its highest correlation with a site from western Jutland: a bridge construction over the River Skjern.
The second ship from this date which can be considered is the Kollerup wreck. This ship was found on the Northern Jutland coast and was excavated in 1978 (Kohrtz Andersen, 1983). The
ship is a cog and is dated dendrochronologically to the 1150s (Daly, 2000). In this original analysis, master chronologies were used in the determination of the provenance of the oak timber from this ship, but it was also noted that the ship had a strikingly high correlation with a site chronology from medieval timbers from the town of Haderslev, in Southeast Jutland. The conclusion reached was that the ship had its origin in southern Jutland. When tested again with the new fine network of site chronologies this conclusion is confirmed.
The third ship from this period is the Karschau ship, of Nordic type, found in the Schlei fjord in the Northern German state of Schleswig-Holstein. It was excavated in 2000 and 2001 (Kühn et al., 2000; Englert et al., 2000) and the dendrochronological analysis was carried out in 2005 (Daly, in press). The felling of the oaks used in this ship is dated to around the 1140s. When the correlation, between the tree-ring curve from this ship and the site chronology network, is calculated it was found that the ship is most similar to oak from medieval wells found in the town of Odense, on the island of Funen in Denmark.
Three ships then, whose timber origin would otherwise have been identified regionally, to Western Denmark, have been reassessed, and it is found that the area of origin of the oak can be specified. This is useful because now we have the possibility of achieving more detail in the description of medieval shipbuilding, where individual ship finds can be ascribed to smaller territories, allowing in turn a more detailed analysis of the technological development and historical context of the ships.
Incidentally, the Kollerup wreck mentioned here is the earliest cog find in the archaeological record. It is dated to the 1150s and built of timber that grew in southern Jutland. The but one oldest cog find is from Kolding Fjord in Southern Jutland. It is also dendrochronologically dated, to the winter of 1188-89. Its oak timber also grew in the Southern Jutland area. This is interesting because a clear pattern is emerging in relation to the timber provenance of Scandinavian cog finds. There are four ships, the Kollerup and Kolding finds as mentioned, the Skagen cog dated to c. 1195 (Eriksen, 1994), also found in Denmark, and the Kuggmaren 1 cog found in the Stockholm archipelago in Sweden (Adams and Rönnby, 2002) which has the precise felling date of spring/summer 1215. All four can be shown through dendrochronology to be of Danish oak timber. Another thirteenth century cog found at Bossholmen on the Swedish east coast (Cederlund 1990) is dated to c. 1250 (Bartholin, 1985). This cog is again built of Scandinavian oak but this time from Skåne, Southwest Sweden.
The cog finds from Scandinavia from the fourteenth century present quite a different picture in terms of their timber provenance. Lille Kregme from c. 1358 and Vejby from winter 1372 both found off the island of Zealand in Denmark, and the Skanör cog from the southwest tip of Sweden all were built of oak from the Southern Baltic region (Eriksen, 1992; Bonde and Jensen, 1995; Marek Krapiec, pers. commun.). This brings me to analyses of two other Scandinavian ship finds. They are both Norwegian finds, and are now both dendrochronologically dated to the end of the fourteenth century. They are cargo ships but they are not cogs as defined in Crumlin-Pedersen (2000), rather they belong to the late medieval cargo ship type with a curving stem and angled stern. The Avaldsnes ship was examined in 2004 (Alopaeus and Elvestad, in press 2006) and dendrochronological analysis shows that it was built in c. 1395 of Southern Baltic oak. The Bøle Wreck was found during dredging in the 1950s and due to recent salvage of the remaining ships timbers from the fjord, new research is being carried out on this find (Nymoen, 2005). The dendrochronological analysis for this ship shows that it was built of timber felled in the period AD 1376-96. The oak grew also in the Southern Baltic region.
Clearly there are interesting patterns emerging in the work on the identification of timber origin of ancient ships, which is enhancing our interpretation of the shipbuilding tradition and of timber resources.
References
Adams J. and J. Rönnby. 2002. Kuggmaren 1: the first cog find in the Stockholm archipelago, Sweden. International Journal of Nautical Archaeology 31:172-181.
Alopaeus and Elvestad. (in press). Avaldsnesskipet – et hanseatisk skip i kongens havn? Stavanger. Stavanger Museums Årbok.
Bartholin Thomas. 1985. Dendrokronologisk datering af Bossholmsvraket, Lunds Universitet, Kvartärgeologiska avdelningen. Unpublished report 30th January 1985.
Bonde Niels and Jørgen Steen Jensen. 1995. The dating of a Hanseatic cog-find in Denmark. What coins and tree rings can reveal in maritime archaeology. In: Olsen, Olaf et al. (Eds) Shipshape. Essays for Ole-Crumlin-Pedersen. On the occasion of his 60th anniversary February 24th 1995. 1st Ed. Roskilde:103-121.
Cederlund C.O. 1990. The Oskarshamm cog. Part I: development of investigations and current research. International Journal of Nautical Archaeology 19.3:193-206.
Crumlin-Pedersen O. 2000. To be or not to be a cog. International Journal of Nautical Archaeology 29.2:230-246.
Daly Aoife. (in press). The Karschau Ship, Schleswig-Holstein: dendrochronological results and timber provenance. International Journal of Nautical Archaeology.
Daly Aoife. 2000. Dendrokronologisk undersøgelse af skibsvrag ‘Kollerup kogge’, Nordjyllands Amt. Copenhagen.
Englert A., S. Hartz, H.J. Kühn, and O. Nakoinz. 2000. Ein nordisches Frachtschiff des 12. Jahrhunderts in der Schlei vor Karschau, Kreis Schleswig-Flensburg. Ein Vorbericht, Archäologische Nachrichten aus Schleswig-Holstein 11:34–57.
Eriksen Orla Hylleberg. 1992. Dendrokronologisk undersøgelse af skibsvrag fra Lille Kregme, Frederiksborg amt. Nationalmuseets Naturvidenskabelige Undersøgelser, rapport 31, 1st Ed. København.st
Eriksen Orla Hylleberg. 1994. Dendrokronologisk undersøgelse af tømmer fra vrag ved det hvide fyr i Skagen. Nationalmuseets Naturvidenskabelige Undersøgelser, rapport 17, 1st Ed. København.
Eriksen Orla Hylleberg. 1999. Dendrokronologisk undersøgelse af planker fra skibsvrag fundet ved Eltang, Vejle amt. Nationalmuseets Naturvidenskabelige Undersøgelser, rapport 50. København.
Kohrtz Andersen Per. 1983. Kollerupkoggen. 1st Ed. Thisted.
Kühn H. J., A. Englert, S. Hartz, O. Nakoinz and J. Fischer. 2000. Ein Wrack des 12. Jh. aus der Schlei bei Karschau. Nachrbl. Arbeitskreis Unterwasserarch. 7:42–45.
Nymoen P. 2005. Bølevraket i Skienselva i Telemark. Norsk Sjøfartsmuseum Årbok 2004, Oslo, 45-76.
Skov Sigvard. 1952. Et middelalderligt skibsfund fra Eltang Vig. Kuml: 65-83.
VASTSTELLING VAN DE OORSPRONG VAN HET HOUT VAN OUDE SCHEPEN
Aoife Daly
Centre for Maritime and Regional Studies, Institute for History and Civilization, University of Southern Denmark, Niels Bohrs Vej 9-10, DK-6700 Esbjerg, Denemarken
E-mail: firstname.lastname@example.org
Eén van de grote voordelen van de studie van oude scheepswrakken is het feit dat het hout van de schepen gewoonlijk geschikt is voor dendrochronologische analyse. Dat heeft er uiteraard toe geleid dat door de jaren heen een zeer precies chronologisch kader voor scheepsarcheologie werd ontwikkeld. Ontwikkelingen op het gebied van de dendrochronologie betekenen echter dat nu informatie over de streek van oorsprong van het scheepshout ook wijdverspreid wordt. Voor Noord-Europa werd een netwerk van chronologieën opgebouwd, waardoor de identificatie van bijvoorbeeld Zuid-Baltisch hout in het Westen, of een in Ierland gebouwd schip in Scandinavië mogelijk wordt.
De techniek die wordt aangewend voor het bepalen van de streek waar scheepshout vandaan komt, is gebaseerd op het gebruik van grote regionale basischronologieën, waardoor de bepaling van de oorsprong van hout op regionaal niveau kan gebeuren. Mijn huidige werkzaamheden bestaan erin de mogelijkheid te onderzoeken om de oorsprong van het hout op een meer lokaal niveau te achterhalen. De jaarringgegevens uit Noord-Europa, die mij vriendelijk ter beschikking werden gesteld door verschillende onderzoekers en instellingen, (Mike Baillie, Ian Tyers, Cathy Tyers-Groves, Esther Jansma, Dieter Eckstein, Hans Hubert Leuschner, Tomasz Ważny, en het Nationaal Museum van Denemarken) heb ik gehergroepeerd in zeer kleine eenheden. De metingen van elke archeologische site of historisch gebouw worden gegroepeerd in zogenaamde site-chronologieën. Dat betekent dat geleidelijk aan een veel fijner netwerk van jaarringreferenties tot stand is gekomen. Ik heb vervolgens met de gegevens gewerkt, en de bruikbaarheid van die kleinere site-chronologieën voor de bepaling van de oorsprong van het hout getest. Op basis van gegevens van levende bomen, waarvan de standplaats gekend is, heb ik de limieten van de techniek getest. Ik heb vastgesteld dat het in vele gevallen mogelijk is de oorsprong van eikenhout te bepalen tot binnen een straal van 50 km.
De oorsprong van het eikenhout van middeleeuwse scheepswrakken uit Scandinavië wordt op dit ogenblik geanalyseerd of opnieuw beoordeeld door middel van de nieuwe techniek voor het bepalen van de oorsprong, en de resultaten tonen aan dat de oorsprong van het hout nauwkeuriger kan worden achterhaald. Er zijn meerdere gevallen waarin een zeer goed resultaat wordt behaald, maar ook andere, waarbij de oorsprong van het eikenhout niet zo nauwkeurig kan worden bepaald. Ik heb ondervonden dat dit meestal kan worden toegeschreven aan de dichtheid van het netwerk van de kleine site-chronologieën. Dit netwerk is immers dichter voor bepaalde regio’s dan voor andere. Laten we enkele voorbeelden bekijken.
Drie vondsten van schepen, die allen door middel van dendrochronologie omstreeks 1140 of 1150 werden gedateerd, geven een duidelijk beeld van de resultaten van de nieuwe benaderingswijze. Het Eltang-schip van het Scandinavische type, dat werd gevonden in Eltang Vig, een kleine inham in de Kolding Fjord in Zuidoost-Jutland, werd opgegraven in 1947 (Skov, 1952) en werd in 1999 geanalyseerd door middel van dendrochronologie (Eriksen, 1999). Het eikenhout van het schip werd gekapt in de periode 1138-1158. Op basis van de
grote regionale basischronologieën werd bepaald dat het hout uit de streek zelf kwam, daar het
de meeste overeenkomsten vertoonde met de chronologieën van West-Denemarken en
Schleswig-Holstein. Tijdens mijn nieuwe beoordeling van de herkomst van dit schip, waarbij ik
gebruik maakte van het nieuwe, fijnere netwerk van site-chronologieën, stelde ik vast dat de
bepaling van oorsprong verfijnd kan worden, daar het schip de grootste samenhang vertoont
met een site uit West-Jutland: een brug over de Skjern-rivier.
Het tweede schip uit die periode is het wrak van Kollerup. Dat schip werd gevonden aan de kust
van Noord-Jutland en werd in 1978 opgegraven (Kohrtz Andersen, 1983). Het is een kogge en
werd door middel van dendrochronologie omstreeks 1150 gedateerd (Daly, 2000). Bij de
oorspronkelijke analyse werd voor de bepaling van de herkomst van het eikenhout gebruik
gemaakt van basischronologieën, maar er werd tevens opgemerkt dat het schip een
opmerkelijk grote overeenkomst vertoonde met een site-chronologie van middeleeuws hout uit
de gemeente Haderslev in Zuidoost-Jutland. De conclusie was dat het schip afkomstig was van
Zuid-Jutland. Die conclusie werd bevestigd na een nieuwe analyse aan de hand van het fijnere
netwerk van site-chronologieën.
Het derde schip uit die periode is het Karschau-schip, van het Scandinavische type, dat werd
gevonden in de Schlei-fjord in de Noord-Duitse staat Schleswig-Holstein. Het werd in 2000 en
2001 opgegraven (Kühn et al., 2000; Englert et al., 2000) en de dendrochronologische
analyse werd in 2005 uitgevoerd (Daly, ter perse). De eiken die voor dit schip werden gebruikt,
werden geveld omstreeks 1140. Bij het bepalen van de correlatie tussen de jaarringencurve van
dit schip en het netwerk van site-chronologieën werd vastgesteld dat het hout van het schip de
meeste gelijkenissen vertoont met eikenhout uit middeleeuwse waterputten die werden
aangetroffen in de stad Odense op het eiland Funen in Denemarken.
Het komt erop neer dat het hout van drie schepen, waarvan de oorsprong anders zou zijn
vastgesteld op de regio van West-Denemarken, opnieuw werd onderzocht, waarbij tot de
conclusie werd gekomen dat de streek van herkomst van het eikenhout nader kon worden
gespecificeerd. Dat is zeer nuttig, daar we hierdoor in de mogelijkheid zijn om meer
gedetailleerde gegevens te bekomen over de middeleeuwse scheepsbouw, waarbij individuele
vondsten kunnen worden gesitueerd in kleinere gebieden, wat op zijn beurt een meer
gedetailleerde analyse van de technologische ontwikkeling en historische context van de
scheepsbouw toelaat.
Overigens is het hierboven vermelde wrak van Kollerup de vroegste vondst van een kogge in de
archeologische geschiedenis tot nu toe. Het dateert uit de jaren 1150 en is gebouwd met hout
afkomstig van Zuid-Jutland. De op één na oudste kogge werd gevonden in de Kolding Fjord in
Zuid-Jutland. Het hout werd aan de hand van dendrochronologie gedateerd in de winter van
1188-89. Het eikenhout is eveneens afkomstig uit de streek van Zuid-Jutland. Dat is een
interessant gegeven, daar een duidelijk patroon zichtbaar wordt met betrekking tot de
oorsprong van het hout van de Scandinavische koggen die werden gevonden. Er zijn er vier in
het totaal, namelijk de voormalde vondsten in Kollerup en Kolding, de Skagen kogge daterend
uit ca. 1195 (Eriksen 1994), eveneens gevonden in Denemarken, en de Kuggmaren 1 kogge,
die werd gevonden in de archipel van Stockholm in Zweden (Adams en Rönnby, 2002). Van
deze laatste werd met nauwkeurigheid vastgesteld dat het hout afkomstig is van bomen die in
de lente/zomer van 1215 werden geveld. Van deze vier schepen kon op basis van
dendrochronologie worden aangetoond dat ze uit Deense eik zijn gemaakt. Een andere 13de-
eeuwse kogge, die werd gevonden te Bosshomen aan de Zweedse oostkust (Cederlund 1990)
is gedateerd ca. 1250 (Bartholin, 1985). Die kogge is eveneens gebouwd uit Scandinavische
eik, maar in dit geval uit Skåne in het zuidwesten van Zweden.
De vondsten van Scandinavische koggen uit de veertiende eeuw geven een heel ander beeld wat de herkomst van het hout betreft. De schepen Lille Kregme uit ca. 1358 en Vejby uit de winter van 1372, beiden gevonden voor de kust van het Deense eiland Zealand, en de Skanör kogge uit de zuidwestelijke punt van Zweden, waren zonder uitzondering gebouwd met eik uit de Zuid-Baltische regio (Eriksen, 1992; Bonde en Jensen, 1995; Marek Krapiec pers. mededeling). Dat brengt me bij de analyses van twee andere vondsten van Scandinavische schepen. Beide schepen werden gevonden in Noorwegen en werden op basis van dendrochronologie gedateerd in de late 14de eeuw. Het gaat om vrachtschepen, maar het zijn geen koggen, zoals die gedefinieerd worden in Crumlin-Pedersen (2000). Het zijn eerder laatmiddeleeuwse vrachtschepen met een gebogen boeg en een hoekige achtersteven. Het schip van Avaldsnes werd in 2004 onderzocht (Alopaeus en Elvestad, ter perse) en de dendrochronologische analyse heeft aangetoond dat het omstreeks 1395 werd gebouwd uit Zuid-Baltische eik. Het wrak van Bøle werd tijdens baggerwerkzaamheden gevonden in de jaren 1950. Dankzij de recente berging van de restanten van het scheepshout uit de fjord wordt nu nieuw onderzoek gevoerd met betrekking tot deze vondst (Nymoen, 2005). De dendrochronologische analyse van dit schip toont aan dat het is gebouwd uit hout dat gekapt werd in de periode tussen 1376 en 1396. De eik groeide ook in de Zuid-Baltische regio.
Er komen duidelijk interessante patronen naar voor via de werkzaamheden voor de bepaling van de oorsprong van het hout van oude schepen, die onze interpretatie van gebruiken in de scheepsbouw en de oorsprong van het scheepshout alleen maar versterken.
References
Adams J. and J. Rönnby. 2002. Kuggmaren 1: the first cog find in the Stockholm archipelago, Sweden. International Journal of Nautical Archaeology 31:172-181.
Alopaeus and Elvestad. (in press). Avaldsnesskipet – et hanseatisk skip i kongens havn? Stavanger. Stavanger Museums Årbok.
Bartholin Thomas. 1985. Dendrokronologisk datering af Bossholmsvraket, Lunds Universitet, Kvartärgeologiska avdelningen. Unpublished report 30th January 1985.
Bonde Niels and Jørgen Steen Jensen. 1995. The dating of a Hanseatic cog-find in Denmark. What coins and tree rings can reveal in maritime archaeology. In: Olsen, Olaf et al. (Eds) Shipshape. Essays for Ole-Crumlin-Pedersen. On the occasion of his 60th anniversary February 24th 1995. 1st Ed. Roskilde:103-121.
Cederlund C.O. 1990. The Oskarshamm cog. Part I: development of investigations and current research. International Journal of Nautical Archaeology 19.3:193-206.
Crumlin-Pedersen O. 2000. To be or not to be a cog. International Journal of Nautical Archaeology 29.2:230-246.
Daly Aoife. (in press). The Karschau Ship, Schleswig-Holstein: dendrochronological results and timber provenance. International Journal of Nautical Archaeology.
Daly Aoife. 2000. Dendrokronologisk undersøgelse af skibsvrag 'Kollerup kogge', Nordjyllands Amt. Copenhagen.
Englert A., S. Hartz, H.J. Kühn, and O. Nakoinz. 2000. Ein nordisches Frachtschiff des 12. Jahrhunderts in der Schlei vor Karschau, Kreis Schleswig-Flensburg. Ein Vorbericht, Archäologische Nachrichten aus Schleswig-Holstein 11:34–57.
Eriksen Orla Hylleberg. 1992. Dendrokronologisk undersøgelse af skibsvrag fra Lille Kregme, Frederiksborg amt. Nationalmuseets Naturvidenskabelige Undersøgelser, rapport 31, 1st Ed. København.
Eriksen Orla Hylleberg. 1994. Dendrokronologisk undersøgelse af tømmer fra vrag ved det hvide fyr i Skagen. Nationalmuseets Naturvidenskabelige Undersøgelser, rapport 17, 1st Ed. København.
Eriksen Orla Hylleberg. 1999. Dendrokronologisk undersøgelse af planker fra skibsvrag fundet ved Eltang, Vejle amt. Nationalmuseets Naturvidenskabelige Undersøgelser, rapport 50. København.
Kohrtz Andersen Per. 1983. Kollerupkoggen. 1st Ed. Thisted.
Kühn H. J., A. Englert, S. Hartz, O. Nakoinz and J. Fischer. 2000. Ein Wrack des 12. Jh. aus der Schlei bei Karschau. Nachrbl. Arbeitskreis Unterwasserarch. 7:42–45.
Nymoen P. 2005. Bølevraket i Skienselva i Telemark. Norsk Sjøfartsmuseum Årbok 2004, Oslo, 45-76.
Skov Sigvard. 1952. Et middelalderligt skibsfund fra Eltang Vig. Kuml: 65-83.
THE FLEMISH BANKS NAUTICAL CHART: A GATEWAY TO WRECKS
Nathalie Balcaen and Philippe Formesyn
Vlaamse Hydrografie, Afdeling Kust, IVA Maritieme Dienstverlening en Kust, Vlaams Ministerie van Mobiliteit en Openbare Werken, Vrijhavenstraat 3, B-8400 Oostende, Belgium
E-mail: email@example.com
The ‘Carte Générale des Bancs de Flandres’, the oldest nautical chart of the Flemish Hydrography service, dates from 1866 and does not show wreck positions. The oldest wreck lists preserved in the archives of the Flemish Hydrography service date from 1919. From then on, sea reports of shipmasters and correspondence of packet boat companies, tugs and pilot boats make mention of damage to ships caused by sudden contact with obstacles and wrecks. This information was systematically checked by the hydrography service by means of hydrographical soundings and the exact positions of the wrecks were indicated on the nautical charts. Even, reconnaissance flights were organised to determine wreck positions.
Especially the large number of wrecks in the channels off the Belgian coast after World War II represented a major shipping traffic problem. After the rightful owner had been identified, many wrecks were salvaged by the Belgian and British government. The hydrography service was ordered to draw up priority lists of the wrecks to be removed, taking into account the exact positions of the wrecks. The salvage of these wrecks frequently involved the use of explosives. Information on these salvage methods can equally be found in the archives of the Flemish Hydrography service. Determination of the exact position of these wrecks was not only important to ensure safe shipping traffic but also to inform relatives of people who had died at sea. This appears for example from various personal testimonies to be found in the archives of the Flemish Hydrography service.
The main task of the Flemish Hydrography service with regard to wrecks is still the determination of the exact position of the wreck, the depth at which the wreck can be found and the amount of water above the wreck. This is done on the basis of multi-beam measurements and side-scan sonar readings. This basic information as well as all other information at the disposal of the Flemish Hydrography service is made accessible to the public at large by means of the wreck database, which can be consulted on the website www.vlaamsehydrografie.be. This database currently holds information on 230 wrecks that are also located on the Flemish Banks Nautical Chart. The Flemish Hydrography service collaborates with the Flemish Heritage Institute by exchanging information and wishes to extend this collaboration in the future.
A new multi-beam echo sounder was bought and will be installed on the hydrographical vessel ‘Ter Streep’ in the summer of 2006. This new high-tech equipment is to enable the Flemish Hydrography service to map wreck positions in even greater detail in the future. A three-year programme is developed in order to re-examine all mapped wrecks. In the future the Belgian Continental Shelf will be examined more intensively with the multi-beam technique, which may result in the discovery of many additional and currently unknown wrecks.
DE ZEEKAART VLAAMSE BANKEN: EEN WEGWIJZER NAAR DE WRAKKEN
Nathalie Balcaen en Philippe Formesyn
Vlaamse Hydrografie, Afdeling Kust, IVA Maritieme Dienstverlening en Kust, Vlaams Ministerie van Mobiliteit en Openbare Werken, Vrijhavenstraat 3, B-8400 Oostende, België
E-mail: firstname.lastname@example.org
De oudste zeekaart van de Vlaamse Hydrografie ‘Carte Générale des Bancs de Flandres’ dateert van 1866 en vertoont geen wrakposities. De eerste wrakkenlijsten die terug te vinden zijn in het archief van de Vlaamse Hydrografie dateren van 1919. Vanaf deze datum wordt in zeeverslagen van schippers en in correspondentie van rederijen van pakketboten, sleepdiensten, loodsen,… melding gemaakt van averij aan schepen door onverwacht contact met obstakels en wrakken. Deze meldingen werden van dan af systematisch door de hydrografische dienst gecontroleerd door het uitvoeren van hydrografische peilingen en de nauwkeurig bepaalde wrakposities werden op de zeekaarten aangeduid. Er werden zelfs verkenningsvluchten met een vliegtuig uitgevoerd om wrakken op te sporen.
Vooral de vele wrakken in de vaargeulen voor onze kust vormden na de Tweede Wereldoorlog een groot probleem dat veilige scheepvaart enorm bemoeilijkte. Na het uitzoeken van de rechtmatige eigenaars werden vele wrakken opgeruimd door zowel de Belgische als de Britse overheid. De hydrografische dienst had tot taak een prioriteitenlijst op te stellen van de te verwijderen wrakken, met de vereiste aandacht voor de exacte wrakposities. Bij het opruimen van wrakken werd niet zelden gebruik gemaakt van explosieven. Ook over deze bergingsmethodes is nog informatie terug te vinden in het archief van de Vlaamse Hydrografie. De exacte locatie van deze wrakken is niet alleen belangrijk voor het verzekeren van een veilige scheepvaart maar ook voor het informeren van familieleden van gesneuvelden, zoals blijkt uit diverse persoonlijke getuigenissen, terug te vinden in het archief van de Vlaamse Hydrografie.
De kerntaak van de Vlaamse Hydrografie in de context van wrakken bestaat de dag van vandaag nog steeds uit het bepalen van de exacte positie, de diepte waarop het wrak gelegen is en de hoeveelheid water die zich boven het wrak bevindt. Dit gebeurt door middel van multibeam-metingen en side-scan-sonar opnames. Deze kerninformatie wordt, samen met andere informatie waarover de Vlaamse Hydrografie beschikt, toegankelijk gemaakt voor een breed publiek door middel van de wrakkendatabank, te consulteren op de website www.vlaamsehydrografie.be. In deze databank zijn momenteel 230 wrakken terug te vinden die eveneens op de zeekaart Vlaamse Banken zijn gevisualiseerd. De Vlaamse Hydrografie werkt samen met het Vlaams Instituut voor het Onroerend Erfgoed door het uitwisselen van informatie en wenst deze samenwerking in de toekomst nog verder uit te bouwen.
Een nieuwe multibeam-echosounder werd aangekocht en in de zomer van 2006 geïnstalleerd op het hydrografische schip ‘Ter Streep’. Deze nieuwe hightechapparatuur moet de Vlaamse Hydrografie toelaten om de wraklocaties nog meer in detail in beeld te brengen. Een driejaarprogramma wordt uitgewerkt om alle gekarteerde wrakken opnieuw op te meten. In de toekomst zal het Belgisch Continentaal Plat meer intensief met de multibeamtechniek worden opgemeten, wat kan leiden tot de ontdekking van vele bijkomende ongekende wrakken.
Session 4:
EXAMPLES OF PRESENTATIONS TO THE PUBLIC
Chair: Hubert De Witte, Curator Bruggemuseum
The searching, finding, excavation, recovery and display of Henry VIII’s Tudor warship *Mary Rose* is England’s most ambitious and long-standing underwater archaeological project. It began as a small operation with a local team of divers and during the 1970s and 1980s became world famous as the excavation was made available to the public through directed media coverage. When a substantial portion of the hull was lifted in 1982 television coverage ensured that 60 million people witnessed the event. When a portion of the stern was lifted to be reunited with the hull in 2005 satellite television and regular website updates ensured that the public had access to events as they occurred. So far over 7 million people have shared the *Mary Rose* experience by visiting the Museum, countless more through the website and a wide range of publications.
The success of the *Mary Rose* project is the result of many factors:
**The right product and the right people**
A highly unique product – an exceptionally well preserved, visually identifiable, section of a Tudor warship.
A marketable product – the favourite ship of England’s most famous monarch carrying an immensely rich assemblage of sixteenth century artefacts.
A dedicated team focused on a number of specific and stated aims.
Inclusion of the public through a directed public relations campaign from the beginning.
**The right time and the right place**
An economic climate which enabled funding the excavation through donations and sponsorship.
A political climate that agreed to, and therefore enabled, the excavation.
**Our objectives**
The project aims have never changed since the creation of the Mary Rose Trust in 1979:
‘To find, record, excavate, raise and bring ashore, preserve, publish, report on and display for all time in Portsmouth the Mary Rose to promote and develop interest, research and knowledge relating to the Mary Rose and all matters relating to underwater cultural heritage, wherever located. All for the education and benefit of the Nation.’
DE MARY ROSE 1545 – HET MULTI-STORY SCHIP
Alex Hildred
The Mary Rose Trust
1/10 College Road, HM Naval Base Portsmouth, PO1 3LX, Verenigd Koninkrijk
E-mail: email@example.com
De zoektocht naar, de blootlegging, de berging en de tentoonstelling van het oorlogsschip Mary Rose, dat tot de Tudor-vloot van Hendrik VIII behoorde, is het meest ambitieuze en langdurige archeologisch onderwaterproject van Engeland. Het begon als een kleinschalige operatie met een lokaal duikersteam en kreeg in de jaren ‘70 en ‘80 van de vorige eeuw wereldfaam toen de opgraving via de media voor het publiek toegankelijk werd. Toen in 1982 een aanzienlijk deel van de romp werd bovengehaald, waren 60 miljoen mensen daarvan getuige via de televisie. En wanneer in 2005 een deel van de boeg uit het water werd gehaald om met de romp samengevoegd te worden, kon het grote publiek de hele operatie rechtstreeks volgen door middel van satelliet-TV en geregelde vernieuwingen van de website. Tot nu toe hebben 7 miljoen mensen kennis gemaakt met de ‘Mary Rose’ door een bezoek aan het museum, en nog veel meer via de website of aan de hand van de talrijke publicaties.
Het succes van het het Mary Rose project is het resultaat van vele factoren:
**Het juiste product en de juiste mensen**
Een uniek product – een uitzonderlijk goed bewaard gebleven, visueel identificeerbaar deel van een oorlogsschip uit het Tudor-tijdperk.
Een marktgericht product – het favoriete schip van de beroemdste Engelse vorst met een schat aan zestiende-eeuwse voorwerpen aan boord.
Een toegewijd team legde zich toe op een aantal specifieke en goed gedefinieerde doelstellingen. Het publiek werd van bij het begin bij het project betrokken door een gerichte mediacampagne.
**De juiste plaats en het juiste ogenblik**
Het economische klimaat maakte de opgraving financieel mogelijk door schenkingen en sponsoring.
Het politieke klimaat stemde in met de opgraving en maakte de realisatie van het project aldus mogelijk.
**Onze doelstellingen**
De doelstellingen van het project zijn nog niet gewijzigd sinds de oprichting van de ‘Mary Rose Trust’ in 1979:
‘Opzoeken, registreren, opgraven, bergen, conserveren, publiceren, rapporteren en tentoonstellen van de Mary Rose in Portsmouth. Promoten en ontwikkelen van interesse, onderzoek naar en kennis van de Mary Rose en alles wat met het cultureel onderwatererfgoed te maken heeft, waar het zich ook bevindt. Dit alles ten voordele van de gemeenschap.’
A DUTCHMAN NO LONGER KNOWS HIS OWN PAST, THE ‘TVLIEGENT HART COLLECTION THEREFORE SEEMS TO HAVE BEEN HIDDEN IN THE MUZEEUM
Wilbert Weber
Zeeuws maritiem muZEEum Vlissingen
Nieuwendijk 15, 4381 BV Vlissingen, the Netherlands
E-mail: firstname.lastname@example.org
In 1729, construction of the 145 feet long return ship ‘Vliegent Hart started on the wharf of the Dutch East Indian Company in Middelburg. The three-master had a large storage capacity but was equally suited for passenger transport. After a successful first journey the ship left the roadstead of Rammekens on 3 February 1735 for a second journey to Asia. There were 256 persons on board and the ship carried the necessary provisions for the journey as well as a load of goods previously ordered in Asia, including three chests with golden and silver coins.
Due to a combination of misunderstandings the ship ran aground shortly after its departure on shallows off the coast of Walcheren. The ship managed to break loose but after a grim struggle the ship disappeared beneath the waves. All persons on board died and the cargo disappeared under the surface of the sea. A human as well as a financial tragedy. After a few fruitless attempts to salvage the cargo in the years immediately following the disaster the wreck sank into oblivion.
In 1980, an English-Dutch diving team embarked on the search for this wreck under the responsibility of Rex Cowan and in collaboration with the Rijksmuseum in Amsterdam. At that time much was known about the goods ships brought back from the Far East. Examination of the loads transported to Asia was far less interesting. The ‘Vliegent Hart was the first ship that offered the possibility to investigate this very aspect, especially because it had sunk so shortly after its departure. In spite of very difficult diving conditions large parts of the load were salvaged over the course of the last 30 years, including canned food, pipes, navigation instruments, tableware and ship components. In the mean time it has become possible to reconstruct daily life on board an 18th century East Indiaman. However, most attention was paid to the presence of three money chests holding 2000 golden ducates and 5000 silver reals as well as – very unique - smuggled money. Literature had suggested there was smuggled money on board and this was proved during the salvaging of the wreck. In short, the wreck of ‘Vliegent Hart offers tragedy and adventure. Ample opportunities to attract visitors, one would say.
According to market research on behalf of the Dutch media in the mid eighties of the previous century the subjects ‘maritime’ and ‘archaeology’ were listed in the top ten of the most interesting subjects. It is consequently quite logical that the discovery of a ship of the Dutch East Indian Company is covered in great detail in Dutch media. Any find from such a ship, especially if it concerns money, hits the headlines. It also seems logical to expect that people in the Netherlands are also interested in an underwater archaeology museum. However, the opposite appears to be true. The National Maritime History Centre (NISA) does not really attract an impressive number of visitors.
We are faced with a remarkable contradiction in the Netherlands. The Netherlands have a rich maritime history but most people in the Netherlands are not aware of this due to the absence of national pride combined with an educational system in which history lessons are not considered
very important. A number of planks of a medieval ship may be considered very interesting by specialists but will not mean anything to the average Dutchman. A museum on a historical subtopic such as the story of an 18th-century ship of the Dutch East Indian Company is almost doomed to fail.
In 1890 a city museum opened its doors in Vlissingen. In view of the location of this city by the sea it was quite logical to expect that local fishermen who recovered objects from the Westerschelde would contact the museum. In this manner the museum has assembled an impressive collection of archaeological objects fished from the bottom of the sea over the past 115 years. From 1980 the museum has also been involved in the investigation of the wreck of the East Indiaman ‘Wliegent Hart. From the mid-1990s this museum has supported the historical research for the salvaging of wrecks within the scope of the deepening of the Westerschelde. The eventual consequence is that half of the collection of this museum consists of objects originating from Zeeland wrecks and that the museum has in the mean time assembled the largest collection of objects from ships of the Dutch East Indian Company in the Netherlands.
This museum has specialised in the presentation of objects from wrecks. Regrettably, this did not have any effect on the number of visitors, which actually decreased significantly. In 2000 the city museum of Vlissingen had the opportunity to move to another site.
In view of the situation described above (extensive collection of maritime archaeological material but hardly any visitors considering that several generations in the Netherlands grow up without hardly any knowledge of the history of their country) it was decided to opt for a radically different way of presentation. In 2002 the renewed Zeeland museum muZEEum was opened to illustrate the link between Zeeland and the Sea. The central element of the museum is no longer the object but the attempt to have the people living in Zeeland see their own past, a history that is NOT taught at school; an attempt to renew the link with the sea, to stimulate people living in Zeeland to be proud of their past.
A very deliberate decision was made to no longer display the unique maritime archaeological collections separately but to have these collections act as aids in the story of the maritime history of Zeeland. The reactions of the visitors show that the objects do appeal to the visitors now that they are placed in a certain context. The muZEEum tells a story that is now unknown to or forgotten by entire generations. With a view to the emerging nationalist feeling this story appeals increasingly to the imagination in the Netherlands. The objects are hereby reduced to mere means, but functional means.
**Conclusion**
Each country deserves its own manner of museum presentation. The manner of presentation is determined by the way in which society looks at the past and can consequently not be adopted by another country. It is the result and an element of the society in question.
EEN NEDERLANDER KENT ZIJN EIGEN VERLEDEN NIET MEER, DE ‘TVLIEGENT HART COLLECTIE IS DAAROM SCHIJNBAAR VERSTOPT IN HET MUZEEUM
Wilbert Weber
Zeeuws maritiem muZEEum Vlissingen
Nieuwendijk 15, 4381 BV Vlissingen, Nederland
E-mail: email@example.com
In 1729 start op de VOC werf van Middelburg de bouw van het 145 voet (circa 40 meter) lange retourschip ‘tVliegent Hart. Een driemaster met een grote ladingcapaciteit, maar ook geschikt voor het vervoer van passagiers. Na een succesvolle eerste reis vertrok het schip op 3 februari 1735 voor een tweede reis naar Azië vanaf de rede van Rammekens met aan boord 256 opvarenden, proviand voor de reis en een lading goederen, die eerder besteld was in Azië, waaronder drie kisten met gouden en zilveren munten.
Door een combinatie van misverstanden loopt het schip kort na zijn vertrek vast op een ondiepte voor de kust van Walcheren. Het schip komt nog los, maar na een verbeten strijd verdwijnt het schip onder de golven. Alle opvarenden komen daarmee om en de lading verdwijnt onder de zeepsiegel. Een menselijke, maar ook financiële ramp. Na enkele nauwelijks geslaagde pogingen in de jaren direct na deze ramp om alsnog goederen van het wrak te bergen, verdwijnt het wrak in de vergetelheid.
In 1980 start een Engels-Nederlands duikteam onder de verantwoordelijkheid van Rex Cowan en met medewerking van het Rijksmuseum in Amsterdam een zoektocht naar dit wrak. Tot dan is vooral veel bekend over de lading die de Oost-Indiëvaarder terug brachten uit het verre Oosten. Onderzoek naar wat de schepen meenamen naar Azië was veel minder interessant. Het ‘tVliegent Hart was het eerste schip dat de mogelijkheid bood om juist dit aspect te onderzoeken, vooral omdat het zo kort na vertrek was gezonken. Ondanks zeer lastige duikomstandigheden zijn in de afgelopen 30 jaar grote delen van de lading geborgen, waaronder ingeblikt voedsel, pijpen, navigatie-instrumenten, kommaliewant, onderdelen van het schip. Ondertussen kan een beeld gereconstrueerd worden van het leven aan boord van een 18e-eeuwse Oost-Indiëvaarder. De meeste aandacht kreeg echter de aanwezigheid van drie geldkisten met in totaal 2000 gouden dukaten en 5000 zilveren realen en daarnaast – heel uniek – smokkelgeld. Het bestaan van smokkelgeld werd vanuit de literatuur vermoed. Het bewijs werd geleverd tijdens de berging van dit wrak. Kortom het wrak van ‘tVliegent Hart biedt drama en avontuur. Mogelijkheden genoeg zou je zeggen om veel bezoekers te trekken.
Volgens een marktonderzoek voor Nederlandse media midden jaren tachtig stonden de onderwerpen ‘maritiem’ en ‘archeologie’ in de top tien van de meest interessante onderwerpen. Het is dan ook niet vreemd dat als er VOC-schepen worden ontdekt, de Nederlandse media er bovenop springen. Elke vondst uit een VOC schip, vooral als het om geld gaat, is voorpaginanieuws. Het ligt dan in de verwachting dat in Nederland ook interesse zou zijn voor een museum over onderwaterarcheologie. Het tegendeel blijkt de waarheid. Het Nationaal Scheepshistorisch centrum (NISA) trekt niet echt een indrukwekkend aantal bezoekers.
We hebben te maken met een verbazingwekkende contradictie in Nederland. Nederland heeft een rijke maritieme historie, maar de meeste Nederlanders weten dat niet. De oorzaak ligt in een combinatie van afwezigheid van een nationale trots en een onderwijssysteem waarbij het geschiedenisonderwijs niet hoog staat aangeschreven. Een aantal planken van een
middeleeuws schip, hoe interessant voor de specialist dat dan ook mag zijn, zegt de gemiddelde Nederlander helemaal niets. Een museum over een historisch deelontwerp, zoals het verhaal over een 18e-eeuws VOC schip, is bijna gedoemd te mislukken.
In 1890 is in Vlissingen een stedelijk museum opgericht. Door de ligging van deze stad aan zee was het logisch dat lokale vissers met vondsten uit de Westerschelde aanklopten bij dit museum. Hierdoor is in de afgelopen 115 jaar een bijzondere collectie aan archeologische voorwerpen opgevist van de zeebodem ontstaan. Vanaf 1980 is dit museum ook betrokken bij het onderzoek naar het wrak van de Oost-Indiëvaarder ‘t Vliegent Hart. Vanaf het midden van de jaren negentig van de vorige eeuw heeft dit museum het historisch onderzoek voor de wrakkenberging in het kader van de uitdieping van de Westerschelde begeleid, met als uiteindelijk resultaat dat de collectie van dit museum voor de helft bestaat uit voorwerpen afkomstig van een Zeeuws wrak, ondertussen de grootste VOC-collectie in Nederland. Dit museum heeft zich gespecialiseerd in het presenteren van voorwerpen uit wrakken. Helaas had dit geen effect op het aantal bezoekers. Dit nam juist schrikbarend af. In 2000 kreeg het stedelijk museum Vlissingen de kans te verhuizen naar een andere huisvesting.
Met de hierboven geschetste situatie (een uitgebreide collectie met zeearcheologisch materiaal maar nauwelijks bezoekers, wetende dat er in Nederland generaties opgroeien die nauwelijks weet hebben van de geschiedenis van het eigen land) is gekozen voor een radicaal andere manier van presenteren. In 2002 werd het vernieuwde Zeeuws maritiem muZEEum geopend met als doel om de relatie van de Zeeuw met de ZEE te tonen. Niet het voorwerp staat meer centraal, maar een poging om de Zeeuwen hun eigen verleden te laten zien. Een geschiedenis die ze NIET mee krijgen via het onderwijs. Een poging om de band met de zee te herstellen, om de Zeeuw weer trots te laten zijn op zijn eigen verleden.
Heel bewust is gekozen om de unieke zeearcheologische collecties niet meer apart te tonen, maar een hulpmiddel te laten zijn van een Zeeuws maritiem geschiedenisverhaal. Aan de reactie van de bezoekers merken wij dat – nu de voorwerpen in een context zijn geplaatst – de objecten wel aanspreken. Het muZEEum vertelt een geschiedenis die tegenwoordig bij hele generaties onbekend is of vergeten. Een geschiedenis die, met een opkomend nationalistisch gevoel, in Nederland steeds meer tot de verbeelding spreekt. De voorwerpen zijn hierbij gereduceerd tot een middel, maar daardoor functioneel.
CONCLUSIE
Elk land verdient zijn eigen manier van museumpresentatie. De manier van presenteren wordt bepaald door hoe de samenleving naar het verleden kijkt en kan dus niet vertaald worden naar een ander land. Het is het resultaat en een onderdeel van de eigen samenleving.
THE BREMEN COG OF 1380
Lars U. Scholl
German Maritime Museum, University of Bremen
Hans-Scharoun-Platz 1, 27568 Bremerhaven, Germany
E-mail: firstname.lastname@example.org
The Bremen cog of 1380, discovered in Bremen’s Weser River, is one of the best known European ship finds. This Hanse cog is the most important exhibit in the Deutsches Schiffahrtsmuseum, the National German Maritime Museum in Bremerhaven.
On 8 October 1962, the dredger Arlésienne uncovered a wooden wreck while at work in a Bremen harbour basin. The salvage operation was conducted with utmost care. While it was quickly decided that the vessel was a cog, little information could be gained from the wreck with regard to its age. So, scientists had to obtain the exact age of the ship through analysis of the oak itself. Wood biologists were able to determine that the trees had been felled in 1378 and that the ship was built about two years later in 1380.
The main problems were storing the timbers and reconstructing the cog itself, which was dismantled and salvaged in approximately 2000 pieces. The cog parts were stored in large wooden tanks filled with a one-percent Fluralsil-BS solution.
When the German Maritime Museum was founded in 1971, the City of Bremen handed over the cog to the new museum which was prepared to carry out plans for reconstructing the vessel in a moist environment and for preserving it. On 1 November 1972, the keel of the 600 year old ship was laid for the second time. The work that followed had to be performed in an atmosphere of 97% humidity. In order to prevent the wood from drying out and from shrinking an automatic spraying equipment was installed. The most difficult and time consuming task was to find pieces that fitted together from the bulk of 45 tons of salvaged material and an incredible number of fragments. The fragments were fixed with a wet-wood glue tested beforehand in the laboratories. For the final joining of the planking to the ribs conical oak dowels, treenails were used. The high humidity made the wooden dowels swell and wedge themselves tightly in the old holes. This joining technique gave the ship a stability that was amazing. In 1979 the work was completed. The starboard is the “show” side of the cog. This side had been deeply buried in the bed of the River Weser. On the port side of the Hanse cog the last two planks are missing.
During the reconstruction phase several technical problems had to be solved. Visitors should be able to view the ship under reconstruction. Therefore, the building site had to be sealed off from the rest of the museum by a thin plastic wall, because high moisture level was needed to prevent the waterlogged wood from shrinking. The second demand made by scientists who planned the whole reconstruction was that the ship should be free standing after the preservation process was completed. Since the 600-year-old oak wood had considerable strength, experts from the Department of Ship Statistics suggested that the cog could be suspended from the ceiling by means of steel rods. A support system would also be built within the ship itself to lessen the strain created by the weight of heavy individual timbers such as the deck beams, stem and stern, post windlass and capstan.
With the reconstruction and the suspension completed, the building of a preservation tank which would contain the waterlogged wood for the next 15 to 20 years could begin. The solution was a stainless steel tank with large viewing windows in the upper area.
In order to preserve the ship’s timbers it was necessary to strengthen the wood so that it could dry out without the cell walls collapsing as the water evaporated. The preservation method had to stabilize the pieces of wood so that they retain the dimension they had in their waterlogged state. The only procedure known at that time was one using polyethylene glycol (PEG) to strengthen the fabric of the wood. In a first step PEG 200 – a low molecular weight PEG – was used and PEG 3000 – a high molecular weight PEG - in a second step. Once the PEG molecules have moved from the large pores into the cell walls they will have a much greater stabilizing effect than if they remain in the pores. Gradually the water in the wood will evaporate. In 2000, the drying process was finally completed, the tank dismantled and the cog placed on open display. Today we have to accept that the “immersion treatment” and the “suspension solution” give reason for concern. Waterlogged wood has its own peculiarities as all archaeologists know.
When the Bremen cog of 1380 sank in the River Weser she had never been at sea. Presumably she was torn from her ship by a great wave. So the information she contained is of greater interest to students of shipbuilding than to those who are interested in sailors and the conditions under which they lived.
The Bremen cog is more than just an example of a 14th century ship. She is also the end product of a long tradition of shipbuilding and design. Previously, our knowledge had come from written and pictorial records.
Table I. The Bremen cog of 1380
| Measurement | Value |
|------------------------------------|----------------|
| Overall length | 23.23m |
| Length on keel | 15.60m |
| Length of the mast | ca. 21m |
| Sail area | ca. 200m² |
| Overhang forward | 4.81m |
| Overhang aft | 2.25m |
| Weight of ship | ca. 60t |
| Maximum breadth | 7.62m |
| Cargo hold | ca. 143-160m³ |
| Cargo 38-42 rye last à 2000 kg | ca. 76-84t |
| Depth (incl. wash-board) | 4.26m |
| Depth (incl. Stem post) | 7.23m |
| Light draught | ca. 1.25m |
| Draught fully loaded | ca. 2.25m |
DE KOGGE VAN BREMEN UIT 1380
Lars U. Scholl
German Maritime Museum, University of Bremen
Hans-Scharoun-Platz 1, 27568 Bremerhaven, Duitsland
E-mail: email@example.com
De kogge van Bremen uit 1380, die werd ontdekt in de rivier de Weser in Bremen, is een van de bekendste maritieme vondsten van Europa. Deze Hanze-kogge is het belangrijkste tentoongestelde voorwerp in het Deutsches Schiffahrtsmuseum, het Nationale Duitse Maritieme Museum in Bremerhaven.
Op 8 oktober 1962 legde het baggerschip Arlésienne een houten wrak bloot terwijl het aan het werk was in een havenbassin van Bremen. De bergingswerken werden met de grootste zorgvuldigheid uitgevoerd. Hoewel reeds vlug werd vastgesteld dat het om een kogge ging, kon uit het wrak zelf weinig informatie worden afgeleid in verband met de leeftijd ervan. De wetenschappers moesten dus de precieze leeftijd van het schip bepalen op basis van een analyse van het eikenhout zelf. Houtbiologen slaagden erin te bepalen dat de bomen in 1378 waren geveld en dat het schip ongeveer twee jaar later, in 1380, was gebouwd.
Men werd geconfronteerd met de grootste problemen bij de opslag van het hout en bij de reconstructie van de kogge zelf, die werd ontmanteld en in ongeveer 2000 afzonderlijke stukken werd geborgen. De stukken van de kogge werden in grote houten vaten, gevuld met een oplossing van één procent Fluralsil-BS, bewaard.
Toen het Duitse Maritieme Museum in 1971 werd opgericht, droeg de Stad Bremen de kogge over aan het nieuwe museum, dat bereid was de plannen voor de reconstructie van het vaartuig in een vochtige omgeving en voor de conservering ervan uit te voeren. Op 1 november 1972 werd de kiel van het 600 jaar oude schip voor de tweede keer gelegd. De daaropvolgende werkzaamheden moesten worden uitgevoerd bij een relatieve vochtigheidsgraad van 97 %. Om te voorkomen dat het hout zou uitdrogen en krimpen, werd een automatische sproeiuitrusting geïnstalleerd. De moeilijkste en meest tijdrovende taak bestond uit het vinden van stukken die samen pasten uit de 45 ton geborgen materiaal en een onvoorstelbaar aantal fragmenten. De fragmenten werden aan elkaar gehecht met een lijm voor nat hout, die vooraf was getest in laboratoria. Voor het vasthechten van de beplanking aan de spanten werden conische eiken tappen gebruikt. De hoge vochtigheidsgraad deed de houten tappen opzwollen, zodat ze stevig vast kwamen te zitten in de oude gaten. Die verbindingstechniek verleende het schip een verbazingwekkende stabiliteit. In 1979 werden de werkzaamheden afgerond. De stuurboordzijde is de zijde van de kogge die het publiek te zien krijgt. Die zijde lag diep begraven in de bedding van de Weser. Aan de bakboordzijde van de Hanze-kogge ontbreken de laatste twee planken.
Tijdens de reconstructiefase moesten meerdere technische problemen worden opgelost. Bezoekers moesten de kans krijgen het schip te bekijken terwijl het gereconstrueerd werd. Daarom moest de werf van de rest van het museum worden afgeschermd met een dunne plastic wand, omdat een hoge vochtigheidsgraad nodig was om te voorkomen dat het met water doordrongen hout zou krimpen. De tweede vereiste die de wetenschappers die de reconstructie planden stelden, was dat het schip na voltooiing van het conserveringsproces vrij zou staan. Daar het 600 jaar oude eikenhout heel sterk was, stelden deskundigen van de Dienst voor Scheepsstatistiek voor de kogge aan het plafond op te hangen door middel van stalen kabels.
Binnenin het schip zelf zou een steunstructuur worden gebouwd om de spanning ontstaan door het gewicht van zware stukken hout zoals de dekbalken, de voor- en achtersteven, de ankerspil en de kaapstander, op te vangen.
Na voltooiing van de reconstructie en de ophanging kon aangevangen worden met de bouw van een reservoir waarin het met water doordrongen hout gedurende 15 tot 20 jaar zou worden bewaard. De oplossing bestond uit een reservoir in roestvrij staal met grote vensters bovenaan.
Voor de bewaring van het houtwerk van het schip was het noodzakelijk het hout te versterken, zodat het kon uitdrogen zonder dat de celwanden zouden instorten wanneer het water verdampte. Het doel van de bewaringsmethode was de stukken hout te stabiliseren, zodat ze na het drogen dezelfde afmetingen zouden behouden als in natte toestand. De enige op dat ogenblik gekende procedure was een techniek die gebruikmaakte van polyethyleenglycol (PEG) voor het versterken van de structuur van het hout. In een eerste fase werd PEG 200 – een PEG met laag moleculair gewicht – gebruikt en in een tweede fase werd gebruikgemaakt van PEG 3000 – een PEG met een hoog moleculair gewicht. Nadat de PEG-moleculen zich van de grote poriën naar de celwanden hebben verplaatst, hebben ze een veel groter stabiliserend effect dan wanneer ze in de poriën zouden blijven. Het water in het hout verdampt dan geleidelijk. In 2000 was het droogproces eindelijk voltooid, werd het reservoir afgebroken en werd de kogge in een open ruimte tentoongesteld. Vandaag kunnen we niet anders dan toegeven dat de “onderdompelingstechniek” en de “ophanging” aanleiding tot bezorgdheid geven. Zoals alle archeologen weten, heeft met water doordrenkt hout specifieke eigenschappen.
Toen de kogge van Bremen uit 1380 in de Weser zonk, was het schip nog nooit op zee geweest. Het werd hoogstwaarschijnlijk door een enorme golf van zijn aanlegplaats losgeslagen. De informatie die eruit kan worden afgeleid is dus van groter belang voor onderzoekers van scheepsbouw dan voor diegenen die interesse hebben voor zeelieden en de omstandigheden waaronder ze leefden.
De kogge van Bremen is meer dan alleen maar een voorbeeld van een 14de-eeuws schip. Het is het eindproduct van een lange traditie van scheepsbouw en -ontwerp. Voordien konden we onze kennis enkel halen uit geschreven bronnen en afbeeldingen.
| Tabel I. De Kogge van Bremen van 1380 |
|--------------------------------------|
| Totale lengte | 23,23m |
| Lengte van de kiel | 15,60m |
| Lengte van de mast | ca. 21m |
| Zeiloppervlak | ca. 200m² |
| Overhang vooraan | 4,81m |
| Overhang achteraan | 2,25m |
| Gewicht van het schip | ca. 60t |
| Maximale breedte | 7,62m |
| Laadcapaciteit | ca. 143-160m³ |
| Lading: 38-42 last rogge à 2000 kg | ca. 76-84t |
| Diepte (incl. zetboord) | 4,26m |
| Diepte (incl. voorsteven) | 7,23m |
| Ongeladen diepgang | ca. 1,25m |
| Diepgang met volledige lading | ca. 2,25m |
A MUSEUM AND A REPLICA: TO SEE OR NOT TO SEE
Willem Bijleveld
Nederlands Scheepvaartmuseum Amsterdam
Kattenburgerplein 1, 1018 KK Amsterdam, the Netherlands
E-mail: firstname.lastname@example.org
Since 1990 the replica of the East-Indiaman Amsterdam is part of the presentation of the Netherlands Maritime Museum in Amsterdam. The original ship set sail in 1749 for East India but never reached the shores of Java. In a severe storm south off the English coast the Amsterdam wrecked near Hastings. Today the remains are still visible at spring low tides. The plans to relocate the wreck to Amsterdam never materialised largely because of the high costs involved. The Amsterdam is literally one of the most visible Dutch East India Company wrecks.
In the 1980s it was decided to build a full scale replica, which currently is a powerful visitor attractor for the maritime museum in Amsterdam. In his contribution Willem Bijleveld will focus on the role of the replica in telling the story of the Dutch East India Company. The ethics of using replicas in the museum surrounding will be discussed and summarised in a list of do’s and don’ts. He will compare it with other museum presentation methods and will give examples of effective and evocative presentations for specific target groups.
Based on the experience with a whole range of presentation techniques the Netherlands Maritime Museum has started a major renovation project. The contribution will be concluded with an overview of the variety of exhibitions that will bring the maritime history of The Netherlands to life in the new museum.
Willem Bijleveld’s answer to the question ‘to see or not to see’ obviously will be: yes, go see it!
EEN MUSEUM EN EEN REPLICA: ZIEN OF NIET ZIEN
Willem Bijleveld
Nederlands Scheepvaartmuseum Amsterdam
Kattenburgerplein 1, 1018 KK Amsterdam, Nederland
E-mail: email@example.com
Sinds 1990 maakt de replica van de Oost-Indiëvaarder Amsterdam deel uit van de vaste tentoonstelling van het Nederlands Scheepvaartmuseum in Amsterdam. Het originele schip vertrok in 1749 naar Oost-Indië maar bereikte nooit de kusten van Java. In een zware storm voor de Engelse kust leed de Amsterdam schipbreuk nabij Hastings. Vandaag zijn de overblijfselen bij laagtij nog steeds te zien. De plannen om het wrak naar Amsterdam over te brengen werden nooit gerealiseerd, vooral omwille van de hoge kosten. De Amsterdam is letterlijk een van de meest zichtbare wrakken van de Verenigde Oost-Indische Compagnie.
In de jaren 1980 werd besloten een levensgrote replica te bouwen. Die replica is nu de grote publiekstrekker van het scheepvaartmuseum in Amsterdam. In zijn bijdrage zal Willem Bijleveld de nadruk leggen op de rol van de replica bij het vertellen van het verhaal van de Verenigde Oost-Indische Compagnie. De ethiek van het gebruik van replica’s in het museum zal worden besproken en samengevat in een lijst van zaken die wel en niet aanvaardbaar zijn. Hij zal die lijst vergelijken met de presentatiemethodes van andere musea en zal voorbeelden geven van opmerkelijke en levensechte presentaties voor specifieke doelgroepen.
Op basis van de ervaring die werd opgedaan met een hele reeks presentatietechnieken heeft het Nederlands Scheepvaartmuseum een groots renovatieproject opgestart. De bijdrage zal worden besloten met een overzicht over de verschillende tentoonstellingen die de maritieme geschiedenis in Nederland tot leven zullen brengen in het nieuwe museum.
Het antwoord van Willem Bijleveld op de vraag ‘zien of niet zien’ zal ongetwijfeld als volgt luiden: absoluut, ga het bekijken!
SWAP – SCOTTISH WETLAND ARCHAEOLOGY PROGRAMME AND INA-BODRUM
Fred Van de Walle
Flemish Heritage Institute (VIOE), Doornveld Industrie Asse 3 nr. 11 bus 30,
B-1731 Zellik, Belgium
E-mail: firstname.lastname@example.org
SWAP – Scotland
At the 1998 meeting of the Wetlands Archaeology Research Programme (WARP) a group of delegates with a common interest in Scotland’s wetland archaeology formed the Scottish Wetland Archaeology Programme, an informal group with the aim of promoting the study of wetland archaeology in this country. Formed from nine representatives from various academic and commercial institutions, SWAP initiated several programmes of wetland archaeological survey and excavation.
As outlined in recent summaries of SWAP’s work to date (a.o. Crone and Clarke), Scotland’s wetland archaeology as currently quantified falls into two broad categories: lacustrine and peatland archaeology. Successful research and management campaigns have been initiated in both branches since the inception of SWAP, with a programme of peatland survey at Moine Mhor in Argyll and an ongoing campaign of survey and monitoring of crannog sites in Dumfries and Galloway. Numerous assessments of the resource have also been undertaken by SWAP, and several technical reports on the current and potential methodologies have been produced. It was agreed that a coherent research agenda should be developed as the next stage in forming a concerted research effort. It is concerned with the current theoretical movements in wetland archaeological research, which aim to integrate wetland archaeological sites and landscapes into broader archaeological synthesis. Issues concerning specific site types are discussed, and recommendations for the development of new techniques for survey, excavation, recording and conservation are made. The result is to focus our research efforts on four study areas, each with different merits for wetland research, and to shortlist a group of sites as candidates for further work. Additionally, a principal aim is to identify candidate sites for a major excavation, designed to address research questions raised and to raise the profile of wetland research in Scotland. A recommended programme of five years of research is proposed.
The presentation will also address the SWAP policies concerning public outreach, contact with regional organizations and interested parties and issues related to conservation.
INA – Bodrum, Turkey
The short presentation will address the processes from conservation of excavated marine material to display and storage and its interaction with the public as part of INA’s public outreach policy. Underwater archaeology, as any other branch of archaeology, does not end with the excavation of the site. The excavation can be considered only as the first stage of the whole project; during that process, detailed cataloging, mapping and recording is done. The conservation and study of objects and the hull comes next, consuming a considerable amount of time. The preparation for the publication is the final step, including drawings, library research and a lot of thinking…!
References
Crone A. and C. Clarke. (forthcoming). *A Programme for Wetland Archaeology in Scotland in the Twenty-First Century.*
SWAP – SCOTTISH WETLAND ARCHAEOLOGY PROGRAMME EN INA-BODRUM
Fred Van de Walle
Vlaams Instituut voor het Onroerend Erfgoed (VIOE), Doornveld Industrie Asse 3 nr. 11 bus 30, B-1731 Zellik, België
E-mail: email@example.com
SWAP – Schotland
Tijdens de vergadering van het Wetland Archaeology Research Programme (WARP) in 1998 vormde een groep afgevaardigden met een gemeenschappelijke belangstelling voor de archeologie in de Schotse natte gebieden het Scottish Wetland Archaeology Programme, een informele groep die tot doel heeft de studie van de archeologie in de natte gebieden van Schotland te promoten. SWAP bestaat uit negen vertegenwoordigers van verschillende academische en commerciële instellingen en is de initiatiefnemer van meerdere programma’s voor archeologisch onderzoek en opgravingen in de natte gebieden.
Zoals beschreven in recente samenvattingen van het werk van SWAP tot op vandaag (o.a. Crone and Clarke), kan de archeologie van de Schotse natte gebieden zoals op heden gedefinieerd ruwweg in twee categorieën worden ingedeeld: lacustriene archeologie en veengebiedarcheologie. Sinds de oprichting van de SWAP werden in beide categorieën met succes onderzoeks- en beheersprogramma’s opgestart, onder meer een programma voor onderzoek van het veengebied in het natuurreservaat Moine Mhor in Argyll en een duurzaam programma voor het onderzoek en de opvolging van crannog sites in Dumfries en Galloway. Het SWAP heeft het onderzoekspotentieel meermaals beoordeeld, en meerdere technische verslagen over de huidige en potentiële onderzoeksmethodes opgemaakt. Er werd overeengekomen dat als een volgende fase in het gezamenlijke onderzoeksproces een samenhangende onderzoeksagenda zal worden ontwikkeld. Die zal gaan over de huidige theoretische tendensen in het archeologische onderzoek van de natte gebieden, waarmee wordt beoogd de archeologische sites en landschappen van het natte gebied te integreren in een ruimere archeologische synthese. Kwesties met betrekking tot specifieke type sites worden besproken, en aanbevelingen voor de ontwikkeling van nieuwe technieken voor onderzoek, opgravingen, registratie en instandhouding worden gedaan. Het resultaat hiervan is dat het onderzoek zal worden toegespitst op vier studiegebieden, elk met een verschillende meerwaarde wat het onderzoek van het natte gebied betreft en dat een lijst zal worden aangemaakt van een groep sites die eventueel geschikt zouden kunnen zijn voor verdere werkzaamheden. Bovendien bestaat een van de belangrijkste doelstellingen erin sites te vinden die geschikt zijn voor grote opgravingen, die een antwoord kunnen bieden op een aantal vragen en die het onderzoek in de natte gebieden van Schotland beter kunnen profileren. Een aanbevolen programma van vijf jaar onderzoek wordt voorgesteld.
De presentatie zal tevens de SWAP beleidslijnen met betrekking tot de publieke reikwijdte, het contact met regionale organisaties en betrokken partijen, evenals kwesties met betrekking tot de instandhouding behandelen.
INA – Bodrum, Turkije
De korte presentatie zal ook handelen over de processen gaande van de instandhouding van opgegraven maritiem materiaal tot de tentoonstelling en de opslag ervan, evenals de interactie met het publiek, en zal kaderen in het beleid inzake de publieke reikwijdte van INA. Net als elke andere tak van de archeologie eindigt onderwaterarcheologie niet bij de opgraving van de site. De opgraving kan enkel worden beschouwd als de eerste stap in het hele project; tijdens dat proces worden de vondsten in detail gecatalogiseerd, in kaart gebracht en geregistreerd. De instandhouding en de studie van de voorwerpen en de scheepsromp is een tweede, tijdrovende stap. De voorbereiding voor publicatie is de laatste stap, waarbij het maken van tekeningen, onderzoek in de bibliotheek en heel wat denkwerk komt kijken...!
Referentie
Crone A. and C. Clarke. (aangekondigd). A Programme for Wetland Archaeology in Scotland in the Twenty-First Century.
‘WORLDS BENEATH’: IN SITU PRESENTATION OF UNDERWATER SITES AND MONUMENTS VIA MOBILE PHONE
Mikkel Haugstrup Thomsen
Vikingeskibsmuseet
Vindeboder 12, DK-4000 Roskilde, Denmark
E-mail: firstname.lastname@example.org
In the summer of 2006 the Viking Ship Museum in Roskilde has launched the location-based information system "Worlds Beneath".
The system uses mobile internet to feed the user information about sites and monuments in the landscape – in this case on the seabed – while on the move. The information is targeted using the current position of the user as recorded by a GPS satellite navigator wirelessly connected to the mobile phone. Furthermore the user can participate in heritage monitoring by adding comments or even new sites directly from the phone.
It is expected that the system will raise awareness and hence support preservation of the often vulnerable underwater sites.
In collaboration with our partners: The National Museum of Denmark and the Danish National Cultural Heritage Agency we hope to propagate the use of the system throughout the heritage community.
‘WORLDS BENEATH’: IN SITU PRESENTATIE VAN SITES EN MONUMENTEN ONDER WATER VIA MOBIELE TELEFONIE
Mikkel Haugstrup Thomsen
Vikingeskibsmuseet
Vindeboder 12, DK-4000 Roskilde, Denemarken
E-mail: email@example.com
In de zomer van 2006 lanceerde het Vikingschipmuseum in Roskilde het locatiegebonden informatiesysteem ‘Worlds Beneath’.
Het systeem maakt gebruik van het mobiele internet om de gebruiker informatie te geven over sites en monumenten die zich in het landschap – in dit geval op de bodem van de zee – bevinden terwijl hij zich verplaatst. De informatie wordt doorgestuurd op basis van de plaats waar de gebruiker zich bevindt, zoals opgetekend door een GPS satellietnavigatior die is verbonden met de GSM. De gebruiker kan daarenboven actief bijdragen tot het beheren van het erfgoed door commentaar of zelfs nieuwe sites rechtstreeks van op de mobiele telefoon toe te voegen.
Er wordt verwacht dat het systeem het openbare bewustzijn zal doen toenemen en dus de instandhouding van de vaak kwetsbare sites onder water zal ondersteunen.
In samenwerking met onze partners, het Nationaal Museum van Denemarken en het Deens Nationaal Agentschap voor Cultureel Erfgoed, hopen we het gebruik van het systeem te kunnen uitbreiden tot de hele erfgoedgemeenschap.
THE PROVINCIAL MUSEUM OF WALRAVERSIJDE, FROM ARCHAEOLOGICAL RESEARCH TO A CULTURAL TOURISM PROJECT
Jan Durnez
Provinciehuis Boeverbos
Koning Leopold III laan 41, 8200 Sint-Andries, Belgium
E-mail: firstname.lastname@example.org
In the year 1992 Marnix Pieters, scientific attaché at the Archaeological Heritage Institute (IAP, the predecessor of the Flemish Heritage Institute or VIOE) excavated parts of late medieval houses in several trial trenches near the medieval Gravejansdijk dyke in Raversijde. It was immediately clear that more extensive research could yield important information on this Raversijde polder site. However, no one expected at that time that archaeological research would still continue after 15 years and would become increasingly important on an international level or result in the construction of a new provincial museum that not only pays attention to the site itself but also to maritime archaeological heritage in the broad sense.
When excavations began in 1992, Walraversijde was literally a ‘lost village’; at first sight there were no remains of the community aboveground. However, the study of preserved historical documents, paintings and maps and survey work on the beach by so-called amateur archaeologists such as André Chocqueel (1937-1952) and the couple Agnès Mortier (1955-1977) and Etienne Cools (1965-1977) made it possible to unravel a substantial part of the history of Walraversijde, including the Roman and even an older human presence.
Thanks to the natural environment of the site the medieval archaeological artefacts and traces have been preserved excellently, as a result of which finds are very numerous and diverse. As regards the medieval village of Walraversijde, the ‘beach’ and ‘polder’ sites were both inhabited during relatively short and well-defined time periods (from 1200 to 1400 and from 1400 to 1600 respectively) and were left almost undisturbed afterwards. This makes it possible to date the finds fairly accurately. In addition, the Province of West Flanders, the owner of the domain on which the Walraversijde polder site is located, ensured that archaeologists were not pressured to conclude their research, as is often the case with many archaeological projects nowadays. Such pressure may result in mistakes and prevent major discoveries. Only in very rare cases can a site be investigated systematically over a long period of time and can excavations be carried out in such a thorough manner that every find is registered and brought in relation with all other evidence. This is exactly what happens in Walraversijde and makes the site so special and interesting.
The excellent conservation conditions, archaeological richness and thorough research make Raversijde an archaeological site with possibilities not offered by most archaeological sites. The Province of West Flanders therefore decided in 1997 to interpret the results of the archaeological excavations as well as the already long-known historical facts and the fruits of future research in an ambitious site museum so as to disclose the remarkable results of the scientific research to the public at large. The central element of the museum is the unique reconstruction and interior design of four late medieval buildings as these may have looked like during the prime of Walraversijde around 1465.
It is clear that the actual archaeological excavations, the registration and recovery of finds and careful analysis and interpretation of everything found laid the foundations for the reconstruction. However, apart from the archaeological soil archives other sources had to be
used as well; as many old documents as possible to begin with. In this context Prof. Dr Dries Tys extensively studied the Belgian archives for information on Walraversijde within the scope of his Master’s and doctoral thesis while Dr Charles Kightly investigated several written sources in British archives. In addition, the prime of Walraversijde coincided with the Golden 15th Century of Flemish Painting, in which artists such as van Eyck, van der Weyden and Memling as well as numerous anonymous manuscript painters illustrated the daily life of that time with photographic realism. When analysed thoroughly, their work may contribute significantly to our understanding of the site; mainly by showing us the original undamaged objects, of which fragments have been excavated that were damaged and had discoloured after centuries in the soil. The same applies to the original 15th century furniture and accessories conserved and exhibited in museums in Flanders and abroad. The study of these sources was especially taken care of by Dr Kightly.
Whether it concerns archaeological, written or iconographic sources, each individual piece of evidence was used separately but especially in order to shed more light on all other elements. The entire project is the result of dynamic collaboration between a group of people that all depended on each other: archaeologists, analysts of finds, historians specialized in the study of written and iconographic sources as well as the numerous craftsmen making the replicas. All of them made a vital contribution to the evocation of a medieval fishermen community to the public. It was important that the reconstruction was carried out as faithfully as possible. All initiatives taken were based on hard evidence, preferably from as many sources as possible. In addition, authentic materials and techniques were used wherever possible. The original medieval bricks found *in situ* were for example used for the outer face of the walls and the oak roof structures were copied from still existing Flemish houses near Walraversijde.
On 24 June 2000, the day of the Solstice and of the patron saint of the Walraversijde fishermen John the Baptist, three reconstructed houses and a bakery/smokehouse as well as an interactive museum interpreting the diverse historical sources of this once thriving fishermen community were opened to the public. The museum in the first place puts a clear end to the popular idea that Walraversijde was a poor fishing village. The reconstructed houses show the social differentiation within the fishermen community through the differences in size and interior design. Through the audio guide, visitors have the chance to explore the reconstructed houses while listening to the voices of some medieval inhabitants telling about their social position, work and lifestyle…
After exploring the houses visitors come by the reconstruction of an archaeological excavation and eventually arrive at the interpretation centre. In this centre visitors are given a complete overview of the history of the site. A rich amount of beach finds demonstrates human presence during the Roman era and even before as well as the existence of Walraversijde in the 13th and 14th centuries. Finds from the polder site are furthermore used to illustrate the late medieval life in the fishing settlement thematically. Audio guides, computers, cartoons, images from that time and naturally the authentic objects in the display cases give visitors a more accurate picture of the environment, fishing industry, trade and (international) trade contacts, shipwrecks and beachcombing, piracy and war and other risks at sea, clothing, household goods, hygiene, religious life and free time. Mouth bows and staffs, clubs for ‘golfing’, various kinds of toys for young and old or for example a pair of glasses ensure that visitors have even more respect for the late medieval fishermen living at the North Sea coast.
A final section of the museum focuses on the further history of Walraversijde after its prime halfway the 15th century. Special attention is paid to the role Walraversijde played during the Siege of Ostend of 1601-1604, when a Spanish cavalry camp was set up at the site.
Since the museum was established in 2000 special efforts have been made to distribute all information obtained from constantly expanding scientific research to the public at large as much as possible through publications, adjustment and expansion of the permanent museum collection, temporary exhibitions, the granting of loans and the organisation of all kinds of meetings, including workshops, colloquia, conferences and academic lectures.
Further research will no doubt result in new and surprising finds, such as the discovery of a Roman dyke at the end of 2005. However, (Wal)Raversijde is already an archaeological site of major importance thanks to its ‘beach’ and ‘polder’ sites, and not only because of the finds that may be made.
The first reason is that Walraversijde has so far been the only medieval fishermen community in Europe that is studied in such a thorough and systematic manner. Partial excavations naturally took place in numerous fishing villages and other sites along the coast, but most of these places are still inhabited. Walraversijde is the only site that offers the possibility to study a ‘sealed time capsule’ filled with data on life at sea in late medieval and early modern times.
Secondly, the prime of Walraversijde halfway the 15th century coincided with a period in which Flemish artists were very productive. Pictorial sources are numerous and useful for the interpretation and reconstruction. Documentary sources have equally revealed much about the history of the settlement and its inhabitants.
The lost settlement of Walraversijde is furthermore important because the site was opened to the public in a unique manner thanks to the insight of the Province of West Flanders. Efforts were not limited to the reconstruction of part of the settlement but also encompassed the establishment of an interactive interpretation centre on the basis of the latest technology with the intention to appeal to a wide public, ranging from occasional tourists over students to well-informed experts.
HET PROVINCIAAL MUSEUM WALRAVERSIJDE, VIA ARCHEOLOGISCH ONDERZOEK TOT EEN CULTUURTOERISTISCH PROJECT
Jan Durnez
Provinciehuis Boeverbos
Koning Leopold III laan 41, 8200 Sint-Andries, België
E-mail: email@example.com
In 1992 werden door Marnix Pieters, wetenschappelijk attaché bij het Instituut voor het Archeologisch Patrimonium (IAP, de voorganger van het Vlaams Instituut voor het Onroerend Erfgoed, VIOE), te Raversijde, in enkele proefsleuven nabij de middeleeuwse Gravejansdijk delen van laatmiddeleeuwse plattegronden blootgelegd. Meteen was het duidelijk dat een grondiger onderzoek belangrijke informatie over deze site Raversijde-polder kon opleveren. Niemand kon toen weliswaar vermoeden dat het archeologisch onderzoek 15 jaar later nog steeds verdergezet zou worden en internationaal steeds meer aan belang zou winnen of aanleiding zou geven tot de uitbouw van een nieuw provinciaal museum met niet enkel aandacht voor deze vindplaats maar voor het maritiem archeologisch patrimonium in brede zin.
Toen de opgraving in 1992 begon, was Walraversijde letterlijk een ‘verloren dorp’; bovengronds herinnerde er op het eerste zicht niets meer aan. Door de studie van wat aan historische documenten, schilderijen en kaarten restte, door de oppervlakteprospectives van het strand door zogenaamde amateurarcheologen, zoals bijvoorbeeld de heer André Chocqueel (1937-1952) en het echtpaar Agnès Mortier (1955-1977) en Etienne Cools (1965-1977), kon men evenwel reeds heel wat van de geschiedenis van Walraversijde achterhalen. Ook over Romeinse en nog oudere menselijke aanwezigheid op deze plaats overigens.
De natuurlijke omgeving van de site heeft ervoor gezorgd dat de middeleeuwse archeologische artefacten en sporen uitstekend bewaard gebleven zijn, met als resultaat dat de vondsten talrijk en zeer divers zijn. Wat het middeleeuwse Walraversijde betreft, werden de twee verschillende sites ‘strand’ en ‘polder’ gedurende relatief korte en welomlijnde perioden bewoond (resp. 1200 tot 1400 en 1400 tot 1600) en nadien vrijwel ongemoeid gelaten. Daardoor is het mogelijk de vondsten vrij precies te dateren en dankzij de Provincie West-Vlaanderen, eigenaar van het terrein waarop de site Walraversijde-polder ligt, hebben de archeologen hier, in tegenstelling tot vele hedendaagse archeologische projecten, geen druk gekend om het onderzoek inderhaast af te ronden, waardoor fouten hadden kunnen worden gemaakt en belangrijke ontdekkingen gemist. Slechts zeer zelden kan een vindplaats over een lange periode systematisch onderzocht worden en kan de opgraving zo grondig uitgevoerd worden dat elke vondst wordt geregistreerd en in relatie gebracht tot alle ander bewijsmateriaal. Dit is precies wat in Walraversijde gebeurt en wat de site zo speciaal en zo interessant maakt.
Door de uitstekende bewaringsomstandigheden, de rijkdom van de site en het grondige onderzoek ervan, biedt Raversijde ook mogelijkheden die de meeste archeologische vindplaatsen niet in zich dragen. In 1997 besliste de provincie West-Vlaanderen dan ook de resultaten van de archeologische opgraving, samen met de reeds langer gekende historische feiten en de vruchten van nieuw te voeren onderzoek, te interpreteren in een ambitieus sitemuseum met de bedoeling de opmerkelijke resultaten van het wetenschappelijke onderzoek aan een breed publiek bekend te maken. Als centrale blikvanger werd gekozen voor de unieke reconstructie en inrichting van vier laatmiddeleeuwse gebouwen zoals ze er tijdens de bloeitijd van Walraversijde omstreeks 1465 uitgezien kunnen hebben.
Het is duidelijk dat de fundamenten voor de reconstructie de eigenlijke archeologische opgraving, de registratie en recuperatie van de vondsten, en het zorgvuldig analyseren en interpreteren van wat gevonden werd, waren. Maar naast het archeologisch bodemarchief moesten dus nog andere bronnen aangetoord worden; om te beginnen zo veel mogelijk oude documenten. Zo werd door Prof. Dr. Dries Tys voor zijn licentiaats- en doctoraats-verhandelingen grondig onderzoek gevoerd naar wat in de Belgische archieven over Walraversijde te vinden is en bestudeerde Dr. Charles Kightly enkele geschreven bronnen in Britse archieven. Maar de bloeiperiode van Walraversijde viel samen met de ‘gouden 15de eeuw’ van de Vlaamse schilderkunst, toen kunstenaars als van Eyck, van der Weyden en Memling, evenals een rist anonieme schilders van manuscripten, het toenmalige leven met fotografisch realisme illustreerden. Aandachtig ontleed kan hun werk in belangrijke mate bijdragen tot ons begrip van de site; niet in het minst door ons de originele onbeschadigde objecten te tonen waarvan enkel fragmenten werden opgegraven, beschadigd en verkleurd na eeuwen in de grond. Dat kunnen ook het originele 15de-eeuwse meubilair en toebehoren, bewaard en tentoongesteld in musea in Vlaanderen en elders. Het onderzoek van deze bronnen was vooral het werk van Dr. Kightly.
Of het nu archeologisch, geschreven of visueel is, elk afzonderlijk bewijselement werd apart gebruikt, maar ook vooral om meer licht te werpen op alle andere. Het ganse project is het resultaat van een dynamische samenwerking geworden tussen een van elkaar afhankelijke groep mensen: archeologen, analisten van vondsten, historici gespecialiseerd in de studie van geschreven en visuele bronnen tot de vele ambachtslui die de replica’s vervaardigden. Allen droegen hun onmisbaar aandeel bij om de evocatie van een middeleeuwse vissersgemeenschap voor het publiek te realiseren. Het was belangrijk dat de reconstructie zo getrouw mogelijk werd uitgevoerd. Niets werd ondernomen zonder dat er harde bewijzen voor waren, liefst uit zoveel mogelijk bronnen. Bovendien werd waar mogelijk met authentieke materialen en technieken gewerkt.
Zo werden bijvoorbeeld voor de reconstructie de middeleeuwse bakstenen van de site gebruikt voor de buitenbekleding van de muren en werden de eiken dakstructuren gekopieerd van nog bestaande Vlaamse huizen nabij Walraversijde.
Op 24 juni 2000 - de dag van de zonniewende en de feestdag van de beschermheilige van de vissers van Walraversijde, Johannes De Doper – werden drie gereconstrueerde woningen en een bakkerij/rokerij voor het publiek opengesteld, samen met een interactief museum dat de diverse historische bronnen van deze eens bloeiende vissersgemeenschap interpreteert.
Het museum wist bij de bezoekers eerst en vooral duidelijk de gedachte uit dat Walraversijde een ‘arm vissersdorp’ was. De gereconstrueerde woningen tonen de sociale differentiatie binnen de vissersgemeenschap door hun verschillende grootte en inrichting. De bezoeker van de gereconstrueerde woningen wordt via een audiofoon begeleid door de stemmen van enkele middeleeuwse bewoners die vertellen over hun sociale positie, hun arbeid en hun levenswijze…
Na het bezoek aan de woningen komt men via de reconstructie van een archeologische opgraving in het interpretatiecentrum. Daar krijgt de bezoeker een volledig overzicht van de geschiedenis van deze locatie. Een rijke hoeveelheid strandvondsten levert bewijs van menselijke aanwezigheid tijdens de Romeinse periode en zelfs daarvoor, en natuurlijk van het 13de-14de-eeuwse Walraversijde. Aan de hand van de vondsten van de poldersite wordt het laatmiddeleeuwse leven in de vissersnederzetting thematisch behandeld.
Met behulp van audiofoon, computers, cartoons, afbeeldingen uit die tijd en natuurlijk de authentieke voorwerpen in de vitrines krijgt men een vollediger beeld van het milieu, de visserij, de handel en de (internationale) handelscontacten, het roven of plunderen van wrakken en het strandjutten, de piraterij en de (oorlogs)gevaren op zee, de kledij, de huisraad, de hygiëne, het
religieus leven en het vrijetijdsleven. Mondharpen en notenbalken, kolfstokken om te ‘golfen’, diverse soorten speelgoed voor jong en oud, of bijvoorbeeld een bril zorgen ervoor dat de bezoeker nog meer respect krijgt voor de laatmiddeleeuwers aan de Noordzeekust.
Een laatste museumluik toont de verdere geschiedenis van Walraversijde na de bloeitijd halfweg de vijftiende eeuw. Daarbij wordt vooral de nadruk gelegd op de rol die Walraversijde speelde tijdens het Beleg van Oostende 1601-1604, toen er een Spaans cavaleriekamp werd opgeslagen.
Sinds de oprichting van het museum in 2000 is de publiekswerking van het museum erop gericht de informatie die het steeds verdergaand wetenschappelijk onderzoek oplevert, onder een zo ruim mogelijk publiek te verspreiden via bijvoorbeeld publicaties, het aanpassen en uitbreiden van de vaste museumopstelling, tijdelijke tentoonstellingen, het verlenen van bruiklenen, het organiseren van allerlei bijeenkomsten: workshops, colloquia, conferenties, academische zittingen...
Zonder twijfel zal verder onderzoek nieuwe en verrassende zaken opleveren, zoals eind 2005 nog de ontdekking van een Romeinse dijk. Maar nu reeds is (Wal)Raversijde (met de sites ‘strand’ en ‘polder’) een archeologische vindplaats van uitzonderlijk belang; niet enkel door wat er gevonden kan worden.
In de eerste plaats doordat Walraversijde tot nu toe de enige middeleeuwse vissersgemeenschap in Europa is die zo grondig en systematisch wordt bestudeerd. Gedeeltelijke opgravingen hebben uiteraard plaatsgevonden in tal van vissersdorpen en kustplaatsen, maar de meeste daarvan zijn nog steeds bewoond. Nergens anders dan in Walraversijde is het mogelijk om een ‘verzegelde tijdscapsule’ vol gegevens over het leven aan zee in de late middeleeuwen en in het begin van de nieuwe tijd te bestuderen.
De bloeitijd van Walraversijde midden de 15de eeuw viel ook samen met een periode waarin Vlaamse kunstenaars zeer productief waren. De picturale bronnen zijn talrijk en nuttig voor de interpretatie en de reconstructie. Documentaire bronnen hebben eveneens veel onthuld over de geschiedenis van de nederzetting en de inwoners.
Tenslotte is de verdwenen middeleeuwse gemeenschap van Walraversijde belangrijk omdat de site op een unieke manier werd opengesteld voor het publiek – dankzij het inzicht van de Provincie West-Vlaanderen. Niet alleen werd een deel van de nederzetting gereconstrueerd: er werd ook gebruik gemaakt van de meest geavanceerde technologie om een interactief interpretatiecentrum in te richten, dat bedoeld is om een breed publiek aan te spreken – van de toevallig voorbijkomende toerist, over de scholier tot de goed geïnformeerde expert.
Organized by:
Vlaams Instituut voor het Onroerend Erfgoed
Wetenschappelijke Instelling van de Vlaamse Gemeenschap
Provincie West-Vlaanderen
Door mensen gedreven
VLIZ
PORT AUTHORITY
ZEEBRUGGE
bruggemuseum
AFDELING KUST|MDK
Mobilité en Openbare Werken
UNIVERSITEIT GENT
NATA
Natuurhistorisch-Archaeologisch Tropen-Aquarium
v.z.w. Maritieme Archeologie
NELUS
Coordination:
Dr Marnix Pieters,
head of the Maritime Archaeology and Heritage Af Loat unit of the Flemisch Heritage Institute (VIOE)
|
Review Methods
Search Strategy:
A systematic search was conducted across a wideranging set of databases: Ovid Medline, including InProcess & Other Non-Indexed Citations, Ovid Embase, Ovid HMIC, Ovid PsycINFO, Ebsco CINAHL and Wiley Cochrane Library.
The preliminary search strategy was developed on Ovid Medline using both text words and Medical subject headings from January 2011 to February 2021 and restricted to English language only. The search strategy was modified to capture indexing systems of the other databases. (Search strategies available upon request).
Furthermore, to identify additional papers, the electronic tables of content for the last two years were scanned in the following journals:
* BMJ Supportive & Palliative care
* International Journal of Palliative Nursing
* Palliative Medicine
Reference lists of systematic reviews were checked for any relevant studies. The searches generated 176 citations after removing duplicates and irrelevant records. Figure 1 represents the flow of information through the different phases of the review.
Inclusion: Adults >18 years old with a life limiting cancer treated in/at an oncology inpatient service,
Exclusion:
Studies set in non-Organization for Economic Cooperation and Development (OECD) countries; Case series studies consisting of less than 25 patients; non -English language studies
Study selection/Quality Assessment/Data Extraction:
Study selection was based upon review of the abstract by two independent reviewers. The full text was then assessed independently using a predesigned eligibility form according to inclusion criteria. Data extraction and quality assessment of the eligible studies was carried out by one reviewer and checked by another for accuracy. Quality assessment was carried out using the Specialist Unit for Review Evidence (SURE) checklist (https:// www.cardiff.ac.uk/specialist-unit-for-reviewevidence/resources/critical-appraisal-checklists). Any discrepancies between the two reviewers were resolved by consensus or by recourse to a third reviewer.
What is the evidence base for early palliative care integrated with acute oncology services in terms of oncology patient reported experience and outcomes, quality of life, and cost effectiveness?
Context
Many acute hospital settings include both 'Acute Oncology Services' (AOS) and Specialist Palliative Care (SPCT) liaison teams that contribute to the management of complex cancer patients. Acute oncology services tend to provide advice on management of cancer related issues including oncological emergencies, streamlined access to site specific oncology teams or the patient's own oncologist, and specialist oncology services like emergency radiotherapy (National Chemotherapy Advisory Group 2009).
The role of the SPCT is broad and includes advice on management of symptoms, emotional support for patients and their families, complementary therapies, assistance with discharge planning for last days of life and for complex communication. Within these roles there is sometimes crossover requiring the teams to work together closely alerting each other to patients who may benefit from the other's specialism.
There is reported evidence that meeting a specialist palliative care team early in the patient's oncological journey can improve several outcomes including symptom severity, quality of life (Zimmermann et al. 2014) and mood (Temel et al. 2010) compared to standard oncological care (Zimmermann et al. 2014, Greer et al. 2013).
The aim of this rapid review was to look at models where acute oncology and specialist palliative care teams worked together when a patient was admitted acutely to hospital to see if this combined approach improved patient outcomes. In the review itself, given the recent emergence of AOS, we didn't find evidence for specific integration of AOS and SPCT models. There was evidence for the impact of palliative care intervention for oncology patients when admitted to acute sector.
Key Findings
Out of 342 studies initially identified, 178 abstracts were screened, and 26 papers retrieved. Of those full papers reviewed, 6 studies out of 7 publications are included in this review. None of the studies were based in the UK and therefore none were investigating a healthcare system directly comparable to that of the NHS. Two studies primarily focused on direct patient reported outcomes such as quality of life or symptom burden as length of stay, readmission rates, cost and subsequent treatments (Adelson 2017, Brinkman-Stoppelenburg et al
(Brinkman-Stoppelenburg et al. 2020b, Rocque et al. 2015). Four studies focused mainly on economic outcomes such 2020a, May et al. 2015, Riedel et al. 2017).
There is some evidence that palliative care consultation reduced readmission rates, increased hospice use and reduced chemotherapy post discharge. Adelson et al. (2017) demonstrated that palliative care consultation significantly reduced readmission rates at 30 days post discharge from 35% to 18% (p=0.04 ). Riedel et al. (2017) demonstrated a significant reduction (OR of 0.76) for 7-day readmission (95% CI, 0.58 to 1.00; p=0.048 ) but this was not statistically significant at 30 days. Hospice inpatient unit referrals increased from 14% to 26% with automatic referral to palliative care review for patients with advanced cancer (p=0.03) and receipt of chemotherapy post discharge was reduced from 44% to 18% (p=0.03) (Adelson et al. 2017).
There was no significant evidence that palliative care intervention impacted on length of stay in this cohort, with one study demonstrating slight decrease (Riedel et al. 2017) and two studies demonstrating a slight increase in length of stay (Brinkman-Stoppelenburg et al 2020a, May et al. 2015). May et al. (2015) suggested that overall, palliative care patients had slightly longer and therefore more expensive stays in hospital on average. However, early palliative care review showed a significant cost saving effect. Review within 2 days of admission reduced total costs by 24% and review within 6 days reduced by 14%. Brinkman- Stoppelenburg et al. (2020a) found that although palliative care consultation reduced the average daily hospital costs from €757 to €607 further analysis showed this was not statistically significant. There was no statistically significant impact on ICU admissions although two US studies demonstrated an association with decreased ICU transfers (Adelson et al. 2017, Riedel et al. 2017).
There were mixed results for the impact on patients' quality of life (QoL) or symptoms. Palliative care team consultation decreased patients' symptom burden and tended to have a positive effect on QoL of hospitalized patients with advanced cancer. After adjusting for baseline differences at day 14, patients who had a SPCT consultation had significantly better scores for pain, appetite loss and emotional functioning, physical functioning and global health status on the EORTC QLQ C15 PAL questionnaire (Brinkman-Stoppelenburg et al. 2020b). However, Rocque et al. (2015) demonstrated that palliative care review improved patient understanding regarding the incurable nature of cancer but showed no statistically significant change in quality of life, symptom burden or patient satisfaction. However, study limitations such as poor survey response rates and difficulty with implementing automatic palliative care consultation need to be noted.
A. Reliability of evidence
All studies included were quasi-experimental in design, the majority being prospective cohort studies and none being randomised control trials, with associated inherent bias. Participant selection was also biased in most studies as non-English speakers were excluded, along with those with cognitive impairment. Rocque et al. (2015) did include non-English speakers and those with cognitive impairment but did not give them surveys to complete. Rocque found participants were mostly married Caucasians who had medical insurance, not likely to be representative at population level. Brinkman's study findings were difficult to interpret due to the fact multiple papers were drawn from the COMPASS study Brinkman-Stoppelenburg et al. (2015). For paper 'a' they did not identify a sample size which makes the results difficult to generalise. In paper 'b' they also identified significant loss to follow up which meant they could not assess involvement of SPCT beyond 14 days. Rocque et al. (2015), May et al. (2015) and Brinkman-Stoppelenburg et al. (2020) all identified either small sample sizes, low rates of survey return throughout or significant participant attrition throughout. Riedel et al. (2017) did not provide information on non-responders, allowing for the potential of non-response bias.
B. Consistency of evidence
It is difficult to compare the studies included in terms of consistency, considering they have varying study designs, outcome measures, and interventions including timing and content and are set in different healthcare structures. Consistency within our examined outcomes is described above in detail where possible.
C. Relevance of evidence
We sought evidence for early palliative care integrated with acute oncology services, looking at patient reported outcomes, quality of life and cost effectiveness. None of the studies were based in the UK. This makes assessing the relevance of cost effectiveness difficult given the different structures of global healthcare systems, although all studies were taken from countries with healthcare economies similar to ours. It is difficult to assess whether costs of care in the USA for example is similar to unbilled costs in the NHS. None of the models exactly mirrored the acute oncology services used in Wales, or specifically described the structure of the palliative care teams used as intervention. Overall, there is no universally agreed structure for either an oncology service or a palliative care service and therefore interpretation of the interventions made must be done with caution. Brinkman-Stoppelenburg did not use specialists in palliative medicine at all, but rather other physicians (neurologists, medical oncologists, and anaesthesiologists) using a holistic assessment method.
Brinkman-Stoppelenburg et al. (2020) and May et al. (2016) felt that their data was generalizable to a specific group of patients that is patients with advanced cancer late into their diagnosis, which although we did not specify, is likely to be the cohort of patients encountered by AOS/SPCT services in the UK in hospitals.
Staffing was identified as an issue in Rocque et al. (2015) and Riedel et al. (2017), where the interventions placed a strain on the SPCT due to the large increase in number of consultations. Again, this would be relevant to UK liaison teams, which are often small and specialist.
Glossary:
ACP - Advanced Care Planning
AOS - Acute Oncology Services
CNS - Central Nervous System
EuroQoL-5D - European Quality of Life Scale-5 Dimensions
EORTC-QLQ-C15-PAL - European Organisation for Research and Treatment of Cancer-Quality of Life Questionnaire-Core 15-for Palliative Care
ICU - Intensive Care Unit
IP - Inpatient
LOS - Length of Stay
MDT - Multidisciplinary Team
OECD - Organisation for Economic Co-operation and Development
ONC - Oncology
PM - Palliative Medicine
SPCT - Specialist Palliative Care Team
Evidence Implications:
Clinical:
* The limited evidence that is available suggests there is some evidence that early SPCT involvement with AOS can result in better symptom control and had a positive impact following discharge with reduced readmission rates, increased hospice referral and reduced chemotherapy post discharge. There is no robust evidence for a reduction in length of stay or overall admission cost.
* There is some suggestion that average daily costs for palliative care patients were reduced and this highlights the need for further research to investigate this.
* The involvement of SPCT with AOS patients may significantly increase the number of consultations and may impact the staffing levels for a small SPCT.
* Future research should focus on UK based studies with more robust methodology, focusing on patient experience and cost effectiveness of combined AOS and SPCT intervention in acute oncology inpatients.
Policy:
Since none of the studies were UK based with variable health structures and quality of SPCT, the findings are not directly transferrable to an NHS system.
What is the evidence base for early palliative care integrated with acute oncology services in terms of oncology patient reported experience and outcomes, quality of life, and cost effectiveness?
Flow Diagram:
Table 1: Characteristics of Included Studies
Brinkman‐
Study Setting & Design –Inpatient wards of 12 hospitals, including general, teaching and university hospitals in
Stoppelenburg et al. 2020a
Study Objective
Participants
Interventions/
Comparators/
Methods
Proposed
Outcomes
Summary of
Results
Appraisal
Summary
Rottedam, The Netherlands. Prospective Cohort Study.
To investigate the association between specialist palliative care team (SPCT) consultation and the content and costs of hospital care in patients with ad- vanced cancer.
Patients with advanced cancer and estimated life expectancy less than 1 year who were admitted to an acute setting and expected to stay in hospital for at least 3 days.
Interest: SPCT involvement and impact on hospital care content and cost. The SPCTs included at least two medical specialist and a nurse who met weekly.
It was expected that SPCT members should also have access to consult with other disciplines including oncologists, neurologists, and anaesthesiologists.
Comparison: Hospital patients with advanced cancer with <1 life expectancy who did not have PC team involvement.
*
Hospital length of stay
*
Use of diagnostic procedures
*
Use of medications and therapeutic interventions
Study found:
Patients with SPCT consultation had a median length of stay in the hospital of 11 days (Interquartile range (IQR) 8–18), compared to 9 days (IQR 5–17) for patients without SPCT consultation
Diagnostic procedures included blood tests (used in 94% of patients in both groups), X-rays (used in 52% of patients with and 50% of patients without
SPCT consultation), CT-scans (used in 54% and 39%, respectively) and urine tests (used in 42% and 28% respectively)
Invasive therapeutic procedures were used in 14% and 19%, respectively, and chemotherapy in 4% and 20% respectively.
Total mean costs of hospital care during 3 months of follow-up:
*
€8,393 for patients with SPCT consultation
*
€8,631 f or
patie
nt s wi
thoutSPCT consultation
This is part of a larger study. There are several limitations including :
*
no sample size calculated as this was a secondary analysis of data which may have affected the significance of results.
*
propensit
y s cor
e
s we re
use d t
o contr
ol for confounding as an imbalance of prognostic factors was pre-empted and may introduce bias.
Characteristics of Included Studies
i
| Brinkman‐ Stoppelenburg et al. 2020b | Study Setting & Design – Medical Oncology Wards across 9 participating hospitals, Rotterdam, The Netherlands. Prospective Cohort Study. |
|---|---|
| Study Objective | To investgiate the effect of SPCT consultatoin on QoL and symptom burden of hospitalized pateints with advanced cancer in daily practice. |
| Participants | Pateints with advanced cancer aged 18 years or older admitted to acute setntig AND the attending physician answered “no” to the surprise questoin: “Would you be surprised if this pateint would die in the next year?” AND who were expected to stay in the hospital for at least 3 days. |
| Interventions/ Com- parators/ Methods | Interest: Inpateint palliatvie care team consultatoin. No actual interventoin just observed differences. Comparison: Eligible pateints who completed questoinnaire but did not have PC consultatoin. |
| Proposed Outcomes | Quality of Life using 3 questoinnaires: • Palliatvie Outcome Scale (POS) (pateint-reported scores on physical symptoms, QoL, emotoinal, social, psychological, and spiritual aspects) • EuroQol-5D (assesses mobility, self-care, usual actviities, pain/discomfort, anxiety/depression) • EORTC QLQ-C15-PAL (14 questoins on symptoms and functoining and 1 questoin on global QoL). |
| Summary of Results | EORTC QLQ C15 PAL: Afetr adjustnig for baseline differences at day 14, patients with SPCT consultatoin had • signifciantly better scores for pain • appettie loss and emotoinal functoining, physical • functoining and global health status EQ-5D: • No associatoin between PC involvement and POS • No associatoin between PC involvement and QoL |
| Appraisal Summary | Small sample size and the loss to follow-up was signifciant. They were not able to assess the effect of SPCT involvement be- yond 14 days of follow-up. This is part of a larger study which makes data collectoin and analysis challenging. Despite mentoined limitatoins this infor- matoin is stlil reliable and useful. |
i
i
i
i
Characteristics of Included Studies
i
References to studies included in this review:
* Adelson, K. et al. 2017. Standardized Criteria for Palliative Care Consultation on a Solid Tumor Oncology Service Reduces Downstream Health Care Use. Journal of Oncology Practice/American Society of Clinical Oncology 13(5), pp. e431-e440. doi: 10.1200/JOP.2016.016808.
* Brinkman‐Stoppelenburg, A. et al. 2020. The association between palliative care team consultation and hospital costs for patients with advanced cancer: An observational study in 12 Dutch hospitals. European Journal of Cancer Care 29(3), pp. 1-11. doi: 10.1111/ecc.13198.
*
Brinkman-Stoppelenburg, A. et al. 2020. The Impact of Palliative Care Team Consultation on Quality of Life of Patients with Advanced Cancer in Dutch Hospitals: An Obser- vational Study. Oncology Research and Treatment 43(9), pp. 405-413. doi: 10.1159/000508312.
* May, P. et al. 2016. Palliative Care Teams' Cost-Saving Effect Is Larger For Cancer Patients With Higher Numbers Of Comorbidities. Health Affairs 35(1), pp. 44-53. doi: 10.1377/hlthaff.2015.0752.
* Ray, E. M. et al. 2019. Assessing the Impact of a Novel Integrated Palliative Care and Medical Oncology Inpatient Service on Health Care Utilization before Hospice Enrollment. Journal of Palliative Medicine 22(4), pp. 420-423. doi: 10.1089/jpm.2018.0235.
* Riedel, R. F. et al. 2017. Improvements in Patient and Health System Outcomes Using an Integrated Oncology and Palliative Medicine Approach on a Solid Tumor Inpatient Service. Journal of Oncology Practice/American Society of Clinical Oncology 13(9), pp. e738-e748. doi: 10.1200/JOP.2017.022749.
* Rocque, G. B. et al. 2015. A Quantitative Study of Triggered Palliative Care Consultation for Hospitalized Patients with Advanced Cancer. Journal of Pain and Symptom Management 50(4), pp. 462-469. https://doi.org/10.1016/j.jpainsymman.2015.04.022.
Additional references:
* Brinkman-Stoppelenburg, A. et al. 2015. Palliative care consultation services in hospitals in the Netherlands: the design of the COMPASS study. BMC Palliative Care 14, p. 68. doi: 10.1186/s12904-015-0069-0
* Greer, J. A. et al. 2013. Early integration of palliative care services with standard oncology care for patients with advanced cancer. CA: A Cancer Journal for Clinician 63(5), pp. 349-363. doi: 10.3322/caac.21192
* Temel, J. S. et al. 2010. Early Palliative Care for Patients with Metastatic Non–Small-Cell Lung Cancer. New England Journal of Medicine 363(8), pp. 733-742. doi: 10.1056/ NEJMoa100067
* National Chemotherapy Advisory Group (NCAG). (2009). Chemotherapy Services in England: Ensuring Quality and Safety. London, Department of Health. https:// webarchive.nationalarchives.gov.uk/ukgwa/20130104173757/http://www.dh.gov.uk/en/Publicationsandstatistics/Publications/DH_104500 [Accessed 27 September 2021]
* Zimmermann, C. et al. 2014. Early palliative care for patients with advanced cancer: a cluster-randomised controlled trial. Lancet. 2014 May 17;383(9930):1721-30. doi: 10.1016/S0140-6736(13)62416-2.
Excluded Studies:
A number of studies have been excluded due to various reasons including the following:
* Wrong population: generally, outpatients.
* Wrong study designs, where studies were designed to test the specific intervention rather than general palliative care input.
* Studies not designed to evaluate impact of early palliative care intervention. Studies based in oncology clinics and not acute hospitals.
Additional materials available upon request:
* Critical appraisal / data extraction forms
* Search strategies
* List of excluded studies
This report should be cited as follows:
Palliative Care Evidence Review Service. What is the evidence base for early palliative care integrated with acute oncology services in terms of oncology patient reported experience and outcomes, quality of life, and cost effectiveness? Cardiff: Palliative Care Evidence Review Service (PaCERS); 2021 September.
Permission Requests: All inquiries regarding permission to reproduce any content of this review should be directed to:
firstname.lastname@example.org
c.uk
Disclaimer: Palliative Care Evidence Review Service (PaCERS) is an information service for those involved in planning and providing palliative care in Wales. Rapid reviews are based on a limited literature search and are not comprehensive, systematic reviews. This review is current as of the date of the literature search specified in the Review Methods section. PaCERS makes no representation that the literature search captured every publication that was or could be applicable to the subject matter of the report. The aim is to provide an overview of the best available evidence on a specified topic using our documented methodological framework within the agreed timeframe.
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The Board of County Commissioners, Trumbull County, Ohio, met for a Regular Meeting on the 10th day of November 2021, in the office of said Board, with the following members present:
Mauro Cantalamessa, Commissioner Niki Frenchko, Commissioner Frank S. Fuda, Commissioner
Commissioner Frenchko commented that Items #1 and #2 should have been reversed.
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RE: MINUTES
1. MOTION: Made by Mr. Cantalamessa, seconded by Mr. Fuda, to dispense with reading the minutes of the Workshop Session dated November 2, 2021 and the Regular Meeting dated November 3, 2021.
MOTION MADE BY COMMISSIONER FRENCHKO TO TABLE #1.
MOTION DIED FOR LACK OF SECOND
2. PUBLIC COMMENTS related to AGENDA ITEMS ONLY
MOTION MADE BY COMMISSIONER FRENCHKO TO TABLE #2.
MOTION DIED FOR LACK OF SECOND.
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RE: APPROVE BILLS
3. MOTION: Made by Mr. Fuda, seconded by Ms. Frenchko, to approve the bills, as per the individual departmental purchase orders/invoices forwarded to the Trumbull County Auditor for payment, providing all procedures of State law have been followed.
Yeas: Fuda, Frenchko, Cantalamessa
Nays: None
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RE: TRANSFER MONIES
4. MOTION: Made by Mr. Fuda, seconded by Ms. Frenchko, pursuant to Ohio Revised Code Section 5705.14, to transfer monies as submitted to the Trumbull County Auditor's Office between the dates of November 1, 2021 through November 5, 2021. Complete list of money transfers shall be recorded onto the Journal for record purposes.
Departments/Offices requesting to transfer monies:
$ 2,835.44
Fund # 608
Yeas: Fuda, Frenchko, Cantalamessa
Nays: None
Document(s) recorded on Journal Page(s)________________________.
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RE:
ADDITIONAL APPROPRIATIONS
5. MOTION: Made by Mr. Fuda, seconded by Ms. Frenchko, to approve additional appropriations, as submitted to the Trumbull County Auditor's Office between the dates of November 1, 2021 through November 5, 2021. Complete list of additional appropriations shall be recorded onto the Journal for record purposes.
Departments/Offices requesting additional appropriations:
*
Commissioners
$ 1,484,465.00
Fund # 077
*
Common Pleas
$ 500.00
Fund # 041
$ 1,000.00
Fund # 041
* MetroParks
$ 177,600.00
Fund # 983
Yeas: Fuda, Frenchko, Cantalamessa
Nays: None
Document(s) recorded on Journal Page(s)________________________.)
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RE: TRANSFER APPROPRIATIONS
6. MOTION: Made by Mr. Fuda, seconded by Ms. Frenchko, to transfer appropriations, as submitted to the Trumbull County Auditor's Office between the dates of November 1, 2021 through November 5, 2021. Complete list of appropriation transfers shall be recorded onto the Journal for record purposes.
Departments/Offices requesting to transfer appropriations:
Yeas: Fuda, Frenchko, Cantalamessa
Nays: None
Document(s) recorded on Journal Page(s)________________________.)
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RE: AMENDED CERTIFICATE NO. 31-2021 COUNTY BUDGET COMMISSION
7. MOTION: Made by Mr. Fuda, seconded by Ms. Frenchko to receive the Amended Certificate of the County Budget Commission No. 31 - 2021, for the fiscal year beginning January 1, 2021, dated November 10, 2021, increasing estimated resources in the funds listed:
* MetroParkG
Fund # 983
Yeas: Fuda, Frenchko, Cantalamessa
Nays: None
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RE: RIGHT-OF-WAY PERMIT
- COUNTY ENGINEER
8. MOTION: Made by Mr. Fuda, seconded by Ms. Frenchko to concur with the Trumbull County Engineer to grant the Right-of-Way Permits requested by the companies listed. The necessary permit fee has been submitted and approval is subject to the conditions listed on the permit.
DOMINION EAST OHIO, 320 Springside Drive, Akron, OH 44333, to bore under & work in the right-of-way of N. Park Ave. (C.H. 263A) service address #5577 in order to install a gas service line. This will be located approximately 400 feet south of State Route 305 located in Champion and Bazetta Townships.
AQUA OHIO, INC., 321 Washington Street, Huntington PA 16652, to open cut and work in the right-of-way of Budd Street (C.H. 1478), in order to install a new watermain and cap an existing water mainline. This will be located at the intersection of Budd Street (C.H. 1478) and the Service Street located in Brookfield Township.
DOMINION EAST OHIO, 320 Springside Drive, Akron, OH 44333, to bore under & work in the right-of-way of Eagle Creek Rd. (C.H. 134B), in order to install a gas service line at address #3330. This will be located approximately 1,900 feet east of Barclay Messerly Rd. (T.H. 123) located in Braceville Township.
CROSSWIND FARMS, 3401 Woodlenhart Rd., Warren, OH 44481, to work in the right-of-way of Warren Ravenna Rd. (C.H. 848) in order to install approximately 60 feet of 15 inch HDPE double wall conduit and one concrete catch basin. This will be located approximately 920 feet east of Campbell Road (T.H. 918) located in Newton Township.
Yeas: Fuda, Frenchko, Cantalamessa
Nays: None
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RE: SPECIAL HAULING PERMITS TO MOVE OVERWEIGHT EQUIPMENT - COUNTY ENGINEER
9. MOTION: Made by Mr. Fuda, seconded by Ms. Frenchko to concur with the Trumbull County Engineer to grant the Special Hauling Permit to Move Overweight Equipment over Trumbull County roadways, requested by the company listed. The necessary permit fee, bond and insurance have been submitted and approval is subject to the conditions listed on each permit.
DIAMOND STEEL CONSTRUCTION COMPANY
Permit No.: 1139
P.O. Box 156, North Lima, OH 44452
Permit Effective: October 29, 2021 through November 2, 2021
To haul or move overweight equipment over Orangeville Kingsville Rd. (C.H. 255) located in Vernon Township.
DIAMOND STEEL CONSTRUCTION COMPANY
Permit No.: 1140
P.O. Box 156, North Lima, OH 44452
Permit Effective: October 28, 2021 through November 1, 2021
To haul or move overweight equipment over Elm Rd. (C.H. 328) and North River Road (C.H. 142) located in Howland Township.
Yeas: Fuda, Frenchko, Cantalamessa
Nays: None
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RE: SPECIAL ANNUAL SUPPLIER FLEET PERMIT- COUNTY ENGINEER
10. MOTION: Made by Mr. Fuda, seconded by Ms. Frenchko to concur with the Trumbull County Engineer to grant the Special Annual Supplier Fleet Permit for fleet vehicles to transport aggregate, concrete, construction goods or other like materials (not to exceed 80,000 lbs. gross vehicle weight), to sites located upon load posted Trumbull County roadways requested by the company listed. The necessary permit fee and insurance information have been submitted and approval is subject to the conditions listed on the permit.
DAYTON FREIGHT LINES, INC.
Permit No.: AF-050-2021
280 Progress Blvd., Kent, OH 44240
Permit Effective: October 19, 2021 through October 19, 2022
Yeas: Fuda, Frenchko, Cantalamessa
Nays: None
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FOR IMPROVEMENTS TO OHIO TURNPIKE
RE: MEMORANDUM OF UNDERSTANDING BETWEEN COMMISSIONERS AND A.P. O'HORO COMPANY TO UTILIZE NEWTON FALLS BAILEY RD IN NEWTON TOWNSHIP TO ACCESS CONSTRUCTION ENTRANCE
11. MOTION: Made by Mr. Fuda, seconded by Ms. Frenchko to approve a Memorandum of Understanding by and between the TRUMBULL COUNTY COMMISSIONERS and A.P. O'HORO, 3130 Belmont Avenue, Youngstown, OH 44505 for the purpose of utilizing Newton Falls Bailey Road (C.H. 92) in Newton Township to access their construction entrance for improvements to the Ohio Turnpike located in Newton Township, this action per the recommendation of the Trumbull County Engineer and is subject to review and approval of the Prosecutor's Office.
Yeas: Fuda, Frenchko, Cantalamessa
Nays: None
Document(s) recorded on Journal Page(s)________________________.)
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RE: EXECUTE/APPROVE PURCHASE OF HIGHWAY EASEMENT FROM CITY OF NILES FOR ACQUISITION OF PARCEL 1-SH FROM CITY OF NILES, WESTERN RESERVE GREENWAY BIKE TRAIL (PHASE 4)
12. MOTION: Made by Mr. Fuda, seconded by Ms. Frenchko to execute and approve the purchase of the HIGHWAY EASEMENT from the City of Niles in the amount of $24,300.00 for the Acquisition of Parcel 1-SH from The City of Niles, for the Western Reserve Greenway Bike Trail in Trumbull County Ohio (Phase 4); paid from the Project Fund No. 983-060-5600-5610-3506880, subject to Federal and State reimbursment.
NOTE: The Western Reserve Greenway Bike Trail Phase IV, PID 99804, located in Howland and Weathersfield Townships and Warren and Niles Cities. Outside Legal Counsel for the project Roth Blair, Roberts, Strasfeld and Lodge, has reviewed the acquisition. It is also recommended by Julie Green, Director with the Trumbull County Planning Commission.
All right-of-way acquisitions have followed the guildines set forth in ODOT's Real Estate Policy and Procedures Manual and those in the Uniform Relocation Assistance and Real Property Acquistion Policies Act of 1970.
Discussion between Commissioners and Mr. Zach Svette regarding Capital Planning and Funding of MetroParks.
Yeas: Fuda, Cantalamessa
Nays: Frenchko
Document(s) recorded on Journal Page(s)________________________.)
COMMISSIONER FRENCHKO LEFT THE MEETING FOR PERSONAL REASONS TO TAKE A SHORT BREAK.
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RE:
NAME MR. WILLIAM HART FROM INTERIM MAINTENANCE MANAGER TO POSITION OF FACILITIES MANAGER- MAINTENANCE DEPARTMENT
13. MOTION: Made by Mr. Fuda, seconded by Mr. Cantalamessa to name WILLIAM HART, currently Interim Maintenance Manager, to the position of FACILITIES MANAGER, effective Monday, November 15, 2021, Pay Range 14, Step 25 ($39.9043 per hour). Mr. Hart will retain his hazard pay of $.30 per hour.
NOTE: Mr. Hart was named Interim Maintenance Manger on March 31, 2021 as duly recorded in Journal Volume 153, Page 23871.
Yeas: Fuda, Cantalamessa
Nays: None
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RE: APPROVE CONTRACT FOR SELF-FUNDED TRADITIONAL COVERAGE (PPO) AND HEALTH MAINTENANCE ORGANIZATION (HMO) HEALTH INSURANCE COVERAGE, FOR TRUMBULL COUNTY EMPLOYEES' HEALTH BENEFITS JANUARY 1, 2022 THRU DECEMBER 31, 2024
14. MOTION: Made by Mr. Fuda, seconded by Mr. Cantalamessa to approve the Contract for Self-Funded Traditional Coverage (PPO) and Health Maintenance Organization (HMO) Health Insurance Coverage, for Trumbull County Employees' Health Benefits, for a three (3) year period commencing January 1, 2022 and ending December 31, 2024; as submitted through E J. Rossi & Company, 201 E. Commerce Street, Suite #337, Youngstown, OH 44503 by United Healthcare, 1001 Lakeside Avenue, Suite #1000, Cleveland, OH 44114; this action per the recommendation of the Human Resources Department; per the evaluation and recommendation of E. J. Rossi & Company.
Current
ADMINISTRATION FEES - UNITED HEALTHCARE
Medical/Drug
$45.95
Renewal
$250,000.00 SPECIFIC STOP LOSS PREMIUM
Yeas: Fuda, Cantalamessa
Nays: None
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RE:
APPROVE CONTRACT FOR SELF-FUNDED TRADITIONAL DENTAL AND VISION INSURANCE COVERAGE FOR TRUMBULL COUNTY EMPLOYEES’ HEALTH BENEFITS, E J. ROSSI & COMPANY JANUARY 1, 2022 THRU DECEMBER 31, 2022
15. MOTION: Made by Mr. Fuda, seconded by Mr. Cantalamessa approve the Contract for Self-Funded Traditional Dental and Vision Insurance Coverage for Trumbull County Employees' Health Benefits, for a one-year period commencing January 1, 2022 and ending December 31, 2022; as submitted through E J. Rossi & Company, 201 E. Commerce Street, Suite #337, Youngstown, OH 44503 by Guardian Insurance, P.O. Box 530157 Atlanta, GA 30353-0157; this action per the recommendation of the Human Resources Department; per the evaluation and recommendation of E. J. Rossi & Company.
ADMINISTRATION FEES – GUARDIAN INSURANCE
CURRENT
RENEWAL
Yeas: Fuda, Cantalamessa
Nays: None
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RE:
APPROVE SANITARY ENGINEER'S LEGAL COUNSEL MICHAEL J. FREDERICKA -- PROSECUTOR'S OFFICE TO INITIATE SMALL CLAIMS PROCEEDINGS AGAINST INDIVIDUALS AND BUSINESS ENTITIES WITHIN TRUMBULL COUNTY
16. MOTION: Made by Mr. Fuda, seconded by Mr. Cantalamessa to approve the Trumbull County Sanitary Engineer's legal counsel Michael J. Fredericka, by and through the Trumbull County Prosecutor's Office, to initiate small claims proceedings against individuals and business entities within Trumbull County that have an unpaid and outstanding balance due to Trumbull County for water and sewer services. This action is made by the recommendation of the Trumbull County Sanitary Engineer. The initiation of these claims will not begin until such time that the past due amount from the owner is delinquent for over one hundred and twenty (120) days.
Yeas: Fuda, Cantalamessa
Nays: None
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RE: EXECUTE "BRIDGE AGREEMENT" EXTENDING SANITARY SEWER SERVICE AREA AGREEMENT BETWEEN TRUMBULL COUNTY AND CITY OF GIRARD, OHIO FOR SEWAGE TREATMENT SERVICES FOR PORTION OF TRUMBULL COUNTY COMBINED SEWER DISTRICT THAT FLOWS TO CITY OF GIRARD REGIONAL WASTEWATER TREATMENT PLANT
17. MOTION: Made by Mr. Fuda, seconded by Mr. Cantalamessa to execute a "Bridge Agreement" extending the SANITARY SEWER SERVICE AREA AGREEMENT between Trumbull County and the City of Girard, Ohio for sewage treatment services for that portion of the Trumbull County Combined Sewer District that flows to the City of Girard Regional Wastewater Treatment Plant. This "Bridge Agreement" will extend the service area agreement between Trumbull County and the City of Girard, originally executed on May 8, 2000 to December 31, 2021. This action per the recommendation of the Trumbull County Sanitary Engineers and subject to the review and approval of the Trumbull County Prosecutor's Office.
Yeas: Fuda, Cantalamessa
Nays: None
Document(s) recorded on Journal Page(s)________________________.)
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DISTRICT
RE: EXECUTE A "BRIDGE AGREEMENT" EXTENDING WATER AGREEMENT BETWEEN TRUMBULL COUNTY AND CITY OF GIRARD, OHIO FOR WATER SERVICE FOR A PART OF LIBERTY TOWNSHIP IN WHAT IS NOW KNOWN AS TRUMBULL COUNTY COMBINED SEWER
18. MOTION: Made by Mr. Fuda, seconded by Mr. Cantalamessa to execute a "Bridge Agreement" extending the WATER AGREEMENT between Trumbull County and the City of Girard, Ohio for water service for a part of Liberty Township in what is now known as the Trumbull County Combined Sewer District. This "Bridge Agreement" will extend the water service agreement between Trumbull County and the City of Girard executed on May 8, 2000 to December 31, 2021. This action per the recommendation of the Trumbull County Sanitary Engineers and subject to the review and approval of the Trumbull County Prosecutor's Office.
Yeas: Fuda, Cantalamessa
Nays: None
Document(s) recorded on Journal Page(s)________________________.)
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RE:
APPROVE MODIFICATION NO. 1 TO ENGINEERING AGREEMENT WITH MS CONSULTANTS, INC. FOR LONG RANGE SEWER RATE STUDY FOR THE METROPOLITAN SANITARY SEWER DISTRICT
19. MOTION: Made by Mr. Fuda, seconded by Mr. Cantalamessa to approve Modification No. 1 to the Engineering Agreement with MS CONSULTANTS, INC., 333 East Federal Street, Youngstown, Ohio 44503-1821 for the LONG RANGE SEWER RATE STUDY for the METROPOLITAN SANITARY SEWER DISTRICT. Modification is for an increase of $22,285.00 – revising the total contract amount to $32,485.00. This action is necessary for the study to include the COMBINED SANITARY SEWER DISTRICT which covers all unincorporated areas of Trumbull County serviced by the Trumbull County Sanitary Engineers and will result in one County-wide sewer rate. Payment for this modification is to be paid from Fund No. 602-030-3000-3025-1-505610; this action per the recommendation of the Trumbull County Sanitary Engineers and is subject to the approval of the Prosecutor's Office.
NOTE: The Board of Commissioners approved the original contract with MS Consultants, Inc. for professional engineering services in the amount of $10,200.00 on December 7, 2016, duly recorded in Journal Volume 145, Page 20328.
Yeas: Fuda, Cantalamessa
Nays: None
Document(s) recorded on Journal Page(s)________________________.)
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RE: APPROVE MODIFICATION NO. 1 TO ENGINEERING AGREEMENT WITH MS CONSULTANTS, INC. FOR LONG RANGE WATER RATE STUDY FOR THE SOUTHEAST WATER DISTRICT
20. MOTION: Made by Mr. Fuda, seconded by Mr. Cantalamessa to approve Modification No. 1 to the engineering agreement with MS CONSULTANTS, INC., 333 East Federal Street, Youngstown, Ohio 44503-1821 for the LONG RANGE WATER RATE STUDY for the SOUTHEAST WATER DISTRICT. Modification is for an increase of $24,300.00 – revising the total contract amount to $39,100.00. This action is necessary for the study to include the planned COMBINED WATER DISTRICT which will cover all unincorporated areas of Trumbull County serviced by the Trumbull County Sanitary Engineers and will result in one County-wide water rate. Payment for this modification is to be paid from Fund No. 606-030-3000-3030-1-505610. This action per the recommendation of the Trumbull County Sanitary Engineers and is subject to the approval of the Prosecutor's Office.
NOTE: The Board of Commissioners approved the original contract with MS Consultants, Inc. for professional engineering services in the amount of $14,800.00 on December 7, 2016, duly recorded in Journal Volume 145, Page 20327.
Yeas: Fuda, Cantalamessa
Nays: None
Document(s) recorded on Journal Page(s)________________________.)
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RE: RESOLUTION TO APPLY FOR, ACCEPT, AND ENTER INTO WATER POLLUTION CONTROL LOAN FUND AGREEMENT (HEATON CHUTE SANITARY SEWER IMPROVEMENTS PROJECT)
21. MOTION: Made by Mr. Fuda, seconded by Mr. Cantalamessa a Resolution authorizing Mauro Cantalamessa, President of the Board of Trumbull County Commissioners, to apply for, accept, and enter into a Water Pollution Control Loan Fund Agreement on behalf of the County of Trumbull for planning, design and/or construction of the Heaton Chute Sanitary Sewer Improvements Project No. 5-S-13.
Whereas, the County of Trumbull seeks to upgrade its existing wastewater facilities; and
Whereas, the County of Trumbull intends to apply for Water Pollution Control Loan Funds (WPCLF) for the planning, design and/or construction of the wastewater facilities; and
Whereas, the Ohio Water Pollution Control Loan Fund requires the government authority to pass legislation for application of a loan and the execution of an agreement as well as designating a dedicated repayment source; now therefore,
Be it resolved by the Board of Commissioners of the County of Trumbull, Ohio:
Section 1. That Mauro Cantalamessa be and is hereby authorized to apply for a WPCLF loan, sign all documents for and enter into a Water Pollution Control Loan Fund agreement with the Ohio Environmental Protection Agency and the Ohio Water Development Authority for planning, design and /or construction of wastewater facilities on behalf of the County of Trumbull, Ohio.
Section 2. That the dedicated source of repayment will be capital charges levied against the benefited property owners.
Section 3. That this resolution shall take effect and be in force from and after the earliest period allowed by law.
Section 4. That it is found and determined that all formal actions of this Board concerning and relating to the passage of this resolution were passed in an open meeting of the Board, and that all deliberations of this Board and any of its committees that resulted in such formal action, were in meetings open to the public, in compliance with all legal requirements including Section 121.22 of the Ohio Revised Code.
Discussion between Mr. Gary Newbrough and the Commissioners regarding Item #21.
Yeas: Fuda, Cantalamessa
Nays: None
COMMISSIONER FRENCHKO REJOINED THE MEETING PRIOR TO ITEM #22.
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RE:
APPOINT LISA DENUNZIO BLAIR AS OFFICIAL ALTERNATE FOR COMMISSIONER NIKI FRENCHKO ON THE BOARD OF DIRECTORS FOR THE COMMUNITY IMPROVEMENT CORPORATION OF WARREN AND TRUMBULL COUNTY
22. MOTION: Made by Mr. Fuda, seconded by Ms. Frenchko to appoint LISA DENUNZIO BLAIR as the OFFICIAL ALTERNATE for COMMISSIONER NIKI FRENCHKO on the Board of Directors for the COMMUNITY IMPROVEMENT CORPORATION OF WARREN AND TRUMBULL COUNTY effective immediately. Responsibilities of alternates include, but are not limited to, attending meetings, participating, voting, and acting on behalf of the Commissioners in their absence.
Yeas: Fuda, Frenchko, Cantalamessa
Nays: None
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RE:
AUTHORIZE MAURO CANTALAMESSA TO SIGN - DATA SHARING AND CONFIDENTIALITY AGREEMENT PERMITTING TRUMBULL COUNTY (LOCAL WORKFORCE DEVELOPMENT AREA 18) TO RECEIVE/UTILIZE CONFIDENTIAL DATA
23. MOTION: Made by Mr. Fuda, seconded by Ms. Frenchko to authorize Mauro Cantalamessa, President of the Board of Trumbull County Commissioners to sign the DATA SHARING AND CONFIDENTIALITY AGREEMENT, which will permit Trumbull County (Local Workforce Development Area 18) to receive and utilize confidential data pertinent to the administration of the Workforce Innovation Act (WIOA), OhioMeansJobs (OMJ) and workforce programs.
Yeas: Fuda, Frenchko, Cantalamessa
Nays: None
Document(s) recorded on Journal Page(s)________________________.)
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RE:
AUTHORIZE COMMISSIONERS' CLERK TO ADVERTISE FOR BIDS FOR COMMUNITY SENIOR CENTERS - 2 ND ROUND TO BE PROVIDED TO SENIOR CITIZENS (INDIVIDUALS 60 YEARS OR OLDER) RESIDING IN TRUMBULL COUNTY
24. MOTION: Made by Ms. Frenchko, seconded by Mr. Fuda to authorize the Board of Trumbull County Commissioners' Clerk to advertise for sealed proposals for COMMUNITY SENIOR CENTERS2 nd Round to be provided to SENIOR CITIZENS (individuals 60 years or older) residing in Trumbull County. The service contracts will be for a twenty (20) month period beginning January 1, 2022 and ending August 31, 2023.
SPECIAL NOTE: Community Senior Center available budget for the first RFP round as advertised May 2, 2021 totaled $625,000 with only $443,921.20 awarded August 18, 2021 per JV 153, Page(s) 2420524207. The Senior Services Advisory Council's charge is to recommend to the Commissioners the distribution of levy funds. It will also review monitoring and evaluation material prepared by Diane M. Siskowic-Jurkovic, CPA, Senior Levy Administrator. Upon Approval, the Board of Commissioners will enter into a contract with each provider, and the Senior Levy Administrator will monitor and evaluate the successes or shortcomings, and report to the Commissioners and the Senior Services Advisory Council. NOTE: A .75 mil, five-year levy was originally passed in November 2005, and the renewal levies passed in November 2010, 2015, and 2020 with funding based on commitments made by the levy committee to the public during the campaigns.
TOTAL FUNDS available: $301,800.00 for a 20-month contract
Yeas: Frenchko, Fuda, Cantalamessa
Nays: None
Document(s) recorded on Journal Page(s)________________________.
* * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * RE: AMEND JOURNAL ACTION TAKEN BY COMMISSIONERS ON 11/03/2021 -- PROPOSALS AS SUBMITTED BY FOUR (4) COMPANIES LISTED TO PROVIDE ON DEMAND SERVICE FOR TRUMBULL COUNTY RESIDENTS AND TO ENTER INTO A PROJECT FUNDING AGREEMENT WITH EACH COMPANY LISTED FOR SAID SERVICES. AMENDMENT IS TO MAKE SURE CONTRACTORS HAVE RECEIVED ALL INFORMATION NEEDED TO PROVIDE SERVICE
25. MOTION: Made by Mr. Fuda, seconded by Ms. Frenchko to amend the Journal action taken by the Board of Commissioners on November 3, 2021, duly recorded in Journal Volume 153, Page 24362, the proposals as submitted by the four (4) companies listed below to provide On Demand service for Trumbull County residents using the Trumbull County Wide Senior and Disabled Transportation Service available for disabled and/or residents 60 years of age and older. Services will commence November 8, 2021 and expire once all funding is depleted approximately by October 30, 2022—no County General Revenue Funds will be utilized; The dollars available are from the following sources: Senior Levy $450,000, Trumbull County Board of Developmental Disabilities $200,000, and Federal funds 5310 of $590,121.00 for a total of $1,240,121 AND to enter into a Project Funding Agreement with each company listed for said services; this amendment is to change the starting date to December 1, 2021. The reason for this amendment is to make sure the contractors have received all the information they will need to provide service; this action per the recommendation of Michael Salamone- Trumbull County Transit Administrator, Diane SiskowicJurkovic-Senior Levy Administrator, and Ed Stark-Superintendent Trumbull County Board of Developmental Disabilities, and is subject to review and approval by the Prosecutor's Office.
SPECIAL NOTE: The federal funds will be reimbursed per an agreement with WRTA. No local match required. Per Journal Action dated October 20,2021, Volume 153, Page 24345
PROPOSALS AWARDED
| | AGENCY | | AWARD AMOUNT |
|---|---|---|---|
| Garwin Inc. 7080 Truckworld Boulevard Youngstown, Ohio 44425 | | Ambulatory in county and out of county $1.75 per mile $25.00 Minimum Non Ambulatory N/A per mile N/A minimum | |
| Mirkin & Associates, Inc. d/b/a Comfort Care-A-Van 805 Mahoning Ave. Youngstown, Ohio 44502 | | Ambulatory in county and out of county $1.75 per mile $30.00 Minimum Non Ambulatory in county and out of county $2.05 per mile $35.00 minimum | |
| All American USA Taxi 1962 Tod Ave. S.W. Warren, Ohio 44485 | | Ambulatory in county and out of county $1.75 per mile $25.00 Minimum Non Ambulatory N/A per mile N/A minimum | |
| | AGENCY | AWARD AMOUNT |
|---|---|---|
| Country Neighbor Program Inc. 39 South Maple Street PO Box 212 Orwell, Ohio 44076 | | |
| | AGENCY | AWARD AMOUNT |
|---|---|---|
| Community Bus Service Metropolitan Tower, Suite 1500 11Federal Plaza Central P.O. Box 1863 Youngstown, Ohio 44501-1860 | | |
OTHER PROPOSAL SUBMITTED (Not Awarded)
Commissioner Frenchko explained the reason for the Amendment on Item #25.
Yeas: Fuda, Frenchko, Cantalamessa
Nays: None
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RE: DEVELOP HIRING POLICY
26. The Board of Commissioners acknowledges that the County, through its Human Resources Department, will develop a HIRING POLICY, which shall include internal posting and external advertising of ALL non-union positions for thirty (30) days. Until a fully approved hiring policy has been adopted, ALL non-union positions shall be posted internally and advertised externally for thirty (30) days in ALL departments under the Board of Commissioners. Applicants will be objectively ranked based on relevant experience, knowledge and education. The ranking instrument and grid will be approved by the Board of Commissioners.
COMMISSIONER FRENCHKO MADE A MOTION FROM THE FLOOR FOR ITEM #26
***(CONFERENCE BRIDGE DROPPED/CLERK REDIALED & RECONNECTED TO CONFERENCE BRIDGE. CLERK REREAD ITEM # 26.)
MOTION DIED FOR LACK OF SECOND
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RE: COUNTY POLICY TO ACCOUNT FOR TIME
27. MOTION: Made by Ms. Frenchko, seconded by Mr. Cantalamessa to implement a COUNTY POLICY where all employees under the jurisdiction of the Commissioners are required to use a time clock or account for their time by submitting a weekly timesheet that specifies the number of hours worked daily and details the number of hours worked on specific projects and tasks.
NOTE: This document would need to be signed attesting to the honesty of the time and duties reported.
Heated discussion between the Commissioners regarding accounting for daily hours worked.
Yeas: Frenchko
Nays: Fuda, Cantalamessa
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RE: DETAILED JOB DESCRIPTIONS
28. MOTION: Made by Ms. Frenchko, seconded by Mr. Cantalamessa to implement a COUNTY POLICY where ALL Trumbull County employees under the jurisdiction of the Board of Commissioners have a detailed job description on file with the Human Resources office by November 24, 2021, with ALL job descriptions being created or updated as needed. This task will be coordinated by the Human Resources Director.
Heated discussion between the Commissioners regarding the updating of job descriptions.
Yeas: Frenchko
Nays: Cantalamessa, Fuda
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RE: TRUMBULL COUNTY TO JOIN WRTA
29. A RESOLUTION FOR TRUMBULL COUNTY TO JOIN WRTA BY ADOPTING THE PROVISIONS OF AN AMENDMENT TO ORDINANCE NO. 83153, AS AMENDED BY ORDINANCES NO. 83414, NO. 84009, AND NO. 84309 AND FURTHER AMENDED BY ORDINANCE NO. 07-313, EACH PASSED BY THE COUNCIL OF THE CITY OF YOUNGSTOWN AND WHICH CREATED THE WESTERN RESERVE TRANSIT AUTHORITY, TO ADD AND INCLUDE THE COUNTY OF TRUMBULL TO AND WITHIN THE WESTERN RESERVE TRANSIT AUTHORITY PURSUANT TO SECTION 306.321 OF THE OHIO REVISED CODE AND APPROVING AND AUTHORIZING RELATED MATTERS.
COMMISSIONER FRENCHKO MADE A MOTION FROM THE FLOOR FOR ITEM #29
MOTION DIED FOR LACK OF SECOND
30. PUBLIC COMMENTS related to AGENDA ITEMS ONLY
COMMISSIONER FRENCHKO MADE A MOTION FROM THE FLOOR FOR ITEM #30
MOTION DIED FOR LACK OF SECOND
31. PUBLIC COMMENTS for the GOOD AND WELFARE OF TRUMBULL COUNTY
Commissioner Cantalamessa commented that Item #31 "Public Comments" are something the Commissioners' already implement during their Meetings.
Comments:
Mr. John Brown, Warren City Council, thanked Mr. Zack Svette for the admirable job he has done and invited all the Commissioners to attend future MetroPark board meetings. Ms. Frenchko asked Mr. Brown to please provide her with a budgetary letter.
COMMISSIONER FRENCHKO LEFT THE MEETING FOR PERSONAL REASONS TO TAKE A SHORT BREAK.
The Clerk asked if Item #1 is tabled. Commissioner Cantalamessa stated that Item #1 needs voted on.
COMMISSIONER CANTALAMESSA MADE A MOTION FROM THE FLOOR TO APPROVE ITEM #1.
COMMISSIONER FUDA SECONDED THE MOTION.
Yeas: Fuda, Cantalamessa
Nays: None
Ms. Sharon March commented on filling Board seats. Commissioner Cantalamessa addressed her concerns. Mr. Fuda stated that she did a good job on the Senior Levy Board.
Ms. Carolyn Shaffer commented that we need to continue to support the MetroParks. The Commissioners addressed her concerns.
(Continued)
Comments(Cont'd)
Mrs. Christine Glenn wanted to make sure everyone understood that she is doing her job and is getting documents for meetings to the Commissioners and that she works for all three Commissioners. Mr. Fuda and Mr. Cantalamessa addressed her concerns.
COMMISSIONER FRENCHKO REJOINED THE MEETING.
Ms. Bernadette McElroy requested to clear up some statements regarding her relationship with Ms. Frenchko. Mr. Cantalamessa addressed her concerns.
Ms. Frenchko asked where Mr. Richard Jackson, HR Director, has been the last few days. Mr. Jackson phoned into the meeting letting the Commissioners know he is ill and working from home. Mr. Jackson also stated that he has been attending the Opioid Hearings.
There was a heated discussion between the Commissioners regarding hours worked and County employees.
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RE: ADJOURN
MOTION: Made by, Mr. Fuda, seconded by Mr. Cantalamessa, to adjourn the Regular Meeting of November 10, 2021, and to meet again in Regular Session on November 17, 2021.
Yeas: Fuda, Cantalamessa
Nays: Frenchko
WE CERTIFY THAT EACH AND ALL OF THE FOREGOING TO BE CORRECT.
__________________________________________
MAURO CANTALAMESSA, PRESIDENT
__________________________________________
NIKI FRENCHKO, COMMISSIONER
__________________________________________
FRANK S. FUDA, COMMISSIONER
ATTEST:
_______________________________
PAULA J. VIVODA-KLOTZ, CLERK
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CONTENT BASED IMAGE RETRIEVAL SYSTEM USING SVM CLASSIFICATION AND EVOLUTIONARY ALGORITHMS
1* Dr. M Ekambaram Naidu, 2 Ravi Kumar Chandu
1Professor, dept.of CSE, SRK Institute of Technology, Vijayawada, Andhra Pradesh, India 2Research Scholar, Rayalaseema University, Kurnool, Andhra Pradesh, India
Abstract
The CBIR tends to index and retrieve images based on their visual content. CBIR avoids many problems associated with traditional ways of retrieving images by keywords. Thus, a growing interest in the area of CBIR has been established in recent years. The performance of a CBIR system mainly depends on the particular image representation and similarity matching function employed. The CBIR tends to index and retrieve images based on their visual content. CBIR avoids many problems associated with traditional ways of retrieving images by keywords. Thus, a growing interest in the area of CBIR has been established in recent years. The performance of a CBIR system mainly depends on the particular image representation and similarity matching function employed. So a new CBIR system is proposed which will provide accurate results as compared to previous developed systems. This introduces new composite framework for image classification in a content based image retrieval system. The proposed composite framework uses an evolutionary algorithm to select training samples for support vector machine (SVM). To design such a system, the most popular techniques of content based image retrieval are reviewed first. Our review reveals some limitations of the existing techniques, preventing them to accurately address some problems.
Keywords: IR, CBIR (Content Based Image Retrieval), CNN, SVM, Evolutionary Algorithm.
1. Introduction
In the domain of content-based image retrieval (CBIR), the retrieval accuracy is essentially based on the discrimination quality of the visual features extracted from images or small patches. Image contents (objects or scenes) may include different deformations and variations, e.g. illumination, scaling, noise, viewpoint, etc, which makes retrieving similar images one of the challenging vision tasks. The typical CBIR approaches consist of three essential steps applied on images: detection of interest points, formulation of image vector, and Similarity/dissimilarity matching A CBIR (content based image retrieval) system performs data mining tasks (search, ranking, classification, etc) on images using the visual content of images only. The CBIR systems are great when dealing with images: without contextual information or meta-data associated to the image. This tends to happen a lot nowadays, with the number of images produced and uploaded on the Internet. Indeed, billions of photos were posted on Internet by now, and the number of public photos uploaded to the Internet everyday is estimated at 2 millions. This thesis introduces new composite framework for image classification in a content based image retrieval system. The proposed composite framework uses an evolutionary algorithm to select training samples for support vector machine (SVM). To design such a system, the most popular
Dr. M Ekambaram Naidu et al, International Journal of Computer Science and Mobile Applications, Vol.5 Issue. 10, October- 2017, pg. 243-252 ISSN: 2321-8363
Impact Factor: 5.515
techniques of content based image retrieval are reviewed first. Our review reveals some limitations of the existing techniques, preventing them to accurately address some problems.
Then Evolutionary algorithms are identified as an interesting solution to solve the fine grained classification problem. The performances of Evolutionary algorithms for the problem considered are not good enough to use them alone to solve it though. Thus using those together with another algorithmic considered, forming what is called a composite system. Using an evolutionary algorithm to provide training samples to a support vector machine (SVM) seemed to be new in CBIR. This is the first implementation of such method that leads to promising results.
2. LITERATURE REVIEW
Content-based image retrieval at the end of the early years - A. W. M. Smeulders, M. Worring, S. Santini, A. Gupta, and R.Jain - 2000
Presents a review of 200 references in content-based image retrieval. The paper starts with discussing the working conditions of content-based retrieval: patterns of use, types of pictures, the role of semantics, and the sensory gap. Subsequent sections discuss computational steps for image retrieval systems. Step one of the review is image processing for retrieval sorted by color, texture, and local geometry. Features for retrieval are discussed next, sorted by: accumulative and global features, salient points, object and shape features, signs, and structural combinations thereof. Similarity of pictures and objects in pictures is reviewed for each of the feature types, in close connection to the types and means of feedback the user of the systems is capable of giving by interaction. We briefly discuss aspects of system engineering: databases, system architecture, and evaluation. In the concluding section, we present our view on: the driving force of the field, the heritage from computer vision, the influence on computer vision, the role of similarity and of interaction, the need for databases, the problem of evaluation, and the role of the semantic gap.
Content Based Image Retrieval based on Color, Texture and Shape features using Image and its complement - P. S. Hiremath and JagadeeshPujari - 2007
Color, texture and shape information have been the primitive image descriptors in content based image retrieval systems. This paper presents a novel framework for combining all the three i.e. color, texture and shape information, and achieve higher retrieval efficiency using image and its complement. The image and its complement are partitioned into non-overlapping tiles of equal size. The features drawn from conditional cooccurrence histograms between the image tiles and corresponding complement tiles, in RGB color space, serve as local descriptors of color and texture. This local information is captured for two resolutions and two grid layouts that provide different details of the same image. An integrated matching scheme, based on most similar highest priority (MSHP) principle and the adjacency matrix of a bipartite graph formed using the tiles of query and target image, is provided for matching the images. Shape information is captured in terms of edge images computed using Gradient Vector Flow fields. Invariant moments are then used to record the shape features. The combination of the color and texture features between image and its complement in conjunction with the shape features provide a robust feature set for image retrieval. The experimental results demonstrate the efficacy of the method.
Evaluating bag-of-visual-words representations in scene classification - J. Yang, Y.-G. Jiang, A. G. Hauptmann, and C.-W. Ngo - 2007
Based on key points extracted as salient image patches, an image can be described as a "bag of visual words" and this representation has been used in scene classification. The choice of dimension, selection, and weighting of visual words in this representation is crucial to the classification performance but has not been thoroughly studied in previous work. Given the analogy between this representation and the bag-of-words representation of text documents, we apply techniques used in text categorization, including term weighting, stop word removal, feature selection, to generate image representations that differ in the dimension, selection, and
Dr. M Ekambaram Naidu et al, International Journal of Computer Science and Mobile Applications,
Vol.5 Issue. 10, October- 2017, pg. 243-252ISSN: 2321-8363
Impact Factor: 5.515
weighting of visual words. The impact of these representation choices to scene classification is studied through extensive experiments on the TRECVID and PASCAL collection. This study provides an empirical basis for designing visual-word representations that are likely to produce superior classification performance.
Delving Deep into Rectifiers: Surpassing Human-Level Performance on Image Net Classification - He K,
Zhang X, Ren S, et al. - 2015
Rectified activation units (rectifiers) are essential for state-of-the-art neural networks. In this work, we study rectifier neural networks for image classification from two aspects. First, we propose a Parametric Rectified Linear Unit (PReLU) that generalizes the traditional rectified unit. PReLU improves model fitting with nearly zero extra computational cost and little over fitting risk. Second, we derive a robust initialization method that particularly considers the rectifier nonlinearities.
Deeply learned face representations are sparse, selective, and robust - Sun Y, Wang X, Tang X. - 2014
This paper designs a high-performance deep convolution network (DeepID2+) for face recognition. It is learned with the identification-verification supervisory signal. By increasing the dimension of hidden representations and adding supervision to early convolution layers, DeepID2+ achieves new state-of-the-art on LFW and YouTube Faces benchmarks. Through empirical studies, we have discovered three properties of its deep neural activations critical for the high performance: sparsity, selectiveness and robustness. (1) It is observed that neural activations are moderately sparse. Moderate sparsity maximizes the discriminative power of the deep net as well as the distance between images.
Near-optimal hashing algorithms for approximate nearest neighbor in high dimensions - Andoni A, Indyk P. - 2008
In this article, we give an overview of efficient algorithms for the approximate and exact nearest neighbor problem. The goal is to preprocess a dataset of objects (e.g., images) so that later, given a new query object, one can quickly return the dataset object that is most similar to the query. The problem is of significant interest in a wide variety of areas.
Hamming distance metric learning - Norouzi M, Blei D M, Salakhutdinov R. - 2012
Motivated by large-scale multimedia applications we propose to learn mappings from high-dimensional data to binary codes that preserve semantic similarity. Binary codes are well suited to large-scale applications as they are storage efficient and permit exact sub-linear kNN search. The framework is applicable to broad families of mappings, and uses a flexible form of triplet ranking loss. We overcome discontinuous optimization of the discrete mappings by minimizing a piecewise-smooth upper bound on empirical loss, inspired by latent structural SVMs. We develop a new loss-augmented inference algorithm that is quadratic in the code length. We show strong retrieval performance on CIFAR-10 and MNIST, with promising classification results using no more than kNN on the binary codes.
3. RELATED WORK
An image Retrieval (IR) system is a system allowing to perform different data mining tasks on images from a database (classification, retrieval, copy detection, etc). IR systems may use any kind of data available (keywords, GPS location, website from which the image is extracted, etc) to perform those tasks.
CBIR system is an IR system that uses only the visual content of images as input data. This means that no keywords or any meta-data are used during the process, only information extracted from the pixels of the images is used.
Common tasks that are performed in CBIR.
Face Detection
Copy Detection
Object Detection and Classification
Image Retrieval
Image Classification
Dr. M Ekambaram Naidu et al, International Journal of Computer Science and Mobile Applications,
Vol.5 Issue. 10, October- 2017, pg. 243-252ISSN: 2321-8363
Impact Factor: 5.515
3.1 General Structure
CBIR systems rely only on information contained in the pixels of the images. The system is expected to find similar images at a semantic level; pixels do not provide such information and do not allow accessing to such a level of abstraction easily. The first task when creating a CBIR system is designing a representation of images, as shown at the top of Figure 1.Therepresentation that holds meaningful information, is extracted for each image in the database. By reducing the size of the description, the cost and complexity of similarity computations can be reduced. Thus the cost of the computation of the decision taken by the Machine Learning (ML) algorithm. This algorithm is used as the search engine in the CBIR system of Figure 1.
Once the representation of each image is extracted from the database, the search engine is learned. The search engine is able to assign images into relevant classes.
Then, the trained Machine Learning (ML) algorithm is applied to the representation of every image of the dataset, assigning them a label. The dataset is then completely classified, and the trained ML algorithm can be applied to classify any new image that is added to the dataset. This concept is shown at bottom of Figure 1.
3.2 Comparing Images with Similarity Measures
To be able to compare images, the representation must come with a similarity measure. The similarity measure depends on the image representation. The subsequent sections describe comparison methods.
A. Histogram Comparison: Histograms are usually real valued vectors in the image representation context. As such, they can be compared using usual distance functions. More specific measures can bemire suitable to compare vectors. The following sections describe these measures.
B. Quadratic-Form distance: The first distance to compare two histograms P and Q is the Quadratic-Form (QF) distance. This measure compares histograms by comparing bins at the same position between each other. Such comparisons assume that the domain of the histograms, the feature vector represented by each bin, is aligned. This condition is most of the time not fulfilled, due to the per image quantization of feature vectors.
C. Chi-Squared distance: The Chi-Squared (χ2) is a famous histogram distance. It is based on theχ2 statistic test. It considers relative differences instead of absolute differences, thus giving more importance to differences between small bins over differences between large bins.
D. Bags of Features Comparison: The BoFs are sometimes used as image representation directly, in particular in the detection of objects covering only a part of an image. In order to compare BoFs, each vector of each BoF must be compared to one another. Those comparisons must then
Dr. M Ekambaram Naidu et al, International Journal of Computer Science and Mobile Applications,
Vol.5 Issue. 10, October- 2017, pg. 243-252ISSN: 2321-8363
Impact Factor: 5.515
be combined to form a final score. There are several strategies to compute the score from comparison. The voting strategies, for example, are described here.
E. Voting Strategies: The voting strategies are fairly simple, and any feature vector within the neighborhood of another has the same contribution to the similarity measure. This is not suitable in CBIR.
F. Kernels Function: These are dedicated to any image representation composed of one vector, histogram or not, and are widely used because of their properties. Let Xbe the space in which the raw visual features are defined, also called the input space. There are two ways to define kernel function. The first one is: if there exists an injection φ mapping any x X to vector φ(x)in an Hilbert space, called the feature space; then, the function k defined by Equation1.1 is a kernel function. K is defined by a dot product in the feature space.
k(x,y) =(φ(x) , φ(y))
(1.1)
As kernel functions are dot products in a feature space, they can be used instead of the dot product in the input space to build a decision using those linear classification algorithms. The linear separation is then built in the feature space instead of in the input space. The greater the dimension of the feature space, the higher the probability that the data can be linearly separable in it. This is the so called kernel trick. Then finding the linear separation in the feature space results in finding the non-linear separation in the input space. The computing a kernel function is most of the time not very costly. The kernels have been used a lot in classification tasks and in CBIR and in most of the work using SVMs as the classification algorithms.
3.3 LIMITATIONS OF EXSTING TECHNIQUS
The actual active learning strategies for SVM suffer from one drawback in CBIR. The existing active learning techniques seem to be lacking something to address the fine grained classification problem: exploration. Exploration is the fact of searching areas of the search space that have not been looked for yet. The fine grained classification (exploration) is one of the problems in CBIR.
4. PROPOSED WORK
This section provides the understanding about the proposed system which is required to develop for the demonstration of the performance study of IR system EAs are population-based meta-heuristic optimization algorithms. An optimization problem consists in finding the parameter vectors for which the optimal of one or several functions are attained. The function to optimize is often called a fitness function or an objective in Eas. Eas cover a wide range of algorithms, including but not limited to Gas, Particle Swarm Optimization (PSO), Differential Evolution(DE) or even firefly algorithm.
4.1 General Structure of EA
The population is initialized first. Once the population is initialized, each individual in the population is evaluated using the fitness function before the evolutionary loop starts. The evolutionary loopis composed of a pre-variation selection process, a variation process, an evaluation process and a post-variation selection process.
Dr. M Ekambaram Naidu et al, International Journal of Computer Science and Mobile Applications,
Vol.5 Issue. 10, October- 2017, pg. 243-252ISSN: 2321-8363
Impact Factor: 5.515
Figure 2
Initialization
Evaluation
Pre-variation
selection
Crossover
Post-variation
selection
Offspring
Evaluation
Mutation
4.2 Multi-Objectives Optimization Problems:
Multi-Objectives Optimization Problems consist in optimizing two or more functions, or objectives, at the same time. The formal notation is shown in definition 1.
Definition 1. Multi-Objective Optimization Problem
Let F = [f1, f2, …, fn], minF ( x ) , x S is a multi-objective optimization problem.
When dealing with such problems, the comparison of individual's performances is harder. Comparison relation Pareto dominance has been built to compare individuals in the objective space in the context of MultiObjectivesOptimization Problems.
Pareto dominance: It basically says that an individual a is better than an individual b if and only if it is at least as good as b in all objectives and strictly better than b in at least one objective. If a is better than b in some objectives and worse in others, then a and b are considered to be not comparable with respect to the Pareto dominance.
This dominance relation allows comparing individuals between each others, and even allows ranking them. This ranking is important as EAs need a way to know which individuals are better than other during the evolution process and in particular for the selection steps. This ranking is called the non dominated sort.
None dominated sort: As the Pareto dominance is a partial order relation, several individuals may not be comparable. Therefore, a population of individuals is ranked into subsets of incomparable individuals called fronts which are assigned a rank. This ranking process is called the non-dominated sort. It is often used by EAs dedicated to Multi-Objectives Optimization Problems to compute the probability for each individual to be selected during the two selection steps.
When solving a Multi-Objectives Optimization Problem, it is expected that a diverse setoff tradeoffs between objectives is found; therefore, metrics have been designed to measure the diversity of trade-offs presented by a front, so as to rank individuals within a same front by their contribution to the diversity of solutions. Several measures exist; the commonly used measures are crowding distance and the hyper-volume.
Given those tools, Non-dominated Sorting Genetic Algorithm II (NSGA-II) which is well known and quite effective GA, is created to tackle MultiObjectives Optimization Problems. The other algorithms are Parameter less Inching Assisted Non-dominated Sorting Genetic Algorithm-II (PNANSGA-II), Biobjective Differential
Evolution (MOBiDE), and Multiobjective Optimization for locating multiple optimal Solutions of Multi-modal Optimization Problems (MOMMOP).
NSGA-II: NSGA-II is a GA dedicated to Multi-Objectives Optimization Problems.The environmental selection is the only step that can't be modified in NSGAII's workflow; every thingelse can be tuned to fit any problem.
3.4 composite system design:
4.3.1Initializing the System: To initialize the learning process, the system needs one query image from each category. So B images are drawn from the set of available training samples, one from each category, to form the query images. Those query images are added as the first samples to the training set of the SVM. Then, the initialization process of the EA takes place.
4.3.2 The Relevance Feedback Process: Before the GA loop starts, the relevance feedback process is run, adding some images to the training set and growing it into a relevant first training set. The population of the EA is extracted and processed through the relevance feedback process. This process is composed of 3 steps:
- matching individuals to images from the available training sample set
- selecting which images are selected to get relevance feedback from and to beaded to the training set
- collecting the relevance feedback information and adding the images to the training set
4.4 The Evolutionary Algorithm Process: Once the population and the SVM have been initialized, the EA process can start. The first step is to evaluate the individuals of the population generated during the initialization. This evaluation step is the same as the evaluation of offspring done later in the EA process.
4.4.1 Individual's Evaluation: The EA is expected to converge toward a diverse set of individuals representing interesting elements to add to the SVM training set to improve its classification score. The area of
the search space to which the individuals will converge is determined by the functions used to evaluate the individuals. Therefore, those need to be building carefully. The goal would be to identify a diverse set of images from each category in the dataset. Several elements are available to craft the evaluation functions:
- The query image from each category
- The SVM learned so far
- Other individuals
4.4.2 The Evolution Loop: Once the post-initialization evaluation process is done, the evolution loop starts.
Several things are to be defined when implementing such a system:
- image representation
- individuals representation in the EA
- EA evaluation functions
- which EA to use and its components
- algorithm used for the matching
- selection scheme in the relevance feedback process
- Type of SVM used.
Fisher Vectors computed on top of SIFT descriptors are used as the image representation. The SVM is used to learn the multi-class classifier from the training set, in the evaluation of the individuals of the EA and in the selection of images to be added to the training set in this system. The EA is expected to identify training samples for the SVM. Two main objectives are identified: finding images that will quickly improve theism decision, and explore the search space to find new areas with images from each category to better address the ne grained classification. The problem defined is a bi-objective problem. Any multi-objective EA could be used to solve it. NSGA-II is used in this implementation. The two-point crossover is used to generate the offspring. The mutation operator is the simple reset mutation. Relevance Feedback Process is composed of three steps: the matching process, a selection process and finally gathering the feedbacks before adding the images to the training set. In order to lower the impact of the matching on the speed of the system, a fast approximate nearest neighbor search based on Locality Sensitive Hashing (LSH) is used instead.
5. Conclusion
This PAPER focuses on one of those new challenges: the fine grained classification. It consists in being able to separate accurately images from class's present inciter class's visual similarities and intra-class visual dissimilarities. This problem turnout to be multi-modal by nature. Indeed, visual descriptions, such as the SIFT descriptors which form the base for the image description used, are built to keep visually similar images close and visually dissimilar images far from each other. Therefore, intra-class visual dissimilarities lead to images from the same class to be scattered through the search space. And inter-class similarities lead images from different classes to be mixed in one place of the search space. Thus they form small groups of images from the same class separated by groups of images from other classes. Those groups of images belonging to the same class but being scattered through the search space are modes for this class. To solve this kind of problem, admix of global and local search is needed. Or, the existing active learning techniques are lacking of global search to deal with such problems. Evolutionary Algorithms are presenting interesting exploration capabilities and were thus considered to tackle the fine grained classification problem. But image descriptions are most of the time of high dimension, more than 1000 dimensional vectors. And it turned out that the performances of EAs dedicated to multi-modal problems are not that good when dealing with high dimensional problems.
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[15] S. Belongie, J. Malik and J. Puzicha. Shape Context: A new descriptor for shape matching and object recognition. In NIPS, 2000. (Cited on pages xi and 10.)
A Brief Author Biography
Dr. Mandalapu Ekambaram Naidu received Ph.D. degree in Computer Science in the faculty of Engineering in 2009 from University of Mysore, karnataka.. He is currently working as Professor & principal in the Department of Computer Science & Engineering, SRK Institute of Technology, Enikepadu, Vijayawada-521108. His current research is focused on Software Engineering, Database Management System, Software Testing Mehodologis.
Ravi Kumar Chandu, Working As An Asst. Professor In The Department Of Computer Science, Cmr Engineering College, Hyderabad . He Obtained His M.Tech. (CSE) In Sam Higginbottom University Of Agriculture Technology & Sciences, Allahabad- Naini, Uttar Pradesh. Hiss Research Interests Lies In Image Processing, Software Engineering.
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Visual processing-inspired Fern-Audio features for Noise-Robust Speaker Verification
Anindya Roy Idiap Research Institute, Martigny Ecole Polytechnique Fédérale de Lausanne, Switzerland email@example.com
Sébastien Marcel Idiap Research Institute Martigny, Switzerland firstname.lastname@example.org
ABSTRACT
In this paper, we consider the problem of speaker verification as a two-class object detection problem in computer vision, where the object instances are 1-D short-time spectral vectors obtained from the speech signal. More precisely, we investigate the general problem of speaker verification in the presence of additive white Gaussian noise, which we consider as analogous to visual object detection under varying illumination conditions. Inspired by their recent success in illumination-robust object detection, we apply a certain class of binary-valued pixel-pair based features called Ferns for noise-robust speaker verification. Intensive experiments on a benchmark database according to a standard evaluation protocol have shown the advantage of the proposed features in the presence of moderate to extremely high amounts of additive noise.
Categories and Subject Descriptors
I.5.2 [Pattern Recognition]: Design Methodology—Feature evaluation and selection; I.5.3 [Pattern Recognition]: Applications—Signal Processing
General Terms
Algorithms, Performance, Design, Verification
Keywords
Speaker verification, noise robustness, additive white Gaussian noise, Local Binary Patterns, binary features, object detection
1. INTRODUCTION
Speaker verification systems have emerged as one of the major applications of speech processing technologies [1], used for secure financial transactions, access control to locations, computer systems and networks [6]. The goal of automatic speaker verification is to accept or reject a claimed identity
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based on the speech samples obtained from the user [2]. In this work, we considered text-independent speaker verification.
The first step in a speaker verification system is feature extraction. It extracts speaker-specific information from the speech data. Assuming speech signals are generated from quasi-stationary processes, short-term spectral analysis is applied to short speech segments, yielding a sequence of short-time spectra carrying speaker-specific information [6]. Usually, these short-time spectra are further transformed into more sophisticated feature vectors, involving further computations [1] like Mel-frequency Cepstral Coefficients (MFCC) [3]. After extraction, the features are modelled using various techniques, the most popular being Gaussian Mixture Models (GMM) [14] where generally a client-specific speaker model and a client-independent world model are trained. A score is calculated, typically a log-likelihood ratio, and a decision is obtained by comparing this score to a pre-defined threshold.
One of the main challenges to current speaker verification systems is the presence of background noise which tend to degrade verification performance. The second challenge is the reduction of computational complexity of the system at the same time.
In this work, we have addressed these challenges by viewing the problem of speaker verification from the perspective of computer vision. More precisely, we consider the spectral vectors obtained from speech data collected from a particular user as instances of a particular object class. The corruption by additive noise is considered as analogous to ambient illumination changes which change the appearance of the object. In this context, binary-valued pixel-pair based features like Local Binary Patterns (LBP) [11], [15] and Ferns [12] have been recently used successfully for fast illumination-robust object detection. By definition, their value depends on the comparison of intensities of two pixel values, thus they are independent of monotonic illumination changes. Furthermore, the final decision is based on a combination of individual decision scores calculated from a set of distinct features. Some of the individual features might produce erroneous decision scores due to noise but it is less likely that their combined decision will be erroneous. Drawing from this idea, we have applied a certain class of these features called single-pair Ferns in the problem of noise-robust speaker verification. We hypothesize that such illumination-robust features will show a more graceful degradation of verification performance with increasing amount of noise, as compared to conventional features like
Figure 1: LBP robustness to monotonic gray-scale transformations. On the top row, the original image (left) as well as several images (right) obtained by varying the brightness, contrast and illumination. The bottom row shows the corresponding LBP images which are almost identical.
MFCC. Furthermore, our binary features are simple to calculate, requiring a small number of comparisons and additions per feature vector, as compared to additional computations for the calculation of MFCC. Finally, we use a very simple feature selection method, and a Naive-Bayes classifier for obtaining the decision, as opposed to GMM which is more computationally intensive. To our knowledge, this class of pixel-pair based binary features have not been used before in the context of speaker verification. Haitsma et al. have used bit matrices obtained from comparisons of filterbanked spectrogram values as Audio Fingerprint blocks [5]. However, their work differs from ours in several aspects, in terms of methodology and application.
The rest of the paper is organized as follows. In Sec.2, we give a brief overview of binary features followed by a detailed description of the proposed Fern-Audio features in Sec.3. We describe our experiments in Sec.4 and highlight certain aspects of our work in Sec.5. Finally, Sec.6 outlines the main conclusions of our work.
2. BINARY FEATURES
Let us consider a feature vector −→ X = [X(1), · · · , X(L)] T . In computer vision, −→ X is an image and each element a graylevel pixel intensity. A binary feature φi is defined by an ordered pair k ( i ) = {k ( i ) 1 , k ( i ) 2 } , with its elements varying from 1 to L. Its value φi( −→ X ) is 1 if X(k ( i ) 1 ) is greater than or equal to X(k ( i ) 2 ) and 0 otherwise. Thus it remains unchanged as long as X(k ( i ) 1 ) and X ( k ( i ) 2 ) preserve their relationship. This makes such features robust to monotonic illumination changes. As an example, fig.1 shows the robustness of the Local Binary Pattern feature, a generalization of the simple feature φi to changes in brightness, contrast and illumination.
3. FERN-AUDIO FEATURES
3.1 Feature representation
The proposed Fern-Audio features are an adaptation of the binary features in Sec.2 to audio data. Given a speech waveform, it is broken up into overlapping frames and a Hamming window is applied to each frame. An N-point Fast Fourier Transform (FFT) is applied to each frame. The magnitudes of the Fourier coefficients are calculated and half of them are removed since they are redundant, forming the spectral vector −→ X of length L = N 2 + 1. −→ X is considered the equivalent of images of objects of a particular class in an object detection task. As in Sec.2, each Fern-Audio fea- ture φ i is parameterized by two numbers, in this case two frequencies, k ( i ) 1 and k ( i ) 2 lying between 0 and N 2 . The Fern feature φ i ( −→ X ) is defined as,
Following the bounds for k ( i ) 1 and k ( i ) 2 , the number of such features is NF = ( N 2 + 1) 2 . The features φi are binary features which simply model the interrelationship between the individual frequency components of the spectral vectors. The motivation behind using these features is that, different channel conditions and other effects might degrade the audio signal leading to a change in the shape of the spectrum emitted by the speaker. However, it is hypothesized that the precise relationship between frequency components, whether one is greater or lesser than another, will remain untouched, not for all such features but at least for a majority of selected features within a single spectral vector.
3.2 Classifier design
Given a test spectral vector −→ X , the aim is to decide if it belongs to the client class, ωclient or the impostor class, ωimp. Let us denote by ω( −→ X ) the yet unknown class of the test vector, by Φ = {φ1, φ2, · · · φN F } the complete Fern feature set, and by F = {f1, f2, · · · fN F } the corresponding Fern feature values extracted from −→ X , i.e. φi( −→ X ) = fi, where fi ∈{0, 1} for each i ∈{1, · · · , NF }. We define a score S( −→ X ) calculated from the vector, −→ X as a log-likelihood ratio,
Thus, we decide that −→ X belongs to the client class, ωclient if S( −→ X ) > θ, a pre-defined threshold optimized over a separate development set, and to the impostor class otherwise [1]. Assuming conditional independence between the features and a Naive Bayes probabilistic model, we can calculate,
C
P(ω(X)=ω
− →
where
= log client
)
P(ω(
− →
X)=ω
imp
)
is the contribution from the client and impostor prior probabilities assumed to be„
«
constant, whileσ
i
is the contribution of each feature,φ
i,
To calculate σi( −→ X ), we approximate by counting over the training dataset,
Nclient is the number of client training samples, { −→ X ( r ) client } N clients r=1 is the client training dataset. For the impostor case, we count over a single world model dataset which is client independent,
where Nimp is the number of world model training samples, { −→ X ( r ) imp } N imp r=1 , the world model training dataset. In both cases, the calculation is finished in only a single pass over the training data.
3.3 Feature selection
We need to select optimal features from the complete set Φ. For this, we consider the worst-case scenario, i.e. the case with the minimum magnitude of σi. Precisely, we select those features φi which maximize this minimum magnitude of σi because it can be shown that this will in turn maximize the magnitude of S( −→ X ) (ref. Eqn.3). Indeed, it is clear that larger the magnitude of S( −→ X ), more reliable our decision will be. We consider the minimum possible value of σi as the efficiency of the feature φi, denoted by Ei. Using Eqn.4, it can be calculated as,
We observe that the efficiency measure Ei is somewhat related to the conditional entropy [13] associated with the feature φi with the expectation being replaced by the minimum value. In other words, given a speaker class ωclient, an optimal feature for that class (i.e one with a high value of Ei), is one which has a constant value (either 1 or 0 in this case) over most of the spectral vectors belonging to that class, and a different value (0 or 1 respectively) for spectral vectors of the impostor class ωimp. All the features {φi} are sorted in descending order of their Ei. The best Nb features from among the complete set Φ are chosen as those with the highest Nb values of Ei. It is expected that these features will contribute to increased magnitude of the final score S, and hence will make the final classification more reliable.
Furthermore, due to higher Ei values, these features are typically associated with frequency components X(k ( i ) 1 ) and X(k ( i ) 2 ) whose magnitudes are well separated from each other, for that particular client. Hence, when speech is corrupted by additive noise, the corresponding feature value, φi( −→ X ) (Eqn.1) is less likely to change, irrespective of whether the noise is wideband or narrowband.
In practice, we can reduce the feature selection time by starting with a much smaller subset of features by a random pre-selection without degradation of performance. After the Nb features are selected, the final score is obtained by summing the scores across those Nb features for every frame, and finally summing and normalizing the scores over the entire speech signal.
4. EXPERIMENTS
4.1 Database and Protocols
We tested our proposed Fern-based audio features on the XM2VTS audio database [9]. We chose this database because it is part of publicly available standard database [7], [10], [4], with a clearly defined set of protocols. Also, the speech data is relatively clean. We required clean data because we wanted to investigate the effect of additive white Gaussian noise on the speech, starting from clean speech, with a Signal to Noise Ratio (SNR) of around 30dB to very high values of noise (SNR = -10 dB). The XM2VTS database comprises of four sessions with 200 clients and 95 impostors, each session having two recordings called the first and second shot. Each recording lasts about 4 seconds. Following the Lausanne protocol 1 [8], we used the first shot of Sessions 1, 2 and 3 of the database as the training data for each client model and the second shot of Sessions 1, 2 and 3 as the development data to select the decision threshold. We selected a global threshold optimized according to Equal Error Rate (EER, i.e. Percentage of False Acceptance = Percentage of False Rejection) on the development data. We have not considered any score normalization techniques nor client-specific thresholds.
Finally, for the test we used the original data from Session 4 (both shots 1 and 2) of the XM2VTS database, following the Lausanne protocol 1. Additionally, we considered noisy speech signal by adding white Gaussian noise at SNR = 20dB, 15dB, 10dB, 5dB, 0dB, -5dB and -10dB to the original clean speech, obtaining 7 noisy speech signals for each speech file. We tested separately on these clean and noisy speech data and examine the degradation of performance of our proposed system comparing it with the performance of a baseline MFCC-GMM system. For testing, we use the global threshold obtained in the development phase to calculate the False Acceptance and False Rejection rates. Following usual practice, we report the Half Total Error Rate (HTER) which is the average of the two.
4.2 Experimental Setup
For this database, the sampling frequency fs is 8kHz. The speech waveform is broken up into frames of length 20 msec, with an overlap of 10 msec. For the FFT, we chose N = 256. For the feature selection, we examined with values of the number of features, Nb ranging from 1 to 1000.
We compared our proposed system to a baseline MFCCGMM system with two configurations (2 and 32 Gaussians) [1]. The baseline system included a noise-removal step by Cepstral Mean Subtraction (CMS) [1]. Our proposed setup has no equivalent noise-removal step because we hypothesize it will be relatively robust to such noise. For the baseline systems, we also implemented Silence Removal by modelling the speech/non-speech segments using a Bi-Gaussian fit over the MFCC features [1]. However, for our proposed features, we cannot use such a technique, because we do not calculate MFCC and also we wanted to maintain the low computational cost requirements. As an alternative, we first sorted the frame energies, and retained 20% of the higher energy frames for training and 10% for testing. It is to be noted that these are not optimized and purely experimental.
To justify our feature selection scheme, we also compared our proposed system with a similar system using the same Fern-Audio features but where the features are selected uniTable 1: Speaker Verification performance (HTER%) on the XM2VTS database.
| System | Configuration | Silence removal | clean | 20dB | 15dB | 10dB | 5dB | 0dB | -5dB |
|---|---|---|---|---|---|---|---|---|---|
| 1 MFCC-GMM (Baseline) | 32 Gaussians 2 Gaussians 32 Gaussians 2 Gaussians | Bi-Gaussian | 1.4 7.8 1.9 8.6 | 9.5 20.5 10.7 18.8 | 20.0 26.1 20.3 26.3 | 33.7 32.2 33.1 32.1 | 41.1 35.7 42.1 39.6 | 45.4 39.6 46.5 44.3 | 47.7 46.0 48.6 47.3 |
| | | Frame energy sorting | | | | | | | |
| 2 Fern-Audio features with optimized feature selection | N = 5 b N = 10 b N = 20 b N = 50 b | Frame energy sorting | 17.1 16.2 14.6 15.2 | 18.2 17.8 15.3 16.5 | 18.9 18.0 15.8 17.1 | 19.5 18.7 16.9 18.3 | 21.7 19.3 18.7 20.0 | 21.6 20.5 20.3 21.7 | 24.2 21.6 21.7 23.9 |
| 3 Fern-Audio features with random feature selection | N = 5 b N = 10 b N = 20 b N = 50 b | Frame energy sorting | 33.5 25.5 23.4 21.3 | 40.0 36.2 35.0 34.1 | 41.7 39.1 39.1 39.2 | 43.8 42.2 43.0 43.9 | 46.0 44.4 45.8 45.5 | 47.0 46.2 48.1 48.7 | 48.0 47.9 48.4 48.9 |
formly randomly from the feature set Φ instead of using the optimality criterion in Eqn.7.
4.3 Results
calculations. Our proposed system is also less intensive on storage space requirements because only 2 × Nb, i.e. 20 to 40 σi values need to be stored per client model, while for the baseline system, 2×32×32, i.e 2048 values need to be stored.
In Table 1, we report the verification performance of different systems, in terms of the HTER% on the test data, using a global threshold optimized according to EER criterion on the development data (ref. Sec.4.1). A total of 3 systems are represented. System 1 is the baseline, with (16 MFCC + 16 delta-MFCC) features [4], modelled by GMM ( either with 2 Gaussians or 32 Gaussians) [1]. It has a CMS step, and silence removal is either by bi-Gaussian or by sorting on frame energies. System 2 shows our proposed approach, with the number of optimally chosen Fern-Audio features Nb varying from 5 to 50. System 3 uses the proposed Fern-Audio features but uses random selection. The HTER% for the best performing configuration is highlighted in bold for the first two systems.
5. DISCUSSIONS
Performance From Table 1, we observe that the baseline system performs far better than the proposed system on clean speech. However, our proposed system begins to outperform the best among the baseline system configurations (highlighted in bold, system 1, Table 1) as the SNR falls below 20dB. At SNRs at and below 10dB, the baseline system quickly approaches pure chance performance ( 50%) while the performance of our proposed system degrades much more slowly, the HTER remaining below 25% till SNR=-5dB which is a statistically significant improvement over the baseline system. The best performance for the Fern features occurs at an Nb of 10 to 20. We also examined cases of Nb from 1 to 1000, however, the performance degrades in both directions.
System requirements Our proposed system is computationally much faster because 1) there is no computation of summation over bands, logarithms and inverse DCT as in the baseline MFCC system, 2) there is no CMS step, 3) feature modelling is by a Naive Bayes probabilistic model involving only a small number of additions ( 10 to 20 corresponding to the optimal Nb ), 4) feature selection is by a simple counting procedure and requires only one pass over the feature set, and 5) during testing of the model, each Fern can be obtained by one simple comparison operation in contrast to GMM-based systems which involve more intensive
Feature selection The role of our feature selection strategy is justified because our proposed approach performs significantly better than a similar system with randomly chosen features (system 3 in the table).
Comparison details It cannot be argued that the Fern features are performing better than the baseline system due to over-learning by the baseline system because even with a very weak baseline system (system 1, configuration : 2 Gaussians), the HTER% increases rapidly with decreasing SNR. Similarly, it cannot be argued that the Fern features are performing better due to the different silence removal technique used (sorting on frame energies), because an MFCC-GMM system with the same silence removal technique as ours (system 1, 32 and 2 Gaussians, Silence Removal method : sorting ) performs similarly as the MFCC-GMM system with silence removal by bi-Gaussian, and is worse than the proposed system with various high levels of noise.
Other reported systems Experiments have been carried out on additive white Gaussian noise-corrupted speech data from the XM2VTS database using conventional MFCC features by Nefian et al.[10] and Fox et al.[4]. Our system outperforms theirs by a significant margin.
Robustness to voice synthesis A useful aspect of the proposed framework is that the Fern models do not store any client-specific spectral shape information. They only store discriminative frequency points and the table of loglikelihood ratios, {σi}. Thus, the proposed models may be more robust against efforts to reconstruct a synthetic voice model from stolen model parameters than an equivalent MFCC-GMM model. This could be an advantage because this means that such a verification system is not susceptible to attacks using stolen model data.
Future work As a part of future work, we shall investigate the effect of other noise types on the proposed method, for example, babble noise and pink noise. It is to be noted that the proposed features individually examine only a distinct and small part of the whole spectrum (two frequency components). Hence, additive noise might affect some of the selected features, but it is less likely that it will affect too many of them all at the same time, so as to change the final decision. This will be true irrespective of the type of noise, whether wideband or narrowband, corrupting the speech data. This is likely to make the proposed method robust even in such cases. In future, we shall also use other more challenging speaker corpora for the speaker verification experiments and investigate more sophisticated feature selection strategies than the current Naive-Bayes framework.
6. CONCLUSIONS
Inspired by recent advances in computer vision, we have proposed an alternative feature set called Fern-Audio features for speaker verification. Using a Naive-Bayes classifier and a simple feature selection procedure, our system outperforms the baseline system in an unmatched noisy test scenario involving additive white Gaussian noise across a wide range of SNRs. At the same time, it is less intensive on computation and storage requirements than the baseline system showing promise for use in real-time systems.
7. ACKNOWLEDGEMENTS
The authors would like to thank the Swiss National Science Foundation (projects 200020-122062 and 51NF40-111401) and the FP7 European MOBIO project (IST-214324) for their financial support. The authors would like also to thank Dr Mathew M. Doss for his helpful comments and advice.
8. REFERENCES
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[2] J. Campbell. Speaker recognition : A tutorial. In Proc. IEEE, volume 85, pages 1437–1462, 1997.
[3] S. Davies and P. Mermelstein. Comparison of parametric representations for monosyllabic word recognition in continously spoken sentences. IEEE Trans. on ASSP, 28(4):357–366, 1980.
[4] N. Fox et al. Person identification using automatic integration of speech, lip and face experts. In Proc.ACM SIGMM 2003 Multimedia Biometrics Methods and Applications Workshop(WBMA'03),Berkeley,CA, pages 25–32, 2003.
[5] J. Haitsma and T. Kalker. A Highly Robust Audio Fingerprinting System. In International Symposium on Music Information Retrieval, 2002.
[6] S. Kung, M. Mak, and S. Lin. Biometric Authentication. Prentice Hall, 2005.
[7] J. Luettin. Speaker Verification Experiments on the XM2VTS database. Idiap Research Report 99-02, Idiap, 1999.
[8] J. Luettin and G. Maitre. Evaluation protocol for the extended M2VTS database (XM2VTSDB). Idiap Communication 98-05, Idiap, 2000.
[9] K. Messer, J. Matas, J. Kittler, J. L¨uttin, and G. Maitre. XM2VTSDB: The Extended M2VTS Database. In AVBPA, pages 72–77, 1999.
[10] A. Nefian et al. A Bayesian approach to audio-visual speaker identification. In AVBPA, pages 761–769, 2003.
[11] T. Ojala, M. Pietikainen, and D. Harwood. A comparative study of texture measures with classification based on feature distributions. Pattern Recognition, 29, 1996.
[12] M. Ozuysal, P. Fua, and V. Lepetit. Fast keypoint recognition in ten lines of code. In CVPR, 2007.
[13] A. Papoulis. Probability, Random Variables, and Stochastic Processes. McGraw-Hill International Editions, 1999.
[14] D. Reynolds. Experimental evaluation of features for robust speaker identification. IEEE Trans. on Speech and Audio Processing, 2(3):639–643, 1995.
[15] L. Zhang, R. Chu, S. Xiang, S. Liao, and S. Li. Face detection based on Multi-Block LBP representation. In ICB, pages 11–18, 2007.
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Case Report
Delayed Neuromuscular Recovery after General Anesthesia: A Case of Atypical Plasma Cholinesterase
Elvia Vera-Miquilena, MD 1* ; Helena Lysandrou, MD 2 ; Sujin Yi, DDS 3 ; Suren Soghomonyan, MD, PhD 1 ; Plato J Lysandrou, MD 1
Abstract
1Department of Anesthesiology, The Ohio State University Wexner Medical Center, Columbus, OH, USA 2The Ohio State University College of Medicine, Columbus, OH, USA
3Department of Dental Anesthesiology, The Ohio State University, Columbus, OH, USA
*Corresponding author: Vera-Miquilena Elvia
Tel: 614-685-2937; Fax: 614-366-1943
Department of Anesthesiology, Ohio State University, N411 Doan Hall, 410 W 10th Avenue, Columbus, OH, 43210, USA.
Email: firstname.lastname@example.org
Received: May 01, 2024
Accepted: May 29, 2024
Published: June 05, 2024
Pseudocholinesterase Deficiency (PChED), also called atypical plasma cholinesterase, or butyrylcholinesterase deficiency, is a rare genetic disorder that affects the body's ability to metabolize ester bonds, affecting the duration of action of muscle relaxants such as succinylcholine and mivacurium. This condition may lead to pro longed paralysis after general anesthesia when muscle relaxants are used, requiring prolonged postoperative mechanical ventila tion of the patient. We present a case of a 63-year-old male patient that presented for direct laryngoscopy and esophagoscopy under general anesthesia, and experienced prolonged paralysis after suc cinylcholine administration. PChED should be considered in cases of otherwise unexplained prolonged muscular weakness after an esthesia.
Keywords: Pseudocholinesterase deficiency; Atypical plasma cholinesterase; Butyrylcholinesterase deficiency; Case report; Succinylcholine; Prolonged neuromuscular blockade.
Abbreviations: SCh: Succinylcholine; PChED: Pseudocholines terase Deficiency; PChE: Pseudocholinesterase; PSMN: Presynaptic Motor Neuron; ACh: Acetylcholine; AChE: Acetylcholinesterase; BChE: Butyrylcholinesterase; NMJ: Neuromuscular Junction; PACU: Post Anesthesia Care Unit; nACh: Nicotinic Acetylcholine
Introduction
Pseudocholinesterase (PChE), also known as plasma cho linesterase or Butyrylcholinesterase (BChE), is an enzyme produced in the liver and found in the plasma [1-4]. It is not found at the Neuromuscular Junction (NMJ) [4]. It is involved in the metabolism of choline-based esters in the blood, includ ing muscle relaxants such as Succinylcholine (SCh) and miva curium, and ester-based local anesthetics such as tetracaine, chloropropane, and cocaine [4]. The word "PChE" comes from the Greek word pseftis (ψεύτης), which means liar, and cholin esterase, so it stands for "false cholinesterase" [5]. The "True Cholinesterase," also called acetylcholinesterase (AChE), is an enzyme found in the synapse of the NMJ and is responsible for metabolizing Acetylcholine (ACh) [5]. Because AChE is found at the synapse, ACh released by the presynaptic motor neuron is rapidly metabolized and lasts only 5-15 milliseconds [6]. SCh is only metabolized in the blood by PChE, and it is not metabolized by AChE in the synapse, so it lasts much longer at the NMJ, 5-10
minutes. When SCh is injected into the blood, 85-95% of it is metabolized by PChE in the plasma, and only 5-15% leaves the bloodstream to reach the NMJ [6]. However, once SCh reaches the NMJ, it is in its safe place, since nothing there can break it down, as PChE is only found in the plasma (hence called Plasma Cholinesterase) and not at the NMJ, so it lasts much longer than ACh [6]. PChED (a misnomer, as the patient is not deficient in the enzyme but instead has a poorly functioning enzyme) may be inherited as an autosomal recessive trait [1,4,7]. PChED is caused by genetic variants and is a qualitativerather than a quantitative problem; these patients have the same amount of enzyme as everyone else, but their enzyme is a poorly func tioning one [1,4,7]. Patients with PChED experience prolonged paralysis from SCh since a smaller percentage of it is metabo lized in the plasma, and much more ends up reaching the NMJ [1,4,7]. Also, lower levels of plasma cholinesterase (a quantita tive problem) may prolong SCh paralysis, but by much less com
Citation:
Vera-Miquilena E, Lysandrou H, Yi S, Soghomonyan S, Lysandrou PJ. Delayed www.austinpublishinggroup.com
Cholinesterase. Austin J Anesthesia and Analgesia. Austin J Anesthesia and Analgesia.
Volume 12, Issue 1 (2024)
Neuromuscular Recovery after General Anesthesia: A Case of Atypical Plasma
2024; 12(1): 1120.
pared to the prolongation caused by genetic variants [1,4,7]. PChED is suspected when patients experience prolonged paral ysis following the administration of SCh or mivacurium [1,4,7]. This case study aims to raise awareness among healthcare pro viders about atypical plasma cholinesterase.
Case Description
A 63-year-old male, 120 kg, 5' 7'' with a history of head and neck and anal cancer, diabetes mellitus type 2, hypertension, hyperlipidemia, obstructive sleep apnea, and Bell's Palsy, pre sented for direct laryngoscopy and esophagoscopy. His past surgical history included laparoscopic left inguinal hernia repair, cardiac ablation for supraventricular tachycardia, and colonos copy. All his previous anesthetics were uneventful. The patient denied any history of smoking or using illicit drugs and admit ted social alcohol consumption. His vital signs and physical ex amination were unremarkable. The list of home medications included atenolol, metoprolol, atorvastatin, and metformin. The patient was allergic to Percocet and intravenous contrast dye. Preoperatively, the patient received a scopolamine patch to reduce the risk of postoperative nausea and vomiting. In the operating room, the patient was preoxygenated, and induction of general anesthesia was achieved with 250mg of propofol, 50 mcg of fentanyl, and 100mg of SCh (Succinylcholine) to facilitate intubation. General anesthesia was maintained with sevoflu rane. Initial vital signs remained stable throughout the surgery. The surgical procedure (direct laryngoscopy and tissue biopsy) lasted 26 minutes. Sevoflurane was discontinued, and fresh gas flow was increased to facilitate anesthetic washout. The venti lator was switched to bag mode, expecting the patient to start breathing spontaneously; however, when the patient started breathing, the breath tidal volumes were minimal at 10-15 ml. Train of Four (TOF) showed 0/4 twitches. The patient could fol low commands but was very weak. Sugammadex 200 mg was administered to rule out accidental rocuronium administration, but this resulted in no motor function improvement. Since the patient was awake and was following commands but had weak ness, PChED was suspected. Midazolam 2 mg was administered for patient comfort, sedation, anxiolysis, and amnesia, and the patient was kept intubated and transferred to the Post-Anes thesia Care Unit (PACU). Upon arrival at the PACU, vital signs were stable. Gradually, the respiratory efforts became more ef fective, and the ventilation mode was changed to spontaneous ventilation with tidal volumes of 500-600ml. The patient met extubating criteria about three and a half hours after receiv ing SCh and was successfully extubated. A note was written in the patient's medical chart, and SCh was listed as an allergy, to avoid SCh administration in the future.
A dibucaine number test was ordered, instructing the spouse to wait 2 days before the blood draw; this was eventually done 7 months later, but the patient had not been re-exposed to SCh before the blood was drawn for the test. The dibucaine number came back at 637 initially, which was perplexing, considering the value denotes the percentage of PChE inhibited by dibucaine; and can only be from 0 to 90. After calling the lab, they admit ted making a mistake, stating that 637 was the plasma cholin esterase level, which has a normal range of 903-2964 units per liter (U/L), and that the dibucaine number was 45. The patient and his spouse were informed of the results, and a medic alert bracelet was ordered for the patient, noting he has PChED.
Discussion
PChED is a rare genetic disorder inherited as an autosomal
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recessive trait. It affects the body's ability to metabolize ester bonds, prolonging the duration of action of muscle relaxants such as SCh and mivacurium. It is more common in certain pop ulations, such as Persian Jewish people and Alaska Natives. The genetic basis of PChE deficiency involves mutations in the BChE gene, located on chromosome 3q26, leading to different alleles with varying enzyme activity [2,4,8-10]. About 20 genetic vari ants have been described, including usual (U, normal), atypical (A), fluoride-resistant, K variant, and silent [10]. The most com mon genetic variant of the gene is the atypical (A). Patients with one atypical gene are heterozygous atypical (UA), seen in 1 in 480 patients [4,10]. Patients with 2 atypical genes are homozy gous atypical (AA), seen in 1 in 3200 patients [10]. The rest have normal genes and are denoted by U.
Patients with PChED experience prolonged paralysis from SCh because of slower SCh degradation rate in the plasma. The functionality of the PChE enzyme determines the duration of action of SCh by influencing the rate of SCh hydrolysis and, thus, how much drug reaches the NMJ [10]. Since the enzyme has a diminished ability to hydrolyze ester bonds in medications such as SCh and mivacurium, significantly more of these molecules reach the NMJ, causing prolonged neuromuscular paralysis. When a patient experiences prolonged paralysis following SCh or mivacurium administration PChED should be suspected, and the dibucaine inhibition test should be ordered to confirm the diagnosis. Dibucaine is an amide local anesthetic that inhibits normal plasma cholinesterase activity by 80%. During the test, benzoylcholine and dibucaine are added to the blood [10-12]. Dibucaine decreases the breakdown of benzoylcholine by nor mal plasma cholinesterase (UU) by 80%, giving the patient a dibucaine number of 80, by heterozygous atypical (UA) by 4060%, giving the patient a dibucaine number of 40-60, and by homozygous atypical (AA) by 20%, giving the patient a dibu caine number of 20 [10-12]. SCh usually causes 5-10 minutes of paralysis in normal UU patients, 20-30 minutes in heterozygous atypical UA patients, and 1-8 hours in homozygous atypical AA patients [4,6]. When drawing blood for a dibucaine inhibition test, blood should be collected after 48 hours have passed from the SCh administration time, to prevent interference with the integrity of the test [11,13]. If the blood sample is taken too soon, the muscle relaxant in the blood may interfere with the hydrolysis of the test substrate, resulting in competitive inhibi tion; this could result in an artificially decreased PChE activity [11]. The dibucaine inhibition test does not identify genotypic and phenotypic differences; molecular genetic techniques can identify specific PChE variants at the DNA level, although these tests are primarily used for research [6,14].
Liver and kidney disease, malignancies, major burns, mal nutrition, pregnancy, and certain drugs, such as neostigmine and esmolol, may decrease the plasma cholinesterase enzyme concentration, but lower levels of normal PChE prolongs SCh's paralysis only modestly [9]. Hypothermia may also cause abnor mal metabolism of SCh. In general, the effects of various dis eases, medications, and hypothermia on SCh-induced paralysis are insignificant compared to the substantial prolongation of paralysis caused by genetic variants. Severe Liver disease may decrease the synthesis of PChE with a clinically significant pro longation of SCh-induced paralysis, but to cause a 20-second prolongation of SCh-induced paralysis, the quantity of PChE in the plasma must decrease by 70%. Decreases in PChE concen tration due to liver cirrhosis or other causes are associated with a normal dibucaine number, since despite lower levels, the en zyme has normal function [15].
Austin J Anesthesia and Analgesia 12(1): id1120 (2024) - Page - 02
When ACh is released from the Presynaptic Motor Neuron (PSMN) into the synapse AChE rapidly metabolizes 50% of it. The remaining ACh mostly binds to the postsynaptic nicotinic ACh (nACh) receptors and, to a smaller extent, to the presynap tic nACh receptors, providing positive feedback to replenish the PSMN ACh reserves [16]. The binding of ACh to the postsynaptic nACh receptors is soon followed by dissociation from the recep tors, driven by the large concentration gradient between the receptor area and the synapse, and is then immediately broken down by AChE, into acetic acid and choline, limiting the dura tion of action of ACh to 5-15 milliseconds (msec) [6]. Choline is then reabsorbed by the PSMN and used to synthesize more ACh, while acetate diffuses into the surrounding area.
Even though SCh is composed of 2 ACh molecules, it is not metabolized by AChE at the synapse but rather by PChE in the plasma, and this difference causes the duration of action of SCh to be 5-10 minutes, which is significantly longer than that of ACh's. The duration of action of SCh also depends on its initial plasma concentration and its elimination rate by PChE. Pro longed paralysis caused by PChED is treated by continuing mechanical ventilation and providing comfort measures to the patient, such as sedation [1,6,7]. Neostigmine is not recom mended for neuromuscular blockade reversal, as this will inhib it plasma cholinesterase and prolong paralysis. Neuromuscular monitoring during surgery should be utilized any time any neu romuscular blocker is used, even SCh, as this will help detect PChED early. Healthcare providers should be aware of this con dition and consider alternative neuromuscular blocking agents instead of SCh when indicated, to avoid prolonged paralysis [6]. Patients with a known PChED should wear medic-alert bracelets to notify healthcare providers of their condition [6].
It is interesting that there might be an evolutionary advan tage to having an abnormal allele of the BCHE gene, which is re sponsible for PChED. It is known that individuals who carry one copy of the sickle cell allele (heterozygous) have some level of protection against malaria. Similarly, individuals with an abnor mal pseudocholinesterase allele may also have a heterozygote advantage. Some publications suggest that having an abnormal BCHE allele may protect against cardiovascular disease [6].
Our patient's dibucaine number was 45, which would classify him as having heterozygous atypical PChED, and a 20–30-min ute neuromuscular blockade should have been expected. How ever, our patient experienced a 218-minute paralysis (3 hours 38 minutes). The cause of his prolonged paralysis could have been multifactorial, such as the presence of heterozygous atypi cal plasma cholinesterase, low plasma cholinesterase levels at 637 U/L (normal levels: 903-2964 U/L), his cancer, and the beta blockers he was on. In addition, we cannot discount the pos sibility that the lab miscalculated the dibucaine number, and it may be lower, since the lab already made a mistake initially, reporting the dibucaine number at 637. Despite the dibucaine number indicating that the patient had heterozygous atypical plasma cholinesterase, his clinical presentation was that of a homozygous atypical plasma cholinesterase genetic variant. This was communicated clearly with the patient and his fam ily, and a medic-alert bracelet was prescribed for homozygous atypical plasma cholinesterase (AA) and PChED, as this is the most common term utilized. The diagnosis of PChED was also added to the patient's chart.
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Conclusion
This case underscores the importance of considering rare en zymatic deficiencies such as PChED in patients with unexplained delayed recovery from neuromuscular blockade after general anesthesia. A high index of suspicion and prompt recognition are vital for appropriate management and prevention of poten tial complications associated with prolonged muscle weakness.
Author Statements
Consent
Informed consent was obtained from the patient to publish this case report, ensuring patient confidentiality.
References
1. Cascella M, Bimonte S, Di Napoli R. Delayed emergence from anesthesia: what we know and how we act. Local and Regional Anesthesia. 2020; 13: 195-206.
2. Ellis TA, Edberg JL, Kumar N, Applefield DJ. Delayed emergence from anesthesia: a simulation case for anesthesia learners. MedEdPORTAL. 2017; 13: 10628.
3. Benner A, Lewallen NF, Sadiq NM. Biochemistry, Pseudocholin esterase: StatPearls Publishing, Treasure Island (FL). 2022.
4. Cornelius BW, Jacobs TM. Pseudocholinesterase deficiency con siderations: a case study. Anesthesia Progress. 2020; 67: 177-84.
5. Google Translate Goggle Translate. 2023.
6. Robles A, Michael M, McCallum R. Pseudocholinesterase de ficiency: what the proceduralist needs to know. The American Journal of the Medical Sciences. 2019; 357: 263-7.
7. Tzabazis A, Miller C, Dobrow MF, Zheng K, Brock-Utne JG. De layed emergence after anesthesia. Journal of Clinical Anesthe sia. 2015; 27: 353-60.
8. Al-Emam A. Butyryl-cholinesterase deficiency: A case report of delayed recovery after general anaesthesia. Toxicology Reports. 2021; 8: 1226-8.
9. Leadingham CL. A case of pseudocholinesterase deficiency in the PACU. Journal of Perianesthesia Nursing. 2007; 22: 265-74.
10. Maiorana A, Roach RB. Heterozygous pseudocholinesterase de ficiency: a case report and review of the literature1. Journal of oral and maxillofacial surgery. 2003; 61: 845-7.
11. Mintjens N, Brummans R, Soetens F, Claes KB, Vanlinthout LE. Timing of blood sampling for butyrylcholinesterase phenotyping in patients with prolonged neuromuscular block after mivacu rium or suxamethonium. Acta Anaesthesiologica Scandinavica. 2021; 65: 182-7.
12. RELAXANTS CUM. Muscle Relaxants. BASIC Essentials: A Com prehensive Review for the Anesthesiology BASIC Exam. 2018: 66.
13. Goodall R. Cholinesterase: phenotyping and genotyping. Annals of clinical biochemistry. 2004; 41: 98-110.
14. Lisa Boudreaux R. Prolonged neuromuscular block in a 74-yearold patient. AANA Journal. 2011; 79: 317-321.
15. Reti IM, Torres J, Morad A, Jayaram G. Pseudocholinesterase de ficiency in an ECT patient: a case report. Psychosomatics. 2011; 52: 392-3.
16. Martyn J, Fagerlund MJ, Eriksson L. Basic principles of neuro muscular transmission. Anaesthesia. 2009; 64: 1-9.
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Entropy-partition of Complex Systems and Emergence of Human Brain's Consciousness
Guangcheng Xi
(State Key Laboratory of Management and Control for Complex Systems, Institute of Automation, Chinese Academy of Sciences, Beijing, 100190,P.R.China)
Abstract. The three frameworks for theories of consciousness taken most seriously by neuroscientists are that consciousness is a biological state of the brain,the global workspace perspective,and the perspective of higher state. Consciousness is discussed from viewpoint of theory of Entropy—partition of complex system in present article. Human brain's system self-organizably and adaptively implements partition 、 aggregation and integration, and consciousness emerges.The Gibss representation of consciousness is proved and That consciousness originates from quantum mechanical processes of brain activity is explained by means of SW entropy.
Key words: Human brain's system; Entropy—partition (aggregation); Integration; consciousness; emerges；Gibbs ; SW entropy.
1.Intrduction
The three frameworks for theories of consciousness taken most seriously by neuroscientists are that consciousness is a biological state of the brain ,the global workspace perspective,and the perspective of higher state.In particular,in the article of Giulio Tononi and G.M. Edelman[1], studying of consciousness is concentrated on description of kinds of neural processes which can account for key properties of conscious experience. They have emphasized two key properties of consciousness: conscious experience is integrated (each conscious scene is unified) and at the same time it is highly differentiated (within a short time, one can experience any of a huge number of different conscious states), and have proposed notions so-called functional clustering, neural complexity and dynamical core hypothesis. Those researching methods and train of thought to problem of consciousness agree to a certain extent, with theory and method of Entropy-partition of Complex System I proposed 31 years ago [2]. At that time, related specialists (appraising group of achievements in scientific research) ever have pointed out: theory of Entropy-partition (Aggregation) of complex system not only has been applied to Ecologico-Economical regionalization [3] of Ecologico-Economico-social complex system but also will certainly be applied to researching of human Brain's neural system. Therefore having read the article of G. Tononi and G.M. Edelman, I have much sensation seem to have met before, and excited feeling arises spontaneously. Though such, we strongly have felt it still necessary to discuss problem of consciousness from viewpoint of theory of entropy-partition (aggregation) of complex system.
2. Entropy-partition (aggregation) of neural system X
Suppose neural system T p a X X X X X ) , , , , , ( 2 1 is consisted of p neuron, N p ( N set of natural number), where ) ( i a a X X ， p a , ,2,1 ； q i , ,2,1 . Let ) , ,1 ( p a C a be set of classification of a X , i a C i be i -th element of a C , then we have } , , ,2,1 { k i C a , q k , and let i n be quantity for a X belong to i th class, then entropy of a X is defined as
joint entropy of b a X X , is similarly defined as
where ij n is quantity for a X belong to i -th class of a C simultaneously b X belong to j -th class of b C . For the convenience of application, expressions (1) and (2) can respectively be represented as
Having had above-mentioned definition of entropy, in what follows, correlative measure by which statistical dependence between the a X and the b X is denoted is defined by their mutual information.
Definition 1. Suppose b a X X , then entropy
is called correlative measure ) , ( b a X X between the a X and the b X .
Definition 2. Suppose b a X X for arbitrary ) ( , b a b a , then
is called correlative measure among 1 X ， 2 X ，…，and p X .
Definition 2 . Suppose system X be partitioned into m subsystems m s s s , , , 2 1 , for arbitrary j i, ) ( j i ， j i s s ， 1 m i i X s ，then
is called correlative measure among m s s s , , , 2 1 .
Let us consider nonempty finite set X and set-family E ( X ) consisted of its subset, e P a set-function defined on E ( X ) with properties
(i) 0 ) ( A P e ， E A ( X )，
(ii) 0 ) ( e P
Definition 3. If for arbitrary nonempty finite set E S i ( X ) ， E S j ( X )， j i ， j i S S ，have
then, set-function e P satisfied conditions (i),(ii) is called superadditive.
Although finite superadditivities of mutual information or the socalled measure of cohesion of the components of the set of entities is well known result, it is not still unnecessary to write down our proof about finite,in particular, countably superadditivity of the correlative measure among some subsystems of the system X which is given.
Theorem[2]. Correlative measure ) , , , ( 2 1 m s s s is finitely superadditive, countably superadditive and unique.
Proof. Finite superadditivity.
Suppose system X
is partitioned into m subsystems s and that,
m;
,;
i
i
j
j
i
j
s R s
s R s
s s
,
j
X s
1
, s
2
, ...... , s
m,
R
, for any
j 1
, ( ) i j i j , where R is a algebra on set X which is given. By definition of the correlative measure, we have
Subtracting (8) from (7) leads to
Countable superadditivity and uniqueness:
Suppose system Xis partitioned into a sequence of subsystems,
1 2
s s
s
,...,...
n
s,
;
,;
m m
n
s
s
n m
s R s
s
R －
algebra on
X ,
,
n
s R
,
s
n
X , for any
n 1
R
, , ( n m n ) m.
n
From nonnegativity and monotonicity of , we have
If lim ( ) k k E , from monotonicity of , then inevitably we have
1 ( ) n n s . Hence by using finite superadditivity, we have
If lim ( ) k k E c , above-mentioned process of proof is understood easily. And either of lim ( ) k k E c and lim ( ) k k E makes uniqueness of the limit to hold still, i.e.
1 lim ( ) lim ( ) k k n k k n E s is unique.Hence 1 2 m (s ,s ,.....,s ) is unique. Up to this point, proof of the theorem is completed.
From above-mentioned property of correlative measure, criterion by which lowest requirement of ideal partition is presented should be
partition of i s and j s , respectively. (i) denotes that correlative measure of any subsystem itself which is obtained by partition is larger than correlative measure between it and any subsystem. (ii) denotes that correlative measure of any subsystem which is obtained by partition possesses strictly superadditivity.
When number of characteristic variable of system X is very large, comprehensive observation for data is impossible. Even though the observation is possible, as obtaining complete data spends very long time and for other reason such that obtained data loses its available value. At this time, statistical method and theory can be applied to obtaining data and to analyzing problem.
Suppose ) , , , ( 2 1 N a a a a x x x x be index of quantity of characteristic variable a X of the complex system X , data obtained by mean of random sampling is ) , , , ( 2 1 q a a a a x x x x , a x be a random sample from population a X . Obviously any i a x necessarily is equal to some i a x , here i ) , ,2,1 ( q i is number of i -th individual of a x . For any i , we have probability
Corresponding to expressions (1) and (2), we have
At this time, correlative measure of the system X is defined by way similar to the above-mentioned method. Actually, in order to obtain , we often introduce coefficient the partition of the complex system X of correlative measure ) ( /) , ( b b a ab X H X X ) ( /) , ( ( j j i ij s H s s , obviously, ) )( , ( ij b a is between 0 and 1. Having computed ab for all b a , , those a X , b X whose correlative measure is larger than other ) , ( l a , b l or ) , ( b r , a r , are combined so as to accord with the preceding criterion (i) ， (ii). Hence some corresponding subsystems i s , m i , ,1 , i.e. some neural functional units are obtained.
From neurophysiological studies, elementary unit representing information in human brain is mutually coordinated clique of neuron; by combining mutual function, neurons with different properties carry out correlative activity, form various dynamic neural networks which correspond to various function of information.
Above-mentioned partition or aggregation of neurons is carried out in self-organizable and self-adaptive form; the partition or aggregation of neurons,and integration make human brain to emerge consciousness.
3. Emergence of consciousness
Suppose system X self-organizably and self-adaptively is partitioned into m subsystem. Correspondingly, there are m subspace i i i P , , ， m i , ,1 , of probability-space ) , , ( P , where is space of configuration of system X . Let ) , , ( P be Radon measurable space, then for any i there exists regular conditional probability ) | ( i p , obviously,
,
and for any random variable
where | is quotient space induced by correlative measure on .Let us define following two functions,
where is arbitrary positive number, t is time.
To be this, we eventually have conscious experience, that is P(A) or ) ( E under some situations or ) ( lim ) ( 0 t f i ， 2,1 i , under other situations.
When A or comes from outside of X , or when A or is caused by "gene" or "experience" which is in inside of X , all will emerge consciousness, and is emerged by system X self-organizably and selfadaptively to be partitioned (aggregated), then to be integrated in hundreds of milliseconds. P ) (A or E is the integrated process.
Proposition. Suppose the neural system T p a X X X X X ) , , , , , ( 2 1 is the Abstract neural automata[4], then the consciousness P ) (A is Gibbsian.
Proof. Because the neural system T p a X X X X X ) , , , , , ( 2 1 is the Abstract neural automata[4],then conditional probability ) | ( )) ( | ( ) | ( i i i s p s p p is Gibbsian , ) ( ) | ( ) ( | i i s dp s p A P is a convex combination of Gibbs measures,hence Gibbsian.
The proof is thus completed.
If there exists sequences of mutual information between any appointed two neurons and between any appointed two subsystems, and the sequences of the mutual information have nice asymptotical properties, that is, if there exists ergodic superadditive process for the sequence of mutual information in neural system X , then the system can implement self-organization and self-adaptation.
4.Consciousness originates from quantum mechanical processes We have pointed out ever that "concept" " consciousness" is generated at particle(ion) level in the brain and is experienced at the level of the neural network [6]. In the human brain system,there must be a transition from the microscopic or submicroscopic level to the macroscopic level, that is,from the quantum to the classical level for consciousness to generate at the ion level pass to be experienced at the level of neural network.When does the quantum process approach this transition point ?SW entropy can answer this question.
Suppose that human neural system at the ion level is denoted by Q,while the human neural system at level of neural network is denoted by N. In Q system, given state ,then SW entropy is defined as[7]
Where z | > is a coherent state, z z z z p | | ) , ( * ,probability density.Von Neumann(vN) entropy is defined as
In the case of discrete spectrum.
The lower bound of ) ( I is determined by two inequalities
(22)
The latter is saturated by coherent states, while the former by the thermal states of system Q(harmonic oscillator) in the high temperature regime. More precisely, ( )=1 I ,if and only if the system Q is in the coherent states, while taking maximum by I S corresponds to the thermal states of system Q. From a mathematical point of view, both of these states are Gaussian and therefore Gibbs states [8].Hence we can see that when the quantity 1 S I , the system Q will approach the transition point from quantum to classical level. In essence, as the Q system evolves into the Gibbs states ,it will approach the transition point. Then the neural system will begin the process of experiencing consciousness.
5.Remarks
(1) That the neural system X is self-organizably and self-adaptively partitioned into some subsystems is implemented by means of the correlative measure, i.e. mutual information, which does not touch upon change of location of space of neurons or subsystems. This is a "Internet" in the neural System X . The some subsystems form large-scale hierarchical intelligent system. On the hierarchical intelligent system, basic principle of the intelligent system holds [5]. The layer with high intelligence is dynamic core of the neural system X .
(2) Consciousness is some memory.
(3) Unconsciousness is also consciousness.
(4) Consciousness is conscious of consciousness.
(5) Nearly 3000 years ago, Chinese ancient learned men said consciousness is that Saint hears at silence, looks at immateriality, and firmly believed memory all is in brain.,
(6) Oneself-consciousness can only be experienced; it forever cannot be captured by oneself.
(7) Consciousness as one of the most fascinating neurological phenomena—spirit is represented by a probability function. Essence of consciousness is probabilistic. Higher order state of consciousness is the thought. By means of learning (including perception, memory), humnn brain produces concept. Before ideology emerged, the concept is highest result of human's brain, is intension of cognitive object. In the theory of abstract neural automata,the concept is limit Gibss probability measure[4]. Thought is mutual connection of concepts, mutual transform of concepts, important stage of all evolutionary process of cognition.
In particular,
In this paper, Gibbsness's proof of consciousness is given directly.
(8)From basic principle of the intelligent system[5],i have already proved the existence of universal intelligence ,thus proving the existence of universal consciousness ,because the consciousness has existed already ,before the generation of the intelligence.
(9)I have already proved " concept "- " consciousness" is generated at particle(ion) level in the brain and is experienced at the level of the neurons[6].
(10)Having decreased the corelative measure, maligant development of internet and artificial intelligence finally will lead up to weakening of of consciousness of human brain in most people. Obvious example is that miss among people will weaken.
Acknowledgments. This work was partly supported by the National 973 Project undrer Grant No.2003CB517106, China and the NSFC Projects undrer Grant No. 60621001, China.
References
1. Giulio Tonoi and Gerald M. Edelman. Consciousness and Complexity, Science 828, 1846-1851 (1998)
2. Xiguangcheng. Entropy-method of Partition of Complex System, ACTA AUTOMATICA SINICA (in Chinese) 13(3), 216-220, (1987).
3. Xi Guangcheng. The Entropy-method of Eologico-Economical Regionalization, ACTA AUTOMATICA SINICA (in Chinese) 16(2), 170-173, (1990)
4. Xi Guangcheng.Variability of structure of abstract neural automata and the ability of thought . International Journal of System. and Cybernetics， 32(3), 1549-1554, 2003; G. C. Xi "Abstract neural automata," Kybernete: The International Journal of System. and Cybernetics, vol. 27 No.1, pp. 81-6, 1998.
5. Xiguangcheng. chinaXiv:201705.00829V1, Relative Entropy Minimizing-Based Theory of Intelligent Systems 2017-05-13.
6. Xiguangcheng. chinaXiv:201803.01556V1,Gibbsian representation of knowledge in infinite dimensional random neural networks(IDRNN).
7. C.Anastopoulos.Information measures and classicality in quantum mechanics,Physcal Review D,59 04500-1-14.
8. Ya.G.Sinai.(1982)Theory of Phase Transitions :Rigorous Results ,Pergamon press.
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ion: Revisiting the Debate
Malaysia's New Economic Policy, Growth and Distribution: Revisiting the Debate
R. Thillainathan* and Kee-Cheok Cheong** University of Malaya
Abstract: Malaysia's New Economic Policy (NEP) has been a subject of intense debate since its inception. Admirers have acclaimed it as unleashing pro-poor growth while critics have labeled it with terms like cancer. Both parties have valid points. The implementation of the NEP has seen growth and addressed distribution, but has also heightened inequality, while the growth rate is diminishing. However, it is difficult to make summary judgments on a policy that has evolved and changed over nearly half a century. It is argued that assessments of the NEP should take into account changes in context as well as the manner in which the NEP has been implemented. Whilst summary judgments are unhelpful, an argument may nevertheless be made that, in common with experiences in many developing countries, a trade-off between growth and distribution exists where affirmative action is translated into ethnic discrimination.
Keywords:
Bumiputera, economic growth, income distribution, New Economic Policy, privatisation
JEL classification: E02, E44, G38, H63, J71
1. Introduction
The relationship between income distribution and economic growth has been the subject of ongoing debate. The earlier work by Kuznets (1955) led to the postulation of an inverted U-shaped relationship. Subsequent empirical evidence in Latin America in the 1970s had linked inequality to growth positively, whilst a decade later, the economies of the so-called East Asian miracle (World Bank, 1993) experienced growth with declining inequality. The latest research on the impact of inequality on growth suggesting a negative relationship is also disputed (Li & Zou, 1998; Cingano, 2014). Scholars have also hedged their positions, arguing that income inequality has both growth stimulating, and retarding effects (Petersen & Schoof, 2015) or that the relationship depends on a country's stage of development (Bruckner & Lederman, 2015).
As major instruments of redistribution, affirmative action programs evoke debate not only on the above lines, but also with emotional appeal or distaste embedded implicitly, if
With respect to income inequality, its sources have become the subject of scrutiny with Stewart's (2002) explicit recognition of the importance of horizontal inequality (i.e., inequality between groups identified by criteria other than income) alongside the more traditional vertical inequality. To the extent that group identification is socially important, the favourable position enjoyed by one group over another can be much more intractable than vertical inequality (Pellicer, 2009) and can lead to conflict (Langer, 2005).
* Faculty of Economics & Administration, University of Malaya, 50603 Kuala Lumpur, Malaysia. Email: rthilli@ gmail.com.
** Faculty of Economics & Administration, University of Malaya, 50603 Kuala Lumpur, Malaysia. Email: firstname.lastname@example.org (Corresponding author).
not explicitly, in the discourse. Malaysia is no different. Of the numerous policies Malaysia has put in place, none has been more debated, and arguably endured longer, than the affirmative action program officially known as the New Economic Policy (NEP). This policy, put in place by then Prime Minister Tun Abdul Razak Hussein in 1971, was in response to unprecedented racial riots that have since been seared into the Malaysian national consciousness.
Secondly, the instrumentation and implementation of the NEP, here defined broadly to cover the entire portfolio of affirmative policies and programs, 1 has evolved to become among the most pervasive in coverage, from education to employment and asset ownership. Affirmative action is implemented not only through public expenditure targeted at institutions that serve exclusively this group, the Bumiputera (indigenous people) but they are also treated preferentially in the selection for tertiary education and employment, reservation of quotas for housing and shares in listed companies, and the award of public contracts to their companies. In education, the NEP goes beyond trying to equalise opportunities to attempting to equalise outcomes through the application of different standards for admission.
Although having many similarities with affirmative action programs in other countries, the NEP has distinctive characteristics. Firstly, it is for the benefit of the majority of the population. Although understandable from the standpoint of post-colonial nations in which colonial governments sought to favour one group over the other, or adopted the policy of divide and rule, this runs counter to the general perception of affirmative action being targeted at a discriminated minority.
Thirdly, although affirmative action is targeted at improving the economic circumstances of the disadvantaged group, and progress is usually benchmarked against the incomes of disadvantaged individuals, the NEP does not use income as the primary criterion, instead defining disadvantage in terms of a particular racial group, namely the Bumiputera (mostly Malays), on the grounds that they account for the bulk of those disadvantaged. As a result, the disadvantaged non-Bumiputera is excluded from the benefits bestowed by the NEP. Even for the Bumiputera group, personal or household income is not used as a measure of success. Instead, corporate ownership, not the most obvious measure of economic wellbeing, is used as the benchmark of effectiveness for the affirmative action. Achievement or under achievement of the corporate ownership target of 30% therefore leaves unclear the extent to which economic welfare, measured by the normal yardstick of income, has improved.
Whatever the benchmark the Government uses, the efficacy of these programs must be assessed in relation to the NEP's primary objective, which is to achieve redistribution without hampering growth. Here, the view regarding distribution has generally coalesced around it being successful in reducing poverty but less so in curtailing inequality (Roslan, 2001). However, little agreement exists on the impact of the NEP on growth. Arguments that Malaysia's high growth performance shows that the NEP is benign with respect to growth are set against those that are negative.
1 This broad definition also encompasses its successor the National Development Policy, introduced in 1991 immediately after the NEP ended, and the National Vision Policy, 2001–2010. In terms of affirmative action, these were little changed.
This paper aims to revisit the latter debate, while also touching on distribution insofar as it affects growth. It is argued that neither of the above arguments are helpful in understanding the NEP's impact. Having been implemented over four decades, the nature and coverage of the NEP have changed over time. During this period, different external circumstances have also confronted the Malaysian economy, and impacted its growth. Understanding the NEP's impact therefore requires closer scrutiny of the different phases of NEP implementation.
This paper is structured as follows. The pre-NEP policies to reduce poverty are reviewed in the next section. The implementation of the NEP from 1971 to 1986, when the Malaysian economy went into recession, is discussed in Section 3. This recession brought about market liberalisation until the onset of the Asian financial crisis (AFC) in 1997, which is the subject of Section 4. The post-AFC period is covered in Section 5. This paper is concluded with observations on the NEP and Malaysia's economic growth in Section 6.
2. The Pre-NEP Period, 1957 to 1971
While affirmative action in Malaysia is invariably associated with the NEP, policy directed at poverty reduction had been in place since the establishment of the Federation of Malaya in 1957. 2 Since the bulk of the poor were Malays, poverty reduction was therefore targeted at them. Also, poverty reduction was accorded much greater priority than diminishing the income gap between rich and poor.
Such segregation served to entrench inter-ethnic differences in average incomes. Whether by residence or occupation, the Malays were the poorest, a factor that likely fuelled perceptions of injustice among them that might have contributed to the race riots of 1969. With respect to education, Malaysia's education system at that time was elitist, with English being the medium of instruction. Employment in the formal sector depended on mastery over the English language. This put the predominantly rural Malays at a decided disadvantage. To the extent that anti-poverty measures corresponded with affirmative action during this period, identification with the Malays was appropriate because the bulk of the poor were Malays.
Despite the above, the foundations of ethnic identification and segregation were laid from the very beginning. As elaborated by Chakravarty and Roslan (2005), political segregation took the form of the 'ethnic bargain' in which Malays were granted special rights in the federal constitution as one of the conditions agreed to at independence. Economically, the ethnic groups were also occupationally segregated, with Malays largely engaged in farming while the ethnic Chinese (hereafter referred to as 'Chinese') were engaged in mining and commerce, and ethnic Indians ('Indians') worked on plantations. Geographically, the Malays were rural residents, while the Chinese were largely urban, and Indians worked in rubber plantations. This segregation extended to education, with multi-ethnic government schools co-existing with Mandarin and Tamil vernacular schools.
The statistics in Table 1 show that Government efforts prior to the NEP have reduced absolute poverty (represented by poverty incidence), although not dramatically, among
2 Much of the writing on Malaysia's poverty reduction efforts begin in 1970 or later, and deal primarily with the NEP (Economic Planning Unit [EPU], 2004; UNDP, 2014; Mohammed, Fauziah, & Suhaila, 2000).
Table 1. Income distribution by ethnic groups in Peninsular Malaysia, 1957 to 1970
i
Source: Perumal (1989); Snodgrass (1980)
the Malays indicating a degree of success in affirmative action. But this achievement has to be set against a rise in the poverty incidence among the Chinese and Indians, neither of whom were beneficiaries of affirmative action. However, income inequality (measured by both the Gini coefficient and the percentage share of income of the bottom 40% of the group) had risen for all ethnic groups, and fastest among the Malays.
Apart from questions about the effectiveness of programs in reducing absolute poverty, the Tunku Abdul Rahman Government's laissez faire approach to economic management during the first decade of the country's existence has been blamed, implicitly or explicitly, for the rising inequality (Chakravarty & Roslan, 2005). It is certainly true that during this period, the resources devoted to poverty alleviation were less than after 1970 3 and Government intervention on behalf of the Malays was much less pervasive than when the NEP was implemented. The First Malaya Plan itself was criticised as lacking a cohesive agricultural development program (Rudner, 1975). However, Snodgrass (1980) estimated that the fiscal system redistributed about 3.5% of the national income from non-Malays to Malays in 1968, while Lee (1975) estimated this redistribution to be higher, at 6% in
While the focus on inter-ethnic comparison would have missed this fact, identification of poverty alleviation with affirmative action for a particular ethnic group could be justified on the grounds that Malays suffered the highest poverty incidence by far. The inter-ethnic disparity in wealth ownership, represented by the ownership of corporate shares, was much worse for the Malays (Roslan, 2001, p. 6).
3 For example, in the First Malaysia Plan, 1966-1970, land development was allocated Malaysian ringgit (RM) 363.6 million, while in the Second Malaysia Plan, 1971–1975, the allocation, at RM908 million, was two and a half times larger (EPU, 1971, p. 68).
Source: http://www.icapitaleducation.biz/index.php?section=5&sub=16d
1970. The claim of laissez faire therefore has no substance. Besides, income inequality is as much a function of the occupational structure of each ethnic group. 4 Dealing with inequality would have required changing this structure, as well as place of residence. This also raises the question of whether the more pervasive interventions post-1970 did a better job of reducing income inequality.
The pursuit of laissez faire would suggest the adoption of a 'growth first strategy' that should produce rapid growth. Yet, growth during this period, about 6% on average, was lower than in the 1970s. A reason for this could be that as Malaysia was moving towards export orientation, it could be expected that both policy and contextual factors had an impact on growth. This was indeed the case. From the perspective of policy, Malaysia's efforts to diversify away from its dependence on rubber and tin saw it embark on a phase of import substitution industrialisation (Ariff, 1998). 5 It was not until the 1970s that constrained by its small domestic market, the Government reversed it to embrace an export orientation. Thus, it was the import substitution strategy that contributed to restraining growth. At the same time, Malaysia's growth still depended on export proceeds from its two primary commodities of rubber and tin. In the 1960s, growing production at home, and increasing competition from synthetic rubber saw natural rubber prices fall as shown in Figure 1. This also impacted Malaysia's economic growth in the 1960s. On balance, any failure to achieve poverty alleviation and distribution objectives should not be blamed entirely on the Tunku Abdul Rahman Government.
4 This view was also expressed by Yotopoulos (1981).
5 This strategy was implemented under three five-year development plans – the First Malaya Plan (1956–1960), the Second Malaya Plan (1961–1965), and the First Malaysia Plan (1966–1970) (Rokiah, 1996, pp. 32-36).
3. Early Years of the NEP, 1971 to 1986
The 1969 race riots were a defining moment in Malaysian history not only in that the event was unprecedented but also because of its aftermath that brought about the NEP in 1971. The twin thrusts of this policy were poverty eradication and economic restructuring so as to eliminate the identification of ethnicity with economic function. Announced at the launch of the Second Malaysia Plan (1971-1975), the strategy was of 'redistribution with growth' with no group to feel any sense of loss or deprivation. Growth was to be achieved by integrating with the world economy, a reversal of the import substitution strategy that was in place. The redistribution goal was to be realised by aggressive use of the public sector, imposition of quotas and preferential treatment for Bumiputera, coupled with restrictive licensing practices. Important components of the NEP were the imposition of a rigid education quota for Bumiputera in a broad-based education system as well as changing the medium of instruction from English to Bahasa Malaysia. These were seen as vital because the elitist education system inherited from the British at independence disadvantaged the largely rural Malays because the best schools were in the cities and instruction was in English.
In the first sub-period, high growth was indeed achieved, thanks to the move towards export orientation that brought labour-intensive industries like textiles and electronics assembly to Malaysia. The average growth rate during this period was 7.1% as shown in Table 2. The implementation of the NEP was also in its early days and it would have taken a while for the effects of the Policy to be felt (Heng, 1997, p. 268; Shari, 2000, p. 115). Early NEP interventions were also seen in the market where state enterprises embarked on new ventures rather than intervening with existing businesses. As a result, they posed no immediate threat to existing private enterprises. 6
Assessing the NEP during this period requires answers to two questions: (1) was high growth achieved?, and (2) was redistribution successful? With respect to the first question, high growth averaging 8.3 % was indeed achieved in the decade of the 1970s, but tapered off after 1980. Shari (2000) argues in favour of dividing this period into three sub-periods, the first two spanning the 1970s, and the third, the first half of the 1980s.
In the second sub-period that spanned the second half of the 1970s, the economy continued to grow rapidly, averaging 8.6% over the period. Even though this period saw firm-level interventions through the provisions of the Foreign Investment Committee and Capital Investment Committee, and the Industrial Coordination Act (ICA) (1976), the NEP had a benign impact on growth. This could be due to the specific NEP interventions themselves. These took the form of the imposition of equity quotas for Bumiputera and the aggressive acquisition of foreign owned assets. 7 These takeovers were still done through the market, and any economic distortion that resulted was not large. 8 At the
6 Heng (1997, p. 263) also argues that until his retirement in 1974, Tan Siew Sin, in his capacity as Finance Minister, in concert with Thong Yaw Hong, Director General of the Economic Planning Unit, Prime Minister's Department, worked to protect Chinese interests from encroachment by the NEP.
8 Market takeovers were less distortionary than nationalisation because the former relied on market prices whereas the latter could be accomplished arbitrarily.
7 The most famous example was that of the Guthrie Group, a British company with plantations in Malaysia, which was the subject of a Malaysian takeover engineered by then Prime Minister Mahathir Mohamed at the London Stock Exchange in 1981 (Mauzy & Milne, 1999, p. 139).
Malaysia's New Economic Policy, Growth and Distribution: Revisiting the Debate
Table 2. Growth and income distribution by ethnic groups and residence in Peninsular Malaysia, 1970 to 1985
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1 Average growth rates are for 1971 to 1975, 1976 to 1980, and 1981 to 1985. Source: Shari (2000)
same time, 100% exporting firms, established through foreign direct investment (FDI), were exempted from direct and indirect taxes. They were all foreign-owned, so that nonBumiputera local enterprises did not feel threatened. The ICA, however, was a different matter. The ICA targeted firms with domestic sales of 20% or more. Although direct tax breaks were minimised, incentives for export orientation (investment tax allowances and tariff rollbacks) remained in place. Growth was also helped by discovery of oil and gas. Thoburn (2011, p. 49) notes that petroleum production began offshore from the East coast of Peninsular Malaysia in the mid-1970s. With high oil prices in 1973 and 1974, oil accounted for 24% of the value of Malaysia's exports, twice that of tin.
For the Chinese, the impact of ICA was felt not only directly, but also through heightened Malay competition in sectors they used to dominate (e.g., retail, transport, and construction) (Heng, 1997, p. 273). Chinese family businesses opted to remain small to avoid the need to comply with the ICA while the opportunistic among them entered into joint ventures through 'Ali-Baba' deals (Heng, 1997, p. 276). Beginning in the late 1970s and running through the third sub-period (1980 – 1986), the share of manufacturing in GDP stagnated. Private investment also suffered. Chinese and foreigners' share of paid-up capital of approved manufacturing projects had fallen to only 27.3% and 28.6%, respectively, while state enterprises stepped up to compensate for the former's retreat, to account for 44.1% of the above paid-up capital (Yasuda, 1991). State enterprises went into non-traditional areas of business to grow the Malay managerial class. At the same time, the Government provided support to grow a class of Malay small and medium enterprises (SMEs) by providing restricted entry as vendors, suppliers, dealers, and contractors. State enterprises, financed by public funds, substantial public expenditure, partially by government borrowings, were involved. Public sector support notwithstanding, economic growth moderated, averaging only 4.5% between 1981 and 1986 compared to 8.6% in the previous five years.
From the perspective of distribution, the first sub-period saw overall income inequality rise as shown in Table 2. This rise applied to all ethnic groups and to all locations (rural and urban) reflecting, as already indicated the limited impact of the first years of the NEP. The income gap between urban and rural residents increased, but that between the Chinese and Malays remained stable, and between the Indians and Malays fell. In the second sub-
The third sub-period came to a close when the Malaysian economy went into a brief but sharp recession in 1985 and 1986. This recession was blamed on low commodity prices (Mohammed et al., 2000) but they had been soft since the early 1980s 9 , and prudent fiscal management could have contained the adverse impact on the economy. 10 Instead, the Government adopted an expansionary fiscal stance (Athukorala, 2010; Thillainathan, 2011). Thillainathan (2011, p. 107) reported on the fiscal deficit more than doubling from an average 6.6% of gross national product (GNP) in the 1970s to 14.8% over 1981 to 1983, and still a high of 7.4% over the period 1984 to 1986. The GNP share of total debt also escalated from 108% to 253% over the 1980 to 1986 period, while that of the public sector increased even more strongly from 50.3% to 132.5% during the same period. The expenditure binge was intended to support the NEP's restructuring objective, but the burgeoning state enterprises sector, with both federal and state-level organisations that started new businesses and acquired existing ones were poorly governed, sustained increasing losses, and also crowded out the private sector. 11 Hence the 1985 and 1986 recession was merely a tipping point, the culmination of a crisis that had been building for at least half a decade.
9 Mohammed et al. (2000, p. 17) report that as a result of falling prices, export receipts from rubber declined from USD 1,215 million in 1980 to USD976 million in 1981, tin export receipts from USD421 million in 1985 to USD171 million in 1986, and palm oil price from USD424 per tonne in 1984 to USD289 per tonne in 1985.
11 Lim (2011, p. 17), citing other sources, notes that in 1984, only 269 out of 900 state enterprises submitted annual returns and these sustained heavy losses. It was unlikely that those that did not report did any better.
10 Healthy budgetary surpluses built up in the 1970s should have permitted the accumulated rainy-day fund to cushion the economy during downturns or natural disasters. Instead, considerable public resources were used for corporate takeovers, successful and botched. The takeover of Guthrie at the London Stock Exchange in 1991 is an example of the former while the Maminco fiasco in the early 1980s is an example of the latter. Malaysia also made wrong speculative bets on the pound sterling between 1992 and 1993 (Asian Sentinel, 2012)
period, with increasingly aggressive affirmative action, income inequality within each group fell, as did the urban-rural and Chinese-Malay average income gaps (Shari, 2000, p. 15). This improvement continued into the third sub-period.
Thus for the first decade and a half of its implementation, redistribution was indeed achieved but at the cost of increasing distortions to the economy. It is therefore hard to disagree with Lim's (2011, p. 17) assertion that the NEP achieved its twin goals of poverty reduction and restructuring, but at a high cost, with the 1985 and 1986 recession its most obvious manifestation.
4. Between Two Crises, 1987 to 1997
The Malaysian economy plunged into its 1985 and 1986 recession notwithstanding that the long boom in the US began in the early 1980s (Taylor, 2009). Public sector finances were in an acute state as a result of excessive reliance of the Government on borrowings and spending to support growth (in the face of weak external demand in the late 1970s and early 1980s), as well as to finance its ambitious distribution program that led to a ballooning of its deficits and debt and to a bloated and poorly managed public enterprise sector. 12 The Government had therefore no choice but to turn to the private sector through privatisation, but with the original objective of NEP emerging intact. This took the form of a program of ownership liberalisation and privatisation as well as a reform of the tax system (through a big cut in the tax rate on a phased basis), and of the labour market. The focus of ownership liberalisation was the manufacturing industry. Foreigners were now allowed to own 100% of shares in a manufacturing firm compared to only 30% before so long as it exported at least 50% of its output (whereas the export requirement before was set at 80% and above) or employed at least 350 persons (whereas employment was not given any weight before).
At the same time, the opening up of the education sector to private sector participation increased the opportunities of non-Bumiputera students in higher education. Admission into the new privately-licensed and operated educational institutions of higher learning
The Government also embarked on privatisation to provide a more favoured access of the Bumiputera community into privatised activities. These privatisation exercises afforded the Government an alternative way to realise its goal of increasing Bumiputera participation in equity ownership and management. To that extent it reduced the risk and cost arising from a forcible redistribution of the shares of the non-Bumiputera group in the private sector, as had been the case under the ICA until then. However, much of this transfer consisted of sales to Malay entities close to the political leadership, thus embedding further patronage networks in the name of the NEP (Gomez & Jomo, 1997). This undermined the effectiveness of the privatisation program and made it a risky undertaking.
12 Jomo and Wee (2004, pp. 13-14) report that even in 1987, "…almost half the 1,148 enterprises – mostly subsidiaries and associated companies of state enterprises – were still in the red, involving a net loss of RM1.9 billion. Some 562 companies had losses totalling RM7.5 billion, while another 446 had profits of RM5.6 billion, with the remainder inactive or in the process of closing down. Total public sector investments in the 1,148 companies came to RM15.3 billion, or about 71% of the total paid-up capital of RM21.5 billion, with the state holding at least half the equity in 813 of these companies."
was not subject to admission quotas. These institutions thus increased opportunities for non-Bumiputera students, but in no way reduced the share of places set aside for Bumiputera students in the public sector educational institutions. Although the cost of private higher education was at market rates, and much higher than the subsidised fees charged for public education, this improved access to education greatly reduced the level of dissatisfaction among the non-Bumiputera community when public education was the main choice and access was highly restricted, and which had led many better-off nonBumiputera to study and settle overseas (World Bank, 2011).
The ownership liberalisation that was in place for export-oriented firms and its further relaxation in the post 1986 period was the critical factor in boosting export-oriented manufacturing in Malaysia. In the absence of such liberalisation, the multinational corporations would have gone to other member countries of the Association of Southeast Asian Nations (ASEAN) or elsewhere. Additionally, the Plaza Accord which led to a big appreciation of the East Asian currencies, and in particular the Yen relative to the United States dollar (USD), reinforced the comparative advantage of Malaysian exports. The member countries of the ASEAN, including Malaysia, became more attractive for East Asian investments given their low cost base, and that their currencies were linked to the USD.
Thus, ownership liberalisation and privatisation programs saw, and likely led to a substantial increase in private investment, to a reduction in talent outflow and to higher economic growth. The share of foreigners in paid-up capital of approved manufacturing projects jumped from 28.6% during the 1976 to 1986 period to 61.3% during the 1987 to 1990 period, whereas the share of state owned enterprises (equity held in trust for Malays) fell from 44.1% to 18.2% over the corresponding period (Yasuda, 1991, pp. 24041). The GDP share of private investment also increased dramatically from 16.6% between 1976 and 1986, to 19.1% between 1987 and 1990, and to 29% between 1990 and 1997. 13 With respect to the boost in economic growth, Malaysia's average annual growth rate over 1976 to 1986, when enterprise level intervention was at its height, averaged 6.35% per annum compared to 7.6% during the post-liberalisation 1987 to 1998 period, the latter period including the worst crisis year. If 1998 is excluded, average growth rate in the post-liberalisation period would have been 8.93%. The jump in private investment was not only in manufacturing but also in education, health care, electricity generation, telecommunication, toll roads, light rail, as well as in water & sewage. In some sectors such as electricity generation, telecommunications, and education, privatisation ventures were a big success, but in others such as those in toll roads, light rail, water & sewage, they were much less successful.
Such ownership liberalisation and privatisation as well as the Plaza Accord boosted long-term private capital inflows (including FDI) into manufacturing and other sectors that were not open hitherto to the private sector. These same factors also boosted short-term (or portfolio) capital inflows into the Malaysian equity market but there was much less inflows in the form of foreign currency loans (unlike in Thailand and Indonesia). These capital flows into the emerging markets were also boosted by the collapse in 1989 of
13 Computed from Malaysia Treasury Economic Reports of various years.
the Soviet Union and the end of the Cold War. In the euphoria brought about by heady economic growth that earned the country membership into the World Bank's HighPerforming Asian Economies (HPAEs), few could imagine that such a state of affairs could not be sustained for long.
Within the reform agenda, the most radical, as well as the weakest initiative was privatisation. Its design and structuring minimised the expected benefits and made the privatised entities very vulnerable to economic shocks. Privatisation afforded the Government an alternative way to realise its goal of increasing Bumiputera participation in equity ownership and management. However, as noted much of this ownership stake consisted of sales to Malay entities close to the political leadership. In a number of the sectors, such as in transport (toll roads, light rail, aviation & shipping), water & sewage activities as well as in the automotive industry, the ownership change was accompanied only by a limited opening up of the market to new entrants, price regulation, and overgearing both at the enterprise level as well as at the shareholder level supported by the Government's step in obligation to bail out debt holders (in the event the franchisee failed to operate the privatised entity on a going concern basis) (World Bank, 1999; Pua, 2011. It is therefore little wonder that the other stated aims of privatisation, namely increasing efficiency and the role of the private sector, were not really achieved.
It was not. A decade after the 1985 and 1986 recession, the period of growth was brought to a halt by the 1997 Asian Financial Crisis (AFC). For Malaysia, the AFC was in some ways a reprise of the 1985-1986 recession. While the external circumstances differed, Malaysia's economic collapse resulted from heightened vulnerabilities brought about by policies that were related to the implementation of the NEP. These vulnerabilities arose from a lax Government guarantee of splurging private investment expenditure on massive infrastructure projects contracted out to Bumiputera companies in the patronage network. Such patronage also made for easy credit from banks, themselves closely linked to the Government because of takeovers by Bumiputera interests in the name of the NEP (Athukorala, 2010). Easy credit was also facilitated by a stock market bubble that drove stock valuations to stratospheric levels. Following on the attack on the Thai baht in July 1997, capital flight led to the crash of the Kuala Lumpur Stock Exchange and the RM. In the initial months of the AFC, the fatal mistake made was to tighten macro policies and clamp down on credit as well as policy flip-flops (including mid-stream rule changes) (Thillainathan et al., 2002; Thillainathan, 2011). Thus one consequence of the pursuit of activities in the name of the NEP was to render the economy vulnerable to external shocks. Clearly, the lessons from the 1985 and 1986 recession were not learned.
As for the privatised entities, their success or failure depended on the extent to which they were still protected, their exposure to currency or maturity mismatches, extent of gearing and price control to which they were subject to, as well as on the nature of their financing arrangements. With the massive depreciation of the RM during the AFC, currency mismatches led to bankruptcy. Also, with the collapse in share prices, PLCs that had relied on convertible bonds for the repayment of their loans faced financial distress as only those with strong cash flows were able to roll over or raise new loans. The collapse of the business empires of several high fliers during the AFC crisis can be attributed to their over-reliance on financing that was marked by currency or maturity mismatches, or dependence on asset sales to repay loans. During the crisis, many highly capital intensive
infrastructure companies failed. Examples were the developers and operators of toll roads and mass transit rail projects. This was primarily because of the over-gearing, inadequate or slow pace of cash flow generation, and their failure to refinance their loans. The maximum tenure of these loans fell far short of the typically long life of the operating assets of these businesses. This exposed the borrowers to refinancing risk and hence bankruptcy. Some privatised corporations, especially those in the transport and automotive sectors performed so poorly that the Government had to bail them out or renationalise them.
If the record of growth during this sub-period has been impressive, what have been the trends in poverty reduction and income distribution among the Malays, a key objective of the NEP? The overall and rural-urban poverty and income distribution trends during this period are shown in Table 3. The rural data could be considered to apply to the Bumiputera community while the urban data would include an increasing proportion of the Bumiputera.
The economic reforms of the 1987 to 1997 period, in particular the ownership liberalisation and privatisation ushered in a period of rapid growth. This was brought to a halt in 1998 when the Malaysian economy succumbed to the AFC as it had by then become vulnerable to the crisis. This from the investment boom and asset market bubble unleashed by the economic reforms and fuelled by big capital inflows into the economy and rapid credit growth as well as by the poor structuring of some of its major privatised Bumiputera initiatives, in particular those involved in undertaking the country's major infrastructure development projects. Also, as aforementioned, the crisis was made worse by its gross mismanagement, partly deliberately for political reasons (Thillainathan, 2011).
There was a significant monotonic increase in mean household incomes regardless of residence, undoubtedly reflecting the impressive economic growth during this period, but a V-shaped pattern in income inequality with both the Gini coefficient, and the
Table 3. Household income level and income distribution by residence in Malaysia, 1987 to 1997
Source: Ragayah (2011, Table 9.7)
income share of the bottom 40% of households improving initially and then deteriorating. Without resorting to a decomposition analysis, it seems fairly clear that the source of inequality was more rural-urban income inequality than from inequality within rural and urban household groups. The urban to rural income ratio, unchanged from 1987 to 1990, rose sharply in 1995, and further still in 1997. The income ratios between Bumiputera and other communities exhibited a similar pattern, but the increase in disparity was not nearly as sharp.
For the increase in inequality, anecdotal evidence presented by Ragayah (2011, pp. 239-244) included the decline in the agriculture sector, stagnation in the growth of wages for manufacturing with the entrenchment of the low cost labour model for manufacturing, rising urban poverty from rural-urban migration receiving inadequate Government attention, and 'state-government-party collusion', an euphemism for state capture through crony capitalism-based corruption about which much has been written (Abdul Rahman, 2008; Gomez & Jomo, 1997; Meerman, 2008).
Ragayah (2011, pp. 232-239) explains the initial decline in inequality in terms of the implementation of rural development programs and improved access to education for the Bumiputera, export-oriented industrialisation leading to rising wages, and restructuring of equity ownership. However, (Ragayah, 2011, pp. 234-235) states that rural development programs, to which considerable development expenditure was committed, were not particularly effective while the equity restructuring exercise fell short of the 30% target.
More fundamentally, the disparity ratios show that changes in inter-ethnic inequality matters far less than rural-urban inequality. An exclusive focus on the former, even if effectively implemented, would have missed the major sources of inequality.
5. Post-AFC, 1998 Onwards
The AFC proved to be another watershed for the Malaysian economy. The heady growth of the late 1980s and early 1990s never returned when the AFC ebbed. From 1999 to 2006, Government statistics show that the annual growth averaged only 5.4% compared to 7.6% over the period between 1987 and 1998. Even before the onset of the AFC, FDI that used to make Malaysia a favourite destination had dwindled. In 1999, the World Bank reported a net FDI of USD3.9 billion, while the average for the period 2000 to 2004 was under USD3 billion a year. The growing attraction of countries like Indonesia and Vietnam is making the competition for FDI much tougher for Malaysia. Furthermore, Malaysia's maintenance of a low cost labour platform for manufacturing through imported cheap labour places it at a competitive disadvantage against countries like Cambodia, Indonesia and Vietnam with their pools of low cost labour. Yet, Malaysia's poor human capital base prevents it from moving up the production value chain.
Domestically, private investment has fallen. As a share of GNP, it averaged only 10.5% per annum during the period between 2000 and 2010 compared to 24.7% in the period between 1987 and 1997. This investment rate is even lower than the 16.2% achieved in the NEP period between 1971 and 1990. Low private investment was the result of crowding out by the resurgence of the State's role through government-linked companies (GLCs). This came about by the ultimate failure of the 1980s privatisation program due to crony capitalism spawned 'private' Bumiputera companies that were poorly managed "and barely disciplined for corrupt or unproductive actions, especially
for rent-seeking, sub-contracting, and profiteering off assets acquired at a discount" (Gomez, Satkunasingam, & Lee, 2015, p. 115). The AFC, by destroying many major Malay capitalists and conglomerates, left the Government with little choice but to re-enter the market through renationalisation and increased state ownership. By the Government's own admission, GLCs accounted for 37% of market capitalisation on Bursa Malaysia in 2010 (National Economic Advisory Council, 2010).
There could be several factors as to why economic liberalisation that had been so successful became decidedly less so after the AFC. The answer likely lies in the AFC exposing the vulnerabilities that had not been remedied when liberalisation occurred. These included investment liberalisation not going far enough because Malaysia is still saddled by a dualistic investment policy regime, with GLCs not only becoming so pervasive that they were crowding out private investment, but also being largely exempt from the kind of corporate governance applied to the genuinely private sector. Menon (2012, p. 10) estimated that GLC dominance was highest in the utilities sector (93% of the industry's operating revenue), and in the transportation and warehousing sectors (about 80%), but was also more than 50% in the plantation, banking, information and communications technology, and retail trade sectors. Menon's (2012) comment that "this is highly unusual for a country representing itself as an open, modern, and market economy" can hardly be disputed.
Low private investment has been compounded by capital outflows, both legal and illicit. On the former, the Asian Development Bank's Menon (2012, pp. 7-8) notes that "outflows of capital from Malaysia started increasing sharply after the AFC, and have grown to a point where Malaysia has been a net exporter of capital since 2005." He also referenced the latter. "…There is evidence that capital flight has also increased of late. Dev and Curcio (2011) estimate that illicit capital outflows have more than tripled between 2000 and 2008, rising from about USD22 billion to USD68 billion annually, for a cumulative total of USD291 billion over this period. This places Malaysia only behind the PRC, the Russian Federation, Mexico, and Saudi Arabia with respect to illicit outflows". 14 Such data has prompted Menon (2012, p. 8) to speculate that "both foreign and domestic investors are simply abandoning Malaysia."
Aside from GLCs, economic dualism has arisen from the fact that while there has been a relaxation of ICA, this has not been so with respect to some domestic market oriented activities. The NEP-hand was shown once again in continued control of those economic activities which were used to promote Malay ownership, management, and employment. A clear example in manufacturing is the automotive industry, which continued to be heavily protected with high tariff and restrictions on foreign entry. 15 Many activities in
14 Annual illicit capital outflows are about ten times net incoming FDI. In their 2003–2012 update, Dev and Curcio (2011) estimated Malaysia's average annual illicit outflow was an even higher at USD39.5 billion compared to the figure for 2000 to 2009. Malaysia retained fifth spot.
15 While the automotive market has witnessed the entry of foreign brands, the licensing regime has ensured that models that competed with domestic manufacturers Proton and Perodua were kept out, and if allowed in, were obliged to charge higher prices. As for imports, the Approved Permit (AP) system limited their entry and ensured that only a privileged few benefited. Even with the coming into effect of the ASEAN Free Trade Area in 1992 which mandated the lowering of tariffs, tariffs were replaced by excise duties to ensure the same structure of discriminatory pricing against imports remained intact.
infrastructure and services including such activities as aviation, financial services, and power generation are also subject to ownership restrictions.
The impact of redistributive policies, many of which have been discussed above, has been mixed on income distribution. A comparison of the incomes for 1997 shown in Table 3 with those for 1999 shown in Table 4, found the AFC's impact to be more severe in the urban sector where the mean monthly household income fell 7.8% from RM3,357 to RM3,103, but the rural mean household income actually increased slightly. Neither did the AFC hurt income distribution with the income share of the bottom 40% improving for both rural and urban households. Moving beyond 1999, rural income distribution improved in 2002, before reverting to the 1999 situation. For the urban households the situation was the opposite with the Gini coefficient deteriorating before partially recovering. However, the income shares of the bottom 40% increased for rural households while remaining stagnant until 2004 for urban households.
A second factor, and a likely more damaging one given its longer-term impact, is the compromised education system that produced human capital of dubious quality (Athukorala & Wagle, 2011; World Bank, 2013). Quality problems have arisen from the entrenched ethnic stratification in the education system that emphasised national unity over merit. Findings of a 2009 survey of students admitted into engineering from those with the Sijil Tinggi Perlajaran Malaysia (STPM), which is the Malaysian equivalent of the British form 6 and has multi-ethnic representation, and Program Matrikulasi Malaysia with mostly Bumiputera students revealed that 62% of STPMs holders were A grade students in their first year of engineering study compared to only 14% from the latter group (Nopiah, Zainuri, Asshaari,Othman, & Abdullah, 2009). The difficulty of retaining talent, combined with brain drain cited earlier, has only made matters worse.
The interesting finding, shown in Table 4, is the performance of the total population. The income share and the Gini coefficient of the bottom 40% deteriorated until 2004
Table 4. Household income level and income distribution by residence in Malaysia, 1999 to 2007
Source: Ragayah (2011, Table 9.7)
before recovering somewhat in 2007. The variance between this result and those for rural and urban sectors can be explained by the growing rural-urban disparity. Rural income disparity peaked in 1999, fell in 2002, picked up again between 2004 and 2007, before reaching the 1999 level again by 2007. Urban inequality, however, was higher for the entire period between 2002 and 2007 than it was in 1999. This stood in sharp contrast to the inter-ethnic income gaps, which fell during this period. As with the period before the AFC, the NEP's focus on ethnic inequality would have done little to address overall inequality especially as the Bumiputera are moving increasingly to urban areas.
6. Conclusion
Much has been written and heatedly discussed, about the NEP during the nearly half a century of its existence. However, a balanced assessment of the whole policy must take into account the changes that have taken place by way of policy implementation, as well as of how well each objective was addressed. In terms of the latter, despite the use of a horizontal inequality criterion (ethnicity) to benchmark what is essentially a vertical inequality (income) issue, there is no question that poverty was significantly reduced and income distribution improved, at least until the turn of the 21 st century. The reversal since then appears to have emanated from the growing importance of rural and urban income differences. Overall, the NEP has met its distribution objective, despite the use of a dubious yardstick (equity ownership) that underestimates this achievement.
The original objective of achieving redistribution without impacting economic growth was not achieved. State interventions like quotas that distorted market signals had brought not only reduced growth, but the country into a recession in the mid-1980s, which necessitated the restoration of the private sector's role. In an environment where favourable external factors helped to boost economic growth, as experienced during the decade between 1987 and 1997, it was easy for the NEP's defenders to sweep the growthdistribution trade-off under the carpet. However, this trade-off would manifest itself more clearly after the AFC when these factors no longer existed. Even during the heydays of growth, the implementation of the NEP was such that while equity and asset transfers were implemented, their recipients never acquired the entrepreneurial skills to maintain, let alone grow them. Instead reliance on political patronage bred a system where a strong state presence in the background served to undermine corporate governance. The result of this mix has heightened Malaysia's vulnerability during times of economic crises.
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Forced-Vibration Analysis of a Coupled System of SLGSs by ViscoPasternak Medium Subjected to a Moving Nano-particle
A. Ghorbanpour-Arani a,b,* , A. Shiravand a , A.H. Ghorbanpour-Arani a , S. Amir a , E. Haghparast a a Faculty of Mechanical Engineering, b Institute of Nanoscience&Nanotechnology,University of Kashan,Kashan, I.R.Iran.
Article history:
Received 29/6/2013
Accepted 13/8/2013
Published online1/9/2013
Abstract
Keywords:
Forced vibration analysis Coupled system of SLGSs Closed-form solution Visco-Pasternak medium Nonlocal theory
*Corresponding author:
E-mail address:
email@example.com
Phone: +98 3615912450
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In this study, forced-vibration analysis of a coupled system of single layered graphene sheets (SLGSs) subjected to the moving nano-particle is carried out based on nonlocal elasticity theory of orthotropic plate. Two SLGSs are coupled with elastic medium which is simulated by Pasternak and Visco-Pasternak models. Using Hamilton's principle, governing differential equations of motion are derived and solved analytically. The effects of small scale, aspect ratio, velocity of nanoparticle, time parameter, mechanical properties of graphene sheets, Visco-elastic medium on the maximum dynamic responses of each SLGSs are studied. Results indicate that, if the medium (elastic or visco-elastic medium) of coupled system becomes more rigid, the maximum dynamic displacements of both SLGSs will be closer together.
2013 JNS All rights reserved
1. Introduction
In early 2007, the United Nations reported that nanotechnology, which then accounted for approximately 0.1% of the global manufacturing economy, would grow to 14% of the market by 2014. Nanotechnology is a field of applied science concerned with the control of matter at dimensions of roughly 1 to 100 nanometers (nm). At the particle size of 1 to 100 nm, nano-scale materials may have different molecular organizations and properties than the same chemical substances in a larger size. Nano-sized chemicals can have different properties due to increased relative surface area per unit mass, which can increase physical strength and chemical reactivity and also in some cases, the dominance of quantum effects at the nanometer size, which changes basic material properties [1]. Vibration analysis of isotropic and orthotropic plates using the classical theory of elasticity (generalized Hook's law) is stated for various
theory of plates in many books [2-4]. The nonlocal elasticity theory was proposed and developed by Eringen [5-8] to consider small scale effect in the continuum model of nano-structures. In recent years, studies about the vibration of nano-structures using the nonlocal theory of elasticity are included many researches due to superior vibration characteristics of them. Pradhan and Phadikar [9] studied the nonlocal vibration of single and double layered nano-plates using the classical and firstorder shear deformation (FSDT) theories. The governing differential equations of motion are solved by Navier's approach for simply supported boundary condition. Murmu and Adhikari [10, 11] investigated nonlocal vibration of bonded double nano-plate systems and the governing equations of motion in terms of displacements are solved by the new analytical method.
The graphene sheets are used for manufacturing of many devices such as oscillators, clocks and sensor devices, due to having high resistance and unique properties of them. The application of the singlelayered graphene sheet (SLGS) like mass sensors is studied by sakhaee-pour [12, 13]. In recent years, the vibration characteristics of the graphene sheets have attracted attention of many researchers due to their superior vibrational behaviors. Ansari et al. [13] investigated vibrational behavior of SLGS based on the FSDT and the differential equations are solved by the generalized differential quadrature method (GDQ) [14-16] for two different boundary conditions. In the other work, Ansari et al. [17,18] studied vibration of multi-layered graphene sheet (MLGS) using the FSDT of plate. The vibration analysis of orthotropic SLGS using the classical plate theory is carried out by Pradhan and Kumar [19] and the governing equations of motion are solved by the DQM.
The foundation of sheets can be assumed as linear (Winkler and Pasternak) elastic medium or nonlinear elastic medium. Pradhan and Kumar [20] have carried out vibration analysis of the orthotropic SLGS embedded in a Pasternak elastic medium. The normal forces are considered at the Winkler elastic medium although the shear forces are added also in the Pasternak elastic medium. Behfar and Naghdabadi [21] studied vibration of MLGS embedded in elastic medium. Chien et al. [22] investigated nonlinear vibration of laminated plates on a nonlinear elastic medium. Ghorbanpour et al. [23] studied nonlocal vibration of a coupled system of DLGSs by Visco-Pasternak medium. They used differential quadrature method (DQM) to solve governing equations and investigated effects of different parameters on frequencies of coupled system of DLDS.
Forced vibration of graphene sheets can be assumed under the moving nano-particle. Application of nano-tubes under moving nanoparticle is presented to[24]. Kiani is carried out Forced vibration of carbon nano-tube [25] and plates [26-28] subjected to a moving nano-particle and also, Simsek [29] investigated forced vibration of coupled system of carbon nano-tubes under the moving nano-particle. Ghorbanpour et al. [30] studied forced vibration of BNNTs subjected to the moving nano-particle.
Despite of done works that some of them mentioned above, no report has been found in the literature on the forced vibration of the coupled system of SLGSs by the Visco-Pasternak medium subjected to the moving nano-particle. Motivated by this idea, we aim to study forced vibration response of the coupled system of SLGSs by the Visco-Pasternak under the moving nano-particle using the non-local elasticity theory of plate. Governing equations are solved analytically and
closed-form solution of dynamic displacement is expressed for each SLGSs on coupled system.
2. Formulation
A schematic diagram of a coupled system of SLGSs by the Pasternak and Visco-Pasternak medium subjected to the moving nano-particle is shown in Fig.1.
(a) Pasternak medium
(b) Visco-Pasternak medium
Fig.1. Coupled system of SLGSs subjected to the moving nano-particle
Geometrical parameters of length a, width b and thickness h are also indicated. Movement velocity of nano-particle is assumed constant velocity (Vp). The transverse loading of moving nano-particle on the upper SLGS can be written as [29]:
where δ is the Delta Dirac function and q0 is the transverse loading of moving nano-particle and xm is obtained by:
where t is the time of arrival nano-particle with constant velocity (Vp) to location xm.
2.1. General assumptions
The classical laminated plate theory (CLPT) is reformulated by the non-local elasticity theory for considering small scale effect. According to CLPT, the displacement fields can be expressed as [2, 4]
where u0, v0 and w0 are the displacements along the coordinate lines of a material point on the xy-plane. The small scale effect in the continuum model is considered based on nonlocal elasticity theory that was proposed by Eringen [5,6]. The nonlocal constitutive differential equation of elasticity is expressed as [7, 8]:
where,
and also, µ is the nonlocal parameter, t is the macroscopic or local stress tensor and σ is the nonlocal stress tensor. The nonlocal stress tensor goes to local stress tensor when the value of the nonlocal parameter goes to zero and also, S is the fourth-order elasticity tensor and (:) denotes the 'double-dot product'. The SLGSs is assumed orthotropic sheet and the matrix S for the orthotropic graphene sheet may be written as [2]
where,
(7)
and also,
where the coefficients Qij (i,j=1,2,6) are known in terms of the engineering constant of the orthotropic graphene sheet, E1 and E2 are the Young's module in directions 1 and 2, ν12 and ν21 denote the Poisson's ratios and G12 is the shear modulus. The structure of orthotropic graphene sheet is known armchair (θ=0) and Zigzag (θ=90).
The Von Kármán-type nonlinear strains relations are used in here and these relations are expressed as [2]:
The elastic and visco-elastic foundation can be simulated with Pasternak and Visco-Pasternak medium, respectively. Pasternak and Visco-Pasternak loads can be written as [23] :
where Kw, KG and Cd are the Winkler, Pasternak and damper modulus parameters, respectively.
2.2. Solving the differential equations of motion
The governing differential equations of motion are derived using the Hamilton's principle which is given as [2]:
where δU is the virtual strain energy, δV is the virtual work done by external applied forces and δK is the virtual kinetic energy. The equations of motion in terms of the displacements for the single layered graphene sheet are derived using Eq. (12) and expressed as [23] :
where I0, I1, I2 are mass moments of inertia, ρ0 denotes the density of the material and Dij can be expressed as:
2.2.1. Coupled system of SLGS with Pasternak medium
The motion equations for both SLGSs are derived by substituting Eq.(1) and Eq.(11) into Eq.(13):
SLGS-1 (The upper Sheet):
SLGS-2 (The bottom sheet):
(16)
For separating the coupled differential equations of motion, Wn is assumed as follow:
By summing the coupled differential equations of motion for SLGS-1 and SLGS-2 (Eq.(16) and Eq.(17)), the motion equation in term of Wn can be written as:
The governing differential equation of motion for SLGS subjected to the moving nanoparticle without any foundation derived according to Eq.(19). Based on separation variables the dynamic displacement of SLGS (Wn) for simply supported boundary condition at all edges is considered as:
By substituting Eq.(20) into Eq.(19), the dynamic displacement of SLGS (Wn) in terms of i and j is derived:
The following terms are defined for reduction or simplification long mathematical sentence. The stiffness matrix of SLGS can be written as:
and also, the mass matrix of SLGS vibration and forced loading of nano-particle can be presented as:
By substituting the stiffness, mass matrix and forced loading of nano-particle into Eq.(21), the differential equation of motion is derived in terms of qn(t) and its derivatives of that:
Delta Dirac function is removed from Eq.(25), by multiplying both sides of Eq.(25) by sin(iπx/a)sin(jπy/b) and then double integration of both sides through length and width:
After performing mathematical operation on the Eq.(25), this equation can be converted to:
where,
Therefore,
where,
( , ) i j
n
( , ) i j
n
K m
( , ) i j
ω =
n
(32)
qn (i,j) will obtain by taking Laplace of two sides of Eq.(31),
By substituting Eq.(33) into Eq.(34), qn (i,j) is obtained:
The velocity parameter can be defined as:
where iπvp/a is frequency of moving nanoparticle. Here, two cases for velocity parameter (r) are considered:
1. r=1
2. r≠1
Therefore, for case of r≠1:
where,
and also, the dynamic displacement of SLGS for case of r≠1 can be written as:
For case of r=1:
where,
Therefore, the dynamic displacement of SLGS for case of r=1 can be written as:
The differential equation of motion for SLGS-2 (Eq.(17)) in term of Wn can be obtained by substituting Eq.(18) into Eq.(17):
The dynamic displacement of SLGS-2 (W2) for all edges simply supported boundary condition is assumed as:
By substituting Eq.(44) into Eq.(43), the governing differential equation of motion for SLGS-2 can be written as below:
(45)
where,
(46)
(47)
and also,
Therefore,
(49)
The natural frequency of system (coupled system of SLGSs by the Pasternak medium subjected to moving nano-particle) can be obtained as:
and also,
Therefore, by taking Laplace of two sides of Eq.(49), the below equations are obtained:
Therefore,
For case of r≠1:
(58)
where,
The dynamic displacement of SLGS-2 for r≠1 can be expressed as:
The dynamic displacement of SLGS-2 for case of r=1 can be expressed as:
where,
2.2.2.Coupled system of SLGSs by the ViscoPasternak medium
The governing differential equations of motion for each SLGSs of coupled system by the Visco-Pasternak medium are presented as:
SLGS-1:
SLGS-2:
(67)
By substituting Eq.(18) into Eq.(67), the differential motion equation for SLGS-2 in terms of Wn and W2 is derived:
(68)
Therefore,
where,
K
( , ) i j
d
=
−
2
D
−
22
11
D
2
i π
a
j π
K µ −
2
w
K µ −
m
( , )
d
C
G
i j
2
( , ) i j
2
b
i
2(D −
4
2 −
π
a
2
i π
a
4
I −
µ
0
66
D +
− 2
j π
b
)
G
K
2
j π
b
+
+
12
K
w
i π
a
i
4
2
π
a
+
j
i π
a
2
i
2
2
π
a
π
b
j
2
i
+
π
a
π
b
+
+
4
i
π
2
2
4
j
2
I
+
2
π
a b
+
2
2
= 2 2
d
i
j
π π
d
d
C C
a
b
µ − −
+
(72)
Derivative of Eq.(37) is obtained as:
j π
b
2
j π
b
2
j
π
b
2
=
4
2
(70)
Using superposition method, qd2 (i,j) is obtained by follow relation:
where,
(76)
( ) t
i V
p
π
a
F −
( , ) i j
d2
m
C
()
,
ijiV
p
π
a
i j ( , )
d2
−m
( , ) i j
D
2
2
p
i V π
a
i j ( , )
2
i V
+
2
p
π
a
d
2 ( , ) i j
d2
q
sin
=
t +
d
K
−
tan
1
i j ( , )
2
K
d
−
i j ( , )
2
C
d
i j ( , )
2
i V
2
p
π
a
(77)
()
,
( , )
ijij
cos t tan
d
()
C ω
()
i j
n
ω
( , ) i j
2
2
−
n
i j ( , )
2
d
d
()
, i j
n
K m ω
(78)
(79)
where,
A
p
( ,)
ijiV
π
a
(
=
n
ω
, i j
)
2,
+
1 −
(80)
(81)
( , ) i j
D =
(82)
Therefore, the dynamic displacement of SLGS-2 is derived as:
The phase of system is obtained as:
where,
For cases of r=1, derivative of Eq.(40) is obtained as:
Using the superposition method W2 for case of r=1 is obtained.
3. Result and discussions
The values of non-local parameter, Winkler, Pasternak and damper modulus parameter and mechanical properties of orthotropic and isotropic graphene sheet are taken according to [23]. The maximum static displacement of plate
subjected to a concentrated force on the middle of plate is derived according to [3]:
were,
The frequency ratio of system is derived by:
where, the non-local and local natural frequency are derived by substituting 0 ≠ µ and 0 = µ into Eq.(32), respectively. As regards validation of our work, the SLGS frequency ratio can be calculated from Eq.(90), and considering 0 = = = d G w C K K . However, the obtained results for the selected values of nonlocal parameter are listed in Table 1. As can be seen, the frequency ratio with increasing nonlocal parameter decreases and the results in this paper are in good agreement with previous researches.
Table 1. Validation results
Here, the maximum dynamic displacement to static displacement of sheets is shown in diagrams as ( st i W W / ) and is called dimensionless displacement.
The maximum dimensionless displacement of SLGS-1 and SLGS-2 with respect to the Winkler modulus parameter for various values of non-local parameter is presented in Fig. 2. It can be seen that, the effect of Winkler modulus parameter on the maximum dynamic displacement for SLGS-1 and SLGS-2 is different with each other, so that by increasing values of Winkler modulus parameter, the maximum dynamic displacement for SLGS-1 decrease whereas, for SLGS2 increases. For validation this work, it can be expressed that, the effects of Winkler modulus parameter on the maximum dynamic displacement of SLGSs are in good agreement with performed previous research on the carbon nano-tube [29].
(a)
(b)
Winkler Modulus Parameter
Fig. 2. The maximum dimensionless displacement of coupled SLGSs versus the Winkler modulus parameter (a) SLGS-1 (b) SLGS-2
The maximum dimensionless displacement versus the Pasternak modulus parameter for various values of non-local parameter is illustrated in Fig.3. It is evident that, as the values of Pasternak modulus parameter increase, the maximum dynamic deflection for SLGS-1 reduces. Also, the maximum dynamic displacement of SLGS-2 by increasing Pasternak modulus parameter increases.
Damper Modulus Parameter
. The maximum dimensionless displacement of coupled SLGSs versus the shear modulus parameter (a) SLGS-1 (b) SLGS-2
The effect of damper modulus parameter on the maximum dynamic displacement for various values of non-local parameter is shown in Fig. 3. The effect of damper modulus parameter on the maximum dynamic responses of SLGS-1 and SLGS-2 is similar to Winkler and Pasternak modulus parameter effects. The effects of Winkler, Pasternak and damper modulus parameter on the dynamic deflections of SLGSs are similar together, although, the amount of effect for each parameter is different together. Comparing the influences of Winkler, Pasternak and damper modulus parameter on the maximum dynamic displacement, it can be concluded that the effect of Winkler modulus parameter is higher than Pasternak modulus parameter on dynamic displacement of SLGSs and can be expressed as:
The natural frequency of system for isotropic and orthotropic structure of SLGSs is compared in Table 2. It can be seen, the natural frequency of orthotropic structure of SLGSs is higher than that isotropic structure therefore, can be expressed that, the orthotropic structure of SLGSs is more rigid than isotropic structure of that in coupled system of SLGSs. The maximum dynamic displacement of SLGSs with respect to damper modulus parameter for various structures of that is plotted in Fig.5. It can be observed that, the maximum dynamic displacements of orthotropic SLGSs is lower than that isotropic SLGSs for all values of non-local parameter, perhaps it is due to the stiffness of orthotropic structure is more than that isotropic SLGSs.
The maximum dynamic displacements of various systems are compared in Table 3. all assumed systems are considered subjected to moving nano-particle: System 1: SLGS without any foundation. System 2: Coupled system of SLGSs by the Visco-Pasternak medium. (The maximum stiffness is considered for coupled medium. In other words, the maximum values of Winkler, Pasternak and damper modulus parameter for medium between SLGSs are investigated.) System 3. Double-layered of graphene sheet with linear vdW force between two sheets.
Table 3. Comparing the maximum dynamic displacement of SLGS, Coupled System of SLGSs, Double-Layered Graphene Sheet
Error! Reference source not found. Fig. 5. The effect of damper constant on maximum dimensionless displacement of (a) SLGS-1 (b) SLGS-2.
Table 2. Comparing the natural frequency of system for isotropic and orthotropic structure
| Parameter | Structure | |
|---|---|---|
| (nm2) | (THz) | |
| 0.0 | 0.3777 | 0.4656 |
| 1.0 | 0.3523 | 0.4313 |
It can be observed that, the maximum dynamic displacements of system 2 and 3 are equal to each other, approximately. Also, the results indicate that, the maximum dynamic displacements of system 2 and 3 almost are half value of that for system 1. It is due to the rigidity (bending stiffness) of system 2 and 3 is twice of that for system 1.
(a)
(b)
The effect of aspect ratio of SLGSs (a/b) on the maximum dynamic displacement for various Winkler modulus parameter is plotted as a diagram in Fig. . The results indicate that by increasing the aspect ratio of SLGSs, the effect of Winkler modulus parameter (stiffness of medium) on the maximum dynamic displacement decreases. In other words, by increasing the scale of SLGSs, the effect of moving nano-particle and medium stiffness coefficient on SLGSs reduces.
4. Conclusion
In this paper, forced-vibration analysis of a coupled system of SLGSs by the ViscoPasternak medium subjected to a moving nano- particle is performed by the non-local elasticity theory of orthotropic plate. The Hamilton's principle is used for deriving the governing differential equations of motion. Moving the nano-particle on upper SLGS is assumed as the linear movement with constant velocity from an edge of SLGS to another edge. The governing differential equations of motion are solved by an analytical method and the closed-form solution of dynamic displacement of SLGSs is presented. The effect of various parameters such as: nonlocal parameter, Winkler, Pasternak, damper modulus parameters, isotropic and orthotropic structures of sheets, aspect ratio of SLGSs (a/b), velocity and time parameter are discussed and compared with each other. From this work following conclusions are drawn:
1. The maximum dynamic displacement of upper sheet (SLGS-1) by increasing values of Winkler, Pasternak and damper modulus parameter decrease. Whereas, as the viscoelastic medium between two sheets becomes more rigid (strong coupled medium), the maximum dynamic responses of bottom sheet (SLGS-2) increase.
2. The dynamic deflections derived by the classical theory of plate ( 0 = µ ) for both of SLGSs are smaller than those derived by the non-local theory ( 0 ≠ µ ). In other words, as the values of non-local parameter increase, the dynamic responses of SLGSs decrease. It is due to small scale effect on the dynamic displacement of SLGSs.
3. The natural frequency of coupled system with orthotropic structure is more than that with isotropic structure. In other words, the rigidity of isotropic structure in this system less than orthotropic structure of that. Therefore, the
dynamic deflections of orthotropic SLGSs are smaller than those isotropic SLGSs.
4. By increasing the stiffness of medium between two sheets, the values of dynamic displacement of SLGS-1 decrease, so that, the values of that for SLGS-2 increase. If the stiffness of medium between two sheets is considered maximum of that, the maximum deflections of SLGSs are equal with each other just like a double-layered of SLGS. The maximum dynamic deflections of SLGS are twice of that for coupled system of SLGSs and double-layered SLGS. It is due to rigidity of coupled system of SLGSs and double-layered SLGS is half of that for SLGS.
5. The presented closed-form solutions of dynamic deflection for SLGSs are very useful to study dynamic behavior of coupled system or double-layered of SLGSs subjected to moving nano-particle.
References
[1] K. Sellers, C. Mackay, L.L. Bergeson, S.R. Clough, M. Hoyt, J. Chen, K. Henry, J. Hamblen, Nanotechnology and the Environment, CRC Press, 2008.
[2] J.N. Reddy, Mechanics of laminated composite plates and shells, CRC press LLC, New York, 2003.
[3] S. Timoshenko, Theory Of plates and shells, Secound Edition ed., McGraw-Hill, 1959.
[4] J.R. VINSON, Plate and Panel Structures of Isotropic, Composite and Piezoelectric Materials, Including Sandwich Construction, Springer, Netherlands., 2005.
[5] A.C. Eringen, Int. J. Eng. Sci., 10 (1972) 1-16.
[6] A.C. Eringen, J. Appl. Phys., 54 (1983) 4703– 4710.
[7] A.C. Eringen, Nonlocal Continuum Field Theories, Springer-Verlag, New York, 2002.
[8] A.C. Eringen, D.G.B. Edelen, Int. J. Eng. Sci., 10 233–248.
[9] S.C. Pradhan, J.K. Phadikar, J. Sound Vib., 325 (2009) 206-223.
[10] T. Murmu, S. Adhikari, Composites Part B, 42 (2011) 1901-1911.
[11] T. Murmu, S.C. Pradhan, Physica E, 41 (2009) 1628-1633.
[12] A. Sakhaee-Pour, M.T. Ahmadian, A. Vafai, Solid State Commun., 145 (2008) 168-172.
[13] R. Ansari, S. Sahmani, B. Arash, Phys. Lett. A, 375 (2010) 53-62.
[14] C. shu, Diffrential quadrature and its application in engineering, springer, 1999.
[15] C. Shu, H. Du, Compos. Technol. Part B., 28 (1997) 267.
[16] Z. Zong, Y. Zhang, Advanced Diffrential Quadrature Methods, CRC Press, New York, 2009.
[17] R. Ansari, B. Arash, H. Rouhi, Compos. Struct., 93 (2011) 2419-2429.
[18] R. Ansari, R. Rajabiehfard, B. Arash, Comput. Mater. Sci., 49 (2010) 831-838.
[19] S.C. Pradhan, A. Kumar, Compos. Struct., 93 (2011) 774-779.
[20] S.C. Pradhan, A. Kumar, Comput. Mater. Sci., 50 (2010) 239-245.
[21] K. Behfar, R. Naghdabadi, Compos. Sci. Technol., 65 (2005) 1159-1164.
[22] R.-D. Chien, C.-S. Chen, Compos. Struct., 70 (2005) 90-99.
[23] A. Ghorbanpour Arani, A. Shiravand, M. Rahi, R. Kolahchi, Physica B, 407 (2012) 41234131.
[24] K. Kiani, H. Ghaffari, B. Mehri, Curr. Appl Phys.,13(2012) 107-120.
[25] K. Kiani, Physica E, 42 (2010) 2391-2401.
[26] K. Kiani, J. Sound Vib., 330 (2011) 48964914.
[27] K. Kiani, Physica E, 44 (2011) 229-248.
[28] K. Kiani, Physica E, 44 (2011) 249-269.
[29] M. Şimşek, Comput. Mater. Sci., 50 (2011) 2112-2123.
[30] A. Ghorbanpour Arani, M.A. Roudbari, S. Amir, Physica B, 407 (2012) 3646-3653.
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The Board of County Commissioners, Trumbull County, Ohio, met for a Regular Meeting on the 21 th day of April 2021, in the office of said Board, with the following members present:
Mauro Cantalamessa, Commissioner Niki Frenchko, Commissioner Frank S. Fuda, Commissioner
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RE: MINUTES
1. MOTION: Made by Mr. Fuda, seconded by Mr. Cantalamessa, to dispense with reading the minutes of the Workshop Session dated April 13, 2021 and the Regular Meeting dated April 14, 2021.
Yeas: Fuda, Cantalamessa
Nays: None
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RE:
RECEIVE/FILE 2020 ANNUAL REPORT -- GIRARD MUNICIPAL COURT AND TO FORWARD COPY OF SAID REPORT TO AUDITOR'S OFFICE
2. MOTION: Made by Mr. Fuda, seconded by Ms. Frenchko, to receive and place on file the 2020 ANNUAL REPORT OF GIRARD MUNICIPAL COURT as submitted by Judge Jeffrey D. Adler; AND to forward a copy of said report to the Trumbull County Auditor's Office. Report is filed pursuant to the Ohio Revised Code Section 1901.14 (A) (4).
Yeas: Fuda, Frenchko, Cantalamessa
Nays: None
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RE: REAPPOINT MS. PAM PERRINO - COUNTY PREVENTION SPECIALIST -OHIO CHILDREN'S TRUST FUND REGIONAL PREVENTION COUNCIL
3. MOTION: Made by Mr. Fuda, seconded by Ms. Frenchko, to reappoint MS. PAM PERRINO, Perrino Consulting, to serve as a "COUNTY PREVENTION SPECIALIST" on the OHIO CHILDREN'S TRUST FUND REGIONAL PREVENTION COUNCIL for the first consecutive term. Pursuant to Ohio Revised Code Section 3109.172. Ms. Perrino can be reappointed for two (2) consecutive terms.
SPECIAL NOTE: The Board of County Commissioners will receive written confirmation from the Ohio Children's Trust Fund of the reappointment which will include the start and end dates of each appointee's term of service on the Regional Prevention Council.
NOTE: The Board of Commissioners originally appointed Ms. Pam Perrino on September 12, 2018, duly recorded in Journal Volume 148, Page 21877.
Yeas: Fuda, Frenchko, Cantalamessa
Nays: None
Document(s) recorded on Journal Page(s)_____________________________.)
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RE: APPROVE RENEWAL PROPOSAL FROM CORSA FOR GENERAL LIABILITY PROPERTY DAMAGE, LAW ENFORCEMENT LIABILITYAND FLEET INSURANCE COMPANY
4. MOTION: Made by Mr. Fuda, seconded by Ms. Frenchko, to accept the Renewal Proposal, as submitted by ROSSI INSURANCE and the TRUMBULL COUNTY INDEPENDENT INSURANCE AGENCIES, from the COUNTY RISK SHARING AUTHORITY (CORSA) c/o County Commissioners Association of Ohio, 209 East State Street, Columbus, OH 43215-4195, for General Liability, Property Damage, Law Enforcement Liability, and Fleet Insurance Coverage, for a period of one (1) year commencing May 1, 2021 and ending April 30, 2022; this action per the recommendation of the Human Resources Department and subject to the approval of the Prosecutor's Office.
NOTE: 2020 fees totaled $557,425.00.
Fee schedule:
♦ Property: $183,908.00
♦ Liability:
$316,640.00
♦ Fleet:
$ 51,721.00
Total:
$552,269.00
Yeas: Fuda, Frenchko, Cantalamessa
Nays: None
Document(s) recorded on Journal Page(s)_____________________________.)
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RE:
OF MAINTENANCE REPAIR WORKER I – MAINTENANCE DEPARTMENT
EMPLOYMENT TRANSFER/PROMOTION MS. MICHELLE KISKADDEN TO POSITION
5. MOTION: Made by Mr. Fuda, seconded by Ms. Frenchko, to approve the personnel action for the employment transfer/promotion of MS. MICHELLE KISKADDEN, from the position of PACKAGE PLANT MAINTENANCE WORKER with the Sanitary Engineers Department, Pay Range 7 (2 years) to the position of MAINTENANCE REPAIR WORKER I, Pay Range 8 (2 years) with the MAINTENANCE DEPARTMENT, effective April 26, 2021— pursuant to the authorized job posting; this action per the recommendation of the Human Resources Department.
NOTE: No interviews were conducted since two (2) internal applicants possessed the qualifications and were the most senior bidders.
Yeas: Fuda, Frenchko, Cantalamessa
Nays: None
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RE:
EMPLOYMENT TRANSFER/PROMOTION MR. RICHARD ROUNDS TO POSITION OF MAINTENANCE REPAIR WORKER I – MAINTENANCE DEPARTMENT
6. MOTION: Made by Mr. Fuda, seconded by Ms. Frenchko, to approve the personnel action for the employment transfer/promotion of MR. RICHARD ROUNDS, from the position of MAINTENANCE WORKER with the Sanitary Engineers Department, Pay Range 7 (5 years) to the position of MAINTENANCE REPAIR WORKER I, Pay Range 8 (5 years) with the MAINTENANCE DEPARTMENT, effective April 26, 2021—pursuant to the authorized job posting; this action per the recommendation of the Human Resources Department.
NOTE: No interviews were conducted since two (2) internal applicants possessed the qualifications and were the most senior bidders.
Yeas: Fuda, Frenchko, Cantalamessa
Nays: None
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RE: AWARD PROPOSAL
INTELLITECH CORPORATION IMACSV JAIL INSTALLATION, INTELLITECH’S PUBLIC SAFETY SUIT, AND INTERFACE SUMMARY AND HARDWARE -- ADULT JUSTICE CENTER
7. MOTION: Made by Mr. Fuda, seconded by Ms. Frenchko, to authorize the Trumbull County Sheriff's Office to participate in the State Purchasing Program (Schedule No. 534610, Index No. STS-033) and award the proposal as submitted by INTELLITECH CORPORATION, 8544 Hickory Hill Dr. Poland, OH 44515, for IMACSV JAIL INSTALLATION, INTELLITECH'S PUBLIC SAFETY SUIT, and INTERFACE SUMMARY and HARDWARE for use by the Sheriff's Office in the Adult Justice Center, in the amount of $590,570.00 AND for Licensing and Annual Maintenance, in the amount of $84,175.00—The Intellitech software and hardware purchase to be paid from Fund No. 403-080-1000-1000-1-505418 and the reoccurring annual cost to be paid from Fund No. 001-020-1400-1400-1-505510; this action per the recommendation of Paul S. Monroe, Trumbull County Sheriff, and is subject to review and approval of the Prosecutor's Office.
Yeas: Fuda, Frenchko, Cantalamessa
Nays: None
Document(s) recorded on Journal Page(s)_____________________________.
* * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * *
RE:
EXECUTE SAID GRANT-- PLANNING COMMISSION
AUTHORIZE DIRECTOR OF TRUMBULL COUNTY HISTORICAL SOCIETY TO PREPARE/SUBMIT HUMANITIES GRANT APPLICATION AND AUTHORIZE MAURO CANTALAMESSA TO
8. MOTION: Made by Mr. Fuda, seconded by Ms. Frenchko, to authorize the Director of the Trumbull County Historical Society to prepare and submit an application to the American Rescue Plan: Humanities Organizations National Endowment for the Humanities Grant Application for the amount of $500,000.00 on behalf of Trumbull County, Ohio; AND to authorize Mauro Cantalamessa, President of the Board of Trumbull County Commissioners, to sign and execute any and all documents required for the submission, execution and implementation for said grant; this action per the recommendation of the Trumbull County Planning Commission in conjunction with the Trumbull County Historical Society.
NOTE: Pursuant to Ohio Revised Code 307.23, the funds will be used for the preservation of historical material and the dissemination of historical information to develop plans for a countywide traveling exhibit in 2026 to celebrate the 250 th anniversary of the United States.
Yeas: Fuda, Frenchko, Cantalamessa
Nays: None
Application recorded on Journal Page(s)_____________________________.
* * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * *
RE:
AWARD PROPOSAL LYNN, KITTINGER & NOBLE, INC. PROFESSIONAL ENGINEERING SERVICES FOR HOME SEWAGE TREATMENT SYSTEM RESERVE PROGRAM– SANITARY LATERAL ASSISTANCE PROGRAM -- PLANNING COMMISSION
9. MOTION: Made by Mr. Fuda, seconded by Ms. Frenchko, to award the lowest and best proposal as submitted by LYNN, KITTINGER & NOBLE, INC., 2900 Elm Road, N.E. Warren, OH 44483 for professional engineering services for the HOME SEWAGE TREATMENT SYSTEM RESERVE PROGRAM–SANITARY LATERAL ASSISTANCE PROGRAM (SLAP), in the amount of $2,550.00 per connection—to be funded through the PY2020 & 2021 Home Sewage Treatment Systems Reserve Program Fund No. 258-070-5120-5106-1-505607--no County General Revenue Funds will be utilized; this action per the recommendation of Mrs. Julie M. Green, Director, Trumbull County Planning Commission, and is subject to review and approval of the Prosecutor's Office. The award is contingent upon approval of the Ohio EPA. NOTE: The Board of Commissioners pre-qualified Lynn, Kittinger & Noble, Inc. and accepted its Statement of Qualifications on February 24, 2021, duly recorded in Journal Volume 152, Page(s) 23792-23794. On April 7, 2021, duly recorded in Journal Volume 153, Page 23885, the Commissioners authorized the Planning Commission staff to enter into negotiations with Lynn, Kittinger & Noble, Inc. to develop a final price proposal for the necessary design work and documents.
Yeas: Fuda, Frenchko, Cantalamessa
Nays: None
Document(s) recorded on Journal Page(s)_____________________________.
* * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * *
RE:
RECEIVE/FILE 2020 TAX INCENTIVE REVIEW COUNCIL (TIRC) ANNUAL REPORT – PLANNING COMMISSION
10. MOTION: Made by Mr. Fuda, seconded by Ms. Frenchko, to accept and place on file the TAX INCENTIVE REVIEW COUNCIL (TIRC) ANNUAL REPORT for year ending 2020 AND to request the BOARD OF TRUMBULL COUNTY COMMISSIONERS' to accept the recommendations of the TAX INCENTIVE REVIEW COUNCIL REPORT; this action per the Trumbull County Planning Commission.
Yeas: Fuda, Frenchko, Cantalamessa
Nays: None
Report recorded on Journal Page(s)_____________________________.
* * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * *
RE:
AWARD PROPOSAL GPD GROUP FOR ENGINEERING SERVICES FOR PY2020 CDBG CARES ACT (CDBG-CV) PROGRAM AND TO AUTHORIZE MAURO CANTALAMESSA TO EXECUTE ALL RELATED DOCUMENTS--PLANNING COMMISSION
11. MOTION: Made by Mr. Fuda, seconded by Ms. Frenchko, to award the lowest and best proposal as submitted by GPD GROUP, 520 S. Main Street, Suite 2531, Akron, OH 44311 for engineering services in association with the PY2020 CDBG CARES Act (CDBG-CV) Program (B-D-20-1CS-4). The Agreement will be funded through the PY2020 CDBG CARES Act (CDBG-CV) Program (B-D-20-1CS-4) in the amount of $45,650.00--to be paid for from Fund No. 225-030-5120-5110-1-505610--no County General Revenue Funds will be utilized; AND to authorize Mauro Cantalamessa, President of the Board of Trumbull County Commissioners, to sign and execute any and all related documents; this action per the recommendation of Mrs. Julie M. Green, Director, Trumbull County Planning Commission and is subject to review and approval of the Prosecutor's Office.
NOTE: The Board of Commissioners pre-qualified GPD Group and accepted its Statement of Qualifications on February 24, 2021, duly recorded in Journal Volume 152, Page(s) 23792-23794. On April 7, 2021, duly recorded in Journal Volume 153, Page 23885, the Commissioners authorized the Planning Commission staff to enter into negotiations with GPD Group to develop a final price proposal for the necessary design work and documents.
Yeas: Fuda, Frenchko, Cantalamessa
Nays: None
Proposal recorded on Journal Page(s)_____________________________.
* * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * *
HILDA-DRAPER INFRASTRUCTURE
RE: ADVERTISE FOR BIDS
IMPROVEMENTS PROJECT - HOWLAND TWP.
PLANNING COMMISSION
12. MOTION: Made by Mr. Fuda, seconded by Ms. Frenchko, to authorize the Clerk of the Board of Trumbull County Commissioners to advertise for sealed bids for the HILDADRAPER INFRASTRUCTURE IMPROVEMENTS PROJECT, HOWLAND TOWNSHIP, OHIO. The project will be funded through the PY2019 Community Development Block Grant Critical Infrastructure Grant Program; this action per the recommendation of the Trumbull County Planning Commission.
Yeas: Fuda, Frenchko, Cantalamessa
Nays: None
Legal Notice recorded on Journal Page(s)_____________________________.
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RE:
ENTER INTO AGREEMENTS WITH THE MUNICIPALITIES LISTED FOR SERVICES OF THE PUBLIC DEFENDER'S OFFICE
13. MOTION: Made by Mr. Fuda, seconded by Ms. Frenchko, to enter into Agreements with the MUNICIPALITIES listed for services of the PUBLIC DEFENDER'S OFFICE, 250 East Broad Street, Suite 1400, Columbus, OH 43215--per their request passed by their respective City Councils. Amounts listed in said Agreements shall be paid to the County, in accordance with the terms stipulated therein; Agreements approved by the State Public Defender, and subject to the approval of the County Prosecutor's Office.
SPECIAL NOTE: The County shall, by and through the Office of the Public Defender, State of Ohio, provide legal representation for all indigent defendants charged under the Cities' Ordinances where there is a possibility of incarceration, where the indigent defendants have not waived their right to said representation.
| | MUNICIPALITY | | TERM | AMOUNT |
|---|---|---|---|---|
| CITY OF WARREN 361 Mahoning Avenue, N.W. Warren, OH 44483 | | January 1, 2021 thru December 31, 2021 | | |
| VILLAGE OF McDONALD 451 Ohio Avenue McDonald, OH 44437 | | January 1, 2021 thru December 31, 2021 | | |
| VILLAGE OF LORDSTOWN 1455 Salt Springs Road, S.W. Lordstown, OH 44481 | | January 1, 2021 thru December 31, 2021 | | |
| CITY OF CORTLAND 400 North High Street Cortland, OH 44410 | | January 1, 2021 thru December 31, 2021 | | |
| CITY OF HUBBARD 220 West Liberty Street Hubbard, OH 44425 | | January 1, 2021 thru December 31, 2021 | | |
| CITY OF GIRARD 100 N. Market Street Girard, OH 44420 | | January 1, 2021 thru December 31, 2021 | | |
Yeas: Fuda, Frenchko, Cantalamessa
Nays: None
Agreements recorded on Journal Page(s)_____________________________.
* * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * *
RE:
AGREEMENT BETWEEN COMMISSIONERS AND OFFICE OF THE OHIO PUBLIC DEFENDER FOR CONTINUING TO PROVIDE SERVICES TO TRUMBULL COUNTY WITH A BRANCH OF THE PUBLIC DEFENDER'S OFFICE
14. MOTION: Made by Mr. Fuda, seconded by Ms. Frenchko, to approve an Agreement by and between the TRUMBULL COUNTY COMMISSIONERS and the OFFICE OF THE OHIO PUBLIC DEFENDER, a State Agency, 250 E. Broad Street, Suite #1400, Columbus, OH 43215, for the purpose of continuing to provide Trumbull County with a branch of the Ohio Public Defender's Office for provision of Indigent Defense Services. Agreement is for the period commencing July 1, 2021 and ending June 30, 2022. Trumbull County agrees to pay the Office of the Public Defender compensation in the sum of $82,556.00–to be paid in four (4) installments of $20,639.00 -- due July 1, 2021, October 1, 2021, January 5, 2022 and April 1, 2022; the contract language is subject to review by the Prosecutor's Office.
NOTE: The Contract Amount is based on the estimated funding level to be appropriated by the Ohio Legislation for Fiscal Year 2022 and an estimated statewide rate of 96 (%) percent for reimbursement of county level indigent defense systems for Fiscal Year 2022. If the funding level or estimated rate of reimbursement should change during the term of this contract, the contract amount and any remaining quarterly payments shall be adjusted to reflect the new funding level or statewide percentage rate of reimbursement.
Yeas: Fuda, Frenchko, Cantalamessa
Nays: None
Agreement recorded on Journal Page(s)_____________________________.
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RE: CLOSE ROADS - COUNTY ENGINEER
15. MOTION: Made by Mr. Fuda, seconded by Ms. Frenchko, to grant permission to the County Engineer to Close the Roads listed.
ENSIGN ROAD (T.H. 225 B) located in Farmington Township; closing location between Painesville Warren State Road (C.H. 206) and Geauga Portage Easterly Road (T.H. 198) for culvert replacement.
RECOMMENDED DETOUR: East on Geauga Portage Easterly Road (T.H. 198); North
Closing Dates: Monday, April 26, 2021 through Wednesday, April 28, 2021
on Phalanx Mills Herner Road (C.H. 127)
HOFFMAN NORTON ROAD (C.H. 213) located in Southington Township;
Line Turnpike Road (T.H. 204) for two (2) culvert replacements.
closing location between Geauga Portage Easterly Road (T.H. 198) and County
Closing Dates: Monday, April 19, 2021 through Wednesday, April 23, 2021
on Oak Hill Drive (C.H. 205); West on State Route 305
RECOMMENDED DETOUR: East on Geauga Portage Easterly Road (T.H. 198); South
Yeas: Fuda, Frenchko, Cantalamessa
Nays: None
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RE:
SPECIAL HAULING PERMIT TO HAUL STEEL COILS -- COUNTY ENGINEER
16. MOTION: Made by Mr. Fuda, seconded by Ms. Frenchko, to concur with the Trumbull County Engineer to grant the Special Hauling Permits to Haul Steel Coils on Trumbull County roadways, requested by the company listed. The necessary permit fee has been submitted and approval is subject to the conditions listed on each permit.
JARO TRANSPORTATION SERVICES, INC.
Permit Nos.: 2021-016 through No. 2021-017
975 Post Road N.W., Warren, OH 44483
Permit Effective: April 20, 2021 through April 20, 2022
Yeas: Fuda, Frenchko, Cantalamessa
Nays: None
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COUNTY ENGINEER
RE: RIGHT-OF-WAY PERMITS -
17. MOTION: Made by Mr. Fuda, seconded by Ms. Frenchko, to concur with the Trumbull County Engineer to grant the Right-of-Way Permits requested by the companies listed. The necessary permit fee has been submitted and approval is subject to the conditions listed on each permit.
OHIO EDISON, 2231 W. Market Street, Warren, OH 44485, to work in the rightof-way to reconductor the pole line along Old State Road (206 B) with 336.4AAC. This will begin at the intersection of Parkman Easterly Road (C.H. 226) and extend approximately 910 feet southeast in Farmington Township.
OHIO EDISON, 2231 W. Market Street, Warren, OH 44485, to work in the rightof-way to reconductor the pole line along Parkman Easterly Road (C.H. 226) with 336.4AAC. This will begin at the Trumbull County–Geauga County line and extend northeast approximately 2,816 feet to the intersection of Old State Road (C.H. 206) in Farmington Township.
DANIEL M. ROTH, 2501 Warner Road, Fowler, OH 44418, to work in the right-of-way of Warner Road (C.H. 43 A), in order to install a concrete catch basin and approximately 160 feet of 15 inch HDPE conduit. This will be located approximately 260 feet south of Cadwallader-Sonk (T.H. 196) in Fowler Township.
EVERSTREAM SOLUTIONS, 1228 Euclid Avenue, Suite 250, Cleveland, OH 44115, to work in the right-of-way of Kinsman Nickerson Road (C.H. 276 A-D), in order to install aerial fiber optics attached to existing utility poles for approximately 7,000 feet and to directional bore approximately 420 feet of fiber optics. This will be located at the intersection on Youngstown Conneaut Road and will extend approximately 7,420 feet east on Kinsman Nicherson Road (C.H. 276 A-D) in Kinsman Township.
Yeas: Fuda, Frenchko, Cantalamessa
Nays: None
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RE: ADVERTISE FOR BIDS TRU-EAST MARKET STREET/NORTH ROAD INTERSECTION PROJECT - COUNTY ENGINEER
18. MOTION: Made by Mr. Fuda, seconded by Ms. Frenchko, to authorize the Clerk of the Board of Trumbull County Commissioners to advertise for sealed bids for the TRU-EAST MARKET STREET/NORTH ROAD INTERSECTION PROJECT, PID 102541, in accordance with the bid specifications. The project consists of the addition of a dedicated right turn lane for westbound East Market Street to northbound North Road, widening of the north leg of the intersection to accommodate standard lane widths, storm sewer and waterline improvements; this action per the recommendation of the Trumbull County Engineer.
NOTE: The project is being partially funded by an 80% Congestion Mitigation/Air Quality Grant obtained through Eastgate Regional Council of Governments. No General Funds are required.
Yeas: Fuda, Frenchko, Cantalamessa
Nays: None
Legal Notice recorded on Journal Page(s)_____________________________.
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RE:
CONTRACT #21-004 BETWEEN DEPT. OF JOB AND FAMILY SERVICES, ON BEHALF OF OHIO MEANS JOBS COUNTY CENTER AND WESTERN RESERVE TRANSIT AUTHORITY TO PRODUCE TWENTY-FIVE (25) FULL SIZE VEHICLE DISPLAY SIGNS FOR TWENTY-FIVE (25) DIFFERENT BUSES FOR THE TERM OF JUNE 1, 2021 THROUGH MAY 31, 2022
19. MOTION: Made by Mr. Fuda, seconded by Ms. Frenchko, to award Contract #21-004 by and between TRUMBULL COUNTY DEPARTMENT OF JOB AND FAMILY SERVICES, on behalf of Ohio Means Jobs County Center, and WESTERN RESERVE TRANSIT AUTHORITY (WRTA), 604 Mahoning Avenue, Youngstown, OH 44502, in an amount not to exceed $45,405.00—to be paid from Dislocated Worker Development Funds--No County General Revenue Funds are being requested. WESTERN RESERVE TRANSIT AUTHORITY will produce twenty-five (25) Full Size/King (30" x 144") vehicle display signs utilizing promotional artwork approved for media outreach by the Ohio Department of Job and Family Services Signs to be promoted on twenty-five (25) different buses traveling on multiple routes throughout the Trumbull County area during the identified service period. The contract is effective for the period of June 1, 2021 through May 31, 2022; this action per the recommendation of John Gargano, Director, Department of Job and Family Services and is subject to review and approval of the Prosecutor's Office.
Yeas: Fuda, Frenchko, Cantalamessa
Nays: None
Document(s) recorded on Journal Page(s)_____________________________.
Meeting of April 21, 2021
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RE: AUTHORIZE EMPLOYEES OF MAINTENANCE DEPT. TO WORK AFTER HOURS UTILIZING OVERTIME FOR PURPOSE OF INSTALLING TOUCHLESS LIGHT SWITCHES, TOUCHLESS FAUCETS AND OTHER RESTROOM TOUCHLESS EQUIPMENT IN COUNTY ADMINISTRATION BUILDING, COUNTY COURTHOUSE AND COUNTY FAMILY COURT PAYABLE FROM CORONAVIRUS RELIEF FUNDING
20. MOTION: Made by Mr. Fuda, seconded by Ms. Frenchko, to authorize employees of the Trumbull County Maintenance Department to work after hours utilizing overtime for the purpose of installing touchless light switches, touchless faucets and other restroom touchless equipment in the Trumbull County Administration Building, the Trumbull County Courthouse and the Trumbull County Family Court. The employees' overtime hours will be payable from Coronavirus Relief Funding. This overtime is necessary to install equipment that will help prevent the spread of Covid-19 virus and is required to be installed after normal business hours—since the electric and water must be turned off during the installation process; this action per the recommendation of James J. Misocky, Esq., Trumbull County Administrator of Special Projects, in conjunction with William Hart, the Interim Facilities and Vehicle Operations Manager.
to detail usage of COVID-19 overtime hours.
NOTE: The Trumbull County Maintenance Payroll Clerk shall provide separate documentation
SPECIAL NOTE: Notification of the Office of Budget Management's (OBM) authorization to utilize overtime for this purpose will be on file in the Commissioners' meeting folder—as well as the Ohio Grants Partnership's guidelines for the use of Coronavirus Relief Funding specifying the use of funding for the purpose of installation of touchless equipment in county facilities.
Yeas: Fuda, Frenchko, Cantalamessa
Nays: None
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RE: APPROVE BILLS
21. MOTION: Made by Mr. Fuda, seconded by Ms. Frenchko, to approve the bills, as per the individual departmental purchase orders/invoices forwarded to the Trumbull County Auditor or payment, providing all procedures of State law have been followed.
Yeas: Fuda, Frenchko, Cantalamessa
Nays: None
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RE:
AMENDED CERTIFICATE NO. 06-2021 COUNTY BUDGET COMMISSION
22. MOTION: Made by Mr. Fuda, seconded by Ms. Frenchko to receive the Amended Certificate of the County Budget Commission No. 06-2021, for the fiscal year beginning January 1, 2021, dated April 21, 2021, increasing estimated resources in the funds listed:
* Fund 225 – Community Development Block Grant (CDBG)
Yeas: Fuda, Frenchko, Cantalamessa
Nays: None
Certificate recorded on Journal Page(s)_____________________________.)
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RE: TRANSFER MONIES
23. MOTION: Made by Mr. Fuda, seconded by Ms. Frenchko pursuant to Ohio Revised Code Section 5705.14, to transfer monies as submitted to the Trumbull County Auditor's Office between the dates of April 12, 2021 through April 16, 2021. Complete list of money transfers shall be recorded onto the Journal for record purposes.
Departments/Offices requesting to transfer monies:
Commissioners
$1,826,000.00 Fund 001
Yeas: Fuda, Frenchko, Cantalamessa
Nays: None
Document(s) recorded on Journal Page(s)_____________________________.)
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RE: ADDITIONAL APPROPRIATIONS
24. MOTION: Made by Mr. Fuda, seconded by Ms. Frenchko to approve additional appropriations, as submitted to the Trumbull County Auditor's Office between the dates of April 12, 2021 through April 16, 2021. Complete list of additional appropriations shall be recorded onto the Journal for record purposes.
Departments/Offices requesting additional appropriations:
Fund 141
Yeas: Fuda, Frenchko, Cantalamessa
Nays: None
Document(s) recorded on Journal Page(s)_____________________________.)
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RE: TRANSFER APPROPRIATIONS
25. MOTION: Made by Mr. Fuda, seconded by Ms. Frenchko to transfer appropriations, as submitted to the Trumbull County Auditor's Office between the dates of April 12, 2021 through April 16, 2021. Complete list of appropriation transfers shall be recorded onto the Journal for record purposes.
Departments/Offices requesting to transfer appropriations:
Yeas: Fuda, Frenchko, Cantalamessa
Nays: None
Document(s) recorded on Journal Page(s)_____________________________.)
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CENTER YOUNGSTOWN GRANT
RE: EXECUTE LETTER OF SUPPORT FOR YOUNGSTOWN BUSINESS INCUBATOR'S (YBI) EFFORTS TO SECURE FUNDING FROM OHIO DEVELOPMENT SERVICES AGENCY FOR THE MINORITY BUSINESS ASSISTANCE
26. MOTION: Made by Mr. Fuda, seconded by Ms. Frenchko to authorize Mauro Cantalamessa, President of the Board of Trumbull County Commissioners, to execute a letter of support on behalf of the Youngstown Business Incubator's (YBI) efforts to secure funding from the Ohio Development Services Agency for the Minority Business Assistance Center Grant. The Youngstown Business Incubator's team consists of dedicated, community minded individuals and has a strong network of technical experts, investors and business leaders who support their mission. The Youngstown Business Incubator's commitment to diversity and inclusion has remained consistent throughout its tenure. The Minority Business Assistance Center Youngstown focuses on providing support to the region's small, minority, women and socially economically disadvantaged businesses through one-on-one counseling, coursework and group acceleration programs. The Board of Trumbull County Commissioners is pleased to support the Youngstown Business Incubator's strive for excellence empowering small and minority business communities through the Minority Business Assistance Center Youngstown. The Board of Trumbull County Commissioners believes these efforts have helped to enrich the Mahoning Valley by overcoming social and economic barriers.
Yeas: Fuda, Frenchko, Cantalamessa
Nays: None
Letter recorded on Journal Page(s)_____________________________.)
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RE:
ADOPT RESOLUTION STATING THAT NO COUNTY EMPLOYEE OR POTENTIAL EMPLOYEE WOULD BE ADVERSELY AFFECTED OR TREATED DIFFERENTLY FOR NOT GETTING THE COVID-19 VACCINE OR RESPONDING TO A COUNTY SURVEY
27. MOTION: Made by Mr. Fuda, seconded by Ms. Frenchko to adopt a resolution stating that no county employee or potential employee would be adversely affected or treated differently for not getting the COVID-19 vaccine or for responding to a county survey about their personal medical information.
Yeas: Fuda, Frenchko, Cantalamessa
Nays: None
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RE: APPROVE EASEMENT WITH OHIO EDISION FOR MINERAL RIDGE HYDRAULIC IMPROVEMENT PROJECT NO. 2-W-15. EASEMENT IS NECESSARY FOR WATER LINE CONSTRUCTION – SANITARY ENGINEERS DEPARTMENT
28. MOTION: Made by Mr. Fuda, seconded by Ms. Frenchko to approve an easement with OHIO EDISION for the MINERAL RIDGE HYDRAULIC IMPROVEMENT PROJECT, known as County Project No. 2-W-15. The easement is necessary for construction of the water line. This project serves to improve volume and pressure issues within the Mineral Ridge public water system; this action per the recommendation of the Trumbull County Sanitary Engineers Department and is subject to review and approval of the Prosecutor's Office.
Yeas: Fuda, Frenchko, Cantalamessa
Nays: None
Document(s) recorded on Journal Page(s)_____________________________.)
Comments:
Commissioner Cantalamessa recognized Carlton Ingram and Brian Wydick of the International Union of Operating Engineers. Mr. Ingram will be retiring after 47½ years of service and Mr. Wydick will be his replacement. Mr. Ingram thanked the Commissioners for their support and for keeping the pipeline open throughout the years.
Mr. Fuda said that he received a phone call from Mr. Jeff Cline regarding selling his farm and home in Cortland and the septic upgrade. He's been dealing with his title office for months. He said that he is pleased with the team work of the Tax Map Department and Health Department helping to get his issues expedited. He is now ready to sell his home and move to Florida. Mr. Fuda said that Mr. Cline is disturbed by an email he received from another Commissioner directing him to contact an attorney regarding not getting help from the Health Department. Discussion was made by the Commissioners and Mr. Jack Simon regarding the initial delays and everyone working together.
Commissioner Frenchko asked Commissioner Cantalamessa about the Data Board Meeting he attended this morning as President of the Board. She asked if the equipment that Julie Green is requesting for her office was approved. She said that Julie has been paying for some of the things that she needs from her own personal funds. Commissioner Cantalamessa said that the Data Board is requesting additional information and that Tim Haniford will be contacting Julie and discussing some cost effective alternative.
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RE: ADJOURN
MOTION: Made by, Mr. Fuda, seconded by Ms. Frenchko, to adjourn the Regular Meeting of January 21, 2021, and to meet again in Regular Session on January 28, 2021.
Yeas: Fuda, Frenchko, Cantalamessa
Nays: None
WE CERTIFY THAT EACH AND ALL OF THE FOREGOING TO BE CORRECT.
__________________________________________
MAURO CANTALAMESSA, PRESIDENT
__________________________________________
NIKI FRENCHKO, COMMISSIONER
__________________________________________
FRANK S. FUDA, COMMISSIONER
ATTEST:
_______________________________
PAULETTE A. GODFREY, CLERK
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Nexen's First Quarter Results: Generating Solid Cash Flow and Earnings in a Low Price Environment
1 Includes our share of Syncrude oil sands.
3 Includes oil and gas development, exploration, and expenditures for other property, plant and equipment and the $735 million acquisition of an additional 15% working interest in our Long Lake project.
2 Cash flow from operations is defined as cash flow from operating activities before changes in non-cash working capital and other.
4 Defined as long-term debt and short-term borrowings less cash and cash equivalents.
Nexen delivered solid first quarter results with cash flow similar to the previous quarter despite a drop in WTI of 27%. Increased production and a solid cash flow contribution of $83 million from our marketing division drove these positive results. We continue to generate industry-leading cash netbacks averaging just over CDN$30/bbl in the first quarter, driven by low royalties and low company-wide conventional operating costs. Our financial position remains strong and we have over $3.3 billion of available liquidity. This comprises cash of approximately $2.1 billion, with the remainder in undrawn committed credit lines. We have no debt maturities until 2012 and the average term of our public debt is approximately 17 years. As a result, we are well positioned in the current environment.
Quarterly production increased 9% and averaged 252,000 boe/d before royalties due to improved uptime in the UK North Sea and the return of hurricane impacted production in the Gulf of Mexico. Buzzard contributed a record 93,000 boe/d (215,000 boe/d gross) and will be shut down for four weeks in the third quarter for tie-in and jacket installation of the fourth platform. This will allow us to handle higher levels of hydrogen sulphide and maintain peak production until at least 2014. We expect new volumes later this year from the start-up of Ettrick and Longhorn and from the continuing ramp up of Long Lake to offset Buzzard downtime.
During the quarter, we had significant exploration success at Hobby in the Golden Eagle area. We have completed drilling the Hobby discovery well and two sidetracks. All three wells encountered significant high quality oil pay. These results are encouraging and are at the high end of our pre-drill estimates. We plan to continue with appraisal activity and expect to spud an appraisal well shortly. In addition, we plan to drill a third sidetrack.
At Long Lake, we have produced and sold first synthetic crude from the upgrader. The main process units in the upgrader have been successfully commissioned and are operating. The reservoir continues to perform well and bitumen production is reflecting the limited amount of steam injected into the reservoir. Our steam generation has been restricted by our ability to treat water during our ramp up phase. We have implemented a number of low cost changes to the water treating system and these changes are nearing completion. We expect these changes to improve our steam injection capability and accelerate our bitumen production.
The Board of Directors declared a quarterly dividend of $0.05 per common share payable July 1, 2009, to shareholders of record on June 10, 2009.
Management's Discussion and Analysis of Financial Condition and Results of Operations (MD&A)
The following should be read in conjunction with the Unaudited Consolidated Financial Statements included in this report. The Unaudited Consolidated Financial Statements have been prepared in accordance with generally accepted accounting principles (GAAP) in Canada. The impact of the significant differences between Canadian and United States (US) accounting principles on the financial statements is disclosed in Note 20 to the Unaudited Consolidated Financial Statements. The date of this discussion is April 27, 2009.
Unless otherwise noted, tabular amounts are in millions of Canadian dollars. The discussion and analysis of our oil and gas activities with respect to oil and gas volumes, reserves and related performance measures is presented on a working-interest, before-royalties basis. We measure our performance in this manner consistent with other Canadian oil and gas companies. Where appropriate, we have provided information on a net, after-royalties basis in tabular format.
Note: Canadian investors should read the Special Note to Canadian Investors on page 79 of our 2008 Form 10-K which highlights differences between our reserves estimates and related disclosures that are otherwise required by Canadian regulatory authorities.
We make estimates and assumptions that affect the reported amounts of our assets and liabilities and the disclosure of contingent assets and liabilities at the date of the Unaudited Consolidated Financial Statements and our revenues and expenses during the reported period. Our management reviews these estimates, including those related to accruals, litigation, environmental and asset retirement obligations, income taxes, fair values of derivative contract assets and liabilities and the determination of proved reserves on an ongoing basis. Changes in facts and circumstances may result in revised estimates and actual results may differ from these estimates.
EXECUTIVE SUMMARY OF FIRST QUARTER RESULTS
Three Months Ended March 31
1 Net debt is a non-GAAP measure and is defined as long-term debt and short–term borrowings less cash and cash equivalents.
Production before royalties averaged 252,000 boe/d in the quarter, up 9% from the previous quarter. Buzzard delivered strong production with rates of 92,700 boe/d net to us, during the quarter. Gulf of Mexico production continues to ramp up following the hurricane interruptions from last year and averaged 18,800 boe/d in the quarter, while Long Lake SAGD bitumen production increased to 8,100 bbls/d.
Weaker commodity prices reduced our net income and cash flow from operations while our after-royalty production increased. Our realized oil and gas price for the quarter was $47.56/boe compared to $85.90/boe last year. Despite the drop in commodity prices, our netbacks remain strong.
We incurred approximately 25% of our 2009 planned capital expenditures during the first quarter focusing on increasing production at Long Lake, conducting our shale gas winter drilling program in Canada, advancing work on the fourth platform at Buzzard and bringing our Ettrick and Longhorn developments on stream later this year. We continue to review opportunities to reduce operating and capital costs.
At Long Lake, we acquired an additional 15% interest in the project and became the sole operator of the resource and upgrader. We are now upgrading bitumen from our SAGD production and third-party bitumen purchases, and are currently producing approximately 15,000 bbls/d of premium synthetic crude (PSC TM ) (9,750 bbls/d net to us).
During the quarter, we drilled a successful exploration well and two sidetracks at Hobby in the UK North Sea, with a further sidetrack planned to determine the extent of the discovery. Hobby is part of a rapidly growing area of exploration interest, which includes other discoveries at Golden Eagle and Pink.
We believe our financial position remains strong. We have liquidity of approximately $3.3 billion available, comprised of cash on hand and undrawn committed credit. We have no significant debt maturities until 2012 and the average term-tomaturity of our long-term debt is approximately 17 years. We believe our significant liquidity, combined with strong netbacks, provides us with the financial flexibility to carry out our investment programs.
CAPITAL INVESTMENT
Our strategy and capital programs are focused on growing long-term value for our shareholders responsibly. We are advancing our strategy as described below. In 2009, we are investing primarily in:
* completing the Ettrick development and advancing work on the fourth platform at Buzzard in the North Sea;
* targeting a number of exploration prospects, primarily in the North Sea and Gulf of Mexico; and
* bringing Longhorn in the Gulf of Mexico on stream during the year, and developing our Usan project offshore Nigeria;
* advancing our Horn River shale gas play in northeastern British Columbia.
Details of our capital programs are set out below:
Three Months Ended March 31, 2009
1 Includes $91 million of capitalized start-up costs.
Synthetic
During the quarter, we reached a significant milestone at Long Lake when we produced and sold first PSC TM from the upgrader. The main process units in the upgrader have been successfully commissioned and are operating. The gasifier is creating syngas that is being used in SAGD operations for steam generation and creating hydrogen that is being used for upgrading. This has significantly reduced the need for purchased natural gas. During the upgrader ramp up, we expect that there will be periods of downtime as we work through the early stages of production and upgrading.
The reservoir continues to perform well and bitumen production is reflecting the amount of steam that has been injected into the reservoir. Our steam generation has been restricted by our ability to treat water during our ramp up phase. Approximately 90-95% of the water we inject into the reservoir is recycled and treated. In addition, we add cold source water to gradually increase overall steam volumes. Temperature limitations in the water treating system have limited our ability to ramp up steam volumes. We have implemented a number of low cost changes to the water treating system which include adding supplementary heat to the hot lime softeners and improving our filtration system. These changes are nearing completion and we expect that they will allow us to accelerate our steam injection capability. The modifications made so far have already resulted in a substantial increase to our steam generation volumes. For the first quarter, our steam volumes averaged 66,000 bbls/d and we are now starting to see rates in excess of 85,000 bbls/d. When the remaining modifications are completed shortly, we expect to see another step change in our steam volumes which we anticipate will accelerate our bitumen production ramp up. Given the steaming constraints, we have rationed our steam to 39 of the 81 well pairs. As we increase our steam capacity, the remaining wells will be brought on. The average steam to oil ratio for the wells on production is between four and five and we expect this ratio to fall to around three as production ramps up.
Currently, we are producing approximately 18,000 bbls/d (gross) of bitumen which is almost a 35 % improvement over our first quarter average production of 13,400 bbls/d (gross). When we combine our bitumen production with third-party volumes, we are producing approximately 15,000 bbls/d (gross) of upgraded on-spec PSC TM . Yields in the second quarter should improve as we start up the thermal cracker and solvent de-asphalter. We expect to reach full design rates of 72,000 bbls/d of gross bitumen production, upgraded to approximately 60,000 bbls/d (39,000 bbls/d net to us) of PSC TM in 2010.
We have a 65% interest in the Long Lake project and joint venture lands. We are the sole operator of the resource and upgrader and we have successfully integrated the upgrader personnel that came with the recent acquisition of the additional 15% of the project from Opti Canada Inc.
United Kingdom – North Sea
During the quarter, we have had significant success at Hobby in the Golden Eagle area. We have completed drilling the Hobby discovery well and two sidetracks. All three wells encountered significant high quality oil pay. These results are encouraging. We plan to continue with appraisal activity and expect to spud an appraisal well shortly. In addition, we plan to drill a third sidetrack. The Golden Eagle area includes exciting discoveries at Golden Eagle, Hobby and Pink. We have a 34% operated interest in both Hobby and Golden Eagle and a 46% operated working interest in Pink. We have additional prospects in the area that we plan to drill later this year.
Our Ettrick development in the North Sea is progressing towards first oil in the coming months and is expected to add approximately 6,000 to 8,000 boe/d to our annual 2009 production volumes. The development consists of a leased floating production, storage and offloading vessel (FPSO) designed to handle 30,000 bbls/d of oil and 35 mmcf/d of gas. We also have a discovery at Blackbird which could be a future tie-back to Ettrick. We operate both Ettrick and Blackbird, with an 80% working interest in each.
United States – Gulf of Mexico
At our Cote de Mer prospect, located on the Louisiana coast, we completed drilling to target depth of 22,300 feet where we have encountered commercial quantities of hydrocarbons. We are currently completing this well and expect first production in the fourth quarter. We have a 35% working interest in this project.
In the Eastern Gulf of Mexico, we plan to spud the Antietam prospect shortly, which is located three miles west of our Shiloh discovery. We expect drilling to be completed early in the third quarter. This is the fourth well in the area where we have already had success at Shiloh and Vicksburg. In addition, we plan to drill one more exploration well and an appraisal well at Vicksburg. We have a 25% interest in Vicksburg and a 20% interest in both Antietam and Shiloh, with Shell operating all three.
Development of the Longhorn discovery continues and first production is expected mid year. Peak production of approximately 200 mmcf/d gross (50 mmcf/d, net to us) is expected by year end. We have recently completed drilling a deeper well here which has extended our reserve base. We have a 25% non-operated working interest and ENI is the operator.
At Knotty Head, we plan to start drilling an appraisal well in 2009 when the first of our two new deep-water drilling rigs arrives. The rig is expected to enter the Gulf in the third quarter. We have a 25% operated interest in the field.
Canada
During the quarter, we completed and tied-in two wells drilled last summer in our Horn River shale gas play. We have commenced testing on these wells. We also drilled three wells earlier this year and plan to complete and tie-in these wells before year end. We expect to have six wells on production as the year unfolds.
This shale gas play has the potential to become one of the most significant shale gas plays in North America. It has been compared to the Barnett Shale in Texas by other operators in the area as it displays similar rock properties and play characteristics. We have approximately 88,000 acres in the Dilly Creek area of the Horn River basin with a 100% working interest. Further appraisal activity is required before commerciality is established.
Offshore West Africa
Development of the Usan field on block OML 138, offshore Nigeria is fully underway. The field development plan includes a FPSO vessel with a storage capacity of two million barrels of oil. This year, we are scheduled to construct the FPSO hull, begin development drilling, and complete detailed engineering and procurement. The Usan field is expected to come on stream in 2012 and will ramp up to a peak production rate of 180,000 bbls/d (36,000 bbls/d net to us). Nexen has a 20% interest in exploration and development along with Total E&P Nigeria Limited (20% and Operator), Chevron Petroleum Nigeria Limited (30%) and Esso Exploration and Production Nigeria (Offshore East) Limited (30%).
On OPL 223, we have commenced exploration drilling on the block. Following drilling of the exploration well, the rig will return to OML 138 and begin development drilling at Usan. We have a 20% funding interest and 18% beneficial interest on block OPL 223. Our partners are Total E&P Nigeria Limited (18% and Operator), ChevronTexaco Nigeria Deepwater F Limited (27%), Esso Exploration and Production (Upstream) Limited (27%) and Nigerian Petroleum Development Company Limited (10% carried interest).
FINANCIAL RESULTS
Change in Net Income
1 All amounts are presented before provision for income taxes.
Significant variances in net income are explained further in the following sections.
OIL & GAS AND SYNCRUDE
Production
Three Months Ended March 31
2009
2008
1 We have presented production volumes before royalties as we measure our performance on this basis consistent with other Canadian oil and gas companies.
3 Considered a mining operation for US reporting purposes.
2 Pre-operating revenues and costs associated with Long Lake bitumen are capitalized as development costs until we reach commercial operations.
Lower sales volumes decreased net income for the quarter by $66 million
Production before royalties increased 9% from the prior quarter but was 6% lower than the first quarter of 2008. The increase from the prior quarter resulted from higher uptime at Buzzard in the North Sea and restored production in the Gulf of Mexico following last year's hurricane interruptions. The decrease from the first quarter of 2008 largely reflects production that is still shut-in the Gulf of Mexico, partially offset by increasing bitumen production at Long Lake. Production after royalties increased 14% and 1% from the prior quarter and the first quarter of 2008, respectively.
The following table summarizes our production volume changes since last quarter:
Before
After
Production volumes discussed in this section represent before-royalties volumes, net to our working interest.
UNITED KINGDOM
The Buzzard field continues to perform well, achieving volumes of 92,700 boe/d during the quarter (214,500 boe/d gross). Production volumes were 9% higher than the previous quarter due to better uptime of the platform. This was partially offset by maintenance on the water injection system. Construction of the fourth platform at Buzzard is on time and on budget.
At Scott/Telford, production volumes increased 39% from the prior quarter. Maintenance on the Scott platform to resolve power supply issues and downtime for subsea repairs resulted in lower production in the prior quarter. Production volumes decreased 25% from the first quarter of 2008 as a result of natural declines and unplanned maintenance. Production from our non-operated fields at Duart and Farragon increased to average 3,700 boe/d for the quarter.
YEMEN
Yemen production increased 4% from the prior quarter and decreased 12% from the first quarter of 2008.
Masila production was consistent with the prior quarter and decreased 16% from the first quarter of 2008. This decline is consistent with our expectations as the field matures. Our drilling program is focused on maximizing reserve recoveries and economic returns. In the first quarter of 2009, we drilled seven development wells and plan to drill a further eight wells in the year. Strong rates from wells drilled late in 2008 and early 2009 contributed to the additional production in the first quarter. Production declines are expected to continue as we maximize recovery of the remaining reserves on the block.
Block 51 production was 12% and 3% higher than the prior quarter and the first quarter of 2008, respectively. The increase relates to better performance from secondary zones in our existing fields. During the quarter, we drilled a development well at BAK A.
CANADA
Production in Canada was 2% lower than the previous quarter and 3% higher than the same period last year. Conventional production from our heavy oil properties was slightly lower due to natural field declines. CBM production remained consistent with the prior quarter averaging 49 mmcf/d and was 14 mmcf/d higher than the first quarter of 2008 as additional wells and facilities were brought on stream.
LONG LAKE
Bitumen production averaged 8,100 boe/d (net to us) during the quarter. The 23% increase from the prior quarter reflects the additional working interest we acquired in the Long Lake Project combined with a modest increase in total volumes. We currently have 39 of 81 well pairs converted to SAGD production.
In January, we increased our interest in the Long Lake Project from 50% to 65% and the upgrader began producing premium synthetic crude oil. The project is upgrading bitumen from our SAGD production and from third-party bitumen purchases, and is currently producing approximately 15,000 boe/d of premium synthetic crude (9,750 net to us).
UNITED STATES
Gulf of Mexico production volumes were 111% higher than the prior quarter as we continue to bring our hurricane-affected properties back on-stream. We were producing approximately 30,000 boe/d prior to Hurricanes' Gustav and Ike in the third quarter of 2008. Our properties at Gunnison, West Cameron and Eugene Island came back on stream towards the end of 2008 and we exited the year producing approximately 12,000 boe/d. At Aspen, production resumed in January. Additional water handling facilities on the third-party platform were installed allowing Aspen production rates to increase. Production volumes on the shelf were 42% lower than the same period last year as production shut in by the hurricane interruptions was offset by higher rates as a result of workovers and recompletions. At the end of the first quarter, our production in the Gulf of Mexico was approximately 21,000 boe/d. Our Wrigley field came back on stream in late April and we anticipate that production will be restored to pre-hurricane rates.
OTHER COUNTRIES
Production from the Guando field in Colombia averaged 5,500 boe/d during the quarter, slightly lower than the prior quarter and first quarter of 2008. Under the terms of our license, our interest in the Guando field will decrease by half to 10% during the second quarter as we reached 60 million barrels of cumulative production during the first quarter.
SYNCRUDE
Syncrude production was 11% lower than the previous quarter mainly due to low bitumen inventories and the scheduled turnaround of Coker 8-3 that began late in the quarter. The turnaround is expected to be completed early in the second quarter. Production volumes were 3% higher than the first quarter of 2008 as rates were lower last year as a result of downtime caused by maintenance on a coker and extreme winter conditions in January 2008.
Commodity Prices
Three Months
Ended March 31
1 These differentials are a discount/(premium) to WTI.
Lower realized commodity prices decreased quarterly net income by $770 million
WTI averaged US$43.08/bbl for the quarter, down 27% and 56% from the prior quarter and the first quarter of 2008, respectively, while Brent crude oil prices fell 19% and 54% over the same periods. The effect of lower commodity prices was mitigated somewhat by the strengthening US dollar. Our realized prices for our crude oil sales were 16% lower than the previous quarter and 46% lower than the first quarter of 2008.
NYMEX averaged $4.48/mmbtu for the quarter, 30% lower than the prior quarter, while our realized gas price averaged $5.11/mcf, down only 19% over the same period. When compared to the first quarter of 2008, our realized gas price fell 36% while NYMEX prices decreased 49%. AECO natural gas prices meanwhile, only decreased 21% and 17% from the prior year and the previous quarter, respectively. The combination of a portion of our gas being priced at AECO and the stronger US dollar compared to the Canadian dollar in the first quarter, partially offset the effect the NYMEX decline had on our realized gas prices.
The strengthening US dollar increased our net sales by approximately $53 million and $177 million compared to the prior quarter and the first quarter of 2008, respectively. Over the same periods, our realized crude oil price increased $2.94/bbl and $9.77/bbl as a result of the stronger US dollar, while our realized natural gas price increased $0.30/mcf and $0.99/mcf, respectively.
CRUDE OIL REFERENCE PRICES
Crude oil prices were pressured during the quarter by the global economic recession and contracting oil demand. WTI ranged from a high of $54.34/bbl to a low of $33.98/bbl, with price strengthening late in the quarter. During the first quarter continued global economic weakness and oil demand destruction resulted in building inventory levels. Rising crude inventories depressed current prices, resulting in a steep contango curve structure that further provided incentives to store crude. Oil demand in the US continues to decline as a result of the global recession. Reduced industrial production and shipping lowered demand for distillate and petrochemical feedstocks. Nigerian attacks in the Delta and rumors that Russia may join OPEC in cutting crude supply had minimal price impact. These geopolitical events that were once bullish to price continued to have minimal impact due to the weak supply and demand fundamentals and additional OPEC spare capacity.
CRUDE OIL DIFFERENTIALS
High crude oil inventory levels, particularly at Cushing, influenced many of the WTI differentials during the quarter. These high inventories and reduced demand depressed pricing for WTI crude oil relative to other benchmark crudes such as Brent.
In Canada, heavy oil differentials averaged US$9.17/bbl (21.3% of WTI) for the quarter, compared to US$21.85/bbl (22.3% of WTI) for the first quarter of 2008. Factors contributing to the narrower differential include reduced supply of medium crude oil from OPEC, strong fuel oil pricing, and declining heavy oil production in Mexico.
Brent/WTI differentials averaged US$1.32/bbl for the quarter, with Brent commanding a premium to WTI for much of the quarter. The differential remained volatile with Brent trading both at a discount and premium to WTI at times during the quarter.
The Mars differential averaged US$0.66/bbl for the quarter, with Mars trading at a premium to WTI. MARS is a medium sour crude that normally trades at a discount to WTI. The differential widened towards traditional levels at the end of the quarter due to stronger WTI prices.
The Yemen Masila differential narrowed relative to WTI during the quarter, with Masila trading at a discount of $0.05/bbl for the quarter. This reflects the weaker WTI relative to other crude oil grades.
NATURAL GAS REFERENCE PRICES
NYMEX natural gas prices averaged US$4.48/mmbtu for the quarter compared to US$8.75/mmbtu last year. A combination of shrinking industrial and power demand, new supply from unconventional plays and lower oil prices resulted in a bearish inventory outlook. This outlook reduced natural gas prices in the quarter. North American natural gas inventory levels at the end of the winter season are above average, putting further pressure on prices. Globally, additional LNG volumes are expected to come on stream in 2009 and could be imported into the North American market due to larger storage capacity than elsewhere in the world. These additional LNG volumes and strong supply additions from shale gas and tight gas plays in North America could further reduce natural gas prices.
Operating Expenses
Three Months Ended March 31
(Cdn$/boe)
2009
2008
1 Operating expenses per boe are our total oil and gas operating costs divided by our working interest production before royalties. We use production before royalties to monitor our performance consistent with other Canadian oil and gas companies.
Lower operating expenses increased net income for the quarter by $3 million
Operating costs are consistent with the same period last year despite the stronger US dollar increasing our corporate average by $1.06/boe for the quarter. Fewer maintenance expenses in the UK North Sea were offset by additional costs at Syncrude for unplanned equipment repairs and maintenance. Excluding the effect of the change in exchange rates, our corporate average increased $0.10/boe.
In the UK North Sea, costs decreased $6 million or 11% from last year. Lower tariffs at Buzzard reduced our corporate average by $0.33/boe. At Scott/Telford, fewer repairs and maintenance expenses reduced operating costs; however, production declines increased our per unit corporate average by $0.07/boe.
In Yemen, we continue to incur costs to maintain existing wells to maximize reserve recoveries and slow the natural decline of the field. At Masila, these costs, combined with declining production, increased average operating costs by $0.18/boe. At Block 51, production was consistent with the prior year; however, lower maintenance costs helped to reduce our corporate average by $0.24/boe.
In the US Gulf of Mexico, lower lease operating costs, surface facility and downhole maintenance and other expenses reduced our costs relative to last year. Production volumes have not been fully restored following last year's hurricanes, which increased our corporate average by $0.23/boe.
In Canada, fewer surface maintenance costs and additional CBM production reduced our corporate average by $0.13/boe. At Syncrude, operating costs increased $4 million over last year as a result of higher costs for unplanned maintenance, repairs to mining equipment and costs for the Coker 8-3 turnaround late in the quarter. These additional expenses increased our corporate average by $0.15/boe.
Depreciation, Depletion, Amortization and Impairment (DD&A)
Three Months Ended March 31
1 DD&A per boe is our DD&A for oil and gas operations divided by our working interest production before royalties. We use production before royalties to monitor our performance consistent with other Canadian oil and gas companies.
Higher oil and gas DD&A decreased net income for the quarter by $40 million
Our oil and gas DD&A expense increased 12% from the first quarter of 2008. Production mix between areas continues to change with lower production in the Gulf of Mexico and natural declines in Yemen offset by strong production at Buzzard. This change in production mix decreased our corporate average by $0.64/boe, compared to the same period last year. The weaker Canadian dollar relative to the same period last year increased our corporate average by $2.62/boe, as depletion of our international and US assets is denominated in US dollars.
At Buzzard, successful development drilling increased our year-end reserves, slightly lowering the depletion rate. This decrease in the Buzzard depletion rate has lowered our corporate average by $0.06/boe. Elsewhere in the UK, downward economic reserve revisions at our mature Scott/Telford fields increased our corporate average by $0.40/boe.
In the Gulf of Mexico, higher estimates for future abandonment costs and downward economic reserve revisions at the end of 2008 resulted in higher depletion rates, increasing our corporate average rate by $0.62/boe. Our DD&A expense in the United States was lower compared to the first quarter of 2008 as some production remains shut-in following last year's hurricanes.
In Canada, DD&A expense increased $16 million or 34% from the prior year, increasing our corporate average by $0.70/boe. This was caused by higher depletion rates at our heavy oil properties where lower year-end commodity prices reduced our proved reserves. The impact of these downward revisions however, was partially offset by lower depletion rates on our CBM properties as additional reserves were recognized through improved recovery rates.
Exploration Expense
Higher exploration expense decreased net income for the quarter by $21 million
Our total exploration expenditures were $19 million lower than the same period last year as reduced investment in the US Gulf of Mexico was partially offset by additional spending in Canada and the UK North Sea.
In the UK North Sea, we have had significant success at Hobby in the Golden Eagle area. We have completed drilling the Hobby discovery well and two sidetracks. All three wells encountered significant high quality oil pay. These results are encouraging. We plan to continue with appraisal activity and expect to spud an appraisal well shortly. In addition, we plan to drill a third sidetrack. The Golden Eagle area includes exciting discoveries at Golden Eagle, Hobby and Pink. We have a 34% operated interest in both Hobby and Golden Eagle and a 46% operated working interest in Pink. We have additional prospects in the area that we plan to drill later this year.
Exploration expense was higher by $21 million compared with the same period in the prior year. In Canada, we expensed $9 million for unsuccessful exploration drilling. Our exploration expense also includes seismic acquisition costs of $9 million in the Dilly Creek shale gas area.
We are focusing our exploration investment for the remainder of the year on drilling exploratory and appraisal wells in the UK North Sea and US Gulf of Mexico.
ENERGY MARKETING
Three Months
Ended March 31
1 Marketing's physical sales, physical purchases and net financial transactions are reported net on the Unaudited Consolidated Statement of Income as marketing and other.
3 Financial volumes represent amounts largely acquired to economically hedge physical transactions during the quarter.
2 Excludes intra-segment transactions. Physical volumes represent amounts delivered during the quarter.
Higher contribution from Energy Marketing increased net income by $67 million
Energy marketing delivered improved results in the first quarter driven by a renewed focus on optimizing our physical business. The crude oil team used their physical storage positions to take advantage of contango (rising prices) in the crude oil market. This contango, combined with narrowing crude oil differentials, enabled us to capture both realized and unrealized gains on our relatively low-risk physical trading strategies.
Gains were also generated by the strengthening condensate market. We imported condensate to supply the Canadian market and generated gains by supplying condensate to support the strong demand for Canadian heavy oil and bitumen production.
These gains were offset somewhat by losses early in the quarter in our North America natural gas business. These losses related to exiting the last of our basis trading positions from 2008. Additionally, we recognized losses from selling natural gas inventory where offsetting gains on the financial instruments hedging the value of the inventory were recognized in prior periods.
We have substantially completed re-aligning our marketing strategies and positions to focus on and support our core physical business as a producer/marketer.
Results from our marketing group vary by quarter and historical results are not necessarily indicative of results to be expected in future quarters. Quarterly marketing results depend on a variety of factors such as market volatility, changes in time and location spreads, the manner in which we use our storage and transportation assets and the change in value of the financial instruments we use to hedge these assets.
Composition of Net Marketing Revenue
Three Months
Ended March 31
Trading Activities
In energy marketing, we enter into contracts to purchase and sell crude oil and natural gas. We also use financial and derivative contracts, including futures, forwards, swaps and options for hedging and trading purposes. We account for all derivative contracts not designated as hedges for accounting purposes using fair value accounting and record the change in fair value in marketing and other income. The fair value of these instruments is included with amounts receivable or payable and they are classified as long-term or short-term based on their anticipated settlement date.
Other Activities
We enter into fee for service contracts related to transportation and storage of third-party oil and gas. In addition, we earn income from our power generation facilities at Balzac and Soderglen.
Fair Value of Derivative Contracts
Our processes for estimating and classifying the fair value of our derivative contracts are consistent with those in place at December 31, 2008.
At March 31, 2009, the fair value of our derivative contracts in our energy marketing trading activities was a net loss of $72 million. These derivatives are used to economically hedge our physical storage and transportation contracts which cannot be carried at fair value until they are used. Below is a breakdown of the derivative fair value by valuation method and contract maturity.
(Cdn$ millions)
Maturity
Changes in Fair Value of Derivative Contracts
1 Our valuation methodology has been applied consistently in each period.
The fair values of our derivative contracts will be realized over time as the related contracts settle. Until then, the value of certain contracts will vary with forward commodity prices and price differentials. The average term of our derivative contracts is approximately 1.5 years. Those maturing beyond one year primarily relate to North American natural gas positions.
CHEMICALS
Higher Chemicals contribution increased net income by $17 million
Chlor-alkali prices increased 40%, primarily as caustic prices have almost doubled since the first quarter of 2008. The positive impact of the price increases have been offset by a decrease in sales volumes. Demand for our chlorine and caustic products fell as a consequence of the global economic downturn.
Transportation and other costs are $9 million lower than the first quarter of 2008 when we accrued severance costs of $7 million in connection with our North Vancouver technology conversion project. Chemicals net income includes foreign exchange losses of $6 million on the Canexus US-dollar denominated debt, as well as an $8 million decrease in the fair value of interest rate swaps and foreign exchange forward contracts.
CORPORATE EXPENSES
General and Administrative (G&A)
1 Includes cash and non-cash expenses related to our tandem option plan and stock appreciation rights plan.
Higher G&A costs decreased net income by $45 million
G&A costs increased during the quarter as our stock-based compensation expense in 2008 included a $41 million recovery of expense. We account for our stock-based compensation programs using the intrinsic-value method and therefore, fluctuations in our share price creates volatility in our net income. Our share price at March 31, 2009 was consistent with the 2008 year end price. Cash payments made in connection with our stock-based compensation programs during the quarter were insignificant compared to $18 million paid in the first quarter of 2008.
Interest
Three Months
Ended March 31
Higher interest expense decreased net income by $41 million
Our financing costs increased from the first quarter of 2008 primarily due to the strengthening US dollar. The stronger US dollar increased our interest expense by $17 million. This was partially offset by lower expense on our medium-term notes that were repaid in mid 2008. Interest costs on our additional term credit facilities borrowings were offset by lower interest rates on our floating debt facilities.
Capitalized interest on our Long Lake Project was $35 million lower than the previous year as construction of the facilities is now complete. This was partially offset by additional capitalized interest related to the fourth platform at Buzzard and our developments at Ettrick in the North Sea, and at Usan, offshore West Africa.
Income Taxes
Three Months
Ended March 31
Lower taxes increased net income by $438 million and the year-to-date effective tax rate decreased to 18%
Lower commodity prices resulted in reduced tax expense in the first quarter of 2009. During the first quarter, we also reduced our future tax expense by amortizing a portion of the deferred tax benefit arising from the 2008 internal reorganization and financing of our North Sea assets. Reductions in Canadian tax rates resulted in an additional $22 million recovery of future taxes during the quarter.
Our income tax provision includes current taxes in the UK, Yemen, Colombia and the US.
Other
During the first quarter of 2008, we purchased put options on approximately 70,000 bbls/d of our 2009 crude oil production. These options establish a Dated Brent floor price of US$60/bbl on these volumes, are settled annually and provide a base level of price protection without limiting our upside to higher prices. The put options were purchased for $14 million and are carried at fair value. During the third quarter of 2008, Lehman Brothers, one of the put option counterparties, filed for bankruptcy protection impacting 25,000 bbls/d of our 2009 put options. The carrying value of these put options has been reduced to nil. At March 31, 2009, the remaining options had a fair value of $224 million, $16 million lower than the end of 2008 due to the increase in Dated Brent.
LIQUIDITY AND CAPITAL RESOURCES
Capital Structure
1 Includes all of our borrowings and is calculated as long-term debt and short-term borrowings less cash and cash equivalents.
Net Debt
Our net debt levels are directly related to our operating cash flows and our capital expenditure activities. Changes in net debt are related to:
(Cdn$ millions)
Our net debt increased during the first quarter primarily as a result of using term credit facilities to finance the $757 million acquisition of the additional working interest in Long Lake and as a stronger US dollar relative to the Canadian dollar increased our US-dollar denominated debt by $138 million. Our available liquidity at the end of the quarter was approximately $3.3 billion comprised of cash on hand and undrawn committed credit facilities.
Change in Working Capital
Our cash and cash equivalents are slightly higher than year end while restricted cash increased $323 million. Our cash balances remained steady as we used our term credit facilities and cash flow from operating activities to finance our capital investment during the quarter. At March 31, 2009, our restricted cash consists of margin deposits of $426 million related to exchange-traded derivative financial contracts used by our energy marketing group to hedge other derivative contracts such as physical purchase and sale commodity contracts. Certain exchanges require that we maintain margin for open derivative financial contracts. The margin requirements change daily to reflect the number of outstanding contracts and the change in net mark-to-market gains and losses on those contracts. During the quarter, a portion of the gains were settled resulting in an increase in margin requirements to cover unsettled but previously recognized losses. Additional margin was required to cover net losses recognized during the quarter on derivative financial contracts which hedge mark-to-market gains on our physical positions.
Since the beginning of the year, our energy marketing accounts receivable decreased $281 million while accounts payable increased $218 million. Our energy marketing net working capital position fluctuates depending on timing of settlement of outstanding positions and the movement in commodity prices. At March 31, 2009, the majority of the positions settled were in net receivable positions. Our commodity trading inventory is carried at fair value and was higher than year end as increased crude oil volumes and prices offset lower natural gas volumes and prices. The increase in other assets is primarily represented by the Dated Brent crude oil put options fair value of $224 million. The annual options mature at the end of 2009 and were reclassed from long-term to current assets during the first quarter.
Outlook for Remainder of 2009
We expect our 2009 production to range between 255,000 and 270,000 boe/d before royalties, although this is largely dependent on the ramp-up of Long Lake and the startup of our Ettrick and Longhorn developments. We expect to generate between $2.3 and $2.9 billion in cash flow (before remediation and geological and geophysical expenditures) in 2009, assuming WTI averages between US$50 and US$65.
Our future liquidity and ability to fund capital requirements generally depends upon operating cash flows, our existing working capital, our unused committed credit facilities, and our ability to access debt and equity markets. Given the long cycle time of some of our development projects and volatile commodity prices, it is not unusual in any year for capital expenditures to exceed our cash flow. Changes in commodity prices, particularly crude oil as it represents over 80% of our production, can impact our operating cash flows. We use short-term contracts to sell the majority of our oil and gas production, exposing us to short-term price movements. A US$1/bbl change in WTI above and below US$60/bbl is projected to increase or decrease our 2009 cash flow from operating activities, after cash taxes, by approximately $54 million and $45 million respectively ($43 million and $36 million, respectively, for the remainder of 2009). Our exposure to a $0.01 change in the US to Canadian dollar exchange rate is projected to increase or decrease our 2009 cash flow by approximately $30 million ($25 million for the remainder of 2009). While commodity prices can fluctuate significantly in the short term, we believe that over the longer term, commodity prices will increase as a result of growth in world demand and delays or shortages in supply growth. We believe that our existing liquidity and balance sheet capacity provides us with the ability to fund our obligations during periods of lower commodity prices. We have incurred approximately 25% of our 2009 planned capital expenditures to date and acquired the additional 15% working interest in Long Lake. During the quarter, our capital has been concentrated on completing the Buzzard enhancement project and progressing the Ettrick development in the UK North Sea, and on our shale gas winter drilling program in Canada. We expect to invest capital of approximately $2 billion during the remainder of the year on a variety of projects including: i) bringing Ettrick on stream and advancing work on the fourth platform at Buzzard; ii) progressing our Usan development project, offshore Nigeria; iii) bringing Longhorn in the Gulf of Mexico on stream; and iv) furthering our exploration and appraisal opportunities in key areas such as UK North Sea, US Gulf of Mexico and our Horn River shale gas play in Canada.
During the first three months of 2009, our capital investment exceeded our cash flow from operating activities. Capital expenditures included $757 million to acquire an additional 15% in the Long Lake Project. Excluding this acquisition, our cash flow from operating activities exceeded our capital expenditures. We currently have over $2 billion of cash and cash equivalents on hand and also have significant undrawn committed credit facilities available. At March 31, 2009, we had unsecured term credit facilities of US$3.1 billion in place that are available until 2012, of which US$1.8 billion was drawn and US$348 million was used to support outstanding letters of credit. We also have approximately $584 million of undrawn, uncommitted, unsecured credit facilities, of which $81 million was used to support outstanding letters of credit. The average length-to-maturity of our public debt is approximately 17 years.
Contractual Obligations, Commitments and Guarantees
We have assumed various contractual obligations and commitments in the normal course of our operations and financing activities. We have included these obligations and commitments in our MD&A in our 2008 Form 10-K. There have been no significant developments since year end.
Credit Ratings
During the quarter, Moody's Investor Service, Inc. downgraded our senior debt credit rating from Baa2 to Baa3. There were no other changes in our credit rating during the period. We believe our strong financial results, ample liquidity and financial flexibility continue to support our credit ratings.
CONTINGENCIES
There are a number of lawsuits and claims pending, the ultimate result of which cannot be ascertained at this time. We record costs as they are incurred or become determinable. We believe the resolution of these matters would not have a material adverse effect on our liquidity, consolidated financial position or results of operations. These matters are described in Legal Proceedings in Item 3 contained in our 2008 Form 10-K. There have been no significant developments since year end.
NEW ACCOUNTING PRONOUNCEMENTS
Canadian Pronouncements
In February 2008, the Accounting Standards Board (AcSB) confirmed that all Canadian publicly accountable enterprises will be required to adopt International Financial Reporting Standards (IFRS) for interim and annual reporting purposes for fiscal years beginning on or after January 1, 2011. We are currently assessing the impact of the convergence of Canadian GAAP with IFRS on our results of operations, financial position and disclosures. A project team has been set up to manage this transition and to ensure successful implementation within the required timeframe. Details of our IFRS adoption plan can be found in our 2008 Form 10-K. We will provide additional disclosures of key elements of our plan and progress of the project as the information becomes available.
US Pronouncements
In December 2008, the Financial Accounting Standards Board (FASB) issued FSP FAS 132(R)-1, Employers Disclosures about Postretirement Benefit Plan Assets. This position provides guidance on disclosures about plan assets of a defined benefit pension plan or other postretirement plans. This position is effective for fiscal years ending after December 15, 2009. We do not expect the adoption of this statement to materially impact our results of operations or financial position.
In April 2009, FASB issued three final staff positions to improve guidance and disclosures on fair value measurement and impairments. The positions clarify fair value accounting specifically regarding inactive markets and distressed transactions, other-than-temporary impairments and expanded fair value disclosures for financial instruments in interim periods. These positions are effective for interim and annual periods ending after June 15, 2009, with early adoption permitted for periods ending after March 15, 2009. We do not expect the adoption of these positions to have a material impact on our results of operations or financial position.
EQUITY SECURITY REPURCHASES
During the quarter, we made no purchases of our own equity securities.
SUMMARY OF QUARTERLY RESULTS
Three Months Ended
SPECIAL NOTE REGARDING FORWARD-LOOKING STATEMENTS
Certain statements in this report, including those appearing in Management's Discussion and Analysis of Financial Condition and Results of Operations, constitute "forward-looking statements" (within the meaning of the United States Private Securities Litigation Reform Act of 1995, Section 21E of the United States Securities Exchange Act of 1934, as amended, and Section 27A of the United States Securities Act of 1933, as amended) or "forward-looking information" (within the meaning of applicable Canadian securities legislation). Such statements or information (together "forward-looking statements") are generally identifiable by the forward-looking terminology used such as "anticipate", "believe", "intend", "plan", "expect", "estimate", "budget", "outlook", "forecast" or other similar words, and include statements relating to or associated with individual wells, regions or projects. Any statements regarding the following are forward-looking statements:
* future crude oil, natural gas or chemicals prices;
* future cost recovery oil revenues from our Yemen operations;
* future production levels;
* future capital expenditures and their allocation to exploration and development activities;
* future asset acquisitions or dispositions;
* future earnings;
* future sources of funding for our capital program;
* availability of committed credit facilities;
* future debt levels;
* possible commerciality;
* future ability to execute dispositions of assets or businesses;
* development plans or capacity expansions;
* future sources of liquidity, cash flows and their uses;
* ultimate recoverability of current and long-term assets;
* future drilling of new wells;
* ultimate recoverability of reserves or resources;
*
* expected finding and development costs;
expected operations costs;
* estimates on a per share basis;
* future demand for chemical products;
* future foreign currency exchange rates;
* dates by which certain areas will be developed or will come on-stream; and
* future expenditures and future allowances relating to environmental matters;
* changes in any of the foregoing.
Statements relating to "reserves" or "resources" are forward-looking statements, as they involve the implied assessment, based on estimates and assumptions, that the reserves and resources described exist in the quantities predicted or estimated, and can be profitably produced in the future.
The forward-looking statements are subject to known and unknown risks and uncertainties and other factors which may cause actual results, levels of activity and achievements to differ materially from those expressed or implied by such statements. Such factors include, among others:
* market prices for oil and gas and chemical products;
* the results of exploration and development drilling and related activities;
* our ability to explore, develop, produce and transport crude oil and natural gas to markets;
* volatility in energy trading markets;
* economic conditions in the countries and regions in which we carry on business;
* foreign-currency exchange rates;
* governmental actions including changes to taxes or royalties, changes in environment and other laws and regulations;
* results of litigation, arbitration or regulatory proceedings; and
* renegotiations of contracts;
* political uncertainty, including actions by terrorists, insurgent or other groups, or other armed conflict, including conflict between states.
These risks, uncertainties and other factors and their possible impact are discussed more fully in the sections titled Risk Factors in Item 1A and Quantitative and Qualitative Disclosures About Market Risk in Item 7A of our 2008 Form 10-K. The impact of any one risk, uncertainty or factor on a particular forward-looking statement is not determinable with certainty as these factors are interdependent, and management's future course of action would depend on an assessment of all information at that time.
Although we believe that the expectations conveyed by the forward-looking statements are reasonable based on information available to us on the date such forward-looking statements were made, no assurances can be given as to future results, levels of activity and achievements. Undue reliance should not be placed on the statements contained herein, which are made as of the date hereof and, except as required by law, we undertake no obligation to update publicly or revise any forward-looking statements, whether as a result of new information, future events or otherwise. The forward-looking statements contained herein are expressly qualified by this cautionary statement.
Nexen Inc. Unaudited Consolidated Statement of Income For the Three Months Ended March 31
See accompanying notes to the Unaudited Consolidated Financial Statements.
Nexen Inc. Unaudited Consolidated Balance Sheet
See accompanying notes to the Unaudited Consolidated Financial Statements.
Nexen Inc. Unaudited Consolidated Statement of Cash Flows
For the Three Months Ended March 31
Cash and cash equivalents at March 31, 2009 consists of cash of $182 million and short-term investments of $1,872 million (December 31, 2008 – cash of $355 million and short-term investments of $1,648 million).
See accompanying notes to the Unaudited Consolidated Financial Statements.
Unaudited Consolidated Statement of Shareholders' Equity
Nexen Inc. For the Three Months Ended March 31
(Cdn$ millions)
Nexen Inc. Unaudited Consolidated Statement of Comprehensive Income For the Three Months Ended March 31
(Cdn$ millions)
1 Net of income tax recovery for the three months ended March 31, 2009 of $24 million (2008 – net of income tax recovery of $23 million).
See accompanying notes to the Unaudited Consolidated Financial Statements.
Nexen Inc.
Notes to Unaudited Consolidated Financial Statements
Cdn$ millions, except as noted
1. ACCOUNTING POLICIES
Our Unaudited Consolidated Financial Statements are prepared in accordance with Canadian Generally Accepted Accounting Principles (GAAP). The impact of significant differences between Canadian and United States GAAP on the Unaudited Consolidated Financial Statements is disclosed in Note 20. In the opinion of management, the Unaudited Consolidated Financial Statements contain all adjustments of a normal and recurring nature necessary to present fairly Nexen Inc.'s (Nexen, we or our) financial position at March 31, 2009 and December 31, 2008 and the results of our operations and our cash flows for the three months ended March 31, 2009 and 2008.
We make estimates and assumptions that affect the reported amounts of assets and liabilities and disclosure of contingent assets and liabilities at the date of the Unaudited Consolidated Financial Statements, and revenues and expenses during the reporting period. Our management reviews these estimates on an ongoing basis, including those related to accruals, litigation, environmental and asset retirement obligations, recoverability of assets, income taxes, fair values of derivative assets and liabilities, capital adequacy and determination of proved reserves. Changes in facts and circumstances may result in revised estimates and actual results may differ from these estimates. The results of operations and cash flows for the three months ended March 31, 2009 are not necessarily indicative of the results of operations or cash flows to be expected for the year ending December 31, 2009.
These Unaudited Consolidated Financial Statements should be read in conjunction with our Audited Consolidated Financial Statements included in our 2008 Form 10-K. Except as described below, the accounting policies we follow are described in Note 1 of the Audited Consolidated Financial Statements included in our 2008 Form 10-K.
In February 2008, the Canadian Accounting Standards Board (AcSB) confirmed that all Canadian publicly accountable enterprises will be required to adopt International Financial Reporting Standards (IFRS) for interim and annual reporting purposes for fiscal years beginning on or after January 1, 2011. We are currently assessing the impact of the convergence of Canadian GAAP with IFRS on our results of operations, financial position and disclosures. A project team has been set up to manage this transition and to ensure successful implementation within the required timeframe.
Change in Accounting Policies
Goodwill and Intangible Assets
On January 1, 2009, we retrospectively adopted the Canadian Institute of Chartered Accountants (CICA) Section 3064, Goodwill and Intangible Assets issued by the AcSB. This section clarifies the criteria for the recognition of assets, intangible assets and internally developed intangible assets. Adoption of this standard did not have a material impact on our results of operations or financial position.
Business Combinations
On January 1, 2009, we prospectively adopted CICA Section 1582, Business Combinations issued by the AcSB. This section establishes principles and requirements of the acquisition method for business combinations and related disclosures. Adoption of this statement did not have a material impact on our results of operations or financial position.
Consolidated Financial Statements and Non-Controlling Interests
On January 1, 2009, we adopted CICA Sections 1601, Consolidated Financial Statements, and 1602, Non-Controlling Interests issued by the AcSB. Section 1601 establishes standards for the preparation of consolidated financial statements. Section 1602 provides guidance on accounting for non-controlling interests in consolidated financial statements subsequent to a business combination. Adoption of this statement did not have a material impact on our results of operations or financial position. The retrospective presentation changes have been included in the Unaudited Consolidated Financial Statements as applicable.
2. RESTRICTED CASH
At March 31, 2009, our restricted cash consists of margin deposits of $426 million (December 31, 2008 – $103 million) related to exchange-traded derivative financial contracts used by our energy marketing group to hedge other derivative contracts such as physical purchase and sale commodity contracts. Certain exchanges require that we maintain margin for open derivative financial contracts. The margin requirements change daily to reflect the number of outstanding contracts and the change in net mark-to-market gains and losses on those contracts. During the quarter, a portion of the gains were settled resulting in an increase in margin requirements to cover unsettled but previously recognized losses. Additional margin was required to cover net losses recognized during the quarter on derivative financial contracts which economically hedge markto-market gains on our physical positions.
3. ACCOUNTS RECEIVABLE
March 31
December 31
4. INVENTORIES AND SUPPLIES
5. SUSPENDED EXPLORATION WELL COSTS
The following table shows the changes in capitalized exploratory well costs during the three months ended March 31, 2009 and the year ended December 31, 2008, and does not include amounts that were initially capitalized and subsequently expensed in the same period.
The following table provides an aging of capitalized exploratory well costs based on the date drilling was completed and shows the number of projects for which exploratory well costs have been capitalized for a period greater than one year after the completion of drilling.
As at March 31, 2009, we have exploratory costs that have been capitalized for more than one year relating to our interests in three exploratory blocks in the Gulf of Mexico ($140 million), certain coalbed methane and shale gas exploratory activities in Canada ($79 million), four exploratory blocks in the North Sea ($78 million), and our interest in an exploratory block offshore Nigeria ($23 million). These costs relate to projects with exploration wells for which we have not been able to record proved reserves. We are assessing all of these wells and projects, and are working with our partners to prepare development plans, drill additional appraisal wells or to assess commercial viability.
6. DEFERRED CHARGES AND OTHER ASSETS
1 The crude oil put options were reclassified to other current assets as they settle within 12 months.
7. FINANCIAL INSTRUMENTS
Financial instruments carried at fair value on our balance sheet include cash and cash equivalents, restricted cash and derivatives used for trading and non-trading purposes. Our other financial instruments, including accounts receivable, accounts payable, accrued interest payable, dividends payable, short-term borrowings and long-term debt, are carried at cost or amortized cost. The carrying value of our short-term receivables and payables approximates their fair value because the instruments are near maturity.
In our Energy Marketing group, we enter into contracts to purchase and sell crude oil, natural gas and other energy commodities, and use derivative contracts, including futures, forwards, swaps and options, for hedging and trading purposes (collectively derivatives). We also use derivatives to manage commodity price risk and foreign currency risk for non-trading purposes. We categorize our derivative instruments as trading or non-trading activities and carry the instruments at fair value on our balance sheet. The derivatives section below details our derivatives and fair values as at March 31, 2009. The fair values are included with accounts receivable or payable and are classified as long-term or short-term based on anticipated settlement date. Any change in fair value is included in marketing and other income.
We carry our long-term debt at amortized cost using the effective interest rate method. At March 31, 2009, the estimated fair value of our long-term debt was $6,595 million (December 31, 2008 – $5,686 million) as compared to the carrying value of $7,791 million (December 31, 2008 – $6,578 million). The fair value of long-term debt is estimated based on prices provided by quoted markets and third-party brokers.
Derivatives
(a) Total carrying value of derivative contracts related to trading activities
Our energy marketing group engages in various activities including the purchase and sale of physical commodities and the use of financial instruments such as commodity and foreign exchange futures, forwards and swaps to generate revenue and economically hedge exposures. These contracts are accounted for as derivatives and, where applicable, are presented net on the balance sheet in accordance with netting arrangements. The fair value and carrying amounts related to derivative instruments held by our energy marketing operations are as follows:
1 These derivative contracts settle beyond 12 months and are considered non-current.
Excluding the impact of netting arrangements, the gross fair value of derivative instruments is as follows:
Trading revenues generated by our energy marketing group include gains and losses on derivative instruments and nonderivative instruments such as physical inventory. During the three months ended March 31, 2009, the following trading revenues were recognized in marketing and other income:
Three Months Ended March 31
As an energy marketer, we may undertake several transactions during a period to execute a single sale of physical product. Each transaction may be represented by one or more derivative instruments including a physical buy, physical sell, and in many cases, numerous financial instruments for economically hedging and trading purposes. The absolute notional volumes associated with our derivative instrument transactions are as follows:
Three Months
Ended March 31
2009
(b) Total carrying value of derivative contracts related to non-trading activities
The fair value and carrying amounts of derivative instruments related to non-trading activities are as follows:
1 These derivative contracts settle beyond 12 months and are considered non-current.
2 The net fair value of these derivatives is equal to the gross fair value before consideration of netting arrangements and collateral posted or received with counterparties.
Crude oil put options
In 2008, we purchased put options on approximately 70,000 bbls/d of our 2009 crude oil production for $14 million. These options establish an annual average Dated Brent floor price of US$60/bbl on these volumes. In September 2008, Lehman Brothers filed for bankruptcy protection. This impacts approximately 25,000 bbls/d of our 2009 put options and the carrying value of these put options has been reduced to nil. The crude oil put options are carried at fair value and are classified as longterm or short-term based on their anticipated settlement date. Fair value of the put options is supported by multiple quotes obtained from third party brokers, which were validated with observable market data to the extent possible. The decrease in fair value of the crude oil put options of $16 million is included in marketing and other income for the three months ended March 31, 2009.
Fixed-price natural gas contracts and natural gas swaps
We have fixed-price natural gas sales contracts and offsetting natural gas swaps that are not part of our trading activities. These sales contracts and swaps are carried at fair value and are classified as long-term or short-term based on their anticipated settlement date. The decrease in fair value of the fixed price natural gas contracts and natural gas swaps of $8 million is included in marketing and other income for the three months ended March 31, 2009.
(c) Fair value of derivatives
Our processes for estimating and classifying the fair value of our derivative contracts are consistent with those in place at December 31, 2008. The following table includes our derivatives that are carried at fair value for our trading and non-trading activities as at March 31, 2009. Financial assets and liabilities are classified in the fair value hierarchy in their entirety based on the lowest level of input that is significant to the fair value measurement. Assessment of the significance of a particular input to the fair value measurement requires judgment and may affect placement within the fair value hierarchy levels.
A reconciliation of changes in the fair value of our derivatives classified as Level 3 for the three months ended March 31, 2009 is provided below:
Level 3
Trading derivatives classified in Level 3 are generally economically hedged such that gains or losses on positions classified in Level 3 are often offset by gains or losses on positions classified in Level 1 or 2. Transfers into or out of Level 3 represent existing assets and liabilities that were either previously categorized as a higher level for which the inputs became unobservable or assets and liabilities that were previously classified as Level 3 for which the lowest significant input became observable during the period.
8. RISK MANAGEMENT
(a) Market Risk
We invest in significant capital projects, purchase and sell commodities, issue short-term borrowings and long-term debt, and invest in foreign operations. These activities expose us to market risks from changes in commodity prices, foreign exchange rates and interest rates, which affect our earnings and the value of the financial instruments we hold. We use derivatives for trading and non-trading purposes as part of our overall risk management policy to manage these market exposures.
The following market risk discussion focuses on the commodity price risk and foreign currency risk related to our financial instruments as our exposure to interest rate risk is immaterial.
Commodity price risk
We are exposed to commodity price movements as part of our normal oil and gas operations, particularly in relation to the prices received for our crude oil and natural gas. Commodity price risk related to conventional and synthetic crude oil prices is our most significant market risk exposure. Crude oil and natural gas are sensitive to numerous worldwide factors, many of which are beyond our control, and are generally sold at contract or posted prices. Changes in the global supply and demand fundamentals in the crude oil market and geopolitical events can significantly affect crude oil prices. Changes in crude oil and natural gas prices may significantly affect our results of operations and cash generated from operating activities. Consequently, these changes may also affect the value of our oil and gas properties, our level of spending for exploration and development, and our ability to meet our obligations as they come due.
The majority of our oil and gas production is sold under short-term contracts, exposing us to the risk of price movements. Other energy contracts we enter into also expose us to commodity price risk between the times we purchase and sell contracted volumes. We periodically manage these risks by using derivative contracts such as commodity put options.
Our energy marketing business is focused on providing services for our customers and suppliers to meet their energy commodity needs. We market and trade physical energy commodities including crude oil, natural gas, electricity and other commodities in selected regions of the world. We accomplish this by buying and selling physical commodities, by acquiring and holding rights to physical transportation and storage assets for these commodities, and by building strong relationships with our customers and suppliers.
In order to manage the commodity and foreign exchange price risks that come from this physical business, we use financial derivative contracts including energy-related futures, forwards, swaps and options, as well as currency swaps or forwards.
We also seek to profit from our views on the future movement of energy commodity pricing relationships, primarily between different locations, time periods or qualities. We do this by holding open positions, where the terms of physical or financial contracts are not completely matched to offsetting positions. We may also carry exposures to the absolute change in commodity prices based on our market views or as a consequence of managing our physical and financial positions on a daily basis.
Our risk management activities make use of tools such as Value-at-Risk (VaR) and stress testing consistent with December 31, 2008. Our period end, high, low and average VaR amounts for the three months ended March 31, 2009 and year ended December 31 are as follows:
If market shocks occurred as in 2008, the key assumptions underlying our VaR estimate could be exceeded and the potential loss could be greater than our estimate. We perform stress tests on a regular basis to compliment VaR and assess the impact of non-normal changes in prices on our positions.
Foreign currency risk
Foreign currency risk is created by fluctuations in the fair values or cash flows of financial instruments due to changes in foreign exchange rates. A substantial portion of our activities are transacted in or referenced to US dollars including:
* sales of crude oil, natural gas and certain chemicals products;
* commodity derivative contracts used primarily by our energy marketing group; and
* capital spending and expenses for our oil and gas, Syncrude and chemicals operations;
* short-term borrowings and long-term debt.
In our oil and gas operations, we manage our exposure to fluctuations between the US and Canadian dollar by matching our expected net cash flows and borrowings in the same currency. Net revenue from our foreign operations and our US-dollar borrowings are generally used to fund US-dollar capital expenditures and debt repayments. We maintain revolving Canadian and US-dollar borrowing facilities that can be used or repaid depending on expected new cash flows. We designate a portion of our US-dollar borrowings as a hedge against our US-dollar net investment in self sustaining foreign operations.
The effective portion of the foreign exchange gains or losses related to our designated debt are included in accumulated other comprehensive income in shareholders' equity. Our net investment in self-sustaining foreign operations and our designated US-dollar debt at March 31, 2009 and December 31, 2008 are as follows:
At March 31, 2009, the ineffective portion of the foreign exchange gains and losses was $16 million ($14 million net of income tax expense) and is included in marketing and other income.
At March 31, 2009, we had US$6,240 million of long-term debt issued in US dollars and a one cent change in the US dollar to Canadian dollar exchange rate would increase or decrease our accumulated other comprehensive income by approximately $53 million, before income tax.
We also have exposures to currencies other than the US dollar including a portion of our UK operating expenses, capital spending and future asset retirement obligations which are denominated in British Pounds and Euros. We do not have any material exposure to highly inflationary foreign currencies. In our energy marketing group, we enter into transactions in various currencies including Canadian and US dollars, British Pounds and Euros. We may actively manage significant currency exposures using forward contracts and swaps.
(b) Credit Risk
Credit risk affects both our trading and non-trading activities and is the risk of loss if counterparties do not fulfill their contractual obligations. Most of our credit exposure is with counterparties in the energy industry, including integrated oil companies, refiners and utilities, and are subject to normal industry credit risk. Approximately 85% of our exposure is with these large energy companies. This concentration of risk within the energy industry is reduced because of our broad base of domestic and international counterparties. Our processes to manage this risk are consistent with those in place at December 31, 2008.
At March 31, 2009, only one counterparty individually made up more than 10% of our credit exposure. This counterparty is a major integrated oil company with a strong investment grade credit rating. No other counterparties made up more than 5% of our credit exposure. The following table illustrates the composition of credit exposure by credit rating.
March 31
December 31
Our maximum counterparty credit exposure at the balance sheet date consists primarily of the carrying amounts on nonderivative financial assets such as cash and cash equivalents, accounts receivable, as well as the fair value of derivative financial assets. We provided an allowance of $68 million for credit risk with our counterparties. In addition, we incorporate the credit risk associated with counterparty default, as well as Nexen's own credit risk, into our estimates of fair value.
Collateral received from customers at March 31, 2009 includes $91 million of cash and $129 million of letters of credit. The cash received reflects customer deposits that are included in accounts payable and accrued liabilities.
(c) Liquidity Risk
Liquidity risk is the risk that we will not be able to meet our financial obligations as they fall due. We require liquidity specifically to fund capital requirements, satisfy financial obligations as they become due, and to operate in our energy marketing business. We generally rely on operating cash flows to provide liquidity and we also maintain significant undrawn committed credit facilities. At March 31, 2009, we had approximately $3.3 billion of cash and available committed lines of credit. This includes $2.1 billion of cash and cash equivalents on hand. In addition, we have undrawn term credit facilities of $1.6 billion, of which $438 million was supporting letters of credit at March 31, 2009. These facilities are available until 2012. We also have $584 million of undrawn, uncommitted credit facilities, of which $81 million was supporting letters of credit at March 31, 2009.
The following table details the contractual maturities for our non-derivative financial liabilities, including both the principal and interest cash flows at March 31, 2009:
1 Excludes interest on term credit facilities of $3.9 billion and Canexus term credit facilities of $430 million as the amounts drawn on the facilities fluctuate. Based on amounts drawn at March 31, 2009 and existing variable interest rates, we would be required to pay $30 million per year until the outstanding amounts on the term credit facilities are repaid.
The following table details contractual maturities for our derivative financial liabilities. The balance sheet amounts for derivative financial liabilities included below are not materially different from the contractual amounts due on maturity.
The commercial agreements our energy marketing group enter into often include financial assurance provisions that allow us and our counterparties to effectively manage credit risk. The agreements normally require collateral to be posted if an adverse credit-related event occurs, such as a drop in credit rating. Based on contracts in place and commodity prices at March 31, 2009, we could be required to post collateral of up to $1.2 billion if we were downgraded to non-investment grade. This represents the maximum amount of collateral that we would be required to post assuming a severe event that causes all rating agencies to simultaneously downgrade us. This amount includes trade payables of $851 million and derivative contracts with a fair value of $377 million. All of these obligations are included on our March 31, 2009 balance sheet. In the event of a ratings downgrade, we could monetize our trading inventories and receivables and draw on our existing credit facilities to meet our collateral obligations.
At March 31, 2009, collateral posted with counterparties includes $24 million of cash and $313 million of letters of credit related to our trading activities. Cash posted is included with our accounts receivable. Cash collateral is not normally applied to contract settlement. Once a contract has been settled, the collateral amounts are refunded. If there is a default, the cash is retained.
Our exchange-traded derivative contracts are also subject to margin requirements. We have margin deposits of $426 million (December 31, 2008 – $103 million), which have been included in restricted cash.
9. ACCOUNTS PAYABLE AND ACCRUED LIABILITIES
10. SHORT-TERM BORROWINGS AND LONG-TERM DEBT
(a) Canexus term credit facilities
Canexus has $430 million (US $341 million) of committed, secured term credit facilities available until 2011. At March 31, 2009, $240 million (US$190 million) was drawn on these facilities (December 31, 2008 – $223 million (US$182 million)). Borrowings are available as Canadian bankers' acceptances, LIBOR-based loans, Canadian prime rate loans or US-dollar base rate loans. Interest is payable monthly at floating rates. The term credit facilities are secured by a floating charge debenture over all of Canexus' assets. The credit facility also contains covenants with respect to certain financial ratios of Canexus. The weighted-average interest rate on the Canexus term credit facilities was 2.7% for the three months ended March 31, 2009 (Three months ended March 31, 2008 – 4.4%).
(b) Term credit facilities
We have unsecured term credit facilities of $3.9 billion (US$3.1 billion) available until 2012. At March 31, 2009, $2.3 billion (US$1.8 billion) was drawn on these facilities (December 31, 2008 – $1.2 billion (US$1 billion)). Borrowings are available as Canadian bankers' acceptances, LIBOR-based loans, Canadian prime rate loans, US-dollar base rate loans or British pound call-rate loans. Interest is payable at floating rates. The weighted-average interest rate on our term credit facilities was 1.1% for the three months ended March 31, 2009 (Three months ended March 31, 2008 – 3.9%). At March 31, 2009, $438 million (US$348 million) of these facilities were utilized to support outstanding letters of credit (December 31, 2008 – $381 million (US$311 million)).
(c) Interest expense
Three Months Ended March 31
Capitalized interest relates to and is included as part of the cost of our oil and gas and Syncrude properties. The capitalization rates are based on our weighted-average cost of borrowings.
(d) Short-term borrowings
Nexen has uncommitted, unsecured credit facilities of approximately $584 million (US$463 million), none of which were drawn at March 31, 2009 (December 31, 2008 – nil). We utilized $81 million (US$64 million) of these facilities to support outstanding letters of credit at March 31, 2009 (December 31, 2008 – $29 million (US$24 million)). Interest is payable at floating rates. The weighted-average interest rate on our short-term borrowings was 2.3% for the three months ended March 31, 2009 (Three months ended March 31, 2008 – 4.3%).
11. CAPITAL MANAGEMENT
Our objectives and processes for managing our capital structure are consistent with those in place at December 31, 2008. Our capital consists of shareholders' equity, short-term borrowings, long-term debt and cash and cash equivalents as follows:
1 Includes all of our borrowings and is calculated as long-term debt and short-term borrowings less cash and cash equivalents.
We monitor the leverage in our capital structure by reviewing the ratio of net debt to cash flow from operating activities and interest coverage ratios at various commodity prices.
We use the ratio of net debt to cash flow from operating activities as a key indicator of our leverage and to monitor the strength of our balance sheet. Net debt is a non-GAAP measure that does not have any standard meaning prescribed by GAAP and is therefore unlikely to be comparable to similar measures presented by others. We calculate net debt using the GAAP measures of long-term debt and short-term borrowings less cash and cash equivalents (excluding restricted cash).
For the twelve months ended March 31, 2009, our net debt to cash flow from operating activities ratio was 1.4 times compared to 1.1 times at December 31, 2008. While we typically expect the target ratio to fluctuate between 1.0 and 2.0 times under normalized commodity prices, this can be higher when we identify strategic opportunities requiring additional investment. Whenever we exceed our target ratio, we develop a strategy to reduce our leverage and lower this ratio back to target levels over time.
Our interest coverage ratio monitors our ability to fund the interest requirements associated with our debt. Our interest coverage was 12.8 times at March 31, 2009 (December 31, 2008 – 15.6 times). Interest coverage is calculated by dividing our twelve-month trailing adjusted earnings before interest, taxes, DD&A (Adjusted EBITDA) by interest expense before capitalized interest. Adjusted EBITDA is a non-GAAP measure which is calculated using net income excluding interest expense, provision for income taxes, exploration expenses, DD&A, impairment and other non-cash expenses. The calculation of Adjusted EBITDA is set out in the following table and is unlikely to be comparable to similar measures presented by others.
12. ASSET RETIREMENT OBLIGATIONS
Changes in carrying amounts of the asset retirement obligations associated with our PP&E are as follows:
1 Obligations due within 12 months of $35 million (December 31, 2008 – $35 million) have been included in accounts payable and accrued liabilities.
2 Obligations relating to our oil and gas activities amount to $1,018 million (December 31, 2008 – $1,009 million) and obligations relating to our chemicals business amount to $50 million (December 31, 2008 – $50 million).
Our total estimated undiscounted inflated asset retirement obligations amount to $2,424 million (December 31, 2008 – $2,393 million). We have discounted the total estimated asset retirement obligations using a weighted-average, credit-adjusted, riskfree rate of 5.9%. Approximately $421 million included in our asset retirement obligations is expected to be settled over the next five years. The remaining obligations settle beyond five years and will be funded by future cash flows from our operations.
13. DEFERRED CREDITS AND OTHER LIABILITIES
14. SHAREHOLDERS' EQUITY
Dividends
Dividends per common share for the three months ended March 31, 2009 were $0.05 per common share (2008 – $0.025). Dividends paid to holders of common shares have been designated as "eligible dividends" for Canadian tax purposes.
15. MARKETING AND OTHER INCOME
16. EARNINGS PER COMMON SHARE
We calculate basic earnings per common share using net income divided by the weighted-average number of common shares outstanding. We calculate diluted earnings per common share in the same manner as basic, except we use the weightedaverage number of diluted common shares outstanding in the denominator.
In calculating the weighted-average number of diluted common shares outstanding for the three months ended March 31, 2009, we excluded 17,243,309 tandem options because their exercise price was greater than the average common share market price in the period. In calculating the weighted-average number of diluted common shares outstanding for the three months ended March 31, 2008, we excluded 4,103,560 tandem options, because their exercise price was greater than the average common share market price in the period. During the periods presented, outstanding tandem options were the only potential dilutive instruments.
17. COMMITMENTS, CONTINGENCIES AND GUARANTEES
As described in Note 16 to the Audited Consolidated Financial Statements included in our 2008 Form 10-K, there are a number of lawsuits and claims pending, the ultimate results of which cannot be ascertained at this time. We record costs as they are incurred or become determinable. We continue to believe the resolution of these matters would not have a material adverse effect on our liquidity, consolidated financial position or results of operations. There have been no significant developments since year end.
18. CASH FLOWS
(a) Charges and credits to income not involving cash
Three Months
Ended March 31
(b) Changes in non-cash working capital
Interest Paid
Three Months
Ended March 31
(c) Other cash flow information
Three Months
Ended March 31
2009
2008
81
66
Income Taxes Paid
34
85
Cash flow from other operating activities includes cash outflows related to geological and geophysical expenditures of $12 million for the three months ended March 31, 2009 (2008 – $10 million).
19. OPERATING SEGMENTS AND RELATED INFORMATION
Nexen is involved in activities relating to Oil and Gas, Energy Marketing, Syncrude and Chemicals in various geographic locations as described in Note 22 to the Audited Consolidated Financial Statements included in our 2008 Form 10-K.
Three months ended March 31, 2009
1 Includes results of operations from producing activities in Colombia.
3 Includes exploration activities primarily in Norway and Colombia.
2 Includes interest income of $2 million, foreign exchange gains of $19 million, decrease in the fair value of crude oil put options of $16 million and other losses of $15 million.
4 Includes costs of $5,658 million related to our insitu oil sands (Long Lake and future phases).
5 Approximately 77% of Marketing's identifiable assets are accounts receivable and inventories.
Three months ended March 31, 2008
Corporate
1 Includes results of operations from producing activities in Colombia.
3 Includes severance accrual of $7 million in connection with North Vancouver technology conversion project.
2 Includes interest income of $10 million, foreign exchange gains of $5 million and other losses of $3 million.
4 Includes recovery of stock-based compensation expense of $41 million.
6 Includes costs of $4,003 million related to our insitu oil sands (Long Lake and future phases).
5 Includes exploration activities primarily in Nigeria, Norway and Colombia.
7 Approximately 83% of Marketing's identifiable assets are accounts receivable and inventories.
20. DIFFERENCES BETWEEN CANADIAN AND US GENERALLY ACCEPTED ACCOUNTING PRINCIPLES
The Unaudited Consolidated Financial Statements have been prepared in accordance with Canadian GAAP. The US GAAP Unaudited Consolidated Statements and summaries of differences from Canadian GAAP are as follows:
Unaudited Consolidated Statement of Income – US GAAP For the Three Months Ended March 31
Reconciliation of Canadian and US GAAP Net Income
Three Months
Ended March 31
Unaudited Consolidated Balance Sheet – US GAAP
Unaudited Consolidated Statement of Comprehensive Income – US GAAP For the Three Months Ended March 31
(Cdn$ millions)
Net Income – US GAAP
Other Comprehensive Income (Loss), Net of Income Taxes:
Foreign Currency Translation Adjustment
Comprehensive Income
2009
156
6
162
2008
617
(27)
Unaudited Consolidated Statement of Accumulated Other Comprehensive Loss – US GAAP
Notes to the Unaudited Consolidated US GAAP Financial Statements:
i. Under Canadian GAAP, we defer certain development costs to PP&E. Under US principles, these costs have been included in operating expenses. As a result property, plant and equipment is lower under US GAAP by $30 million (December 31, 2008 – $30 million).
ii. US GAAP requires the recognition of the over-funded and under-funded status of a defined benefit plan on the balance sheet as an asset or liability. At March 31, 2009, the unfunded amount of our defined benefit pension plans that was not included in the Pension Liability under Canadian GAAP was $104 million. This amount has been included in deferred credits and other liabilities and $75 million, net of income taxes, has been included in AOCI.
iii. On January 1, 2003, we adopted FASB Statement 143, Accounting for Asset Retirement Obligations (FAS 143) for US GAAP reporting purposes. We adopted the equivalent Canadian standard for asset retirement obligations on January 1, 2004. These standards are consistent except for the adoption date which results in our property, plant and equipment under US GAAP being lower by $19 million.
iv. Under Canadian principles, we record obligations for liability-based stock compensation plans using the intrinsic-value method of accounting. Under US principles, obligations for liability-based stock compensation plans are recorded using the fair-value method of accounting. In addition, under Canadian principles, we retroactively adopted EIC-162 which requires the accelerated recognition of stock-based compensation expense for all stock-based awards made to our retired and retirement-eligible employees. However, US GAAP requires the accelerated recognition of stock-based compensation expense for such employees for awards granted on or after January 1, 2006. As a result:
* general and administrative expense is higher by $8 million ($6 million, net of income taxes) for the three months ended March 31, 2009, (2008 – higher by $7 million ($5 million, net of income taxes)); and
* accounts payable and accrued liabilities are higher by $66 million as at March 31, 2009 (December 31, 2008 – $58 million).
v. Under US GAAP, asset disposition gains and losses are included with transportation and other expense. Gains of $7 million for the three months ended March 31, 2009 were reclassified from marketing and other income to transportation and other expense (no gains were reclassified for the three months ended March 31, 2008).
vi. Under Canadian GAAP, we began carrying our commodity inventory held for trading purposes at fair value, less any costs to sell, effective October 31, 2007. Under US GAAP, we are required to carry this inventory at the lower of cost or net realizable value. As a result:
* marketing and other income is higher by $42 million ($27 million, net of income taxes) for the three months ended March 31, 2009, respectively (2008 – lower by $16 million ($7 million, net of income taxes)); and
* inventories are lower by $16 million as at March 31, 2009 (December 31, 2008 – lower by $58 million).
vii. On January 1, 2007, we adopted FASB Interpretation 48, Accounting for Uncertainty in Income Taxes (FIN 48) regarding accounting and disclosure for uncertain tax positions. On the adoption of FIN 48, we recorded a cumulative effect of a change in accounting principle of $28 million. This amount increased our deferred income tax liabilities, and decreased our retained earnings as at January 1, 2007 in our US GAAP – Unaudited Consolidated Balance Sheet.
As at March 31, 2009, the total amount of our unrecognized tax benefit was approximately $235 million, all of which, if recognized, would affect our effective tax rate. To the extent interest and penalties may be assessed by taxing authorities on any underpayment of income tax, such amounts have been accrued and are classified as a component of income taxes in the Unaudited Consolidated Statement of Income. As at March 31, 2009, the total amount of interest and penalties related to uncertain tax positions recognized in deferred income tax liabilities in the US GAAP – Unaudited Consolidated Balance Sheet was approximately $8 million. We had no interest or penalties included in the US GAAP – Consolidated Statement of Income for the three months ended March 31, 2009.
Our income tax filings are subject to audit by taxation authorities and as at March 31, 2009 the following tax years remained subject to examination, (i) Canada – 1985 to date (ii) United Kingdom – 2007 to date and (iii) United States – 2005 to date. We do not anticipate any material changes to the unrecognized tax benefits previously disclosed within the next 12 months.
Changes in Accounting Policies – US GAAP
Business Combinations
On January 1, 2009, we prospectively adopted Financial Accounting Standards Board (FASB) Statement 141 (revised), Business Combinations. Statement 141 establishes principles and requirements of the acquisition method for business combinations and related disclosures. The adoption of this statement did not impact our results of operations or financial position.
Non-Controlling Interests
On January 1, 2009, we prospectively adopted Statement 160, Non-controlling Interests in Consolidated Financial Statements. This statement clarifies that a non-controlling interest in a subsidiary is an ownership interest in the consolidated entity that should be reported as equity in the consolidated financial statements. The adoption of this statement did not have a material impact on our results of operations or financial position. The presentation changes have been included in the Consolidated Financial Statements, as applicable.
Derivative and Hedging Disclosures
On January 1, 2009, we prospectively adopted Statement 161, Disclosures about Derivative Instruments and Hedging Activities. The statement requires qualitative disclosures about the objectives and strategies for using derivatives, quantitative data about the fair value of gains and losses on derivative contracts and details of credit-risk-related contingent features in their hedged position. The statement also requires the disclosure of the location and amounts of derivative instruments in the financial statements. The disclosures required by this standard are provided in Notes 7 and 8.
New Accounting Pronouncements – US GAAP
In December 2008, FASB issued FSP FAS 132(R) -1, Employers Disclosures about Postretirement Benefit Plan Assets. This position provides guidance on disclosures about plan assets of a defined benefit pension or other postretirement plans. This position is effective for fiscal years ending after December 15, 2009. We do not expect the adoption of this statement to materially impact our results of operations or financial position.
In April 2009, FASB issued three final staff positions to improve guidance and disclosures on fair value measurement and impairments. The positions clarify fair value accounting specifically regarding: inactive markets and distressed transactions; other-than-temporary impairments; and expanded fair value disclosures for financial instruments in interim periods. These positions are effective for interim and annual periods ending after June 15, 2009, with early adoption permitted for periods ending after March 15, 2009. We do not expect the adoption of these positions to have a material impact on our results of operation or financial position.
Nexen Inc. Oil and Gas Prices and Cash Netback
| (all dollar amounts in Cdn$ unless noted) 1st | 1st 2nd 3rd 4th | 2008 |
|---|---|---|
| PRICES: WTI Crude Oil (US$/bbl) 43.08 Nexen Average – Oil (Cdn$/bbl) 50.41 NYMEX Natural Gas (US$/mmbtu) 4.48 Nexen Average – Gas (Cdn$/mcf) 5.11 | 97.90 123.98 117.98 58.73 99.65 93.00 118.00 115.56 59.90 96.92 8.75 11.48 8.95 6.41 8.90 7.97 10.21 8.65 6.34 8.44 | |
| NETBACKS: Canada – Heavy Oil Sales (mbbls/d) 15.4 Price Received ($/bbl) 35.35 Royalties & Other 6.86 Operating Costs 15.42 | 16.2 16.4 16.0 16.2 16.2 65.94 93.16 97.91 41.14 74.51 16.65 22.61 24.24 8.81 18.07 15.76 17.17 16.99 16.69 16.66 | |
| Netback 13.07 | 33.53 53.38 56.68 15.64 39.78 | |
| Canada – Natural Gas Sales (mmcf/d) 137 Price Received ($/mcf) 4.75 Royalties & Other 0.59 Operating Costs 1.54 | 127 126 133 138 131 7.57 9.67 8.00 6.06 7.73 1.18 1.53 1.52 1.07 1.32 1.67 1.84 1.84 1.66 1.75 | |
| Netback 2.62 | 4.72 6.30 4.64 3.33 4.66 | |
| Yemen Sales (mbbls/d) 54.7 Price Received ($/bbl) 52.30 Royalties & Other 19.43 Operating Costs 9.62 In-country Taxes 4.92 | 62.5 57.4 54.2 51.7 56.4 96.57 120.39 115.92 64.48 99.87 48.07 59.21 52.47 26.33 46.94 7.76 8.80 7.82 9.80 8.51 11.82 17.45 16.11 7.60 13.31 | |
| Netback 18.33 | 28.92 34.93 39.52 20.75 31.11 | |
| Syncrude Sales (mbbls/d) 19.8 Price Received ($/bbl) 55.48 Royalties & Other 0.40 Operating Costs 36.95 | 19.3 19.1 22.9 22.3 20.9 101.70 130.90 126.56 65.48 105.47 11.93 22.08 21.89 4.97 15.11 35.16 45.09 32.40 34.67 36.53 | |
| Netback 18.13 | 54.61 63.73 72.27 25.84 53.83 | |
1 Defined as average sales price less royalties and other, operating costs, and in-country taxes in Yemen.
Nexen Inc. Oil and Gas Cash Netback 1 (continued)
| (all dollar amounts in Cdn$ unless noted) 1st | 1st 2nd 3rd 4th | 2008 |
|---|---|---|
| United States Crude Oil: Sales (mbbls/d) 10.4 Price Received ($/bbl) 46.27 Natural Gas: Sales (mmcf/d) 50 Price Received ($/mcf) 5.93 Total Sales Volume (mboe/d) 18.8 Price Received ($/boe) 41.50 Royalties & Other 4.52 Operating Costs 13.79 | 13.7 11.3 8.5 3.8 9.3 94.07 120.77 122.46 58.43 104.94 112 99 70 31 78 9.03 11.80 10.14 8.09 10.07 32.4 27.8 20.2 8.9 22.3 71.10 91.08 86.75 52.77 79.02 9.53 12.88 12.30 7.89 11.03 8.20 9.28 15.62 21.58 11.57 | |
| Netback 23.19 | 53.37 68.92 58.83 23.30 56.42 | |
| United Kingdom Crude Oil: Sales (mbbls/d) 100.8 Price Received ($/bbl) 51.60 Natural Gas: Sales (mmcf/d) 21 Price Received ($/mcf) 5.50 Total Sales Volume (mboe/d) 104.3 Price Received ($/boe) 50.97 Operating Costs 5.48 | 108.9 89.0 107.0 96.4 100.3 93.38 118.24 114.89 58.6 96.23 22 24 18 16 20 6.82 7.06 7.53 5.44 6.78 112.6 93.0 110.0 99.0 103.7 91.67 114.95 112.99 57.91 94.45 5.67 7.42 6.71 7.39 6.75 | |
| Netback 45.49 | 86.00 107.53 106.28 50.52 87.70 | |
| Other Countries Sales (mbbls/d) 5.5 Price Received ($/bbl) 41.68 Royalties & Other 3.26 Operating Costs 4.81 | 6.0 5.7 5.7 5.8 5.8 91.85 113.18 120.11 72.43 98.98 7.46 8.95 9.42 5.81 7.88 4.74 4.43 5.14 3.79 4.52 | |
| Netback 33.61 | 79.65 99.80 105.55 62.83 86.58 | |
| Company-Wide Oil and Gas Sales (mboe/d) 241.4 Price Received ($/boe) 47.56 Royalties & Other 5.64 Operating Costs 10.62 In-country Taxes 1.11 | 270.1 240.4 250.9 226.9 247.0 85.90 108.26 106.22 56.94 89.78 14.87 19.92 16.98 8.22 15.06 9.46 11.89 10.90 12.01 11.04 2.74 4.16 3.48 1.73 3.04 | |
| Netback 30.19 | 58.83 72.29 74.86 34.98 60.64 | |
1 Defined as average sales price less royalties and other, operating costs, and in-country taxes in Yemen.
Nexen Inc. Production Volumes (before royalties) 1
Production Volumes (after royalties)
Three Months
Ended March 31
Notes:
2 Considered a mining operation for US reporting purposes.
1 We have presented production volumes before royalties as we measure our performance on this basis consistent with other Canadian oil and gas companies.
Cash Flow from Operations 1
1 Defined as cash flow from operating activities before changes in non-cash working capital and other. We evaluate our performance and that of our business segments based on earnings and cash flow from operations. Cash flow from operations is a non-GAAP term that represents cash generated from operating activities before changes in non-cash working capital and other and excludes items of a non-recurring nature. We consider it a key measure as it demonstrates our ability and the ability of our business segments to generate the cash flow necessary to fund future growth through capital investment and repay debt. Cash flow from operations may not be comparable with the calculation of similar measures for other companies.
2 After in-country cash taxes of $24 million for the three months ended March 31, 2009 (2008 – $67 million).
3 Excludes in-country cash taxes in Yemen.
CORPORATE INFORMATION
OFFICERS
Francis M. Saville, Q.C.
Chair of the Board
Marvin F. Romanow
President and Chief Executive Officer
Kevin J. Reinhart
Senior Vice President and Chief Financial Officer
Laurence Murphy
Executive Vice President,
International Oil and Gas
Gary H. Nieuwenburg
Executive Vice President, Canada
Brian C. Reinsborough
Senior Vice President,
United States Oil and Gas
Tim J. Thomas
Senior Vice President, Canadian Oil and Gas
Randy J. Jahrig
Vice President, Human Resources and Corporate Services
Kim D. McKenzie
Vice President and Chief Information Officer
Eric B. Miller
Vice President, General Counsel and Secretary
Una M. Power
Vice President, Corporate Planning and Business Development
Brendon T. Muller
Controller
J. Michael Backus
Treasurer
Rick C. Beingessner
Assistant Secretary
C. James Cummings
Assistant Secretary
DIRECTORS
William B. Berry
Robert G. Bertram
Dennis G. Flanagan
S. Barry Jackson
Kevin J. Jenkins
The Hon. A. Anne McLellan, P.C.
Eric P. Newell, O.C.
Thomas C. O'Neill
Marvin F. Romanow
Francis M. Saville, Q.C.
John M. Willson
Victor J. Zaleschuk
For more information on our officers and directors, please see Item 10 in our Form 10-K or visit www.nexeninc.com.
WEBSITE
Nexen's statistical supplement and other financial documents are available online at www.nexeninc.com.
Hard copies may be ordered via the Investor section of our website or by calling 403.699.5931.
HEAD OFFICE
801 7th Avenue S.W. Calgary, Alberta, Canada T2P 3P7 403.699.4000
www.nexeninc.com
STOCK SYMBOL: NXY
Toronto Stock Exchange New York Stock Exchange
SUBORDINATED NOTES
7.35% due 2043
TSX: NXY.PR.U
NYSE: NXYPRB
DIVIDEND REINVESTMENT PLAN
A copy of the offering circular (and for United States residents, a prospectus) and authorization form may be obtained by calling CIBC Mellon Trust Company at 1.800.387.0825 or on the internet at www.cibcmellon.com
AUDITORS
Deloitte & Touche LLP Calgary, Alberta
INVESTOR RELATIONS CONTACT
Lavonne Zdunich
T: 403.699.5821
F: 403.699.5730
E: email@example.com
|
Next Trials:
AAC
Oct 21 & 22, 2017 Red Barn, Barrie, On
Nov 04 & 05, 2017 Red Barn, Barrie, On
Dec 02 & 03, 2017 Red Barn, Barrie, On
See www.k9klubhouse.ca for Premium List
201 st & 202 nd
AAC Sanction Agility Trial
Oct 21 & 22, 2017
"The Red Barn Event Centre" Barrie, On.
Starter: Advanced:
Standard (3) Gambler (1) Snooker (1) Jumper (1)
C
LOSING
D
ATE
: O
CT
04, 2017
UNLESS FULLBEFORE
THE CLOSE
Trial Secretary
Judges
Sharon Dunsmore K-9 Klubhouse Dog Services 738 Edgewood Rd. Pickering, On L1V 2Z6 Ph: 416-200-3564 email@example.com
Nadine Livingston, Orillia,On
Order of Classes
Vet On Call AAC Classes
Dog Registrati on(ID ) Card
Huronia Veterinary Emergency Clinic (after hours) 130 Bell Farm Road, Barrie, 705-722-0377
AAC Rules :
http://aac.ca/en/rules/main/default.aspx
An AAC Dog ID number is required prior to Running in the Trial http://www.aac.ca/en/forms/main/default.aspx
Morning Fun Runs ** $10.00 per Run* Same dog may be entered twice. Pre-Entry only – online or via email to me
Time will be 90 seconds. There will be a buzzer at 75 seconds as a warning, and the final buzzer at 90seconds. Toys & food can be used during the fun run. Food can only be used under very strict guidelines i.e.: no crumbly food, big enough to see easily and can only be handed directly to the dog, not thrown. Toys containing food cannot be used unless empty and clean. Course maps for the day will be held until the completion of the fun run.
Start 8:30 am Limited to 20 Runs**
D
IRECTIONS TO
: R
ED
B
ARN
From the 400 South: Take the Essa Road exit. Turn west on Essa (sign says Essa Road South). Turn right at Ardagh Road. Follow Ardagh to County Road 27. GoSouth on County Road 27.(aka Town Line Road) Property is on the west side of the road down a long driveway. There is a private residence at the front of the property and a sign for the Red Barn.
Exit left onto Mapleview Dr. Go west ( turn right )onto Town Line Rd. (CR 27). Turn left into RBEC.If you get to lights at Ardagh, you've gone too far. Some GPS says it is on right – they are wrong!
*Preferred From Toronto and 400 North:
From CR 27 South: Follow CR 27
northbound through Thorton. Continue north. After 5 minutes, look for signs on your right that show you have to turn LEFT to stay on CR 27. When you see that sign, turn left, continue on CR 27. When you come down the big hill lookfor our white flags on the west (left) side of the road. If you get to lights at Ardagh, you've gone too far.
firstname.lastname@example.org
General
K-9 Klubhouse Training Centre AAC Official Entry Trial Oct 21 & 22, 2017
Information
Eligibility
Refunds
Ring Info
Trophies
Hotels
Food
Rules and Regulations. Exhibitors acknowledge that they are
knowledgeable of the AAC Rules and Regulations
This test is open to all dogs being at least 18 months of
Age, except bitches in season or dogs exhibiting signs of aggression
towards people/dogs.
Before they compete, all dogs must be registered with the AAC
Agility obstacles will be chosen from those in the AAC Rule Book with
Rubberized Contacts and E-Timer.
There will be
no refunds for entries withdrawn after the closing
date,
except for injured dogs and bitches that come into season with a
date, Veterinarian's note
Absolutely no refunds once the Trial has started
The ring is 90X100 fully enclosed by walls on three sides with gating
at entrance/exit. Footing is Top Dog rubber agility flooring with
underlay.
All dogs with a qualifying score will be awarded a qualifying rosette.
As well, first to fourth place ribbons will be awarded in each height
division for Standard and Games Rounds.
Title Rosettes up to the ATCh Level and for LifeTime awarded at Trial
Title Rosettes for all other Titles may be purchased for $10.00
Comfort Inn, Essa, 210 Essa Road, Barrie, 705-721-1122,
www.comfortinn.com Ask for Red Barn Event Centre rate of
$69.99/night.
Comfort Inn, Hart Drive, 75 Hart Drive, Barrie, 705-722-3600 or 800-
228-5150,www.comfortinnbarrie.com
Super 8 Barrie, 441 Bryne Drive, Barrie, 705-814-8888,
www.super8.com
bring your own or Close By
Running order Saturday
Sunday
Fun Run
Master Standard 1
Advanced Standard 1
Starter Standard
Master Gamble 1
Advanced Gamble
Starter Gamble
Master Standard 2
Advanced Standard 2
Starter Standard 2
Master Gamble 2
Steeplechase 1
Fun Run
Starter Standard 3
Advanced Standard 3
Master Standard 3
Master Gamble 3
Starter Snooker
Advanced Snooker
Master Snooker
Steeplechase 2
Starter Jumper
Advanced Jumper
Master Jumper
Regular Special Veteran FEO
Juniors ID #__________________
Jump Height this Trial: 6 10 16 22 26
Double Drop
Owner :
Address:
City
Prov:
Postal Code___________
Telephone:
Email: _________________________________________
Handler (if not owner)
Dog's Call Name:
Breed: _________________
Age(MDY):
AAC Reg. No.:
Mail To: Check Payable to K9 Klubhouse or E-Transfer to : email@example.com
K-9 Klubhouse Dog Services, Attention Trial Secretary, 738 Edgewood Rd., Pickering, Ont. L1V 2Z6. or
Visa/MasterCard Number: _________________________________________Expiry Date
Cardholder Name___________________________________________________ CVV
I have read, understand and agree to the Assumptions of Risk in this Premium List,
Signature of owner/ authorized agent ______________________________Date:_________________
VOLUNTEER PREFERENCES WE ASK THAT EVERYONE HELP OUT AS TRIALS CANNOT HAPPEN WITHOUT ASSISTANCE FROM COMPETITORS. MANY WORKERS MAKE FOR QUICKER DAYS FOR EVERYONE!!! INDICATE YOUR PREFERENCES BELOW:
Any Job Ring Crew
Leash Runner Course Builder
E- Timer
Scribe
Gate Steward
Thanks to all Volunteers. A volunteer schedule will be emailed once the Trial Closes.
The trial's organizing committee is in full charge of the trial The show precincts shall consist of the agility building. Bitches in Season are also NOT permitted indoors. Dogs must be ON LEASH at all times when outside the ring, in the building. Off leash area is outside. Move-ups on the day will be permitted This trial is being held under the Agility Association of Canada (AAC)
Fees : Per owner* (Package 1-2 runs=$20.00) 3-4 runs=$19.00) (5-8 runs=$18.00) (9+ =$16.00) After Close $20.00 per run , FEO $15.00, Juniors& Fun Run $10.00 (Close Oct 4,2017)
Height at Withers____________
(back of card)_____________
Assumption of risk, release and indemnity By Entering I agree to : I CERTIFY that I am the actual owner of the dog, or that I am the duly authorized agent of the dog entered hereon. In consideration of acceptance of this entry, I (we) have read, understand and will abide by the Official Rules and Regulations of the Agility Association of Canada, (AAC)Inc. in effect at the time of this entry, and by any additional rules and regulations appearing in the Agility Trial Schedule for this event. I (we) certify and represent that the dog entered is not a hazard to persons or other dogs. This entry is submitted for acceptance on the foregoing representation and General Agreement/Disclaimer. I (we) agree to conduct myself (ourselves) in accordance with such Official Rules and Regulations (including all provisions applying to discipline) and to abide by any decisions made in accordance with them. I (we) agree that the club holding this event (K-9Klubhouse) has the right to refuse this entry for any reason which the organizing committee deems sufficient. In consideration of the acceptance of this entry, the holding of the event and/or the opportunity to have this dog participate or be judged, I (we) agree as follows: (i) while at or in proximity to this event, to freely assume all risk of loss (including death) or damage or injury, collectively called "Loss," to myself, this dog or any dog under my control, and to members of my family and my guests, and to our property;(ii) to release and discharge and to hold harmless and indemnify the organizing committee, K9 K LUBHOUSE , the club and its directors, officers and members, the sanctioning body for this event ( AAC ), sponsors of the event, and the owners of the premises or grounds, The City of Pickering or Windreach Farm, or Barrie Event Centre upon which this event is held, and their respective employees and agents, collectively called the "Releases," of and from any and all claims, and from all liability of any nature, for all Loss which I or this dog or any dog under my control or members of my family or my guests or our property may suffer for any reason or cause whatsoever, including specifically, but without limitation, all Loss resulting from the action or inaction of any dog, including this dog, or its owner or handler, or by the Releasees, or any of them, whether through negligence or otherwise. I expressly assume the risk and liability for all such Loss while attending or in proximity to this event and waive any and all claims relating thereto;(iii) to hold harmless and indemnify all Releasees, and each of them, of and from any and all claims by third parties, and from all liability of any nature, for all Loss, in relation to claims against me or through me, or against or through any member of my family or any other person accompanying me or attending as my guest or in my place, or arising as a result of any action or inaction by me or by this dog, or its owner or handler, or by any member of my family or any other person accompanying me or attending as my guest or in my place, or by the Releasees or any of them in relation thereto, Whether through negligence or otherwise. I expressly assume all responsibility and liability for all such claims; and (iv) that all indemnities herein shall be full and complete indemnities, including legal costs on a solicitor and client basis. I acknowledge that I have been given the opportunity to read this form before signing it, that I have in fact done so, that I fully understand the contents of this form and that it restricts my legal rights, and that I am Agreeing.
ENTRY FEES PER RUN **All pricing includes 13% HST
* Make Check Payable to: K9 Klubhouse
Complete & sign the entry form and send with payment to:
Ph: 90
K-9 Klubhouse Dog Services, Trial Secretary 738 Edgewood Rd. Pickering, Ont. L1V 2Z6
5-837-2364 Cell: 416-200-3564
Email: firstname.lastname@example.org The owner or handler of the dog must sign the Entry form.
Entries only with correct Fees will be accepted
processing fee of 5 % or Pay Pal at 4 %
Entries will be accepted with a valid Credit Card,
E-Transfers also accepted
Judging schedules will be emailed as soon as possible after the closing date.
Courier entries will be accepted if no signature is required
Tendering of NSF Cheque /Declined credit card is considered as non-payment, of fees and will be assessed a $30.00 service charge
|
SUMMARY REPORT FOR MAY 2006 GROUNDWATER AND LEACHATE SAMPLING SEAWAY SITE
BACKGROUND
The USACE has identified a need to establish baseline radionuclide concentration levels for the groundwater surrounding the Seaway landfill. This effort includes additional sampling to analyze water from the 16 existing groundwater monitoring wells and the leachate. The samples are collected in coordination with the site owner and its environmental contractor, and in conjunction with the quarterly sampling event that is regularly performed. The USACE provides a representative to provide surveillance during the sampling conducted by the site owner's environmental contractor, Environmental Sampling & Services, Inc. (ES&S). In addition to sampling these wells, a separate sample is taken and shipped to an independent laboratory approved by USACE.
Samples are analyzed for radiological parameters including, at a minimum, isotopic uranium, isotopic thorium and isotopic radium using appropriate methods consistent with the Quality Assurance Project Plan (QAPP) (USACE 2001: Sampling and Analysis Plan, Volume 2 – Quality Assurance Project Plan, Seaway Site Areas A, B, and C, Tonawanda, New York.) prepared for the United States Army Corps of Engineers, Buffalo District (USACE 2001).
For sampling conducted, SAIC furnishes USACE will all laboratory reports, including a Level IV Data Package, and a short narrative summary including an Excel table summarizing the results. Data verification is performed by SAIC but no data validation is to be performed.
RESULTS
Water samples were collected from sixteen (16) groundwater monitoring wells and from the leachate collection system at the Seaway (BFI-Niagara Landfill) in Tonawanda, New York on May 22, 23, 24, and 25, 2006. The samples were collected by ES&S personnel. The ES&S Field Sampling report is included as Attachment A to this report. As detailed in the sampling report, both unfiltered and filtered (field filtered with a 0.45 micron filter) samples were collected. The locations of the groundwater monitoring wells at the Seaway Landfill are shown in Figure 1. Monitoring well W-5 had insufficient recharge for sampling.
Following collection, all samples were submitted to General Engineering Laboratories (GEL) located in Charleston, South Carolina. The USACE QA sample was sent to Severn Trent Laboratories (STL) located in Earth City Missouri (STL St. Louis) or Richland, Washington (STL Richland). The laboratory analyses requested are summarized in Table 1. All samples were analyzed for radiological parameters in four sample delivery groups (SDGs) and the results were reported to SAIC in data packages corresponding to each SDG. These laboratory reports are being provided to USACE separately on a CD due to the size of the reports. Also included on the CD is a copy of the electronic data files provided to SAIC by the laboratories as well as a
August 29, 2006
Seaway_04.02_0018_a
summary Excel file containing all of the laboratory results and a summary tabulation of those results, which is contained in this report as Table 2.
Upon receipt of the data from the laboratories, SAIC conducted a verification of all data packages to determine compliance with completeness and applicable quality control (QC) criteria established in the QAPP (USACE 2001). A copy of that report is included in Attachment B.
As described above, the results of the May 2006 sampling are tabulated in Table 2 for the primary radionuclides of concern (i.e., isotopic radium, uranium, and thorium) as well as the gross alpha and gross beta results, which are parameters routinely monitored as part of the landfill monitoring program. The results and data qualifiers shown in Table 2 are as reported by the laboratories.
The filtered and unfiltered sample results for the May 2006 sampling effort were compared to the results from the August 2005 sampling effort. The comparisons of the two sets of results are shown in Tables 3 and 4 for the filtered and unfiltered sample results, respectively. The results and data qualifiers shown in these tables are as reported by the laboratories.
A review of the results in Tables 3 and 4 when compared to the previous sampling (August 2000) results of the groundwater shows no unusual results. A review of the leachate results shows results within the range obtained during the August 2000, January 2001, April 2001, and July 2001 leachate sampling events.
REFERENCES
USACE 2001: Sampling and Analysis Plan, Volume 2 – Quality Assurance Project Plan, Seaway Site Areas A, B, and C, Tonawanda, New York.) Prepared by SAIC for the United States Army Corps of Engineers, Buffalo District, July 2001.
FIGURES
TABLES
*Note:
(1) Detection Limit for Alpha Emitters is 0.1 pCi/L.
(2) Detection Limit for Beta Emitters is 0.5 pCi/L.
(3) Reporting Levels = 1 pCi/L for each isotope
(4) Matrix Spike and Matrix Spike Duplicates are laboratory QA and there would be one MS/MSD per sampling event.
(5) All samples were filtered in the field using 0.45 micron filter.
(6) Analyses to be performed for both the filtered and unfiltered samples.
| | Radium-226 | | Radium-228 | | Uranium-233/234 | | Uranium-235/236 | | |
|---|---|---|---|---|---|---|---|---|---|
| Well/Location | Unfiltered | Filtered | Unfiltered | Filtered | Unfiltered | Filtered | Unfiltered | Filtered | Unfiltered |
| W-1 | 1.14 | 1.29 | 0.661 U | 0.149 U | 0.0193 U | -0.00244 U | -0.00752 U | 0.0115 U | 0.000338 U |
| W-2 | 1.12 | 0.86 | 0.793 | 1.38 | 0.0339 U | 0.0314 U | 0.0159 U | -0.0175 U | 0.0128 U |
| W-2 (Duplicate) | 0.868 | 1.18 | 0.699 U | 0.384 U | 0.0698 | 0.0299 U | 0 U | -0.00392 U | 0.0388 U |
| W-3A | 0.808 | 0.748 | 0.597 U | 0.897 | 0.043 U | 0.0298 | -0.00717 U | 0.0246 U | 0.00918 U |
| W-6 | 0.851 | 1.14 | 1.02 | -0.142 U | 0 U | -0.014 U | 0.011 U | -0.0116 U | 0 U |
| W-7 | 0.872 | 1.35 | 1.61 | 0.823 | 0.0692 U | 0.0352 U | 0.00632 U | 0.0218 U | 0.0177 U |
| W-8 | 3.26 | 2.55 | 2.49 | 1.83 | 0.1 | 0.0938 | 0 U | 0.0197 U | 0.0219 U |
| W-9A | 0.534 | 0.455 | 0.0859 U | 0.757 U | 0.0196 U | 0.0543 U | 0.00884 U | -0.00555 U | -0.00414 U |
| W-10 | 1.56 | 1.06 | 0.65 U | 1.03 | 0.0115 U | 0.0469 U | 0.02 U | -0.0103 U | -0.00765 U |
| W-11 | 2.29 | 2.85 | 1.99 | 3.72 | 0.0172 U | 0.0283 U | 0.00532 U | 0.0162 U | 0.0146 U |
| W-12 | 2.77 | 2.26 | 1.89 | 1.57 | 0.0612 U | 0.0304 U | 0.0264 U | 0.0272 U | 0.0549 U |
| W-13 | 1.19 | 1.7 | 0.772 | 0.371 U | 0.137 | 0.0805 | 0.0662 U | 0.039 U | 0.058 U |
| W-14D | 1.77 | 1.84 | 1.3 | 1.62 | 0.058 U | 0.0355 U | 0 U | 0.0439 U | 0.0185 U |
| W-14D (Duplicate) | 2.47 | 2.7 | 1.61 | 2.14 | 0.0744 | 0.0582 | 0.0657 | 0 U | 0.0106 U |
| W-14S | 0.579 | 0.415 U | 0.421 U | 0.24 U | 0.0324 U | 0.0158 U | 0.0279 U | 0.0195 U | 0.0226 U |
| W-15 | 1.73 | 1.35 | 1.31 | 1.27 | 0.0767 U | 0.189 | 0.0855 U | 0 U | 0.0291 U |
| W-16 | 1.61 | 1.06 | 0.797 | 1.21 | 0.0666 | 0.0585 | 0.0353 | 0 U | 0.0285 |
| W-17 | 0.639 | 0.451 | 0.381 U | 0.328 U | 0.0398 | 0.0606 U | 0.0164 U | 0.0166 U | 0.0133 U |
| LEACHATE | 2.75 | 1.93 | 0.177 U | 1.01 | 3.27 | 4.75 | 0.233 | 0.336 | 3.05 |
| USACE SAMPLE (W-7) | 0.737 J | 0.85 J | 1.26 | 1.38 | 0.064 U* | 0.018 U* | -0.009 U** | -0.009 U** | 0.036 U |
| | Thorium-230 | | Thorium-232 | | Thorium-228 | | Gross Alpha | | |
|---|---|---|---|---|---|---|---|---|---|
| Well/Location | Unfiltered | Filtered | Unfiltered | Filtered | Unfiltered | Filtered | Unfiltered | Filtered | Unfiltered |
| W-1 | 0.0121 U | 0.0274 U | 0 U | 0.0184 | 0.032 | 0.0201 U | 1.89 U | 1.56 U | 11 |
| W-2 | 0.00736 U | 0.0136 U | -0.00932 U | 0.00276 U | 0.0448 U | 0.0386 U | -0.835 U | -0.788 U | 84.5 |
| W-2 (Duplicate) | 0.0291 U | -0.00317 U | -0.0132 U | -0.00986 U | 0.0658 | 0.0541 U | -1.63 U | -1.8 U | 77.2 |
| W-3A | 0.0725 | -0.00562 U | 0.0045 U | 0.0121 U | 0.0168 U | 0.058 U | 1.81 U | -2.01 U | 5.11 |
| W-6 | 0.0237 U | 0.0258 | 0.00185 U | -0.00269 U | 0.0916 | 0.0146 U | 3.1 U | -0.908 U | 21 |
| W-7 | 0.0721 | 0.0166 U | 0 U | -0.00366 U | 0.0712 | 0.0475 U | -0.392 U | 2 U | 12.8 |
| W-8 | -0.00647 U | 0.0332 U | 0.0257 U | 0.00225 U | 0.432 | 0.0499 U | 12.2 U | 4.14 U | 75.9 |
| W-9A | 0.0812 | 0.0215 U | 0.0205 U | -0.00926 U | 0.0341 U | 0.0236 U | -0.126 U | 3.03 U | 1.02 U |
| W-10 | 0.0125 U | 0.026 | 0.00558 U | 0.0043 U | 0.0103 U | 0.0289 U | -0.0207 U | 0.706 U | 17.2 |
| W-11 | 0.0126 U | -0.00661 U | -0.0348 U | -0.0128 U | 0.0582 U | 0.0697 | 2.82 U | 5.66 | 55.3 |
| W-12 | 0.0196 U | 0.0307 U | 0.0118 U | 0.00261 U | 0.0629 U | 0.0493 | 4.9 U | 8.2 | 40.5 |
| W-13 | 0.00566 U | -0.00963 U | -0.0184 U | 0.00668 U | 0.00717 U | 0.0626 U | 0.435 U | 0.62 U | 11.8 |
| W-14D | -0.00108 U | 0.039 U | -0.00239 U | -0.00456 U | 0.0467 U | 0.0831 | 5.48 U | 2.99 U | 24.6 |
| W-14D (Duplicate) | 0.0504 | 0.044 | -0.00227 U | 0 U | 0.0418 U | 0.0319 U | 3.53 U | -0.0559 U | 16.1 |
| W-14S | 0.065 | 0.0034 U | -0.00171 U | -0.00232 U | 0.0312 U | 0.00589 U | -1.14 U | 1.42 U | 3.55 U |
| W-15 | 0.0435 U | 0.0103 U | 0 U | 0 U | 0.0758 | 0.0468 | 2.05 U | 6.69 U | 37.1 |
| W-16 | 0.0488 U | 0.0341 | 0.00997 U | 0 U | 0.024 U | 0.0642 | -2.8 U | 1.28 U | 15.8 |
| W-17 | 0.0489 | 0.0786 | 0 U | -0.00157 U | 0.0154 U | 0.0366 | -0.897 U | 0.613 U | 3.21 U |
| LEACHATE | 0.863 | 0.41 U | 0.355 U | -0.00179 U | -0.244 U | -0.246 U | 5.94 U | 13.2 | 89.7 |
| USACE SAMPLE (W-7) | 0.8 J | 0.43 J | -0.008 U | 0.034 U | 0.19 J | 0.02 U | 1.9 U | -0.7 U | 12 U |
| | Radium-226 | | Radium-228 | | Uranium-233/234 | | Uranium-235/236 | | |
|---|---|---|---|---|---|---|---|---|---|
| Well/Location | Aug-05 | May-06 | Aug-05 | May-06 | Aug-05 | May-06 | Aug-05 | May-06 | Aug-05 |
| W-1 | 1.03 | 1.29 | 0.972 | 0.149 U | 0.123 | -0.00244 U | -0.015 U | 0.0115 U | 0.00875 U |
| W-2 | 0.0599 U | 0.86 | 1.65 | 1.38 | 0.0682 U | 0.0314 U | 0.0328 U | -0.0175 U | 0.0229 U |
| W-2 (Duplicate) | 1.1 | 1.18 | 1.09 | 0.384 U | 0.0617 U | 0.0299 U | 0 U | -0.00392 U | 0.0315 U |
| W-3A | 0.691 | 0.748 | 1.67 | 0.897 | 0.0835 | 0.0298 | 0.0281 U | 0.0246 U | 0.0152 U |
| W-6 | 0.521 | 1.14 | 0.637 U | -0.142 U | 0.0236 U | -0.014 U | -0.00344 U | -0.0116 U | 0.0116 U |
| W-7 | 1.43 | 1.35 | 1.91 | 0.823 | 0.145 | 0.0352 U | 0.0432 U | 0.0218 U | 0.0307 U |
| W-8 | 0.522 | 2.55 | 3.26 | 1.83 | 0.278 | 0.0938 | -0.0114 U | 0.0197 U | 0.138 |
| W-9A | 0 U | 0.455 | 0.395 U | 0.757 U | 0.0688 U | 0.0543 U | -0.0081 U | -0.00555 U | 0.0175 U |
| W-10 | 1.52 | 1.06 | 1.4 | 1.03 | 0.00934 U | 0.0469 U | 0.0666 | -0.0103 U | 0 U |
| W-11 | 2 | 2.85 | 4.13 | 3.72 | 0.0518 U | 0.0283 U | 0.00547 U | 0.0162 U | 0.0398 U |
| W-11 (Duplicate) | 2.3 | | 3.77 | | 0.116 | | -0.0137 U | | 0.0234 U |
| W-12 | 1.65 | 2.26 | 1.3 | 1.57 | 0.0617 U | 0.0304 U | 0.00853 U | 0.0272 U | 0.025 U |
| W-13 | 1.9 | 1.7 | 1.49 | 0.371 U | 0.0884 | 0.0805 | 0.0242 U | 0.039 U | 0.0217 U |
| W-14D | 1.77 | 1.84 | 4.54 | 1.62 | 0.713 U | 0.0355 U | 0.881 U | 0.0439 U | 0.713 U |
| W-14D (Duplicate) | | 2.7 | | 2.14 | | 0.0582 | | 0 U | |
| W-14S | 0.273 U | 0.415 U | 0.0321 U | 0.24 U | 0.00343 U | 0.0158 U | 0.00424 U | 0.0195 U | -0.00588 U |
| W-15 | 1.97 | 1.35 | 2.24 | 1.27 | 0.0391 U | 0.189 | 0.00813 U | 0 U | 0.0305 U |
| W-16 | 0.628 | 1.06 | 1.92 | 1.21 | 0.0708 | 0.0585 | 0 U | 0 U | 0.00472 U |
| W-17 | 0.684 | 0.451 | 1.07 | 0.328 U | 0.0458 U | 0.0606 U | 0.039 | 0.0166 U | 0.0259 U |
| LEACHATE | 3.1 | 1.93 | 0.77 | 1.01 | 2.68 | 4.75 | 0.161 | 0.336 | 2.76 |
| USACE SAMPLE (W-7) | 1.29 | 0.85 J | 2.24 J | 1.38 | 0.07 U* | 0.018 U* | 0.001 U** | -0.009 U** | 0.015 U |
| | Thorium-230 | | Thorium-232 | | Thorium-228 | | Gross Alpha | | |
|---|---|---|---|---|---|---|---|---|---|
| Well/Location | Aug-05 | May-06 | Aug-05 | May-06 | Aug-05 | May-06 | Aug-05 | May-06 | Aug-05 |
| W-1 | 0.00576 U | 0.0274 U | 0.00237 U | 0.0184 | 0.0417 U | 0.0201 U | 2.45 U | 1.56 U | 22.7 |
| W-2 | 0.0522 U | 0.0136 U | 0.00301 U | 0.00276 U | 0.0752 U | 0.0386 U | 1.94 U | -0.788 U | 16.4 |
| W-2 (Duplicate) | -0.0057 U | -0.00317 U | -0.00586 U | -0.00986 U | 0.0588 U | 0.0541 U | 4.89 U | -1.8 U | 10.3 U |
| W-3A | 0.017 U | -0.00562 U | -0.00258 U | 0.0121 U | 0.0499 U | 0.058 U | 1.31 U | -2.01 U | 11.4 |
| W-6 | 0.0239 U | 0.0258 | -0.00552 U | -0.00269 U | 0.0471 U | 0.0146 U | 3.56 U | -0.908 U | 10.3 U |
| W-7 | 0.0167 U | 0.0166 U | -0.00236 U | -0.00366 U | 0.0113 U | 0.0475 U | 2.47 U | 2 U | 20.4 |
| W-8 | 1.85 | 0.0332 U | 0.12 U | 0.00225 U | -0.516 U | 0.0499 U | 3.43 U | 4.14 U | 34.6 |
| W-9A | 0.0204 U | 0.0215 U | -0.0000645 U | -0.00926 U | 0.0835 | 0.0236 U | 1.12 U | 3.03 U | 3.61 U |
| W-10 | 0.0356 | 0.026 | -0.00297 U | 0.0043 U | 0.0333 U | 0.0289 U | 3.83 | 0.706 U | 15.6 |
| W-11 | 0.0186 U | -0.00661 U | 0.0102 U | -0.0128 U | 0.215 | 0.0697 | 6.27 U | 5.66 | 51.9 |
| W-11 (Duplicate) | 0.014 U | | -0.0000562 U | | 0.0725 U | | 4.7 U | | 47.7 |
| W-12 | -0.0187 U | 0.0307 U | -0.00309 U | 0.00261 U | 0.0719 U | 0.0493 | 1.37 U | 8.2 | 54.8 |
| W-13 | -0.00601 U | -0.00963 U | 0.00672 U | 0.00668 U | 0.127 | 0.0626 U | 2.9 U | 0.62 U | 12.3 |
| W-14D | 0.0121 U | 0.039 U | 0 U | -0.00456 U | 0.0822 U | 0.0831 | 1.11 U | 2.99 U | 38.7 |
| W-14D (Duplicate) | | 0.044 | | 0 U | | 0.0319 U | | -0.0559 U | |
| W-14S | 0.0166 U | 0.0034 U | 0.00623 U | -0.00232 U | 0.0886 U | 0.00589 U | -1.95 U | 1.42 U | 2.13 U |
| W-15 | 0.0466 | 0.0103 U | 0.0124 U | 0 U | 0.0694 | 0.0468 | 1.58 U | 6.69 U | 24.5 |
| W-16 | 0.0389 U | 0.0341 | 0.0158 U | 0 U | 0.0411 U | 0.0642 | -3.62 U | 1.28 U | 19.1 |
| W-17 | 0.00696 U | 0.0786 | -0.0021 U | -0.00157 U | 0.028 U | 0.0366 | 0.671 U | 0.613 U | -5.31 U |
| LEACHATE | 0.411 U | 0.41 U | 0.346 U | -0.00179 U | 0.788 U | -0.246 U | 5.72 U | 13.2 | 109 |
| USACE SAMPLE (W-7) | 0.2 J | 0.43 J | 0.005 U | 0.034 U | 0.04 U | 0.02 U | -4 U | -0.7 U | 16 U |
| | Radium-226 | | Radium-228 | | Uranium-233/234 | | Uranium-235/236 | | Uranium-238 | |
|---|---|---|---|---|---|---|---|---|---|---|
| Well/Location | Aug-05 | May-06 | Aug-05 | May-06 | Aug-05 | May-06 | Aug-05 | May-06 | Aug-05 | May-06 |
| W-1 | 1.11 | 1.14 | 0.973 | 0.661 U | 0.11 | 0.0193 U | 0.0133 U | -0.00752 U | 0.0855 U | 0.000338 U |
| W-2 | 1.25 | 1.12 | 1.99 | 0.793 | 0.0322 U | 0.0339 U | 0.00442 U | 0.0159 U | 0.00664 U | 0.0128 U |
| W-2 (Duplicate) | 0.664 | 0.868 | 1.17 | 0.699 U | 0.0327 U | 0.0698 | 0.0111 U | 0 U | 0.0356 | 0.0388 U |
| W-3A | 0.877 | 0.808 | 1.38 | 0.597 U | 0.0415 U | 0.043 U | 0.028 U | -0.00717 U | 0.00755 U | 0.00918 U |
| W-6 | 0.689 | 0.851 | 0.803 | 1.02 | 0.0441 U | 0 U | -0.00371 U | 0.011 U | -0.003 U | 0 U |
| W-7 | 0.304 | 0.872 | 1.91 | 1.61 | 0.117 U | 0.0692 U | 0 U | 0.00632 U | 0.0294 U | 0.0177 U |
| W-8 | 3.53 | 3.26 | 4.28 | 2.49 | 0.319 | 0.1 | 0.0406 U | 0 U | 0.194 | 0.0219 U |
| W-9A | 0.378 U | 0.534 | 0.694 | 0.0859 U | -0.0023 U | 0.0196 U | -0.00342 U | 0.00884 U | 0.0203 U | -0.00414 U |
| W-10 | 1.59 | 1.56 | 0.913 | 0.65 U | 0.104 | 0.0115 U | -0.00803 U | 0.02 U | 0.091 | -0.00765 U |
| W-11 | 2.62 | 2.29 | 2.58 | 1.99 | 0.0316 U | 0.0172 U | 0.00995 U | 0.00532 U | 0.039 U | 0.0146 U |
| W-11 (Duplicate) | 2.23 | | 3.02 | | 0.0709 U | | 0.0156 U | | 0.0126 U | |
| W-12 | 0.265 U | 2.77 | 1.7 | 1.89 | 0.0179 U | 0.0612 U | -0.00283 U | 0.0264 U | 0.00641 U | 0.0549 U |
| W-13 | 1.38 | 1.19 | 0.954 | 0.772 | 0.0713 | 0.137 | 0.0234 U | 0.0662 U | 0.0171 U | 0.058 U |
| W-14D | 1.34 | 1.77 | 4.71 | 1.3 | 0.745 | 0.058 U | 0.057 U | 0 U | 0.441 | 0.0185 U |
| W-14D (Duplicate) | | 2.47 | | 1.61 | | 0.0744 | | 0.0657 | | 0.0106 U |
| W-14S | 0.672 | 0.579 | 0.533 U | 0.421 U | 0.000425 U | 0.0324 U | 0.0231 U | 0.0279 U | -0.00255 U | 0.0226 U |
| W-15 | 2.57 | 1.73 | 2.28 | 1.31 | 0.0459 U | 0.0767 U | 0.00689 U | 0.0855 U | 0.0403 U | 0.0291 U |
| W-16 | 1.58 | 1.61 | 2.22 | 0.797 | 0.0218 U | 0.0666 | 0.0333 U | 0.0353 | 0.023 | 0.0285 |
| W-17 | 0.581 U | 0.639 | 0.496 U | 0.381 U | 0.0626 U | 0.0398 | 0.0102 U | 0.0164 U | 0.0334 U | 0.0133 U |
| LEACHATE | 2.06 | 2.75 | 1.12 | 0.177 U | 2.18 | 3.27 | 0.159 | 0.233 | 2.24 | 3.05 |
| USACE SAMPLE (W-7) | 1.09 | 0.737 J | 2.06 J | 1.26 | 0.06 U* | 0.064 U* | 0.09 U** | -0.009 U** | 0.12 U | |
| | Thorium-230 | | Thorium-232 | | Thorium-228 | | Gross Alpha | | |
|---|---|---|---|---|---|---|---|---|---|
| Well/Location | Aug-05 | May-06 | Aug-05 | May-06 | Aug-05 | May-06 | Aug-05 | May-06 | Aug-05 |
| W-1 | -0.00617 U | 0.0121 U | 0.00474 U | 0 U | 0.0417 U | 0.032 | 2.61 U | 1.89 U | 20.2 |
| W-2 | 0.0296 U | 0.00736 U | 0.00762 U | -0.00932 U | 0.0467 U | 0.0448 U | 0.215 U | -0.835 U | 14.7 |
| W-2 (Duplicate) | 0.0358 | 0.0291 U | 0.0166 | -0.0132 U | 0.0454 U | 0.0658 | 5.25 U | -1.63 U | 14.4 |
| W-3A | 0.0312 U | 0.0725 | -0.0107 U | 0.0045 U | 0.0133 U | 0.0168 U | -0.921 U | 1.81 U | 12.3 |
| W-6 | 0.00787 U | 0.0237 U | 0.0191 U | 0.00185 U | 0.0506 U | 0.0916 | 18.6 | 3.1 U | 13.8 |
| W-7 | 0.066 | 0.0721 | 0 U | 0 U | 0.029 U | 0.0712 | 1.92 U | -0.392 U | 15.9 |
| W-8 | 1.01 | -0.00647 U | 0.211 U | 0.0257 U | 0.514 U | 0.432 | 11 | 12.2 U | 34.4 |
| W-9A | 0.0666 U | 0.0812 | 0.00591 U | 0.0205 U | 0.0248 U | 0.0341 U | 0.0868 U | -0.126 U | 5.29 |
| W-10 | 0.0188 U | 0.0125 U | -0.0023 U | 0.00558 U | 0.0183 U | 0.0103 U | 1.78 U | -0.0207 U | 15.7 |
| W-11 | 0.0135 U | 0.0126 U | 0.00267 U | -0.0348 U | 0.0741 | 0.0582 U | 6.44 U | 2.82 U | 48 |
| W-11 (Duplicate) | 0.0293 U | | 0 U | | 0.0852 U | | 9.84 | | 49.7 |
| W-12 | 0.0133 U | 0.0196 U | -0.00414 U | 0.0118 U | 0.118 | 0.0629 U | 2.32 U | 4.9 U | 44.4 |
| W-13 | 0.00483 U | 0.00566 U | 0.00245 U | -0.0184 U | 0.0615 U | 0.00717 U | 2.78 U | 0.435 U | 18 |
| W-14D | 0.0326 U | -0.00108 U | -0.00926 U | -0.00239 U | 0.105 U | 0.0467 U | 7.56 U | 5.48 U | 28.4 |
| W-14D (Duplicate) | | 0.0504 | | -0.00227 U | | 0.0418 U | | 3.53 U | |
| W-14S | 0.0473 | 0.065 | -0.0000486 U | -0.00171 U | 0.0219 U | 0.0312 U | -0.0344 U | -1.14 U | 3.57 U |
| W-15 | 0.00867 U | 0.0435 U | -0.0018 U | 0 U | 0.0627 U | 0.0758 | 3.68 U | 2.05 U | 20.6 |
| W-16 | 0.0119 U | 0.0488 U | -0.0025 U | 0.00997 U | 0.0664 U | 0.024 U | -0.546 U | -2.8 U | 14 |
| W-17 | 0.00411 U | 0.0489 | 0.00717 U | 0 U | 0.0493 U | 0.0154 U | -1.14 U | -0.897 U | 12.6 |
| LEACHATE | 0.943 | 0.863 | -0.00286 U | 0.355 U | 0.17 U | -0.244 U | 10.6 U | 5.94 U | 106 |
| USACE SAMPLE (W-7) | 0.44 J | 0.8 J | 0 U | -0.008 U | 0.031 U | 0.19 J | 0.8 U | 1.9 U | 23 |
ATTACHMENT A
ES&S FIELD SAMPLING REPORT
ENVIRONMENTAL SAMPLING SERVICES, INC.
& 7183 BALLA DRIVE NORTH TONAWANDA, NEW YORK 14120 (716) 807-0482
June 1, 2006
SAIC 1 0 Main Street Lakeville, MA 02347 Attention: Mr. AI Davis
Dear
Attached please find the field report describing the May sampling at Seaway Landfill in Tonawanda, New York.
Please contact me at with any questions regarding this project. Thanks again for this opportunity to work with SAl C.
Sincerely,
President
FIELD REPORT
SAMPLING OF GROUNDWATER MONITORING WELLS SEAWAY LANDFILL TONAWANDA, NEW YORK
MAY 2006
PREPARED FOR:
SAIC, INC. 10 MAIN STREET LAKEVILLE, MASSACHUSETTS 02347 ATIENTION: MR. AL DAVIS
PREPARED BY:
ENVIRONMENTAL SAMPLING & SERVICES, INC. 7183 BALLA DRIVE NORTH TONAWANDA, NEW YORK 14120
1.0 INTRODUCTION
This report describes the sampling of sixteen (16) groundwater monitoring wells at the Seaway Landfill (BFI - Niagara Landfill) located in Tonawanda, New York. Monitoring well W-5 had insufficient recharge for sampling. Sampling was performed May 22, 23, and 24, 2006, by Environmental Sampling & Services, Inc. (ES&S) personnel. Samples were collected as both unfiltered and filtered for the full parameter list at each sample location.
2.0 METHODOLOGIES
2.1 Water Level Measurements
Static water levels of all seventeen (17) groundwater wells were measured from the top of the well casing/riser, with a weighted electronic.water level indicator (QED). All measurements were recorded to the nearest hundredth of a foot (0.01 feet). The length of the measuring device, which contacted the water, was cleaned between wells with liquinox, deionized water rinse and paper towel wipe. The data for the wells sampled is presented on Table I.
2.2 Well Evacuation
Prior to evacuation, the volume of standing water was calculated by subtracting the depth to groundwater from the bottom of the well depth and multiplying that number by a constant for the corresponding size well. V=H (.16)- 2 inch well, V=H (.36)- 3 inch well, V=H (.65)- 4 inch well, where H is the height of the water column and .16, .36, and .65 are volumetric constants.
Prior to sampling, three (3) times the standing water volume was purged from each well which exhibited a moderate to high recharge. Wells, which exhibited a low recharge rate, were evacuated to dryness.
The wells were evacuated using dedicated Well Wizard Purging I Sampling Pumps or dedicated stainless steel bailers. Data pertaining to each evacuation is presented on Table I.
3.0 SAMPLING
3.1 Monitoring Wells
After well purging, a second depth to water level measurement was taken at each well to insure there was sufficient recharge.
Wells were sampled using the Well Wizard Sampling Pumps. Sample containers were filled directly from the sampling discharge tube. One set of parameters was sampled unfiltered and a second set was sampled using a 0.45 micron inline filter. An additional unfiltered sample was taken to facilitate measurement of field analytical parameters.
An additional sample was collected from each well in order to facilitate the measurement of field parameters.
4.0 FIELD MEASUREMENT
On site field measurements include pH, specific conductivity, temperature, eH and turbidity. This data is presented on Table II.
All instruments, which contacted groundwater, were cleaned after each measurement by rinsing with deionized water and wiping dry with paper towels.
5.0 EQUIPMENT CALIBRATION
Prior to mobilization, all field equipment and instrumentation were checked for condition. In field calibrations were done before field measurements were facilitated. Calibration checks were done twice a day, recalibration of field instruments was performed if necessary.
pH I eH meters were two-point calibrated with either; 4.00 S.U. and 7.00 S.U. or 7.00 S.U. and 10.00 S.U. buffer solutions.
Conductivity meters were four-point calibrated with 1 01.8, 1002, and 9320 umhoslcm buffer solutions.
Turbidity meters were two-point calibrated with 0.50 NTU and 5.00 NTU standards.
6.0 SAMPLE CONTAINER PREPARATION
All containers used in the collection of samples for this project were provided new and clean from GEL Laboratories. These bottles were shipped to ES&S and stored in a clean environment prior to their use.
7.0 QUALITY ASSURANCE I QUALITY CONTROL
7.1 Field Duplicate
A field duplicate was collected at a frequency of two (2) per sampling event. The field duplicate consisted of a set of all parameters and was obtained at the same time a well was being sampled. Duplicates were collected at W-14D and W-2.
An additional sample was taken at well W-7 and sent to STL-St. Louis for the USACE as a split sample.
7.2 Analytical Duplicate
Analytical duplicates (matrix spike I spike duplicates) were collected as part of the laboratory QAIQC Program. These samples were collected at a frequency of one (1) per sampling event. A triplicate sample set was collected from Well W-14D.
8.0 SAMPLE CONTROL AND CHAIN OF CUSTODY
Sample containers were labeled with the following information:
* Initials of Individual Collecting Samples
* Sample Location
* Date I Time
A chain of custody manifest was initiated at the time of sample collection and accompanied the samples through delivery to GEL Laboratories in Charleston, South Carolina.
TABLE I
1
1
1
| 4 4 4 |
|---|
| 1.5 4 4 4 2 4 4 4 4 4 2 4 4 4 |
PURGE METHOD
1-DEDICATED WELL WIZARD PUMP
2-DEDICATED STAINLESS STEEL BAILER
TABLE II A
SEAWAY LANDFILL
SL.TURBID-BLACK
SAMPLE METHOD
WEATHER CONDITIONS- CLOUDY, 55 F (5/22), SUNNY, 55 F (5/23), SUNNY, 60 F (5/24)
1-DEDICATED WELL WIZARD PUMP
DUPLICATE SAMPLE TAKEN ATW-14D@ 12:20 (5/23) AND W-2@ 8:11 (5/24)
2-DEDICATED STAINLESS STEEL BAILER
MS/MSD TAKEN AT W-14D
3-DIP SAMPLE BOTTLE
WELL W-5 - NOT SAMPLED - INSUFFICIENT RECHARGE
I AI:SLt:. II I:S
;)t:.AVVA Y LANUI""ILL
CLR-BLACK TINT
CLR-BLACK TINT
CLR-BLACK TINT
TINT
SAMPLE METHOD
WEATHER CONDITIONS· CLOUDY, 55 F (5/22), SUNNY, 55 F (5/23), SUNNY, 60 F (5/24)
1-DEDICATED WELL WIZARD PUMP
DUPLICATE SAMPLE TAKEN AT W-14D@ 12:20 (5/23) AND W-2@ 8:11 (5/24)
2-DEDICATED STAINLESS STEEL BAILER
MS/MSD TAKEN AT W-14D
3-DIP SAMPLE BOTTLE
FIELD REPORT
LEACHATE SAMPLING SEAWAY LANDFILL TONAWANDA, NEW YORK
MAY 2006
PREPARED FOR:
SAIC, INC. 10 MAIN STREET LAKEVILLE, MASSACHUSETTS 02347 ATTENTION:
PREPARED BY:
ENVIRONMENTAL SAMPLING & SERVICES, INC. 7183 BALLA DRIVE NORTH TONAWANDA, NEW YORK 14120
1.0 INTRODUCTION
This report describes the sampling of the leachate discharge metering manhole at the Seaway Landfill located in Tonawanda, New York. Environmental Sampling & Services, Inc. (ES&S) personnel performed the sampling on May 25, 2006.
2.0 EQUIPMENT CALIBRATION
Prior to mobilization, all field equipment and instrumentation were checked for condition and calibration.
pH meter was two-point calibrated with 7.00 S.U. and 10.00 S.U. buffer solutions.
Conductivity meter was three-point calibrated with 1 01.8, 1002 and 9320 umhos/cm buffer solutions.
Turbidity meter was two-point calibrated with 5.0 NTU and 20.0 NTU standards.
4.0 SAMPLE CONTAINER PREPARATION
All containers used in the collection of samples for this project were provided new and clean from GEL Laboratories. These bottles were shipped to ES&S and stored in a clean environment prior to their use.
5.0 LEACHATE SAMPLE COLLECTION
Leachate samples were collected as a grab sample directly from the metering manhole discharge flume using an IS CO Model 1580 peristaltic pump with dedicated silicone rubber pump hose and polyethylene tubing. Sample containers were filled directly from the ISCO peristallic pump discharge tube. One set of parameters was sampled unfiltered and a second set was sampled using an inline filter. An additional unfiltered sample was taken to facilitate measurement of field analytical parameters.
6.0 FIELD MEASUREMENT
On site field measurements include pH, specific conductivity, temperature, eH, and turbidity. This data is presented on the Field Observation Forms.
7.0 CHAIN OF CUSTODY
A chain of custody manifest was initiated at the time of sample collection and accompanied the samples through delivery to GEL Laboratories in Charleston, South Carolina.
SEAWAY LANDFILL- METERING MANHOLE
SAMPLING INFORMATION
TYPE OF SAMPLE:
(X) GRAB
( ) 24 HOUR COMPOSITE
DATE I TIME 5-25-06 I
10:25
SAMPLED BY_-=ES=--=&c..::S:....·....:R..:..:·_:C:..:.H:.:.ciO::.:D=-0=----
FIELD MEASUREMENT INFORMATION
pH
(STANDARD UNITS)
DATE_____
5~-2=5:....·--=0~6
___ __
TIME ____ ___:1.::.0;;:::3.:.0 ------
TAKEN BY ES & S -R. CHIODO
UNIT-BRAND __ _:B::E::C:..:.K::.:Mc::..A.::..N:...._ __ _
MODEL#
pHI 11
STANDARDS USED: ( ) 4
(X) 7
(X) 10
TEMPERATURE(C) __ _:12:::·..:..4 ___ _
pH
6.93 (SU)
eH
+8.4
mv
SPECIFIC CONDUCTANCE
(UMHOSICM)
DATE____
~5~-2=5:....·--=0~6
___ __
TIME _____
1:..:0:.:.::3~0
_____ _
TAKEN BY
ES&S-R. CHIODO
UNIT-BRAND _ __:Fc..:I.::.SH:..:E:::R:...:.....:S:..:C:..::IE:::N.:..T:..:I:...;Fic.::C_
MODEL#
09-326-2
STANDARDS USED: (X ) 1 02.8
(X) 1002
(X) 9975
TEMPERATURE(C) __...:.12::.:·.:..4 ___ _
SPECIFIC
CONDUCTANCE
TURBIDITY
4930 ushoslcm
5.86 NTU
SAMPLE CHARACTERISTICS: ____ C::..:L==E=-A=-R'-·-'T'-A:...:N....:T.:.:.IN:._T ________ _
WEATHER CONDITIONS
AT TIME OF SAMPLING:
DISCHARGE - TOTALIZER:
CLOUDY, 60 F
1285177
COMMENTS: --------------------------------------------
ATTACHMENT B
SAIC VERIFICATION CHECKLIST REPORT
Results of Verification of Groundwater Data Radiochemistry Parameters Seaway FUSRAP Site, Tonawanda, New York August 2006
1.0 Introduction
Groundwater/liquid samples were collected May 22, 2006 through May 25, 2006 from the Seaway FUSRAP site located in Tonawanda, New York. Following collection, samples were submitted to General Engineering Laboratories (GEL) located in Charleston, South Carolina, Severn Trent Laboratories (STL) located in Earth City Missouri (STL St. Louis), and STL located in Richland, Washington (STL Richland). All GEL samples were analyzed for radiological parameters in four sample delivery groups (SDGs) and the results were reported to SAIC in data packages corresponding to each SDG as follows:
* SDG 163473
* SDG 163582
* SDG 163683
* SDG 163792
One sample was also analyzed for radiological parameters by STL St. Louis and STL Richland (the latter for only radium-226 analysis) as a quality assurance split sample. The split was logged into STL St. Louis and STL Richland under Lot Nos. F6F210306 and F6F210312, respectively.
Upon receipt of data packages from the laboratories, SAIC conducted a verification of all data to determine compliance with completeness and applicable quality control (QC) criteria established in the Quality Assurance Project Plan (QAPP) (USACE 2001: Sampling and Analysis Plan, Volume 2 – Quality Assurance Project Plan, Seaway Site Areas A, B, and C, Tonawanda, New York.) prepared for the United States Army Corps of Engineers, Buffalo District (USACE 2001). However, it should be noted that the QAPP (USACE 2001) DQO summary (Table 3-1), which presents criteria for precision, accuracy, and completeness was prepared for analyses of soil samples and did not provide requirements specific to groundwater/liquid samples. Therefore, completeness goals established in the QAPP (USACE 2001) for soil data were applied to the groundwater/liquid data acquired for this project. Additionally, this verification utilized batch QC requirements established by the laboratory as the benchmark for determining overall data quality in each SDG. The verification was not performed for the purpose of applying validation qualifiers denoting data usability toward meeting project-specific objectives. A review checklist of reporting requirements and QC criteria was used to evaluate all data packages individually. The checklist was derived from Section 11.2 of the QAPP (USACE 2001).
2.0 Summary of Findings
Sections 3.0 and 4.0 discuss the results of the verifications of the GEL and STL data packages, respectively. In summary, all data and supporting QC results reported in all SDGs are consistent with the data quality requirements as defined in the QAPP (USACE 2001), as well as with those established by the laboratories. Only minor issues were observed as documented in Sections 3.0 and 4.0. All elements of the most recent versions of the laboratory data packages are present and complete and meet with the laboratory reporting requirements established in the QAPP (USACE 2001).
The percent (%) completeness goal for all radiochemistry data (i.e., the number of valid results over the total number of reported results) for this project, as set forth by the QAPP (USACE 2001) is 90%. Some data were rejected by GEL (i.e., flagged "UI") due to low abundance or invalid peaks. Therefore, for this project, percent completeness was calculated using the following equation:
%Completeness = ([Total No. Results – "UI"-Flagged Results]/Total No. Results) x 100%
The percent completenesses over all three GEL data packages ranged from 96 to 98%. The percent completeness for both STL data package was 100%. Additionally, all GEL and STL packages met the minimum reporting requirements for hardcopy data deliverables presented in Table 11-1 of the QAPP (USACE, 2001). Therefore the overall data and reporting completeness goals for this project have been met.
For a small number of detections, it is recommended that the results be treated as nondetects because the specified results (i.e.., detailed in the following subsections) were either less than an associated method blank detection or were less than the absolute value of the associated analysis uncertainties.
It should be noted here that in their data packages, GEL and STL apply different yet synonomous terminologies/acronyms when presenting results for the "minimum detectable activity" (MDA) versus the "minimum detectable concentration" (MDC), and when presenting values for the "reporting limit" (RL) versus the "reporting detection limit" (RDL) versus the "contract required detection limit" (CRDL). The QAPP (USACE, 2001) refers only to "method detection limits" (MDL), which are not applicable to radiochemistry parameters, and "project reporting levels" (with no acronym). In order to maintain consistency throughout the discussions presented in Sections 3.0 and 4.0 of this verification report, and unless specific references are being cited from the laboratories' reports (e.g., the gamma spec summary table presented in all of GEL's packages entitled "Failed RDL Report"), only the terms/acronyms "minimum detectable activity" (MDA) and "reporting limit" (RL) will be discussed hereinafter.
3.0 GEL Data Verification Checklists
The following subsections present the checklist and summarize the findings of the data verification for each GEL SDG.
3.1 GEL SDG 163473
SDG 163473 included radiochemistry data for 6 unfiltered groundwater samples (W-10, W-7, W-3A, W-1, W-6, and W-9A) and 6 filtered groundwater samples (W-10 F, W-7 F, W-3A F, W-1 F, W-6 F, and W-9A F). All samples were collected May 22, 2006 from the Seaway FUSRAP site located in Tonawanda, New York and were submitted to GEL. Samples were received by GEL on May 23, 2006. The following analyses were requested for all samples:
* Uranium and Thorium Isotopes by Alpha Spectroscopy (DOE EML HASL-300, U02-RC Modified and Th-01-RC Modified, respectively)
* Radium-226 (Lucas Cell via EPA Method 903.1 Modified)
* Radium-228 (GFPC via EPA Method 904.0 Modified)
* Gamma Spectroscopy (EPA Method 901.1)
* Gross Alpha/Beta (GFPC via EPA Method 900.0)
The chain of custody is present, complete, and signed. The following checklist summarizes the laboratory's compliance with the appropriate review categories:
* Holding Times: The recommended holding time for radiochemistry analyses is 180 days. All analyses were performed within this specified holding time.
* Sample Results: All analyses were performed by the laboratory as requested with all sample results being reported in the data package. Results qualified "UI" (uncertain identification for gamma spectroscopy) by the laboratory are considered synonomous to being unusable by the laboratory. Some nondetect gamma spec results were qualified "UUI" due to the following reasons (provided on page 15 of the data package):
o high Full-Width Half-Maximum,
o low abundance, and
o counting uncertainty,
o no valid peak
* Sample Detections versus Analysis Uncertainties: The following detections (i.e., results reported as having been greater than the MDA) were less than the absolute values of the associated uncertainties, and as such, should be considered as nondetects:
o W-3A F – Uranium-233/234 (Alpha Spec)
o W-1 F – Thorium-232 (Alpha Spec)
* Initial and Continuing Calibration: All initial and continuing calibration data are present in the data package and the laboratory requirements have been met.
* Efficiency Checks: Presented in raw data.
* Background Counts: Presented in raw data.
* Detection Limits: Detection limits for all parameters were reported by the laboratory. Alpha spec thorium and uranium analyses met QAPP RL requirements (Table 3-6). RLs for applicable gamma spec isotopes (i.e., those listed in QAPP – actinium-227 and actinium-228) did not meet QAPP requirement of 1 pCi/L. No QAPP RL requirements were established for the remaining gamma spec isotopes, gross alpha/beta, radium-226 (Lucas Cell), or radium-228 (GFPC). A "Failed RDL Report" is provided for gamma spec results on pages 113 through 115 of the data package. Additionally, gross alpha and/or beta MDAs exceeded RLs for most site samples, and the radium-228 MDA exceeded the corresponding RL in sample W-6 F.
* Method Blank: All method blank results were reported in the "QC Summary" section of the data package. The following were detections reported for method blanks (identified by MB followed by the prep batch number: o MB 534507 – Thorium 228 (Alpha Spec) = 0.0888 pCi/L
Detected Thorium-228 results for samples W-1 and W-7 in prep batch 534507 were less than the MB concentration and should be considered as nondetects.
* Laboratory Duplicate QC: Duplicate relative percent differences (RPDs) were reported in the "QC Summary" section of the data package. All RPDs for detected pairs of results were within the 35% acceptance limit specified in Table 3-1 of the QAPP.
* Matrix Spike (MS): MS recoveries were reported in the "QC Summary" section of the data package. All MS and MSD percent recoveries were within the QAPP accuracy control limits of 75 – 125%.
* Isotopic tracers (Alpha Spec Thorium and Uranium and Radium-228 [GFPC]): Tracer yields are presented in the data package. All percent yields were within the acceptable laboratory limits of 15 – 125%.
* Laboratory Control Sample (LCS): LCS recoveries were reported in the "QC Summary" section of the data package. All reported LCS percent recoveries were within the QAPP acceptance limits of 75 – 125%.
* Field Duplicates: No field duplicates were included as part of this SDG.
* Sample Reanalysis: Repreparations and reanalyses were performed on some samples in order to meet laboratory QC requirements. These are detailed in the individual case narratives. The following are problems that necessitated sample repreparations and/or reanalyses (more details provided in the individual analysis narratives):
o Alpha Spec Thorium:
High MDAs
o Alpha Spec Uranium:
High MDAs
o GFPC Gross Alpha/Beta:
High MDAs
o GFPC Radium-228:
Batch was re-eluted/reanalyzed due to low MS and LCS recoveries.
o Lucas Cell Radium-226:
High RPD (i.e., RPD > 50%)
* Secondary Dilutions: No secondary dilutions were necessary for samples in this SDG.
* Laboratory Case Narrative: The general narrative and individual analysis narratives are present, complete and accurate.
* Completeness: A total or 21 out of 684 total analyses were qualified as UUI in this SDG, which equates to a percent completeness of 97%. Therefore the data completeness goal of 90% has been met for this SDG. Additionally, the data package met the minimum reporting requirements for hardcopy data deliverables presented in Table 11-1 of the QAPP (USACE, 2001). Therefore the overall data and reporting completeness goals for this SDG have been met.
3.2 GEL SDG 163582
SDG 163582 included radiochemistry data for 6 unfiltered groundwater samples (W-17, W-16, W-15, W-14D, DUP@W-14D, and W-14S) and 6 filtered groundwater samples (W-17 F, W-16 F, W-15 F, W-14D F, DUP@W-14D F, and W-14S F). Additional volumes were collected for MS and MSD analyses on sample W-14D and W-14D F. All samples were collected May 23, 2006 from the Seaway FUSRAP site located in Tonawanda, New York and were submitted to GEL. Samples were received at the laboratory on May 24, 2006. The following analyses were requested for all samples:
* Uranium and Thorium Isotopes by Alpha Spectroscopy (DOE EML HASL-300, U02-RC Modified and Th-01-RC Modified, respectively)
* Radium-226 (Lucas Cell via EPA Method 903.1 Modified)
* Radium-228 (GFPC via EPA Method 904.0 Modified)
* Gamma Spectroscopy (EPA Method 901.1)
* Gross Alpha/Beta (GFPC via EPA Method 900.0)
The chain of custody is present, complete, and signed. The following checklist summarizes the laboratory's compliance with the appropriate review categories:
* Holding Times: The recommended holding time for radiochemistry analyses is 180 days. All analyses were performed within this specified holding time.
* Sample Results: All analyses were performed by the laboratory as requested with all sample results being reported in the data package. Results qualified "UI" (uncertain identification for gamma spectroscopy) by the laboratory are considered to be rejected data by the laboratory. Gamma spec results were qualified "UI" due to the following reasons (provided on page 15 of the data package):
o high Full-Width Half-Maximum,
o low abundance, and
o counting uncertainty,
o no valid peak
* Sample Detections versus Analysis Uncertainties: The following detections (i.e., results reported as having been greater than the MDA) were less than the absolute values of the associated uncertainties, and as such, should be considered as nondetects:
o W-17 – Uranium-233/234 (Alpha Spec)
o W-15 F – Uranium-238 (Alpha Spec)
o W-16 – Uranium-235/236 and Uranium-238 (Alpha Spec)
o W-14D F – Uranium-238 (Alpha Spec)
o DUP@W-14D F – Uranium-233/234 (Alpha Spec)
* Initial and Continuing Calibration: All initial and continuing calibration data are present in the data package and the laboratory requirements have been met.
Presented in raw data.
* Efficiency Checks:
* Background Counts: Presented in raw data.
* Detection Limits: Detection limits for all parameters were reported by the laboratory. Alpha spec thorium and uranium analyses met QAPP RL requirements (Table 3-6). RLs for applicable gamma spec isotopes (i.e., those listed in QAPP – actinium-227 and actinium-228) did not meet QAPP requirement of 1 pCi/L. No QAPP RL requirements were established for the remaining gamma spec isotopes, gross alpha/beta, radium-226 (Lucas Cell), or radium-228 (GFPC). A "Failed RDL Report" is provided for gamma spec results on pages 121 through 123 of the data package and indicates that the MDAs reported for actinium-227 and antimony-124 exceeded RLs for all site samples. Additionally, gross alpha and beta MDAs exceeded RLs for all site samples.
* Method Blank: All method blank results were reported in the "QC Summary" section of the data package. The following were detections reported for Alpha Spec method blanks (identified by MB followed by the prep batch number:
o MB 534786 – thorium 228 = 0.0234 pCi/L; thorium-230 = 0.056 pC/L
o MB 537947 – uranium 233/234 = 0.0654 pCi/L; uranium 235/236 = 0.0385 pCi/L
The following detected results were less than the corresponding MB concentrations indicated above and should be considered as nondetects:
o W-17 thorium 230
o W-16 uranium 235/236
o W-17 uranium 233/234
o DUP@W-14D thorium 230
o W-16 F uranium 233/234
o W-16 F thorium 230
o DUP@W-14D F thorium 230
o DUP@W-14D F uranium 233/234
* Laboratory Duplicate QC: Duplicate relative percent differences (RPDs) were reported in the "QC Summary" section of the data package. All RPDs for detected pairs of results were within the 35% acceptance limit specified in Table 3-1 of the QAPP, except for that calculated for gross beta RPDs for samples W-14D and W-14D F. Gross beta results for those samples should be considered estimated due to poor precision.
* Matrix Spike (MS): MS recoveries were reported in the "QC Summary" section of the data package and were within the accuracy control limits of 75 – 125%, except for the radium-228 MS recovery performed using sample W-14D. The detected radium228 result for sample W-14D should be considered estimated.
* Isotopic tracers (Alpha Spec Thorium and Uranium and Radium-228 [GFPC]): Tracer yields are presented in the data package. All percent yields were within the acceptable laboratory limits of 15 – 125%.
* Laboratory Control Sample (LCS): LCS recoveries were reported in the "QC Summary" section of the data package. All reported LCS percent recoveries were within the acceptance limits of 75 – 125%.
* Field Duplicates: Samples W-14D and DUP@W-14D, and samples W-14D F and DUP@W-14D F were collected and analyzed as field duplicate pairs. For both duplicate pairs, no RPDs could be calculated for alpha spec thorium analyses, alpha spec uranium analyses, gamma spec analyses, or gross alpha analyses due to nondetects. The following RPDs were estimated for samples W-14D and DUP@W-14D:
o Gross Beta (GFPC) – 41.8%
o Radium-228 (GFPC) – 21.3% (sample and duplicate results were reported to be slightly above the RL)
o Radium-226 (Lucas Cell) – 33% (sample and duplicate results were reported to be slightly above the RL)
Likewise, the following were RPDs calculated for samples W-14D F and DUP@W14D F:
o Gross Beta (GFPC) – 11.2%
o Radium-228 (GFPC) – 27.7% (sample and duplicate results were reported to be slightly above the RL)
o Radium-226 (Lucas Cell) – 37.9% (sample and duplicate results were reported to be slightly above and less than the RL, respectively)
Therefore, all field duplicate RPDs were within the QAPP acceptance limit of 50%.
* Sample Reanalysis: Repreparations and reanalyses were performed on some samples in order to meet laboratory QC requirements. These are detailed in the individual case narratives. The following are problems that necessitated sample repreparations and/or reanalyses (more details provided in the individual analysis narratives):
o Alpha Spec Thorium:
Low/high recovery
o Alpha Spec Uranium:
Low carrier/tracer yields
High MDAs
o GFPC Gross Alpha/Beta:
High beta RPD on duplicates
o GFPC Radium-228:
High RPDs on duplicates
Low/high recoveries
* Secondary Dilutions: No secondary dilutions were necessary for samples in this SDG.
* Laboratory Case Narrative: The general narrative and individual analysis narratives are present, complete and accurate.
* Completeness: A total or 19 out of 684 total analyses were qualified as UI in this SDG, which equates to a percent completeness of 97%. Therefore the completeness goal of 90% has been met for this SDG. Additionally, the data package met the minimum reporting requirements for hardcopy data deliverables presented in Table 11-1 of the QAPP (USACE, 2001). Therefore the overall data and reporting completeness goals for this SDG have been met.
3.3 GEL SDG 163683
SDG 163683 included radiochemistry data for 6 unfiltered groundwater samples (W-2, DUP@W-2, W-8, W-11, W-12, and W-13) and 6 filtered groundwater samples (W-2 F, DUP@W-2 F, W-8 F, W-11 F, W-12 F, and W-13 F). All samples were collected on May 24, 2006 from the Seaway FUSRAP site located in Tonawanda, New York and were submitted to GEL. Samples were received at the laboratory on May 25, 2006. The following analyses were requested for all samples:
* Uranium and Thorium Isotopes by Alpha Spectroscopy (DOE EML HASL-300, U02-RC Modified and Th-01-RC Modified, respectively)
* Radium-226 (Lucas Cell via EPA Method 903.1 Modified)
* Radium-228 (GFPC via EPA Method 904.0 Modified)
* Gamma Spectroscopy (EPA Method 901.1)
* Gross Alpha/Beta (GFPC via EPA Method 900.0)
The chain of custody is present, complete, and signed.
The following checklist summarizes the laboratory's compliance with the appropriate review categories:
* Holding Times: The recommended holding time for radiochemistry analyses is 180 days. All analyses were performed within this specified holding time.
* Sample Results: All analyses were performed by the laboratory as requested with all sample results being reported in the data package. Results qualified "UI" (uncertain identification for gamma spectroscopy) by the laboratory are considered to be rejected data by the laboratory. Gamma spec results were qualified "UI" due to the following reasons (provided on page 13 of the data package):
o high peak width,
o low abundance, and
o counting uncertainty,
o no valid peak
* Sample Detections versus Analysis Uncertainties: Sample detections were compared with associated uncertainties. None of the reported detections (i.e., results reported as having been greater than the MDA) were less than the absolute values of the associated uncertainties.
* Initial and Continuing Calibration: All initial and continuing calibration data are present in the data package and the laboratory requirements have been met.
* Efficiency Checks: Presented in raw data.
* Background Counts: Presented in raw data.
* MDAs/Detection Limits: Detection limits for all parameters were reported by the laboratory. Alpha spec thorium and uranium analyses met QAPP RL requirements (Table 3-6). RLs for applicable gamma spec isotopes (i.e., those listed in QAPP – actinium-227 and actinium-228) did not meet QAPP requirement of 1 pCi/L. No QAPP RL requirements were established for the remaining gamma spec isotopes, gross alpha/beta, radium-226 (Lucas Cell), or radium-228 (GFPC). A "Failed RDL Report" is provided for gamma spec results on pages 111 through 113 of the data package and indicates that MDAs reported for actinium-227 and antimony-124 exceeded corresponding RLs in all samples. MDAs reported for other isotopes exceeded corresponding RLs for samples W-8, W-11, DUP@W-2 F, W-8 F, W-12 F,
and W-13 F. Additionally, gross alpha and beta MDAs exceeded RLs for all site samples, except for the gross alpha result for sample W-11 F.
* Method Blank: All method blank results were reported in the "QC Summary" section of the data package. All method blank results were reported as being nondetect (i.e., below corresponding RLs.
* Laboratory Duplicate QC: Duplicate relative percent differences (RPDs) were reported in the "QC Summary" section of the data package. All RPDs for detected pairs of results were within the 35% acceptance limit specified in Table 3-1 of the QAPP.
* Matrix Spike (MS): MS recoveries were reported in the "QC Summary" section of the data package and were within the accuracy control limits of 75 – 125%, except for the following:
o W-8 F gross alpha MS percent recovery = 57%
o W-13 F radium-228 MS percent recovery = 45%
o W-8 F gross alpha MSD percent recovery = 47%
Associated sample results for the above MS and MSDs were reported as nondetect. Therefore, the gross alpha nondetect result for sample W-8 F and the radium-228 nondetect result for sample W-13 F should be considered estimated due to the low spike recoveries.
* Isotopic tracers (Alpha Spec Thorium and Uranium and Radium-228 [GFPC]): Tracer yields were presented in the data package. All percent yields were within the acceptable laboratory limits of 15 – 125%.
* Laboratory Control Sample (LCS): LCS recoveries were reported in the "QC Summary" section of the data package. All reported LCS percent recoveries were within the acceptance limits of 75 – 125%.
* Field Duplicates: Samples W-2 and DUP@W-2, and samples W-2 F and DUP@W-2 F were collected and analyzed as field duplicate pairs. For both duplicate pairs, no RPDs could be calculated for alpha spec thorium analyses, alpha spec uranium analyses, gamma spec analyses, gross alpha analyses or radium-228 analyses due to non-detects. The following RPDs were estimated for samples W-2 and DUP@W-2:
o Gross Beta (GFPC) – 9.0%
o Radium-226 (Lucas Cell) – 25.4% (sample and duplicate results were reported to be slightly above and less than the RL, respectively)
Likewise, the following were RPDs calculated for samples W-2 F and DUP@W-2 F:
o Gross Beta (GFPC) – 13%
o Radium-226 (Lucas Cell) – 31.4% (sample and duplicate results were reported to be slightly less than and above the RL, respectively)
Therefore, all field duplicate RPDs were within the QAPP acceptance limit of 50%.
* Sample Reanalysis: Repreparations and reanalyses were performed on some samples in order to meet laboratory QC requirements. The following are problems that necessitated sample repreparations and/or reanalyses (more details provided in the individual analysis narratives):
o Alpha Spec Thorium
Plutonium contamination
High MDA
Poor resolution
o Alpha Spec Uranium:
High MDAs
Confirmation of duplicate RPDs
o GFPC Gross Alpha/Beta:
Elevated MDA
Verification of sample results
High blank activity
o GFPC Radium-228:
High blank activity
Low/high recoveries
* Secondary Dilutions: No secondary dilutions were necessary for samples in this SDG.
* Laboratory Case Narrative: The general narrative and individual analysis narratives are present, complete and accurate.
* Completeness: A total or 14 out of 684 total analyses were qualified as UI in this SDG, which equates to a percent completeness of 98%. Therefore the completeness goal of 90% has been met for this SDG. Additionally, the data package met the minimum reporting requirements for hardcopy data deliverables presented in Table 11-1 of the QAPP (USACE, 2001). Therefore the overall data and reporting completeness goals for this SDG have been met.
3.4 GEL SDG 163792
SDG 163792 included radiochemistry data for 1 unfiltered liquid sample (LEACHATE) and 1 filtered liquid sample (LEACHATE F). Both samples were collected on May 25, 2006 from the Seaway FUSRAP site located in Tonawanda, New York and were submitted to GEL. Both samples were received at the laboratory on May 26, 2006. The following analyses were requested for the samples:
* Uranium and Thorium Isotopes by Alpha Spectroscopy (DOE EML HASL-300, U02-RC Modified and Th-01-RC Modified, respectively)
* Radium-226 (Lucas Cell via EPA Method 903.1 Modified)
* Radium-228 (GFPC via EPA Method 904.0 Modified)
* Gamma Spectroscopy (EPA Method 901.1)
* Gross Alpha/Beta (GFPC via EPA Method 900.0)
The chain of custody is present, complete, and signed.
The following checklist summarizes the laboratory's compliance with the appropriate review categories:
* Holding Times: The recommended holding time for radiochemistry analyses is 180 days. All analyses were performed within this specified holding time.
* Sample Results: All analyses were performed by the laboratory as requested with all sample results being reported in the data package. Results qualified "UI" (uncertain identification for gamma spectroscopy) by the laboratory are considered to be rejected data by the laboratory. Gamma spec results were qualified "UI" due to the following reasons (provided on page 13 of the data package):
o counting uncertainty
o low abundance
* Sample Detections versus Analysis Uncertainties: The following detection (i.e., result reported as having been greater than the MDA) was less than the absolute value of the associated uncertainty, and as such, should be considered a non-detect:
o LEACHATE –Uranium-238 (Alpha Spec)
* Initial and Continuing Calibration: All initial and continuing calibration data are present in the data package and the laboratory requirements have been met.
* Efficiency Checks: Presented in raw data.
* Background Counts: Presented in raw data.
* MDAs/Detection Limits: Detection limits for all parameters were reported by the laboratory. Alpha spec uranium analyses met QAPP RL requirements (Table 3-6); however, the MDAs reported for all alpha spec thorium analyses exceeded corresponding RLs. RLs for applicable gamma spec isotopes (i.e., those listed in QAPP – actinium-227 and actinium-228) did not meet QAPP requirement of 1 pCi/L. No QAPP RL requirements were established for the remaining gamma spec isotopes, gross alpha/beta, radium-226 (Lucas Cell), or radium-228 (GFPC). A "Failed RDL Report" is provided for gamma spec results for samples LEACHATE and LEACHATE F on page 63 of the data package, and indicates that MDAs reported for numerous isotopes exceeded corresponding RLs in both samples. Additionally, gross alpha and beta MDAs exceeded RLs for both samples.
* Method Blank: All method blank results were reported in the "QC Summary" section of the data package. The following detection was reported for an Alpha Spec method blank (identified by MB followed by the prep batch number):
o MB 535133 – uranium 233/234 = 0.0818 pCi/L
However, the uranium 233/234 results for both samples were reported at detected concentrations significantly greater than the MB detection; therefore, the sample results are not impacted.
* Laboratory Duplicate QC: Duplicate relative percent differences (RPDs) were reported in the "QC Summary" section of the data package. All RPDs for detected pairs of results were within the 35% acceptance limit specified in Table 3-1 of the QAPP, except for those calculated for the following:
o LEACHATE thorium-230 RPD = 83%
o LEACHATE F gross alpha RPD = 38%
Therefore, the original sample results corresponding to the thorium-230 and gross alpha duplicates above should be considered estimated due to poor precision.
* Matrix Spike (MS): MS recoveries were reported in the "QC Summary" section of the data package and were within the accuracy control limits of 75 – 125%, except for the following MS/MSD associated with this SDG:
o LEACHATE F gross alpha MS percent recovery = 65%
o LEACHATE F gross alpha MSD percent recovery = 64%
The gross alpha sample result for LEACHATE F was reported as a detection (13.2 pCi/L) and should be considered estimated due to the low spike recoveries.
* Isotopic tracers (Alpha Spec Thorium and Uranium and Radium-228 [GFPC]): Tracer yields were presented in the data package. All percent yields were within the acceptable laboratory limits of 15 – 125%.
* Laboratory Control Sample (LCS): LCS recoveries were reported in the "QC Summary" section of the data package. All reported LCS percent recoveries were within the acceptance limits of 75 – 125%.
* Field Duplicates: No field duplicates were collected and analyzed as part of this SDG.
* Sample Reanalysis: Repreparations and reanalyses were performed on some samples in order to meet laboratory QC requirements. The following are problems that necessitated sample repreparations and/or reanalyses (more details provided in the individual analysis narratives):
o Alpha Spec Thorium
Poor tracer yields
o GFPC Gross Alpha/Beta:
Elevated MDA
o GFPC Radium-228:
Low/high recoveries
High blank recovery
* Secondary Dilutions: No secondary dilutions were necessary for samples in this SDG.
* Laboratory Case Narrative: The general narrative and individual analysis narratives are present, complete and accurate.
* Completeness: A total or 4 out of 114 total analyses were qualified as UI in this SDG, which equates to a percent completeness of 96%. Therefore the completeness goal of 90% has been met for this SDG. Additionally, the data package met the minimum reporting requirements for hardcopy data deliverables presented in Table 11-1 of the QAPP (USACE, 2001). Therefore the overall data and reporting completeness goals for this SDG have been met.
4.0 STL Data Verification Checklists
The following subsections present the checklist and summarize the findings of the data verification for each STL Lot.
4.1 STL Lot F6F210306
Lot F6F210306 included radiochemistry data for 1 unfiltered groundwater samples (W-7) and 1 filtered groundwater samples (W-7 F). Both samples were collected May 22, 2006 from the Seaway FUSRAP site located in Tonawanda, New York and were submitted to STL St. Louis. Samples were received at the laboratory on May 23, 2006. The following analyses were requested for all samples:
* Uranium and Thorium Isotopes by Alpha Spectroscopy (DOE EML HASL-300, U02-RC Modified and Th-01-RC Modified, respectively)
* Radium-226 (Lucas Cell via EPA Method 903.1 Modified)
* Radium-228 (GFPC via EPA Method 904.0 Modified)
* Cesium-137 (Gamma Spectroscopy via EPA Method 901.1)
* Gross Alpha/Beta (GFPC via EPA Method 900.0)
The chain of custody (COC no. 242481) is present, complete, and signed. The following checklist summarizes the laboratory's compliance with the appropriate review categories:
* Holding Times: The recommended holding time for radiochemistry analyses is 180 days. All analyses were performed within this specified holding time.
* Sample Results: All analyses were performed by the laboratory as requested with all sample results being reported in the data package. No data were rejected by the laboratory due to uncertain identifications.
* Sample Detections versus Analysis Uncertainties: All detections (i.e., results reported as having been greater than the MDA) were greater than the absolute values of the associated uncertainties.
* Initial and Continuing Calibration: All initial and continuing calibration data are present in the data package and the laboratory requirements have been met.
* Efficiency Checks: Presented in raw data.
* Background Counts: Presented in raw data.
* Detection Limits: Detection limits for all parameters were reported by the laboratory. Alpha spec thorium and uranium analyses met QAPP RL requirements (Table 3-6). The MDAs reported for cesium-137 (gamma spec isotope) met laboratory requirements by being less than the RL. No QAPP RL requirements were established for radium-228 (GFPC). Additionally, gross alpha and beta MDAs exceeded RLs for both the filtered and unfiltered samples due to a reduction in sample size which was attributed to the sample's high mass.
* Method Blank: All method blank results were reported in the data package. The following detection was reported for an Alpha Spec method blank (identified by MB followed by the prep batch number):
o MB 6173564 – thorium-230 = 0.12 pCi/L
However, because thorium-230 was detected at concentrations in both samples that were greater than that reported for the MB, there was no impact to the sample results.
* Laboratory Duplicate QC: Duplicate relative percent differences (RPDs) were reported for all analyte pairs; however only the thorium-230 duplicate results for sample W-7 Unfiltered were both reported as detections. The RPD for this pair exceeded the 35% acceptance limit specified in Table 3-1 of the QAPP. However, because the original sample result was reported to be between the MDA and RL, and was already qualified as estimated (J) by the laboratory for being less than the RL, the elevated RPD does not represent any further impact to the original sample result.
* Matrix Spike (MS): MS analyses were performed only for gross alpha and beta using sample W-7 Filtered. Both percent recoveries were within laboratory control limits for accuracy, but the gross alpha recovery was below the QAPP accuracy control limits of 75 – 125%. Therefore, the nondetect gross alpha sample result for W-7 Filtered should be considered estimated due to the low spike recovery.
* Isotopic tracers (Alpha Spec Thorium and Uranium and Radium-228 [GFPC]): Tracer yields are presented in the data package. All percent yields were within the acceptable laboratory limits of 15 – 125%.
* Laboratory Control Sample (LCS): All reported LCS percent recoveries were within the QAPP acceptance limits of 75 – 125%, except for gross alpha, which was within laboratory acceptance limits. Therefore, the results of both samples (W-7 Filtered and W-7 Unfiltered) should be treated as estimated.
* Field Duplicates: No field duplicates were collected and analyzed as part of this Lot.
* Sample Reanalysis: There was no evidence of sample repreparations or reanalyses in this Lot.
* Secondary Dilutions: No secondary dilutions were necessary for samples in this SDG.
* Laboratory Case Narrative: The general narrative and individual analysis narratives are present, complete and accurate.
* Completeness: Because no results were rejected, the percent completeness of this Lot was 100%. Therefore the completeness goal of 90% has been met for this Lot. Additionally, the data package met the minimum reporting requirements for hardcopy data deliverables presented in Table 11-1 of the QAPP (USACE, 2001). Therefore the overall data and reporting completeness goals for this Lot have been met.
4.2 STL Lot F6F210312
Lot F6F210312 included radiochemistry data for 1 unfiltered groundwater samples (W-7) and 1 filtered groundwater samples (W-7 F). Both samples were collected May 22, 2006 from the Seaway FUSRAP site located in Tonawanda, New York and were submitted to STL Richland. The following analyses were requested for all samples:
* Radium-226 (Alpha Scintillation via Method RICH-RC-5005 [cross-referenced to EPA Method 903.1])
A copy of an STL Inter-Company Log was provided in the data package, in lieu of a Chain of Custody form, which shows the transfer of sample from STL St. Louis to STL Richland. Both the Log and the Case Narrative indicate that although the samples were received by STL St. Louis on May 23, 2006, they were not relinquished to STL Richland for radium-226 analysis until June 21, 2006. The samples were received at STL Richland on June 22, 2006. The following checklist summarizes the laboratory's compliance with the appropriate review categories:
* Holding Times: The recommended holding time for radiochemistry analyses is 180 days. All analyses were performed within this specified holding time.
* Sample Results: Both the filtered and unfiltered analyses were performed by the laboratory as requested with sample results being reported in the data package. No data were rejected by the laboratory due to uncertain identifications.
* Sample Detections versus Analysis Uncertainties: Both sample results were reported as detections (i.e., results reported as having been greater than the MDA) that were greater than the absolute values of the associated uncertainties.
* Initial and Continuing Calibration: All initial and continuing calibration data are present in the data package and the laboratory requirements have been met.
* Efficiency Checks: Presented in raw data.
* Background Counts: Presented in raw data.
* Detection Limits: The RL reported for radium-226 analyses was 1.0 pCi/L. The corresponding sample MDAs met laboratory requirements by being less than the RL.
* Method Blank: A method blank detection of 0.114 J pCi/L was reported; however, because this is less than both sample results, the sample results are not impacted by the blank detection.
* Laboratory Duplicate QC: No laboratory duplicate was analyzed due to insufficient sample volume.
* Matrix Spike (MS): No MS was analyzed.
* Isotopic tracers (Alpha Spec Thorium and Uranium and Radium-228 [GFPC]): Tracer yields are not applicable to radium-226 analysis.
* Laboratory Control Sample (LCS): The reported LCS percent recovery (103%) was within the QAPP acceptance limits of 75 – 125%.
* Field Duplicates: No field duplicates were collected and analyzed as part of this Lot.
* Sample Reanalysis: There was no evidence of sample repreparations or reanalyses in this Lot.
* Secondary Dilutions: No secondary dilutions were necessary for samples in this SDG.
* Laboratory Case Narrative: The Case Narrative is present and complete. However, the Section V (Comments) incorrectly states the following:
"Except as noted, the LCS, batch blank, sample, sample matrix spike and the sample duplicate results are within acceptance limits."
The above statement is inaccurate as stated because, other than a method (batch) blank and LCS, no MS or sample duplicate was analyzed as part of this Lot. The section even seems to contradict itself because in the first sentence, it is indicated that there was insufficient sample volume to generate a sample duplicate. However, it's possible that the laboratory analyzed a MS and sample duplicate on a non-projectrelated sample(s) that was part of the same batch. If this is the case, then the Case Narrative is just unclear and not necessarily inaccurate.
* Completeness: Because no results were rejected, the percent completeness of this Lot was 100%. Therefore the completeness goal of 90% has been met for this Lot. Additionally, to the extent that no MS or MSD was analyzed and reported, the data package met the minimum reporting requirements for hardcopy data deliverables presented in Table 11-1 of the QAPP (USACE, 2001). Therefore the overall data and reporting completeness goals for this Lot have been met.
5.0 References
USACE 2001. Sampling and Analysis Plan, Volume 2 – Quality Assurance Project Plan, Seaway Site Areas A, B, and C, Tonawanda, New York. Prepared by SAIC for the Buffalo District, July.
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strategy+business
ISSUE 79 SUMMER 2015
The Decline of the COO
Is it time to add chief operating officers to the list of endangered species?
BY GARY L. NEILSON
In a world where succession planning is increasingly important, it's good to be the COO — right? The chief operating officer has traditionally been the number two person in the C-suite — the senior executive charged with overseeing all of the company's business operations. As such, the COO has long been viewed as the heir apparent, the leading insider candidate to succeed the chief executive officer. Yet, according to the senior executive search firm Crist Kolder Associates, the percentage of Fortune 500 and S&P 500 companies with a COO has declined steadily from 48 percent in 2000 to 36 percent in 2014.
The Decline of the COO
Is it time to add chief operating officers to the list of endangered species?
by Gary L. Neilson
The position is still valid and valuable at more than a third of the Fortune 500 and S&P 500 companies. Indeed, 44 percent of current CEOs were chief operating officers before ascending to the top spot. But the decline is unmistakable: COOs are fading from view throughout the business world. At many high-profile companies, such as McDonald's and Twitter, companies deleted the position from the organizational chart when their COO retired or resigned. At others, COOs chose not to replace themselves in that role when they were elevated to CEO.
Why are so many major corporations eliminating the role? Why are COOs-turned-CEOs doing away with their own former position and, in effect, pulling up the ladder behind them? And when does it still make sense to retain or even add the position of chief operating officer?
Based on our firm's decades of experience advising CEOs and other senior executives on organizational leadership and change, we see three major reasons for the decline of the COO: improvements in CEO management capacity, an overall trend toward flatter organizations, and a shift in the nature of succession planning. Although we expect these factors to remain in place and even to grow stronger, we shouldn't count the COO out just yet. There are still circumstances when having a COO contributes real value.
The Increasingly Effective CEO
CEOs today have greater management capacity than ever before, and they are expected by their boards to be closer to the business than they used to be. Over the past two decades, CEOs have been able to double the number of their direct reports (from five to 10, on average), because of a pronounced increase in their own leadership productivity.
The advancing sophistication and reach of new information and communications technology extends the CEO's ability to be everywhere at once. Digital communications technologies such as email, voice mail, videoconferencing, and (to a growing extent) social media enable CEOs to be more hands-on in more of the company's operations. At the same time, enhanced access to timely and customized financial and operating information, often in the form of management dashboards, brings key performance metrics to the CEO's attention on a virtually instantaneous basis.
Another factor is a trend we have observed each year in our studies of CEO succession and tenure: the increasingly common split of the chairman and CEO roles. In more companies every year, the chairman and CEO are different individuals. According to our research, the percentage of incoming CEOs who are also named chairman by their board has declined precipitously, particularly in North America — from 52 percent in 2001 to 11 percent in 2014. (See "The $112 Billion CEO Succession Problem," by Ken Favaro, Per-Ola Karlsson, and Gary L. Neilson, s+b, Summer 2015.) This division of labor enables CEOs to spend more time running the business and less time managing the board. Thus, as the number of dual CEO–chairman roles drops, we can expect a corresponding decrease in the number of COOs.
Meanwhile, boards have become more accountable, especially in the aftermath of the financial crisis. They cannot afford to be seen as rubber-stamping the CEO's decisions. They are thus more likely to want CEOs feature
Gary L. Neilson
gary.neilson@ strategyand.pwc.com is a senior partner with Strategy& based in Chicago. He focuses on operating models and organizational transformation.
to stay closer to the business. Many boards have begun to demand confirmation that CEOs are on top of the company's operations and have firsthand knowledge of their inner workings. The CEO can no longer delegate that sort of detailed insight and responsibility to the COO.
Flatter, More Focused Companies
The second factor contributing to the disappearance of the COO is the general trend toward flatter organizations and more focused portfolios. (See "How Many Direct Reports?" by Gary L. Neilson and Julie Wulf, Harvard Business Review, Apr. 2012.) As companies de-layer and concentrate more on their core capabilities, there is less need for a COO to corral and quarterback diverse operations.
This trend has long been on vivid display in the consumer packaged goods industry. Companies such as Unilever and Procter & Gamble expanded into giant multisector enterprises in the 1980s and '90s. But since 2000, they have generally shed businesses that don't fit their distinctive capabilities. The more focused they are, the more effectively they can compete. (See "The New Supercompetitors," by Thomas N. Hubbard, Paul Leinwand, and Cesare Mainardi, s+b, Autumn 2014.) As a company's businesses become more related and more concentrated, the COO's role naturally diminishes.
In most industries, chief executives are moving from a hub-and-spoke model of engagement with their top team to a more collaborative approach. The CEO and COO no longer sit in the center, receiving information and issuing directives to satellite units and functions. Instead, the CEO's direct reports work with one another as well as with the CEO, bringing their own insights and expertise to bear in a more distributed and collective approach to information sharing and decision making. This allows CEOs to manage the business more horizontally, which often leads them to remove the COO position from the hierarchy.
No More Pre-Anointed Successors
The third reason we see fewer COOs in major corporations relates to succession planning. As the perceived "CEO-in-waiting," the chief operating officer position can inhibit executive recruiting and development.
For companies looking to cultivate a broad and deep bench of executive talent, the presence of a COO can be demotivating. Crist Kolder Associates president Tom Kolder puts it this way: "We don't see many oneover-one situations anymore — where you have a COO between the CEO and the rest of the executive team. It's hard to attract a world-class chief financial officer, for example, who is not going to report directly to the CEO. The same holds true for the general counsel, the head of HR, and most staff functions."
Like organizations themselves, executive development is becoming more horizontal. When firms set up lateral executive development opportunities and rotate promising talent through operational and functional assignments around the world, they develop a robust cadre of executives who can handle the integration role previously relegated to the COO. This approach works well for companies that compete with distinctive capabilities. These companies, which often span the globe with their products, services, and capabilities, need many executives with integration skills. They can't rely on just a COO.
To extend their reach without a COO, CEOs are
The advancing sophistication of IT extends the CEO's ability to be everywhere at once.
setting up enterprise-wide governance committees and forums. These committees are given a mandate to prosecute the business of the organization — make decisions, convey information, and deliberate about the company's prospects. They also serve as powerful executive development bodies, ensuring that horizontal — often global — teaming works to knit the organization together and bring collective perspectives to bear on emerging issues.
the comprehensive organizational, operational, and cultural changes required at that moment, or simply to keep the company on track.
In short, the COO role is becoming less relevant as organizations foster a deeper, broader, and richer executive bench.
When to Keep the COO
To be sure, there are several situations in which the chief operating officer role is not only relevant, but critical to the effective governance of a company.
The first is when companies wish to be transparent about their succession plan. Our research confirms that planned succession events have been on the rise since 2000, significantly so since 2009. Appointing a COO can be one way to advertise that a company has succession planning well in hand. The sitting CEO may have made clear that he or she will retire or resign in six months to two years, providing the board with a window to groom a single candidate for the role. Naming a COO helps make that handoff as seamless as possible and enables the "road testing" of external hires.
Second, sometimes the CEO needs to step away from the day-to-day and focus on more strategic concerns. The company may have a significant restructuring agenda that requires the CEO's dedicated attention, or it may be undergoing a transformational shift. The CEO needs a senior operational executive — one with an enterprise-wide perspective — to be on point to drive
Third, the COO can be a useful counterbalance in the C-suite. The CEO may be a strong leader but lack operational experience. He or she may be new to the enterprise. "There are also instances where there are a number of candidates vying for the CEO chair, and there is significant value in keeping the runner-up involved in the company," notes Kolder.
In these situations, the board may wish to complement the CEO's experiences, abilities, and skills with those of a strong COO, thus creating a more complete set of competencies at the top. When they work, these combinations stimulate the performance of both the CEO and the COO (and sometimes the CFO as well), by creating a dynamic in which each challenges the other to excel. +
Reprint No. 00328
Resources
Crist Kolder Associates, Volatility Report 2014: Trends in CEO recruiting and succession, based on a survey of 669 Fortune 500 and S&P 500 companies.
Matthew Daneman, "Companies Do Away with Chief Operating Officers," USA Today, Aug. 26, 2014: One source of references to McDonald's and Twitter eliminating the COO role.
Thomas N. Hubbard, Paul Leinwand, and Cesare Mainardi, "The New Supercompetitors," s+b, Autumn 2014: Explains the trend toward greater focus by leading companies in each industry.
Gary L. Neilson and Julie Wulf, "How Many Direct Reports?" Harvard Business Review, Apr. 2012: Research-based guide to the appropriate span of control for CEOs, COOs, and other top executives.
More thought leadership on this topic: strategy-business.com/strategy_and_leadership feature
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WHAT'S NEW FOR LOUISIANA 2023 INDIVIDUAL INCOME TAX?
Filing Status – Line 5 – The filing status of qualifying widow(er) has been updated to Qualifying Surviving Spouse to reflect current terminology.
SCHEDULE J – NONREFUNDABLE PRIORITY 3 CREDITS
Electric and Hybrid Vehicle Road Usage Fee – Line 22B – Act 578 of the 2022 Regular Legislative Session levies a road usage fee to be paid by the owner or lessee of an electric or hybrid vehicle registered and operated in Louisiana during the calendar year. The fee is based on a calendar year and is prorated if the vehicle was owned or leased for less than a year. The fee is dedicated to state and local transportation and development funds and is to supplement the "road tax" paid on gas. Use Form R-19000A, Schedule A for Electric and Hybrid Vehicle Road Usage Fee, to calculate your fee and attach it to your return. You may attach multiple copies if you own more than two vehicles. See the instructions to Form R-19000. For additional information, see LAC 61:I.5501 and LDR's website. (R.S. 32:461)
SCHEDULE D – DONATIONS
Holden's Hope – Line 21 – You may donate all or part of your adjusted overpayment to Holden's Hope to support families of infants who have long medical stays in the hospital and families coping with miscarriages, stillbirths or the loss of an infant. For more information, visit www. holdenshopeforever.org.
SCHEDULE E – ADJUSTMENTS TO INCOME
Add Back of Pass – Through Entity Loss – Line 2D and Pass – Through Entity Exclusion Deduction – Code 24E – Instructions were updated to clarify that you must attach a copy of Form R-6981, Louisiana Statement of Owner's Share of Entity Level Tax Items, and a pro forma Federal Form 1040 that excludes any income, deductions or other tax items that were included in the calculation of Louisiana net income on the entity's Louisiana Form CIFT-620. The amount that you can exclude using Code 24E is the difference in Federal AGI calculated on your Federal Form 1040 and the pro forma Federal Form 1040. If the difference is a loss, the loss must be added to your Federal AGI on Line 2D.
Capital Gain from Sale of Louisiana Business – Code 20E – Instructions were updated to refer taxpayers to Form R-6180, Net Capital Gains Deduction Worksheet, for more information and for the documentation required to be attached to your return.
SCHEDULE F – REFUNDABLE PRIORITY 2 CREDITS
School Readiness Child Care Directors and Staff – Code 66F and Line 5A – The credit is for eligible child care directors and eligible child care staff based on certain attained qualifications. The amount of the credit is adjusted each year if there is an increase in the Consumer Price Index Urban (CPI-U). The credit amount for 2023 can be found at www.revenue. louisiana.gov/SchoolReadiness. You must enter the facility license number from Form R-10615 on Line 5A and attach a copy of Form R-10615 to your return. Failure to do so will result in processing delays. For more information regarding this credit, contact the Louisiana Department of Education. (R.S. 47:6106)
Adoption of Unrelated Infant – Code 78F – Act 452 of the 2023 Regular Legislative Session allows a refundable credit of $5,000 for the adoption of a child who is unrelated to the taxpayer and who is less than three years of age. An adoption of an infant from foster care does not qualify for the credit. The credit is taken for the year in which the adoption becomes final. You cannot take both this credit and the deduction for certain adoptions on Schedule E for the adoption of the same child. Attach a copy of the adoption order or decree and a letter from the private agency or attorney stating the date of placement.
Historic Residential – This credit is no longer available because Act 272 of the 2013 Regular Legislative Session ended the credit effective December 31, 2017.
www.revenue.louisiana.gov
Child Care Credit Carried Forward From 2018 through 2022 – Line 3 – The child care tax credit for taxpayers whose federal adjusted gross income exceeds $25,000 may not be refunded, and any unused credit amounts can be used over the next five years. For the 2023 tax year, credits from 2018 through 2022 can be applied on Line 3. Any remaining child care credit from 2017 cannot be applied to the 2023 tax liability. (R.S. 47:297.4)
School Readiness Credit Carried Forward From 2018 through 2022 – Line 5 – The school readiness credit for taxpayers whose federal adjusted gross income exceeds $25,000 may not be refunded, and any unused credit amounts can be used over the next five years. For the 2023 tax year, credits from 2018 through 2022 can be applied on Line 5. Any remaining child care credit from 2017 cannot be applied to the 2023 tax tax liability. (R.S. 47:6104)
Motion Picture Investment – Code 251 and Motion Picture Infrastructure – Code 561 – Act 411 of the 2023 Regular Legislative Session prohibits a taxpayer from using a credit if there exists a delinquent federal, state, or local tax obligation. The taxpayer must certify that there is no delinquent federal, state, or local tax obligation on Form R-90150, Taxpayer Certification of Compliance of Tax Obligations for the Motion Picture Production Credit. This form must be attached to the return.
Historic Structures – Code 253 – Act 426 of the 2023 Regular Legislative Session expands the credit to include expenditures which are incurred on or after January 1, 2023 and to allow the credit for expenditures related to the rehabilitation of a historic structure contributing to the National Register of Historic Places. In addition, Act 426 increases the credit and provides a different rate for qualifying structures located in a rural area for taxable periods beginning on or after January 1, 2023, and before January 1, 2029. (R.S. 47:6019)
Firearm Safety Devices – Code 465 – Act 403 of the 2023 Regular Legislative Session provides a credit for the purchase of one or more firearm safety devices from a federally licensed dealer in a single transaction. Only one credit can be earned per return in a tax year. The credit is for the amount paid for the qualifying items, including sales tax, limited to $500. "Firearm" means any pistol, revolver, rifle, shotgun, machine gun, submachine gun, black powder weapon, or assault rifle which is designed to fire or is capable of firing fixed cartridge ammunition or from which a shot or projectile is discharged by an explosive. "Firearm safety device" means a safe, gun safe, gun case, lock box, or other device that is designed to be or can be used to store a firearm and that is designed to be unlocked only by means of a key, a combination, or other similar means. Only $500,000 in credits can be granted in a year. A copy of the receipt must be attached to the return as documentation of the credit.
Biomed/University Research – This credit is no longer available because Act 386 of the 2017 Regular Legislative Session ended the credit effective July 1, 2017.
Digital Interactive Media – This credit is no longer available because the time to carry forward unused credits has ended.
VISIT THESE LDR WEBSITES:
* www.revenue.louisiana.gov/taxforms for forms and instructions.
* www.revenue.louisiana.gov/individuals for tax information.
* www.revenue.louisiana.gov/fileonline for free filing options.
* www.revenue.louisiana.gov/latap for free payment options.
General Information for Filing Your 2023 Louisiana Resident Individual Income Tax Return!
* Free internet filing is available for most Louisiana taxpayers at www.revenue.louisiana.gov/fileonline.
* Use black ink only.
* See page 15 for What's New for 2023.
WHO MUST FILE A RETURN
FORMS
1. If you are a Louisiana resident who is required to file a federal individual income tax return, you must file a Louisiana income tax return reporting all income earned in 2023.
2. You must file a return to obtain a refund or credit if you overpaid your tax through withholding, declaration of estimated tax, credit carried forward, or by claiming a 2023 refundable child care credit, or a Louisiana earned income credit.
3. If you are not required to file a federal return but had Louisiana income tax withheld in 2023, you must file a return to claim a refund of the amount withheld. Refer to the IRS requirements for filing in order to determine if you must file a federal return. For additional information, see the NOTE on page 1.
4. Military – If you are military personnel whose home of record is Louisiana and you meet the filing requirements of 1 or 2 above, you must file a return and report all of your income, regardless of where you were stationed. If you are single, you should file Form IT-540, Louisiana Resident Individual Income Tax Return, reporting all of your income to Louisiana. If you are married and both you and your spouse are residents of Louisiana, you should file Form IT-540 reporting all of your income to Louisiana.
Any military personnel whose domicile is NOT Louisiana must report any nonmilitary Louisiana sourced income on Form IT-540B, Louisiana Nonresident Individual Income Tax Return. The federal Military Spouses Residency Relief Act has extended certain residency protections to spouses of military members. Under this Act, a spouse's state of residence does not change when he or she moves to a new state to be with a servicemember who is under military orders to be in the new state. A spouse who is NOT a resident of Louisiana but is in Louisiana solely to be with a Louisiana stationed servicemember who is NOT a resident of Louisiana must report all Louisiana sourced income other than wages, interest, or dividends on Form IT-540B. Income earned within or derived from Louisiana sources, such as rents, royalties, estates, trusts, or partnerships, is taxable to Louisiana. See Revenue Information Bulletin 10-005 for more information.
If you are married and one of you is not a resident of Louisiana, you may file as a resident (Form IT-540) or a nonresident (Form IT-540B), whichever is more beneficial to you and your spouse. Resident taxpayers are allowed a credit for income tax paid to another state on nonmilitary income or on income earned by your spouse if that income is included on the Louisiana return. Use Nonrefundable Priority 1 Credits, Schedule C, Line 1 to report taxes paid to another state.
Louisiana residents who are members of the armed services and were stationed out-of-state for 120 or more consecutive days on active duty may be entitled to an exemption of up to $50,000 of military income. See the instructions for Schedule E, Code 10E.
5. Professional Athletes – Louisiana Administrative Code (LAC) 61:III.1527 requires all professional athletes that participate in athletic events within Louisiana to file all tax returns electronically. Nonresident professional athletes must file Form IT-540B and Schedules NRPA-1 and NRPA-2, electronically.
6. A temporary absence from Louisiana does not automatically change your domicile for income tax purposes. You must confirm your intention to change your domicile to another state by actions taken to establish a new domicile outside of Louisiana and by actions taken to abandon the Louisiana domicile and its privileges. Examples of establishing a domicile include registering to vote, registering and titling vehicles, obtaining a driver's license, changing children's school of attendance, obtaining a homestead exemption, or any other actions that show intent to establish a new domicile outside of Louisiana. These are intended as examples and do not necessarily indicate a change in domicile. You are considered to be a Louisiana resident if you continue to maintain a residence in Louisiana while working in another state. Use Nonrefundable Priority 1 Credits, Schedule C, Line 1 to report taxes paid to another state.
7. Surviving Spouses, Executors, Administrators, or Legal Representatives – A final return for a decedent must be filed if you are the surviving spouse, executor, administrator, or legal representative, and the decedent met the filing requirements at the date of death. If both conditions apply, mark the decedent box on the face of the return for the appropriate taxpayer and attach a copy of the death certificate. If a refund is due to the decedent's estate, survivor, etc., you must also complete and attach Form R-6642, Refund Claim on Behalf of Deceased Taxpayer. The surviving spouse, executor, administrator, or legal representative may claim the credit for Funeral and Burial Expense for a Pregnancy-related Death on the final return if applicable. See the instructions for the credit for more information.
Forms and instructions are on the Louisiana Department of Revenue (LDR) website, www.revenue.louisiana.gov/taxforms.
AMENDED RETURNS
If you file your income tax return and later become aware of any changes you must make to income, deductions, exemptions, or credits, you must file an amended (corrected) Louisiana return. You must use the correct form for the tax year being amended, mark an "X" in the "Amended Return" box on the face of the return, include an explanation of the change and a copy of the federal amended return, Federal Form 1040X, if one was filed. If you are amending your income tax return due to utilizing a Net Operating Loss (NOL) carryback, you must mark an "X" in the "Amended Return" box and also in the "NOL Carryback" box on the face of the return, include an explanation of the change and a copy of the federal amended return, Federal Form 1040X, if one was filed.
NOTE: Do not make any adjustments for refunds received or for pay ments made with the original return. This information is already on file.
FEDERAL TAX ADJUSTMENTS
Louisiana Revised Statute (R.S.) 47:103(C) requires taxpayers whose federal returns are adjusted to furnish a statement disclosing the nature and amounts of the adjustments within 60 days after the adjustments have been made and accepted. This statement must accompany the amended state return.
WHEN TO FILE
1. A 2023 calendar year return is due on or before May 15, 2024.
2. Returns for fiscal years are due on or before the 15th day of the fifth month after the close of the taxable year.
3. If the due date falls on a weekend or legal state holiday, the return is due the next business day.
WHERE TO FILE AND PAY TAX
Enter your legal name and Social Security Number on your return and any correspondence. NOTE: On a joint return, list the names and the Social Security Numbers on Form IT-540 in the same order that you listed them on your federal return.
A return for which a payment is due must be mailed to P.O. Box 3550, Baton Rouge, LA 70821-3550. Print the last four digits of your Social Security Number on your check or money order. DO NOT SEND CASH. An electronic payment option is available on the LDR website at www.revenue.louisiana.gov/latap.
You can also pay your taxes by credit card over the internet or by telephone. Visit www.revenue.louisiana.gov for more information.
All other individual income tax returns must be mailed to P.O. Box 3440, Baton Rouge, LA 70821-3440.
EXTENSION OF TIME FOR FILING A RETURN
If you know you cannot file your return by the due date, you do not need to file for an extension. You will automatically be granted an extension of six months to November 15, 2024.
Important: An extension does not relieve you of your obligation to pay all tax amounts due by the original due date. If you anticipate that you will owe additional tax on your return, then you should submit your payment with a payment voucher (Form R-2868V) by May 15, 2024. An extension means only that you will not be assessed a delinquent filing penalty for filing your return after the due date but before the extended due date. Interest on the additional tax due from the due date of the return and any penalties will be assessed if applicable. If you file your return after the extended due date, you will be assessed delinquent filing penalty from the original due date of the return. NOTE: No paper or electronic extension form needs to be filed to obtain the automatic extension.
INSTALLMENT REQUEST
If you are unable to pay the balance in full by the due date, you may submit an installment request using Form R-19026, Installment Request for Individual Income, which is available on the LDR website. You may also submit the request by accessing your account at www.revenue.louisiana.gov/latap. There is a fee of $105 to establish a standard installment payment agreement.
INTEREST AND PENALTIES
See Interest and Penalty Calculation Worksheet later in the instructions.
KEEP YOUR RECORDS You should keep copies of federal and state tax returns and W-2 statements for four years. In most cases, you do not have to submit a copy of your federal return with your state return unless requested by LDR.
GENERAL INFORMATION
CONSUMER EXCISE TAX RETURN
ELECTRIC AND HYBRID VEHICLE ROAD USAGE FEE
Louisiana imposes an excise tax on tobacco products and alcoholic beverages. If you purchased any of these products on the internet or through the mail, you are required to pay the excise tax on those products. You must use Form R-5629, Consumer Excise Tax Return, to report and pay the tax due on these products.
Louisiana imposes a road usage fee on the owner or lessee of an electric or hybrid vehicle registered and operated in Louisiana during the calendar year as provided by R.S. 32:461. The fee is dedicated to state and local transportation and development funds and is to supplement the "road tax" paid on gas. The fee for 2023 is due on or before May 15, 2024. See the instructions for Line 22B for more information.
Instructions for Preparing Your 2023 Louisiana Resident Income Tax Return Form (IT-540)
ABOUT THIS FORM
The return has been designed for electronic scanning, which permits faster processing with fewer errors. In order to avoid unnecessary delays caused by manual processing, taxpayers should follow the guidelines listed below:
status is Qualifying Surviving Spouse. You must claim an exemption for yourself on Line 6A, even if someone else claimed you on their federal tax return. This box has already been marked with an "X" for you.
1. Enter amounts only on those lines that are applicable.
2. Use only a pen with black ink.
3. Because this form is read by a machine, enter your numbers inside the boxes like this:
0123456789X
4. All numbers should be rounded to the nearest dollar. Numbers should NOT be entered over the pre-printed zeros, in the boxes on the far right, which are used to designate cents (.00).
5. To avoid any delay in processing, use this form for 2023 only.
6. If you are filing an amended return, mark an "X" in the "Amended Return" box on the face of the return.
Nonresidents must use Form IT-540B to file their Louisiana return. Part-year residents have the option to file a resident or nonresident return, whichever is more beneficial. See Revenue Ruling 05-008 on LDR's website. Nonresident professional athletes must electronically file Form IT-540B and Schedules NRPA-1 and NRPA-2.
NAME, ADDRESS, AND SOCIAL SECURITY NUMBER – Enter your legal name, address, daytime telephone number, Social Security Number, and date of birth on your return. For the unit type, use postal abbreviations such as APT, FL, STE, and RM. If you have a foreign address, enter the city name in the appropriate space. Follow the country's practice for entering the postal code and the name of the province, county, or state. Enter the foreign country name in the appropriate space. Do not abbreviate the country name.
If there is a change in your name or address since last year's return (for example, new spouse), mark an "X" in the "Name Change" or "Address Change" box. LDR automatically updates your account when you change your address with the Post Office. A direct address change can be accomplished by marking the "Address Change" box when filing your return, or can be submitted by accessing your account at www.revenue. louisiana.gov/latap. If married, enter Social Security Numbers and dates of birth for both you and your spouse. On a joint return, your names and Social Security Numbers must be listed in the same order that you listed them on your federal return.
NOTE: If you are not required to file a federal return, but had Louisiana income tax withheld in 2023, complete Lines 1 through 6F. In the appro priate boxes above Line 7, enter the total amount of wages and income and mark the box to the right. Skip to Line 12, enter zero "0" and complete the remainder of the return. You must enter the total amount of wages and income in the boxes above Line 7. Failure to do so will result in processing delays.
Lines 1-5 – Filing status – You must use the same filing status on your Louisiana return as you did on your federal return. In the box on the left, enter the number corresponding to your filing status: "1" for Single, "2" for Married Filing Jointly, "3" for Married Filing Separately, "4" for Head of Household, and "5" for Qualifying Surviving Spouse. Head of Household status is for unmarried people who paid over half the cost of keeping up a home for a qualifying person. If you file as Head of Household or Qualifying Surviving Spouse, you must show the child's name if the qualifying person is a child but not your dependent.
Lines 6A and 6B – Exemptions – Mark an "X" in the appropriate boxes. You must use the same number of exemptions on your Louisiana return as you did on your federal return, unless: you are listed as a dependent on someone else's return, you are age 65 or over, you are blind, or your filing www.revenue.louisiana.gov
Line 6C – Enter the names of the dependents claimed on your federal return. Complete the required information. If you have more than 6 dependents, attach a statement to your return with the required information. In the box on Line 6C, enter the total number of dependents claimed.
Line 6D – Add Lines 6A, 6B, and 6C.
Line 6E – If you are claiming the deduction for certain adoptions on Schedule E, enter the number of dependents included on Line 6C for whom you are claiming the deduction. You must show the child's name on the line provided. If more space is needed, attach a statement to your return with the required information. Do not include on this line dependents you adopted that qualify you for the credit for adoption of unrelated infant on Schedule F.
Line 6F – Subtract Line 6E from Line 6D.
Line 7 – Enter the amount of your Federal Adjusted Gross Income (Federal AGI). This amount is taken from Federal Form 1040 or 1040-SR, Line 11. If your Federal AGI is less than zero, enter "0."
If you have any exempt income or deductions other than what is reported on Line 8D, you need to complete Schedule E to determine your Louisiana Adjusted Gross Income. Mark an "X" in the box on Line 7 if the amount from Schedule E, Line 5, is used.
Lines 8A through 8D – If you did not itemize your deductions on your federal return, skip Lines 8A, 8B, 8C, and 8D and go to Line 9.
Line 8A – If you itemized your deductions on your federal return, enter the amount of your federal itemized deductions, shown on Federal Form 1040 or 1040-SR, Schedule A, Line 17.
Line 8B – If you itemized your deductions on your federal return, enter the amount of your allowable federal itemized deduction for medical and dental expenses, shown on Federal Form 1040 or 1040-SR, Schedule A, Line 4.
Line 8C – If you itemized your deductions on your federal return and your filing status is 1 or 3, enter $13,850; 2 or 5, enter $27,700; 4, enter $20,800.
Line 8D – Subtract Line 8C from Line 8B. If less than zero, enter zero "0."
Line 9 – Subtract Line 8D from Line 7. If less than zero, enter zero "0."
Line 10 – Use the tax table that corresponds with your filing status. Locate the amount of your tax table income from Line 9 in the first two columns of the tax table. Read across to the column numbered the same as the total number of exemptions claimed on Line 6F. The amount shown in that column is your Louisiana tax liability. Enter this amount on Line 10. If you have more than 8 exemptions, refer to the instructions at the top of the tax tables.
Line 11 – Enter the amount of the Nonrefundable Priority 1 Credits from Form IT-540, Schedule C, Line 6.
Line 12 – Subtract Line 11 from Line 10. If the result is less than zero or if you are not required to file a federal return, enter zero "0" and complete the remainder of the return.
Line 13 – Enter the amount of your Louisiana Refundable Child Care Credit from the 2023 Louisiana Refundable Child Care Credit Worksheet, Line 11. This worksheet must be attached to your return. Your Federal Adjusted Gross Income must be $25,000 or less to claim a credit on this line. See the Louisiana Child Care Credit instructions. Retain copies of canceled checks, receipts, and other documentation in order to support the amount of qualifying expenses or submit this documentation with the return for faster processing.
Line 13A – Enter the amount from the 2023 Louisiana Refundable Child Care Credit Worksheet, Line 3.
Line 13B – Enter the amount from the 2023 Louisiana Refundable Child Care Credit Worksheet, Line 6.
Instructions for Preparing Your 2023 Louisiana Resident Income Tax Return ...Continued
Line 14 – Enter the amount of your 2023 Louisiana Refundable School Readiness Credit. Your Federal Adjusted Gross Income must be $25,000 or less to claim a credit on this line. The amount is determined from your Louisiana Refundable School Readiness Credit Worksheet. This worksheet must be attached to your return. In the boxes under Line 14, enter the number of your qualified dependents who attended the associated star rated facility or facilities.
Line 15 – Enter the amount of your Louisiana Earned Income Credit (LA EIC). If you claimed a Federal Earned Income Credit (EIC), you are entitled to a LA EIC as provided under R.S. 47:297.8. The refundable credit is equal to 5 percent of your Federal EIC. The Louisiana Earned Income Credit Worksheet must be attached to your return.
Line 16 – Enter the amount of the Other Refundable Priority 2 Credits from Form IT-540, Schedule F, Line 9.
Line 17 – Add Lines 13, and 14 through 16. Do not include amounts on Lines 13A and 13B.
Line 18 – If Line 12 is greater than Line 17, subtract Line 17 from Line 12. Also, enter a zero "0" on Line 19 and go to Line 20. Otherwise, enter a zero "0" on Line 18 and go to Line 19.
Line 19 –If Line 17 is greater than Line 12, subtract Line 12 from Line 17.
Line 20 –Enter the amount of the Nonrefundable Priority 3 Credits from
Form IT-540, Schedule J, Line 16. These credits are limited to the tax liability calculated on Line 18.
Name Boxes – Enter the first 4 letters of the primary taxpayer's last name in the boxes at the bottom of the second, third, and fourth pages.
Line 21 – Subtract Line 20 from Line 18. If less than zero, enter zero "0."
Line 22A – During 2023, if you purchased goods for use in Louisiana from outside the state and were not charged Louisiana state sales tax, you are required to file and pay the tax directly to LDR. This includes purchases from catalogs, television, Internet, another state, or outside the U.S. If any of the items were alcoholic beverages or tobacco products, you are required to file Form R-5629. Use the Consumer Use Tax Worksheet below to calculate your use tax. Do not include any consumer use tax reported for 2023 on Form R-1035, Consumer Use Tax Return, or purchases made for your business. You must register your business with LDR and report the use tax for your business under that account. Mark an "X" in the box to indicate if no use tax is due or the amount is from the Consumer Use Tax Worksheet.
Line 22B – During 2023, if you owned or leased an electric or hybrid vehicle that was registered and operated in Louisiana, you are required to file and pay a road usage fee directly to LDR under R.S. 32:461. The fee is for the calendar year and is prorated if the vehicle was owned or leased for less than a year. The fee is dedicated to state and local transportation and development funds and is to supplement the "road tax" paid on gas. Use Form R-19000A, Schedule A for Electric and Hybrid Vehicle Road Usage Fee, to calculate your fee and attach it to your return. You may attach multiple copies if you own more than two vehicles. See the instructions to Form R-19000. For additional information, see LAC 61:I.5501 and LDR's website. Mark an "X" in the box to indicate if no road usage fee is due or the amount is from Form R-19000A.
Line 23 – Add Lines 21, 22A, and 22B.
Line 24 – Enter the amount from Line 19, if applicable.
Line 25 – Enter the amount of the Refundable Priority 4 Credits from Form
IT-540, Schedule I, Line 6.
Line 26 – Enter the amount of Louisiana income tax withheld in 2023. You must attach copies of all W-2 and 1099 forms that indicate tax was withheld.
Line 27 – Enter the amount of any credit carried forward from 2022. This amount is shown on your 2022 Form IT-540, Line 36, or IT-540B, Line 38.
Line 28 – Enter the total amount of estimated payments you made for the 2023 tax year.
Line 29 – Enter the amount of extension payment you made for the 2023 tax year.
Line 30 – Add Lines 24 through 29.
Line 31 – Overpayment – If Line 30 is greater than Line 23, subtract Line 23 from Line 30. Your overpayment may be reduced by the Underpayment of Estimated Tax Penalty. If Line 30 is equal to Line 23, enter a zero "0" on Lines 31 through 38 and go to Line 39. If Line 30 is less than Line 23, enter a zero "0" on Lines 31 through 37 and go to Line 38.
Line 32 – See instructions for Underpayment Penalty.
Line 33 – If Line 31 is greater than Line 32, subtract Line 32 from Line 31 and enter the balance on Line 33. If Line 32 is greater than Line 31, enter zero "0" on Lines 33 through 37, subtract Line 31 from Line 32, and enter the balance on Line 38.
Line 34 – You may donate all or part of your overpayment (Line 33) to various organizations or funds listed on Schedule D, Lines 2 through 21. Enter the amount from Schedule D, Line 22. This amount cannot be greater than Line 33.
Line 35 – Subtract Line 34 from Line 33. This amount of overpayment is available for credit or refund.
Line 36 – Enter the amount of available overpayment shown on Line 35 that you wish to credit to 2024.
Line 37 – Subtract Line 36 from Line 35. This amount is to be refunded. You must select how you want to receive your refund. If this is your first time filing, your refund cannot be directly deposited. Enter a "2" in the box if you want to receive your refund by paper check. Enter a "3" in the box if you want your refund directly deposited into your bank account. Carefully enter the information in the boxes to indicate the type of bank account, the routing number, and the account number. Your nine digit routing number appears under the memo line of your check; your bank account number will appear to the right of your routing number. You are required to answer the question regarding the location of the bank account. If the information is unreadable or if you do not select a method to receive your refund, you will receive your refund by paper check. Option 1 was omitted intentionally.
Line 38 – If Line 23 is greater than Line 30, subtract Line 30 from Line 23. If you entered an amount from Line 33 as the result of an underpayment penalty exceeding an overpayment, complete Lines 39 through 41, enter zero "0" on Lines 42 through 44, and go to Line 45.
Lines 39 through 41 – You may make a donation to the funds listed on Lines 39 through 41.You must include payment for the amount being donated with your return. The donation will not be made unless you make payment and the donation cannot be refunded at a later date.
Line 42 – Interest is charged on all tax amounts not paid by the due date. Enter the amount from the Interest Calculation Worksheet, Line 5.
Consumer Use Tax Worksheet
Under La. R.S. 47:302(K), LDR is required to collect a 8.45 percent tax on out-of-state purchases subject to use tax. This 8.45 percent rate (which includes 4 percent to be distributed by LDR to local governments) is in lieu of the actual rate in effect for your area, and is payable regardless of the actual combined state and local rate for your area. See the instructions for Line 22A for more information.
This law ensures that Louisiana businesses are not at a competitive disadvantage with out-of-state businesses who are not required to collect sales tax.
1. Taxable purchases ..............$.00
Tax rate (8.45 percent) ........
2. Total use tax due .................$
2
X .0845
.00
www.revenue.louisiana.gov
☛ Enter here and on Form IT-540, Line 22A.
Instructions for Preparing Your 2023 Louisiana Resident Income Tax Return ...Continued
Line 43 – If you fail to file your tax return by the extended due date – on or before November 15, 2024, for calendar year filers, or on or before your fiscal year extended due date, you may be charged a delinquent filing penalty. Enter the amount from the Delinquent Filing Penalty Calculation Worksheet, Line 3.
Line 44 – If you fail to pay the tax due by the due date – on or before May 15, 2024, for calendar year filers, you may be charged a delinquent payment penalty. Enter the amount from the Delinquent Payment Penalty Calculation Worksheet, Line 7.
Line 45 – See the instructions for Underpayment Penalty.
Line 46 – Add Lines 38 through 45. You may make an electronic payment at www.revenue.louisiana.gov/latap. You may also make payment by check or money order. DO NOT SEND CASH. Make your check or money order payable to the Louisiana Department of Revenue. Print the last four digits of your Social Security Number on your check or money order and attach it to your return.
You can also pay your taxes by credit card over the internet or by telephone. Visit www.revenue.louisiana.gov/MakeAPayment for more information.
Social Security Numbers – Enter your social security number in boxes provided on each page of your return.
Name Boxes – Enter the first 4 letters of the primary taxpayer's last name in the boxes under the signature line.
Filing – YOU MUST SIGN AND DATE YOUR RETURN. If married filing jointly, both spouses must sign.
Paid Preparer Instructions – If your return was prepared by a paid preparer, that person must also sign in the appropriate space, complete the information in the "Paid Preparer Use Only" box and enter his or her identification number in the space provided under the box. If the paid preparer has a Preparer Tax Identification Number (PTIN), the PTIN must be entered in the space provided under the box; otherwise enter the Federal Employer Identification Number (FEIN) or LDR account number. If the paid preparer represents a firm, the firm's FEIN must be entered in the "Paid Preparer Use Only" box. The failure of a paid preparer to sign or provide an identification number will result in the assessment of the unidentified preparer penalty on the preparer. The penalty of $50 is for each occurrence of failing to sign or failing to provide an identification number.
DO NOT SUBMIT A PHOTOCOPY OF THE RETURN. Only submit an original return.
General Information Regarding Tax Credits and Pass-through Entity Tax Election
If a schedule is required in the instructions below, you must attach a separate schedule for each credit claimed. The schedule should clearly identify the credit, your name, and your Social Security Number. If documentation is required, you must submit the documentation with your return. For faster processing, you can upload all required information when you file your return electronically. Revenue Information Bulletins are posted on www.revenue.louisiana.gov/policies under Policy Documents.
A shareholder, partner or member of an S corporation or other passthrough entity must attach a copy of the Schedule K-1 and other documentation required to substantiate their share of any credit passed down from the entity.
to pay Louisiana income tax at the entity level, any credits earned by the entity for 2023 cannot be used on the individual income tax return. Credits earned in the year the election was made or after the election was made are tax items of the entity, and the credit and its future carryforward must be reported on the entity's return. Tax credits earned in tax years prior to the election that have previously passed through to the owners are tax items of the owners, and any credit carryforward remaining can only be used on the individual income tax return.
Note: If you are claiming a credit that is recorded in the Tax Credit Registry, you must attach a copy of Form R-6135, Credit Registration Form, to the return and list the State Certification Number in the appropriate space on the return.
See Revenue Information Bulletin 14-005 for information on the Tax Credit Registry and Revenue Information Bulletin 17-008 for claiming a purchased transferable tax credit.
If the income earned by a trust, or estate as a member, shareholder, or partner of an electing entity is distributed to a beneficiary filing an individual income tax return in Louisiana in the same taxable year it is earned, the individual is allowed to take the exclusion of the distributed income on their individual income tax return for that taxable year. If the income earned by a partnership as a member, shareholder, or partner of an electing entity is included on individual income tax return in Louisiana in the same taxable year it is earned, the individual is allowed to take the exclusion of the distributed income on their individual income tax return for that taxable year.
Pass-through Entity Tax Election: If you are a shareholder, member, or partner of an entity that has made the pass-through entity tax election
See Revenue Information Bulletin 19-019 and LAC 61:l.1001(C)(6) for more information.
Instructions for Nonrefundable Priority 1 Credits, Schedule C
Line 1 – If you are a resident of Louisiana, you are allowed a credit for income taxes paid to other states for income reported on your Louisiana return (R.S.47:33). Note that you may not claim the tax withheld; you must file a return with the other state and claim the tax actually paid. You may not claim credit for taxes paid to cities or foreign countries. See Revenue Ruling 02-013 for information on taxes paid to the District of Columbia.
The credit is allowed ONLY if the other state does not allow a nonresident credit against the income taxes imposed by that state for taxes paid or payable to the state of residence. The credit is limited to the amount of Louisiana income tax that would have been imposed if the income earned in the other state had been earned in Louisiana.
The credit is equal to the lesser of the amount of taxes paid to the other state or the amount determined by multiplying the taxpayer's Louisiana income tax liability by a fraction, the numerator of which is the taxpayer's Louisiana tax table income attributable to the other state to which net income taxes were paid, and the denominator of which is total Louisiana tax table income. See Revenue Information Bulletin 16-052 for information on qualifying states. A copy of the returns filed with the other states and Form R-10606, Supplemental Worksheet for Credit for Taxes Paid to Other States, must be attached to your return. If the taxes were paid on your behalf on a composite return to another state, copies of the return for the other state and your Schedule K-1 must be attached to the return.
www.revenue.louisiana.gov
Line 1A – Enter the total from Form R-10606, Column 8, Line 15.
Line 1B – Enter the total from Form R-10606, Column 9, Line 15.
Additional Nonrefundable Priority 1 Credits, Lines 2 through 5 Additional nonrefundable credits available for the tax year ending December 31, 2023, are referenced individually by a three-digit code. Please enter the credit description, identifying code, and the dollar amount claimed in the appropriate spaces on Lines 2 through 5.
NOTE: Use only the codes referenced in the table on Schedule C. The codes listed here are not interchangeable with other codes listed in this booklet.
Example:
Credit Description
Code Amount of Credit Claimed
Premium Tax
1 0 0 5 0 0.
Line 6 – Add Lines 1B, and 2 through 5. Also, enter the amount on Form IT–540, Line 11.
CREDIT DESCRIPTION
100 – Premium Tax – R.S. 47:227 provides a credit for premium taxes paid during the preceding 12 months by an insurance company authorized to do business in Louisiana. The credit may be passed through to individuals who are shareholders or members of certain legal entities. A schedule must be attached listing the entities that paid the premium tax and generated the credit on behalf of the individual.
CODE
be deducted as an expense for income tax purposes. The credit can only be passed through to individuals who are shareholders or members of certain legal entities. The amount of the credit is equal to 18 percent of the bone marrow donor expense paid or incurred by the employer during the tax year.
120 – Bone Marrow – R.S. 47:287.758 provides a credit to employers authorized to do business in the state who incur bone marrow donor expense by developing a bone marrow donation program, educating employees related to bone marrow donations, making payments to a health care provider for determining tissue types of potential donors, and paying wages to an employee for time related to tissue typing and bone marrow donation. If the wage expense is used to obtain the credit, it cannot
150 – Qualified Playgrounds – R.S. 47:6008 provides a credit for donations to assist qualified playgrounds. The credit is for the lesser of $720 or 36 percent of the value of the cash, equipment, goods, or services donated. For more information on this credit, see Revenue Ruling 02-020.
155 – Debt Issuance – R.S. 47:6017 provides a credit for 72 percent of the amount of the filing fee paid to the Louisiana State Bond Commission, which is incurred by an economic development corporation in the preparation and issuance of bonds.
199 – Other – Reserved for future credits.
Instructions for Donations, Schedule D
Line 1 – Enter the amount of adjusted overpayment from Form IT-540, Line 33.
Line 2 – You may donate all or part of your adjusted overpayment to The Military Family Assistance Fund. This fund provides assistance to family members of active Louisiana military personnel.
Line 12 – You may donate all or part of your adjusted overpayment to the Honor Guard for Military Funerals Fund. This fund provides for military funeral honors for members of Louisiana's military forces.
Line 3 – You may donate all or part of your adjusted overpayment to the Coastal Protection and Restoration Fund for the purposes of coastal restoration, conservation, and hurricane protection. For more information, visit www.coastal.la.gov.
Line 4 – You may contribute an amount of your adjusted overpayment to the Louisiana Student Tuition Assistance and Revenue Trust (START) Savings Program. Contributions are not allowed to a START K12 account. IMPORTANT: If filing a joint return, you or your spouse must be a registered account owner in the START Savings Program in order to contribute all or part of your overpayment. If you do not have an account, you may contact the Louisiana Office of Student Financial Assistance at 1-800-259-5626, or go to www.startsaving.la.gov to enroll. All contributions of your overpayment will be equally distributed among the account holder's beneficiaries.
Line 5 – You may donate all or part of your adjusted overpayment to the Wildlife Habitat and Natural Heritage Trust Fund. This fund provides for the acquisition and management of lands used for state parks, state forests, and wildlife and fishery management areas.
Line 6 – You may donate all or part of your adjusted overpayment to the Louisiana Cancer and Lung Trust Fund Board. This fund provides for resources to reduce the incidence, morbidity, mortality, and economic impact of all forms of cancer through education, prevention, research, and early detection.
Line 7 – You may donate all or part of your adjusted overpayment to the Louisiana Pet Overpopulation Advisory Council for the purpose of promoting the proper treatment and well-being of animals. For more information, visit www.louisianapetoverpopulation.org.
Line 8 – You may donate all or part of your adjusted overpayment to promote unity among member food banks in Louisiana in support of their common mission to feed the hungry. For more information, visit www. feedinglouisiana.org.
Line 9 – You may donate all or part of your adjusted overpayment to the Make-A-Wish Foundation of the Texas Gulf Coast & Louisiana. For more information, visit www.texgulf.wish.org.
Line 10 – You may donate all or part of your adjusted overpayment to the Louisiana Association of United Ways/LA 2-1-1 for the purpose of the 2-1-1 helpline. For more information, visit www.louisiana211.org.
Line 11 – You may donate all or part of your adjusted overpayment to the American Red Cross. For more information, visit www.redcross.org.
www.revenue.louisiana.gov
Line 13 – You may donate all or part of your adjusted overpayment to the Louisiana State Troopers Charities, Inc. to assist in educational and community oriented programs that promote or improve the standing of the Louisiana State Police in the communities of this State.
Line 14 – You may donate all or part of your adjusted overpayment to the Louisiana Coalition Against Domestic Violence (LCADV) fund. The purpose of this fund is to provide resources to educate women who are victims of domestic violence. For more information, visit www.lcadv.org.
Line 15 – You may donate all or part of your adjusted overpayment to the Dreams Come True, Inc. for the purpose of fulfilling dreams of children with life-threatening illnesses. For more information, visit www.dctofla.com.
Line 16 – You may donate all or part of your adjusted overpayment to the Sexual Trauma Awareness and Response (STAR) organization to support survivors of sexual trauma, improve systems response, and create social change to end sexual violence. For more information, visit www.star.ngo.
Line 17 – You may donate all or part of your adjusted overpayment to the Louisiana State University Agricultural Center Grant Walker Educational Center (4-H Camp Grant Walker) to provide quality field trips, off-season programs, and other great educational products. For more information, visit www.lsuagcenter.com/topics/kids_teens/events/camps/grant_walker.
Line 18 – You may donate all or part of your adjusted overpayment to Maddie's Footprints to help families who have experienced miscarriages, stillbirths, or the loss of an infant. For more information, visit www. maddiesfootprints.org.
Line 19 – You may donate all or part of your adjusted overpayment to the University of New Orleans (UNO) Foundation to provide the critical resources for UNO to achieve its mission of providing educational excellence to a diverse undergraduate and graduate student body and creating knowledge through research. For more information, visit www. unofoundation.org.
Line 20 – You may donate all or part of your adjusted overpayment to the Southeastern Louisiana University Foundation to engage in initiatives that help build and advance the reputation of Southeastern and that support strong constituent relationships. For more information, visit www. southeastern.edu/alumni_donors/foundation.
Line 21 – You may donate all or part of your adjusted overpayment to Holden's Hope to support families of infants who have long medical stays in the hospital and families coping with miscarriages, stillbirths, or the loss of an infant. For more information, visit www.holdenshopeforever.org.
Line 22 – Add Lines 2 through 21. This amount cannot be more than Line 1. Also, enter this amount on Form IT-540, Line 34.
Line 1 – Enter the amount of your Federal AGI. This amount is shown on your Federal Form 1040 or 1040-SR, Line 11. If the amount is less than zero, mark the box on Line 1. Do not use a negative sign with the amount. For example, if your Federal AGI is a $10,000 loss, mark the box on Line 1 and enter 10,000.
Line 2A – Tax-exempt interest and dividend income reported on your federal return are taxable to Louisiana if ALL of the following conditions are met:
a. You are filing as a resident of Louisiana.
b. The interest or dividend income is received from obligations of a state or political subdivision of a state other than Louisiana. Obligations of the State of Louisiana, its political subdivisions, or public corporations created by them and their constituted authorities are exempt from Louisiana taxes.
c. The obligations were purchased on or after January 1, 1980.
Enter the TOTAL taxable interest and dividends. Do not list interest and dividends separately. See Revenue Ruling 11-001 if you have any Build America Bonds.
Line 2B – Enter any previously exempted Louisiana Student Tuition Assistance and Revenue Trust (START) contributions that were refunded to you during 2023 by the Louisiana Office of Student Financial Aid.
Line 2C – Enter any previously exempted Louisiana Student Tuition Assistance and Revenue Trust Grades K-12 (START K12) contributions that were refunded to you during 2023 by the Louisiana Office of Student Financial Aid.
Line 2D – R.S. 47:297.14 provides for an exclusion for an individual who is a shareholder, member, or partner of an entity that made the passthrough entity tax election under R.S. 47:287.732.2. This election allows S corporations, and other entities taxed as partnerships for federal income tax purposes, to pay Louisiana income tax at the entity level. The entity must have received LDR's approval of the election. The add-back amount is the Louisiana net operating loss that was reported at the entity level for this tax year that is included on Federal Form 1040 or 1040-SR. You must also include any net operating loss carried forward from a tax year in which the election was made and utilized in this tax year.
Do not include income not taxed at the entity level such as interest and dividend income. See Revenue Information Bulletin 19-019 and LAC 61:I.1001(C)(4) for more information. You must attach a copy of Form R-6981, Louisiana Statement of Owner's Share of Entity Level Tax Items, and a pro forma Federal Form 1040 that excludes any income, deductions, or other tax items that were included in the calculation of Louisiana net income on the entity's Louisiana Form CIFT-620. The amount that you can exclude is the difference in Federal AGI calculated on your Federal Form 1040 and the pro forma Federal Form 1040. If the difference is a loss, the loss must be added to your Federal AGI on this line. This amount should be included in the amount on Schedule E, Line 1.
Line 3 – Add Lines 1, 2A, 2B, 2C, and 2D. If the amount is less than zero, enter zero "0." This line may not be less than zero.
EXEMPT INCOME LINES 4A THROUGH 4G
Income items that are considered exempt by Louisiana law to arrive at Louisiana taxable income are referenced individually by a three-digit code. Enter the description, identifying code, and dollar amount in the appropriate spaces on Lines 4A through 4G.
NOTE: Use only the codes referenced in the table on Schedule E. The codes listed here are not interchangeable with other codes listed in this booklet.
Example:
Exemption Description Code
START Savings Program
0 9 E
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Amount
7 0 0.
00
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01E – Interest and Dividends on U.S. Government Obligations – Enter the amount of interest and dividends received from U.S. government obligations that are included in the amount on Line 1 of Schedule E. Include amounts received from mutual funds, which are identified as income from investments in U.S. government obligations. If the amount is not identified specifically, it is taxable and cannot be excluded.
02E – Louisiana State Employees' Retirement Benefits – Enter the amount of retirement benefits received from the Louisiana State Employees' Retirement System. This amount should be included in the amount on Schedule E, Line 1. Indicate the month and year that you or your spouse retired in the appropriate space.
03E – Louisiana State Teachers' Retirement Benefits – Enter the amount of retirement benefits received from the Louisiana State Teachers' Retirement System. This amount should be included in the amount on Schedule E, Line 1. Indicate the month and year that you or your spouse retired in the appropriate space.
04E – Federal Retirement Benefits – Enter the amount of retirement benefits received from a Federal Retirement System, including benefits received from a military survivor benefit plan. This amount should be included in the amount on Schedule E, Line 1. Indicate the month and year that you or your spouse retired in the appropriate space.
05E – Other Retirement Benefits – Enter the amount of retirement benefits received from any retirement systems whose benefits are specifically exempted by law from Louisiana income tax. This includes retirement systems for school employees, State Police, municipal employees and police, parochial employees, firefighters, Assessors, Clerks of Court, District Attorneys, Registrars of Voters, Sheriffs, and certain local retirement systems. In the space provided, enter the name of the retirement system or the statutory citation exempting these benefits from Louisiana income tax. A list of the eligible retirement systems and their statutory citations can be found at www.revenue.louisiana.gov/FAQ/Details/1216. This amount should be included in the amount on Schedule E, Line 1. Indicate the month and year that you or your spouse retired in the appropriate space.
06E – Annual Retirement Income Exemption for Taxpayers 65 Years of Age or Older – Up to $6,000 of your annual retirement income may be exempted from state taxation if your filing status is single, head of household, married filing separately, or qualifying surviving spouse, and you are 65 years of age or older. If your filing status is married filing jointly, both you and your spouse are age 65 years or older, and each of you received annual retirement income, up to $6,000 of the annual retirement income that each taxpayer receives may be exempt from state taxation. "Annual retirement income" that is taxable to Louisiana is any distributions from a pension, an annuity, or an individual retirement arrangement (IRA) that you receive and report on Federal Form 1040 or 1040-SR, Lines 4b and 5b. Do not include retirement benefits that are coded as 02E, 03E, 04E, or 05E. Enter the name of the payor on the line provided.
If your filing status is single, head of household, married filing separately, or qualifying surviving spouse, determine the exempt amount that should be entered for code 06E by completing the FIRST COLUMN of the worksheet provided on the next page.
If your filing status is married filing jointly, determine the exempt amount that should be entered for code 06E by completing BOTH COLUMNS of the worksheet provided on the next page.
| 1. Enter retirement income you received and reported on Federal Form 1040 or 1040- SR, Lines 4b and 5b. Enter taxpayer’s amount on Line 1(a) and enter spouse’s amount on Line 1(b). | a. ________ |
|---|---|
| 2. Enter retirement income you received and reported as codes 02E, 03E, 04E, and 05E of Schedule E. Enter taxpayer’s amount on Line 2(a) and enter spouse’s amount on Line 2(b). | ________ |
| 3. Subtract Line 2 from Line 1. | ________ |
| 4. Maximum exemption for individuals 65 or older. | $6,000 |
6. If your filing status is single, head of household, married filing sepa rately, or qualifying surviving spouse, enter the amount from Line 5(a) above on Schedule E and code as 06E. If your filing status is married filing jointly, add the amounts on Lines 5(a) and 5(b) above and enter the result on Schedule E and code as 06E.
07E – Taxable Amount of Social Security – Social Security benefits that are taxed on your federal return are exempt from Louisiana tax. Enter the amount shown on your Federal Form 1040 or 1040SR, Line 6b.
08E – Native American Income – Louisiana Administrative Code 61:I.1303 provides that income derived from sources on the reservation that have been earned or received by an enrolled member of a federally recognized Indian tribe who resides on that tribe's reservation shall be exempted from Louisiana individual income tax. The income derived from sources outside of the reservation, including sources outside of Louisiana, that have been earned or received by an enrolled member of a federally recognized Indian tribe residing on that tribe's reservation is taxable for Louisiana individual income tax purposes. Income earned by a member of a federally recognized tribe residing off of the tribe's reservation in Louisiana is taxable regardless of the income source. Additionally, an enrolled member of a federally recognized Indian tribe who resides on the reservation for a portion of the year and resides off the reservation for a portion of the year is taxed based on where the enrolled member resided when the income was earned.
09E – START Savings Program Contributions – R.S. 47:293(9)(a) (vi) provides that any Louisiana Student Tuition Assistance and Revenue Trust (START) account holders with a filing status of single, married filing separately, head of household, and qualifying surviving spouse can exempt up to $2,400 per beneficiary from Louisiana taxable income. Account holders with a filing status of married filing jointly can exempt up to $4,800 per beneficiary from Louisiana taxable income. In certain situations, the exemption amount can be doubled. See Revenue Information Bulletin 06-003 on LDR's website. The exemption for amounts contributed to a START K12 account is reported using code 28E.
10E – Military Pay Exclusion – R.S. 47:293(9)(e) provides an exclusion to Louisiana residents who were on active duty in the U.S. armed forces for 120 or more consecutive days. The exempt portion is the compensation earned outside of Louisiana during and after 120 plus consecutive days of active duty, up to $50,000. Example: If on January 15, 2023, you went on active duty and continuously remained on active duty at least through May 14, 2023, (120 days) during which you served 40 days in Louisiana and the remainder outside of Louisiana, income from the 41st day forward is exempt, up to $50,000, once you have served more than 120 consecutive days. Retain a copy of your official orders, including
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endorsements that establish your 120 plus consecutive days of active duty with your 2023 return. If filing electronically, bring a copy of your orders including endorsements to your tax preparer.
11E – Road Home – R.S. 47:293(9)(a)(i) provides that any grant, loan, or other benefit directly or indirectly provided to a taxpayer by the Disaster Recovery Unit of the Office of Community Development shall be excluded if the income was included in the taxpayer's Federal AGI. Benefits may include payments from Restore Louisiana for recovery from the Great Flood of 2016. This amount should be included in the amount on Schedule E, Line 1.
13E – Recreation Volunteer – R.S. 47:293(9)(a)(xii) provides an exclusion of $500 per tax year for individuals who volunteer for recreation departments. To qualify for this exclusion, the taxpayer must serve as a volunteer for 30 or more hours during the taxable year and must be registered as a volunteer with a recreation department operated by the state of Louisiana or a political subdivision of the state. The recreation department must certify that the taxpayer served as a volunteer and was not compensated for their services.
14E – Volunteer Firefighter – R.S. 47:293(9)(a)(xii) provides an exclusion of $500 per tax year for individuals who serve as volunteer firefighters. To qualify for this exclusion, the taxpayer must complete 24 hours of continuing education and be an active member of the Louisiana State Fireman's Association or on the departmental personnel roster for the State Fire Marshal's Volunteer Fireman's Insurance Program. To substantiate the exclusion, a taxpayer should retain either a membership card with the taxpayer's name and the applicable tax year, a lifetime membership card, or a copy of the departmental personnel roster for the State Fire Marshal's Volunteer Fireman's Insurance Program and a certificate or other document provided to the taxpayer noting the date of the training, the topic covered, the duration of the training, and name and contact information of the person providing the training to support the continuing education requirements.
16E – Voluntary Retrofit Residential Structure – R.S. 47:293(9)(a)(xiii) provides an exclusion for a taxpayer who voluntarily retrofits an existing residential structure on which the homestead exemption is claimed for ad valorem tax purposes, and the structure is not rental property. The exclusion is for 50 percent of the cost paid or incurred on or after January 1, 2007, less the value of any other state, municipal, or federally sponsored financial incentives and is limited to $5,000 per retrofitted residential structure. To qualify, the voluntary retrofitting must not be a construction, reconstruction, alteration, or repair of an existing residential structure and must comply with the State Uniform Construction Code. See Revenue Information Bulletin 09-007 for more information.
17E – Elementary and Secondary School Tuition – R.S. 47:297.10 provides a deduction for expenses paid for your qualified dependent's enrollment in a nonpublic elementary or secondary school or any public elementary or secondary laboratory school operated by a public college or university. Expenses paid with amounts deducted as START K12 Savings Program Contributions (Code 28E) are not eligible for this deduction. The dependent must be claimed on your 2023 return or must have been claimed on your 2022 return. To calculate the amount of the deduction, use the 2023 Louisiana School Expense Deduction Worksheet on the back of Schedule E.
18E – Educational Expenses for Home-Schooled Children – R.S. 47:297.11 provides a deduction for expenses paid for homeschooling your qualified dependent. Expenses paid with amounts deducted as START K12 Savings Program Contributions (Code 28E) are not eligible for this deduction. The dependent must be claimed on your 2023 return or must have been claimed on your 2022 return. To calculate the amount of the deduction, use the 2023 Louisiana School Expense Deduction Worksheet on the back of Schedule E.
19E – Educational Expenses for a Quality Public Education – R.S. 47:297.12 provides a deduction for expenses paid for a quality education for your qualified dependent's enrollment in a public elementary or secondary school. Expenses paid with amounts deducted as START K12 Savings Program Contributions (Code 28E) are not eligible for this deduction. The dependent must be claimed on your 2023 return or must have been claimed on your 2022 return. To calculate the amount of the deduction, use the 2023 Louisiana School Expense Deduction Worksheet on the back of Schedule E.
20E – Capital Gain from Sale of Louisiana Business – R.S. 47:293(9) (a)(xvii) provides a deduction for net capital gains resulting from the sale or exchange of an equity interest; or from the sale or exchange of substantially all of the assets of a nonpublicly traded corporation, partnership, limited liability company, or other organization commercially domiciled in Louisiana. To qualify for the deduction, the taxpayer must have held the business for a minimum of five years immediately prior to the sale or exchange. See Form R-6180, Net Capital Gains Deduction Worksheet, for more information and documentation required to be attached to your return. This amount should be included in the amount on Schedule E, Line 1.
21E – Employment of Certain Qualified Disabled Individuals – R.S. 47:297.13 provides a deduction for a taxpayer who provides continuous employment to a qualified individual with a disability within this state. Form R-10605, Application for Deduction for Employment of Certain Qualified Disabled Individuals, must be attached to your return.
22E – S Bank Shareholder Income Exclusion – R.S. 47:297.3 provides an exclusion for an S Bank shareholder for the portion of the income reported by an S Bank on Federal Form 1120S, Schedule K-1, or the portion of the income reported by an S Bank on an equivalent document, which is attributable to the net earnings used to compute the S Bank's shares tax as provided in R.S. 47:1967. Attach a copy of Schedule K-1 as documentation for the amount excluded. The exclusion is only allowed if the entity did not make the pass-through entity tax election under R.S. 47:287.732.2. This amount should be included in the amount on Schedule E, Line 1.
23E – Entity Level Taxes Paid to Other States – R.S. 47:33(A) (7) provides a deduction for an individual partner, member, or shareholder's proportionate share of an entity-level tax paid to other states that is based solely upon net income included in the entity's federal taxable income without any capital component. The deduction is for the taxpayer's share of the tax paid during 2023 and is limited to the extent that the proportionate share of the related income is or was taxed by Louisiana. The deduction is only allowed if the entity did not make the pass-through entity tax election under R.S. 47:287.732.2. You cannot take both this deduction and the credit for tax liabilities paid to other state on Schedule C for the same taxes paid. Proof of payment to the other state and copy of the returns filed with the other states must be attached to your return.
24E – Pass–Through Entity Exclusion – R.S. 47:297.14 provides for an exclusion for an individual who is a shareholder, member, or partner of an entity that made the pass-through entity tax election under R.S. 47:287.732.2. This election allows S corporations, and other entities taxed as partnerships for federal income tax purposes, to pay Louisiana income tax at the entity level. The entity must have received LDR's approval of the election. The excluded amount is the income that was taxed at the entity level that is included on Federal Form 1040 or 1040-SR. Do not include income not taxed at the entity level such as interest and dividend income. See Revenue Information Bulletin 19-019 and LAC 61:I.1001(C)(4) for more information. You must attach a copy of Form R-6981, Louisiana Statement of Owner's Share of Entity Level Tax Items, and a pro forma Federal Form 1040 that excludes
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any income, deductions or other tax items that were included in the calculation of Louisiana net income on the entity's Louisiana Form CIFT-620. The amount that you can exclude is the difference in Federal AGI calculated on your Federal Form 1040 and the pro forma Federal Form 1040. If the difference is a loss, the loss must be added to your Federal AGI on Line 2D. This amount should be included in the amount on Schedule E, Line 1.
25E – IRC 280C Expense – R.S. 47:293(9)(a)(ix) provides for an exclusion of your IRC 280C expense adjustment. See Revenue Information Bulletin 06–017 for further details. To substantiate the credit, provide LDR with a copy of Federal Form 3800 that indicates the credit plus the appropriate form for the credit. A shareholder of an S corporation or other pass-through entity should attach a copy of the Schedule K-1 to substantiate the credit if the entity did not make the pass-through entity tax election.
27E – COVID-19 Relief Benefits – R.S. 47:293(9)(a)(xx) provides an exemption for any gratuitous grant, loan, rebate, tax credit, advance refund, or other qualified disaster relief benefit provided directly or indirectly by the state or federal government as a COVID-19 relief benefit if the income was included in the taxpayer's Federal AGI. Benefits may include payments from the Louisiana Main Street Recovery Fund and the Frontline Workers COVID-19 Hazard Pay Rebate Program. See Revenue Information Bulletin 21-019 and Revenue Ruling 22-002. Attach a schedule detailing the source and amount of the excluded benefits and a copy of the Federal Form 1040. This amount should be included in the amount on Schedule E, Line 1.
28E – START K12 Savings Program Contributions – R.S. 47:293(9) (a)(xxv) provides that any Louisiana Student Tuition Assistance and Revenue Trust K-12 (START K12) account holders with a filing status of single, married filing separately, head of household, and qualifying surviving spouse can exempt up to $1,200 per beneficiary from Louisiana taxable income. Account holders with a filing status of married filing jointly can exempt up to $2,400 per beneficiary from Louisiana taxable income. See Revenue Information Bulletin 22-016 on LDR's website. Amounts deducted that are used to pay costs associated with a student's enrollment in a school or home-schooled are not eligible for the deductions authorized pursuant R.S 47:297.10, 297.11, and 297.12.
29E – Digital Nomad – R.S. 47:293(9)(a)(xxii) provides that an individual who meets the requirement of a digital nomad is allowed to exclude 50 percent of their gross wages, not to exceed $150,000. The exemption only applies to gross wages resulting from services performed as a digital nomad and earned from remote work. To qualify as a digital nomad, the individual must establish residency in Louisiana after December 31, 2021, meet other requirements and apply to LDR to be certificated as a digital nomad.
30E – Certain Adoptions – Only one deduction is allowed per child and the deduction is in lieu of the $1,000 dependency deduction. The deduction is taken the year in which the adoption becomes final. R.S. 47:297.20 provides a deduction of $5,000 for a taxpayer who adopts a child who is in foster care, as defined in Children's Code Article 603, or a youth receiving extended foster care services pursuant to the Extended Foster Care Program Act. Attach a copy of the letter you received from DCFS certifying your eligibility.
R.S. 47:297.21 provides a deduction of $5,000 for a taxpayer who adopts an unrelated infant who is less than one year of age through a private agency, as defined in Children's Code Article 1169(1), or through an attorney. The age of the infant is determined at the time of the adoption placement. You cannot take both this deduction and the credit for adoption of unrelated infant on Schedule F for the adoption of the same child. Attach a copy of the adoption order or decree and a letter from the private agency or attorney stating the date of placement.
49E – Other – On a separate schedule, list the source and amount of other income included in Schedule E, Line 1, which Louisiana
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cannot tax. You must attach copies of supporting documentation in order to verify the exemption claimed on this line. Do not list income earned in another state. Residents of Louisiana are taxed on all income, regardless of where the income was earned. Credit for taxes paid to other states may be deducted on Nonrefundable Priority 1 Credits, Schedule C, Line 1. Nonresidents must use Form IT-540B to determine their Louisiana tax. Part-year residents have the option to file a resident or nonresident return, whichever is more beneficial. Nonresident professional athletes must file Form IT-540B and Schedules NRPA-1 and NRPA-2 electronically. Disabled individuals claiming an exemption under R.S. 47:59.1 for making adaptations to their home should use this code to deduct the expenses from their gross income. Persons receiving disability income (R.S. 47:44.1(B)) for a permanent, total disability may exclude up to $6,000 of annual disability income from their taxable income. See Revenue Ruling 11-001 if you have any Build America Bonds.
Note: Depletion deduction is limited to the amount of federal depletion. Louisiana does not have a provision that allows excess depletion on individual income tax.
Line 4H – Add Lines 4A through 4G.
Line 5 – Subtract Line 4H from Line 3. Enter the result here and on Form IT-540, Line 7. Mark an "X" in the box on Form IT-540, Line 7, indicating that Schedule E was used. If the amount is less than zero, enter zero "0."
Instructions for Refundable Priority 2 Credits, Schedule F
Refundable Priority 2 Credits, Lines 1 through 5 Refundable credits available for the tax year ending December 31, 2023, are referenced individually by a three-digit code. Please enter the credit description, identifying code and the dollar amount claimed in the appropriate spaces on Lines 1 through 5.
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NOTE: Use only the codes referenced in the table on Schedule F. The codes listed here are not interchangeable with other codes listed in this booklet.
Example:
Credit Description
School Readiness Child
Care Directors and Staff
Code Amount of Credit Claimed
6 6 F 4 0 0
00.
Line 5A – If you are claiming the School Readiness Child Care Directors and Staff credit (credit code 66F), you must enter the facility license number from Form R-10615, Louisiana School Readiness Tax Credit For Child Care Director and Staff Member, on Line 5A. Failure to do so will result in processing delays.
Transferable, Refundable Priority 2 Credits, Lines 6 through 8 Complete Lines 6 through 8 if you are claiming the Musical and Theatrical Production credit. For Lines 6A, 7A, and 8A, enter the LDR State Certification Number from Form R-6135, for the credit claimed on Lines 6, 7, and 8 respectively. See Revenue Information Bulletin 17-008 for claiming a purchased transferable tax credit.
Line 9 – Add Lines 1 through 8. Also, enter the amount on Form IT-540, Line 16.
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52F – Ad Valorem Offshore Vessels – R.S. 47:6006.1 allows a refundable credit for 100 percent of the ad valorem taxes paid on vessels in Outer Continental Shelf Lands Act Waters. Copies of the tax assessment, the canceled check in payment of the tax, and a completed Form LAT 11A from the Louisiana Tax Commission must be attached to the return.
54F – Telephone Company Property – R.S. 47:6014 allows a refundable credit for up to 40 percent of the ad valorem taxes paid to Louisiana political subdivisions by a telephone company with respect to that company's public service properties located in Louisiana. The credit may be passed through to individuals who are shareholders or members of certain legal entities. See the Pass-Through Entity Tax Election note under General Information Regarding Tax Credits. See Revenue Information Bulletin 01-004 on LDR's website. A schedule must be attached stating which entity paid the tax and obtained the credit on the individual's behalf.
55F – Prison Industry Enhancement – R.S. 47:6018 allows a refund able credit for 72 percent of the state sales and use tax paid by a taxpayer on purchases of specialty apparel items from a private sector Prison Industry Enhancement (PIE) contractor. Contact LDR for further information regarding this credit.
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58F – Milk Producers – R.S. 47:6032 allows a refundable credit for a resident taxpayer engaged in the business of producing milk for sale. Those milk producers that have obtained permits under the Louisiana Administrative Code, Title 51, and have met the requirements of the Food and Drug Administration, shall be certified by the Louisiana Department of Health to receive the credit. Revenue Information Bulletin 08-014 provides information regarding the credit.
59F – Technology Commercialization – R.S. 51:2351 et seq. allows a refundable credit for a qualifying individual or business that invests in the commercialization of Louisiana technology. Taxpayers must apply to the Louisiana Department of Economic Development to receive certification. A copy of the certification of the credit must be attached to the return.
62F – Musical and Theatrical Production – R.S. 47:6034 allows a refundable credit for the production expenses, transportation costs, employment of college and vocational-technical students, employment of residents, and for the construction, repair, or renovation of facilities related to the live performance industry. Taxpayers must apply to the Louisiana Department of Economic Development to receive certification. A copy of the certification of the credit must be attached to the return. This credit can only be claimed on Lines 6 through 8.
65F – School Readiness Child Care Provider – R.S. 47:6105 allows a refundable credit for a child care provider who operates a facility or facilities where care is given to foster children in the custody of the Louisiana Department of Children and Family Services or to children who participate in the Child Care Assistance Program administered by the Louisiana Department of Education (LDE). The credit is based on the average monthly number of children who attended the facility multiplied by an amount based on the quality rating of the child care facility. For more information regarding this credit, contact LDE.
66F – School Readiness Child Care Directors and Staff – R.S. 47:6106 allows a refundable credit for eligible child care directors and eligible child care staff. You must enter the facility license number from Form R-10615 on Line 5A and attach a copy of Form R-10615 to your return. Failure to do so will result in processing delays. The tax credit is based on certain attained qualifications for directors and staff members. The credit amount is variable and the 2023 amount is posted at www.revenue.louisiana.gov/SchoolReadiness. For more information regarding this credit, contact the Louisiana Department of Education.
67F – School Readiness Business-Supported Child Care – R.S. 47:6107 allows a refundable credit for a taxpayer who incurs eligible business-supported child care expenses. The percentage of eligible expenses allowed for the credit depends on the quality rating of the child care facility to which the expenses are related or the quality rating of the child care facility that the child attends. Copies of canceled checks and other documentation to support
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the amount of eligible expenses must be maintained and provided upon request. For more information regarding this credit, contact the Louisiana Department of Education.
68F – School Readiness Fees and Grants to Resource and Referral Agencies – R.S. 47:6107 allows a refundable credit for a taxpayer whose business pays fees and grants to child care resource and referral agencies. The credit cannot exceed $5,000 per tax year. Attach a copy of the receipt from the child care resource or referral agency and if applicable, a copy of the Schedule K-1 from the entity that made the donation to substantiate any credit earned from a pass-through entity. For more information regarding this credit, contact the Louisiana Department of Education.
70F – Retention and Modernization – R.S. 51:2399.1 et seq. allows a refundable credit for an employer who incurs qualified expenditures to modernize existing operations in Louisiana to retain the business in the state. Taxpayers must apply to the Louisiana Department of Economic Development to receive certification. A copy of the certification of the credit must be attached to the return.
73F – Digital Interactive Media & Software – R.S. 47:6022 allows a refundable credit to individuals for the investment in businesses specializing in digital interactive media and software. Taxpayers must apply to the Louisiana Department of Economic Development to receive certification. A copy of the certification of the credit must be attached to the return. See Revenue Information Bulletin 12-017 on LDR's website.
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77F – Funeral and Burial Expense for a Pregnancy-related Death – R.S. 47:297.22 allows a refundable credit for the reasonable funeral and burial expenses associated with the pregnancy-related death of a person. A "pregnancy-related death" means the death of a Louisiana resident while pregnant, during labor and delivery, or within one year after childbirth from a pregnancy complication, a chain of events initiated by the pregnancy, or the aggravation of an unrelated condition by the normal effects of the pregnancy. The credit may be claimed by the estate of the deceased on the deceased person's return or the estate's return and if not, then by the individual who actually paid the funeral and burial expense. The credit is equal to the actual reasonable funeral and burial expenses paid or $5,000, whichever is less, and is claimed for the year in which the death occurred. Reasonable funeral and burial expenses includes costs and fees associated with transportation of the remains, embalming or cremation services, caskets, plots, grave markers, or headstones, funeral home facility and staff services, and other related professional services. It does not include costs and fees associated with flowers, vaults, or urns. A copy of the death certificate, a schedule listing the expenses paid, and copies of the receipts must be attached to the return.
76F – Stillborn Child – R.S. 47:297.19 allows a refundable credit for an individual who experienced a pregnancy loss resulting in spontaneous fetal death (also referred to as stillbirth). The credit is equal to $2,000 and is claimed for the year in which the stillbirth occurred. The credit can only be claimed on the return of the person listed on the fetal death certificate as the mother. A copy of the certified fetal death certificate must be attached to the return.
78F – Adoption of Unrelated Infant – Act 452 of the 2023 Regular Legislative Session allows a refundable credit of $5,000 for the adoption of a child who is unrelated to the taxpayer and who is less than three years of age. An adoption of an infant from foster care does not qualify for the credit. The credit is taken for the year in which the adoption becomes final. You cannot take both this credit and the deduction for certain adoptions on Schedule E for the adoption of the same child. Attach a copy of the adoption order or decree and a letter from the private agency or attorney stating the date of placement.
80F – Other Refundable Credit – Reserved for future credits.
Instructions for Refundable Priority 4 Credits, Schedule I
Refundable Priority 4 Credits, Lines 1 through 5
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Additional refundable credits available for the tax year ending December 31, 2023, are referenced individually by a three-digit code. Please enter the credit description, identifying code and the dollar amount claimed in the appropriate spaces on Lines 1 through 5.
NOTE: Use only the codes referenced in the table on Schedule I. The codes listed here are not interchangeable with other codes listed in this booklet.
Example:
Credit Description
Code Amount of Credit Claimed
Inventory Tax
5 0 F 5 0 0
00.
Line 6 – Add Lines 1 through 5. Also, enter the amount on Form IT-540, Line 25.
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50F – Inventory Tax – You must attach Form R-10610, Schedule of Ad Valorem Tax Credit Claimed by Manufacturers, Distributors, and Retailers, to your return. R.S. 47:6006 allows a credit for ad valorem taxes paid to political subdivisions in Louisiana on inventory held by manufacturers, distributors, or retailers. For purposes of the limitations on refundability, members included in a consolidated federal tax return will be treated as one taxpayer. If the total amount eligible for the credit is less than or equal to $500,000, 100 percent of any excess credit is refundable, and for total eligible amounts above $500,000, 75 percent of
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any excess credit up to a maximum of $750,000 is refundable. For businesses formed or first registered to do business in Louisiana after April 15, 2016, if the total amount eligible for the credit is less than $10,000, 100 percent of any excess credit is refundable, and for total eligible amounts of $10,000 or more, 75 percent of any excess credit up to a maximum of $750,000 is refundable. The inventory tax credit is nonrefundable for taxes paid on inventory by any manufacturer who claimed the property tax exemption under the Industrial Tax Exemption Program (ITEP) during the same year the inventory taxes were paid.
51F – Ad Valorem Natural Gas – You must attach Form R-10610 to your return. R.S. 47:6006 allows a credit for ad valorem taxes paid to political subdivisions in Louisiana on natural gas held, used or consumed in providing natural gas storage services or operating natural gas storage facilities. For purposes of the limitations on refundability, members included in a consolidated federal tax return will be treated as one taxpayer. If the total amount eligible for the credit is less than or equal to $500,000, 100 percent of any excess credit is refundable, and for total eligible amounts above $500,000, 75 percent of any excess credit up to a maximum of $750,000 is refundable. For businesses formed or first registered to do business in Louisiana after April 15, 2016, if the total amount eligible for the credit is less than $10,000, 100 percent of any excess credit is refundable, and for total eligible amounts of $10,000 or more, 75 percent of any excess credit up to a maximum of $750,000 is refundable.
Line 1 – If you have claimed a Federal Child Care Credit on Federal Form 1040 or 1040-SR, Schedule 3, Line 2, enter the amount.
Line 2 – Enter the amount of your 2023 Louisiana Nonrefundable Child Care Credit from the Louisiana Nonrefundable Child Care Credit Worksheet. This worksheet must be attached to your return. Your Federal Adjusted Gross Income must be greater than $25,000 to claim this credit. See the Louisiana Child Care Credit instructions.
Line 3 – Enter the amount of your Louisiana Nonrefundable Child Care Credit carried forward from 2018 through 2022. The amount of your 2017 Nonrefundable Child Care Credit Carryforward cannot be included in this amount. To determine the carry forward amount, use the Louisiana Nonrefundable Child Care Credit Worksheet.
Line 4 – Enter the amount of your Louisiana Nonrefundable School Readiness Credit. Your Federal Adjusted Gross Income must be greater than $25,000 to claim this credit. The amount is determined from your Nonrefundable School Readiness Credit Worksheet. This worksheet must be attached to your return. In the boxes under Line 4, enter the number of your qualified dependents who attended the associated star rated facility or facilities.
Line 5 – Enter the amount of your Louisiana Nonrefundable School Readiness Credit carried forward from 2018 through 2022. The amount of your 2017 Nonrefundable School Readiness Credit Carryforward cannot be included in this amount. To determine the carry forward amount, use the Louisiana Nonrefundable School Readiness Credit Worksheet.
Additional Nonrefundable Priority 3 Credits, Lines 6 through 11 Additional nonrefundable credits available for the tax year ending December 31, 2023, are referenced individually by a three-digit code. Please enter the credit description, identifying code and the dollar amount claimed in the appropriate spaces on Lines 6 through 11.
Transferable, Nonrefundable Priority 3 Credits, Lines 12 through 15 Complete Lines 12 through 15 if you are claiming a transferable credit. For Lines 12A, 13A, 14A, and 15A, enter the State Certification Number from Form R-6135 for credits claimed on Lines 12 through 15 respectively. See Revenue Information Bulletin 17-008 for claiming a purchased transferable tax credit.
NOTE: Use only the codes referenced in the table on Schedule J. The codes listed here are not interchangeable with other codes listed in this booklet.
Example:
Credit Description
Inventory Tax Credit
Carried Forward
Code Amount of Credit Claimed
5 0 0 7 2 0
00.
Line 16 – Add Lines 2 through 15. Also, enter the amount on Form IT-540, Line 20.
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CREDIT DESCRIPTION
202 – Organ Donation – This credit is no longer available because Act 403 of the 2017 Regular Legislative Session ended the credit effective December 31, 2019. If you have an eligible carryover amount, use this code to utilize the carryover amount for any years you have remaining in your ten (10) year carryover period.
208 – Previously Unemployed – This credit was repealed by Act 202 of the 2019 Regular Legislative Session effective December 31, 2018. If you have an eligible carryover amount, use this code to utilize the carryover amount for any years you have remaining in your five (5) year carryover period.
221 – Owner of Accessible and Barrier-free Home – This credit is no longer available because Act 403 of the 2017 Regular Legislative Session ended the credit effective December 31, 2019. If you have an eligible carryover amount, use this code to utilize the carryover amount for any years you have remaining in your five (5) year carryover period.
224 – New Jobs Credit – This credit is no longer available because Act 403 of the 2017 Regular Legislative Session ended the credit
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effective December 31, 2019. If you have an eligible carryover amount, use this code to utilize the carryover amount for any years you have remaining in your five (5) year carryover period.
228 – Eligible Re-entrants – This credit is no longer available because Act 403 of the 2017 Regular Legislative Session ended the credit effective December 31, 2019. If you have an eligible carryover amount, use this code to utilize the carryover amount for any years you have remaining in your five (5) year carryover period.
236 – Apprenticeship (2007) – This credit was repealed by Act 357 of the 2015 Regular Legislative Session. If you have an eligible carryover amount, use this code to utilize the carryover amount for any years you have remaining in your ten (10) year carryover period. Credits earned beginning with the 2022 tax year should be claimed using credit code 463.
251 – Motion Picture Investment – R.S. 47:6007(C)(1) provides a credit for an individual taxpayer residing in Louisiana who invests in a state-certified, motion picture production. Taxpayers taking this credit may attach Form R-10611, Motion Picture Investment Tax Credit Schedule, as documentation for this credit. You must certify certain requirements in order to use the credit. See RIB 23-023 for more information and attach Form R-90150, Taxpayer Certification of Compliance of Tax Obligations for the Motion Picture Production Credit, to your return. For information on the cap, see www.revenue.louisiana.gov/CreditCaps. This credit can only be claimed on Lines 12 through 15.
252 – Research and Development – R.S. 47:6015 provides a credit for any taxpayer who earned the credit based on participation in the Small Business Technology Transfer or the Small Business Innovation Research Grant program. This credit can only be claimed on Lines 12 through 15.
253 – Historic Structures – R.S. 47:6019 provides a credit if the taxpayer incurs certain expenses during the rehabilitation of a historic structure that is located in either a downtown development or a cultural district, or a historic structure contributing to the National Register of Historic Places. Refer to Revenue Information Bulletin 14-007 and 14-007A on LDR's website. This credit can only be claimed on Lines 12 through 15.
257 – Capital Company – R.S. 51:1924 provides a credit for any person who invests in a certified Louisiana Capital Company. This credit must be approved by the Commissioner of the Louisiana Office of Financial Institutions. A copy of the certification must be attached to the return. This credit can only be claimed on Lines 12 through 15.
258 – LA Community Development Financial Institution (LCDFI) – R.S. 51:3085 et seq. provides a credit for certain investments in an LCDFI to encourage the expansion of businesses in economically distressed areas. The Louisiana Office of Financial Institutions administers this program. This credit can only be claimed on Lines 12 through 15.
259 – New Markets – R.S. 47:6016 provides a credit if the taxpayer makes certain qualified low-income community investments, as defined in Section 45D of the Internal Revenue Code. The taxpayer must be certified by the Louisiana Department of Economic Development and approved by LDR. If you have an eligible carryover amount, use this code to utilize the carryover amount for any years you have remaining in your carryover period. This credit can only be claimed on Lines 12 through 15.
261 – Motion Picture Infrastructure – R.S. 47:6007(C)(2) provides a credit for an approved state-certified infrastructure project for a film, video, television, or digital production or postproduction facility. Taxpayers must apply to the Louisiana Department of Economic Development to receive certification. A copy of the certification of the credit must be attached to the return. You must certify certain requirements in order to use the credit. See RIB 23-023 for more information and attach Form R-90150, Taxpayer
Certification of Compliance of Tax Obligations for the Motion Picture Production Credit, to your return. For information on the cap, see www.revenue.louisiana.gov/CreditCaps. This credit can only be claimed on Lines 12 through 15.
262 – Angel Investor – R.S. 47:6020 provides a credit for taxpayers who make third party investments in certified Louisiana entrepreneurial businesses on or after January 1, 2011. To earn the Angel Investor Credit, taxpayers must file an application with the Louisiana Department of Economic Development. See Revenue Information Bulletin 12-009 on LDR's website. This credit can only be claimed on Lines 12 through 15.
299 – Other – Reserved for future credits.
305 – Tax Equalization – R.S. 47:3201 et seq. provides a credit for tax equalization for certain businesses locating in Louisiana. The taxpayer must enter into a contract with the Louisiana Department of Economic Development, and a copy of the contract showing the credit granted must be attached to the return.
310 – Manufacturing Establishments – R.S. 47:4301 et seq. provides a credit to certain manufacturing establishments that have entered into a contract with the Louisiana Department of Economic Development. A copy of the contract showing the credit granted must be attached to the return.
399 – Other – Reserved for future credits.
412 – Refund by Utilities – R.S. 47:287.664 provides a credit for certain court ordered refunds made by utilities to its customers.
424 – Donation to School Tuition Organization – R.S. 47:6301 provides a credit for donations made to a school tuition organization that provides scholarships to qualified students to attend a qualified school. Form R-10604, Receipt for Donations to School Tuition Organization Tax Credit, must be attached to your return. See Revenue Information Bulletin 18-024 for more information.
454 – QMC Music Job Creation Credit – R.S. 47:6023 provides a credit to a Qualifying Music Company (QMC) that is a music publisher, sound recording studio, booking agent, or artist management that is engaged directly or indirectly in the production, distribution, and promotion of music. Taxpayers must apply to the Louisiana Department of Economic Development to receive certification. A copy of the certification of the credit must be attached to the return. The credit is limited to 50 percent of the taxpayer's tax liability.
457 – Neighborhood Assistance – R.S. 47:35 and R.S. 47:287.753 provide a credit for an entity engaged in the activities of providing neighborhood assistance, job training, education for individuals, community services, or crime prevention in Louisiana. The credit is equal to 50 percent of the amount contributed and cannot exceed $180,000.
458 – Research and Development – R.S. 47:6015(K) provides a credit for any taxpayer who claims a federal income tax credit under 26 U.S.C. §41(a) for increasing research activities or for a taxpayer who employs fewer than 50 employees and who meets the requirements of R.S. 47:6015(B)(3)(i). Beginning with the 2018 tax year, credits earned based upon participation in the Small Business Technology Transfer program or the Small Business Innovative Research Grant program should be claimed using credit code 252. The credit is obtained through the Louisiana Department of Economic Development and documentation from that agency must be attached to the return. See Revenue Information Bulletin 15-019 on LDR's website.
459 – Ports of Louisiana Import Export Cargo – R.S. 47:6036(I) provides a credit to individuals to encourage the use of state port facilities in Louisiana. The credit is based on the number of tons of qualified cargo imported and exported from or to manufacturing, fabrication, assembly, distribution, processing, or warehousing facilities located in the state. Taxpayers must apply to the Louisiana Department of Economic Development to receive certification. A copy of the certification of the credit must be attached to the return.
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460 – LA Import – R.S. 47:6036.1 provides a credit to encourage the utilization of Louisiana public port facilities for cargo imports and the development of new port infrastructure facilities for the manufacturing, distribution, and warehousing of imported goods. Taxpayers must apply to the Louisiana Department of Economic Development to receive certification. A copy of the certification of the credit must be attached to the return.
461 – LA Work Opportunity – R.S. 47:287.750 provides a credit for a business that hires participants in the work release programs provided for in R.S. 15:711, 1111, 1199.9, and 1199.10. The Louisiana Department of Public Safety or applicable sheriff must certify that the eligible business employed an eligible re-entrant who is participating in a work release program on or after January 1, 2021 in an eligible job for 12 consecutive months. A copy of the certification of the credit must be attached to the return.
462 – Youth Jobs – R.S. 47:6028 provides a credit for a business that hires one or more eligible youth on or after July 1, 2021. To earn the credit, the eligible youth must work at least three (3) consecutive months in a full-time or part-time position at the business. The credit is equal to $1,250 for each eligible youth hired in a full-time position or $750 for each eligible youth hired in a part-time position. Taxpayers must apply to the Department to receive certification. A copy of the certification of the credit must be attached to the return. See LAC 61:l.1921 for more information.
463 – Apprenticeship (2022) – R.S. 47:6033 provides a credit to employers for $1.25 for each hour of employment of an eligible apprentice, limited to $1,250 for each eligible apprentice. An eligible apprentice is a person who has entered into a written apprentice agreement with an employer or an association of employers pursuant to a registered apprenticeship program or who is enrolled in a training program accredited by the National Center for Construction Education and Research which has no less than four levels of training and no less than 500 hours of instruction. Use this code for Apprenticeship credits earned for employment of eligible apprentices after December 31, 2021. Attach a copy of Form R-90005, Apprenticeship Tax Credit Employer Certification, and the required documentation as listed on that form.
464 – Donation to Qualified Foster Care Charitable Organization – R.S. 47:6042 provides a credit for donations made to a qualifying foster care charitable organization that provides services to a child in a foster care placement program established by the Department of Children and Family Services. The credit is for the amount of the donation used to provide the service, limited to $50,000. Form R-68009, Receipt for Donations to Qualifying Foster Care Charitable Organization Credit, must be attached to your return.
465 – Firearm Safety Devices – Act 403 of the 2023 Regular Legislative Session provides a credit for the purchase of one or more firearm safety devices from a federally licensed dealer in a single transaction. Only one credit can be earned per return in a tax year. The credit is for the amount paid for the qualifying items, including sales tax, limited to $500. "Firearm" means any pistol, revolver, rifle, shotgun, machine gun, submachine gun, black powder weapon, or assault rifle which is designed to fire or is capable of firing fixed cartridge ammunition or from which a shot or projectile is discharged by an explosive. "Firearm safety device" means a safe, gun safe, gun case, lock box, or other device that is designed to be or can be used to store a firearm and that is designed to be unlocked only by means of a key, a combination, or other similar means. Only $500,000 in credits can be granted in a year. A copy of the receipt must be attached to the return as documentation of the credit.
500 – Inventory Tax Credit Carried Forward and ITEP – R.S. 47:6006 provides a credit for ad valorem taxes paid to political subdivisions in Louisiana on inventory held by manufacturers, distributors, or retailers. Manufacturers, distributors, or retailers should use this code for the carryforward of unused nonrefundable credits (not current year credit) from 2015 through 2022. Manufacturers
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Instructions for Nonrefundable Priority 3 Credits, Schedule J ...Continued
CREDIT DESCRIPTION CODE
who claimed the property tax exemption under the Industrial Tax Exemption Program (ITEP) during the same year the inventory taxes were paid and members of their federal consolidated group should use this code for the carryforward of unused nonrefundable credits from 2015 through 2022 and the current year credit calculated on the 2023 Form R-10610-ITE, Schedule of Ad Valorem Tax Credit Claimed by ITEP Manufacturers for Ad Valorem Tax Paid on Inventory, which must be attached to the return.
502 – Ad Valorem Natural Gas Credit Carried Forward – R.S. 47:6006 provides a credit for ad valorem taxes paid to political subdivisions in Louisiana on natural gas held, used or consumed in providing natural gas storage services or operating natural gas storage facilities. Use this code for the carryforward of unused nonrefundable credits (not current year credit) from 2015 through 2022.
504 – Atchafalaya Trace – R.S. 25:1226.4 provides a credit to certain heritage-based cottage industries that have entered into a contract with the State Board of Commerce and Industry. A copy of the contract must be attached to the return.
506 – Cane River Heritage – R.S. 47:6026 provides a credit for a heritage-based cottage industry located or to be located in the
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Cane River Heritage Area Development Zone. The taxpayer must enter into a contract with the Louisiana Department of Culture, Recreation, and Tourism, and a copy of the contract must be attached to the return.
508 – Ports of Louisiana Investor – R.S. 47:6036(C) provides a credit to individuals to encourage investment in state port facilities in Louisiana. Taxpayers must apply to the Louisiana Department of Economic Development to receive certification. A copy of the certification of the credit must be attached to the return.
510 – Enterprise Zone – R.S. 51:1781 et seq. provides a credit for private sector investments in certain areas that are designated as "Enterprise Zones." The taxpayer must enter into a contract with the Louisiana Department of Economic Development, and a copy of the contract showing the credit granted must be attached to the return.
550 – Recycling Credit – R.S. 47:6005 provides a credit for the purchase of certain equipment or service contracts related to recycling. The credit must be certified by the Louisiana Department of Environmental Quality and a copy of the certification must be attached to the return.
599 – Other – Reserved for future credits.
Interest and Penalty Calculation Worksheets
You will be charged interest and penalties if you do not pay all amounts due on or before the due date.
1. A 2023 calendar year return is due on or before May 15, 2024, and receives an automatic six month extension to November 15, 2024.
2. Returns for fiscal years are due on or before the 15th day of the fifth month after the close of the taxable year and receive an automatic six month extension.
Important Notice: The sum of both the delinquent filing and delinquent payment penalties cannot exceed 25 percent of the tax due. Thirtyday increments are used for the calculation of the delinquent filing and delinquent payment penalties. These penalties are based on the date LDR receives the return or payment. In addition to the delinquent penalties, you may also incur an accuracy-related penalty under R.S. 47:1604.1 if circumstances indicate negligent failure to comply with rules and regulations.
3. If the due date falls on a weekend or legal state holiday, the return is due the next business day.
Important: An extension does not relieve you of your obligation to pay all tax amounts due by the original due date.
Interest – If your income tax is not paid by the due date, you will be charged interest on the unpaid tax until the balance is paid in full. The interest rate is variable and the 2024 interest rate is posted on LDR's website on Form R-1111, Interest Rate Schedule - Collected on Unpaid Taxes. To compute the DAILY INTEREST RATE, multiply the 2024 monthly interest rate by 12 then divide the result by 365 and carry out to seven places to the right of the decimal. Example: Assume the 2024 monthly interest rate is 0.5833 percent, multiply 0.00583 by 12 then divide the result by 365 to get the daily interest rate of 0.0001917.
| Interest Calculation Worksheet | | |
|---|---|---|
| 1 | Number of days late from the due date | |
| 2 | Daily interest rate (See instructions above.) | 0. ______ |
| 3 | Interest rate (Multiply Line 1 by Line 2.) | |
| 4 | Amount you owe (Form IT-540, Line 38) | .00 |
| 5 | Total interest due (Multiply Line 4 by Line 3, and enter the result on Form IT-540, Line 42.) | .00 |
Delinquent Filing Penalty – A delinquent filing penalty will be charged for failure to file a return on or before the extended due date of November 15, 2024. The penalty is five percent of the tax for each 30 days or fraction thereof during which the failure to file continues. If you file after the extended due date, the delinquent filing penalty that will be assessed is the maximum of 25 percent of the tax due.
| 1 | Total penalty percentage. |
|---|---|
| 2 | Amount you owe (Form IT-540, Line 38) |
| 3 | Total amount of delinquent filing penalty due (Multiply Line 2 by Line 1 and enter the result on Form IT-540, Line 43.) |
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Delinquent Payment Penalty – If you fail to pay the tax due by the due date of May 15, 2024, a delinquent payment penalty of 0.5 percent of the tax not paid by the due date will accrue for each 30 days, or fraction thereof, during which the failure to pay continues. This penalty cannot exceed 25 percent of the tax due. Use the worksheet below to calculate that penalty.
| Delinquent Payment Penalty Calculation Worksheet | | |
|---|---|---|
| 1 | Number of days late from the due date | |
| 2 | Divide Line 1 by 30 days. | ÷30 |
| 3 | Number of 30-day periods (If fraction of days remain, increase the amount to the nearest whole number.) | |
| 4 | 30-day penalty percentage | .005 |
| 5 | Total penalty percentage (Multiply Line 3 by Line 4. The result cannot exceed 25 percent.) | |
| 6 | Amount you owe (Form IT-540, Line 38) | .00 |
| 7 | Total amount of delinquent payment penalty (Multiply Line 6 by Line 5 and enter the result on Form IT-540, Line 44.) | .00 |
Underpayment Penalty – Louisiana imposes an underpayment penalty on an individual's failure to sufficiently pay income tax throughout the year by withholding or declaration payments. In order to determine if an underpayment penalty is due and to compute the amount of the underpayment penalty, you must complete Form R-210R, Underpayment of Individual Income Tax Penalty Computation, and attach the completed form to your return. See Revenue Information Bulletin 04-004 for the definition of farmer for purposes of applying underpayment penalty.
Line 32 – Although you may have an overpayment, if you failed to suf ficiently pay income tax throughout the year, in accordance with R.S. 47:117.1, you may be subject to the underpayment penalty. Complete the 2023 Form R-210R available on LDR's website and enter the amount from Line 19 on Line 32. Attach the completed Form R-210R to your return. If you are a farmer, mark the box on Line 32.
Line 45 – If you have a tax deficiency, you may be charged an underpay ment penalty. Complete the 2023 Form R-210R and enter the amount from Line 19 on Line 45. Attach the completed Form R-210R to your return. If you are a farmer, mark the box on Line 45.
2023 Louisiana Child Care Credit Instructions
R.S. 47:297.4 allows a state tax credit for child and dependent care expenses allowed by Internal Revenue Code Section 21. The credit is refundable for taxpayers whose Federal Adjusted Gross Income is $25,000 or less and is nonrefundable for taxpayers whose Federal Adjusted Gross Income is more than $25,000.
INCOME EQUAL TO OR LESS THAN $25,000
Taxpayers whose Federal Adjusted Gross Income is $25,000 or less are allowed a refundable credit whether or not a federal child care credit has been claimed. In order to claim the Louisiana Refundable Child Care Credit, the taxpayer must comply with the same law and rules of Internal Revenue Code Section 21 that governs the federal child care credit for the 2023 taxable year. Use Lines 1 through 11 of the Louisiana Refundable Child Care Credit Worksheet to compute your refundable credit. See instructions for the worksheet below.
INCOME GREATER THAN $25,000
Taxpayers whose Federal Adjusted Gross Income is greater than $25,000 are allowed a credit against their Louisiana income tax liability for a certain percentage of their federal child care credit. If you are unable to claim the credit in the year in which it is earned, the unused portion of the credit can be used over the next five years. Use Lines 1 through 15 of the 2023 Louisiana Nonrefundable Child Care Credit Worksheet to compute your 2023 nonrefundable credit, and to appropriately claim any carry forward you may have from previous years.
REFUNDABLE CHILD CARE CREDIT INSTRUCTIONS
1. Your Federal Adjusted Gross Income must be $25,000 or less to claim a Louisiana refundable child care credit. If you did not file and claim a federal child care credit, you may still file for, and receive, a refundable Louisiana Child Care Credit, if you meet certain criteria. In order to qualify for the Louisiana credit, you must meet the same tests for earned income, qualifying dependents, and qualifying expenses as required by the IRS for the federal child care credit.
2. In order to claim your Louisiana Child Care Credit, you must meet the following requirements:
A. Your filing status must be single, head of household, qualifying surviving spouse, or married filing jointly. See item number 3 below for information on married filing separately.
B. The care was provided to your dependent child to allow you, and your spouse if married filing jointly, to work or look for work. If you did not find a job and have no earned income for the year, you cannot claim the credit.
C. The qualifying child must be under age 13.
D. The person who provided the care cannot be your spouse, the parent of the qualifying child, or a person whom you can claim as a dependent. If your child provided the care, he cannot be your dependent and must be age 19 or older by the end of 2023.
3. If your filing status is married filing separately, you will be considered single for purposes of calculating the credit if all of the following apply:
A. You lived apart from your spouse during the last 6 months of 2023.
B. Your qualifying dependent child lived in your home for more than half of 2023.
C. You provided over half the cost of keeping up your home.
If you meet all these requirements and meet the requirements of 2(B), 2(C), and 2(D), you are eligible for the credit.
4. Retain copies of canceled checks, receipts and other documentation in order to support the amount of qualifying expenses or submit this documentation with the return for faster processing.
DEFINITIONS
Qualifying Child – A child under age 13 who can be claimed as a dependent by the taxpayer. If the child turned 13 during the year, the child qualifies for the part of the year he was under age 13.
Qualified Expenses – Amounts paid for household services and care of the qualifying person while the taxpayer worked or looked for work. Child support payments are not qualified expenses. Also, expenses reimbursed by a state social service agency are not qualified expenses unless the reimbursement was included in the taxpayer's income. Prepaid expenses are treated as paid in the year the care was provided. Do not include the following as qualified expenses for 2023:
1. Expenses incurred in 2022 but did not pay until 2023.
2. Expenses incurred in 2023 but did not pay until 2024.
3. Expenses prepaid in 2023 for care to be provided in 2024.
Dependent Care Benefits – These include amounts your employer paid directly to either you or your care provider for the care of your qualifying child while you worked. Also, dependent care benefits include the fair market value of care in a daycare facility provided or sponsored by your employer and any pre-tax contributions you made under a dependent care flexible spending arrangement (FSA). Your salary may have been reduced to pay for these benefits. If you received dependent care benefits, they should be shown on your 2023 Forms W-2 in box 10.
Earned Income – Earned income includes wages, salaries, tips, other taxable employee compensation, and net earnings from self employment. A net loss from self employment reduces earned income. Earned income also includes strike benefits, any disability pay you report as wages, and other taxable compensation. You can elect to include nontaxable combat pay in earned income. Earned income does not include: pensions and annuities, social security payments, workers' compensation, interest, dividends, or unemployment compensation, scholarship or fellowship grants, nontaxable workfare payment, or any amount received for work while an inmate in a penal institution.
For additional definitions, details, and information, see the Internal Revenue Service's Publication 503.
2023 Louisiana Nonrefundable School Readiness Credit Worksheet Instructions
R.S. 47:6104 provides a School Readiness Credit in addition to the credit for child care expenses as provided under R.S. 47:297.4. To qualify for this credit, the taxpayer must have Federal Adjusted Gross Income GREATER THAN $25,000, must have claimed a Louisiana Nonrefundable Child Care Credit, and must have incurred child care expenses for a qualified dependent under age six who attended a child care facility that is participating in the Quality Start Rating program administered by the
Louisiana Department of Education. The qualifying child care facility must have provided the taxpayer with Form R-10614, Louisiana School Readiness Tax Credit, which verifies the facility's name, the facility license number, the LA Revenue Account number, the Quality Rating, and the rating award date. Retain copies of canceled checks, receipts and other documentation in order to support the amount of qualifying expenses.
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'Aqd (Alleged) of Syeda Umm Kulsoom -asws '
'Aqd (Alleged) of Syeda Umm Kulsoom -asws
In the Name of Allah -azwj the Beneficent, the Merciful. The Praise is for Allah -azwj Lord -azwj of the Worlds, and Blessing be upon our Chief Muhammad -saww and his -saww Purified Progeny -asws , and greetings with abundant greetings.
'Aqd (Alleged) of Syeda Umm Kulsoom -asws '
General Muslims (non-Shia) allege that Umar Ibn Khattab, out of friendship, married a daughter (Umm Kulsoom -asws ) of Ali Amir ul-Momineen -asws which is absolutely untrue. They give reference to Al-Kafi vol. 5, however, in Ahadith of Al-Kafi (given below), this marriage cannot be proven but rather the evil character of Umar is highlighted that Umar said: if he (Umar) does not get the hand of the daughter of Ali Amir ul-Momineen -asws he (Umar) will destroy the Islamic symbols (i.e., Zamzam), destroy the honour of Bani Hashim and deviously cut the right hand of Ali Amir ul-Momineen -asws by arranging false witnesses in order to implement legal punishment for steeling. Below we present the two Ahadith from Al-Kafi and some other Ahadith from Shia sources to refute their claim:
Ali ibn Ibrahim has narrated from his father from Ibn Abu Umayr from Hisham Ibn Salim and Hammad from Zurarah who says:
Abu Abd Allah -asws about the marriage of Umm Kulsoom has said: It was (attempted) marriage by force. 1
Muhammad ibn Abu Umayr has narrated from Hisham ibn Salim who has said:
Abu Abd Allah -asws (6 th Imam -asws ) has said: When he (Umar) proposed marriage with Umm Kulsoom -asws , Amir ul-Momineen -asws said, She is yet a child. He (the Imam -asws ) has said that
و
ِ
ي
1 كُ م ُ ْل أُ م تَِ جيِوْزب َ با, , H. 1, 346, ، ص :5ج ،)ةيمالسإلا -ا ط( ف اكل
he (Umar) saw Al-Abbas and asked, what is wrong with me is there something wrong with me? He Al-abbas asked, what is the matter? He (Umar) replied saying, I proposed marriage before the son of your brother -asws for his daughter but he -asws rejected my proposal. I swear by Allah -azwj , I will shut down Zamzam, leave no honour for you without being destroyed: I will prove him -asws guilty of theft through two witnesses and cut-off his -asws right hand. So AlAbbas came to him -asws and told him -asws and asked him -asws to make the matter to him (AlAbbas), and he -asws made it to him (for calming Umar down). 2 Note: Here there is no proof that this marriage ever occurred.
يفِلِظَتْسُمْلا ىَلِإ ِهِداَنْسِإِب ِه ِ دَنْسُم ي ِ ف ٍل َب ْنَح ُ ن ْ ب ُ د َمْ حَأ فئارطلا ، قَ:َلا إِن ْن ُ كَأ ْمَل ُهَل َلاَقَف اَ ه ِرَغِصِب َ ّلَ تْعا َ ف ٍموُثْلُك َّمُأ ع ٍّيِلَع ىَلِ إ َ بَط َ خ ِباَّطَخْلا َنْب َرَمُع َّ أُاَ ل َخ اَم ِةَماَيِقْلا َمْوَي ٌعِطَقْنُم ٍبَسَن َ و ٍبَسَح ُّلُك ُلوُقَي ص ِهَّللا َ لوُسَر ُ ت ْعِمَس ْنِكَل َ و َهاَب ْ لا ُديِر حََن َو يِبَسسَب َدْل ُو اَلَخ اَم ْمِ ه يِبَ أ ِل ْمُهَتَبَصَع َّ ن ِإ َ ف ٍ مْوَق ُّلُك َو يِ فَْمُ ه ُتَبَصَع َو ْ مُهوُبَأ اَنَأ يِّنِإَف َةَمِطا.
(The book) 'Al Taraif' – Ahmad Bin Hanbal in his (book) 'Musnad', by his chain to Al Mustazil who said,
'Umar Bin Al-Khattab proposed to Ali -asws for Umm Kulsoom -asws , so he -asws excused with her -asws being too young. He -asws said to him: 'I -asws did not want the marriage, but I -asws heard Rasool-Allah -saww saying 'Every affiliation and lineage would be terminated on the Day of Qiyamah apart from my -saww affiliation and my -saww lineage, and every people, their bond is to their fathers apart from the children of (Syeda) Fatima -asws , for surely, I -asws am their father -asws and their bond''. 3
ا
ا
س
تْعاَف ِه
شَِن
ليِطَتْسُمْلا ِنَع َةَوْرُع ْن
ع ٍبيِب
صٍنْيَ
مِْو ق ِّلُك نا رَ ْعَج يِخَأ ِ ْ اِل ِّن تْعاَف ِه
اَهُتْدَدْعَأ
ِّن
إ َلاَق َو اَهِرَ
ِصِب َّل
ِف َّنَأ اَّلِإ ُهَلْثمىَثْنُأ يِنَ ب ُّلُك ٍ.
(The book) 'Kanz' of Al Karajaky, from the judge al Sullamy Asad Bin Ibrahim, from Umar Bin Ali Al Atakky, from Muhammad Bin Is'haq, from Al Kudeymi, from Bishr Bin Mihram, from Shareek Bin Shabeen, from Urwah, from Al Mustateel Bin Husayn,
'Similar to it, except that in it, 'He -asws excused by her -asws being too young and said: 'I -asws have prepared her -asws to be for the son of my -asws brother -as Ja'far -as , and the place of every people is all sons of a female''. 4
2 كُ م ُ ْل أُ م بَِج ِ ْز َت ُبا, , H. 2, 346 ، :ص5ج ،)ةيمالسإلا -ال ط( ي فاك
ٍ
ِ
و
3 Bihar Al Awaar – V 40, The book of History – Amir Al Momineen-asws, Ch 120 H 29 a
4 Bihar Al Awaar – V 40, The book of History – Amir Al Momineen-asws, Ch 120 H 29 b
يج حئارجلا و جئارخلا ،الِنْب ِهْيَوَّمَح ِنْب ِد َّمَ ح ُم ْنَع َةَدَعْسَم ِنْب ِدَّم َ حُم ْنَع ٍرْص َ ن ِنْب َناَعْذُج ْنَع ٍريِصَب يِبَأ ْنَع ُراَ ّ فَّص إِسِي ِ بيِبَّ ر لا ِهَّللا ِدْ بَع يِ ب َأ ْنَ ع َليِع ا َمْ عَن َرَمُع ْ بْ:َلاَق َةَنْيَذُأ ِن قِاَلُف َجَّوَ ز ع َ نيِنِم ْ ؤُمْلا َريِ م َأ َّنِإ َنوُلوُقَي َو اَنْيَلَع َنوُّجَتْحَي َساَ ّ نلا َّ ن ِإ ع ِهَّللا ِ د ْبَع يِبَأِل َلينا َنوُلوُقَي َأ َلاَق َو َسَل َ جَف ًائِكَّتُم َ ناَك َو ٍموُثْلُك َّمُأ ُهَتَنْبا ً ذَل َ ي اَ ل َكِلَذ َنوُمُعْزَي ًامْوَق َ ّنِإ َ كِهَْناَحْبُس ِ ل يِب َّسلا ِ ء اَوَس ى َلِإ َنوُدَت ع َنيِ ن ِمْؤُمْلا ُريِمَأ ُرِدْق َ ي َناَك اَم ِ ه َ ّللا - أاَهَذِقْنُيَف اَهَنْيَب َو ُهَنْيَب َلوُح َ ي ْنَ
(The book) 'Al Kharaij Wa Al Jaraih' – Al Saffar, from Abu Baseer, from Juz'an Bin Nasr, from Muhammad Bin Mas'ada, from Muhammad Bin Hamawiya Bin Ismail, from Abu Abdullah Al Rabie, from Umar Bin Uzina who said,
'It was said to Abu Abdullah -asws , 'The people are arguing against us and saying that Amir AlMomineen -asws got his -asws daughter Umm Kulsoom -asws to so and so (Umar)!' He -asws was reclining. He -asws sat up straight and said: 'Are they saying that? A people claiming that cannot be guided to the right way! Glory be to Allah -azwj ! Amir Al-Momineen -asws was not able upon alienating between him -asws and her -asws , (and) then saving her -asws ! They are lying!
And what they are saying did not happen. So and so (Umar) had proposed to Ali -asws for his -asws daughter -asws Umm Kulsoom -asws , but Ali -asws refused. He (Umar) said to Al-Abbas: 'By Allah -azwj ! If you do not get me married (to her -asws ), I will snatch away the quenching (of the pilgrims) and (control of) Zamzam (stop the Hajj)!' So, Al-Abbas came to Ali -asws and spoke to him -asws . But he -asws refused upon it. Al-Abbas insisted (on behalf of Umar showing there existed enormous support for Umar and continuation of Hajj!!).
When Amir Al-Momineen -asws saw the discomfort of the talk of the man (Umar) upon AlAbbas, and he will be doing with the quenching (stopping water to Hajjis) what he had said, Amir Al-Momineen -asws sent a message to a Jinnie (devil) from the people (devils) of Najran, a Jewess (faith devil) called Saheyfa Bint Juweyria. He -asws ordered her and she (transformed to human) resemble in a semblance (image) of Umm Kulsoom -asws , and (so) the sights (people) were veiled from Umm Kulsoom -asws (they could not see her in Amir ul-Momineen -asws 's home) and he -asws sent her (Jewess devil) to the man (Umar).
She (the Jewess devil) did not cease to be with him (Umar) until he fell into suspicion with her one day. He (Umar) said, 'There is no one in the earth of more sorcery than the Clan of Hashim -as !' Then he wanted to reveal that to the people, but he was killed, and the inheritance perished, and she (Jewess devil) left to go to Najran, and Amir Al-Momineen -asws revealed Umm Kulsoom -asws (to the people)''. 5
5 Bihar Al-Awaar – V 40, The book of History – Amir Al Momineen-asws, Ch 120 H 16
'Aqd (Alleged) of Syeda Umm Kulsoom -asws
Abbreviations:
saww : - S al lal la ho A llay hay W a Aal lay he W
asallam
azwj: - A z Z a W a J alla
asws: - A llay hay S alawat W ass S alam
AJFJ: Ajal Allah hey wa Fara Jaak
ra: - Razi Allah -azwj
La: - Laan Allah -azwj
|
Clerk: Sarah Porter
Phone: 01629 732365
Email: firstname.lastname@example.org
Web: www.beeleyparishcouncil.org.uk
8 th May 2017
Dear Councillor,
You are summoned to attend the Beeley Parish Council Annual General and Ordinary meetings on 15 th May 2016 at 7.30pm at the Cavendish Village Hall, Beeley.
Members are asked to sign the attendance sheet for the meeting and to complete the Declarations Sheet for items other than Disclosable Pecuniary Interests (DPI). These will be available at the meeting.
Yours sincerely,
Sarah Porter
ANNUAL GENERAL MEETING AGENDA
| 1 | Election of Chair |
|---|---|
| 2 | Election of Vice-Chair |
| 3 | Apologies for absence |
| 4 | To confirm the Minutes of the Annual General Meeting held on 24th May 2016 |
| 5 | Accounts for the year 2016-2017 and Annual Audit Return – Appendix 1 |
| 6 | Code of Conduct |
| 7 | Register of Interest Forms |
| 8 | AGM Closed move on to Council meeting |
DATE OF NEXT AGM
- Monday 14 th May 2018
Held at 7.30pm in the Village Hall
MEMBERS OF THE PUBLIC ARE WELCOME TO ATTEND
Clerk: Sarah Porter
Phone: 01629 732365
Email: email@example.com
Web: www.beeleyvillage.org.uk
ANNUAL GENERAL MEETING MINUTES
For the meeting on 24 th May 2016 in Cavendish Village Hall, Beeley
Councillors present:
Chris Hornsby
Pete Rowbotham
Siobhan Spencer
Robert Webster
Apologies: Cllr Bob Damarell
PCSO Ian Phipps
Cllr Jo Wild (DCC)
Cllr Susan Hobson (DDDC)
Cllr Kath Potter
Others present:
Peter Morton
Sarah Porter
1. Election of Chair – Cllr Robert Webster nominated Cllr Hornsby and Cllr Siobhan Spencer seconded. This was unanimously approved.
2. Election of Vice-Chair – Cllr Peter Rowbotham nominated Cllr Robert Webster and Cllr Chris Hornsby seconded. This was unanimously approved.
3. Apologies for absence were received from Cllr Bob Damarell, PCSO Ian Phipps and Cllr Susan Hobson.
4. The Minutes of the Annual General Meeting held on 22 nd May 2015 were approved. Cllr Spencer explained that the high cleaning line was due to it including the mowing and baby change.
5. Accounts for the year 2015-2016 and Annual Audit Return were approved:
6. Standing Orders – No changes are required and the existing Standing Orders continue
7. Financial Regulations – The new regulations were approved and the tender limit has been reduced from £60,000 to £15,000
Action Require
8. Report from the Village Hall Trustees
Cllr Spencer explained that the income has increased over the last few years. This year's includes two grants. £305 was raised for a memorial bench. A new roof will be installed in August and the toilet windows have been inner glazed. The hand dryers are being changed to be environmentally friendly ones. The chairs are being replaced to one sort throughout. The plan is to look at improving the storage this year and the WI room for Heritage items. The cladding still needs looking at.
The PAT testing lapsed this year.
There was concern over the audit in 2015 as not a full audit was undertaken. This year the audit will be undertaken by someone else.
The Trust Deed is still in operation.
Nick Wood has given Cllr Spencer a letter saying that he is willing to renew the lease for another 20 years. This will come to the Parish Council in September. There was a discussion about whether this would be the time to review the lease and the Charity Trust. This is something the Trustees and the Parish Council need to discuss.
9. Code of Conduct was approved
10. Register of Interest Forms need to be completing
11. AGM Closed moved on to Council meeting
DATE OF NEXT AGM
- Monday 15 th May 2017
Held at 7.30pm in the Village Hall
Trustees and Councillors
All
Beeley Parish Council Bank Rec. As at 31st March 2017
Date
Month
PAYMENTS
RECEIPTS
Difference
£
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
1,000.00
50.00
1,050.00
0.00
0.00
0.00
(126.40)
0.00 (126.40)
91.89
91.89
0.00
0.00
1,015.49
0.00
1,015.49
Difference
£
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
-296.00
(296.00)
719.49
| Month | ly Budget M | o | nitoring | | | |
|---|---|---|---|---|---|---|
| | Year to Date at 31/03/17 | | | | | |
| | | | 12 | | | |
| 31st March 2017 | Actual £ | | Budget £ | Difference | Actual £ | Budget £ |
| 12 | To Date | | To Date | £ | Projected | For Year |
| Administration | | | | | | |
| Clerk’s salary | 1,323.00 | | 1,878.03 | 555.03 | 1,878.03 | 1,878.03 |
| Clerk's expenses | 269.41 | | 350.00 | 80.59 | 350.00 | 350.00 |
| Councillor's expenses (travel & sub - £10 / person) | 0.00 | | 0.00 | 0.00 | 0.00 | 0.00 |
| Training | 0.00 | | 0.00 | 0.00 | 0.00 | 0.00 |
| Audit fees | 51.80 | | 200.00 | 148.20 | 200.00 | 200.00 |
| Room hire | 190.00 | | 100.00 | (90.00) | 100.00 | 100.00 |
| Subscription DALC | 0.00 | | 65.00 | 65.00 | 65.00 | 65.00 |
| W ebsite maintenance | 234.88 | | 200.00 | (34.88) | 200.00 | 200.00 |
| Insurance | 471.75 | | 200.00 | (271.75) | 200.00 | 200.00 |
| Stationery, Printing and Adverts | 0.00 | | 0.00 | 0.00 | 0.00 | 0.00 |
| | 2,540.84 | | 2,993.03 | 452.19 | 2,993.03 | 2,993.03 |
| Playing Field | | | | | | |
| Maintenance | 5,505.25 | | 0.00 | (5,505.25) | 0.00 | 0.00 |
| Safety Inspection | 127.00 | | 80.00 | (47.00) | 80.00 | 80.00 |
| Grass cut | 775.00 | | 750.00 | (25.00) | 750.00 | 750.00 |
| Rent | 72.00 | | 72.00 | 0.00 | 72.00 | 72.00 |
| | 6,479.25 | | 902.00 | (5,577.25) | 902.00 | 902.00 |
| Car Park | | | | | | |
| Grass Cutting | 200.00 | | 0.00 | (200.00) | 0.00 | 0.00 |
| Resurfacing | 0.00 | | 1,000.00 | 1,000.00 | 0.00 | 1,000.00 |
| Donations banked | 390.00 | | 50.00 | (340.00) | 0.00 | 50.00 |
| | 590.00 | | 1,050.00 | 460.00 | 0.00 | 1,050.00 |
| Misc | | | | | | |
| Bench - maintenance | 110.00 | | 0.00 | (110.00) | 0.00 | 0.00 |
| Grit Bins and salt refills | 0.00 | | 0.00 | 0.00 | 0.00 | 0.00 |
| Bus Shelter | 0.00 | | 0.00 | 0.00 | 0.00 | 0.00 |
| Donations | 126.40 | | 0.00 | (126.40) | 126.40 | 0.00 |
| Election Costs | 0.00 | | 608.00 | 608.00 | 608.00 | 608.00 |
| | 236.40 | | 608.00 | 371.60 | 734.40 | 608.00 |
| Neighbourhood Watch | | | | | | |
| Neighbourhood W atch | 0.00 | | 91.89 | 91.89 | 0.00 | 91.89 |
| | 0.00 | | 91.89 | 91.89 | 0.00 | 91.89 |
| S137 Grants | | | | | | |
| S137 grants | 0.00 | | 400.00 | 400.00 | 400.00 | 400.00 |
| | 0.00 | | 400.00 | 400.00 | 400.00 | 400.00 |
| Total Payments | 9,846.49 | | 6,044.92 | (3,801.57) | 5,029.43 | 6,044.92 |
| VAT | 114.00 | | 0.00 | (114.00) | 30.00 | 30.00 |
| Total Payments after VAT | 9,960.49 | | 6,044.92 | (3,915.57) | 5,059.43 | 6,074.92 |
| | Actual £ | | Budget £ | Difference | Actual £ | Budget £ |
| | To Date | | To Date | £ | Projected | For Year |
| Bank Interest | 218.71 | | 1.00 | 217.71 | 1.00 | 1.00 |
| Grant | 1,667.04 | | 148.00 | 1,519.04 | 148.00 | 148.00 |
| Chatsworth Grant | 500.00 | | 500.00 | 0.00 | 500.00 | 500.00 |
| DDDC Reimbursements | 285.00 | | 285.00 | 0.00 | 285.00 | 285.00 |
| Car Park Donations | 480.39 | | 50.00 | 430.39 | 50.00 | 50.00 |
| Car Park Donations banked | 390.00 | | 50.00 | 340.00 | 50.00 | 50.00 |
| Misc | 3,825.00 | | 50.00 | 3,775.00 | 50.00 | 50.00 |
| Vat | 26.78 | | 30.00 | (3.22) | 30.00 | 30.00 |
| Total Receipts before precept | 7,392.92 | | 1,114.00 | 6,278.92 | 1,114.00 | 1,114.00 |
| Precept | 4,097.00 | | 4,393.00 | (296.00) | 4,097.00 | 4,393.00 |
| | 11,489.92 | | 5,507.00 | 5,982.92 | 5,211.00 | 5,507.00 |
| | 1,529.43 | | -537.92 | 2,067.35 | 151.57 | -567.92 |
Accounts 16-17
08/05/2017 : 00:28
BEELEY PARISH COUNCIL PAYMENTS 2016 - 2017
DATE
18/04/2016
18/04/2016
18/04/2016
24/05/2016
24/05/2016
24/05/2016
24/05/2016
24/05/2016
24/05/2016
20/06/2016
20/06/2016
20/06/2016
27/06/2016
18/07/2016
05/09/2016
19/09/2016
19/09/2016
19/09/2016
19/09/2016
31/10/2016
31/10/2016
29/11/2016
29/11/2016
16/01/2017
01/03/2017
20/03/2017
20/03/2017
20/03/2017
27/03/2017
| Cheque | Paid To/Details | Cleared Account | Meeting Approval Budget Revised Budget | ADMINISTRATION | | | | | | | | | | PLAYING FIELD | | | | CAR PARK | | | MISCELLANEOUS | | | | | | NW | DONATIONS | TOTAL |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| | | | | Clerk's Clerk's Councillor's Training Audit Fees Salary Expenses Expenses 1,878.03 350.00 0.00 0.00 200.00 950.00 300.00 0.00 0.00 81.00 | | | | | Room Hire 100.00 100.00 | Subs 65.00 65.00 | Website Insurance 200.00 200.00 200.00 187.44 | | Stationery, Printing and Adverts 0.00 0.00 | Maintenance 0.00 30.00 | Safety Inspection 80.00 74.00 | Grass cutting 750.00 750.00 | Rent 72.00 72.00 | Grass Cutting 200.00 150.00 | Resurfacing 1,000.00 500.00 | Donations banked 0.00 185.00 | Bench Maintenance 0.00 0.00 | Grit Bins & Salt 0.00 0.00 | Bus Shelter 0.00 0.00 | Donations 0.00 0.00 | Transfer from R to C 0.00 0.00 | Election 608.00 93.35 | Neighbourhood Watch 91.89 0.00 | S137 400.00 300.00 | By Category 6,194.92 4,037.79 252.50 72.00 200.00 199.50 125.00 51.80 471.75 134.88 373.00 142.19 50.00 77.00 175.00 84.00 250.00 136.50 110.00 225.00 5,070.00 214.62 190.00 116.85 100.00 173.25 390.00 273.00 62.50 63.90 62.25 0.00 0.00 |
| | | | 18/04/2016 18/04/2016 18/04/2016 24/05/2016 24/05/2016 24/05/2016 24/05/2016 24/05/2016 24/05/2016 20/06/2016 20/06/2016 20/06/2016 18/07/2016 18/07/2016 18/07/2016 19/09/2016 19/09/2016 19/09/2016 19/09/2016 31/10/2016 31/10/2016 29/11/2016 29/11/2016 16/01/2017 20/03/2017 20/03/2017 20/03/2017 20/03/2017 20/03/2017 | 52.50 200.00 199.50 51.80 126.00 16.19 84.00 136.50 168.00 46.62 110.25 6.60 173.25 273.00 | | | | | 190.00 | | 134.88 100.00 | 471.75 | | 373.00 5070.00 62.25 | 50.00 77.00 | 175.00 100.00 150.00 200.00 150.00 | 72.00 | 25.00 25.00 25.00 50.00 75.00 | | 390.00 | 110.00 | | | 62.50 63.90 | | | | | |
| | | | | 1,323.00 | 269.41 | 0.00 | 0.00 | 51.80 | 190.00 | 0.00 | 234.88 | 471.75 | 0.00 | 5,505.25 | 127.00 | 775.00 | 72.00 | 200.00 | 0.00 | 390.00 | 110.00 | 0.00 | 0.00 | 126.40 | 0.00 | 0.00 | 0.00 | 0.00 | 9,846.49 |
| | | | | 2,540.84 | | | | | | | | | | 6,479.25 | | | | 590.00 | | | 236.40 | | | | | | 0.00 | 0.00 | 9,846.49 |
11.98
74.17
15.40
12.45
114.00
114.00
TOTAL
By Item
252.50
72.00
200.00
199.50
125.00
51.80
471.75
146.86
447.17
142.19
50.00
92.40
175.00
84.00
250.00
136.50
110.00
225.00
5,070.00
214.62
190.00
116.85
100.00
173.25
390.00
273.00
62.50
63.90
74.70
0.00
0.00
9,960.49
9,960.49
Receipts
BEELEY PARISH COUNCIL
| Date | Received from | Payment | Meeting | Cleared account | Precept | Grant | Chatsworth Grant | Current Account Interest | Reserve Account Interest | Transfer from R to C | DDC Reimburse | Car Park Donation | Car Park Donation Banked | Misc | VAT | TOTAL |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 01/04/2016 | Peak Park | BACS | 18/04/2016 | 01/04/2016 | | 1,667.04 | | | | | | | | | | 1,667.04 |
| 08/04/2016 | Car Park Box | Cash | 18/04/2016 | cash | | | | | | | | 10.87 | | | | 10.87 |
| 26/04/2016 | DDDC | BACS | 24/05/2016 | 29/04/2016 | 4,097.00 | | | | | | | | | | | 4,097.00 |
| 16/05/2016 | Car Park Box | Cash | 24/05/2016 | cash | | | | | | | | 30.52 | | | | 30.52 |
| 29/04/2016 | Santander | Santander | 24/05/2016 | 29/04/2016 | | | | | 2.76 | | | | | | | 2.76 |
| 13/05/2016 | HMRC | BACS | 24/05/2016 | 13/05/2016 | | | | | | | | | | | 26.78 | 26.78 |
| 13/06/2016 | Car Park Box | Cash | 20/06/2016 | cash | | | | | | | | 14.40 | | | | 14.40 |
| 30/05/2016 | Santander | Santander | 20/06/2016 | 30/05/2016 | | | | | 2.67 | | | | | | | 2.67 |
| 13/06/2016 | Bert Frith (Wall) | Cheque | 20/06/2016 | 15/06/2016 | | | | | | | | | | 3,700.00 | | 3,700.00 |
| 29/06/2016 | Santander | Santander | 18/07/2016 | 29/06/2016 | | | | | 2.76 | | | | | | | 2.76 |
| 11/07/2016 | Car Park Box | Cash | 18/07/2016 | cash | | | | | | | | 31.59 | | | | 31.59 |
| 01/08/2016 | Car Park Box | Cash | 19/09/2016 | cash | | | | | | | | 11.00 | | | | 11.00 |
| 29/07/2016 | Santander | Santander | 19/09/2016 | 29/07/2016 | | | | | 1.88 | | | | | | | 1.88 |
| 01/08/2016 | Santander | Santander | 19/09/2016 | 01/08/2016 | | | | 200.00 | | | | | | | | 200.00 |
| 07/09/2016 | Car Park Box | Cash | 19/09/2016 | cash | | | | | | | | 13.50 | | | | 13.50 |
| 29/08/2016 | Santander | Santander | 19/09/2016 | 29/08/2016 | | | | | 1.84 | | | | | | | 1.84 |
| 21/10/2016 | Car Park Box | Cash | 31/10/2016 | cash | | | | | | | | 18.75 | | | | 18.75 |
| 29/09/2016 | Santander | Santander | 31/10/2016 | 29/09/2016 | | | | | 1.84 | | | | | | | 1.84 |
| 29/10/2016 | Santander | Santander | 29/11/2016 | 29/10/2016 | | | | | 1.78 | | | | | | | 1.78 |
| 21/11/2016 | Car Park Box | Cash | 29/11/2016 | cash | | | | | | | | 21.21 | | | | 21.21 |
| 29/11/2016 | Santander | Santander | 16/01/2017 | 29/11/2016 | | | | | 0.78 | | | | | | | 0.78 |
| 07/12/2016 | Car Park Box | Cash | 16/01/2017 | cash | | | | | | | | 18.40 | | | | 18.40 |
| 12/12/2016 | DDDC | BACS | 16/01/2017 | 12/12/2016 | | | | | | | 285.00 | | | | | 285.00 |
| 08/01/2017 | Car Park Box | Cash | 16/01/2017 | cash | | | | | | | | 187.63 | | | | 187.63 |
| 29/12/2016 | Santander | Santander | 16/01/2017 | 29/12/2016 | | | | | 0.60 | | | | | | | 0.60 |
| 10/02/2017 | Car Park Box | Cash | 20/03/2017 | cash | | | | | | | | 95.47 | | | | 95.47 |
| 11/02/2017 | Chatsworth catering | Cheque | 16/01/2017 | 11/02/2017 | | | | | | | | | | 125.00 | | 125.00 |
| 31/01/2017 | Chatsworth | BACS | 20/03/2017 | 31/01/2017 | | | 500.00 | | | | | | | | | 500.00 |
| 30/01/2017 | Santander | Santander | 20/03/2017 | 30/01/2017 | | | | | 0.62 | | | | | | | 0.62 |
| 25/02/2017 | Car Park Box | Cash | 20/03/2017 | 11/02/2017 | | | | | | | | | 390.00 | | | 390.00 |
| 01/03/2017 | Santander | Santander | 20/03/2017 | 01/03/2017 | | | | | 0.62 | | | | | | | 0.62 |
| 09/03/2017 | Car Park Box | Cash | 20/03/2017 | cash | | | | | | | | 27.05 | | | | 27.05 |
| 29/03/2017 | Santander | Santander | 15/05/2017 | 29/03/2017 | | | | | 0.56 | | | | | | | 0.56 |
| | | | | | 4,097.00 | 1,667.04 | 500.00 | 200.00 | 18.71 | 0.00 | 285.00 | 480.39 | 390.00 | 3,825.00 | 26.78 | 11,489.92 |
Clerk: Sarah Porter
Phone: 01629 732365
Email: firstname.lastname@example.org
Web: www.beeleyparishcouncil.org.uk
AGENDA
8 th May 2017
Dear Councillor,
You are summoned to attend the Beeley Parish Council Ordinary meetings on Monday 15 th May 2017 after the Annual General Meeting at the Cavendish Village Hall, Beeley.
Members are asked to sign the attendance sheet for the meeting and to complete the Declarations Sheet for items other than Disclosable Pecuniary Interests (DPI). These will be available at the meeting.
Yours sincerely,
Sarah Porter
PART 1 – NON CONFIDENTIAL ITEMS
1. Apologies for absence
2. Declaration of Members Interests and including for dispensations from members on matters in which they have a Disclosable Pecuniary Interest Please Note:
a) Members must ensure that they complete the Declarations of Interest sheet prior to the start of the meeting in respect of items other than Disclosable Pecuniary Interests and must indicate the action to be taken (i.e. to stay in the meeting, to leave the meeting or to stay in the meeting to
b) make representations and then leave the meeting prior to any consideration or determination of the item)/ Where a Member indicates that they have a prejudicial interest, but wish to make representations regarding the item before leaving the meeting, those representations must be made under item (c) of Public Speaking.
The Declarations of Interests for matters other than Disclosable Pecuniary Interests will be read out from the Declaration Sheet – Members will be asked to confirm that the record is correct.
3. Public speaking
a) A period of not more than 10 minutes will be made available for members of the public and Members of the Council to comment on any matter.
b) If the Police Liaison Officer, a County Council or District Council Member is in attendance they will be given the opportunity to raise any relevant matter.
c) Members declaring an interest other than a Disclosable Pecuniary Interest who wish to make representations or give evidence under the National Association of Local Councils' (NALC) Code of Conduct shall do so at this stage.
4. To determine which items if any of the Agenda should be taken with the public excluded. If the Council decides to exclude the public it will be necessary to pass a resolution in the following terms: -
Item no x To consider a resolution under the Public Bodies (Admission to Meetings Act 1960) to exclude members of the press and public in order to discuss the following item Item no y. This item title will then be the item to be discussed with press and public excluded ......"
Report / Action Required
To note
To note
To note and action
- Insurance renewal - £502.70, £477.57 if sign up for 3 years or £452.44 if sign up for 5 years
- S137 requests – None
- New expenditure to approve:
Cheque 22181 – Clerk Pay and Expenses including home office - £352.25
Cheque 22182 – Ground maintenance - £125
Cheque 22183 – Playing Field Rent - £72 (VAT £12)
Expenditure to note:
-
Cheque 22180 – Swing matting - £74.70 (VAT £12.45)
- New income to note:
Car Park box – £38.50 in April and £1.50 in May (Banked £125)
Interest - £0.56 and £0.62
Donation from Vintage Car Rally £100
VAT refund £101.55
Precept £4158
10 Planning Applications
New:
- None
Enforcement:
- The Stables – no application has been submitted and nothing further has happened. Remove from agenda until an update.
Existing:
- NP/DDD/0317/0204 – Burntwood Quarry - The variation of planning conditions 13, 18, 19, 27, 40, 64, 65, 66 and 68 of planning permission NP/DDD/0513/0392 to extend the date by which removal of minerals from the site shall cease to 30 years from the commencement of development, to increase the gross weight of lorries used to transport stone to a maximum of 26 tonnes, and to provide for the safe placement of quarry spoil for the reclamation of Burntwood Quarry, Beeley
11 Correspondence:
- Eroica Britannia – 2 routes coming through Beeley 18 th June
- Village of the Year
- CS Woodland Creation consultation FCE1495(6) deadline was 28 th April
- Vintage Car Rally date is 3 rd March 2018
12 Feedback from Meetings and Training - None
13 For information –
- The Off-Street Parking Places (Amendment No. 2) Order 2017 ("Amendment No.2 Order") has been implemented
- Complaint about road sweepers after the tree accident
- Telephone has been removed from the telephone box
14 DALC Circulars (all circulated by email):
- Circular 06-2017 - Devolution of Services toParishes - General Election & Purdah Commission on Future of Localism -Neighbourhood Plan Examiners new Guidance Village of the Year 2017 -Consultation on Park Runs - Training Diary
- Circular 05 2017 - DCLG Guidance on Transparency Funding £25K+ - National Living Wage Rates - Updated Legal Topic Notes - New Governance & Accountability Guide New NALC Model Contract - DALC Exec Committee Vacancies - Arnold-Baker Local Council Administration 10th Edition - Training
15 Reading (circulated by email):
- Santander Statement (paper)
- Clerks and Councils Direct (paper)
- February Area Community Forum notes
- Neighbourhood Watch Newsletter
- Derbyshire Pcc Spotlight Spring 2017
- Rowsley Parish Council Agenda Papers
- Rural Matters Newsletter
- Weekly Rural News Digest
- Rural Opportunities Bulletins, Newsletter and Press releases - Rural Services Network
- Peak Park Authority Press Releases
- Derbyshire Dales District Council Press Releases
- Police Alerts
DATES OF FUTURE MEETINGS - All meetings held at 7.30pm in the Village Hall - MEMBERS OF THE PUBLIC ARE
WELCOME TO ATTEND –
- 17 th July 2017
- 18 th September 2017
20 th November 2017
To approve
To note
To approve
To note
To note
To note
To note
To apply?
To note
To note
To note
To note
To note
All to be read
Clerk: Sarah Porter
Phone: 01629 732365
Email: email@example.com
Web: www.beeleyparishcouncil.org.uk
MINUTES
For the meeting on Monday 20 th March 2017 in the Cavendish Village Hall, Beeley
Councillors present:
Bob Damarell
Pete Rowbotham
Siobhan Spencer
Robert Webster
Others: James Murphy
John Miley
Sarah Porter
Apologies: Cllr Chris Hornsby
PCSO Ian Phipps (Derbyshire Constabulary)
Cllr Susan Hobson (Derbyshire Dales DC)
Cllr Jo Wild (Derbyshire County Council)
PART 1 – NON CONFIDENTIAL ITEMS
Report / Action Required
1. Apologies for absence were received from Cllr Chris Hornsby, PCSO Ian Phipps, Cllr Jo Wild and Cllr Susan Hobson
2. There were no Declaration of Members Interests and including for dispensations from members on matters in which they have a Disclosable Pecuniary Interest.
3. Public speaking:
- Cllr Kath Potter – Three from the Peak Park went to the Fracking Conference at County Hall. There are 11 areas granted but at the conference only 2 were indicated. £100,000 bungs are being offered to the communities affected. Cllr Potter has written to Patrick McLaughlin MP and he says to keep informed visit https://goo.gl/XDQ6WH
4. No items from Part 1 of the Agenda should be taken with the public excluded.
5. The Minutes of the Meeting held on 16 th January 2017 were approved subject to noting that Cllr Potter was present.
6. Matters Arising (non decision making)
- Playing Field was discussed under Item 7
- Church Car Park was discussed under Item 8
- Finance was discussed under Item 9
- Planning applications was discussed under Item 10
- Correspondence actioned as minuted
7. Playing Field
Rospa Inspection is booked for the month of May. James Murphy has offered to carry this out via his Health and Safety company. Clerk
Inspections
o
The tarmac area on the basketball area is falling away at the edges as the timber support has deteriorated and allowing the tarmac to fall
away. Agreed to get some soil and build up beside the basketball tarmac to hold it. Chatsworth to be asked for some soil.
o The tarmac on the pathway has badly perished. Agreed to do this with the Church Car Park
o The ground under the swings is developing into larger holes filled with mud and water. Agreed to buy matting and pegs.
o The old goal post which was placed under the hedge at the top of the field needs skipping as they are just becoming an eye sore. It was agreed to remove all the goal posts except the one good one. Cllr Damarell, Rowbotham and Webster will have a look.
8. Church Car Park
- It is hoped the Parish Council will get a donation from the Vintage Car Rally towards the re-surfacing
9. Finance and Audit
- Accounts to 13 th March 2017 were noted
- Standing Orders were approved
- Financial Regulations were approved
- Asset Register was approved subject to the addition of the railings by the pub
- S137 requests – None
- New expenditure approved:
- Cheque 22177 – Clerk Pay and Expenses - £273
- Cheque 22178 – Village Hall share of burger van - £62.50
Clerk
Clerk
Clerk
Cllrs Damarell, Rowbotham and Webster
Clerk
Clerk
Clerk
Clerk
- Cheque 22179 – Dalc subs - £63.90
- Expenditure noted - None
- New income noted:
- Car Park box – £95.47 in February and £27.05 in March
- Chatsworth grant - £500
- Interest - £0.62 and £0.62
10. Planning Applications
New:
- None
Enforcement:
- The Stables – no application has been submitted
Existing:
- NP/DDD/1116/1107 - Dukes Barn, School Lane, Beeley - Kitchen reconfiguration and extension of dining facilities – Granted conditionally
11. Correspondence:
- Dales Leisure Review Consultation – circulated to the village
- 2018 Boundary Commission Review
- Lady Manner's School Bus – A resident has complained about the school bus dropping off the wrong way. This has been addressed.
- Electoral Roll available – agreed
- Donation request for Derbyshire Children's Holiday Centre in Skegness – Agreed not to donate
12. Feedback from Meetings and Training - None
13. For information –
- The Off-Street Parking Places (Amendment No. 2) Order 2017 ("Amendment No.2 Order")
- Published Reports from the Better Care Closer to Home Consultation and Clarification
14. DALC Circulars (all circulated by email) noted:
- Circular 3 2017 - State of Rural Services – NALC Spotlight Council - Bradwell PC Introduction of Discretionary business rate relief - Tree Charter - Keep Britain Tidy Broadband Subsidy Scheme – Legal Topic Note updates
- Circular 4 2017 – General Update
15. Reading (circulated by email):
- Santander Statement (paper)
- Clerks and Councils Direct (paper)
- Citizens Advice Derbyshire Districts Derbyshire Dales Quarter 3 report
- Parishes Bulletin 14 - Facebook for Peak District Communities
- Groundwork Quarterly Newsletter
- Rowsley Parish Council Agenda Papers
- Rural Matters Newsletter
- Weekly Rural News Digest
- Rural Opportunities Bulletins, Newsletter and Press releases - Rural Services Network
- Peak Park Authority Press Releases
- Derbyshire Dales District Council Press Releases
- Police Alerts
DATES OF FUTURE MEETINGS - All meetings held at 7.30pm in the Village Hall - MEMBERS OF THE PUBLIC ARE WELCOME TO ATTEND
- 15 th May 2017
- 17 th July 2017
- 18 th September 2017
- 20 th November 2017
Clerk
Beeley Parish Council Bank Rec. As at 5th May 17
Date
Month
PAYMENTS
RECEIPTS
| Month | ly Budget M | o | nitoring | | | |
|---|---|---|---|---|---|---|
| | Year to Date at 05/05/17 | | | | | |
| | | | 1 | | | |
| 5th May 2017 | Actual £ | | Budget £ | Difference | Actual £ | Budget £ |
| 1 | To Date | | To Date | £ | Projected | For Year |
| Administration | | | | | | |
| Clerk’s salary | 0.00 | | 182.00 | 182.00 | 2,184.00 | 2,184.00 |
| Clerk's expenses | 0.00 | | 25.00 | 25.00 | 300.00 | 300.00 |
| Councillor's expenses (travel & sub - £10 / person) | 0.00 | | 0.00 | 0.00 | 0.00 | 0.00 |
| Training | 0.00 | | 0.00 | 0.00 | 0.00 | 0.00 |
| Audit fees | 0.00 | | 6.67 | 6.67 | 80.00 | 80.00 |
| Room hire | 0.00 | | 8.33 | 8.33 | 100.00 | 100.00 |
| Subscription DALC | 0.00 | | 5.42 | 5.42 | 65.00 | 65.00 |
| W ebsite maintenance | 0.00 | | 16.67 | 16.67 | 200.00 | 200.00 |
| Insurance | 0.00 | | 41.67 | 41.67 | 500.00 | 500.00 |
| Stationery, Printing and Adverts | 0.00 | | 0.00 | 0.00 | 0.00 | 0.00 |
| | 0.00 | | 285.75 | 285.75 | 3,429.00 | 3,429.00 |
| Playing Field | | | | | | |
| Maintenance | 0.00 | | 16.67 | 16.67 | 200.00 | 200.00 |
| Safety Inspection | 0.00 | | 6.67 | 6.67 | 80.00 | 80.00 |
| Grass cut | 0.00 | | 83.33 | 83.33 | 1,000.00 | 1,000.00 |
| Rent | 0.00 | | 6.00 | 6.00 | 72.00 | 72.00 |
| | 0.00 | | 112.67 | 112.67 | 1,352.00 | 1,352.00 |
| Car Park | | | | | | |
| Grass Cutting | 0.00 | | 16.67 | 16.67 | 200.00 | 200.00 |
| Resurfacing | 0.00 | | 83.33 | 83.33 | 1,000.00 | 1,000.00 |
| Donations banked | 125.00 | | 0.00 | (125.00) | 0.00 | 0.00 |
| | 125.00 | | 100.00 | (25.00) | 1,200.00 | 1,200.00 |
| Misc | | | | | | |
| Bench - maintenance | 0.00 | | 0.00 | 0.00 | 0.00 | 0.00 |
| Grit Bins and salt refills | 0.00 | | 0.00 | 0.00 | 0.00 | 0.00 |
| Bus Shelter | 0.00 | | 0.00 | 0.00 | 0.00 | 0.00 |
| Donations | 0.00 | | 0.00 | 0.00 | 0.00 | 0.00 |
| Election Costs | 0.00 | | 0.00 | 0.00 | 0.00 | 0.00 |
| | 0.00 | | 0.00 | 0.00 | 0.00 | 0.00 |
| Neighbourhood Watch | | | | | | |
| Neighbourhood W atch | 0.00 | | 7.66 | 7.66 | 91.89 | 91.89 |
| | 0.00 | | 7.66 | 7.66 | 91.89 | 91.89 |
| S137 Grants | | | | | | |
| S137 grants | 0.00 | | 33.33 | 33.33 | 400.00 | 400.00 |
| | 0.00 | | 33.33 | 33.33 | 400.00 | 400.00 |
| Total Payments | 125.00 | | 539.41 | 414.41 | 6,472.89 | 6,472.89 |
| VAT | 0.00 | | 0.00 | 0.00 | 100.00 | 100.00 |
| Total Payments after VAT | 125.00 | | 539.41 | 414.41 | 6,572.89 | 6,572.89 |
| | Actual £ | | Budget £ | Difference | Actual £ | Budget £ |
| | To Date | | To Date | £ | Projected | For Year |
| Bank Interest | 0.62 | | 2.08 | (1.46) | 25.00 | 25.00 |
| Grant | 0.00 | | 0.00 | 0.00 | 0.00 | 0.00 |
| Chatsworth Grant | 0.00 | | 41.67 | (41.67) | 500.00 | 500.00 |
| DDDC Reimbursements | 0.00 | | 23.75 | (23.75) | 285.00 | 285.00 |
| Car Park Donations | 40.00 | | 6.67 | 33.33 | 80.00 | 80.00 |
| Car Park Donations banked | 125.00 | | 6.67 | 118.33 | 80.00 | 80.00 |
| Misc | 100.00 | | 0.00 | 100.00 | 0.00 | 0.00 |
| Vat | 101.55 | | 8.33 | 93.22 | 101.55 | 100.00 |
| Total Receipts before precept | 367.17 | | 89.17 | 278.00 | 1,071.55 | 1,070.00 |
| Precept | 4,158.00 | | 346.50 | 3,811.50 | 4,158.00 | 4,158.00 |
| | 4,525.17 | | 435.67 | 4,089.50 | 5,229.55 | 5,228.00 |
| | 4,400.17 | | -103.74 | 4,503.91 | -1,343.34 | -1,344.89 |
Accounts 17-18
08/05/2017 : 00:17
Difference
£
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
Difference
£
0.00
0.00
0.00
0.00
0.00
0.00
0.00
1.55
1.55
0.00
1.55
1.55
|
How to navigate health promotion in the digital age— Social media and harm reduction among young adults
A systematic how-to guide to assist health care providers in leveraging social media to engage young adults.
Khushi Dabla, BSc, Madison Newby, BA, Munsa Gill Kang, Jessica Moe, MD, FRCPC, DABEM, MA, MSc
ABSTRACT
Social media has become the primary way that young adults communicate and share information. However, few strategies for engaging young adults aged 18–29 years
Ms Dabla has a bachelor of science degree and 2 years' experience in the field of addictions and substance use, along with 2 years of clinical and research experience in respiratory health. Ms Newby has a bachelor of arts degree in kinesiology and 5 years' experience as clinical support staff, along with 2 years of research experience in the field of substance use. Ms Kang is a medical student who has worked in addictions and mental health research for 4 years, focusing on youth mental health, harm reduction, and social determinants of health. Dr Jessica Moe is an assistant professor in the Department of Emergency Medicine at the University of British Columbia, a clinician scientist at the BC Centre for Disease Control, and scientific director of the Emergency Opioid Innovation Program within Emergency Care BC, and practises as an emergency physician at Vancouver General Hospital and BC Children's Hospital.
the Internet, there is a significant gap in the literature regarding effective strategies for engaging young adults on these platforms. 2,3 We present a detailed methodological framework in the form of a how-to guide that provides strategies for health care providers and researchers to master health promotion and social media engagement among young adults.
have been described, especially in Canada, where mental health and addiction challenges are prevalent among this demographic. To address this need, we developed a systematic how-to guide to assist health care providers in leveraging platforms like Instagram and X to engage young adults. Key components of our guide include establishing credibility, fostering audience connection, and using diverse formats for information delivery. Implemented as a case study within the Evaluating Microdosing in the Emergency Department study, our strategy aims to disseminate information on opioid use, promote harm reduction, and involve young adults in research. By providing a blueprint for social media presence and engagement, we seek to inform future initiatives and assist health care professionals in effectively communicating health information in various settings, contributing to broader public health efforts.
Corresponding author: Dr Jessica Moe, firstname.lastname@example.org.
This article has been peer reviewed.
286 BC MEDICAL JOURNALVOL. 66 NO. 8 | OCTOBER 2024
S ocial media has emerged as a pivotal tool for disseminating health promotion interventions aimed at supporting young adults. Despite social media's widespread use for health communication, many campaigns have demonstrated limited effectiveness in gaining acceptance and uptake of their health promotion strategies among their intended audience. 1 While young adults aged 18–29 are the most active users of social media and 81% of them primarily source scientific information on
In the midst of Canada's ongoing opioid epidemic, a growing number of affected young adults face significant barriers to accessing opioid agonist therapies compared with adults, outlining a pressing need to promote awareness and engagement in life-saving interventions. 4,5 To address this public health emergency, we implemented our social media strategy as a case study within the context of the Evaluating Microdosing in the Emergency Department (EMED) study. 6 The EMED study assesses the effectiveness of buprenorphine/naloxone (Suboxone) microdosing versus standard dosing take-home induction packages in emergency departments. 6 The implementation of our social media strategy within substance use research serves as an important example of how Instagram and X (formerly Twitter) were effectively used to distribute information on opioid use, provide harm reduction resources, and engage young adults in research.
A comprehensive how-to guide for reaching young adults in your practice
Building your social media profile
disseminate research findings and clinical information through her personal and professional lens. An X study on public perceptions of opioids found that health care professionals received the highest number of reposts and engagements, suggesting a preference for their credibility as sources for opioid-related information. 8 Our primary objective for these accounts is to promote harm reduction interventions and increase awareness of opioid-related issues, with a long-term vision for these profiles to serve as a platform beyond the EMED study.
Posting strategies
For the EMED study accounts [Figure 1], we feature the study principal investigator, Dr Jessica Moe, as the face of our study to
To effectively engage young adults aged 18–29 on social media, begin by establishing a strong presence across multiple platforms, such as Instagram, Facebook, TikTok, and X, which are used most commonly by this demographic. 1 Choose uniform account names and user names across all platforms that represent your research study or medical practice to maintain consistency and signify your organizational identity. Establish a cohesive color scheme, logo, and profile aesthetic that you will use to reinforce the objectives of your platform, whether it is participant recruitment for a study, accepting patients, raising awareness, or promoting a treatment. Set up your profiles as business/professional accounts to access valuable user analytics and engagement metrics, including demographic information about your audience. Professional accounts also allow you to categorize your account to accurately represent the type of organization you belong to and reach your target audiences (e.g., family medicine practice). To establish credibility and foster trust among young adult populations, showcase the qualifications and credentials of your principal investigator or lead health care provider(s) on the biography and initial posts on your accounts. Factors including the type of language used (professionalism, objectivity, and factual accuracy), perceived expertise, and the number of likes, followers, and reposts all contribute to the credibility of health information on social media. 7 Keep your accounts' biography or description short and simple, and include the name, location, and contact information for your practice or research site. To add legitimacy to your accounts, consider using a platform like Linktree, a link management tool that enables you to share your organization's official links, previous publications, community resources, and support services.
Using a variety of content formats, such as posts (images or videos), stories, live videos, reels, TikToks, polls, quiz/question stickers, and highlighted stories, can effectively engage diverse users and cater to user preferences. Posts and status updates (X and Facebook, respectively) typically consist of images, videos, infographics, or written messages and serve as the main form of content for sharing information and visuals. They remain on
BC MEDICAL JOURNALVOL. 66 NO. 8 | OCTOBER 2024 287
PREMISE
FIGURE 2. An example of an Evaluating Microdosing in the Emergency Department study awareness infographic highlighting key statistics of the opioid epidemic. 11
FIGURE 3. An educational post example from the Evaluating Microdosing in the Emergency Department study introducing Suboxone.
288 BC MEDICAL JOURNALVOL. 66 NO. 8 | OCTOBER 2024
your profile and are suitable for all social media platforms. Stories usually feature images, text, short videos, polls, or quiz/ question stickers that expire after 24 hours and are beneficial for sharing real-time updates or quick snippets of information. These stories can be featured on your profile as story highlights after they expire, can be organized into custom categories, and act as an archive of content that users can explore on your page. There has also been a recent shift in young adults' preferences toward short-video content (up to 90 seconds) on platforms like TikTok, as well as on Instagram and Facebook, where this content is called reels, often accompanied by audio, music, and text. 1,9 By incorporating this multimodal approach with various content formats, we can accommodate diverse preferences and increase engagement. Maintaining a consistent posting frequency is essential to sustain an online presence and engage with your audience effectively; however, avoid posting excessively, as this can lead to decreased engagement overall. 10
Awareness posts
To convey the significance of your health-related cause, use concise yet informative infographics or TikToks/reels featuring current statistics, symptoms, signs, and available resources. These posts should be visually appealing, minimize text, avoid technical jargon, and use accessible language. For the EMED study, we created infographics that illustrated the severity of the opioid crisis, including statistics on opioid-related overdoses, deaths, and hospitalizations. Additionally, we shared resources for community support, such as nearby addiction clinics offering opioid-agonist therapies, other addiction services, and supervised consumption and overdose prevention sites [Figure 2].
Educational posts
Create infographics or TikToks/reels to outline key information pertaining to your research or practice, such as the etiology of diseases, preventive measures, treatment
FIGURE 4. An engagement post example from the Evaluating Microdosing in the Emergency Department study.
options, recent publication findings, and study criteria. For instance, for the EMED study, we posted infographics on Suboxone [Figure 3], dosing regimens of Suboxone, available opioid-agonist therapy options, and the scientific mechanisms for opioid dependence.
through TikToks, reels, or videos as stories. 1 Video-based platforms like TikTok allow a human touch through their versatile features, facilitating creative ways to incorporate visuals, text, and humor to share information. 9
Engagement posts
To encourage young adults to meaningfully engage with your content, tailor it to their interests and preferences. Simply raising awareness and providing educational content may not be effective. Young adults prefer to engage with and trust health information they perceive as real, often relying on personal experiences or stories as evidence of its authenticity. 1 To incorporate this form of authenticity, establish genuine connections and rapport with young adult audiences by having researchers or practitioners present information or showcase their work
Similarly, Rath and colleagues discovered in a mass media intervention on opioid-use education that featuring people with lived experience sharing their personal stories through brief videos or written testimonials can also increase engagement among young adults. 12 We can increase user interactions using story features such as polls, quiz stickers, and question stickers. Polls can be used to gauge the audience's interests and preferences for our content. A quiz sticker enables you to pose multiple-choice questions to assess the audience's knowledge and offer information afterward. The question sticker provides users with a space to respond to prompts and ask questions anonymously.
BC MEDICAL JOURNALVOL. 66 NO. 8 | OCTOBER 2024 289
PREMISE
For the EMED study, we shared patient testimonials, created reels interviewing research assistants and hospital staff about their involvement in opioid use care, and created day-in-the-life videos spotlighting Dr Moe as she navigated her roles as an emergency physician and researcher [Figure 4].
Increasing visibility and retaining engagement
Take advantage of hashtags in your captions, using one- to two-word phrases that categorize your content into topic areas relevant to your practice. For example, for the EMED study, we used variations of opioid epidemic terminology like #OpioidOverdose and #FentanylCrisis, as they help reach a broader audience and allow content to be discoverable by people specifically searching for opioid use–related topics. Additionally, build relationships with organizations and clinics that are raising awareness or providing services for similar causes on social
290 BC MEDICAL JOURNALVOL. 66 NO. 8 | OCTOBER 2024
media, especially those primarily serving adolescent and young adult populations. Collaborate with community organizations by reposting each other's content to reach their audiences and target your desired demographic. Sharing their posts can also diversify your account and increase its depth and usefulness to patients.
We can increase user interactions using story features such as polls, quiz stickers, and question stickers.
Strategize your captions by providing a brief description up front and using the space below for extended information, context, or additional hashtags. This dual approach ensures users are not overwhelmed by text while also providing opportunities for deeper engagement and exploration.
Limitations
We acknowledge the key limitations inherent in our approach, notably socioeconomic disparities that hinder access to social media and technology, particularly among marginalized groups. Furthermore, there is a lack of control over platform algorithms that determine which demographic groups are exposed to our content.
Conclusions
We hope this comprehensive guide provides a framework for health care professionals and researchers to navigate social media effectively in promoting public health initiatives among young adults. Our strategy has the potential to create a meaningful impact by improving health literacy, reducing stigma, and enhancing access to support services. Future research should evaluate the effectiveness of our approach and alternative methods, exploring qualitative or quantitative approaches to gauge user engagement and perceptions, assess the impact of this guide, and identify areas for improvement. n
Competing interests None declared.
References
1. Lim MSC, Molenaar A, Brennan L, et.al. Young adults' use of different social media platforms for health information: Insights from web-based conversations. J Med Internet Res 2022;24:e23656.
2. Hausmann JS, Touloumtzis C, White MT, et al. Adolescent and young adult use of social media for health and its implications. J Adolesc Health 2017;60:714-719.
3. Hargittai E, Füchslin T, Schäfer MS. How do young adults engage with science and research on social media? Some preliminary findings and an agenda for future research. Soc Media Soc 2018;4:1-10.
4. Pilarinos A, Fast D, Nosova E, et al. Initiation of opioid agonist treatment and subsequent substance use and other patterns among adolescents and young adults in Vancouver, Canada. Drug Alcohol Depend 2022;235:109441.
5. Belzak L, Halverson J. Evidence synthesis—The opioid crisis in Canada: A national perspective. Health Promot Chronic Dis Prev Can 2018;38:224-233.
6. Moe J. Evaluating buprenorphine/naloxone microdosing vs. standard dosing in emergency departments. Last updated 29 February 2024. Accessed 3 March 2024. https://clinicaltrials.gov/ study/NCT04893525.
7. Jenkins EL, Ilicic J, Barklamb AM, McCaffrey TA. Assessing the credibility and authenticity of social media content for applications in health communication: Scoping review. J Med Internet Res 2020;22:e17296.
8. Carabot F, Fraile-Martínez O, Donat-Vargas C, et al. Understanding public perceptions and discussions on opioids through Twitter: Crosssectional infodemiology study. J Med Internet Res 2023;25:e50013.
9. McCashin D, Murphy CM. Using TikTok for public and youth mental health—A systematic review and content analysis. Clin Child Psychol Psychiatry 2023;28:279-306.
10. Peruta A, Shields AB. Marketing your university on social media: A content analysis of Facebook post types and formats. J Mark High Educ 2018;28:175-191.
11. Special Advisory Committee on the Epidemic of Opioid Overdoses. Opioid- and stimulant-related harms in Canada; March 2024. Accessed 15 April 2024.
12. Rath JM, Perks SN, Vallone DM, et al. Educating young adults about opioid misuse: Evidence from a mass media intervention. Int J Environ Res Public Health 2022;19:22.
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Volume 8 Issue 52 Volume 8 Issue 52
Our Lady & The English Martyrs Our Lady & The English Martyrs Our Lady & The English Martyrs Our Lady & The English Martyrs
The Presbytery The Presbytery
5 Roseneath Road Urmston, Manchester M41 5AX
Phone: 0161 748 2328
Website: Website: http://www.ourparish.info
Parish Office Parish Office
Mon. & Tues 10.00 - 3.00 Thurs & Fri 10.00 - 3.00
Parish Priest Parish Priest: Fr. David FeatherstoneEmail Email Email: firstname.lastname@example.org
Assistant Priest Assistant Priest: Fr. David QuiligottiContact: Contact:
Contact: via the Parish Office
Parish Secretary Parish Secretary: Mrs Helen Lever Email Email Email: email@example.com
Service Times
Our Lord Jesus Christ, King of the UniversePsalter Week 2 Weekday Cycle 2
Sunday 23rd November
FEAST OF THE CHRIST THE KING
Thursday 27th November
Readings: (Ezekiel 34:11-12.15-17;1 Cor 15:2026.28; Matthew 25:31-46)
6.30p.m. – Mass - People of the Parish
9.30a.m. – Mass - Deceased Caunce Family
11.30a.m.– Mass - Jim Hanratty (L.D.)
1.30p.m - Baptism - Pierce Hunter Washington
3.30p.m. -3.30p.m.– Mass for the Malayalam Community
Monday 24th November
St. Andrew Dung-Lac, Priest and Companions
9.10a.m. - Morning Prayer of the Church
9.30a.m. - Mass - Dave Carlile (L.D.)
Tuesday 25th November
9.10a.m. - Morning Prayer of the Church
9.30a.m. - Our Lady of the Rosary Class Mass -
Derrick Alexander (A)
Wednesday 26th November Wednesday 26th November Wednesday 26th November Wednesday 26th November
9.10a.m. - Morning Prayer of the Church
6.00p.m. - Exposition
6.35p.m. - Evening Prayer
6.50p.m. - Benediction
7.00p.m. - Mass - Bert Fordham (A)
Friday 28th November
9.10a.m. - Morning Prayer of the Church
9.30a.m. - Mass - Maura Devaney (L.D.)
10.00a.m.– Rosary
Saturday 29th November
10.00a.m. - Mass - For Vocations to the Priesthood and Religious Life.
11.00a.m. - Reconciliation and Exposition of the Blessed Sacrament.
6.00p.m - 6.20pm - Reconciliation
Sunday 30th November
First Sunday 0f Advent
Readings: (Isaiah 63:16-17; 64:1.3-8;
1 Corinthians 1:3-9; Mark 13:33-37)
6.30p.m. – Mass - Kielty Family
9.30a.m. – Mass - People of the Parish
11.30a.m.– Mass - Esther Aspinall (A)
9.30a.m. - Mass - Patrick and Mary McLoughlin R.I.P.
1.30p.m. - Baptism - Charlie Hughie James Cartner
Baptisms & Marriages
Baptisms: Baptisms: Parents who wish to have their children baptised must live within the Parish, attend Mass weekly and have completed the Baptism Preparation Course.
Marriages: Marriages: by appointment only; 6 months notice must be given.
A Reflection on the Readings
Think Vocations -Thirty Fourth Sunday in the Ordinary Time - November 23rd
Let us rejoice on this last day of the Church's liturgical year, for the Catholic faith that is celebrated in every country of this Earth. We pray for young people to be proud of their faith and that they belong to a Church where people of every nation, culture, race and language can praise Christ as their universal king. For all enquiries on Vocations please contact Fr. David John.
Reflection
"I'm not a bad person," you will often hear people say. "I've always kept my nose clean, steered clear of trouble and never harmed anyone." But on this the Solemnity of Christ the King, we learn that it simply isn't good enough to avoid doing wrong, we have to actively do good. Today's gospel is like a sneak preview … a bit like being given a glimpse of an exam paper before the exam. We are being told how we shall be judged on judgement day. We are being told that we shall be judged on the good deeds we have done, and the good deeds we have failed to do. Firstly Christ will look upon those assembled in front of him, and he will separate the sheep from the goats, in other words, the good from the bad. To the good he will say, "Inherit the kingdom prepared for you … for I was hungry and you gave me food, I was thirsty, and you gave me drink, a stranger and you welcomed me, naked and you clothed me, ill and you cared for me, in prison and you visited me. Whatever you did for one of the least brothers of mine, you did for me."
We are not being asked to perform heroic deeds or death defying feats. We will simply be judge on very simple acts of love and compassion. We are asked to see Jesus in the man or woman begging on the street, or the starving and the dying shown daily on our TV screens. We are asked to show friendship, empathy and support to the refugees in our towns and cities.
We are asked to look after those who are sick and vulnerable and need our care. We are asked to show compassion to those in our prisons. We are so concerned about being duped in some way that we often fail to respond to need. It's hard, but we have to respond to need when we see it without jumping on to some kind of moral high ground. Only then will we learn to recognise the opportunity to meet Jesus in our day-to-day lives.
Ministries for Next Weekend 29th/30th November
| | Readers | Children’s Lit | Offertory |
|---|---|---|---|
| 6.3 | John Maguire Anne Marie Maguire Bridget Hughes | Michelle Clegg | Hughes Family |
| 9.3 | Fiona McGrath Phil Jepson Stephanie Eckersley | Paul Cassidy | - |
| 11.3 | Mary Tunstall Louise Kirsten Cora O’Neill | Michelle Clegg | - |
Please Pray For
Congratulations
Sick Christine McDermott, Susan Griffiths, Eileen Lamb, Mary Hartey, Phil Chisnall, Vincent Stapleton, Marie Smith, Tony Berry, Kathleen McGrory, Rachel Kay, Marian Kerrigan, Mary Sweeney, James McCarthy, Anthony Rogers, Pat Sweetman, Mary Rogan, John Loftus and Anita Quiligotti, Vera Gormley all who are housebound, in hospital and residential care.
Lately Dead
Lately Dead
Lately Dead
Lately Dead
Patrick McGrory
Anniversaries Eileen Melody, Kieran McCourt, Philomena Madden, Leo Thornton, James Fowler, Catherine Kelly, Nora McNamara, Maurice Windle, Mollie Tildsley,
Herbert Fordham, Patrick McGuire, Kevin Allen, Marjorie Melody, Fr. John James McTiernan,
We welcome in to our Parish family
Pierce Hunter Washington Pierce Hunter Washington
who will be Baptised today.
Fr. Derek Holmes, Fr. Gerard Wearden, Fr. Louis Murphy and Msgr John O'Connor
Masses Received This Week
In Memoriam Candles
Tabernacle Tabernacle Tabernacle Tabernacle - Patrick Joseph McGrory Our Lady’s Altar Our Lady’s Altar Our Lady’s Altar Our Lady’s Altar ---- Sick and Housebound of the Parish
Christopher Thompson, Vincent Fowler, Thanksgiving for favours received, Patrick McGrory, Do. McSkimming, Tom Fitzgerald
To receive this newsletter by email please register on the Parish Website at http://www.ourparish.info
Parish Christmas Fair Parish Christmas Fair Parish Christmas Fair Parish Christmas Fair Saturday 29th November From 12.00noon. From 12.00noon. ---- 3.00p.m. 3.00p.m.
During this last week we are looking for items to help make the Christmas Fair a success. You can bring your items to Church or the Parish Office and place them in the plastic boxes in the narthex and they will then be taken away for safe keeping.
who have donated Choco-
Thank you to all
Thank you to all
Thank you to all
Thank you to all who have donated Choco-
who have donated Choco- who have donated Choco-
late today.
late today.
late today. late today.
* 29th November 29th November ---- Cakes and home- Cakes and homemade bread for the cake stall & made bread for the cake stall & made bread for the cake stall & made bread for the cake stall & lux- luxury Christmas jams, preserves and chutneys, to be delivered to the Parish Centre after 9.00a.m. ish Centre after 9.00a.m.
This event will take place in the
Fitzpatrick Hall
Fitzpatrick Hall
Fitzpatrick Hall
Fitzpatrick Hall and the Parish Centre where
Parish Centre where
Parish Centre where
Parish Centre where lunches and Gaelic coffees will also be
lunches and Gaelic coffees will also be lunches and Gaelic coffees will also be
lunches and Gaelic coffees will also be served
served served
served and there will be a
Special Visitor at 1.00p.m. for the children. Please come and enjoy the afternoon and help support the Parish. Thank you all for your help and support.
—————————————————
Pilgrimage to Assisi and San Giovanni To take place 14th to 18th September 2015. The Pilgrimage is to be organised by a Franciscan Priest. If you are interested in this Pilgrimage please see the poster in the narthex.
EMERGENCY EBOLA CRISIS.
There will be a SPECIAL COLLECTION taken at all Masses TODAY
New Parish Administrator and Thanksgiving Mass.
Following the application for a new Parish Administrator, the successful applicant is Helen Lever whom we welcome to work amongst us in the Parish.
Our present Parish Administrator, Eileen, will be retiring from the position after nine years here in the Parish Office and formerly sixteen years working with Fr. Tim Gunn R.I.P. until his retirement in 2005. To thank God and to celebrate these 25 years of service to the Parish there will be a Mass of Thanksgiving on Saturday 13th December at 10.00a.m. All those who would like to take part in this celebration are kindly invited to attend and also the refreshments in the School Hall afterwards.
Mass for Vocations and Religious Life NEXT SATURDAY
Walk with me Booklets and Prayer Card. A journey of Prayer for Advent and Christmastide 2014 Price £1. from the Repository.
We, the Parish of Our Lady and the English Martyrs are hosting this Mass and it would be lovely if as many Parishioners as possible would be able to attend.
Grand Parish Christmas Draw Tickets
These are now available from the Narthex to take home and sell to your family and friends. Please return all monies and counterfoils to the Parish Office in a sealed envelope marked "Christmas Draw" Before Friday 28th November. All unsold tickets please return to the Parish Office. Thank you.
———————————————————————————————————-
Tesco Tubs 4 Tablets
This autumn Flora and Stork, in partnership with Tesco, are running an amazing scheme called Tubs4Tablets. The scheme gives primary and middle schools in Great Britain the opportunity to collect tokens from special tubs of Flora and Stork on sale at Tesco and exchange them for FREE touch screen tablets! We need to collect as many tokens as possible, these can be found on promotional 500g tubs of Flora Original, Light and Buttery and Stork (subject to availability).Just 50 tokens will get our school one brand new Samsung Galaxy Tab 7.0" Wi-Fi 8GB tablet so help us to claim as many as we can!
Please bring your tokens into Our Lady of the Rosary School or to the Parish Office, Thank you Miss Gonzalez.
Last Week's Last Week's Offertory Collection Offertory Collection
was £1,121.90 £1,121.90 £1,121.90 Thank you for your continued generosity
Salford Roman Catholic Diocesan Trustees Reg. Charity No. 250037
If you wish to sign up to the gift aid scheme, set up a weekly standing order, or join the Parish Bonanza, please contact the Parish Office.
———————————————————————————
Thursday 27th November 50+ Trip to Calf's Head Worston for Christmas lunch followed by Carol singing
The coach will leave the Parish Centre at 10.45a.m. prompt
Bauble and Wine
Decorating of the Parish Centre Christmas Tree will take place at 4:30pm on Sunday 30th November. All families and age groups are welcome. A great social occasion for everyone.
___________
Parish Contacts
Altar Servers
Michael Lomas
07812395230
Apparitors & Welcoming
The ParishThe ParishThe ParishThe ParishCentre
The centre is offering a fantastic variety of activities to meet the various needs and interests of the Parish community. New activities and events are being added to the timetable below all the time. They will take place in the Fitzpatrick Hall (FH), the John Paul Room (JPR) or the Benedict Lounge (BL)
| MON 24th Nov | Pre school 9.00-13.00 (FH) Art Class - 10.00a.m. (B.L.) Weightwatchers 10.45; 17.30(JPR) Taekwondo19.00 – 21.00 (FH) S.V.P. - 19.00 - 20.00 BINGO - 20.00 (JPR) |
|---|---|
| TUES 25th Nov | Pre school 9.00-13.00 (FH) Craft Club 14.00-16.00 (FH) Irish Dancing, Children & Adults 17.00 – 21.00 (FH) |
| WED 26th Nov | Pre school 9.00-13.00 (FH) Taekwondo19.00 – 21.00 (FH) |
| THURS 27th Nov | Pre school 9.00-13.00 (FH) Impact 19.45-21.00 (FH) YCW 20.00 -(FH) |
| FRI 28th Nov | Pre school 9.00-13.00 (FH) Taekwondo19.00 – 21.00 (FH) Christmas Fair Preparation 13:30 (JPR and FH) |
| SAT 29th Nov | Irish Dancing10.00 – 12.30 (FH) Christmas Fair 12:00 (JPR and FH) Private Function 19:00 (JPR) |
| SUN 30th Nov | Soccer School 09.30-11.00 (FH) Taekwondo17.00 – 19.00 (FH) Yoga 19.45-20.45 (FH) Bauble and Wine - Decorating of Parish Centre Christmas Tree 16:40 |
Ticket sales and Bookings for any area of the centre can be made by contacting the centre manager Filippa Martin on 07866583870 or by email firstname.lastname@example.org
|
Road to Solo Driving
August 2016
Published by VicRoads 60 Denmark Street, Kew, Victoria 3101 ©Roads Corporation, Victoria, Australia 2000
First published 2000 Crown© Copyright 2000 Updated August 2016.
National Library of Australia cataloguing-in-publication data: Roads Corporation.
Road to Solo Driving:
Learning to drive – driving to learn includes index.
ISBN 0 7311 9000 9
1. Automobile driver education – Victoria – Handbooks, manuals, etc.
2. Traffic regulations – Victoria – Handbooks, manuals, etc.
3. Traffic safety – Victoria – Handbooks, manuals, etc.
I. Roads Corporation (Vic)
343.9450946
Several organisations have contributed to the preparation of this handbook, and their help is gratefully acknowledged.
Road laws and legal requirements
Road laws change from time to time. It is your responsibility to ensure that you have the most recent edition of this handbook which you can check by visiting vicroads.vic.gov.au If you are in doubt, check with any of the VicRoads Customer Service Centres listed on the inside back cover.
This handbook sets out many of the legal requirements for drivers. It is intended as a guide only. It does not set out in full all of the requirements of the law.
You will need to consult the appropriate Acts and Regulations if you want a complete knowledge of the road law. Remember that ignorance of what the law says on a particular subject is not accepted as an excuse by the courts. Victorian legislation can be found at legislation.vic.gov.au
Most things in this handbook apply to drivers. Motorcycle riders should also refer to the Victorian Rider Handbook for further information. Bus and heavy vehicle drivers should refer to the Victorian Bus and Truck Driver Handbook for further information. Much of the information in the Road to Solo Driving also applies to pedal cyclists.
The term driver is generally used to cover different road users and simplify the language. It does not mean that one group is more important than the other.
The Road to Solo Driving handbook is designed to help you understand the road rules, know your legal responsibilities and prepare you for the challenges of driving. The learner permit test questions are based on this handbook. You will also need to know the information in the Road to Solo Driving to pass your drive test to get your licence.
The Road to Solo Driving is the first of a series of handbooks. When you become a learner driver you will be given the Learner Kit. The Learner Kit includes:
* the Guide for Learners (with the Learner Log Book)
* the Guide for Supervising Drivers.
The Guide for Learners helps you structure your driving practice and keep track of your progress as you work towards your Ps. The Guide for Learners includes the Learner Log Book that you must use to show you have gained at least 120 hours driving practice to get a licence, if you are under 21 years of age at the time of your licence test. The Guide for Learners and the Learner Log Book will help you make the most of your minimum 120 hours of driving experience and help you to become a safer driver.
The Guide for Supervising Drivers booklet explains how your supervising driver can help you right through your learner period.
The Victorian Government is committed to improving road safety. The Road to Solo Driving is one of the important initiatives that help to do this.
Contents
Rules and responsibilities (cont.)
Rules and responsibilities (cont.)
Welcome
Welcome to the Road to Solo Driving
This handbook will help you if you are going for a learner permit, a probationary licence, or converting an interstate or overseas licence to a Victorian licence.
The aim of this handbook is to help you:
* prepare for the challenges of driving
* find out how you will learn to drive
* manage and reduce your risks as a new driver
* understand the rules and responsibilities of driving.
There is a lot to know before you get your learner permit, such as:
* the age requirements
* the Graduated Licensing System
* the Learner Log Book
* learner permits
* P licences (P1, P2)
* demerit points
* road rules
* licence tests
* hazards and risks
* problems caused by alcohol and drugs, and so on.
The Road to Solo Driving will help make all this information a bit clearer. Your learner permit test will be based on the information in this book. You will also need this information to pass your drive test and get your probationary licence.
New drivers are three times more likely to be involved in casualty crashes than more experienced drivers. Learning the information in the Road to Solo Driving is the first step to becoming a safer driver. Reading this handbook alone won't make you a safer driver. What matters is how you use the information.
How to use this handbook
This handbook is divided into five sections.
Each is colour coded with a vertical band on the outside edge of each page.
The next section explains the steps to getting your licence and becoming a driver.
Chapter 1 explains the challenges facing new drivers.
Chapter 2 covers the process of learning to drive and the importance of supervised driving practice.
Chapter 3 describes the risks of driving and strategies to manage these risks.
Chapter 4 describes some of the most important road rules and responsibilities.
Important information
It is important to know that when there is a statement of road law, the word 'must' is used.
The licensing journey
You are starting on your licensing journey. Here is a quick overview of the path ahead.
Go for your Learner Permit test. This is a computerised test based on the Road to Solo Driving.
Read, study, and understand the Road to Solo Driving.
When you are a Learner you should get as much experience as possible with a supervising driver. If you are under 21 years when you go for your drive test you will need to show you have had at least 120 hours of driving experience.
If you are 21 years or over you go straight to a P2 (green) Probationary Licence.
You will spend at least 12 months on a P1 (red) Probationary Licence. There are some special rules for P1 drivers to help you stay safer while you gain experience as a young solo driver.
Use the four stages in the Learner Kit to make sure you get the right sort of practice. It will also help you decide when you are ready to go for your licence.
Go for your Probationary Licence test.
This is a computerised hazard perception test and then a driving test. You will need to have a lot of experience to pass these tests.
You will spend at least 3 years on a P2 (green) Probationary Licence. There are some special rules for P2 drivers to recognise your improving safety as you get closer to a full licence.
If you have a good, safe driving record, you will continue on to a full licence.
Step 1 - Read and understand Road to Solo Driving
Make sure you have the latest edition of this handbook and read it thoroughly. You can check whether you have the latest version of this handbook by visiting vicroads.vic.gov.au which will tell you when the latest edition was printed.
Learning the information in this handbook and knowing the road rules are the first step to being ready to take the learner permit test.
Language options
When you sit for your learner permit test or your probationary licence test, you can choose to do the learner permit test and the Hazard Perception Test on the computer in any of the 20 languages available (for a full list, visit vicroads.vic.gov.au).
Step 2 - Book your learner permit test
You will be asked:
You must be at least 16 years old before you can sit the test.
You can book your learner permit test:
* online at vicroads.vic.gov.au (using a valid Mastercard or Visa*)
* by phone (using a valid Mastercard or Visa*)
* in person (go to any VicRoads Customer Service Centre, for locations visit vicroads.vic.gov.au or call 13 11 71).
Call: 13 11 71
International calls: + 61 3 9854 7764 (licensing)
TTY: 13 36 77
Speak and Listen: 1300 555 727
*Please note: a card payment fee will apply when using Mastercard or Visa. For further information visit vicroads.vic.gov.au.
* your full name
* date of birth
* address
* phone number
* when and where you would like to be tested.
Booking and test fees apply and must be paid at the time of booking.
You will be given an appointment number that you should write down. You will need to bring this number with you for your test.
Note: If you cannot keep your appointment, you need to give VicRoads 24 hours notice to cancel your test. Otherwise fees will not be refunded unless you produce a medical certificate or other supporting evidence. If you transfer your appointment, regardless of when you contact VicRoads, an additional appointment fee will apply.
Step 3 - Pass your learner permit test
You need to bring:
* your appointment number
* evidence of identity and age, as set out on page 12
* payment for your 10 year learner permit.
If you have poor vision you must bring an eyesight certificate from an optometrist or ophthalmologist (eye doctor). If you have a disability or illness that may affect your driving, you will need to bring a medical report from your doctor stating that you are medically fit to drive. If you are unsure or would like advice, contact VicRoads for further information.
Once you have a learner permit, you must tell VicRoads if you develop any medical condition that may affect your driving.
The learner permit test includes:
* reading an eyesight chart to test your vision
* a computerised, multiple-choice test based on this handbook to test your knowledge of road law and road safety.
The best way to prepare for the test is:
* read and study this handbook until you understand it all
* when you understand the handbook, use the practice test on the VicRoads website at vicroads.vic.gov.au to help revise.
The practice test items on the website are good, but they don't test all the information you will need to know to pass the learner test and the probationary licence test later on. That information is in this handbook.
Evidence of identity
Before you sit for your learner permit or your probationary licence you must prove who you are and that you live in Victoria by bringing certain documents to a VicRoads Customer Service Centre.
All evidence of identity documents must be originals and you must also ensure that all names on each of the documents match and are in the same/correct order. Photocopies, certified or otherwise, are not acceptable.
You need to bring:
* one category A evidence document For example a passport (current or expired by up to two years) or Australian birth certificate (birth extracts and commemorative certificates are not acceptable).
* one category B evidence document
For example a phone, gas or electricity bill (no more than one year old); or a current Medicare card, entitlement card issued by the Commonwealth, student identity card, credit or account card issued by a bank, building society or credit union.
* evidence of Victorian residence
If not shown on the category A or B evidence documents or if you have changed address. If documents cannot be provided, you can ask a referee (who has known you at least 12 months and holds a current Victorian licence) to complete the 'Victorian residence declaration' on your Licence or learner permit application form.
* evidence of change of name or differing names If there is a difference in names between the category A and B evidence documents or if you have changed your name, one document that shows your correct name, for example a marriage or Change of Name certificate.
For more information and a complete list of evidence of identity documents visit vicroads.vic.gov.au
Step 4 - Pay for and be granted your learner permit
After you pass the test you will:
* pay for your learner permit, which is valid for ten years
* have your photo taken for your learner permit
* be given a paper learner permit receipt
* receive a Learner Kit containing the Guide for Learners with the Learner Log Book and the Guide for Supervising Drivers.
The Learner Kit will help you get through your learner period and pass the probationary licence test. If you are not given a Learner Kit, you should ask for one.
You will be able to practice driving on the paper learner receipt until you receive your learner permit card.
Your learner permit card will be sent to you through the mail in about a week. Make sure VicRoads has your correct current address.
Step 5 - Get as much driving experience as possible
This handbook and the Learner Kit are essential in getting your 120 hours of driving experience.
The best way to prepare for the Drive Test at the end of the learner period is to get as much supervised experience as possible in many different driving situations. This is true for all learner drivers – it is much harder to pass the test if you only have a small amount of experience.
If you are less than 21 years old when you go for your licence test you must:
* complete a minimum of 120 hours supervised driving experience including 10 hours of driving at night.
* take your completed Learner Log Book with you when you go for your probationary licence test. This will be checked before you take the drive test to make sure everything has been completed correctly.
If you are 21 years or over you are encouraged to use the Learner Kit, but you do not need to present the Learner Log Book when you go for your probationary licence test.
* The Road to Solo Driving has important information about road rules that all drivers need to know. You are expected to know and comply with the road rules when you attempt the probationary licence test.
* The Guide for Learners gives you a four stage plan for your 120 hours.
* The Guide for Supervising Drivers explains the four stage plan to your supervisor so they know how to help.
* The Learner Log Book is your record of your progress – and is essential proof that you have achieved your 120 hours.
Do not practise without a learner permit.
Remember, you can't get behind the wheel unless you have a learner permit.
Without a learner permit you can't practise on public roads and in car parks. Doing so can result in you being charged with unlicensed driving.
Driving safely requires a number of skills. Getting your learner permit helps you understand the road rules, know your legal responsibilities and prepare for the challenges of driving.
Learner permit restrictions
All car learner permit holders must:
* carry their learner permit card or receipt at all times while driving
* display L plates on the front and rear of the vehicle, visible from a distance of 20 metres
* be accompanied by an experienced driver holding a full (not probationary) driver licence at all times while driving
* must have a zero Blood Alcohol Concentration (BAC) at all times while driving (see pages 71-74 for more information)
* not use a mobile phone, including hands-free or hand-held, or messaging of any kind
* not tow a trailer or vehicle
* only drive a car (not a bus or truck).
Definition
Blood Alcohol Concentration (BAC) is a measure of the amount of alcohol you have in your blood.
Step 6 - Book your probationary licence test
Definition
To get your probationary licence, you must:
* be at least 18 years
* have held a learner permit for a continuous period of at least:
- 12 months in the period immediately before applying for a driver licence if you are under 21 years
- 6 months in the period immediately before applying for a driver licence if you are over 21 years but under 25 years
- 3 months in the period immediately before applying for a driver licence if you are 25 years or over.
These periods may be reduced if you are the holder of a motorcycle licence or permit and have held this for 12 or more months.
* not be disqualified from driving in Victoria, in Australia or overseas
* pass a computerised Hazard Perception Test and then pass the driving test (see Drive Test on pages 19-20).
Continuous period means that the permit must not have been broken by a suspension, cancellation or a break in continuity such as allowing the permit to expire before regaining a new permit.
* If you are under 21 years when you apply for a probationary licence, you must produce evidence of having completed 120 hours of supervised driving (including at least 10 hours at night) by presenting the Learner Log Book:
- All necessary details must be completed and each entry signed.
- The Declaration of Completion must be signed by both the applicant and a supervising driver. The List of Supervising Drivers must be completed and signed by all supervising drivers.
- You should carefully read the instructions on the front of the Learner Log Book to understand how to fill in the log book correctly.
Fact
An incomplete or incorrect Learner Log Book will not be accepted. You will not be able to take your driving test, all your fees will be forfeited, and you cannot take your test for six weeks.
There are serious consequences if entries in the Learner Log Book are found to be incomplete or incorrect. You will lose your booking and test fees, and be prevented from taking the probationary licence test for at least six weeks. You may also be liable to penalties under the Road Safety Act 1986.
You can book your test:
* online by visiting vicroads.vic.gov.au (using a valid Mastercard or Visa*)
* by phone (using a valid Mastercard or Visa*). See page 10 for contact numbers
* in person (go to any VicRoads Customer Service Centre, for locations visit vicroads.vic.gov.au or call 13 11 71).
*Please note: a card payment fee will apply when using Mastercard or Visa.
For further information visit vicroads.vic.gov.au.
Note: If you cannot keep an appointment you will need to give VicRoads 24 hours notice to cancel your test, otherwise fees will not be refunded unless you produce a medical certificate or other supporting evidence. If you transfer your appointment, regardless of when you contact VicRoads, an additional appointment fee will apply.
Step 7 - Pass your probationary licence test
You can be tested at any of the VicRoads Customer Service Centres listed on the inside back cover of this handbook.
If you cannot prove that you have completed 120 hours of driving practice, including 10 hours at night, you will not be permitted to sit the test. Your appointment and test fees will be forfeited and you will also have to wait at least six weeks before you can take the driving test.
Your driving supervisor or instructor has to provide a registered, roadworthy car with a speed display on the dashboard that the testing officer is able to easily see, have seatbelts for all occupants and that is fitted with L plates for the drive test. The car needs to also have a centrally mounted handbrake accessible to the VicRoads testing officer if you will be sitting the driving test without a driving instructor.
You need to bring your:
* appointment number
* current learner permit
* completed Learner Log Book which includes the completed Declaration of Completion and List of Supervising Drivers (if you are under 21 years, when you apply for a probationary licence)
* payment for your probationary licence.
If you have a medical condition that may affect your driving and you have not previously told VicRoads, you must provide a medical certificate which states your fitness to drive. Once you hold a probationary licence, you must tell VicRoads if you develop any medical condition that might affect your driving.
The test includes:
* reading an eyesight chart to test your vision
* a computerised Hazard Perception Test to see how safely you respond to traffic situations
* a driving test to assess your driving skills (see Drive Test, pages 19-20).
The Hazard Perception Test
The Hazard Perception Test is designed to see how safely you respond to traffic situations.
* For each item in the Hazard Perception Test, you will watch a video of a traffic situation where you are asked when it is safe to do something like slow down or make a turn.
* You have to respond safely to each traffic situation.
* For some items, you click the mouse button when it is safe to perform the driving task.
* For other items, there is no time when it is safe to perform the driving task and you should not click the mouse button.
You can take this test when you are 17 years and 11 months. You have to pass the Hazard Perception Test before you can sit the Drive Test. The Hazard Perception Test will indicate how well you are able to observe the whole road environment and anticipate potential hazards (see Practice is the best way on pages 41-42).
The challenges of driving
Facing the real challenges of driving Definition
00
Some facts about driving How complicated is driving? A potential hazard can be anything in the road environment that could present a danger or a risk while driving.
00
00
Drive Test
The on-road driving test is designed to identify drivers with the safe driving skills that develop with driving experience.
You are more likely to pass the drive test if you:
* have had more than 120 hours of driving experience
* have had driving experience in a broad range of different driving conditions – such as at night, in wet weather, and on roads with different speed zones.
However 120 hours experience does not guarantee that you will pass. You need to also demonstrate safe and legal driving during the test (so you should brush up on your road rules or read this handbook again before you attempt the drive test).
You will drive for about 30 minutes during the test and the test route will include a range of driving conditions and tasks. You will have to show that you can:
Definition
* control the vehicle correctly
* obey the road rules
* cooperate with other road users
* demonstrate safe driving skills.
Your ability to drive safely in less demanding situations will be assessed first. This is to make sure that you have basic car control and traffic skills. If you pass this part of the test, you will then be assessed in a broad range of traffic situations.
If you do something that is unsafe in the test, the test will be stopped and you will fail.
Further information about the Drive Test is available at vicroads.vic.gov.au
If you are tested in a car that has dual controls and your instructor holds a current Driving Instructor Authority Number, you can have your driving instructor with you. Otherwise, only the VicRoads testing officer will be with you. Other passengers are not usually permitted.
If a car has dual controls, it has additional pedal(s) on the passenger side for use by the accompanying driver.
If you are tested in a vehicle that is fitted with an automatic transmission you will be restricted to driving only vehicles that are fitted with an automatic transmission during your probationary period. The only way this restriction can be removed earlier is by passing another drive test in a manual car.
If you hold a probationary licence and you are undergoing instruction or testing in a manual vehicle, you must display a yellow plate measuring approximately 150 mm by 150 mm inscribed in black letters with the words 'Driver under instruction'. Your P plates must also be displayed.
Step 8 - Pay for and be granted your probationary licence
Once you have passed the test, you will:
* pay for your probationary licence
* have your photo taken for your probationary licence
* be given a paper probationary licence receipt.
You will be able to drive on the paper probationary licence receipt until you receive your probationary licence card.
Your probationary licence card will be sent to you through the mail in about a week. Make sure VicRoads has your current and valid address.
Facing the real challenges of driving 00 Some facts about driving 00 Step 9 - Follow the P plate rules, stay safe and keep your licence
How complicated is driving? 00 Having your probationary licence will mean you have demonstrated the minimum skills required to drive solo. New probationary drivers have three times the risk of crashing compared to experienced drivers. There are some rules for probationary drivers to help them stay as safe as possible.
Severe penalties may be applied for breaching any of the rules, including licence suspension, extension of your probationary period, or licence cancellation. Additional penalties for drink driving offences also include fitting of alcohol ignition interlocks and other heavy penalties.
You will need a good driving record to progress through the licence system. A good driving record means your licence has not been cancelled or suspended and you have not had any drink and/or drug driving offences. Your licence may also be suspended if you get too many demerit points – probationary drivers have a stricter limit than other drivers.
If you are less than 21 years old when applying for a probationary licence:
P1 probationary licence
* you will start on a P1 probationary licence (the P1 licence period lasts for a minimum of one year)
* if you have a good driving record you then progress to the P2 licence period that lasts for a minimum of three years
* after holding your probationary licence for a minimum of four years with a good driving record, you can then be issued with a full driver licence.
If you are 21 years or over when applying for a probationary licence:
* you will start on a P2 probationary licence (the P2 probationary licence period lasts for a minimum of three years)
* after holding your probationary licence for a minimum of three years with a good driving record, you can then be issued with a full driver licence.
In addition to obeying the rules that apply to all drivers, when you are driving on a P1 probationary licence, you must:
* display red P plates on the front and rear of your vehicle (plates measuring approximately 150 mm square bearing a white letter P on a red background) and must be clearly visible from a distance of 20 metres
* carry your probationary licence (or valid paper receipt) with you at all times
* have a zero blood alcohol concentration (BAC) (see Alcohol on pages 71-75)
* not drive a probationary prohibited vehicle (unless you are driving the vehicle during working hours at the request of your employer or have been granted a written exemption by VicRoads)
* not use a mobile phone, including hands-free or hand-held, or messaging of any kind
* not tow a caravan or a trailer (unless for work and at the request of your employer, or for driving solely in connection with agriculture, horticulture, dairying, pastoral or commercial fishing or under instruction with an experienced driver present in the vehicle).
* not carry more than one passenger aged between 16 and less than 22 years (unless exempt). Automatic exemptions exist for carrying immediate family members, when you're with a fully licensed supervising driver (as is the case for learner drivers) or for driving an emergency vehicle
* drive only a vehicle fitted with an automatic transmission if you passed the drive test in a vehicle fitted with an automatic transmission
* have less than five demerit points in twelve months
* have a good driving record to progress to a P2 licence – if you don't, your P1 licence will be extended and you will have a stricter passenger limit.
Tip
For more information about Probationary prohibited vehicles (PPV) or the passenger restriction, visit the VicRoads website vicroads.vic.gov.au.
P2 probationary licence
In addition to obeying the rules that apply to all drivers, when you are driving on a P2 probationary licence, you must:
* display green P plates on the front and rear of your vehicle (plates measuring approximately 150 mm square bearing a white letter P on a green background) and must be clearly visible from a distance of 20 metres
* carry your probationary licence (or valid paper receipt) with you at all times
* have less than five demerit points in twelve months
* have a good driving record to progress to a full driver licence – if you don't, your P2 licence will be extended
* not use a hands-free or hand-held mobile phone, or send or read text messages
* have a zero blood alcohol concentration (BAC) (see Alcohol on pages 71-75)
* not drive a probationary prohibited vehicle (unless you are driving the vehicle during working hours at the request of your employer or have been granted a written exemption by VicRoads)
* drive only a vehicle fitted with an automatic transmission if you passed a drive test in a vehicle fitted with an automatic transmission.
Probationary prohibited vehicles (PPV)
A probationary licence holder cannot drive a probationary prohibited vehicle.
Vehicles manufactured on or after 1 January 2010
A vehicle manufactured on or after 1 January 2010 will be defined as a probationary prohibited vehicle if it has:
* a power to mass ratio of greater than 130 kilowatts per tonne, or
* an engine that has been modified to increase performance (other than a modification made by the manufacturer in the course of the manufacture of the vehicle).
Vehicles manufactured before 1 January 2010
A vehicle manufactured before 1 January 2010 will be defined as a probationary prohibited vehicle if it:
* has an engine with eight or more cylinders
* has a turbocharged or supercharged engine (except diesel powered vehicles or some lower powered turbocharged or supercharged vehicles which have been exempted and can be operated by a probationary driver who has been granted a written exemption by VicRoads)
* has an engine that has been modified to increase the vehicle's performance (other than a modification made by the manufacturer in the course of the manufacture of the vehicle) or
* has a VicRoads nominated high performance six cylinder engine.
You may drive a PPV if you are exempted to do so by VicRoads. Application forms can be obtained from vicroads.vic.gov.au. If granted an exemption to drive a PPV you should carry the letter given to you by VicRoads during your probationary period.
For further information on probationary prohibited vehicles and restrictions, please visit vicroads.vic.gov.au.
Step 10 - Receive your full driver licence
Before your P2 probationary licence expires, you will be sent a notice to renew it. You will need to take the renewal notice to any photo point listed at vicroads.vic.gov.au, pay the renewal fee and be photographed. You will then be issued with a full driver licence paper receipt and your licence card will be sent to you in the mail.
You must have a good driving record to graduate from a P2 licence to a full driver licence. If you do not have a good record, you might have to remain on your P2 licence for longer than three years.
If you do not receive a renewal notice, it is still your responsibility to renew your licence by the expiry date.
Free Licence Scheme
The Free Licence Scheme rewards Victoria's most responsible young drivers. If you are under 25 and have completed your entire P1 and P2 probationary periods and have a good driving record, you may be eligible for a free three year driver licence.
To check the rules for eligibility, go to vicroads.vic.gov.au.
Language options
When you sit for your learner permit test or your probationary licence test, the road law questions and the Hazard Perception Test are available in some languages, please check vicroads.vic.gov.au for the current list.
If you speak a language or dialect that is not on this list, you can have an interpreter present during the test. If you are hearing impaired, you can ask to have an Auslan or sign language interpreter present. Interpreters are provided free of charge. When you book your test, let the VicRoads officer know you need an interpreter.
Key points
The Graduated Licensing System for people who are under 21 years when they apply for a probationary licence.
| DDRRIIVVEERR''SS MMIINNIIMMUUMM AAGGEE | LLEEAARRNNEERR PPEERRMMIITT | | PP11 PPRROOBBAATTIIOONNAARRYY LLIICCEENNCCEE | | PP22 PPRROOBBAATTIIOONNAARRYY LLIICCEENNCCEE | | FFUULLLL DDRRIIVVEERR LLIICCEENNCCEE |
|---|---|---|---|---|---|---|---|
| | 1166 yyeeaarrss •• mmeeddiiccaallllyy ffiitt •• eevviiddeennccee ooff iiddeennttiittyy | | 1188 yyeeaarrss •• mmeeddiiccaallllyy ffiitt •• eevviiddeennccee ooff iiddeennttiittyy •• lleeaarrnneerr ppeerrmmiitt hheelldd ccoonnttiinnuuoouussllyy ffoorr aa mmiinniimmuumm ooff oonnee yyeeaarr •• LLeeaarrnneerr LLoogg BBooookk kkeepptt wwiitthh aa mmiinniimmuumm ooff 112200 hhoouurrss ssuuppeerrvviisseedd ddrriivviinngg pprraaccttiiccee iinncclluuddiinngg 1100 hhoouurrss aatt nniigghhtt | | 1199 yyeeaarrss •• PP11 pprroobbaattiioonnaarryy lliicceennccee hheelldd ffoorr aa mmiinniimmuumm ooff oonnee yyeeaarr ((wwiitthh nnoo lliicceennccee ssuussppeennssiioonn)) •• mmeeddiiccaallllyy ffiitt | | 2222 yyeeaarrss •• PP22 pprroobbaattiioonnaarryy lliicceennccee hheelldd ffoorr aa mmiinniimmuumm ooff 33 yyeeaarrss ((wwiitthh nnoo lliicceennccee ssuussppeennssiioonnss)) |
| DDRRIIVVEERR''SS EELLIIGGIIBBIILLIITTYY | | | | | | | |
| AASSSSEESSSSMMEENNTT | •• eeyyeessiigghhtt tteesstt •• kknnoowwlleeddggee tteesstt | | •• eeyyeessiigghhtt tteesstt • • hhaazzaarrdd ppeerrcceeppttiioonn tteesstt ((TThhiiss tteesstt mmuusstt bbee ppaasssseedd bbeeffoorree tthhee pprraaccttiiccaall ddrriivviinngg tteesstt ccaann bbee ccoonndduucctteedd.. TThhiiss tteesstt ccaann bbee uunnddeerrttaakkeenn aatt tthhee aaggee ooff 1177 yyeeaarrss aanndd 1111 mmoonntthhss)) •• pprraaccttiiccaall ddrriivviinngg tteesstt | | •• ggoooodd ddrriivviinngg rreeccoorrdd | | •• ggoooodd ddrriivviinngg rreeccoorrdd |
| CCOONNDDIITTIIOONNSS | •• LL ppllaatteess ddiissppllaayyeedd aatt ffrroonntt && rreeaarr ooff vveehhiiccllee wwhheenn ddrriivviinngg •• mmuusstt ccaarrrryy lleeaarrnneerr ppeerrmmiitt wwhheenn ddrriivviinngg •• aaccccoommppaanniieedd bbyy aa ddrriivveerr wwhhoo hhaass aa ffuullll ccaarr lliicceennccee ((nnoonn pprroobbaattiioonnaarryy)) •• zzeerroo BBAACC •• nnoo mmoobbiillee pphhoonnee uussee,, hhaannddss--ffrreeee oorr hhaanndd--hheelldd,, oorr mmeessssaaggiinngg ooff aannyy kkiinndd •• nnoo ttoowwiinngg aa ccaarraavvaann oorr ttrraaiilleerr •• ddrriivveess aa ccaarr oonnllyy ((nnoott aa bbuuss,, ttrruucckk oorr mmoottoorrccyyccllee)) | | •• RREEDD PP ppllaatteess ddiissppllaayyeedd aatt ffrroonntt && rreeaarr ooff vveehhiiccllee wwhheenn ddrriivviinngg •• mmuusstt ccaarrrryy lliicceennccee wwhheenn ddrriivviinngg •• zzeerroo BBAACC •• nnoo mmoobbiillee pphhoonnee uussee,, hhaannddss--ffrreeee oorr hhaanndd--hheelldd,, oorr mmeessssaaggiinngg ooff aannyy kkiinndd •• pprroobbaattiioonnaarryy pprroohhiibbiitteedd vveehhiiccllee rreessttrriiccttiioonn •• nnoo ttoowwiinngg aa ccaarraavvaann oorr ttrraaiilleerr ((uunnlleessss ffoorr wwoorrkk oorr iiff uunnddeerr iinnssttrruuccttiioonn)) •• nnoott ccaarrrryy mmoorree tthhaann oonnee ppaasssseennggeerr aaggeedd bbeettwweeeenn 1166 aanndd uunnddeerr 2222 yyeeaarrss ooff aaggee •• iiff tteesstteedd iinn aann aauuttoommaattiicc vveehhiiccllee,, oonnllyy ddrriivveess aa vveehhiiccllee wwiitthh aauuttoommaattiicc ttrraannssmmiissssiioonn | | •• GGRREEEENN PP ppllaatteess ddiissppllaayyeedd aatt ffrroonntt && rreeaarr ooff vveehhiiccllee wwhheenn ddrriivviinngg •• mmuusstt ccaarrrryy lliicceennccee wwhheenn ddrriivviinngg •• zzeerroo BBAACC •• nnoo mmoobbiillee pphhoonnee uussee,, hhaannddss--ffrreeee oorr hhaanndd--hheelldd,, oorr mmeessssaaggiinngg ooff aannyy kkiinndd •• pprroobbaattiioonnaarryy pprroohhiibbiitteedd vveehhiiccllee rreessttrriiccttiioonn •• iiff tteesstteedd iinn aann aauuttoommaattiicc vveehhiiccllee,, oonnllyy ddrriivveess aa vveehhiiccllee wwiitthh aauuttoommaattiicc ttrraannssmmiissssiioonn | | •• uunnddeerr ..0055 BBAACC •• mmuusstt ccaarrrryy lliicceennccee wwhheenn ddrriivviinngg iiff uunnddeerr 2266 yyeeaarrss ooff aaggee •• mmuusstt nnoott uussee aa hhaanndd--hheelldd mmoobbiillee pphhoonnee wwhhiillee ddrriivviinngg |
| DDUURRAATTIIOONN | LL | 1100 yyeeaarrss | PP | 11 yyeeaarr ((PP11)) | PP | 33 yyeeaarrss ((PP22)) | 33 yyeeaarrss oorr 1100 yyeeaarrss |
The Graduated Licensing System for people who are 21 years and older when they apply for a probationary licence.
| | LEARNER PERMIT | | P2 PROBATIONARY LICENCE | |
|---|---|---|---|---|
| DRIVER'S MINIMUM AGE | 16 years | | 21 years | |
| DRIVER'S ELIGIBILITY | • medically fit • evidence of identity | | • medically fit • evidence of identity • learner permit held continously for a minimum of 6 months if 21 to 24 years, or 3 months if 25 years or over | |
| ASSESSMENT | • eyesight test • knowledge test | | • eyesight test • hazard perception test (this test must be passed before the practical driving test can be conducted) • practical driving test | |
| CONDITIONS | • L plates displayed at front & rear of vehicle when driving • must carry learner permit when driving • accompanied by a driver who has a full car licence (non probationary) • zero BAC • no mobile phone use, hands-free or hand-held, or messaging of any kind • no towing a caravan or trailer • drives a car only (not a bus, truck or motorcycle) | | • GREEN P plates displayed at front & rear of vehicle when driving • must carry licence when driving • zero BAC • probationary prohibited vehicle restriction • if tested in an automatic vehicle, only drives a vehicle with automatic transmission • no mobile phone use, hands-free or hand-held, or messaging of any kind | |
| DURATION | L | 10 years | P | 3 years (P2) |
Key points
The risk of being killed or injured in a crash is much higher during the first few months and years of driving than it is later on.
Victoria's Graduated Licensing System (GLS) aims to reduce this risk. New drivers are introduced to driving progressively. This ensures they can move through the learner permit and the P1 and P2 probationary licence stages to earn their full driver licence without being exposed to challenging driving situations before they are ready.
The conditions of the GLS for those aged under 21 years when they apply for a probationary licence are on page 26. The conditions for those aged 21 years or over when they apply for a probationary licence are on page 27.
Fact
The rules for drivers vary from state to state. You should contact the Interstate Transport Authority to check if additional rules apply.
|
SINGLE ELECTRODE SEALING (to 8000 Volts)
5001 D EGT SERIES I
CAP
FOLLOWER
BODY
SEALANT
Like the EG Gland, Conax Technologies EGT Glands electrically and/or thermally isolate single electrodes, tubes or temperature sensors for use in vacuum furnaces, liquid level probes, transformers, environmental chambers, power leads and more. These bare electrical feedthroughs also seal against gases and liquids and resist element movements under pressure. The EGT gland differs from the EG gland in that the insulator and sealant are provided as a single continuous PTFE piece to accommodate higher voltage/amperage at lower pressures.
EGT gland bodies with NPT threads or SAE threads are constructed from 303SST standard. Weld-neck style glands are constructed from 316LSST standard. Caps and followers for all styles are constructed from 303SST standard. Many optional materials are also available. See page 9 for details. Cap Style A offers a mounting thread only. Cap Style B provides threading on both ends for attachment to conduit or terminal heads. Alternative sealant materials are available. Please consult a Conax Technologies sales engineer for custom needs.
Pressure
Retaining
Side
Sealant
Tapered End
Type A has mounting thread only.
Conduit
Pressure
Connection
Retaining
Side
Side
Non-Pressure
Sealant
Retaining
Tapered End
32
Type B has cap end threaded. B Cap NPT matches the standard mounting NPT.
Conductors are available in Copper, Nickel and 303SST. Use of Nickel rather than Copper is recommended in oxidizing atmospheres. For further information on conductor selection, see page 11. Custom conductors, such as nickel-plated copper, are available. Please consult factory.
* Temperature Range: -300˚ F to +450˚ F (-185˚ C to +232˚ C)
* Pressure Range: Vacuum to 2,500 PSIG (170 bar) – see Pressure Ratings in Specifications Chart.
* Voltage to 8000 VDC
* Amperage to 525 amp
* Supplied with or without conductor
Accessories
The replaceable sealant permits repeated use of the same fitting. Electrodes can be easily assembled or replaced in the field. To replace the sealant or element, simply loosen the cap, replace the necessary items, relubricate and retorque the cap.
Glands are supplied factory lubricated. When reused, the glands should be relubricated to maintain the published torque and pressure ratings. If glands are cleaned prior to assembly, they should be relubricated. On weld mount models, the heat from the welding process will destroy the lubricant. These models must also be relubricated prior to use. See page 103 for information on our lubrication kit.
To order a Replacement Sealant, order RS – (Gland) – (Diameter)
Example: RS-EGT-093
For replacement conductors, see the Accessories section on page 102.
Tel: 1.716.684.4500 • USA: 1.800.223.2389 • ConaxTechnologies.com
SINGLE ELECTRODE SEALING (to 8000 Volts)
Catalog Numbering System
High Performance Electrode Gland With Single Peak™Insulator (up to 8,000 volts) for pressures up to 7700 PSI (530 BAR). See Bulletin 6068 for more information.
Tel: 1.716.684.4500 • USA: 1.800.223.2389 • ConaxTechnologies.com
5001 EGT SERIES I
D SINGLE ELECTRODE SEALING (to 8000 Volts)
I
Specifications
| Conductor Diam. Std. Length Diam. Std. Length Catalog Number IN IN MM MM | | Amperage Rating (@ 30°C, 90°C max) CU NI SS | Voltage Rating DC | Length ‘A’ IN MM | | Length ‘B’ IN MM | | Hex Size Body Cap Body Cap IN IN MM MM | | Pressure Rating PTFE PSIG BAR | |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Standard 1/8 NPT | | | | | | | | | | | |
| EGT-093 0.093 3.188 | 2.36 80.96 | 20 10 3 | 4000 | 1.19 | 30.2 | 1.56 | 39.7 | 0.500 0.500 | 12.7 12.7 | 2,500 | 172 |
| Weld Neck (Weld Neck Length 0.39", Diameter 0.405")** | | | | | | | | | | | |
| EGT(SWM1/S316L)-093 0.093 3.188 | 2.36 80.96 | 20 10 3 | 4000 | 1.19 | 30.2 | 1.56 | 39.7 | 0.500 0.500 | 12.7 12.7 | 2,500 | 172 |
| SAE 1/2 -20 Thread Mount (formerly MS) | | | | | | | | | | | |
| EGT(MSE5/)-093 0.093 3.188 | 2.36 80.96 | 20 10 3 | 4000 | 1.25 | 31.8 | 1.63 | 41.4 | 0.750 0.500 | 19.1 12.7 | 2,500 | 172 |
| Standard 1/4 NPT | | | | | | | | | | | |
| EGT-125 0.120 5.000 | 3.05 127.00 | 40 15 6 | 8000 | 2.00 | 50.8 | 2.63 | 66.7 | 0.750 0.750 | 19.1 19.1 | 1,200 | 83 |
| Weld Neck (Weld Neck Length 0.59", Diameter 0.54")** | | | | | | | | | | | |
| EGT(SWM2/S316L)-125 0.120 5.000 | 3.05 127.00 | 40 15 6 | 8000 | 2.00 | 50.8 | 2.63 | 66.7 | 0.750 0.750 | 19.1 19.1 | 1,200 | 83 |
| SAE 9/16 -18 Thread Mount (formerly MS) | | | | | | | | | | | |
| EGT(MSE6/)-125 0.120 5.000 | 3.05 127.00 | 40 15 6 | 8000 | 2.00 | 50.8 | 2.63 | 66.7 | 0.813 0.750 | 20.7 19.1 | 1,200 | 83 |
| Standard 1/2 NPT | | | | | | | | | | | |
| EGT-187 0.182 6.500 | 4.62 165.10 | 60 25 9 | 8000 | 2.56 | 65.1 | 3.31 | 84.1 | 1.000 1.000 | 25.4 25.4 | 1,600 | 110 |
| EGT-250 0.245 6.500 | 6.22 165.10 | 95 40 15 | 8000 | 2.56 | 65.1 | 3.31 | 84.1 | 1.000 1.000 | 25.4 25.4 | 1,200 | 83 |
| Weld Neck (Weld Neck Length 0.78", Diameter 0.84")** | | | | | | | | | | | |
| EGT(SWM4/S316L)-187 0.182 6.500 | 4.62 165.10 | 60 25 9 | 8000 | 2.56 | 65.1 | 3.31 | 84.1 | 1.000 1.000 | 25.4 25.4 | 1,600 | 110 |
| EGT(SWM4/S316L)-250 0.245 6.500 | 6.22 165.10 | 95 40 15 | 8000 | 2.56 | 65.1 | 3.31 | 84.1 | 1.000 1.000 | 25.4 25.4 | 1,200 | 83 |
| SAE 3/4-16 Thread Mount (formerly MS) | | | | | | | | | | | |
| EGT(MSE8/)-187 0.182 6.500 | 4.62 165.10 | 60 25 9 | 8000 | 2.56 | 65.1 | 3.31 | 84.1 | 1.000 1.000 | 25.4 25.4 | 1,600 | 110 |
| EGT(MSE8/)-250 0.245 6.500 | 6.22 165.10 | 95 40 15 | 8000 | 2.56 | 65.1 | 3.31 | 84.1 | 1.000 1.000 | 25.4 25.4 | 1,200 | 83 |
| Standard 3/4 NPT | | | | | | | | | | | |
| EGT-375 0.370 8.500 | 9.40 215.90 | 160 65 24 | 8000 | 2.88 | 73.0 | 3.63 | 92.1 | 1.250 1.500 | 31.8 38.1 | 600 | 41 |
| EGT-500 0.495 8.500 | 12.57 215.90 | 200 80 30 | 8000 | 2.88 | 73.0 | 3.63 | 92.1 | 1.250 1.500 | 31.8 38.1 | 600 | 41 |
| Weld Neck (Weld Neck Length 0.79", Diameter 1.05")** | | | | | | | | | | | |
| EGT(SWM5/S316L)-375 0.370 8.500 | 9.40 215.90 | 160 65 24 | 8000 | 2.88 | 73.0 | 3.63 | 92.1 | 1.250 1.500 | 31.8 38.1 | 600 | 41 |
| EGT(SWM5/S316L)-500 0.495 8.500 | 12.57 215.90 | 200 80 30 | 8000 | 2.88 | 73.0 | 3.63 | 92.1 | 1.250 1.500 | 31.8 38.1 | 600 | 41 |
| SAE 1-5/16 -12 Thread Mount (formerly MS) | | | | | | | | | | | |
| EGT(MSE16/)-375 0.370 8.500 | 9.53 215.90 | 160 65 24 | 8000 | 2.88 | 73.0 | 3.63 | 92.1 | 1.625 1.500 | 41.3 38.1 | 600 | 41 |
| EGT(MSE16/)-500 0.495 8.500 | 12.57 215.90 | 200 80 30 | 8000 | 2.88 | 73.0 | 3.63 | 92.1 | 1.625 1.500 | 41.3 38.1 | 600 | 41 |
| Standard 1 NPT | | | | | | | | | | | |
| EGT-750 0.745 9.250 | 18.92 234.95 | 400 165 60 | 8000 | 3.50 | 88.9 | 4.50 | 114.3 | 1.750 2.000 | 44.5 50.8 | 600 | 41 |
| Weld Neck (Weld Neck Length .98", Diameter 1.315")** | | | | | | | | | | | |
| EGT(SWM6/S316L)-750 0.745 9.250 | 18.92 234.95 | 400 165 60 | 8000 | 3.50 | 88.9 | 4.50 | 114.3 | 1.750 2.000 | 44.5 50.8 | 600 | 41 |
| Conductor Diam. Std. Length Diam. Std. Length CATALOG NUMBER IN IN MM MM | | Amperage Rating (@ 30°C, 90°C max) CU NI SS | Voltage Rating DC | Length ‘A’ IN MM | | Length ‘B’ IN MM | | Flange/Body Diameter IN MM | | |
|---|---|---|---|---|---|---|---|---|---|---|
| STANDARD 1-1/4 NPT | | | | | | | | | | |
| EGT-1000 0.995 10.000 | 25.27 254.00 | 525 240 72 | 8000 | 3.75 | 95.3 | NA | NA | 3.000 | 76.2 | 100 |
| WELD NECK (WELD NECK LENGTH .1.01", DIAMETER 1.66")** | | | | | | | | | | |
| EGT(SWM7/S316L)-1000 0.995 10.000 | 25.27 254.00 | 525 240 72 | 8000 | 3.75 | 95.3 | NA | NA | 3.000 | 76.2 | 100 |
Note: EGT-750 and EGT-1000 are not available with SAE threads.
* Hex size for the body and cap are the same unless a cap size is provided in parentheses.
** Weld neck models require relubrication prior to use.
NA = Not Applicable
All pressure and torque ratings were determined at 68˚ F (20˚ C) using a solid electrode as the element. Pressure ratings may degrade at higher temperatures. Pressure rating guide values are provided for glands with elements restrained by the compressed sealant. Higher pressure may be attained with additional element restraints. For proper assembly of these sealing glands, see the Assembly Instructions provided on pages 106-119.
34
Tel: 1.716.684.4500 • USA: 1.800.223.2389 • ConaxTechnologies.com
SINGLE ELECTRODE SEALING (to 8000 Volts)
Standard NPT
Weld Neck Mount
SAE Thread Mount
EGT-1000 NPT
Tel: 1.716.684.4500 • USA: 1.800.223.2389 • ConaxTechnologies.com
|
OUP Copyright
Subject Index
A
psychoanalysis 280
abnormal psychology, and philosophy 614
Absolute Conception 341, 458
Hempel's 1959 paper 342–44
McDowell's argument against 349–51
Williams' argument for 347–49
abuses, of psychiatry institutionalized in USSR 518–19, 575, 578–79,
581, 590–94
witchcraft comparison 150–51
addiction states 9–10, 48
advocacy 506
see also patient empowerment
agency
Cartesianism, and causality 720, 721 causation and freedom 717–18
freedom and neuropsychiatry 718–19
Melden's non-causal account 722–24
mind-body problem 717
Myth of Volitions, Ryle's critique of 720–22
Tanney's non-causal account 720, 731–32
agoraphobic anxiety 37–38
Airedale NHS Trust v Bland[1993] 1 All ER 821
545
akrasia, and paradox 729–30
alcoholism 9–10, 48
Allgemeine Psychopathologie(Jaspers) 140, 146,
154, 155, 161, 166, 167–68, 171, 173, 174,
175, 205, 217, 219, 222, 224, 226, 227, 228,
229, 779
Alzheimer's disease 48, 146, 152–53, 166
discursive psychology 711–14 personal identity 764–66
American Psychiatric Association (APA) 6, 51,
155, 190, 317, 320, 321, 364
American Psychopathological Association 320,
325
analytical philosophy see
Anglo-American philosophy
Anglo-American philosophy 6, 44, 61 and Continental philosophy 76–82, 134
methodology 82
origins of 77
Anomalous Monism (Davidson) 6, 228, 642, 724,
728, 729, 730
non-reductive materialism 650–51
supervenience 651–53 three premisses 649–50
token-identity theory 650, 653, 660
'anomaly' (Kuhn) 269, 270 anorexia nervosa 9, 11, 44
antidualism 78–79
antipsychiatry 14–18, 770 involuntary treatment 486 map of mental disorders 16–17
mental versus
physical disorders 11
psychiatry today 17–18
Szasz and 14–17
anxiety disorders 8–9, 11
APAsee
American Psychiatric Association aphasia 79–80
argument see
philosophical logic
Association for the Advancement of Philosophy and Psychiatry 18
associationism 40 asyndetic thinking 40
autism, and knowledge of other minds 750–53
B
Beck Depression Inventory 338
Bedlam 152
bioethics 472, 479 aims of 500
bioethical reasoning, tools of 506
casuistry (case-based reasoning) 507, 508, 512
code inflation 500–506
diagnosis 587–88
Four Principles xviii, 500, 506–7, 508, 509–11
historical factors 499–500
perspectives approach 507–8, 512–13
problem conflation 501–2 professional deflation 501 values-free diagnosis 511
see also ethical theory; psychiatric diagnosis;
psychiatric ethics
```
bipolar affective disorder 49 Bland, Tony (case) 557–58 Blyth v. Bloomsbury Health Authority [1993] Med LR 151 553 bodily symptoms and signs 45–46 body dysmorphobia 44 Bolam v. Friern HMC [1957] 2 All ER 551 Bolitho v. City and Hackney Health Authority [1997] 4 All ER 771 553 brain disorder, and mental illness 152–54 brain imaging techniques 642–43 British Medical Association 501 Buridan's Ass case 731 Butler Committee 488
```
C
capacity
'actual understanding' test 549
battery, ingredients of 549, 550, 551 'capable of understanding' test 549
competence/capacity/rationality/status distinctions 544
see also consent
'causes of action' concept 549–50
Capgras syndrome 628
Cartesianism causality 720, 721
dualism xxx, 219, 264, 720, 721 'category mistake' (Ryle) 635–37 'cogito' 626, 627, 628, 632–33, 634 epistemological project of 626
and Kant 632–33
knowledge of other minds 628 logical behaviourism 634–35
method of doubt 627 mind-body problem 628
and modern philosophy of mind 628
personal identity 628 pineal gland, role of 620
psychological behaviourism 634
re-identification 628
virtuous scepticism 626–27
the will (agency) 628
phenomenology of illness 130–31
biological medical model 18
and Wittgenstein 634
philosophy, and science 82–83 problem of other minds 739
biological-reductionist perspective xxix–xxx biopsychosocial model 18, 156
functionalism 648–49
OUP Copyright biopsychosocial model 18, 156 intuition 656, 657
knowledge of other minds 739–43
Russell's view of the mind 707–10
OUP Copyright community care 252
completeness of physics (CP) 661, 662
subject index premisses, and conclusion
analytic theory of validity 101
case method 72, 82
computer model, and cognitive psychology analytic
versus synthetic 103–4
categories, of mental disorder affective disorders 48–49
alcohol/drug-related disorders 48
anxiety disorders 49
childhood and adolescent disorders 49
no-diagnosis option 50
organic 46–48
personality disorder 49 psychotic disorders 48 stress-induced disorder 49 vegetative disorders 49
see also classifications, natural
causal theory of mind, arguments for action 717
Child's argument 726–27
Davidson's argument causal theory, and reductionism 724–25
non-causalism, counter-arguments against
725–26
Myth of Volitions, Ryle's critique of 721, 722
causation agent-causation (Bishop) 728–29
causal and rational power, mysterious harmony of 730
causal deviance 728–29 causal efficacy 730
counter-factuals 408, 414–15, 416, 418–19
epistemology 417
Humean model of 407–8, 410–15
INUS condition analysis of 413–14, 415, 419
irrationality (Davidson) 729–30 and laws (Davidson) 421–22 medicine, causal reasoning in 410 probability (Cartwright) 419–12
see also reasons, and causes
change management process xxv
Chatterton v. Gerson[1981] 3 WLR 1003 551
Classical Period, and conceptions of madness 145,
146, 147–49
Classification of Psychosocial Stressors (CPS) 364
classifications, natural debate about 32
misuses of 366–67
from one to family of 364–65, 377–78
psychiatric classification, conceptual difficulty of
32, 35, 37, 50–51, 317–18
uses of 365, 366
see alsoDSM; Extended Family of
Classifications; ICD
codes of practice confidentiality 503, 504–5
definition and use 502–3
as framework of shared values 503–4
as no panacea 504
quasi-legal tools, over-reliance on 502
cognitive-behavioural therapy, research agenda for
599–600
cognitive command 343, 344
cognitive functioning disorders 45, 47–48 'cognitive' in psychiatry and philosophy 344
'cognitive revolution' 264
cognitivism and computer model 668–69
discursive psychology 712–13
668–69
concrete thinking 40
conditioned reflex concept (Pavlov) 154
Confessions(St Augustine) 69
consciousness, and mind-body problem agency, components of 618
brain-only and mind-only solutions 618–19
person concept 618–19 responsibility 617–18, 622
structure of consciousness, emphasis on 618
consent assisted suicide 556, 557
battery 549, 550
'best interests' 557–58
competency, conditions of 544–46 enforced Caesareans 554, 556
estoppel 543
exceptions 545– 546 express consent 543
generic incapacity legislation 555–56
human rights 542 implied consent 543
'informed consent', and English law 549
law of tort 542
legal principles underlying 544–49 living wills (advance directives) 557–58
medical paternalism 540, 554 moral/cultural tradition 541 'rational suicide' 556–57
'reasonable outcome' test 548–459
self-determination 557
status tests 544
VBP, role for 554
see also capacity
Constructive Empiricism and Logical Empiricism 352–53
as scientific antirealism (Van Fraassen) 353–56,
361–62, 370
see also scientific realism
Context Principle (Frege) 296
Continental philosophy and Anglo-American philosophy 76–82, 134
aphasia 79–80
existentialism 77–78, 80–81 hermeneutics 78, 81, 271, 272
phenomenology (Merleau-Ponty) 77, 78–79
'Copenhagen' interpretation, in quantum mechanics 311–12
Cotard syndrome 43
Critique of Pure Reason(Kant) 173, 308, 632
D
Dallas conference (1997) 375–76
Dasein analysis 207, 208
data, theory dependence of of data
Data Protection Act 502
decision-making capacity, assessment measure of 133
deductive logic deduction
circularity 99, 108
deductive argument, role of 99–100
and induction 98–99
analyticity and containment 104–5
Belnap's context of deducibility response
101–2
Gentzen's structural rules 102
necessary versus
synthetic 103
a priori versus
a posteriori 103–4
Quine's attack 104
Stevenson's truth tables 102–3
Tonk's challenge 101
sceptical challenge to 100–101, 107
see also deductive reasoning
deductive-nomological (DN) model of explanation (Hempel)
causes, and explanation 423 diagnosis, as explanation 386–87 diagnosis, codification of 389, 394 explanation conditions for 387–88
knowledge 388
objections to 389–91
deductive reasoning deductive argument 92
predicate logic 97–98 propositional logic 94 logical operators 95–96
sentences, and propositions 95
truth tables 95–96, 97
valid/invalid argument forms 96–97, 101,
657
syllogism 92–95
definitions brevity
versus depth of understanding 63
clear meaning, search for 61–62 concrete/abstract divide 64
context dependence, of concepts 64–65
contextual 65–66, 67 conventional 65, 66 declarative 65, 66–67
dictionary 62 disjunctive 63
embedded meanings 63–64
essential 66, 67
kinds of 65–67 ostensive 65, 66 persuasive 65, 66
and psychiatric classification 63
semantic 66, 67
specificity versus
range of use 62–63
understanding, illusion of 67
see also linguistic analytic movement
delusions 42–44, 47, 64, 69, 71, 448, 480–82, 569,
770, 771–72
dementia 8, 11, 45, 48, 153
see also
Alzheimer's disease depersonalization 44, 772
depression 4, 11, 69
affective disorders 48–49
delusions 43
diagnostic categories 34
endogenous 621 non-psychotic 9
space of reasons and realm of laws 429–50
as symptom 38–39 symptoms of 45
descriptive psychopathology
Husserl 208
tautology 99
bodily symptoms and signs 32, 45–46
neurophysiology 643
uninformative 99
insight 45, 48, 598
OUP Copyright see
theory dependence,
subject index descriptive psychopathology (
cont.)
psychological symptoms and signs 36,
OUP Copyright philosophy, right answers from 517–18
from theory to practice 518–19
structural solutions 371–72
time line 365, 366
37–45, 46
substantive ethical theory utility 373
determinism, and moral responsibility (Strawson)
733–34
developmental disorders 10
diagnosis descriptive classifications 34–35
diagnostic categories 33–34
see also explanation, and diagnosis; psychiatric
diagnosis; tacit knowledge, and diagnosis
Diagnostic and Statistical Manual (DSM)
classification see
DSM classification differential diagnosis 5, 127–29, 567
Discourse on Method(Descartes) 626, 627
discursive psychology and Alzheimer's disease
711–14
'disjunctivist' philosophy of perception 44
distinction versus
dichotomy 10–14, 313, 522
doctor-patient relationship as fiduciary 540, 541
opening up of 500
drug trials, and objective 'patterns' 261
DSM classification 6, 13, 32, 262, 364
DSM-III 190–91, 289, 297, 322, 332, 369
DSM-III-R 190
DSM-IV 32, 33, 63, 66, 67, 144, 190, 253–54,
289–90, 322, 332, 764
DSM-IV TR 42, 46, 48, 317
DSM-V 51
DSM-V, conceptual research agenda for conceptual issues 323–24
as
Empirical research agenda 324
new agenda items 322 process solutions 322
psychiatric science, deficit model of 323
reliability, improved 322–23
Research Agenda for DSM-V318, 320, 321t,
324, 364, 368, 369, 370, 371
structural solutions 322
Time Line 322 validity 321–22
see also classifications, natural; Extended Family
of Classifications; ICD and DSM, origins of; ICD classification
Duhem-Quine thesis 296, 299
E
EBM
see evidence-based medicine
'edge' disciplines xxv–xxvii
Empirical Import (Hempel) 326 operationalism 329, 336–40
psychodynamic theory, example of 328–29, 340
and Systematic Import 329
Empirical Import 326, 327–30 empiricism 194, 267, 278
see also induction
Enquiries Concerning Human Understanding and
Concerning the Principles of Morals(Hume)
296, 410, 411, 436–38
entailment 105–7, 125
EPR paradox (Einstein-Podolsky-Rosen) 310–12,
367–68, 377
Essay Concerning Human Understanding
83, 296, 767, 772
ethical theory analytical ethical theory 514
consequentialist ethics 514, 515–16
duties, and mental health 515 duty-based ethics 514, 515, 516
QALY (Quality-Adjusted Life Year) approach
515–16, 521
Ethics(Spinoza) 629
ethics training conceptual difficulties 478, 483
cross-cultural perspectives 474–75
ethical downsides 477–78
ethical reasoning, levels of 478
knowledge, increased 475–76
learning and doing 478 objectives, developing 473 raising awareness 473
thinking skills, improved 477 virtue ethics, role for 475
see also psychiatric ethics
ethnic minorities, and mental health xxvii eudaimonia (Aristotelian) 39
euphoria 39
European Convention on Human Rights 542
euthanasia 556, 557
evidence-based medicine (EBM)
clinical trials, methodology of 458
complexities of 461 growth of 434, 435
hierarchy of evidence 457–58, 460–61
natural classifications 461 philosophy of science 457
randomized clinical trials 434, 457–59
reasons and causes or laws 461
reliability 450–51
scientific practice 448–49
space of reasons, social articulation of 454–55
tacit knowledge 461
theory dependence, of observation 461 trials and treatments (Mill) 457–60, 670
and values-based practice 461–62, 519, 522–23,
528–29
see also induction, problem of
existential psychotherapy 207 existentialism 38, 77–78, 80–81 experimental psychology 194
explanation, and diagnosis causal model of 391–96
context of explanation (Van Fraassen) 395–96
contrastive explanation (Lipton) 395 deductive-nomological (DN) model of
(Hempel) 386–91
diagnosis, central role of 385–403
Inductive Statistical (IS) model of 388
standards of correctness 385
see also tacit knowledge, and diagnosis
explanatory pluralism xvi
Extended Family of Classifications 341
concepts 368–69 next steps 374–75 overall tenor 374
process solutions 372–73
psychiatric science, status of 365, 366,
367–69
reliability 369
resources 374–75
validity 369–71, 373
see also classifications, natural; DSM
classification; ICD classification
F
F v West Berkshire Authority[1989] 2 All ER 545
545
facts, interpretation of 5–6
fallacious/invalid arguments ad baculum 107–8
ad hominem 108 ad populem 108 ad verecundium 108
affirming the consequent 108
amphiboly 108
confusion of prior and posterior probabilities
109
denying the antecedent 108
equivocation 108
fallacy of composition 109 fallacy of independence 109
ignoratio elenchi 108
illegitimate changes in scope of key operator 108
inconsistency in conjunction claimed as true
109
masked man fallacy 109 petitio principii 108 post hoc ergo propter hoc 108 quantifier shift fallacy 109 secundum quid 109 semantic vagueness 108 socratic fallacy 109
false beliefs 43, 64 falsificationism
Kuhn on 446–47
Lakatos on 442–45
Popper on 267–68, 278, 440–42
Family Law Reform Act (1969) 545
Family of International Classifications (FIC) 364
flight of ideas 39–40
folk psychology and intentional stance 697, 699–700
as primitive explanatory theory 227
psychoanalysis as extension of (Gardner) 271,
272, 280–82
reasons and causes 263, 264
theory-theory approach 672, 745, 750–51
forensic psychiatry 17, 75
Foundationalism and Coherentism 309
free-floating anxiety 37
freedom and determinacy 732–34, 735
and neuropsychiatry 617–18, 718–19 frontal lobe syndrome 48, 619, 621 full-field model 240, 367, 623–24
functional magnetic resonance imaging 643
functional psychoses 11–12
functionalism behaviourism 644
cognitive approach 668–70
computer model 644
experiential quality of mental states
Block's objections 645–46, 647
analytic ethics 516
stakeholder involvement, and validity 372–73, causal theories of reference 647
mental illness, concept of 516–17
378
functionalism, reductionist hopes of 647
OUP Copyright
(Locke)
reductionism, Davidson's attack on 647
Searle's Chinese room 646
OUP Copyright Renaissance and Reformation 145, 146, material implication 106
149–51
rational character of mental states
Enlightenment 145, 146
McDowall's Davidsonian argument
647–49, 659
non-reductionist functionalism 647
simulation, as alternative to 747
type-identity physicalism 644–45, 653
types and tokens 644, 649
'Fundamentals of Taxonomy' (Hempel) 325, 327,
329, 330
G
Game of Life 699
general paralysis 146, 152–53, 166 general psychopathology (Jaspers)
antipsychiatry, absorption of 162
'biologism', danger of 162
case histories hebephrenic schizophrenia diagnosis 163 hebephrenic schizophrenia diagnosis (2) 164 obsessive-compulsive disorder diagnosis 163
paranoid schizophrenia diagnosis 163 paranoid schizophrenia diagnosis (2) 164 post-traumatic stress disorder diagnosis 163 schizoaffective disorder diagnosis 164
'causal and 'meaningful' connections 165, 168,
169–70, 175, 181, 264 form/content distinction 165, 172–74, 175 incompleteness of 161–62 Jaspers the man 166–69 and natural sciences 165–66 objective/subjective distinction 165, 171–72, 175
'phenomenological approach' 170–72, 181 understanding and explanation 165, 175
General Psychopathology(Jaspers) see Allgemeine
Psychopathologie
Generality Constraint (Evans) 673
Geneva Initiative for Psychiatry599
Gestalt psychology 78, 193, 305 'Gillick' competent children 546
Gillick v West Norfolk and Wisbech AHA [1985] 3
All ER 402 546
Gold v. Haringay Health Authority[1987] 2 All ER
888 553
Great Confinement, and Industrial Revolution
145, 146, 151–52
Greeks, and concepts of madness 147–48
H
hallucinations 44, 47, 48
Heidelberg School of Neo-Kantiasm 219 hermeneutic reconstruction (Ricoeur) 271 discourse of meaning, and discourse of force
274
interpretation, primacy of 273–74 psychoanalysis, rehabilitation of 272–73 scientific reductionism, Freud's move away from 273
symbolism 275–76
theory change, hermeneutic model of 274–75
high-tech medicine, and bioethics 492
Hippocratic Oath 499, 502, 503–4, 541
history, of mental disorder historical periods 144–57
DSM/ICD, and descriptive groundwork 144
Great Confinement, and Industrial
Revolution 145, 146, 151–52 first biological phase 146, 152–55 second biological phase 146, 156–57
twentieth century 146
history of ideas, problems of 144, 145–46
history of psychiatry, differing overviews of 156
turn of twentieth century 146
mental disorder, flow diagram of conceptual history of 145
methodological and conceptual pitfalls 144–45 homosexuality 66, 127, 600, 601 Human Rights Act (1998) 542 humour, and objectivity 343, 344 hypomania 38–39, 40, 48–49 hypothetico-deductive process, in diagnosis 100 hysterical disorders 9, 46
I
ICD and DSM, origins of (Hempel)
1959 conference 325, 331–33
1959 to ICD-10 and DSM-IV 325
background 325
DSM-III to 1959 320–30
Lewis's intervention 331–33
ICD classification 262, 290, 364 ICD-8 190, 320, 325, 330–31, 332, 333, 345, 364 ICD-9 48, 63, 144, 190, 289, 297, 332, 369
ICD-9, conceptual research agenda for concepts 334, 336
overall tenor 335, 336
Research agenda forICD-9 320
ICD-10 32, 33, 46, 48, 63, 66, 67, 289, 317
see also classifications, natural; DSM
classification; Extended Family of
Classifications; ICD and DSM, origins of ideal types (Weber) 223, 224–25, 229
Ideas I(Husserl) 183, 203
identity theories, and mind-body problem identity
of mind and brain, alternative to
658–60
Kripke's argument against
Cartesian intuition, role of 656, 657 descriptive theories of names 655
Feldman's 'third-person response' 657–58
McGinn's token-identity theory 657, 658
names, and necessity 654–55 natural kind terms 655–56 possible worlds 655, 656 responses to 657–58
see also personal identity
Iliad(Homer) 147
illness, experience of action-failure 129–32
illness, many meanings of 133 phenomenology, of illness 130–31
illness-disease distinction
Boorse on 73–76
medical model, preservation of 125–28
medical versus
other values 124–25
moral philosophy 124–25 negative value terms 124–25
implication, and entailment subject index
material implication 106 ordinary implication 105, 106 strict implication 106–7 truth-functional operators 106
induction, problem of
Bloor, Barnes, and sociology of science
447–48
epistemology 434, 435, 449
evidence-based medicine 435–36, 441, 448–49,
454–55
Hume's account 434, 436–39
inductive justifications of 102–3, 438
Kuhn, and history of science 445–47
McDowell's diagnosis
Descartes' argument from illusion 452, 453,
454, 455
externalism, and space of reasons 452,
453–55
reliabilist externalism, contrast with 452–53
tacit knowledge 455
Mellor's diagnosis externalism 451, 452
observation, analogy with 450 positive knowledge 449–50
reliability 450–51
values, and psychiatric diagnosis 261–62 Wittgenstein, and knowledge claims 455–57 see also falsificationism
Inductive Statistical (IS) model of explanation
388
Intentional Stance (Dennett)
abstracta versus
illata 696, 717
Dennet's bald claim 696–97 and discursive psychology 700 philosophy, two kinds of 696 pragmatic advantage 698 and 'real patterns' 698–99
realism versus
instrumentalism 696, 699–700
'stance' approach 696 intentionality 193, 280, 281 inter-rater reliability 343
International Classification of Diseases(ICD) see
ICD classification
International Classification of Functioning (ICF)
364
International List of Causes of Death325
International Pilot Study of Schizophrenia
(IPSS) 590, 591
Interpretation of Dreams, The
275, 276
introspection 200, 204 intuition 656, 657199–200
involuntary treatment antipsychiatry 486
conditions for 6, 11
consent 480–86
facts, interpretation of 5
see also consent; mental health law
'irreducibility in principle' thesis 228
is-ought distinction 126, 228, 521, 523, 577
K
knowledge of other minds argument from analogy (Cartesian)
analogy, argument from (Russell) 741–42
argument, validity of 740–41
criterion/criteria, definition of (Wittgenstein)
Classical Period 145, 146, 147–49
equivocation 105
742–45, 754–55
Middle Ages 145, 146, 149
formal versus
informal logic 105
phenomena, and symptoms 743
OUP Copyright
(Freud) 273–74,
subject index 868
knowledge of other minds (cont.)
problem of other minds, origin of 739–41
OUP Copyright cont.) McKendrick, Martin (case) 556–57, 558 mental subnormality 10
McNaughton rules, and insanity defence 487
mental subnormality 10
Metaphysica(Geulincx) 629
scepticism, sources of 740
medical model
Methodenstreit(Jaspers) 161, 166, 342, 426
solitary starting point 739
third-person concepts (Malcolm) 742–43, 748
autism, evidence from 750–53
criteria for other minds, standard view of
(McDowell)
appearances, and argument from illusion
755–56
criterion/criteria, definitions of 753–55 experience and reality, wedge between 754
McDowell's objection to 754
direct access 739
empirical versus
metaphysical questions 738
epistemology, and justification 738
rationality, and direct access to mental states
753–56
simulation-theory approach (Gordon) 738–39
substantial theory, need for 753
theory-theory approach 738, 743–47, 750–53
Korsakoff's psychosis 48
L
Language of Morals, The(Hare) 120–21, 520–21
Law of Non-Contradiction 194–95
lazy wife case history 619–25
learning theory 154
least time principle (Fermat) 393
Lehrbuch(Kraepelin) 153, 166
Leibnitz's law 740–41
Leviathan(Hobbes) 83, 631, 632
linguistic analytic movement (Austin)
brief definitions, and clinical utility 67–68
concepts, use of as guide to meaning 67–73,
134
meaning, descriptive and evaluative 120–21 medical concepts, use and definition of 69, 70
linguistic turn 77
logical behaviourism (Ryle) 634–35, 743–44
Logical Empiricism 325, 326, 340–41, 376–77 and Constructive Empiricism 352–53
deductive-nomological (DN) model of explanation 387
and Empirical Import (Hempel) 328
and Hempel 324–25
ICD and DSM, origins of 325, 326, 340–41,
376–77
impartial observation 293
and natural classifications 241–42, 364–65,
377–78
objectivity, requirements for 342–46
and psychodynamic theory 326–27
Logical Investigations(Husserl) 78, 174, 182–83,
192, 193, 194–204, 206–7
Logical Positivism 103
and 'unified conception of science' 215
and verificationism 267, 293
and Vienna Circle 77
Lunatic Act (1845) 151
M
MacCAT-T assessment measure 133
'magical' thinking (Rossi) 313
Malleus Maleficarum(Kramer & Sprenger) 150–51
illness-disease distinction 125–28
Kendall on 18–21
over- and underuse of 574–75
power of 118–19, 134
renewed ascendence of 146–47
'medicalisation' of morals 13, 74, 114
Medieval madness 149
Meditations(Descartes) 626, 627, 631, 688, 740
melancholy 38, 39
memory disorders 46, 48
Mental Capacity Act (2005) 555
mental disorders and bodily disorder 11
classification of 6
as difficult concept 2, 6, 13–14 'excusing' status of 11–12, 13, 14
and Mental Health Act (1983) 546
and morals 13
symptoms, diversity of 10–11
value-ladenness 12–13
see also categories, of mental disorder; history, of
mental disorder
Mental Health Act (1959) 148
Mental Health Act (1983) 4, 6, 11, 486–87, 488–90,
540, 544, 545, 546, 556
Mental Health Foundation 524
mental health law
Butler Committee solution, and 'severe mental disorder’ category 489–90
conditions, overinclusivity of 487–88
insanity defence 487
involuntary psychiatric treatment, conditions for 486–87
involuntary treatment exercise questionnaire responses, three-part pattern to
485–86
'seriousness', criteria of 488–89
'severe mental disorder', and conceptual difficulties 491
see also capacity; consent
Mental Pathology and Therapeutics(Griesinger)
166
Mental State Examination (MSE) 5, 10, 344
mental states, content of antireductionism, and discursive turn 688–90
cognitive approach 668–70, 683
'content', characteristics of 671 descriptive causal accounts 678–80
discursive psychology, and Alzheimer's disease
711–14
Intentional Stance (Dennett) 696–700
'intentionality', Brentano on 671 meaning in nature, location of 668
normativity 671
'Radical Interpretation' (Davidson) 697, 700–706
Representational Theory of Mind (Fodor)
672–78
representationalism, alternative to 687–88 singular thought (McDowell) 707–11
teleological causal account (Millikan) 680–83
'that-clauses' 671
Wittgensteinian approaches to
Davidson and Dennett 695
Kripke's sceptical interpretation of 690–92
Dilthey, influence of 212, 217 human sciences, nature of 212 ideally typical connections 224–25 meaningful connections 223–28, 234
and psychiatry 212–13
Rickert, influence of 212, 219
science, unitary conception of (Mill) 215–16
understanding
Dilthey versus
Rickert-Weber 233
'evidence' of genetic 221
and explanation 212–13
'inner' and 'outer' sense 218–19, 233
and interpretation 221–23
limits of 225–26
Nietzsche's model of 223–24 'rational' and 'empathic' 219–21 varieties of 216–17, 233–34 value judgements, and normativity
228–32
Weber, influence of 212, 217, 219
methodological debate see Methodenstreit
mind-body problem xxix–xxxi
Anomalous Monism (Davidson) 424–25, 642,
649–54, 660, 724
antipsychiatry 615, 619–21 brain-body dualism 621–22 clinical neuropsychiatry 642–43 consciousness 616–19, 622 eliminative materialism 616
full-field model, of mental disorder 623–24
illness/disease concepts 615 liaison psychiatry 620–21 materialism (Hobbes) 631–32
metaphysical issues 6
mind-body relation, nature of 663–64
null hypothesis 632
occasionalism (Malebranche) 629
psychiatry, and mind-body interface 614–15 psychophysical parallelism (Leibniz) 630
psychosomatic medicine 620
rationalism versus
empiricism 625
responsibility 617–18, 622 supervenience 660–64
and Szasz 16
transcendental idealism (Kant) 632–33
see alsoCartesianism, dualism; functionalism;
identity theories; monism
MIND (now National Association for Mental
Health) 513
modal logic 106
monism and dualism 628–29
idealist (Berkeley) 630–31
of Spinoza 629–30
mood disorders affect 38–39
anxiety, as a symptom 37–38 depression, as a symptom 38–39
diminished affect 39 mixed affective states 39
morbid fears 43
movement-as-illness 132
MRC Needs for Care Assessment Schedule 476
'myth of mental illness' (Szasz) 15, 19, 20, 118, manic-depressive illness 8
McDowell's interpretation 694–95
344–46
materialism (Hobbes) 631–32
Wrights's interpretation 692–94, 695
Myth of Volitions (Ryle) 720–22
OUP Copyright
N
narrative-based practice 462
OUP Copyright perseveration 40
'persistent vegetative state' 557
subject index as descriptive discipline 189, 191
empathy 184–86
National Framework of Values for Mental Health personal identity
and Husserl 186–87, 204–6
(NIMHE) 524–25
National Health Service Plan (DoH, 1999) 524,
525
National Institute for Mental Health in England
(NIMHE) 375, 376, 524–25, 599
Values Framework 524
National Institute for Mental Health (NIMH)
(USA) 321
National Service Framework (NSF) 525
natural classifications see
classifications, natural
Natural Ontological Attitude (NOA) 352, 361–63,
370, 699
'naturalized epistemology' 191
Necessary Condition Thesis (NCT) 278–79 negligence, and Bolam test 550–52, 553, 557 negligence actions, difficulties winning 551
Neo-Fregeans 687, 707, 708, 710, 712
Neo-Kantianism 224, 230
historical knowledge, limitations of 212
andMethodenstreit219
phenomenology 206
neologisms 40
neurology, development of 152
neuroscience actively evolving 140
advances in 237, 779
freedom of the will 617–18 psychoanalysis 617–18
research agenda for 599–600
New Essays on the Human Understanding
630
New Mysterians 610, 777
New Riddle of Induction (Goodman) 261, 416,
417
Nichomachean Ethics(Aristotle) 12, 481, 505
NIMHseeNational Institute for Mental Health
NIMHEseeNational Institute for Mental Health in
England
O
observation see
theory dependence, of data obsessive-compulsive disorder 9, 40–41, 45
Occam's Razor 262
occasionalism (Malebranche) 629
Oedipus complex 268
On the Genealogy of Morals(Nietzsche) 223
operationalism antecedently understood terms 338
mere observation 337
partial criteria of application 337–38 psychiatry, consequences for 338–39
reliability 329–30, 339–40
validity 340
Operationalism (Bridgman) 296
Orton, Elizabeth (case) 574–75, 594
Othello syndrome 8, 43
P
pain-as-illness 132 panic attacks 37 'paradox of analyis' 63 paranoid disorders 8 patient empowerment 16, 18, 502, 506, 602 Patterns of Discovery (Hanson) 306 perceptual disorders 44 Periodic Table of the Elements 247–48
capacity approach 766–67 closure approach 767
evidence and constitution personal identity, and evidence 761
self identification disturbances 759–60
story of U 760–61
identity antirealism, four kinds of
Canfield's grammatical antirealism 762
Hume's introspectionist antirealism 761–62,
767–68
I-thoughts 763
representational antirealism 762
Unger's anti-ordinary-things antirealism 762
Locke's identity 767–68
and mental illness
Alzheimer's disease 764
borderline personality disorder 772 depersonalization disorder 772
dissociative fugue 772
gender identity disorder 764
Locke, and identity in schizophrenia 769–72 personal identity, importance of 764–66
Pure Memory Theory (PMT), and Embodied
Memory Theory (EMT) 769–70
self-tracking 766–69 physical approach 766
self-tracking capacity approach 766–67
spiritual approach 766
see also identity theories, and mind-body
problem personality disorder 35
perspectives approach 507–8
phenomenalism 631
phenomenology, and language xxxii phenomenology (Husserl)
and Continental philosophy 181
as descriptive discipline 197, 200–201, 204–5 early and later phenomenologies 182–83
empathy 186 and Heidegger
Dasein analysis 207, 208
'knowing subject' concept 206–7, 208
psychotherapy, impact on 207
recent phenomenological trends 207–8
intuition 199–200
and Jaspers continuing debate about 205–6
descriptiveness 204–5
empirical versus
non-empirical 204
introspection and empathy, role of 204
signs of influence 205 'static understanding' 204 language, centrality of 198
logic, relation to 199
mathematical background 192–93
mental acts 202–3
mental states, and psychopathology 182–83
presuppositionlessness 201–2, 205 psychologism, rejection of 193–97, 199
'pure' or 'a priori' discipline 198
tacit knowledge 402–3 as theory of knowledge 201
'transcendental' phenomenololgy 203–4, 206
phenomenology (Jaspers)
mental states 181–82, 189
phenomenology as static understanding 186
presuppositionlessness 189–91
subjective symptoms, nature of 183–84, 185
subjective versus
objective psychology 186
'theory-laden' observation 190
Phenomenology of Perception,
The(Merleau-Ponty) 78
philosophical fieldwork 241, 291, 324, 369, 483
Philosophical Investigations(Wittgenstein) 67, 116,
305, 306, 400, 426, 455, 634, 635, 690, 692,
705, 706
philosophical logic deductive logic 98–105
deductive reasoning 92–98
fallacious/invalid arguments 107–9 implication, and entailment 105–7
skills of argument, development of 91–92
terminology, familiarity with 91
philosophical outputs, in mental health practice and research
disease, and illness 124–29
ethics, growth of 113
experience, ownership of 112–13 fact, adding value to 119–24
function, adding action to 128–33
illness, experience of 129–33
medical model, power of 118–19, 134
one-sided views 118
philosophers depressive analytic philosophy, dismissal of 117
end of philosophy 116
grammatical illusions 116–17 uncertainty, living with 117–18
philosophers manic antiphilosophical sentiment 114
antipsychiatry movement 114 'goods of the mind' 114–15 'grand unifying theories' 115 radical uncertainty 115–16
philosophy and practice, bringing together
113–14
philosophy, and psychiatry 4–7, 610, 779
'Philosophy as a rigorous science' (Husserl) 183
Philosophy of Arithmetic(Husserl) 183, 193, 194,
197
phobias 37
physicalism 227, 644–45, 653
positivism 167, 293
see also
Logical Positivism possession theory of madness 145, 146, 149
post-traumatic stress disorder (PTSD) 49, 80 'Practice Skills', for medical students (Fulford &
Hope) 473
'praecox feeling' 330
pragmatists, and Duhem-Quine thesis 299 prepositional logic, and valid arguments 648
prescriptivism 122
Present State Examination (PSE) 41–42, 290,
291–93, 313, 377, 567–68
Principia Mathematica(Russell & Whitehead) 114,
116
'Principles of human knowledge' (Berkeley) 630
Priorities and Planning Framework (DoH, 2002)
aim of 187–88
524, 525
contemporary relevance of 207–8
process solutions 335, 336
OUP Copyright
(Leibniz)
subject index professional defensiveness 501
advocacy, and 'good process' 506
OUP Copyright Popper's critique, rejection of 278 Re MB (Medical Treatment)
symbolism 276–77
Re MB (Medical Treatment) [1997] 3 Med. LR 217
547
confidentiality 504–5
as folk psychology (Gardner) 271, 272
Re T (Adult: Refusal of Treatment) [1992] 4 All ER
framework values, balancing 505
knowledge, explicit and implicit 504–5
professional judgement 504–5
right outcomes 505–6
prognosis 5
Project for a Scientific Psychology(Freud) 256, 273
PSEsee
Present State Examination psychiatric diagnosis
conceptual difficulties of 50–51
dangerous behaviour, pathologizing 600–601
fact-only model 589–94 philosophy, role of 602
prognosis, and ethics 594–96
psychiatric classification, problems of 586–87,
601
and Reich 587–88, 592–94
stages of 49–50
user empowerment, not practical paralysis 602
uses and misuses of 50
value added, not science subtracted 602
values, invisible 558–59
and values-based practice clinical work, values-based diagnosis in
597–99
multiagency teams 597, 598 open society 597, 598–99 patient's values 597–98
research 599–600
see also values, in psychiatric diagnosis
psychiatric classifications, uses and misuses of
333–34, 336
psychiatric ethics capacity, and mental disorder 481
confidentiality, and consent 482–83 consent, and mental disorder 480–82
delusions, and map of mental disorder 481
ethical issues blindness to 470–71
common kinds of 471–72 excusing conditions 481
'full-field' picture 472
insanity defence 481–82 invalidating conditions 481 neglect of 479–80, 492–93 philosophy, role of 472
see also ethics training; mental health law
psychiatry, as science psychiatry and medicine, standard view of 244
science, nature of 245–48 scientific complexity 253–54
scientific practice, traditional model of (Slater &
Roth) 247–53
scientific psychiatry, since Slater & Roth 251–52
stage of development of 34–35
see also psychoanalysis, as science
psychoanalysis 17, 241, 779
psychiatric science, status of 334, 336
'as-if' understanding 226
as failed science (Grunbaum) 271, 272
Cioffi's critique 279–80
Freud, attack on 277–78
Freud's Necessary Condition Thesis 278–79 hermeneutic reading, argument against 276
meaning and causation 276
censorship, notion of 280–81 extra-clinical testing 282
psychoanalysis, Gardner's reconstruction of
280
psychoanalysis and psychology, presuppositions of 282
reasons and causes, as mutually inextricable
282
symbolizing function 280–82
hermeneutic reconstruction (Ricoeur) 271,
272–76
as science data collection 258–60, 264, 283
displacement reaction, to psychoanalysis
255
Dora, case of 257–66, 268, 269–70, 283
Freudianism, failings of 255–56
Freud's conception of 256–57, 259, 270,
283–84
scientific progress, and Kuhn 268–71
theory building 260–64 theory testing 265–68
psychoanalytic movement 146, 155, 156 'psychobiology of the individual' (Meyer) 50
Psychologie der Weltanschauungen(Jaspers) 168
psychologism 193–97, 199
Psychology from the Empirical Standpoint
(Brentano) 193, 202, 671
psychopathology general (
see general psychopathology)
history of 140–41
psychopharmacology, development of 155
psychosis 11, 41–42, 340, 490
psychotherapy 17
public asylums, establishment of 146, 151
Pure Memory Theory (PMT), and Embodied
Memory Theory (EMT) 769–70
Q
quantum mechanics 310–13
R
'Radical Interpretation' (Davidson) 301, 697
charity, principle of 702
content-laden mental states 704
holism 702
meaning, theory of 702, 703–4 mental representations 704
methodology 701–2
Mulhall's criticism of 705–6
nature of 701 and Quine 700
rationality, central role of 702
weights, analogy with 704 and Wittgenstein 705 radical scepticism 150–51
randomized clinical trials (RCTs) 434, 458–59
rationality central role of (philosophy of mind) 610
and consent (
see consent)
and knowledge of other minds 747–48, 753–56
RCTs see
randomized clinical trials
Re C547–49, 555, 557
649 545, 554
Real People: Philosophy without Thought
Experiments(Wilkes) 82
realism, no reference to 327–30 realism, terminology of 317–18
see also scientific realism
reasons, and causes laws of nature, analysis of 415–17
medicine, causal reasoning in 410
necessity, two senses of 412
probability 408
realm of law and space of reasons anomalous monism 424–25, 429
bald naturalism 424
causes, and explanations 423
meaning, encoding of (Bolton) 428–29 moral judgement, parallel with 425–26
natural and social sciences, differences between 426–27
natural sciences, and intelligibility 423–24 psychiatric research, reasons and causes in
429–30
resonating to reason 425
see also causation
reductio ad absurdum 96–97, 101, 657
Reformation theories of madness 145, 146,
149–51, 625
regulative versus
constitutive rules 224–25
relativity theory 311
reliability 329, 334–336, 342–44
Renaissance physics paradigm 372–73, 377–78
Renaissance theories of madness 145, 146, 149–51
Representational Theory of Mind (Fodor)
cognitive psychology, assumptions of 674–75
computer metaphor 677
content, reductionist explanations of 674 explanatory priority, and linguistic meaning
675–76
functionalism 673–74, 677, 747
heart of 676
inner maps and models 677
language of thought hypothesis 676, 677
mental representations 676
naturalism 674
objections to 679–80
thought and language, systematicity of 676–77
vehicles of content 676, 677
Republic, The(Plato) 148
research ethics committees 502
restraint 151
Roman stoicism, and mental health 148–49
Rosher and Knies(Weber) 220–21
Royal College of Psychiatrists 146
Royal Medico-Psychological Association 146
S
Sainsbury Centre for Mental Health 524, 526–27
scepticism 625, 626
schizophrenia definitions of 63, 68, 69
drug treatment 8 forms of 48
operational criteria for diagnosis of 289
personal identity 769–72
modern psychoanalysis, assumptions of
Re MB (a Caesarean section) [1997] 8
'praecox feeling' 301
279–80
Med. LR 217 554
thought disorder 40, 42
OUP Copyright
US-UK Diagnostic Project 60, 68
see also
OUP Copyright general psychopathology; personal
Papineau's argument for 660–63, 661
psychophysical laws 652–53
subject index psychopathology, implications for 312–13
quantitative versus
qualitative aspects 291
identity role of 651
theory-theory approach 738
Schloendorff v Society of New York Hospital
125 (1914) 543
Schrödinger equation 358
science see
psychiatry, as science; psychoanalysis, as science
Science and History(Rickert) 232
scientific realism
Boyd's account of 356–57
Fine's Natural Ontological Attitude (NOA)
361–63, 370, 699
McMullen on lunar mountains 357 nature, Hacking's view of 360–61
validity of scientific laws, Cartwright's attack on 357–60
see also
Constructive Empiricism scientific realism, in physics 316–78
'Scientific Revolution', of seventeenth century
(natural sciences) 423–24
Scientific World View, The: The Vienna
Circle294
secondary dementia 48
seduction theory (Freud) 274–75
semantics 92
service delivery models 779
multidisciplinary principle 525–26, 779
National Framework of Values for Mental
Health (NIMHE) 523–25
open society, in mental health 523
user-centred principle 525
sexual disorders 9
Sickness Unto Death, The(Kierkegaard) 38
'Sidaway' case 552–53, 643
Sidaway v. Board of Governors of the
Bethlem Royal Hospital[1985] 1 All ER 643
552
simulation-theory approach (Gordon) 738–39
singular thought (McDowell)
Cartesian scepticism 709–10
Frege's 'intuitive criterion of difference' 710
highest common factor view 709, 755
neo-Fregian theories of thought
707, 708, 710
representationalism 710–11
Russell's view of the mind, Cartesian assumptions underlying 707–10
sense, and reference 707
singular thoughts, and everyday objects 708
'sluggish schizophrenia' 590 , 591
sociology of science 447–48
Southwest German School of Neo-Kantiasm 219,
224, 230
Soviet psychiatry, lessons of 518–19, 578–79, 581,
590–94
structural solutions 334–35, 336
St George's Health Care National Health Service
Trust v. S (No. 2); R v. Collins, exp S (No. 2)
[1998] 3 All ER 673 554
Stoics 146, 148–49, 614
Studies on Hysteria(Breuer & Freud) 274, 275
stupor 45 supervenience
Anomalous Monism 651–53, 652, 664
epiphenomenalism 651–52, 663
in ethics 651, 663
token-identity theory 661
syllogism, and psychologism 195–96
symptoms bodily 45–46 psychological 36, 37–45, 46 subjective 183–84, 185 syndromes 32, 261, 567–68 syphilis of the brain 146, 152–53, 166 System of Logic, A (Mill) 215, 459 Systematic Import (Hempel) 326, 329, 370, 371
T
tacit knowledge, and diagnosis and phenomenology
'being-in-the-world' (Heidegger) 403 criteriological versus phenomenological model 403
holistic model 402–3
'theory theory'versus
403
top-down versus
bottom-up model of diagnosis 402
role of in applied physics (Collins)
empirical findings, summary of 398
knowledge, and linguistic representation 398
replication, and diagnosis 398–99 sociological investigation, role of 397
theory, and practice 399
role of in Kuhn's account of science implicit
versus explicit rules 400
science, and puzzle solving 399
science, normal and revolutionary 399 tacit knowledge, areas of 399–400
scientific explanation, context-dependence of
396–97
tacit dimension, philosophical arguments for
400–402
Wittgenstein's later philosophy, sameness in
400–402
Tally Argument 278–79
Tameside and Glossop Acute Services v. CH (A
Patient) [1996] 1 FCR 753 554
Tarasoff case 482, 483
tautology 63
teleology 393, 447–48, 680–83
test-retest reliability 343
Theodicity(Leibniz) 630
theory dependence, of data
Churchland's argument 299–301
complementarity 310, 311
descriptive psychopathology 289 distortion, problem of 289–90, 310
Duhem's argument 298–99
EPR/Bell/Aspect story 311–12
everyday observations, theory dependence of
290–94
experience, as conceptually structured
(McDowell) 308–10
Hesse's argument 301–3
objectivity 289
observer, influence of 310–13
operationalism 289
perception, as conceptually structured 304–8
criteria 744–45
explanation and rationality 746
folk psychology 745
logical behaviourism 743–44
motivation for 746–47 theory, forms of 750–53
theory of meaning, analogy with 745
thought disorders connections between thoughts 40
content of thought (delusions) 42–44
possession of thought 40–42 stream of thought 39–40
thought experiments 66, 72, 82, 83
timeline 333, 336 token-identity theory
Anomalous Monism (Davidson)
650, 653, 660
mind-body problem 657, 658, 659
supervenience 661
Topics(Aristotle) 92
Tractatus Logico Philosophicus(Wittgenstein) 15,
116
Treatise of Human Nature(Hume) 296, 410,
761–62
truth, sorts of 436–37, 656
U
utility 335, 336
unconscious wish-fulfilment theory (Freud)
274–75
universality-specificity dichotomy xxix
V
validity 329, 334–336, 343, 344–46
concept of 241–42 terminology of 318–19
values fact, adding value to 119–24
meaning, descriptive and evaluative (Hare)
120–22
mental and bodily illness, value-laden connotations of 122–24
in psychiatric diagnosis bodily medicine, and psychiatry 577–88
descriptivism, dangers of 578 diagnosis, medical model of 565
differential diagnosis 567 disease, and dissent 575 disorder, to disease 575–76
DSM-IV diagnosis 569–70, 570–74
Elizabeth Orton case, value-ladenness of issues in 574–75
evolutionary arguments 576
ICD-10 diagnosis 568–69
medical model, over- and underuse of
574–75
moral descriptivism 576–77 non-descriptivist model 577
PSE 567–68
psychiatric diagnosis, as ethical problem
(Reich) 578–82
psychiatry and antipsychiatry views
575–76
Haugeland's version of 660–61, 663
practical exercise 290–91
value terms, properties of 120, 122
mind-body problem 660–64
and PSE 291–93
see alsoAbsolute Conception
OUP Copyright
'simulation theory'
211 NY
subject index values-based practice (VPB) and clinical practice skills 526–28 ethics, values, and mental health 520–22 and evidence-based medicine 461–62, 519,
OUP Copyright user-provider alliance 528–30 valuational complexity 779–80 VBP see values-based practice Vienna Circle 293, 303
522–23, 528–29 psychiatric diagnosis 597–601 and quasi-legal ethics 519, 530–31 service delivery models 523–26, 779
W
Weltanschauung 6, 7 Who Decides? (Green Paper) 548, 555, 556
witch trials 146, 149, 150–51 withdrawal syndromes 48 World Health Organization (WHO) 317, 320, 325, 332 World Psychiatric Association (WPA) xxix, 50 Conceptual Workgroup 375, 376
OUP Copyright
|
Paris, February 2024
Connecting the dots between climate risk management and transition finance
The case of banks and their prudential authorities
Authors: RomainHubert| AnuschkaHilke
With the contribution of the European Union LIFE program
|I4CE
ACKNOWLEDGEMENTS
This report is part of the Finance ClimAct project and was produced with the contribution of the European Union LIFE programme.
The report benefited from substantial contributions by Michel Cardona (I4CE) and the comments received from Agnieszka Smolenska (European Banking Institute), Julia Symon (Finance Watch), Julie Van Eeckhout (UNEP FI), Morgan Després (European Climate Foundation), and from Finance Climact consortium members Laurent Clerc (ACPR), Mathieu Garnero (ADEME), Raphaël Lebel (Observatoire de la finance durable).
The authors of this report would like to thank all those who contributed to this report including through their comments.
DISCLAIMERS
This Work reflects only the views of I4CE - Institute for Climate Economics. The European Commission and other members of the Finance ClimAct Consortium are not responsible for any use that may be made of the information it contains. The reviewers of this paper cannot be held responsible for the content of this report.
* February 2024
With the contribution of the European Union LIFE program
EXECUTIVE SUMMARY
The need to clarify the linkages between two approaches to climate action for the financial sector: the "risk approach" and the "transition finance approach"
The private financial sector's response to climate change can be approached from two angles. On the one hand, the mobilization of the sector is necessary to help to finance the low-carbon transition. Some stakeholders thus advocate the explicit mobilization of the sector in favor of financing the transition. This rationale for action is known as the "transition finance approach". On the other hand, the sector is exposed to the financial risks arising from climate change and the necessary transition. This observation motivates a rationale for action known as the "risk approach", aimed at managing the exposure of financial institutions to such risks.
In practice, the prudential authorities have approached the climate issue through the prism of risks. A range of stakeholders have expressed the hope that the objective of better managing climate risks in the financial sector will help to mobilize the sector to finance the transition.
This report seeks to objectively clarify to what extent the risk approach could effectively lead to mobilizing private financial institutions to finance the transition. It focuses on the risk approach from the perspective of commercial banking institutions and their prudential authorities at the European Union level. The report considers the loan and trading activities of banks. The arguments are based on findings from the European Finance ClimAct and 4i-TRACTION projects, as well as on broader research carried out by the authors and references from the literature.
When adopting the perspective of a commercial bank, the risk approach does not necessarily foster transition finance
From the perspective of a commercial bank, the "risk approach" is a question of managing the risk-return profiles of its portfolios. In theory, if the bank were to integrate transition and physical climate issues into its risk management process, this could result in financially penalizing the development of climate-harmful activities. It could also lead the bank to encourage the development of activities that are relevant for the low-carbon transition of the economy.
However, in practice, there are many reasons why the integration of transition and physical risks into this process does not necessarily help to mobilize the bank for transition finance. Two types of conditions that are necessary for a bank's risk approach to foster transition finance are not always met.
at risk are not sufficiently credible to justify any revision of the company's risk-return profile.
Second, when a bank makes a decision to actively manage its climate risk exposure, this is not necessarily beneficial to the transition. For example, if the bank disengages from a company involved in climate-harmful activities – by selling its equity share, no longer providing loans, and so on –, other actors may then propose similar financial services to that company, but with no intention of motivating the company to green its activities. The bank can also provide its financial services to other activities that make no significant contribution to the low-carbon transition, and all the more so given that activities that are favorable to the transition may be risky and unprofitable.
When adopting a prudential perspective, the risk approach shows greater potential for convergence with the transition finance approach
The prudential authorities look at the risk approach through the lens of financial stability. This establishes a doubleedged link with transition finance. On the one hand, an early, orderly transition consistent with the Paris Agreement climate objective is necessary to safeguard long-term financial stability. Such a transition limits the increase in climate hazards beyond the coming decades and the risk of uncontrollable impacts on the financial system. On the other hand, financing this necessary transition can be a challenge in the shorter term, given the potential implications for financial risk-taking.
Analyses by the prudential authorities clarify that an early, orderly and climate-ambitious transition considerably reduces the risk of financial instability in Europe compared with the other scenarios, both in the short and the long term. The financial supervisors also recognize that unabated climate change can be a significant source of financial instability and that their analyses currently underestimate the risks overall.
Given this current state of knowledge, the prudential authorities should therefore integrate the need to support an ambitious and orderly transition without delay. However, this has not been the case so far. The prudential banking authorities have taken concrete action to address climate risks, essentially micro- and macroprudential stress tests as well as requirements for banks to integrate the climate into their internal practices. These actions were not explicitly aimed at stimulating transition finance and there is no guarantee that they will deliver substantial co-benefits in this respect.
First, banks do not necessarily perceive climate-harmful activities as being financially riskier in their usual time horizon of interest. This relates, for example, to the assumption that a company that carries out such activities can rely on its financial robustness to manage the consequences of its exposure to transition and climate impacts. The bank may also consider that the company's activity is risky only after the end of the contracted financial service. It could also subjectively consider that the scenarios that put the company
Typically, the prevailing approach of the prudential authorities with stress-testing has been to accurately measure financial risks before taking corrective actions to manage them. These risk assessments are difficult to make because of the persisting deep uncertainty surrounding the exact shape of the low-carbon transition and its consequences. Conditioning broader corrective actions for banks on the improvement of these measures may lead to a timeline of action that is not consistent with the urgency of carrying out an ambitious transition aligned with the Paris Agreement.
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The prudential banking authorities should implement two principles of action to enable them to unlock the potential of their risk approach to mobilize transition finance
A "proactive precautionary approach" is needed to recognize that transition finance is a priority in the prudential framework. This calls for using the best available information to take "preventive" action immediately in order to defuse the crisis. In other words, it calls for immediately taking the actions needed to avoid the worst anticipated impacts, based on the current state of available information rather than waiting for perfect information.
This is appropriate in the case of climate issues, given the persisting difficulty in assessing the risks perfectly. Keeping this principle in mind should help the prudential authorities to conclude that immediate financing of the transition is a priority. This is indeed the necessary condition for avoiding the irreversible downward spiral towards the worst climate impacts expected mostly in the long-term and posing the most serious threat to financial stability.
This leaves open the question of the role that the prudential authorities could play to proactively mobilize transition finance in the broader scope of public action. This is not completely obvious as, for example, the usual tools of the prudential authorities are not readily actionable in the context of climate issues, especially when recognizing the need to mobilize transition finance.
A "coordination principle" would help to clarify their role. This calls first for recognizing that the prudential authorities should seek to foster transition finance to the extent that it supports government actions. Governments are responsible for deciding on the direction of the sectoral transition strategy for their national economies. They are also responsible for establishing economic signals that are consistent with the objectives of the transition.
In this context, the prudential authorities can seek to contribute to the success of government plans for the transition. For example, they can investigate the barriers that banks face in financing the transition and inform governments when these difficulties are related to economic policies. They can also help economic players to converge in their expectations of an orderly transition, by enquiring through banks about how they are preparing for the transition, the financial services they require in order to do so, and so on.
The coordination principle also invites prudential – and other – authorities to be active in adapting their tools and to develop innovative approaches to help to mobilize transition finance where needed. This includes, for example, building cooperation between public authorities.
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Next steps for a better integration of climate issues in prudential work
This report highlights the case for the prudential banking authorities to be more proactive in mobilizing transition finance. This is a necessary objective in order to avoid longterm climate impacts.
However, it is important to acknowledge that the prudential authorities will need to address a broader range of climaterelated prudential issues. For example, there are potential risk-taking issues associated with financing a rapid and orderly transition. If such a scenario did not actually occur, a range of other climate-related scenarios could materialize with their own risks for the real economy and the financial sector. The financial sector could also play a role in risk amplification mechanisms (e.g.the formation and shift of financial market sentiment).
Consistently with the principles set out in this report, the prudential authorities will need to help to find ways to address these challenges proactively and in coordination with the other public authorities, so as to reach a policy mix that is compatible with the overarching objective of mobilizing transition finance.
The EU prudential authorities are making progress, for example on the macroprudential policies they could use. Transition plan requirements as part of Pillar 2 of the prudential framework also appear as an essential tool. It will be important to frame these plans in a way that encourages banks to build granular, ambitious and applicable transition finance strategies, consistent with government actions, and without creating excessive risk-taking in the short‑term.
CONTENT
Connecting the dots between climate risk management and transition finance - The case of banks and their prudential authorities •I4CE| 3
INTRODUCTION
Risk management and transition finance: two approaches dealing with climate issues in the financial sector
The transition to a low-carbon economy – as planned by national and local governments – requires investments that clearly go beyond public actors' financial capacities. Moreover, the transition will only take place if all financial flows are aligned with this objective, which will therefore require the mobilization of the private financial sector for "transition finance". In particular, to finance the transition, financial institutions will need to cease financing the development of certain emitting activities and instead finance low-carbon activities and the decarbonization of the economy (Cardona, 2023).
The financial sector and its prudential authorities (i.e.prudential regulators and supervisors) have taken an interest in climate issues from a different perspective, known as "the risk approach". This is consistent with current prudential rules that were built around a risk approach following the financial crisis. The link between the risk approach and climate issues first gained prominence through the work of the Carbon Tracker, which showed that a low-carbon transition would lead to stranded assets in the fossil fuel extractive industries, thereby exposing the financial sector to financial risks. This was reinforced by the 2015 seminal speech by Mark Carney, the then Co-Chair of the Financial Stability Board and Governor of the Bank of England, who explained how climate issues could generate physical risks, transition risks and liability risks, with potential impacts on financial stability. In 2020, the Bank for International Settlements and the Banque de France also warned about the "green swan" events from climate change that could generate the next financial crisis (Bolton et al., 2020).
This "risk approach" has strongly shaped the way in which commercial banks and their prudential authorities have conceptualized their action on climate issues.
The interplay between the two approaches is still to be clarified
There has been a persistent lack of clarity on the co-benefits for transition finance that could be expected from the financial sector and its regulators and supervisors with the "risk approach".
Questions remain concerning the potential co-benefits of changing practices within financial institutions. Civil society introduced the transition risk discussion by saying that GHG-emitting activities would expose the financial sector to financial risks if the transition were to happen. In the following discussions, there has been a somewhat implicit assumption that, all other things being equal, better climate risk management by financial institutions would also help to mobilize the financial sector for the transition. However, this assumption on the co-benefits for transition finance of managing climate risks has been questioned by several research papers (see, for example, Hilke et al. (2021) and Boissinot et al. (2022)).
Expectations for financial authorities are also highly debated. Financial regulators and supervisors have increasingly recognized that the low-carbon transition is necessary to reduce long-term risks to financial stability arising from unmitigated climate change. In other fields of EU regulation, for example regarding company disclosure, proposals for transition plans have explicitly emphasized the need for organizations to develop a strategy to align their investments with the low-carbon transition. 1 However, in the field of prudential requirements (i.e.focusing on financial risks), there is a lack of consensus surrounding proposals on financial regulators and supervisors acting explicitly in favor of transition finance. This can be seen, for example, in the debate on the introduction of prudential climate transition plans for banks at the European level.
A discussion of the interactions between the two approaches and an outlook for future banking prudential requirements
The interactions between the two approaches have been a conundrum and will probably remain under discussion for some time. The goal of this report is to help to objectively clarify the interplay between the "risk approach" and the "transition finance approach" given current knowledge, and to pave the way for further action. To do so, the report focuses on the case of commercial banking institutions and their prudential authorities (i.e.prudential regulators and supervisors) at the European Union level. The insights formulated in this report are based on findings from the European projects Finance ClimAct and 4i-TRACTION, as well as on broader research carried out by the authors and references from the literature. 2,3
Section 1 clarifies what the "risk approach" to climate issues means from the perspective of commercial banks and why it may not spontaneously help to mobilize them for transition finance. Section 2 explains how prudential banking authorities may give a different meaning to the risk approach. In particular, it describes how the prudential risk approach would more explicitly benefit from the materialization of an early, orderly and ambitious low-carbon transition. Section 3 explains how, in practice, prudential banking authorities could more effectively help to mobilize transition finance as part of their risk approach if they applied a precautionary approach and a coordination principle. Section 4 concludes on the way forward to implement these principles.
1 Disclosure requirements on transition plans are so far defined generically for financial and non-financial companies as part of the European Sustainability Reporting Standards (ESRS) developed by EFRAG and adopted at this stage by the Commission as the Delegated Regulation C(2023) 5303 final ANNEX 1 supplementing the Corporate Sustainability Reporting Directive (CSRD).
2 See more information on the Finance ClimAct project here: https://finance-climact.eu/
3 See more information on the 4i-TRACTION project here: https://www.4i-traction.eu/
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1. BANKS' CURRENT CLIMATE RISK MANAGEMENT PRACTICES MAY NOT HELP TO MOBILIZE THEM TO FINANCE THE LOW-CARBON TRANSITION
Financial actors have considered that climate issues could be at the origin of different risks to their activities. As summarized in Box 1, these risks include transition risks and physical risks (as well as liability risks, which are sometimes considered as a specific case of the first two categories). There has been a tendency to think that if banks manage these risks, this will help to mobilize them for "transition finance" as defined in Box 2. However, in practice, there is a range of reasons why the climate-related risk management approaches that banks have developed so far may not necessarily produce the co-benefit of mobilizing them for transition finance.
The first part of this report illustrates these limitations on different aspects of "transition finance". Sections 1.1 to1.4 illustrate some of the limitations by taking the theoretical example of a bank and its risk management process applied to a counterparty involved in GHG-emitting activities and with no intention of building a strategy to make itself compatible with a low-carbon transition. Section 1.5 illustrates how limitations also apply to the decarbonization of a counterparty's activities and to the financing of low-carbon activities. Section 1.6 concludes that banks are not necessarily mobilized for transition finance through the risk approach, drawing a parallel with the "double materiality" concept defined in European regulatory disclosure frameworks.
BOX 1. DEFINING CLIMATE-RELATED RISKS
Several types of "climate-related risks" can affect the financial health of financial institutions (e.g.banks, institutional investors, asset managers) and non-financial actors (e.g.companies producing non-financial goods and services, households, governments).
This report mainly discusses the climate-related "transition risks" that arise from the transition to a low-carbon economy (but a broader definition also includes the risks arising from the transition to an economy that is also resilient to climate impacts). These transition risks can originate from several drivers:
* The policy risk driver has received much attention in discussions on transition risks. It can materialize, for example, as energy efficiency requirements in houses or industrial facilities, as carbon-pricing instruments that increase the price of fossil fuels, or as a ban on specific products.
* A second key transition risk driver is technological innovations or improvements that foster the emergence, decline in cost and increased deployment of solutions that support the transition to a low-carbon economy. Such change can affect the competitiveness of activities, their production and distribution costs, and ultimately their demand.
* A third key transition risk driver is changes in economic agents' behavior regarding climate issues. This includes changes in consumers' habits and demands as well as changes in companies' product and service offerings. It also includes changes in investors' perception of the relevance of the low-carbon transition, with consequences for the pricing of assets, for example. Moreover, it includes communication and campaigns launched against economic actors considered to be transition laggards, which can have reputational consequences (e.g.reduction in goodwill, limited capacity to build partnerships). A final aspect of behavioral change is people and organizations taking action to obtain compensation for losses from people and institutions that foster activities that are harmful to the low-carbon trajectory. This final aspect is part of what is known as "liability risks" in other risk typologies.
Climate change can also impact the financial health of financial and non-financial actors in the form of "physical risks". These can arise from a range of climate hazards, including changes in extreme climate events (e.g.hurricanes, catastrophic floods) and changes in other climate conditions (e.g.the seasonality and spatial distribution of rainfall, sea level rise).
These definitions are compatible with the European disclosure requirements for companies on sustainability issues. 4
4 See the definition of climate-related physical risk and climate-related transition risk prepared with the European Sustainability Reporting Standards and available in Annex II of the Delegated Act to the CSRD: https://eur-lex.europa.eu/legal-content/en/TXT/?uri=CELEX:32023R2772
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BOX 2. DEFINING TRANSITION FINANCE
In this report, "transition finance" refers to how financial institutions should shape their financial activities to align them with the needs of a net-zero transition that limits global warming to below 1.5°-2°C. This encompasses several aspects, listed below and adapted from Cardona (2023):
* No longer financing the development of high-emission activities that cannot be decarbonized (coal, gas, oil, internal combustion engines, plastics industry, etc.) and in which the economic actors are reluctant to develop a relevant transition strategy;
* Managing the phase-out of activities that cannot be decarbonized (including identifying assets that should no longer be used for these activities and financing their closure or potential repurposing);
* Providing finance to enable or facilitate activities that are already "sustainable" (e.g. renewable energy) or the development of "climate solutions" (e.g.infrastructure for electric transport or low-carbon hydrogen);
* Providing finance to enable or facilitate the decarbonization of the highest emitting activities (in sectors such as agriculture, cement, steel, car production) and energy renovations in buildings (housing, service industry, etc.), as well as adapting activities that will be indirectly affected by the transition (tourism, health, etc.).
This definition is broadly compatible with the recommendations of the European Commission on "transition finance", and the first bullet point above goes beyond that definition. 5
1.1. An asymmetry between the environmental impacts of activities and the consequences for their financial risk and return
Banks make risk management decisions that primarily seek to optimize the financial risk and return profile of their portfolios. Generally, an activity that potentially generates higher financial returns also involves a higher risk of failure, which could result in financial loss. Therefore, if this risk management rationale were to benefit the low-carbon transition, a prerequisite would be that when portfolio counterparties are involved in activities that are climateharmful, the financial risks increase and the financial returns decrease. However, this can be invalidated in several cases.
risk exposure. In this specific context, the bank will consider reducing the counterparty's GHG emissions to be relevant if it directly limits the banks' exposure to physical risk.
1.1.1. Emitting GHGs does not necessarily mean the activity is more exposed to physical climate risks
In the first place, the local GHG emissions of all economic activities contribute to global climate change, which can in turn impact any activity throughout the world. In this context, from a systemic perspective, reducing the GHG emissions of all economic agents is required in order to limit further exposure of the overall economy to physical climate risks. It is therefore tempting to assume that banks would seek to reduce GHG emissions in the real economy so as to reduce their exposure to physical climate risks.
This condition is not necessarily fulfilled, however, due to several factors. For example, the impact of a counterparty's activities on the climate does not necessarily translate into physical climate risks for that specific counterparty. This is because GHG emissions are a local form of pollution that disturbs the global climate, and the resulting increase in climate hazards is unevenly distributed across geographies. To give a very simplified example, a highly emitting power plant could be particularly vulnerable to the shrinkage and swelling of clay soils arising from alternating periods of rain and drought. But a plant may not be located in an area with clay soils. In this case, the plant will not directly suffer the climate impacts of GHG emissions. There is also a time-lag between GHG emissions and their visible climate impacts.
However, the physical risk management rationale of banks does not focus on the systemic interest of reducing GHG emissions. As explained in the introduction to Section 1.1, banks' physical risk management concentrates on what the counterparty in the portfolio should do to reduce its own
In addition, counterparties have specific levels of vulnerabilities and capacities to adapt to the impacts of climate change, and these are not necessarily related to GHG emissions across their value chain. For example, a company may be adapted to climate impacts partly thanks to the climate preparedness of the local authorities. Consequently, highly GHG-emitting activities are not necessarily the ones that will be the most exposed to physical climate impacts.
5 The European Commission issued recommendations on how to understand transition finance for the transition to a sustainable economy: "Although the Union's legal framework does not define the concept of transition finance, transition finance should be understood as the financing of climate- and environmental performance improvements to transition towards a sustainable economy, at a pace that is compatible with the climate and environmental objectives of the EU". Source: recital (5) of the Commission Recommendation (EU) 2023/1425 of 27 June 2023 on facilitating finance for the transition to a sustainable economy: https://eur-lex.europa.eu/legal-content/EN/TXT/PDF/?uri=CELEX:32023H1425
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FIGURE 1. FACTORS DECORRELATING THE COUNTERPARTY'S GHG EMISSIONS FROM THE COUNTERPARTY'S DIRECT EXPOSURE TO PHYSICAL CLIMATE RISKS
Physical Climate Risk Hazards
Counterparty
Uneven geographic distribution of climate impacts
Local GHG emissions lead to climate impacts that are unevenly distributed across the world.
Time lag of climate impacts
GHG emissions lead to climate impacts with a delay.
Capacity to adapt to climate impacts
The counterparty’s capacity to adapt to climate impacts is not a function of the counterparty’s GHG emissions.
GHG emissions
Potential financial
impacts
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Source: I4CE (2024) Connecting the dots between climate risk management and transition finance.
The management of transition risks does not necessarily motivate banks to finance the transition either, as illustrated in the following sections.
1.1.3. Climate-harmful activities can have direct financial risk implications that have been overlooked
1.1.2. GHG emitting companies may be tempted to claim they are financially viable in the transition without making relevant decarbonization efforts
A counterparty may be tempted to claim it has the capacity to preserve its financial health in the transition without making its activities beneficial to the transition.
Such a claim could be based on the counterparty's general financial characteristics. For instance, the counterparty may claim to have the liquidity capacity to cover costs from potential carbon pricing schemes. A company could also stress that it has diversified revenue streams that may not all be affected equally by the transition, and that this could contribute to the overall financial robustness of the company. It could also underline the assumption that its bargaining power would help it to pass on costs to its value chain. Or it could rely on its capacity to seize the last market opportunities of the harmful activity, for example based on production cost competitiveness relative to its sectoral peers.
Such a claim may rely on other factors, including mild transition scenario assumptions. For instance, an oil extraction company could refer to a transition scenario in which oil prices decrease significantly only over several decades. As the valuation process for the company's oil projects discounts long-term cash flows, the impact of the transition on the company may be presented as limited, in spite of the clear adverse climate impact of its activities.
There is a direct reputation risk in financing climate-harmful activities. A bank can be exposed to bad press when environmental activists draw public attention to climateharmful activities during general assemblies. This can damage the institution's reputation and result in difficulties attracting new talent for job offers. It can also reduce its brand attractiveness from a consumer perspective, etc. This can in turn reduce the bank's profitability and its capacity to meet its financial commitments. The reputation risk can also impact the bank more indirectly, through reputational impacts on its counterparties.
There is also a liability risk in financing climate-harmful activities. People suffering the consequences of climate change may in the first instance seek to obtain compensation based on their insurance policies covering the related damage. But for non-insured damage, these people may also look for organizations that are responsible for or contribute to climate change and seek compensation from them. For example, three French NGOs sued BNP Paribas in February 2023, accusing it of supporting fossil fuel development. 6
These examples of potential dynamics build a strong connection between the negative climate impact of activities and the negative consequences for banks. In theory, this reduces the asymmetry between the environmental impacts of activities and the consequences for their financial risk and return.
While these financial robustness claims may rely on questionable assumptions, the result is that banks may consider that the negative climate impact of a counterparty's activities does not necessarily result in transition risks for that specific counterparty.
However, the integration of such risks by banks has remained limited for a range of potential reasons. These might include limited perceived credibility of these risks and of their potential consequences as explained further on, as well as limited analytical approaches.
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1.2. A time horizon mismatch between financial commitments and the expected materialization of risks
As coined by Mark Carney in 2015, the management of climate issues in finance is limited by the "tragedy of the horizons", in other words a time horizon mismatch that can manifest itself in various ways.
In the field of loan activities, the time horizon related to the financial activity may be the financial instrument's maturity horizon, which is limited to a few years at most for a loan, for example. These time horizons can be much shorter than the expected time horizon of transition risks or catastrophic climate-related impacts in the real economy. This time horizon mismatch limits the motivation of banks to support the lowcarbon transition from a risk management perspective.
economy could be considered to go beyond the maturity of the financial title or its holding period. This can be explained, for example, from a strategic perspective. It is unlikely, especially for banks, that they will quickly turn their back on a client at the end of a loan when they have worked for years to build up and maintain that business relationship. This is even less likely if their client relationship covers several asset classes, and especially if there is a lack of alternative assets with appropriate financial risk and return profiles, including from a climate risk perspective.
This mismatch can also apply in other fields, such as financial market activities. The time horizon of the financial asset can play a role in the same way as explained above. The expected holding period of the financial asset can also play a role. This period may be very short with market activities, for example in the case of algorithmic trading of equity securities.
While this mismatch is often described as a natural barrier in finance, it is worth noting that the time horizon of financial institutions' commitments to specific activities in the real
Qualifying this mismatch as a natural barrier is also questionable given the subjectivity of "expectations" that transition risks or catastrophic climate impacts will materialize in the relatively long term. This thinking typically ignores the possibility of significant and repeated climate impacts in the short term that are already likely under current climate conditions. It also ignores the deep uncertainty surrounding the broader climate-related phenomena that could occur in the short term, including changes in consumer preferences, for example.
1.3. The deep uncertainty surrounding the low-carbon transition may affect banks' decisions through subjective judgments on the credibility of transition risk
1.3.1. Deep uncertainty surrounding the low‑carbon transition
As explained by Hubert et al. (2022), climate issues are characterized by "deep uncertainty". This refers to difficulty anticipating the complex and unprecedented dynamics that may play out over the course of the transition to a low-carbon economy (and the materialization of physical climate impacts). It also includes difficulty identifying how these dynamics may impact banks. A range of plausible transition scenarios exist, with no possibility so far of objectively ranking the probability of their actual occurrence and outcomes.
1.3.2. Consequences of the use of subjective probability for managing risk
This raises questions about how banks can integrate transition risk information into their decisions. Some approaches could focus, for example, on limiting exposure to a chosen maximum level of losses across all scenarios, without focusing on the probability of occurrence for each scenario. However, when making decisions, financial institutions usually rely on a range of metrics based on probabilities. Accordingly, when making decisions on transition risks, they may tend to weight the consequences of the transition depending on their perceived credibility (or "subjective probability") of the transition scenario and its resulting impacts.
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Consequently, if a bank is not confident that a restructuring of the economy towards a low-carbon system will effectively occur with significant impacts in the short term, it will not be inclined to think that GHG-emitting companies are at risk.
1.3.3. Consequences of collective market mechanisms related to risk management
Another consequence of the deep uncertainty surrounding the low-carbon transition is the importance of collective mechanisms, as suggested from a Keynesian perspective on financial market actors' rationality. In particular, there could be a collective market "convention" or market "sentiment", for example, on the likelihood of the transition.
This collective sentiment could get stuck on the idea that transition risks are not credible, even if, objectively, the evolution of economic signals tends to demonstrate the opposite. In this case, as stated above, it would provide no incentive to align financial activity with transition pathways and to provide transition finance.
This sentiment could also shift abruptly towards the idea of an urgent need for a low-carbon transition. This could be based, for example, on an increase in unprecedented climate disasters. Such a shift in market sentiment could lead to the sudden repricing of assets based on their perceived compatibility with a low-carbon transition. The
shift in financial actors' anticipation of transition dynamics – if not correctly managed – could have consequences for risk pricing that increase the abruptness of the transition and potential financial instability. Such dynamics are usually accompanied by value losses that undermine the amount of finance to be mobilized for the transition.
1.4. Risk management decisions can have a questionable impact on financing the transition, even if this is part of their objective
Financial institutions can apply a range of risk management approaches, some of which may have potentially negligible direct implications for the company's activities and emissions. For example, to a certain extent, a bank could decide to increase its reserves to absorb the potential losses should a transition scenario impact a counterparty that conducts climate-harmful activities.
In some other cases, the risk management approach may have direct implications for the company, but in practice have no real impact on the company's activities and emissions. For example, a bank could consider that the GHG-emitting company is indeed risky due to the incompatibility of its activities with the low-carbon transition. Based on this, it could decide to avoid providing any financial service to that company or to terminate its engagements. However, any other financial actor could take over the opportunity to provide a financial service, with no intention of fostering improvements in the company's strategy to align its activities with a low-carbon transition. In addition, the bank that avoided the company could also reallocate its funds to any other activity that makes no specific contribution to the lowcarbon transition.
It is worth acknowledging, however, that some risk management approaches could effectively have an impact on the transition. 7
FIGURE 2. TRANSITION RISK MANAGEMENT PROCESS OF A FINANCIAL INSTITUTION AND LIMITATIONS WITH REGARD TO TRANSITION FINANCE
Transition
Risk Driver
Counterparty
Financial
Institution
Incidence of activities
on climate + lack
of alignment strategy
Potential financial
impacts
Financial risk
Financial risk
management
Capacity to adapt to transition impacts
Companies with GHG-intensive activity can
argue that they rely on financial robustness,
bargaining power, etc., to financially adapt to
transition scenarios. By doing so they might
not align their business with the needs of an
economy-wide low-carbon transition.
Time horizons
The horizon of interest for the financial institu-
tion may be shorter than the expected horizon
of materialization of the transition risks.
Decision rules and credibility
The (low) perceived likelihood of financial
risks from potential transition scenarios might
influence the decision.
Impact of risk management strategy
Avoidance or exit strategies have questionable
impacts on counterparty; funds can go to
alternative counterparties without specific
contribution to low-carbon transition.
Alignment
with the
low-carbon
transition
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Source: I4CE (2024) Connecting the dots between climate risk management and transition finance.
7 See, for example, the escalation process described on page 18 of this report: Hilke et al. (2021) "Taking climate-related disclosure to the next level – minimum requirements for financial institutions" Available at: https://www.i4ce.org/en/publication/taking-climate-related-disclosure-to-the-next-level-minimumrequirements-for-financial-institutions/
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1.5. Financing low-carbon activities or the transition of counterparties can have unattractive risk and return profiles
As explained in Box 2, the mobilization of the financial sector to finance the transition covers several aspects, including: no longer financing the development of certain emitting activities, supporting the phase-out of these activities in the real economy, financing low-carbon activities, and financing the decarbonization of other activities. The first Sections of this report have explained how the risk approach could lead to limited co-benefits in terms of motivating banks to cease financing the development of certain emitting activities.
The present Section explains how the risk approach of banks could lead to limited co-benefits in terms of financing lowcarbon activities and the decarbonization of activities, as well as the phase-out of activities. A range of factors are involved, as mentioned in previous sections: the asymmetry of impacts on the climate and impacts from the climate, adaptive capacity, time horizons and deep uncertainty.
1.5.1. Unattractive risk/return profiles of low‑carbon assets
can both play an important role and discredit companies or activities that thrive in scenarios with lower perceived credibility.
In terms of adaptive capacity, the financial robustness of the company is not necessarily correlated with the climatefriendliness of its activities. A green company could have overall low financial robustness, which would make it riskier. This can be the case in particular for climate-friendly startups or SMEs.
Moreover, climate-friendly investments often involve high upfront investment costs and potentially lower operating costs. While such investments can be profitable over the lifetime of the economic asset, they may be unattractive for a bank that focuses on short‑term financial risk management.
1.5.2. Unattractive risk/return profiles of decarbonization finance or phase-out of activities
Counterparties that already contribute to the low-carbon economy do not necessarily provide financial institutions with a hedge against physical climate impacts. In addition, exposure to some transition risk drivers is not necessarily correlated with the potential positive climate impact of the activity. Green activities are also exposed to transition risks, including innovation risks. In other words, not every activity may be successful in all transition scenarios. This may reduce the attractiveness of the risk/return profile for those companies that seek to grow activities with potential benefits for a low-carbon economy. Moreover, as mentioned above, the perceived credibility of scenarios and market sentiment
Financing the decarbonization of activities can involve financial risk‑taking. For example, a company may need to make heavy strategic investments to restructure its activities and produce changes in its strategic business environment, which could create financial weaknesses in the process. This could also entail a decrease in financial returns in the short term, which is a problem if the financial institution is primarily interested in this aspect. This is also a concern where the transition of the company requires asset stranding so as to remain within global carbon budgets, for example by writing off numerous assets. Financing the transition of the company may also be risky because the success of the new activities may be uncertain from one transition scenario to another.
1.6. The conclusion that the risk approach of banks does not necessarily mobilize them for transition finance echoes the "double materiality" concept
The salient examples provided above show how a pure financial risk approach – as defined from the perspective of a bank, i.e. with a focus on portfolio risk/return – may not necessarily mobilize the bank for transition finance.
These conclusions echo the "double materiality" of climate and sustainability issues introduced by the European Commission in disclosure requirements, as further detailed in Box 3 below. Indeed, it can be understood from this concept that when a company looks at its exposure to climate and transition issues through a portfolio risk/return lens, this does not necessarily lead the company to thoroughly explore the question of how bad or good its activities are for the climate. A fortiori, it does not necessarily lead the company to try to reduce the negative climate impacts of its activities, or to promote GHG emission reductions more broadly.
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BOX 3. THE "DOUBLE MATERIALITY" OF CLIMATE ISSUES AS INTRODUCED BY THE EUROPEAN COMMISSION
The European Commission (EC) introduced the double materiality of climate issues in the context of the non-financial reporting directive (NFRD) applying to large financial institutions and non-financial companies. 8 In this context, "materiality" refers to the relevance of information. The idea of the NFRD is that companies should focus their disclosures only on the relevant information.
The EC specifies that climate issues can be material from a "financial" perspective, to the extent that they inform about the undertaking's "development, performance [and] position". This typically includes the portfolio financial risk/return perspective that financial institutions have used to take account of climate issues.
The EC also explains that financially material climate-related information does not necessarily include all the information that is required to characterize the climate "impact" of the company's activities. The EC considers that the provision of climate-related information that is relevant from an impact perspective requires a specific approach known as the "environmental and social materiality" of climate issues.
The EC asks for information on the company's climate issues that is environmentally and socially material in its own right. This is in addition to asking for information that is material from the financial perspective usually adopted by the company. These form the two branches of the "double materiality" of climate issues, as illustrated below, while financial materiality taken alone is called "simple materiality".
FINANCIAL MATERIALITY
ENVIRONMENTAL & SOCIAL MATERIALITY
To the extent necessary for an understanding of the company’s development, performance and position...
Climate change impact on company
CLIMATE
RECOMMENDATIONS OF THE TCFD
NON-FINANCIAL REPORTING DIRECTIVE
COMPANY
Primary audience: INVESTORS
Primary audience: CONSUMERS, CIVIL SOCIETY, EMPLOYEES, INVESTORS
CLIMATE
COMPANY
Company
impact
on climate
... and impact of its activites.
Company impact on climate can be financially material
* Financial materiality is used here in the broad sense of offering the value of the company, not just in the sense of affecting financial measures recognised in the financial statments.
Source: EC NFRD Non-binding guidelines supplement on climate-related information (C/2019/4490).
Section 1 has discussed implications for transition finance arising from the financial "risk approach" defined from the point of view of a commercial bank, in other words focusing on the short‑term risk/return profiles of the institution's portfolios. The following Section explains how the "risk approach" can be framed from the perspective of prudential banking regulators and supervisors, and how this perspective converges more directly with the transition finance approach.
8 More specifically, the EC introduced the concept in its 2019 supplementary application guidelines on climate-related information (C/2019/4490), available here: https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A52019XC0620%2801%29
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CE
2. THE PRUDENTIAL PERSPECTIVE RECOGNIZES THAT AN ORDERLY TRANSITION IS NEEDED TO MITIGATE CLIMATE-RELATED FINANCIAL INSTABILITY RISKS
Section 2.1 explains that financial regulators and supervisors are concerned with financial risks from the perspective of financial instability. Since climate risks became a topic on the agenda for prudential frameworks, there has been increasing recognition that the focus on financial stability should incorporate a more forward-looking and long-term view, in addition to the short‑term view.
As discussed in Section 2.2, this financial stability lens sheds light on a double-edged connection between the risk approach and transition finance. On the one hand, transition finance appears explicitly as a necessity to avoid the risk of long-term climate-related instability. On the other hand, transition finance can have risk-taking implications in the short term. Section 2.3 highlights that, at the European level, the preliminary research of prudential authorities shows that an orderly transition in the short term is the best way to address the climate-related risk of financial instability over time.
2.1. Prudential authorities seek to avoid financial instability
Financial instability is the situation in which the financial system is malfunctioning and this is impacting the real economy. The "financial system" can consider a range of geographies, activities and institutions including, for example, banks, insurance companies and financial markets – although each type of activity can be considered separately.
Instability can arise at the financial system level through a range of mechanisms. For example, a critical range of financial institutions in the sector can be exposed to a common shock in the real economy with severe consequences for each institution. The structure of the financial sector can also play a role. For instance, as financial institutions' balance sheets are interconnected, the failure of one institution could have a domino effect on the others. In addition, some dynamics that are internal to the financial sector can amplify a risk at the systemic level and have consequences for the real economy. This is the case, for example, of fire sales. This happens when a price decrease in certain financial securities leads financial actors to sell these securities, causing the security price to decrease even more, which affects end investors in the real economy, and so on.
Prudential authorities seek to avoid financial instability at the systemic level through macroprudential measures. They also seek to ensure the safety and soundness of individual financial institutions through microprudential measures. These can be relevant to avoid the systemic consequences arising from the practices and difficulties of individual financial institutions.
2.2. A double-edged connection between transition finance and climate‑related financial instability risks
The potential implications of transition finance for financial stability may differ depending on the time horizon of interest.
2.2.1. An orderly transition is key to avoid long-term catastrophic climate-related impacts on the real economy and their consequences for financial stability
There is widespread consensus that, in the long term, climate change is a major threat at the level of the real economy and society. For example, according to the NGFS, in a "current policies" scenario in which no additional policies are implemented to reduce GHG emissions, temperature increase could exceed 1.5°C in the 2030s and 3°C in the 2090s. In a +3°C world, labor productivity could, for example, decline by 10% on average globally. 9 The development of higher climate impacts in the medium to long term could also lead to hasty transition action for the low-carbon transition, making it more abrupt and less foreseeable. This type of transition risk would lead to even higher overall economic costs.
9 See more information about the NGFS Scenarios on the dedicated portal here: https://www.ngfs.net/ngfs-scenarios-portal/explore/ See information on climate impacts from the climate scenarios (including NGFS scenarios) per country on the Climate Impact Explorer here: https://climate-impact-explorer.climateanalytics.org/impacts/?region=EUROPE&indicator=tasAdjust&scenario=h_ cpol&warmingLevel=1.5&temporalAveraging=annual&spatialWeighting=area&compareYear=2030
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These long-term climate and transition impacts in the real economy could be accompanied by financial instability in the long run. For example, repetitive and cumulative physical climate impacts in the real economy might affect a major systemically important financial institution and lead to domino effects among other financial institutions. The financial sector could also amplify the climate-related shocks. For example, with the multiplication of climate impacts and hasty transition actions becoming more and more credible, the financial market might eventually shift its perception of transition risks. This could lead to a sudden repricing of climate-harmful activities on financial markets.
To minimize the economic costs and broader climate impacts on society, the best way proposed by the NGFS scenarios is to initiate orderly yet drastic efforts in the coming decades for a low-carbon economic transition that limits global warming to below 1.5°C to 2°C by the end of this century. If the transition is postponed, it will be necessary to make even more drastic efforts in a shorter amount of time, and the cost of reducing GHG emissions will therefore be higher.
2.2.2. On the other hand, an orderly transition can involve economic losses in the short term with potential consequences for financial stability
As explained in Section 1, the low-carbon transition can be a risky endeavor at the level of economic actors. A range of companies need to phase out harmful activities or to transform some activities to align them with a lowcarbon transition, and this may involve strategic risks for the company. The development of green activities can also involve risk-taking, as not all green business models will necessarily be successful in all types of transition scenarios, and so on.
To sum up, an early and orderly low-carbon transition would be the best way to avoid the potential long-term financial instability risks arising from unmitigated climate change in the real economy and from the potential amplification of impacts through the financial system. Such an orderly transition requires a massive and sustained mobilization of public and private finance, starting immediately.
The economic risks of implementing the transition could also be accompanied by financial instability in the short term. For example, banks' involvement in financing the transition process of their counterparties may expose them to the risks related to those companies' transition strategies. Transition finance therefore has risk-taking implications for banks too. The financial sector can also amplify short‑term impacts through specific mechanisms. For example, as explained in Section 1, financial market participants might suddenly shift their view on the potential realization of a low-carbon transition in the short term, considering that this is significantly becoming the more credible scenario. Such a sentiment shift might lead to more abrupt repricing of economic activities on financial markets, and could eventually lead to higher economic costs in the short term.
2.3. Research at the EU level shows that an early and orderly low-carbon transition consistent with the Paris Agreement is preferable for financial stability across time horizons
The financial authorities have gradually clarified the implications of the low-carbon transition for short- and longterm financial stability. This is based on the work they do to characterize and estimate the potential effects of different transition and climate scenarios over various time horizons. Below is a summary of their key findings in this respect. 10
become critical over the next 30 years. The ECB (2023) also considers that if the transition is delayed, this will lead to more physical risks and potential compounding effects of transition and physical risks. 11
2.3.1. A timely and orderly transition consistent with the Paris Agreement is best for long-term financial stability
The results of supervisory exercises suggest that long-term financial stability issues could arise from unmitigated climate impacts – that is in the absence of transition efforts. The ECB (2021) climate-related stress test of euro area banks clarifies that physical climate risks can be a significant source of systemic risks, in the absence of transition policies. It also concludes that, if climate change remains unaddressed, corporate loan portfolio losses from physical risks could
It should be noted that, at this stage of the research in the EU and across different jurisdictions, the long-term system-wide risk of financial instability from unmitigated climate change is estimated to be moderate. However, the supervisors have acknowledged the technical limitations to their conclusions so far (FSB, 2022). These limitations very probably underestimate the long-term risk of financial instability and losses from the absence of a transition.
The review of the ECB exercises shows that the supervisory estimations of climate impacts on financial stability have not yet integrated a range of complexities in the potential dynamics of climate risks. These include multi‑climate hazard risks and their non-linear effect, complex climate exposures of financial assets through international counterparties' value chains, amplification mechanisms from interdependencies
10 As part of the international Network for Greening the Financial System (NGFS), central banks and supervisors have worked with climate scientists to create climate-related narratives and scenarios that can be used to assess risks to financial stability. At the European level, the ECB has used these scenarios to carry out bottom-up stress tests with banks from a microprudential perspective. The ECB (and the ECB/ESRB project team on climate risk monitoring) also carried out top-down stress tests of banks and other types of financial institutions from a macroprudential perspective. Comparable exercises have been carried out by authorities in other jurisdictions.
11 In the ECB (2023) exercise, this disorderly transition scenario is the "delayed transition scenario" leading to +2.6°C global warming.
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and dynamics in the financial sector, and so on. Applying actuarial principles to examine climate scenario modelling, Trust et al.(2023) also demonstrate that "the observed benign results for the hot-house world are deeply flawed and underestimate the impact of the risks we expect to face". This relates, for example, to the use of damage functions that exclude the risks from tipping points, or societal consequences such as involuntary mass migration.
2.3.2. Such a transition appears to be low risk for short‑term financial stability
The financial authorities so far estimate that the implementation of a timely low-carbon transition meeting the Paris Agreement objective leads to moderate instability risk in the banking system over the coming decade. The short‑term financial instability risk in this scenario is also estimated to be lower than the long-term risk in other scenarios.
In particular, the ECB (2023) concludes that a timely lowcarbon transition meeting the Paris Agreement climate objective would not lead to instability risks in the coming decade. This conclusion is reached even when considering an ambitious transition scenario that limits global warming to below 1.5°C through immediate and accelerated measures. The ECB also concludes that delaying the start of the transition by three years, while maintaining the 1.5°C objective, would require a more abrupt and stronger transition. 12 This would result in a weaker economy and higher expected losses for banks in the coming decade, but still no system-wide risk of financial instability. The results also show that the risks are concentrated in certain sectors and banks that would require more careful monitoring during the transition process.
The same exercise also concludes that anticipation effects can increase the short‑term risks that would arise from delaying the transition. If the transition is anticipated to be delayed, the market losses are higher compared to the current policy scenario until the end of the horizon. This reflects the fact that the delayed reduction in physical risks emerges beyond the horizon of the stress test analysis (i.e.2050) and the hypothesis that asset prices only discount the delayed future reduction in physical risks to a limited degree. In addition, if the transition is delayed, the long-term benefits (in the form of lower losses) of the transition for banks compared with current policies exist, but are weaker than in the case where the transition is orderly. It is worth noting that the conclusions mentioned in the paragraphs above are also conditional on the analytical choices and limitations of research work.
As a result, the early and orderly low-carbon transition consistent with the Paris Agreement is preferable to other emission scenarios, both from short- and long-term financial stability perspectives. This emerging signal leaves open the question about the role that prudential banking authorities could play to mobilize the financial sector in transition finance.
Another ECB/ESRB simulation explicitly illustrates how anticipation effects on financial markets could generally reinforce the case for a timely and orderly low-carbon transition from a short‑term financial stability perspective (ECB-ESRB, 2022). 13 This first finding concerns market losses of corporate equity and bonds. 14 The stress test concludes that if market actors priced in climate-related anticipations, an anticipated orderly net zero 2050 transition (leading to the credible limitation of climate impacts in the long term) would result in much lower immediate market losses than if the current policy scenario were considered central. A second finding concerns banks' loan portfolios. The long-term climate benefits of the orderly net zero 2050 transition would not be priced into loans, as the horizon of loans is shorter-term. As a result, the transition would lead to "subtly higher credit losses" than in the current policies scenario.
12 This scenario is called the "late-push" transition scenario in the ECB (2023) exercise.
13 The report also accounts for amplification mechanisms from interconnections across banks, funds and insurance companies in the euro area.
14 Although the model is applied to EU insurance companies' and funds' portfolios, it can be assumed that the mechanisms are also relevant to banks' trading books.
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3. IN PRACTICE, THE PRUDENTIAL BANKING AUTHORITIES COULD BETTER HELP TO MOBILIZE TRANSITION FINANCE AS PART OF THEIR RISK APPROACH
The current state of the research conducted by the financial authorities shows that an early and orderly transition is preferable from a prudential perspective. This suggests that the climate risk approach in the financial sector should be at least compatible with, if not encourage, an immediate transition that would be as orderly and ambitious as possible. However, it is not clear what exactly can be expected of the prudential banking authorities in terms of fostering such a transition through their risk approach. Questions remain, for example, on the technical feasibility of supporting the lowcarbon transition in a prudential framework. There are also questions regarding which actions the prudential authorities can legitimately undertake to support the transition compared with other actors, such as governments.
This Section explores how proactive the prudential banking authorities could be in mobilizing transition finance by banks. Section 3.1 first takes stock of climate-related prudential actions undertaken so far in order to characterize their potential synergies with transition finance. Section 3.2 then proposes principles that the prudential authorities could use to more actively exploit the convergence between the prudential risk approach and transition finance.
3.1. The prudential banking authorities have so far implemented the risk approach without supporting transition finance
The actions undertaken so far by the prudential authorities on climate risks have not sought to directly foster transition finance. Moreover, these actions are unlikely to yield a cobenefit for the mobilization of transition finance.
3.1.1. Prudential banking initiatives on climate risks have not integrated any explicit objective on transition finance
The bank supervisory authorities have sought to identify climate-related risks that are key for the safety and soundness of individual banks (i.e.from a microprudential supervision perspective) and for financial stability at the system level (i.e.from a macroprudential supervision perspective). This has led them to explore risk propagation channels in the real economy and the financial sector, in connection with the development of stress tests. As explained in the previous Section of this report, the importance of transition finance only begins to emerge as a conclusion of these exercises.
within banks (ECB, 2020). As part of this, banks were steered into a microprudential climate stress test where they were expected to build and demonstrate their capacity to test their financial resilience to physical climate and transition risk scenarios. This test and the review of broader supervisory expectations resulted in supervisory letters being sent to banks, with demands for corrective actions regarding their internal organization for climate-related risks. This also contributed – only qualitatively – to the revision of capital requirements for banks through the SREP (which is part of the European supervisory process implementing Basel Pillar 2). These actions have not directly and publicly targeted the mobilization of transition finance.
The supervisory authorities have also taken concrete microprudential actions. They have essentially sought to accompany banks towards a better integration of climate and transition issues within their internal risk-related processes. At the European level, for example, the EBA set "supervisory expectations" in 2020 that banks include ESG and climaterelated aspects in their credit risk management framework. 15 Later in 2020, the ECB also published its final list of supervisory expectations on climate-related risk management
The supervisory authorities have only begun to explore macroprudential policies on climate issues. At the European level, the most tangible steps have been the macroprudential top‑down stress tests of the financial system by the ECB and the ESRB. These exercises have not directly targeted the mobilization of transition finance. Moreover, the supervisory authorities have only recently started to more broadly explore the utility of their usual macroprudential policy tools for banks or the potential to adapt these tools to the context of climate issues (ECB-ESRB, 2022). For example, the EBA (2023) recommends further exploring the opportunity of using systemic risk buffers for climate-related impacts. Macroprudential approaches could be relevant, as climate-related risks might involve propagation mechanisms defined at the systemic level and not only at the individual institution level.
15 These supervisory expectations are published in the EBA's 2020 guidelines on loan origination and monitoring.
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3.1.2. The approaches developed so far are not necessarily conducive to a significant co‑benefit in terms of mobilizing transition finance
126.96.36.199. Limitations of the current "measuring precisely before correcting" strategy
Many of the actions taken so far have sought to identify and measure the consequences of climate-related risks both on individual institutions and at the systemic level, prior to taking corrective actions.
However, as explained in Section 2.3.1 of this report, the climate stress tests developed so far have underestimated the financial instability risk from climate change. This indirectly results in underestimating the importance of mobilizing transition finance in the name of financial stability. Further technical improvements are relevant to understand the risks, and at the same time the task of identifying and modeling the risk propagation mechanisms, acquiring relevant data, and so on, is a laborious process.
Conditioning the use of broader corrective actions on the improvement of these measures may lead to a timeline of action that is inconsistent with the urgency of achieving an ambitious transition consistent with the Paris Agreement (it should be conceded, however, that to some extent the stress test results were integrated qualitatively into the SREP in Europe.)
In addition, the utility of these analytical processes may come up against the difficulty of making decisions depending on a transition whose shape and consequences remain deeply uncertain (Dépoues et al., 2019; Hubert et al., 2022).
188.8.131.52. Limitations of the current microprudential approaches in terms of rationale and corrective actions
The microprudential actions taken so far to modify banks' behavior are not necessarily conducive to the mobilization of transition finance.
The supervision approach has been framed to help banks effectively integrate climate-related risks. To do so, the supervisors essentially try to improve both the information made available to banks and their internal tools to process it. They only partly question the decision rationale of banks, for example by expanding the time horizon for which they are accountable when analyzing and managing the risk.
This approach, however, essentially leaves the banks to implement their own risk management perspective, which is not necessarily conducive to fostering transition finance, as illustrated inSection 1.
In particular, Box 4 below illustrates how bottom-up climate stress test exercises for the French banks have yielded limited co-benefits in terms of the mobilization of transition finance.
BOX 4. LIMITED CO-BENEFITS OF BOTTOM-UP CLIMATE STRESS TESTS FOR TRANSITION FINANCE IN FRANCE
Calipel and Fidel (2023) investigate to what extent a selection of past stress-testing exercises in France and the EU have brought co-benefits in terms of mobilizing banks for transition finance.
They conclude on the one hand that these exercises have brought several co-benefits, mainly in terms of raising awareness on climate issues among the institutions' teams. They have also helped to mobilize and build relevant connections between a range of teams, including ESG divisions and risk divisions.
On the other hand, they also conclude that climaterelated stress tests entail a large amount of work for the teams concerned, which is mainly useful for short‑term financial stability purposes. But that work is not sufficient to help the teams to become competent or mobilized to finance the net-zero transition. Moreover, while a lot of work has been done by banks, their teams consider that the results of the exercise are too questionable to be used in decision-making. This has precluded any observation on whether or not these decisions would have been favorable to transition finance.
Moreover, the corrective measures currently resulting from these exercises have questionable co-benefits for transition finance. In particular, the additional capital requirements seek to ensure that banks are financially able to cope with the crisis should it occur, rather than seeking to defuse the gradual build-up of a potential crisis before it happens.
As a result, current prudential practices do not explicitly help with transition finance. What more could be expected from prudential regulation and supervision in this respect?
3.2. Principles to legitimate proactivity of the prudential banking authorities in mobilizing transition finance
This Section proposes principles that the prudential banking authorities could use to recognize and better address transition finance as part of their prudential risk approach. A "proactive precautionary approach" would be relevant to address climate-related risks. This would ensure more explicit and greater importance is given to transition finance as part of prudential action. However, the prudential banking authorities are not the only authority that should play a role in fostering transition finance. Other streams of financial and economic regulation should also be involved. This raises the need for a "coordination principle" that clarifies how the prudential banking authorities could take relevant and legitimate action in this broader context.
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3.2.1. Principle 1: a proactive precautionary approach to prudential action on climate risk
184.108.40.206. An appropriate approach calling for a prudential treatment of climate risk that actively fosters transition finance
The precautionary principle defines a way to address risks whose occurrence and impacts are surrounded by considerable uncertainty. This is typically relevant to the case of transition risks, which are characterized by "deep" or "radical" uncertainty (Chenet et al., 2021; Dépoues et al., 2019; Hubert et al., 2022). However, there is no consensus on the interpretation of the precautionary principle and especially its implications for taking action.
Therefore, following Chenet et al. (2021), this report instead proposes a "proactive precautionary approach" to prudential action, without referring to a specific legal definition of the "precautionary principle". This approach is explicitly oriented towards taking early action. The proactive precautionary approach posits that it is relevant to adopt cautious behavior allowing "preventive" action to be taken that is appropriate to avoid the worst anticipated impacts, based on the best available information and without waiting for additional information to become available.
In the case of climate risks to financial stability, in Europe the best available information to determine preventive action is provided by the EU financial authorities themselves and by broader research, as explained inSection 2.3. The work of the EU financial authorities increasingly stresses that an early, orderly and climate-ambitious transition considerably reduces the risk of financial instability in Europe compared with the other scenarios in the long term. The authorities also recognize that unabated climate change can be a significant source of financial instability, although their analyses currently underestimate the risk. This underestimation is further confirmed by the broader research. Furthermore, the EU financial authorities highlight that an early, orderly and climate-ambitious transition is low risk for short‑term financial stability.
The best available information in the case of Europe therefore suggests that the low-carbon transition is a direct necessity for avoiding the irreversible downward spiral towards the worst climate impacts expected mostly in the long-term and posing the most serious threat to financial stability. As a result, when applying the proactive precautionary approach as a guide for their actions, the prudential authorities should consider that the mobilization of financial institutions for transition finance is a relevant objective to them.
220.127.116.11. Implications for the evolution of the prudential mindset and practices
This principle calls for a more proactive mindset among the prudential banking authorities regarding what they can do to help to mobilize "transition finance" in its diverse aspects. This includes taking action that contributes more actively to limiting finance for the development of climate-harmful activities, helping with the early phase-out of climate‑harmful activities, fostering the decarbonization of activities where possible, and fostering the financing of activities that are in line with a low‑carbon economy.
focus more on preventing the build-up of climate impacts, by fostering transition finance. The rationale of defusing the crisis already existed within the prudential framework before discussions on how to address climate risks. For example, after the Great financial crisis, some approaches – such as the systemic risk buffer – were developed as part of the macroprudential framework specifically to prevent the build-up of systemic risk, as well as to help banks to increase their resilience. However, this rationale needs to be explicitly emphasized in the context of climate issues and to be implemented with adapted tools that are largely favorable to transition finance.
This principle also calls for taking action to avoid the worst impacts despite limited information. It would thus call for reinforcing those actions in favor of mobilizing transition finance that are not necessarily conditional on a thorough estimation of the financial impacts arising in all types of scenarios (not to undermine the broader importance of this type of analysis). For example, the SREP is consistent with this principle, as the corrective actions assigned to banks do not necessarily rely entirely on precise quantitative estimates of climate-related impacts in the different scenarios. This process also influences the internal organization aspects of banks, which have been a key limitation to the capacity of these institutions to finance the low-carbon transition (Evain, 2022).
This principle might also call for reviewing to what extent the traditional prudential tools and their categorization are relevant per se to foster more transition finance. For example, what is the validity of the traditional dichotomy between microprudential tools and objectives on the one hand, and macroprudential tools and objectives on the other, when discussing transition finance? Transition finance is necessary for the long-term stability of the financial system, which makes it relevant among macroprudential objectives. However, banks' capacity to finance the transition depends partly on their portfolio exposures, business environment, staff organization and skills, as well as on the institution-wide strategy. Their capacity to finance the transition also implies looking at the transition capacity of their counterparties in the real economy, and this is missing from their transition risk management tools (Hubert et al., 2022). Taking account of these specific aspects as part of banks' transition planning can be viewed as a more granular risk management tool with micro‑ but also macroprudential objectives.
3.2.2. Principle 2: coordinating the proactivity of the prudential banking authorities for transition finance with broader public action
To operationalize the use of the precautionary approach, it is necessary to clarify which of the challenges to transition finance the prudential banking authorities should be in charge of considering and addressing.
18.104.22.168. The diverse barriers to transition finance could justify action from a range of public authorities
In particular, the precautionary approach calls for questioning whether and how prudential action on climate risks should
As illustrated in Figure 3, the barriers to transition finance can arise from both the financial sector and the real economy. For example, financial institutions need to enhance their teams' skills in analyzing the alignment of their deals with
Connecting the dots between climate risk management and transition finance - The case of banks and their prudential authorities •I4 | 17
a low-carbon transition and the risks associated with these strategies. As regards the real economy, economic signals need to better align the risk/return profiles of activities with their contribution to limiting GHG emissions.
FIGURE 3. HOW FINANCIAL AND ECONOMIC REGULATIONS ARE KEYS TO UNLOCK BARRIERS TO CLIMATE ACTION IN THE FINANCIAL SECTOR AND THE REAL ECONOMY
• Short-termism
• Current risk / return expectations
• Lack of skills on sustainability issues
• Cost and strategic implications of internal restructuring
• Etc.
• Lack of skills for optimising sustainability projects
• Difficulty understanding which projects will fit the low-carbon transition
• Higher upfront cost and lower short-term profitability of sustainability projects
• Incentives favouring fossil fuels
• International competition
• Lack of demand for sustainable goods and services
• Etc.
@I
4
CE_
Financial
institutions
FINANCIAL
REGULATION
ECONOMIC
REGULATION
Non-financial
companies
Source: I4CE (2024) Connecting the dots between climate risk management and transition finance based on Evain and Cardona (2021).
A range of public authorities could take action to lift these barriers from both the financial sector and the real economy. This is not necessarily obvious where proactive initiatives from the prudential banking authorities would be relevant in the broader landscape of public action to remove these barriers. For example, a range of tools that the prudential authorities traditionally use are not readily actionable for managing climate-related risks (EBA, 2023). This is particularly the case when recognizing that fostering transition finance is part of managing climate-related risks.
However, the prudential authorities may demonstrate active efforts to identify their legitimate and relevant contribution, in coordination with other public authorities. This generally began to be discussed several years ago by key institutions such as the Bank for International Settlements and the Banque de France (Boltonet al., 2020).
However, this does not mean that the prudential authorities should adopt a wait-and-see attitude while governments do all the whole work of setting and testing approaches for transition finance. For example, the prudential banking authorities can actively contribute to ensuring the convergence of economic actors' anticipations that the low-carbon transition is inevitable in the short‑term. This can be done, for instance, by stimulating banks to engage with their counterparties to understand how climate change affects their business models, how they are preparing for planned government policies, and what their transition finance needs are.
22.214.171.124. The prudential authorities should aim for an active contribution that is consistent with the transition strategies framed by governments
The prudential authorities cannot override government prerogatives. National (and sub‑national) governments are in charge of setting the overarching national and sectoral transition strategies. It is their role to directly develop the transition strategy for the real economy, to lead the way to structuring its implementation and to ensure that the future trajectory of public action is foreseeable. It is also their responsibility to provide economic regulations that seek to internalize the cost of GHG emissions in the risk/return profiles of economic activities, and prudential action cannot be a substitute for this. Actions by the prudential authorities will be legitimate only if they are clearly consistent with government policy directions.
Another way in which the prudential banking authorities could help is by requiring explanations from banks on how risk/ return considerations influence their decisions in terms of financing the environmentally-relevant transition plans of their counterparties. If this undermines transition finance, then the prudential authorities could investigate what drives this risk/ return perception and provide governments with information they could use to design solutions, perhaps implying roles for a broader range of public authorities. For example, if the need arises, potential solutions for de‑risking transition finance could be explored, perhaps with public‑private partnerships.
This also leaves room for the prudential banking authorities to help to address the barriers that more specifically arise from the banking sector, such as the lack of internal skills.
More broadly, the prudential banking authorities will not be able to address all of the issues of transition finance by themselves. Nonetheless, the prudential authorities – as well as the other public authorities – will need to demonstrate how they explore and implement their potential to be involved in lifting the barriers. This should be based on using existing approaches and tools if possible, adjusting them on innovating when necessary, and actively addressing coordination needs across the fields of public action. 16 Such coordination needs are recognized even between the micro‑ and macroprudential fields (EBA, 2023). 17
16 For example, the EBA (2023) explains that traditional tools might need to be adapted.
17 The modalities of this coordination principle are a current field of debate that goes beyond the few examples given in this report. For instance, Cardona et al. (2023) propose a strong interpretation of this principle. They recommend a deep "articulation" of economic and financial regulations (including prudential regulations) to better mobilize private financial institutions in transition finance while avoiding systemic risk. This includes, for example, setting common objectives between the fields of economic and financial regulations for transition finance, as well as the dynamic articulation of instruments over time.
|I4 • February 2024
4. CONCLUDING REMARKS
This report seeks to contribute to disentangling the interplay between the climate risk approach and the transition finance approach, taking the example of the banking sector and its prudential authorities in the EU.
rationale for climate issues, while coordinating with other fields of public action – including support for the transition strategies established by governments.
The report shows that there is no guarantee that a better integration of climate issues within banks' usual risk management practices will lead these institutions to mobilize for transition finance. From a prudential perspective, however, the immediate financing of an early, orderly and climateambitious transition in the real economy is the preferable scenario for financial stability. The prudential authorities cannot foster such a transition alone, but they can help to more explicitly mobilize transition finance. To do so, they particularly need to implement a proactive precautionary
The following remarks provide insights on how the prudential authorities should move forward in mobilizing transition finance as part of their risk approach. First, the prudential authorities will need to act in favor of the transition while also managing the broader climate-related prudential issues (Section 4.1). Second, when looking for tools and approaches to better mobilize transition finance, the prudential authorities will need to integrate the principles of action set out in this report, while more broadly ensuring the resilience of the financial sector.
4.1. Actively mobilizing transition finance while managing the broader climate-related risk implications in the financial sector
This report concludes that there is a case for the prudential banking authorities to be more proactive in mobilizing transition finance. However, this is not an invitation to evade the broader climate-related prudential issues. These should be managed consistently with the overarching objective of mobilizing transition finance massively and rapidly, which is a necessary objective in order to avoid long-term climate impacts. This should be done following the principles presented in this report.
4.1.1. Risk taking implications of transition finance
In connection with this investigation of risk-taking implications, more broadly, the prudential authorities may need to better understand how the dynamics in the financial system itself might amplify the risks at the institution or system level. For example, a better understanding of the development of collective market sentiment about climate risks could be a relevant area of research. It could help to understand how climate-related risks and opportunities are perceived, how they drive the willingness of market actors to finance the transition, and how market sentiment might remain sluggish or change abruptly and magnify the risks. Collaborations of the prudential authorities with other actors – such as researchers – could help.
As discussed in this report, according to the stress-testing exercises of the prudential authorities, a low-carbon transition compatible with the Paris Agreement can lead to risk-taking in the short term.
While in the current state of research estimates of the potential losses and stability implications are low, there is a need for the prudential authorities to understand and monitor the risk-taking implications for specific activities and how they can be a barrier to transition finance.
Keeping in mind that prudential regulation cannot foster transition finance if this jeopardizes the stability of the financial sector, the prudential authorities can still support the transition in many ways, in cooperation with other public authorities – consistently with the principles explained in this report. For example, the prudential authorities can determine what the banks perceive to be risky with transition finance, and what drives this perception. They can identify how the unattractive risk-return profiles relate to the tools that governments use to foster the transition and share this information with governments to enable them to take action accordingly. The prudential authorities can also determine whether banks could objectively finance the transition more without going beyond their capacity to take risks.
4.1.2. Implications of the deep uncertainty surrounding climate-related scenarios
More specifically, the question of the deep uncertainty surrounding which potential futures could occur is also a challenge to the financial stability mandate of the prudential authorities. Even when a government clarifies plans for the low-carbon transition of its national economy, a wide array of uncertainty sources can influence the economic and financial trajectory. These could include a very belated transition, or the compounding of climate and non-climate risks even in the short term. The prudential authorities need to continue exploring these scenarios and their impacts in the real economy and the financial sector.
Integrating this range of plausible scenarios into decisionmaking is still a challenge, as much for the prudential authorities as for the financial institutions themselves. For instance, a focus on ensuring the capacity of individual institutions to withstand failures of counterparties in their transition process in a range of scenarios could come at the cost of limiting, to a certain extent, the availability of financial institutions' resources to finance the transition.
Connecting the dots between climate risk management and transition finance - The case of banks and their prudential authorities •I4 | 19
Coordination of a range of public authorities and policies may be necessary to address this uncertainty, while not undermining the availability of resources for transition finance. Decision-making theories under deep uncertainty may also be a relevant field of research for the prudential authorities to make progress on this integration (Dépoues et al. , 2019; Hubert et al. , 2022). The prudential authorities would also need to monitor – to the extent possible – which scenario is becoming more plausible as time goes by.
4.2. Exploring tools and approaches to better mobilize transition finance as part of the prudential risk approach
This report explains that the proactivity of the prudential authorities for transition finance should be justified and framed based on a precautionary approach and a coordination principle. These principles may stimulate further exploration and testing of tools and approaches that the prudential authorities could use to help to mobilize transition finance.
There is a need to explore the added value of a range of tools – including potential combinations of tools and adjustments to them. The European prudential authorities are making progress in this respect, as reflected in the work of the ECB/ESRB Project Team on climate risk monitoring (2022). They recognize that climate risks are an issue at both the institutional and the system level (including banks, non-banking institutions and financial markets) and that this calls for broadly exploring the policy options not only for governments, but also for a range of actors including the prudential authorities. In particular, their report begins to explore the potential for macroprudential policies and their interplay with other policies, including microprudential tools (ECB-ESRB, 2022). As also explained by Cardona et al.(2023), the list of potentially relevant tools to be investigated may include, for example, systemic risk buffers. Previously, a number of studies were also carried out on specific tools highlighting attention points. For example, Chamberlain and Evain (2021) analyze the effectiveness of a green supporting factor and a dirty penalizing factor on French banks, based on bank data and a model-based simulation. They conclude that there are limited impacts and unintended side effects. This may also have limited actionability in practice, as it relies on accurately measuring risk while failing to effectively take account of deep transition uncertainties (Cardonaet al., 2023).
Transition plan requirements as part of Pillar 2 of the prudential framework appear as an essential tool of the policy mix. It is important to frame the design of these plans to encourage banks towards transition finance, consistently with the principles presented in this report. Such transition plans would indeed help to lead banks to develop granular, ambitious and applicable transition finance strategies that help to reduce the build-up of climate-related risk in the system, in synergy with government actions, and without creating excessive risk.
|I4 • February 2024
REFERENCES
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Boissinot, J., Goulard, S., Le Calvar, E., Salin, M., Svartzman, R., & Weber, P.-F. (2022). Aligning financial and monetary policies with the concept of double materiality: Rationales, proposals and challenges. The Inspire Sustainable Central Banking ToolBox Policy Briefing Papers (5). Grantham Research Institute on Climate Change and the Environment, London School of Economics and Political Science, London, UK. https://www.inspiregreenfinance.org/publications/ aligning-financial-and-monetary-policies-with-the-concept-ofdouble-materiality-rationales-proposals-and-challenges/
Bolton, P., Després, M., Pereira da Silva, L. A., Samana, F., & Svartzman, R. (2020). The green swan: Central banking and financial stability in the age of climate change. Bank for International Settlements and Banque de France. https://www.bis.org/publ/othp31.htm
Calipel, C., & Fidel, L. (2023). Climate stress tests : What co-benefits can we expect for transition financing. I4CE - Institute for Climate Economics. 4i-TRACTION project. https://www.i4ce.org/en/ publication/climate-stress-tests-what-co-benefits-can-we-expectfor-transition-financing/
Cardona, M. (2023). The limitations of voluntary climate commitments from private financial actors. I4CE - Institute for Climate Economics. Finance ClimAct project. https://www.i4ce.org/en/publication/ limitations-voluntary-climate-commitments-private-financialactors/
Cardona, M., Hubert, R., & Hilke, A. (2023). For an integrated approach to economic policy and financial regulation on climate change. I4CE - Institute for Climate Economics. Finance ClimAct project. https://www.i4ce.org/en/publications/
Chamberlin, B., & Evain, J. (2021). Indexing capital requirements on climate: What impacts can be expected ?. I4CE - Institute for Climate Economics. https://www.i4ce.org/en/publication/indexingcapital-requirements-on-climate-what-impacts-can-be-expected/
Chenet, H., Ryan-Collins, J., & van Lerven, F. (2021). Finance, climatechange and radical uncertainty : Towards a precautionary approach to financial policy. Ecological Economics, 183(106957). https://doi. org/10.1016/j.ecolecon.2021.106957
Dépoues, V., Bouchet, V., Cardona, M., & Nicol, M. (2019). Towards an alternative approach in finance to climate risks : Taking uncertainties fully into account. I4CE - Institute for Climate Economics. https:// www.i4ce.org/en/publication/for-another-approach-to-climaterisk-in-finance-taking-uncertainties-fully-into-account/
EBA (2023). Report on the role of environmental and social risks in the prudential framework. EBA/REP/2023/34. October 2023. https://www.eba.europa.eu/sites/default/files/document_library/ Publications/Reports/2023/1062711/Report%20on%20the%20 role%20of%20environmental%20and%20social%20risks%20 in%20the%20prudential%20framework.pdf
ECB (2020). Guide on climate-related and environmental risks Supervisory expectations relating to risk management and disclosure. European Central Bank – Banking Supervision. November 2020. https://www.bankingsupervision.europa.eu/ecb/ pub/pdf/ssm.202011finalguideonclimate-relatedandenvironmentalr isks~58213f6564.en.pdf
ECB (2021). ECB economy-wide climate stress test – Methodology and results. European Central Bank – Eurosystem. ECB Occasional
Paper Series. No 281 / September 2021. https://www.ecb.europa.
eu/press/pr/date/2021/html/ecb.pr210922~59ade4710b.en.html
ECB (2023). The Road to Paris : Stress testing the transition towards a net-zero economy. Tina Emambakhsh, Maximilian Fuchs, Simon Kördel, Charalampos Kouratzoglou, Chiara Lelli, Riccardo
Pizzeghello, Carmelo Salleo, Martina Spaggiari. European Central Bank—Eurosystem. Occasional Paper Series, 328. https:// www.ecb.europa.eu/pub/pdf/scpops/ecb.op328~2c44ee718e. en.pdf?7793485730460e4e0b4e170237eb7429
ECB-ESRB. (2022). The macroprudential challenge of climate change. ECB/ESRB Project Team on climate risk monitoring. https://www.esrb.europa.eu/pub/pdf/reports/esrb.ecb.climate_ report202207~622b791878.en.pdf
Evain, J. (2022). Implementing prudential transition plans for banks : What are the expected impacts?. I4CE - Institute for Climate Economics. 4i-TRACTION project. https://www.i4ce.org/en/ publication/implementing-prudential-transition-plans-banks-whatare-expexted-impacts-climate/
Evain, J., & Cardona, M. (2021). Can Financial Regulation accelerate the low-carbon transition?. I4CE - Institute for Climate Economics. https://www.i4ce.org/en/publication/can-financial-regulationaccelerate-the-low-carbon-transition/
FSB. (2022). Climate Scenario Analysis by Jurisdictions : Initial findings and lessons. Financial stability Board. https://www.fsb. org/2022/11/climate-scenario-analysis-by-jurisdictions-initialfindings-and-lessons/
Hilke, A., Hubert, R., Pauthier, A., & Raynaud, J. (2021). Taking climaterelated disclosure to the next level – Minimum requirements for financial institutions. I4CE - Institute for Climate Economics and Institut Louis Bachelier. https://www.i4ce.org/en/publication/ taking-climate-related-disclosure-to-the-next-level-minimumrequirements-for-financial-institutions/
Hubert, R., Paya, R., Hilke, A., & Cardona, M. (2022). Scenario analysis of transition risk in finance – Towards strategic integration of deep uncertainty. I4CE - Institute for Climate Economics. Finance ClimAct project. https://www.i4ce.org/en/publication/scenario-analysis-oftransition-risk-in-finance-towards-strategic-integration-of-deepuncertainty/
Trust, S., Joshi, S., Lenton, T., & Oliver, J. (2023). The Emperor's New Climate scenarios. Limitations and assumptions of commonly used climate-change scenarios in financial services. Institute and Faculty of Actuaries. https://actuaries.org.uk/emperors-new-climatescenarios
Legal references
EBA Guidelines on loan origination and monitoring. Full reference: Final Report - Guidelines on loan origination and monitoring EBA/ GL/2020/06. https://www.eba.europa.eu/legacy/regulation-andpolicy/regulatory-activities/credit-risk/guidelines-loan-originationand
ESRS - European Sustainability Reporting Standards developed by the EFRAG and adopted at this stage by the Commission as a delegated act supplementing the Corporate Sustainability Reporting Directive (CSRD). Full reference: COMMISSION DELEGATED REGULATION (EU) /... supplementing Directive 2013/34/EU of the European Parliament and of the Council as regards sustainability reporting standards. C/2023/5303 final. https://eur-lex.europa.eu/legalcontent/EN/ALL/?uri=PI_COM%3AC%282023%295303
NFRD nbgc – non-binding guidelines on reporting climate-related information under the NFRD. Full reference: Communication from the Commission — Guidelines on non-financial reporting: Supplement on reporting climate-related information C/2019/4490. OJ C 209, 20.6.2019, p. 1–30. https://eur-lex.europa.eu/legalcontent/EN/TXT/?uri=CELEX%3A52019XC0620%2801%29
Connecting the dots between climate risk management and transition finance - The case of banks and their prudential authorities •I4 | 21
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Islām and the Muslims are Free and Innocent of the Khārijite Extremists and the Islāmic Sharīʿah Has Come with a Command to Fight and Kill Them
Keywords: Khārijites, Muslim Brotherhood, Takfīr, Ḥākimiyyah, Sayyid Qūṭb, Mawdūdī, Terrorism, Geopolitics, Social Justice, Revolution.
All praise is due to Allāh, the Lord of the Worlds, the Lord of Noah, Abraham, Moses, Jesus and Muḥammad. May the peace and blessings be upon them all. To proceed:
The Khārijite Sect
The first sect to break off from the main body of Muslims was the Khārijites. Their emergence was foretold by the Prophet Muḥammad () as has been narrated through large-scale overwhelming transmission. During the time of the Prophet (), a man named Dhul-Khuwaysarah contended with the Prophet, accusing him of being unjust in the distribution of spoils of war. 1 From here came the slogan of Social Justice which is the slogan of every revolutionary who is motivated by wealth or power. 2 After the revolt instigated by
1 The wars fought by the Prophet () were to counter the hostilities of the pagan Arabs (and their allies) who desired to silence the Prophet () from his simple call to pure monotheistic in belief and deed.
2 Shaykh Rabīʿ bin Hādī said, "And we have observed lessons from reality and from history, and there is no one reflecting and no one taking admonition except those upon whom Allāh has shown mercy and from them [these lessons] are: That every person of fitnah (tribulation), and every caller to misguidance, raises, with all strength, the slogan of "fairness, justice and equity". The revolution (led by ʿAbdullāh bin Sabaʾ) against the righteous Caliph [ʿUthmān ()], rather against Islām, was in the name of justice.
ʿAbdullāh bin Sabaʾ against the third caliph, ʿUthmān (), which led to his assassination, a series of events unfolded in which differing perceptions and viewpoints amongst the Companions regarding how to deal with matters following the assassination of ʿUthmān were monopolized upon by hostile external elements some of whom had camouflaged themselves amongst their ranks in order to bring about tribulations. These events unfolded into hostilities that took place between ʿAlī () [who wanted stability and regaining of strength after the assassination before pursuing the criminals] and Muʿāwiyah () [who wanted immediate revenge for ʿUthmān]. When an arbitration was agreed between the two sides, factions from the army of Aliʿ () absconded and judged both sides with disbelief for referring judgement to men. From here came the slogan of Ḥākimiyyah (rulership). Many thousands of them revolted but some of them recanted after debate with Ibn ʿAbbās () who notified them of their errors in understanding. Those that persisted upon their innovated ideology were then involved in fighting against the main body of the Muslims. ʿAlī recognized the traits in these people as described in the statements of the Prophet ().
The Sharīʿah Legislative Ruling on the Khārijites
Those statements include, "They depart from the religion (Islām) like an arrow departs from the bow" 3 and "Their faith does not pass
The revolution of al-Mukhtār bin Abī ʿUbayd, the heretic, was in the name of justice and equity. The revolution of Abū Muslim al-Khurasānī was under the slogan of justice and stopping oppression (injustice). And the Freemasonic movements, they carried the slogan of "justice, equality and freedom". The Communist revolution was also [carried out] beneath these slogans. And all of them are deception, and deceitful (lying) slogans, may Allāh expose those calling with them, and uncover their veils, and humiliate them in this life before the hereafter." Maḥajjat al-Bayḍāʾ (pp.9-10).
3 Reported in Ṣaḥīḥ Muslim (no. 2496).
beyond their throats" 4 and "They recite the Qurʾān but it does not go beyond their collar-bones" 5 (indicating ignorance and false scholarship) and "They speak with the best (most alluring) speech of the creation" 6 and "Your prayer and fasting (that of Muhammad's Companions) is nothing compared to theirs" 7 (meaning they have outward piety), and "Young of age, foolish of mind" 8 , and, "Their speech is beautiful, alluring yet their actions evil" 9 and "They are the most evil of the creation" 10 and "They call to the Book of Allāh, yet they have nothing to do with it" 11 and "They are the most evil of those killed beneath the canopy of the sky" 12 and "Glad tidings for the one who killed them" 13 and "If I was to reach them, I would slaughter them, like the slaughtering of Ād (a destroyed nation of the past)" 14 meaning, every last one of them until none of them remain. 15 The Prophet Muḥammad () also said, "They will not cease to emerge, being cut off each time, until the Anti-Christ (Dajjāl) appears amongst their armies" 16 and "They are the Dogs of Hellfire." 17 . The Companion, Abū Umāmah al-Bāhilī () said, "The Dogs of the people of Hellfire, they used to be Muslims but turned disbelievers." 18 Further, the Prophet commanded, "Wherever you meet them, kill them, for there is a reward on the Day of Judgement for whoever kills
4 Reported by al-Bukhārī (no. 5057).
5 Reported by al-Bukhārī (no. 5058) and Muslim (no. 2456).
6 Reported by al-Bukhārī (no. 5057).
7 Reported by Muslim (no. 2455).
8
Reported by al-Bukhārī (no. 5057).
9 Reported by Abū Dāwūd in al-Sunan (no. 4765).
10 Reported by Muslim (no. 2469).
11 Reported by Abū Dāwūd in al-Sunan (no. 4765).
12 Reported by Ibn Mājah (no. 176).
13 Reported by Abū Dāwūd in al-Sunan (no. 4765).
14 Reported by al-Bukhārī (no. 6995).
15
Ibn Ḥajar in Fatḥ al-Bārī (6/435).
16 Reported by Ibn Mājah (no. 176).
17 Reported by al-Lālikāʾī (8/1232).
18 Reported by Ibn Mājah (no. 176).
them." 19 For this reason, the Muslim leaders and scholars from the time of the fourth righteous Caliph ʿAlī bin Abī Ṭālib (), have never ceased to fight against the Khārijites and warn against them.
The Khārijites splintered into many sects and their word differed. Some of them fell into major innovated doctrines in other fields of Islāmic creed. Some of them denied the Prophetic Sunnah. Some of them declared Muslims apostates on account of all major sins, others only with respect to some major sins. However, what united the Khārijites in all their varying groups is that they considered the one who failed to judge by what Allāh revealed in an issue amongst the issues to be an apostate. Here they departed from the consensus of the Companions and the Muslim Scholars that not ruling by what Allāh revealed in an issue amongst the issues amounts to sin and not disbelief. Hence, their slogan became "The ḥukm (judgement) is for Allāh" and this remains the alluring slogan of every Khārijite until the later times when the Dajjāl (Anti-Christ) appears amongst their armies, as is authentically reported from the Messenger (). For this reason, ʿAlī bin Abī Ṭālib (), who was eventually assassinated by one of the Khārijites, stated about this slogan "A word of truth by which falsehood is intended."
Throughout Islāmic history - where circumstances have arisen and the environment has become fertile for their views to take shape - the Khārijites have appeared as factions separating from and opposing the main body of Muslims, contending against the rulers and proclaiming that the judgement is only for Allāh. The various hallmarks and traits mentioned about them by the Prophet () are very apparent within them: young, ignorant, foolish of mind and intellect, deluded, displaying tremendous outward piety coupled with beautified alluring speech, yet ignorant of the Qurʾān and its injunctions, revolting
19 Reported by al-Bukhārī (no. 6531).
against the authorities and judging the rulers and the ruled with apostasy, justifying the killing of Muslims and what is more.
The Origins of the Modern-Day Khārijites
The Khārijites who emerged in various Muslim lands in the 20th century trace back to the writings and doctrines of Sayyid Quṭb, an Egyptian who in his non-Islāmic days was a writer for the "Egyptian Crown" a newsletter of the Freemasons in Egypt. He was nurtured upon European materialist philosophies for 15 years of his life as noted by his biographer Ṣalāh al-Khālidī. Sayyid Quṭb fused his Communist, Socialist past with scant knowledge of Islām and after his role in the 1952 Socialist revolution which brought Jamāl Abd al-Nāsir to power and subsequently falling out with him he began articulating his extremist doctrines, writing about social justice and hākimiyyah. He negated the Islām of the first ruling dynasty (Banū Umayyah) and praised the revolution against ʿUthmān (). He explicitly declared all contemporary Muslim societies to be apostate societies in which nothing of Islām is left and that they had reverted to pre-Islāmic ignorance (jāhiliyyah).
Upon this vile, oppressive judgement, and the ideologies of social justice and ḥākimiyyah he penned Leninist style writings which called for worldwide revolutions (in Muslim lands), thereby reviving the ideology of the Khārijites in the 20th century. He was also influenced by another thinker, Abū Aʿlā Mawdūdī who had similar ideas about revolution. These writings gave birth to the extremist groups of takfīr (excommunication) who spread to various other Muslim lands over the next few decades. They distorted the concept of Jihād and other aspects of Islām to justify these extremist doctrines and began working sedition in Muslim lands behind slogans such as "the neglectd duty."
Khārijite Extremism and Terrorism is Directed Towards Alleged Apostate Muslims
The Khārijites who emerged as a result of the doctrines of Mawdūdī and Quṭb saw their greatest obligation to be the removal of the rulers whom they considered to be apostates. They also considered those who allied with the rulers or who did not support them (the Khārijites) to be apostates. As a result, numerous assassinations and coups were attempted by them in some of the Muslim lands (Saudi Arabia, Egypt, Syria in the 70s and 80s) and they were involved in mass killings (of whole villages in towns) in Algeria in the 90s, being driven by the verdicts of those who abandoned the Muslim lands and sought refuge in non-Muslim lands such as Abū Qatādah. 20 Al-Qaʿidah appeared after the Gulf war of 1991 with terrorist bombings in Muslim lands killing innocent Muslims alongside non-Muslims who had been granted guaranteed safety through covenant as workers in those lands.
More recently, factions of these Takfīrī Khārijites from other lands entered Syria when a revolution supported by Western powers for geopolitical objectives was stirred against the Nusayrī leader, Bashār al-Asad. These Takfīrīs have been given both direct and indirect tactical support by Western powers because toppling Bashār al-Asad is a strategic regional objective. Additionaly, In Irāq - due in part to a vaccum created by a lax, unmotivated and demoralized army - those originally affiliated with al-Qāʾidah managed to take control over its northern parts and announced their alleged "Islāmic State" after which barbarities surpassing those of the Azāriqah 21 manifested.
20 Abu Qatādah issued fatwas permitting the slaughter of the women and children of men who worked with the police force or similar government institutions in Egypt and Algeria on the basis that they are also apostates along with their husbands and fathers.
21 They are named after Nāfiʿ bin Azraq from the most extreme of the Khārijites. He would charge everyone who did not join him with apostasy,
Removal of a Doubt
The Takfīrī Khārijites are grieved that Western nations are meddling in Muslim lands only because this stands in the way of their own goals and designs which are to topple "apostate" governments in those lands and snatch the authority from. Had there not been a single American, British or European soldier in any of the Muslim lands today, these people would be killing and murdering alleged "apostates" (rulers and ruled) in the Muslim lands. This ideology was present a long time before the spread of terrorist activitites in the Western lands. Take Algeria in the 90s for example or Egypt in the 80s and Saudi Arabia in th late 70s. The Takīrī extremists declared the rulers and the scholars (by and large), and all government institutions and those working for such institutions in the various Muslim lands as apostates whose danger to Islām they consider greater than that of the non-Muslims. The greatest jihad in their eyes, with the greatest and would examine them for their views on the rulers. He slaughtered Muslim women and children mercilessly, even the mosques were not spared from his slaughter of Muslims therein. He was involved in much turmoil in the early period of Islām, having participated with his associates in the revolution against ʿUthmān ( ) - indicating that the Sabʾīyyah were the foundation of the Khārijites who appeared later in the time of ʿAlī ( ). He was killed in 65H. This indicates the connection between the Sabʾiyyah, the Rāfiḍah and the Khārijites. Today, Irān has given passage and residency to many operatives of al-Qāʿidah - a separate subject outside the scope of this article. This is because the activities of al-Qāʾidah and ISIS serve the interests of both the Zionists and the Shiʿah of Irān. Further, the ideological doctrines that gave birth to the Khārijite movements in the 20th century came from the writings of Sayyid Quṭb and Mawdūdi. Both had relations with key Shiʿah figures from Irān. In the case of Sayyid Qūṭb, he had dealings with Nawāb Ṣafawī and also al-Kāshānī. Mawdūdī was a close friend of al-Khomeinī. Both Quṭb and Mawdūdī reviled the Companions of the Prophet on issues pertaining to rulership and social justice. Both propounded the Communist, Marxist, Leninist revolutions in their writings. And both were revered and honoured by the Shiʿah state of Irān.
priority, is to fight and kill these "apostates" and cleanse the land from them. However, Western geo-political objectives in these lands have derailed the agenda of these extremist Kharijites, and they have been forced to addess these non-Muslim interventions only so that they can continue with their more important objective, referred to by them as "the greater obligation" and "the neglected duty."
The point to be taken from this is that one must not be deceived by the rhetoric of these people regarding the injustice in the foreign policy of Western nations. If there was not a single non-Muslim military intervention in any Muslim country, it would be the doctrines, ideas and activities of these extremists that would be killing innocent men, women (and children) in the Muslim lands.
Muslim Scholars on the Sharīʿah Ruling on the Khārijites
Imām al-Ājurrī (d. 360H) (), one of the great Muslim scholars wrote a book called "al-Sharīʿah," in which he first spoke about the Khārijites. He stated,"The Scholars of both the past and modern times have not differed over the Khārijites being an evil people, disobedient to Allāh, the Exalted and His Messenger (), even if they prayed, fasted and strove in worship. None of that will be of benefit to them. Yes, they proclaim the enjoining of good and prohibition of evil, but that is of no benefit to them (either) because they are people who distort the Qurʾān upon what they desire, and they deceive the Muslims. And Allāh, the Exalted, warned us against them [in the Qurʾān], the Prophet () warned us aginst them, after him, the Rightly-guided Caliphs warned us against them. The Companions () and whoever followed them in goodness warned us against them, The Khārijites are filthy, despicable, rebellious ones, and (likewise) whoever is upon their way from all of the (factions of the) Khārijites. They have inherited this doctrine in both the past and the modern era from each other, in a successive manner. They revolt
against the leaders and rulers and they declare the killing of Muslims to be lawful." 22
And al-Ājurrī () also said, "It is not permissible for the one who sees the uprising of a khārijite who has revolted against the leader, whether [the leader] is just or oppressive, so this person has revolted and gathered a group behind him, has pulled out his sword and has made lawful the killing of Muslims, it is not fitting for the one who sees this, that he becomes deceived by this person's recitation of the Qurʾān, the length of his standing in prayer, nor his constant fasting, nor his good and excellent words in knowledge when it is clear to him that this person's way and methodology is that of the Khārijites." 23
Ibn Ḥazm al-Andalūsī (d. 456H) () said, "And they do not cease striving in overturning the orderly affairs of the Muslims (into chaos) and splitting the word of the believers. They draw the sword against the people of religion and strive upon the earth as corrupters. As for the Khārijites and Shiʿah, their affair in this regard is more famous than that one should be burdened in mentioning it." 24
Shaykh al-Islām Ibn Taymiyyah (d. 728H) () speaks of the way of the Muslims in fighting and killing the Khārijites due to the legislative command in that regard. He said, "And the way of the Muslims has never ceased upon this (methodology) [of fighting and killing the Khārijites], though they did not declare them (the Khārijites) to be apostates like those whom [Abu Bakr] al-Ṣiddīq () fought against. And this is despite the command of the Messenger of Allāh () to fight against them, as occurs in the authentic ḥadīths, and also despite what has been reported about them in the ḥadīth of Abū Umāmah, collected by at-Tirmidhī and others that they are "The
22 Al-Sharīʿah (Muʾassasat al-Qurṭubah, 1417H, pp. 1/136-137).
23 Ibid. (1/145).
24 Al-Faṣl Fil-Milal al-Ahwāʾ wal-Niḥal (5/98).
most evil of those who are killed under the sky and how excellent is the one killed by them." Meaning that they are more harmful to the Muslims than others, for there are none which are more harmful to the Muslims than them, neither the Jews and nor the Christians. For they strived to kill every Muslim who did not agree with their view, declaring the blood of the Muslims, their wealth, and the slaying of their children to be lawful, while making takfīr of them. And they considered this to be worship, due to their ignorance and their innovation that caused to stray…" 25
Ibn Taymiyyah () also said, "Ahl al-Sunnah (orthodox Sunnī Muslims) are agreed that they (the Khārijites) are astray innovators, that it is obligatory to fight them on the authority of authentic texts and that from the most virtuous of the actions of the Chief of the Believers, ʿAlī () was fighting against the Khārijites and the Companions concurred (with him) upon fighting them." 26
Some Scholars Considered the Khārijites to be Apostates
It is the view of some of the Muslim scholars past and present (such as Imām ʿAbd al-ʿAzīz Ibn Bāz) that the Khārijites are apostates, disbelievers, who are outside the fold of Islām because the Prophet Muḥammad () said that they exit from Islām like an arrow leaves the bow. Ibn Taymiyyah said, citing this view of those Muslim Scholars, "The second (view): That they (the Khārijites) are disbelievers, apostates (from Islām), it is permissible to initiate fighting against them, to kill their captives and pursue those who flee..." 27
25 Minhāj us-Sunnah (5/248).
26 Minhāj al-Sunnah (6/116).
27 Majmūʿ al-Fatāwā (28/518).
It is Criminal and Unjust to Ascribe the Khārijites and their Actions to the Religion of Islām
In light of what has preceded, it is criminal, unjust and academically fraudulent to ascribe the actions of the Khārijites to Islām and to malign Islām and the Muslims on this basis. 28 The Companions of Muḥammad applied the following verse to them, to indicate that their actions in this life are misguided despite them thinking they are doing good and that their efforts will be lost in this life, before the next:
ﮓ ﮔ ﮕ ﮖ ﮗ ﮘ ﮙ ﮚ
ﭽﮓ ﮔ ﮕ ﮖ ﮗ ﮘ ﮙ ﮚﮛ ﮜ ﮝ
Say: "Shall we [believers] inform you of the greatest losers as to [their] deeds? [They are] those whose effort is lost in worldly life, while they think that they are doing well in work." (18:103-104) 29
28 Rather, it is the credible view of many Islāmic Scholars today that these extremist groups are supported by those who harbour enmity towards Islām in order disfigure the picture of Islām and to fulfil geopolitical goals for which these Khārijites are merely pawns. The Khārijites consider Muslims whom they charge with apostasy to be worse than non-Muslims and more worthy of killing. It makes no sense for Muslim governments to support these people who have made clear their desire to march upon other Muslim countries for their "liberration." Some of them have explicitly stated their desire to strike the neck of the great Sunnī, Salafī Scholars of today such as Shaykh Ṣāliḥ al-Fawzān and to "liberate" Makkāh and Madīnah.
29 ʿAlī bin Abī Ṭālib () said regarding this verse, "Amongst them are the people of Ḥarūrāʾ (meaning the Khārijites)" as related by ʿAbdullāh bin Imām Aḥmad in al-Sunnah, and Ibn Abī Ḥātim in his Tafsīr.
Summary
The Khārijites are a sect whose appearance was foretold by the Prophet Muḥammad (). They will continue to appear in every century, being cut off each time, until the Anti-Christ (Dajjāl) appears amongst their armies prior to the return and descent of Jesus (). Hence, the Muslims will be continuously put to trial by the Khārijites, their evil doctrines and destructive activities which are only of benefit to those with enimity and hostility to Islām. In reality, they are a tool of destabilization of Muslim lands and are of great tactical use for the fulfilment of geopolitical agendas. It is great injustice therefore that their alien ideology and corrupt activity is ascribed to the Sharīʿah of Islām, the same Sharīʿah which has passed judgement upon them with departure from Islām and being from the most evil of creation whose slaughtering the Prophet of Islām () himself would have embarked upon had he reached them. This establishes the lack of honesty and evil intent of the pretentious pseudo-Scholar Islamophobes who make a career out of hatemongering based upon lies and distortions. We encourage objective, fair-minded non-Muslims look beyond the multiple layers of distortion thrust upon their eyes and into their ears, since these Islamophobes are well-funded, active and prominent in all forms of media and serve agendas in which they and the Khārijites are [willing or unwilling] co-agents.
Written by Abū ʿIyaaḍ 3rd Dhul-Qaʿdah 1435H / 29th August 2014CE Version 1.0
Refer also to: http://IslamAgainstExtremism.Com http://Takfiris.Com
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Preface
In February 1995, the Greek Government announced its National Action Programme for Climate Change, whose aim was the achievement of a 10% reduction in the expected national emissions of CO2 over the next 5 years. This effort was undertaken in the scope of the obligation of the Framework Convention for Climate Change and in the spirit of the Rio Earth Summit as regards the seriousness of the danger and the urgent need of world-wide action.
In the intervening two years, the implementation of this Programme has started and already the trajectory of emissions levels is solidly within the bounds set in the Programme.
A lot of work remains to be accomplished in adhering to the final Programme but we remain confident that it will be reached. This becomes especially important given the desire of Greece to proceed with even larger reduction efforts in view of recent climatic indications of the urgency for action and the emerging consensus expressed in the Berlin mandate for the additional policies and measures in the time period past 2000.
June 1997
Theodoros Koliopanos
Deputy Minister for the Environment, Physical Planning and Public Works
TABLE OF CONTENTS
0. EXECUTIVE SUMMARY ___________________________________v
4. SUMMARY PRESENTATION OF THE NATIONAL ACTION
LIST OF FIGURES
ABBREVIATIONS
0. EXECUTIVE SUMMARY
This report constitutes the 2 nd National Communication of Greece to the United Nations Framework Convention on Climate Change.
0.1. National conditions
0.1.1. General
Greece has a total area of 13,195,740 ha and is located at the southern part of the Balkan region. It is divided into 52 counties that in turn are grouped into 13 administrative regions. Greece is primarily a mountainous country. Agricultural land covers 30% of the total land, while urban areas, industrial areas and internal waterways represent only 8% of the total.
0.1.2. Population
The total population of the country is approximately 10.35 million inhabitants, presenting an increase of 6.5% during the last decade. Urban centres concentrate around 60% of the total population, half of which lives at the greater Athens area. The active population represents 38% of the total, while unemployment is reported to around 10%.
0.1.3. Finances
Greece is one of the four cohesion countries of the European Union with an estimated gross domestic product in 1996 of 29,576 billion GRD or 122.9 billion USD (exchange rate: 1 USD = 240.7 GRD). Currently, it has a rate of inflation of 5.4%, which is declining, a general government deficit-to GDP ratio of 7.4%, which is also declining, and an outstanding general government debt-to GDP ratio of 111.8%. Economic policy focuses on meeting the convergence criteria for joining the European Monetary Union by 2001.
0.1.4. The Energy system in Greece
0.1.4.1. Energy supply
The total energy supply in Greece has been continuously increasing, reaching a total of approximately 23.7 Mtoe in 1995. Despite this general rapid increase, however, the average annual growth rate in the first five years of the 90s was reduced to approximately 1.4% per year, compared to 3.3% in the 80s. Although the energy system relies heavily on the use of petroleum products, their relative contribution to the energy system has fallen from 72.5% in 1980 to 60% in 1995, because of a gradual increase in the use of indigenous brown coal (lignite). The partial replacement of oil by lignite had a marked effect on the import dependency of energy, which dropped from 85.6% in 1980 to 78.1% in 1995.
Renewable energies currently cover approximately 5% of the total energy supply, but - apart from large hydropower and solar power - they have not been exploited to their full potential (less than 0.2% of total energy supply in 1995). Natural gas similarly covers approximately 0.2% of the total energy supply, although this
situation will rapidly change after the summer of 1997 when the first natural gas power station is expected to operate.
The electricity generation system in Greece consists of thermal and hydroelectric units, as well as a very small percentage of other renewables. The percentage contribution of coal products, and more specifically lignite, has steadily increased since 1980, because of the commissioning of 3,663 MW of lignite-fired power stations from 1980-1989. In 1995, the installed capacity of the Public Power Corporation (PPC) generating system was 9,198 MW. Electricity generation has been steadily increasing at an average annual rate of approximately 3.5% in the 1990-1995 period, reaching 42.3 TWh in 1995. Of that, 68% and 21% came from the combustion of coal and petroleum products, respectively, 9% from hydropower and 2% from gas and imports.
0.1.4.2. Energy use
Final energy demand in Greece in 1995 totalled 14.4 Mtoe, of which 26% was used in industry, 44% for transportation and 30% by the domestic and tertiary sector. In the 1970-1995 period, the only sector that has reduced its energy demand is the industrial sector that has been mostly affected by the energy crises of the last two decades and the recession of the last 5 years. The other two sectors have increased their energy use, thus resulting in a total increase of 36.5% between 1980 and 1995.
In industry, during the 1980-1995 period, there was a gradual replacement of petroleum products by coal products, a trend almost solely attributable to the increased use of steam coal by the cement industry. In 1995, oil products accounted for approximately 50% of the total energy needs of the sector compared to 69% in 1980. Electricity consumption has steadily increased in the last two decades, representing 27% of the total energy use of the sector in 1995.
Regarding the domestic and tertiary sector, the improving standards of living resulted in higher levels of heating and recently of cooling, while the increase in the number of dwelling units in a rise in the ownership of home electric appliances. Energy demand for ventilation, lighting and other office equipment in the tertiary sector has also increased. However, there is a number of factors helping to reduce the rate of increase in energy consumption (e.g. installation of thermal insulation in private residences and apartment buildings, installation of solar water heating units in residences and hotels, the installation of double glazing in new and in some cases in older buildings, replacement or modernisation of older electric and heating appliances etc.). The general upward trend of the energy demand is mostly the result of an increased demand for electricity (37% of the total energy consumption in 1995, compared to 26% in 1980) and to a smaller extent of petroleum products. At the same time, the relative contribution of solid fuels and biomass is decreasing.
In the transportation sector, energy use has almost doubled during the 1980-1995 period, increasing at a growth rate slightly larger than either of the other two economic sectors. Oil products accounted for 99.7% of the final energy use, while electricity and coal accounted for the remaining 0.3%. The energy use is mainly gasoline consumption by automobiles, while other uses include diesel oil for trucking, maritime transport and railroads, jet fuel for aircraft and smaller amounts
of LPG and diesel oil used by taxis. Steam coal is solely used by railroads, while electricity covers the needs of the electric buses (trolleys) that operate in the central Athens area.
0.2. Emissions of greenhouse and other gases
The emissions estimates reported here were calculated using the IPCC Guidelines for National Greenhouse Gas Inventories to ensure inventory consistency and comparability across sectors with other nations. An overview of the emissions of the greenhouse gases for the years 1990 to 1995 are presented in Table 0-1.
Table 0-1 Greenhouse and other gases emissions (in Kt) for the period 1990-1995
† Provisional figures
Following the FCCC guidelines for the preparation of national communications, emissions from international air transport and marine bunkers have not been included in the national totals and are reported separately in Table 0-2. Emissions from these activities arise from the use of diesel and fuel oil by marine vessels and jet fuel by airline carriers. Furthermore, CO2 emissions from the use of biomass are not included in the national totals.
Table 0-2: Emissions (in Kt) from the use of bunker fuels for the period 1990-1995
† Provisional figures
Since 1990, overall greenhouse gases emissions have increased by approximately 4.6%, and it is estimated that the equivalent increase in 1995 was about 6.1%. Carbon dioxide emissions account for the majority of these emissions (Figure 0.1), since they were responsible for approximately 86% of the total emissions in Greece, while methane and nitrous oxide accounted for 9% and 5%, respectively.
Carbon dioxide. Combustion of fossil fuel accounts for 92% of total CO2 emissions, while the remaining 8% result from cement and lime production and the incineration of solid waste. Energy related activities include the generation of electricity, the industry sector, heating in commercial, domestic and public buildings and fossil fuels consumption in automobiles and other vehicles.
Methane. The agricultural sector (enteric fermentation in domestic livestock and manure management) is the largest anthropogenic source of methane emissions in Greece, accounting for approximately 61% of total in 1995. Landfills and wastewater treatment are the second largest anthropogenic sources of methane emissions accounting for approximately 25% of total. Fuel combustion, coal mining, the production and processing of natural gas and oil, accounted for the remaining 14% of the national total.
Nitrous oxide. While actual emissions of nitrous oxide are much smaller than carbon dioxide emissions, N2O is approximately 270 times more effective than carbon dioxide at trapping heat in the atmosphere over a 100-year time horizon. The major sources of N2O emissions are fertiliser use (49%), fossil fuel combustion(39%) and production of nitric acid (12%).
Other gases. Carbon monoxide (CO), oxides of nitrogen (NOx) and non-methane volatile compounds (NMVOCs) are important for their role as precursors of tropospheric ozone. In this role, they contribute to ozone formation and alter the atmospheric lifetimes of other greenhouse gases. These gases are generated through a variety of anthropogenic activities, including fossil fuel combustion, solid waste incineration, oil and gas production and processing, industrial processes and solvent use and agricultural crop waste burning. Their respective emissions have remained relatively constant from 1990 to 1995.
0.3. The National Action Plan
Based on projections for the year 2000, in Greece, a "business-as-usual" course of events (in the absence, in other words, of abatement measures) would lead to an increase in emissions in the order of 27% or 22 million tonnes CO2 by the year 2000 (increase from 82 to 104 million tonnes). After an exhaustive study of the technology options available and realistic timetables and penetration targets, as well as the specific development programmes that have been elaborated for the energy (Public Power Corporation, Public Gas Corporation, etc.), transport, residential sector etc., the Greek government has accepted as a realistic objective for its national programme the restriction of the total increase in CO2 emissions during the 1990-2000 period to 15%±3% (or 12.4 million tonnes). The detailed study of Greece's specific problems revealed that, by exclusively technological criteria, it would be theoretically possible to achieve a much greater abatement of CO2 and other gas emissions. In practical terms, however, this was not easy because of the limited time available, restricted financial resources, inflexibility of the production system and consumer inertia.
The Greek National Action Plan for the reduction of CO2 and other greenhouse gases was elaborated under the responsibility and supervision of the Ministry for the Environment, Physical Planning and Public Works, in collaboration with the Ministry for Development. Other competent Ministries, bodies of the wider public sector and experts from the private sector participated in the elaboration of the Plan. Abatement measures included refer to supply-side, as well as demand-side interventions. Regarding the former, the most important measures concern the sector of electricity generation and are the introduction of natural gas, the
modernisation of the existing system, the development of cogeneration units in existing and planned power stations and the large-scale exploitation of renewable energy sources. Demand-side interventions are focused primarily on the introduction of natural gas in the industrial, tertiary and residential sector, energy conservation measures in buildings and manufacturing units - especially the ones with a high energy consumption - as well as measures affecting energy consumption in the transport sector.
Finally, the Plan comprises a range of measures for the management of biological resources, namely support for the utilisation of agricultural by-products, protection of soils from erosion, control of forest resources, rational use of farmlands and acceleration of the reforestation programme.
0.4. Progress of implementation of national policies and measures
0.4.1. Progress in legal and fiscal instruments
Among the various existing policy instruments for the reduction of greenhouse gases, particular emphasis should be paid to the recent law for the exploitation of RES in electricity generation and the promotion of cogeneration, the Operational Programme for Energy (OPE) developed by the Ministry of Development and cofinanced by the new Community Support Framework and the up-coming legislative framework for energy conservation in the building sector. These three instruments, together with the ones already available, are expected to change significantly the energy profile of the country up to the year 2000, taking also into account the future penetration of natural gas.
Law 2244 on electricity generation came in effect in 1994 and eliminated the major drawbacks of the previous legislative framework, which was not successful in attracting investors in the exploitation of renewable energy sources. This new legislation makes available favourable electricity tariffs to self-producers and independent producers of electricity and combined electricity/heat. These tariffs are particularly advantageous in autonomous island grids, where the potential of renewables such as wind is significant. Furthermore, the law extends cogeneration investment opportunities to manufacturing units and enterprises of the tertiary sector. It should be noted that since the introduction of this law, a large number of projects was submitted for approval, while in many cases the capacity of RES installations proposed exceeds by far maximum penetration limits set mainly for safety reasons in the independent grid.
The Operational Programme for Energy (OPE) of the Ministry for Development has a total budget of 946 MECU, out of which 37.5% derive from the European Fund for Regional Development, 29.5% from national public funds and 33% from private funds. OPE covers the time period 1994-1999 and comprises four subprogrammes. Sub-Programme 1 (total budget: 350 MECU) concerns electricity generation facilities construction and upgrading of the Public Power Corporation. Sub-Programme 2 (total budget : 375 MECU) supports energy conservation, mainly in industry and tertiary sector. Sub-Programme 3 (total budget : 191 MECU) concerns actions in the field of renewable energies, while Sub-Programme
4 (total budget : 30 MECU) supports the systematic research and investigation of the possibilities for the exploitation of mineral resources. The total annual energy conservation gained by the implementation of the programme is estimated at 700 Ktoe. After the first call for proposals, 57 projects have been approved, out of which 31 refer to energy conservation/cogeneration/substitution of conventional fuels by natural gas (total budget : 17.2 billion GRD), while the rest 26 refer to the renewable energies' exploitation (total budget : 22.7 billion GRD).
The third important instrument towards energy conservation in the building sector is the Action Plan "Energy 2001" developed by the Ministry for the Environment, Physical Planning and Public Works. The plan includes measures for the promotion of RES use and energy conservation in existing and new buildings. The programme will come into force in September 1997 through the issuance of a Common Ministerial Decision (Ministry for the Environment, Physical Planning and Public Works/Ministry for Development/Ministry for National Economy/ Ministry for the Interior) and is in accordance with the provisions of the SAVE Directive (93/76/EC) on the "stabilisation of carbon dioxide emissions and the efficient energy use in buildings", and the subsequent specification of subsidies for the whole building sector. The system is expected to be in full operation in 1998.
0.4.2. Progress in implementation of actions
In the energy sector, the reduction of greenhouse emissions will be achieved through both supply and demand side measures. The progress of implementation of the various measures for the reduction of greenhouse gases emissions is summarised in Table 0-3.
In the supply side, the major intervention is the introduction of natural gas to the Greek energy system, at first in the electricity generation sector and large industrial units and next - by slower rates - in the residential and commercial sectors. The construction of the main transmission pipeline was completed in July 1995, while the construction of secondary pipelines is progressing. The supply of natural gas to the first PPC gas-fired power station will begin in the summer of 1997, while the second part of the pipeline that will supply natural gas to two more power stations at South Attica is scheduled to be completed in the spring of 1998. Furthermore, another natural gas fired station in Northern Greece is expected to come on-line by the year 2001. In the industrial sector, the Public Gas Corporation has already formulated a pricing policy and the general terms of gas supply to industrial customers and is aggressively pursuing contracts with the industrial customers. Nine contracts have already been signed for sale of more than 0.3 billion Nm 3 /yr and a few large industrial units are already connected to the distribution network, while negotiations with other industries are in progress. City networks are presently under construction and will be completed by the year 2000.
Furthermore, improvements in the conventional power generation system are in progress and comprise of efficiency improvements in lignite-fired power stations, limitation of distribution losses and development of cogeneration units, combined with district heating installations for space-heating purposes in the nearest towns. Up to now, two district heating networks have been developed, while two more are planned to be constructed in the next few years.
Table 0-3: Greenhouse gases abatement measures in the energy sector
| Measures | Status in 1995 Degree of Administrative implementation planning | Status in 1997 Degree of Administrative implementation planning |
|---|---|---|
| PENETRATION OF NATURAL GAS | | |
| Electricity generation | Starting I | In progress I |
| Industry | Starting PD | In progress D |
| Residences - Commerce - Services | Starting PD | In progress D |
| IMPROVEMENTS IN THE CONVENTIONAL POWER GENERATION SYSTEM | | |
| Efficiency improvements Limitation of distribution losses | In progress PD | In progress PD |
| Combined Heat and Power Systems | In progress PD | In progress PD |
| RENEWABLE ENERGY SOURCES | | |
| Wind energy (300 MW) | In progress D PD | In progress D D |
| Small hydroelectric Works (34 MW) | In progress I | In progress I |
| Solar systems : • conventional systems • new technology systems | In progress PD Under P elaboration | In progress I Starting D |
| Geothermal Energy | In progress PD | In progress D |
| Biomass : • District heating (50 MWth) • Electricity generation (80 MWe) • Biofuels (50 kt/y | In progress PD Under PD elaboration Under PD elaboration | In progress I Starting I Under PD elaboration |
| Research & Development | Under P elaboration | Starting D |
| ENERGY EFFICIENCY IMPROVEMENTS IN INDUSTRY | | |
| Cogeneration | In progress PD | In progress D |
| Improvements in auxiliary operations | In progress P | In progress D |
| Interventions in energy intensive sectors | In progress P | In progress D |
| Environmental Energy Listings | Under P elaboration | Under P elaboration |
| INTERVENTIONS IN THE DOMESTIC AND TERTIARY SECTORS | | |
| Cogeneration | Under P elaboration | Starting D |
| Lighting | Under P elaboration | Starting I/D |
| Road-lighting | In progress P | In progress P |
| Central boiler maintenance | In progress P | In progress P |
| INTERVENTIONS IN THE TRANSPORTATION SECTOR | | |
| Fuel-related interventions | In progress PD | In progress PD |
| Vehicle-related interventions | In progress PD | In progress PD |
| Interventions in the transport system | In progress PD | In progress I/D |
| Interventions in Public Transports | In progress PD | In progress I/D |
Administrative planning :
I: Under implementation,
D: Decided,
PD: Planned/Pending Decision, P: Proposed
As regards exploitation of Renewable Energy Sources (RES), significant progress has been made and 47 investment projects have been within the framework of the Operational Programme for Energy (OPE), the law 2244/94 and the development law 1892/90. Projects submitted refer mainly to the exploitation of wind, small hydroelectric works and use of agricultural by-products for the substitution of liquid fuels in manufacturing units.
Interventions concerning energy conservation in industry and tertiary sector are also in progress. Within the existing policy framework, 27 projects have been approved, while the implementation of the Action Plan "Energy 2001", mentioned before, will greatly stimulate investments in this field and is expected to change substantially the consumers' behaviour on energy issues.
The reduction of greenhouse gases in the transport sector is expected to be achieved through indirect measures, namely the improvement of the existing road network and traffic conditions in large urban centres. Major transport works, already under construction, will significantly reduce the distance between major cities and ports and consequently the required energy consumption and resulting carbon dioxide emissions. Further improvement in the public transports sector is expected by the construction of the two additional metro lines in the town of Athens, work which is in progress. The extension of the metro network will be completed by the year 2001 and it is expected that a significant shift from the use of private cars towards public transport means will be achieved. Additional measures improving traffic conditions in the two largest towns in Greece (Athens and Thessaloniki) are in progress within the framework of two Action Plans, "Attica SOS" and "Thessaloniki SOS" developed by the Ministry for the Environment, Physical Planning and Public Works.
In the forestry sector, the reduction of greenhouse gases emissions and the sequestration of CO2 progresses with much slower rates. Measures are mainly focused on reforestation and control of fires, while there has been also some progress on the protection of soils from erosion. The implementation of the EU Directive 91/676 on the reduction of nitrogen pollution of underground and surface waters will reduce the use of nitrous fertilisers and consequently the emissions of N2O. The progress of implementation of the various measures for the reduction of greenhouse gases emissions are summarised in Table 0-4.
Table 0-4: Greenhouse gases abatement measures in forestry
| Measures | Status in 1995 Degree of Administrative implementation planning | Status in 1997 Degree of Administrative implementation planning |
|---|---|---|
| Acceleration of Reforestation programmes | In progress PD | In progress D |
| Reinforcement of the Forest Resource Control Programme | In progress PD | In progress D |
| Protection of soils from erosion | In progress PD | In progress PD |
| Study on the rational use of forest resources | Starting PD | Starting PD |
| Rational use of farmlands | Starting PD | Starting PD |
| Support for the utilisation of agricultural by-products | In progress PD | In progress PD |
| Support for the promotion of energy cultivations | Under elaboration P | Under P elaboration |
| «The role of forests and agriculture in the CO balance» 2 | Under elaboration P | Under P elaboration |
Administrative planning : I: Under implementation,
D: Decided,
PD: Planned/Pending Decision, P: Proposed
0.5. Emissions projections
For the period 1991-1995, CO2 emissions are within the limits set by the National Action Plan. In 1995, the cumulative increase compared to the 1990 levels, was estimated at 7% against 8.6% and 5.8% for the pessimistic and optimistic scenarios, respectively. Provided that the implementation process of the National Action Plan follows closely the time schedule set for the period 1997-2000, for all sectors concerned, the final increase is expected to be approximately 16% compared to 1990 levels, a level well within the target set by the Greek government, which was 15% ± 3%.
For the period after 2000, the Greek Government has reaffirmed its desire to continue its efforts to curtail further greenhouse emissions. Having considered that the adopted targets should be demonstrably reachable from the financial-technical point of view, acceptable socially and in step with overall national constraints and international obligations, the Greek Government stated its intention to restrict the national increases of CO2 emissions between 2000 and 2010 to a level of 13%. The major instruments to be applied towards this goal include:
a) increased use of natural gas in electricity generation,
b) modification of existing power plants to include topping cycles and introduction of new clean coal technologies,
c) energy conservation measures in the transport sector,
d) increased energy conservation in the building sector, and
e) continuing emphasis on renewable energy sources utilisation.
1. INTRODUCTION
1.1. General
The United Nations Framework Convention on Climate Change (FCCC), established as a target for the industrialised/developed countries of the world the return of greenhouse gases emissions by the year 2000 at 1990 levels. Greece, a member state of the EU, in the context of fulfilling this requirement jointly by the EU as a whole, has - bearing in mind its economic and social capabilities and needs - put into effect a National Action Plan aiming at restricting the increase of carbon dioxide emissions to 15%±3% by the year 2000 compared to 1990 levels.
The Greek National Action Plan for the abatement of CO2 and other greenhouse gases emissions was approved by the Greek Government in February 1995 and subsequently submitted as the 1 st National communication to the FCCC. The National Action Plan constitutes a programme focusing on the implementation of a number of policies and measures that are expected to curtail the forecast CO2 emissions in Greece. These policies and measures cover a wide range of anthropogenic sources/sinks of greenhouse gases.
This report has been prepared in fulfilment of the obligations under the provisions of the FCCC that request the submission of a 2 nd National Communication, which provides a full account of the progress in implementing national policies and measured and their expected results by the year 2000.
The report was elaborated under the responsibility and supervision of the Ministry for the Environment, Physical Planning and Public Works in collaboration primarily with the Ministry for Development. In addition, other competent Ministries (Ministry of Internal Affairs, Ministry of Foreign Affairs, Ministry of National Economy, Ministry of Finance, Ministry of Agriculture, Ministry of Merchant Marine, Ministry of Transportation) and organisations in the public sector (Public Power Corporation, Public Natural Gas Corporation) participated in the preparation of the report. The scientific support was provided by the National Observatory of Athens.
1.2. Structure of the report
This report consists of 8 chapters. Chapter 2 gives general background information related to national circumstances and past trends of the energy supply and demand. Chapter 3 presents emission estimates for greenhouse and other gases for the years 1990-1995. Chapter 4 gives a brief description of the National Action Plan. Chapter 5 offers an analytical description of the current status of implementation of the policies and measures defined in the National Action Plan. Chapters 6 and 7 provide information on adaptation measures and on education, information, and public awareness. Finally, chapter 8 gives an overview of emission projections up to and beyond the year 2000.
2. NATIONAL CONDITIONS
This chapter includes a short description of the geographical, population, and economic profiles of Greece. In addition, the basic elements constituting the actual energy profile of the country are presented, together with a brief analysis of the past trends in energy supply and especially demand.
2.1. General
Greece has a total area of 13,195,740 ha and occupies the southernmost extension of the Balkan peninsula. It is divided into 52 counties, which in turn are grouped into 13 administrative regions, the boundaries of which are shown in Figure 2.1.
As shown in Figure 2.2, approximately, 26% of the total area of Greece is covered by forests of coniferous and broadleaf trees. Important conifers are fir, black pine, Aleppo and Brutia pines, Scots pine, and spruce, and of the broadleaves there are various species of deciduous oaks and beech especially in the north [23], [24]. Partly-forested areas and grasslands cover 4.6 Mha (or 35%), mostly used for grazing by sheep, goats and cattle. Agricultural land occupies about 31% of the
total area while other uses - including urban areas, industrial areas and internal waterways - make up the remaining 8%.
The Greek landscape, with its islands occupying a fifth of its territory and its mainland coastline exceeding 1400 km in length, is closely linked with the sea, since only a small region in the Northwest is further than 80 km from the sea. Approximately 25% of it is lowland, particularly the coastal plains along the Aegean sea and the valleys and small plains that lie near the river mouths.
2.2. Population
The total population of the country is approximately 10.35 million inhabitants and the population density is 78 inhabitants per km 2 . Currently, the annual growth rate is approximately 0.9/1000 inhabitants. During the period 1981-1993, the total population increased by 6.5%.
Urban centres concentrate approximately 60% of the total population, while approximately 50% of that lives in the Greater Athens area. The active population represents 38% of the total, while unemployment is reported to be around 10%.
2.3. Finances
Greece is one of the four cohesion countries of the European Union with an estimated gross domestic product in 1996 of 29,576 billion GRD or 122.9 billion USD (exchange rate: 1 USD = 240.7 GRD). Currently, it has a rate of inflation of 5.4% (May 1997), which is declining, a general government deficit-to GDP ratio of 7.4% (in 1996), which is also declining, and an outstanding general government debt-to GDP ratio of 111.8% (in 1996).
Economic policy focuses on meeting the convergence criteria for joining the European Monetary Union. It is the aim of the Greek government to join the
monetary union by 2001 at the latest, one year before the common currency, Euro, is introduced in physical form and stage III of the unification is completed.
2.3.1. Development of the Gross Domestic Product
Although the annual growth of the GDP is much higher than that of the population, Greece is still one of the countries with the smallest GDP per capita in the EU. The annual rate of increase of the GDP during the time period 1970-1980 was approximately 5%, while it has dropped to 2% during 1981-1994 (calculated in 1970 prices) [21] , but since then it has started to increase gradually reaching 2.6% in 1996. The contribution of primary, secondary and tertiary sectors to the total GDP is shown in Figure 2.3. The tertiary sector represented 59.4% of the total GDP in 1994 (53% in 1980), while during 1980-1994 the contribution of primary and secondary sector has dropped (12.4% in 1994 versus 14.5% in 1980 and 28% in 1993 versus 32.5% in 1980 respectively).
GDP (million GRD, 1970 prices)
The annual rate of change in agriculture, industry and construction recorded during 1970-1980 (2.5%, 6.1% and 1.4% respectively) was significantly decreased during 1980-1994 (0.5%, -0.3% and 0.3% respectively). During the same time period, electricity/gas/water supply, transport/communications, residence/ insurance, rest services and mining follow an annual rate of increase higher than that of the total GDP (Figure 2.4). It should be noted that "rest services" include public administration, defence, health, education and miscellaneous services.
2.3.2. Agriculture and forestry
The total agricultural area in Greece is approximately 3.9 million ha, more than half of which is on relatively steep slopes where cultivation is carried out without protection against soil erosion. No significant changes took place during the last decade [20], regarding the cultivated, irrigated and fallow land (Figure 2.5). In 1994, irrigated land represented about 38% of the total cultivated land and more than 70% of the cultivated land suitable for irrigation.
In terms of acreage, the most important crops of the country are field crops (65%), horticulture (22%) and industrial crops (13%). Modest amounts of N-fertilisers are used in Greek agriculture and rates vary with the type of crop (field crops: 50-240 kg N/ha, vegetables: 200-400 kg N/ha and industrial crops: 80-160 kg N/ha).
During the decade 1980-1990 the total amount of N-fertilisers applied to crops was 400,000 tonnes of N.
Agriculture involves approximately 25% of the total active population of the country. The GDP from agriculture remained almost stable during the last decade, and private investment in the sector is decreasing. Among the major problems of the Greek agriculture are land fragmentation into small and scattered fields and high production costs.
In 1994, livestock population comprised approximately 16 million animals (cattle : 4%, sheep: 54%, goats : 33%, horses/mules/ashes : 1%, pigs : 8%) and 40 million laying hens and other poultry.
Closed forests cover less than 25% of the area of the country, a relatively small percentage considering that more than 70% of the land in Greece is mountainous and hilly. Sparsely forested steep slopes are overgrazed by goats and sheep inducing serious problems of soil erosion and landslides. Extensive forest fires and low rates of planting also contribute to soil erosion and desertification.
2.3.3. Industry
"Major Industry" (i.e. industries with more than 10 employees) comprises approximately 8,100 manufacturing units with around 290,000 employees (average size : 36 employees per unit). Between 1980 and 1992, the number of industries and handicrafts decreased by 2%, while the number of employees decreased by 18%. The average size was 42.4 employees per unit in 1980. The majority of industrial units are located in the prefectures of Athens and Thessaloniki.
Between the years 1980 and 1992, the contribution of industry to the total GDP dropped from 21.3% to 16.8% (calculated on 1970 prices). During 1970-1980, the gross domestic product from industry increased by a higher rate than that of the total GDP, mainly because of the influence of the high investments carried out during the sixties. Since then, investments in the sector present a decreasing trend. Investments decreased up to 1985, increased up to 1989 and then decreased again. Between 1991 and 1994, the annual rate of increase of the GDP in industry was negative.
During the eighties, industrial sectors presenting a higher annual rate of increase of GDP than that of the total GDP were primary metal, plastic/rubber, chemicals, petroleum/coal products, fabricated metal products, food/beverage and paper/pulp, while non-mineral products, clothing and wood/furniture lost their comparative advantages [16] .
An indicative distribution of the number of industrial units between the various product sectors is shown in Figure 2.6.
Figure 2.6: Structure of major industry
Food
Beverage
Tobacco
Textile
Clothing
Lumber & Wood
Furniture
Paper & Pulp
Priniting
Furs & Leather
Rubber & Plastic
Chemicals
Petroleum & Coal products
Non-mineral products
Primary Metal
Fabricated metal products
Machinery
Electric & Electronics
Transportation equipment
Miscellaneous
A significant decrease in the number of units and employees was observed in the tobacco, textile and lumber, and wood industry, while the respective figures increased in primary metal industry, petroleum and coal products, paper and pulp, and furniture industry.
2.3.4. Tourism
Tourism is one of the better developed economic sectors in Greece. Since 1980, the number of foreign tourists visiting Greece has almost doubled, reaching 10.5 million visitors per year. This number is approximately the same as the total indigenous population and adds to the demand on natural resources and for service facilities. It is not surprising, therefore, that during the same period the total hotel capacity (including hotels, motels and bungalows, suites, guest rooms, inns and boarding houses) increased by about 90%. In 1996, the number of hotel beds was approximately 552,000, while there was an additional 715,000 beds in rooms for rent. About 60% of the total bed capacity is located on the islands.
2.3.5. Transportation
188.8.131.52. Road Transport
The improving economic conditions in Greece over the last 15 years had a significant impact on the ownership of road vehicles, as shown in Figure 2.7. The number of passenger cars in 1994 was almost 10 times that in 1970, while similar increases have also occurred in the number of trucks, buses and motorcycles. In 1980, the number of passenger cars was 1.3 million cars, or 1 car per 11 inhabitants, while in 1994 this figure became 2.9 million cars, or 1 car per 5 inhabitants. Despite these drastic changes, however, Greece still has one of the lowest ownership rates in Europe.
The increase of motorcycles in Greece is the result of a number of different factors, such as the introduction of restrictive measures in Athens in the form of an inner and outer "ring" inside which cars can only circulate on alternating days, lack of sufficient parking places, traffic congestion and public transport problems. In addition to the number presented in Figure 2.7, it should be noted that an even larger number of mopeds are currently in operation. According to provisional data, in 1994, their number was estimated to have reached 1.2 million. More than 50% of these were in circulation in the large cities in Greece, where the above mentioned problems make them an affordable and convenient alternative.
Up to 1992, Greece was the only country in Europe that prohibited the use of passenger cars running on diesel oil, except for taxis. The reason for the introducing such a measure was the increasing atmospheric pollution in Athens, caused mainly by smoke and dust emitted by older technology and improperly serviced buses, lorries and taxis. In 1992, the Greek government introduced the Law 2052/92 which allowed the use of diesel powered passenger cars of up to 3.5 tons in Greece, except for the areas of Athens, Piraeus and Thessaloniki.
184.108.40.206. Shipping
The Greek maritime fleet is one of the largest in the world accounting for 8% of the global number of vessels and 14.8% of the global dead-weight tonnage [25]. Approximately 45% of these vessels carry the Greek flag, which, in 1996, amounted to about 2,160 vessels of 100 GRT and over. Merchant (dry cargo) ships represent 40% of this total, 24% are passenger ships, 20% tankers and 16% other type of vessels. The merchant fleet is composed by ships of average age and specialises in "tramping" or going anywhere in the world on a single trip, rather than in travelling regular routes. Passenger ships (including ferries and cruise ships) are primarily used for transporting both goods and passengers to and from the numerous islands in the Aegean and Ionean Seas and to countries in the Mediterranean Sea.
Greek shipping makes a significant contribution to the country's balance of payments and provides about one-third of the national income derived from services.
220.127.116.11. Railways
The total length of the railway network in Greece is 2,497 km. Greece was the last European country to develop a railway system that dates only from the 1880s. Over the last 10 years, the railway network has undergone an extensive modernisation, the aims of which are the improvement of the existing tracks, the standardisation of metric gauges, the connection to the western European network and the co-ordination of the development with that of the roads. Both the modernisation and the extension of the system have been proved costly and difficult mainly due to the complex topography that is characterised by a mountainous region (Pindos mountains) that divides the western and eastern parts of Greece.
2.4. The Energy System in Greece
2.4.1. Energy supply
The total domestic energy supply in Greece has been continuously increasing, despite the two energy crises that characterised the first halves of the last two decades and the economic recession that followed. In 1995, the total domestic energy supplied reached a total of approximately 23.7 Mtoe, an increase of approximately 48% compared to 1980 level. Despite this general rapid increase, however, the average annual growth rate in the first five years of the 90s was reduced to approximately 1.4% per year, compared to 3.3% in the 80s.
1 The category Other includes gas, renewable energy (except for large hydropower and biomass) and net imports of electricity
The composition of the energy carriers (Figure 2.8) manifests the major weakness of the Greek energy system, which is the absence of alternative solutions for covering the country's energy demands. During the period 1980-1995, oil and coal products have retained the lion's share of the total energy supply, while the relative contribution of other energy sources has gradually decreased.
Despite the reliance of the energy system on oil products, their relative contribution has fallen from 72.5% in 1980 to 60% in 1995. This change in trend was the result of a gradual tendency of the general energy balance towards indigenous coal products, in particular brown coal (lignite), that accounted for 32% of the total energy supply in 1995, compared to 19% in 1980.
The partial replacement of oil by lignite had a marked effect on the import dependency of energy, which is solely attributed to imports of crude oil and other oil products. During the 80s import dependency gradually fell, and in 1994 it reached its lowest ever value of approximately 59%, a decrease that though was not sustained in the following year.
Renewable energies currently cover approximately 4% of the total energy supply. Apart from large hydropower, other forms of renewable energy (solar power, wind energy, geothermal energy and biomass) have not been exploited to their full potential resulting in a contribution of less than 3% in 1995. Similarly, natural gas and gas works cover approximately 0.2% of the total energy supply, although this situation will rapidly change after the summer of 1997 when the first natural gas power station is expected to operate.
The electricity generation system in Greece consists of thermal and hydroelectric units as well as a very small percentage of other renewables. The percentage contribution of coal products, and more specifically lignite, has steadily increased since 1980, due to the commissioning of 3,663 MW of lignite-fired stations from 1980-1989 compared to 650 MW of fuel oil fired ones in the same period. In 1995, the installed capacity of the Public Power Corporation (PPC) generating system was 9,198 MW (Table 2-1) corresponding to 98% of the total installed capacity in Greece, while, an additional 221 MW from autoproducers was also in operation.
Table 2-1. Installed capacity (in MW) in 1995
Electricity generation has been steadily increasing at an average annual rate of approximately 3.5% in the 1990-1995 period. The total amount of electricity supplied in 1995 totalled 42.3 TWh, of which 68% and 21% came from the
combustion of coal and petroleum products, respectively, 9% from hydropower and 2% from gas and imports.
The tendency towards lignite electricity generation has decreased the average thermal efficiency, which dropped from approximately 34% in 1980 to 32.4% in 1990. However, this trend was reversed in the 1990-1995 period (Figure 2.10) with the thermal efficiency reaching 34.4% in 1994, because of a number of improvements in the power plants and the distribution system. Despite a small lessening of this trend in 1995, it is expected that the overall efficiency of the electricity generation system will be further improved with the introduction of new combined-cycle power plants in 1997.
Out of the total of electricity production, only approximately 1/3 is finally supplied for domestic consumption.
2.4.2. Energy use in Greece
Final energy demand in Greece in 1995 totalled 14.4 Mtoe, of which 26% was used in industry, 44% for transportation and 30% by the domestic and tertiary sector.
In the 1980-1995 period, the only sector that has reduced its energy demand is the industrial sector that has been mostly affected by the energy crises of the last two decades and the recession of the last 5 years. The other two sectors have increased their energy use thus resulting in a total increase of 36.5% between 1980 and 1995.
18.104.22.168. Energy use in Industry
In 1995, the total energy consumption of the industrial sector totalled 3.9 Mtoe that corresponds to the 26% of the total energy demand in Greece. Although, energy use in industry follows the variations of the industrial output, as shown in Figure 2.12, it has to be noted that energy demand is also affected by factors such as changes in the products produced, fuel substitution, energy prices and technical innovations and developments. After the energy crisis of the 80s, industrial output is characterised by a stagnation that is only interrupted by a short-lived recovery in the latter part of last decade. After 1990, the output level falls again as the economic recession of the last five years caused the shutdown of a number of manufacturing firms.
The evolution of the industrial sector has a direct effect on the relative contribution of different types of fuel. During the 1980-1995 period, the only noticeable change is a gradual replacement of petroleum products by coal products, a trend almost solely attributable to the increased use of steam coal by the cement industry. In 1995, oil products accounted for approximately 50% of the total energy needs of the sector, compared to 69% in 1980. Electricity consumption has steadily increased, reaching a total of 1.0 Mtoe or 27% of the total energy use of the sector.
22.214.171.124. Energy use in the Domestic and Tertiary sectors
In 1995, the energy use in this sector totalled 4.4 Mtoe or 30% of the total energy demand in Greece. This energy was primarily used for space heating and cooling, and domestic hot water production in residential and public buildings and commercial premises. Other energy uses were in the form of electricity for domestic purposes and for the operation of building services systems in residential, public and commercial premises. The figure also includes energy use for the agricultural and public sectors, which in 1995 contributed for approximately 30% and 15% of the total, respectively.
The changes in the energy consumption of the sector reflect both the improving standards of living of the Greek society and the increase in the number of dwelling units. These two factors have resulted in improved levels of heating and recently of cooling as well as in a rise in the ownership of home electric appliances. The floor area of commercial premises has also increased substantially, thus contributing to increasing the demand for electricity for ventilation, lighting and other office equipment.
The factors that have helped to reduce the rate of increase in the energy use of the sector are the installation of thermal insulation in private residences and apartment buildings, the installation of solar heating units in private residences and some large hotels, the installation of double-glazing in new and in some cases in older buildings, and the replacement or modernisation of older electric and heating appliances.
The general upward trend of the energy demand, as illustrated in Figure 2.12, is mostly the result of an increased demand for electricity and to a smaller extent of petroleum products. In 1995, the contribution of the latter fell to 51% compared to 58% in 1980, while electricity use has increased to 37% compared to 26% in 1980. Although, in absolute figures, the use of solid fuels and biomass has remained relatively stable in the last twenty five years, their relative contribution has dropped to 12% compared to 16% in 1980. Up to 1985, most of the biomass was used in the countryside to meet the heating requirements of households and holiday homes. Since then, however, the market indicates that there is a gradual shift of their use from the country side to large urban areas. This change is the result of both the increasing population of the large cities in Greece and the renewed demand for the installation of fire-places in both private residences and apartment buildings.
126.96.36.199. Energy use for Transportation
The energy use of the transportation sector has almost doubled during the 19801995 period. The growth rate is slightly larger than either of the other two economic sectors. In 1995, transportation accounted for 6.3 Mtoe or 44% of the total final energy demand in Greece. Oil products accounted for 99.7% of the final energy use, while electricity and coal accounted for the remaining 0.3%. The energy use is in the form of gasoline consumption by automobiles, while other uses include diesel oil for trucking, maritime transport and railroads, jet fuel for aircraft and smaller amounts of LPG and diesel oil used by taxis. Steam coal is solely used by railroads, while electricity covers the needs of the electric buses (trolleys) that operate in the central Athens area.
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3. EMISSIONS OF GREENHOUSE AND OTHER GASES
This section presents emissions estimates for the period 1990-1995 for three major greenhouse gases, i.e. carbon dioxide (CO2), methane (CH4) and nitrous oxide(N2O) and three photochemically important gases, namely, carbon dioxide (CO), oxides of nitrogen (NOx) and non-methane volatile organic compounds (NMVOC). It should be noted that emissions for other greenhouse gases such as HFCs, PFCs and SF6 are not currently estimated but will be reported in future inventory updates.
3.1. Methodology
3.1.1. Activity data
For the completion of the present inventory, the energy statistics of IEA have been used together with the annual energy balance sheets of the Ministry for Development, in order to calculate the emissions from fuel combustion and other energy-related activities. The only exception is for the case of emissions of gases from the transportation sector, where additional data relating to the condition of the fleet of road vehicles in Greece were necessary and have been obtained from the Association of Greek Car Importers and the Insurance Companies Statistical Service of Greece.
For the other areas, the necessary data have been obtained from the National Statistical Service of Greece and the Ministry for the Environment, Physical Planning and Public Works.
Note that for the activity areas of Solvents and Other Products use and Land Use Change and Forestry, there are not sufficient official inventory data to allow the estimation of NMVOCs production and to account for CO2 sinks, respectively.
3.1.2. Emission factors
Following the specifications defined by the FCCC, all emissions estimates were calculated following the IPCC inventory compilation guidelines. For most activity areas and sectors, the emission factors used were the ones proposed by the IPCC [1]. For cases where such factors were not available, corresponding emission factors suggested by the CORINAIR programme [3] were used. For both the IPCC and CORINAIR factors, attention was paid to selecting (where possible) values that reflected the preferred practices and climatic conditions in Greece. On a very limited number of occasions, it was possible to utilise specific factors that arise from measurements or estimations for particular activity sectors in Greece.
For some categories, the emissions reported here are different from those presented in the National Inventory of Greenhouse and Other Gases [26] because of the use, here, of updated emission factors.
3.1.3. Radiative forcing effect
Emissions from anthropogenic activities affect the concentration and distribution of greenhouse gases in the atmosphere. These changes can potentially produce a radiative forcing of the Earth's surface and lower atmosphere, by changing either the reflection or absorption of solar radiation or the emission and absorption of long-wave radiation. IPCC, [27], has reviewed information on the radiative forcing of greenhouse gases and the role of aerosols and their incorporation in climate models.
According to the reporting guidelines, emissions of greenhouse gases must be reported in absolute figures for each gas as well as in tonnes of carbon (or carbon dioxide) equivalent by using appropriate values for their global warming potential (GWP). For the present report, GWP values for three time horizons, presented in Table 3-1, have been taken from the IPCC Climate Change 1995 report [27].
Table 3-1: GWP values of methane and nitrous oxide relative to 1 kg of carbon dioxide for three time horizons
3.2. Overview of emissions for the period 1990-1995
Summary emissions estimates for the years 1990-1995 are given in Table 3-2. It must be noted that these emission figures will be further revised once more detailed data for sectors such as Land Use Change and Forestry and Solvents and Other Products Use become available.
Following the FCCC guidelines for the preparation of national communications, emissions from international air transport and marine bunkers have not been included in the national totals and are reported separately in Table 3-3. Emissions from these activities arise from the use of diesel and fuel oil by marine vessels and jet fuel by airline carriers. Furthermore, CO2 emissions from the use of biomass are not included in the national totals.
2 The GWP value for methane also includes indirect (cooling) effects
Table 3-2: Greenhouse and other gases emissions (in Kt) for the period 1990-1995
| 1990 1991 1992 1993 1994† 1995† | | | | | | |
|---|---|---|---|---|---|---|
| Carbon dioxide | 84,575 | 84,303 | 86,429 | 86,946 | 89,005 | 90,492 |
| Energy 76,834 76,642 78,722 79,015 81,289 82,426 Industrial Processes 7,398 7,315 7,358 7,581 7,364 7,713 Waste 343 346 349 350 352 353 | | | | | | |
| Methane | 443.027 | 443.985 | 444.544 | 447.597 | 456.628 | 455.608 |
| Agriculture 272.795 272.201 270.071 271.833 278.236 275.988 Waste 111.696 112.662 113.492 114.106 114.674 114.936 Energy 58.536 59.122 60.981 61.658 63.718 64.684 | | | | | | |
| Nitrous oxide | 17.286 | 16.827 | 16.893 | 16.602 | 16.685 | 16.884 |
| Agriculture 8.392 8.438 8.442 8.341 8.378 8.333 Energy 6.594 6.493 6.468 6.378 6.476 6.591 Industrial Processes 2.300 1.896 1.983 1.883 1.831 1.960 | | | | | | |
| Carbon monoxide | 1,280.010 | 1,359.601 | 1,359.124 | 1,391.640 | 1,427.042 | 1,447.921 |
| Nitrogen oxides | 344.081 | 358.113 | 360.989 | 358.940 | 367.436 | 372.603 |
| NMVOCs | 262.693 | 274.424 | 288.363 | 303.201 | 331.970 | 338.536 |
NA Not available
† Provisional figures
Table 3-3: Emissions (in Kt) from the use of bunker fuels for the period 1990-1995
† Provisional figures
The year 1990 has been set as the base year for the emission limitation objectives for Greece. The technical report [5] accompanying the 1 st National Communication, published in February 1995, described the calculation details of the first collective attempt to create an inventory of greenhouse and other gases for the base year 1990. Since then, emission estimates have been recalculated on the basis of more reliable data for some activity sectors and the update of the methodology used. The revised emission data for 1990 are reported in Table 3-4.
Emissions figures by activity sector and corresponding emissions from bunker fuels use for the years 1991-1995 are presented in Table 3-5-Table 3-9.
Table 3-4: Emission estimates (in Kt) for the 1990 base year
| SOURCE AND SINK CATEGORIES | | | | | |
|---|---|---|---|---|---|
| | CO2 | CH4 | N2O | NOx | CO |
| | (Kt) | (Kt) | (Kt) | (Kt) | (Kt) |
NE Not estimated
Table 3-5: Emission estimates (in Kt) for the year 1991
| SOURCE AND SINK CATEGORIES | EMISSION ESTIMATES | | | | | |
|---|---|---|---|---|---|---|
| | CO2 | CH4 | N2O | NOx | CO | NMVOC |
| | (Kt) | (Kt) | (Kt) | (Kt) | (Kt) | (Kt) |
| NATIONAL TOTALS 84,303 443.984 16.828 358.113 1,359.601 274.424 1 All Energy 76,642 59.122 6.493 318.976 1,150.558 213.145 A Fuel Combustion 76,642 14.579 6.493 316.995 1,150.452 193.608 1 Energy and Transformation Ind. 42,530 0.69 1.392 74.717 6.356 3.044 2 Industry (ISIC) 9,679 1.199 1.406 19.46 4.577 1.765 3 Transport 15,999 2.79 1.426 174.453 882.226 164.576 4 Commercial, Residential, etc. 8,435 9.899 2.269 48.365 257.293 24.224 B Fugitive Emissions from Fuels 0 44.543 0 1.981 0.106 19.536 1 Solid Fuels 0 44.158 0 0 0 0 2 Oil and Natural Gas Fuels 0 0.384 0 1.981 0.106 19.536 2 Industrial Processes 7,315 0 1.896 31.071 23.644 2.248 3 Solvent and Other Product Use 0 0 0 0 0 NE 4 Agriculture 0 272.201 8.438 6.391 161.875 50.635 A Enteric Fermentation 0 140.109 0 0 0 0 B Manure Management 0 23.39 0 0 0 0 C Rice Cultivation 0 4.428 0.034 0 0 0 D Agricultural Soils 0 96.566 8.228 0 0 29.738 E Prescribed Burning of Savannas 0 0 0 0 0 0 F Field Burning of Agricultural Residues 0 7.708 0.177 6.391 161.875 20.897 G Other Agriculture Activities 0 0 0 0 0 0 5 Land Use Change & Forestry 0 0 0 0 0 0 A Wood & Woody Biomass Stock Change 0 0 0 0 0 0 B Forest and Grassland Conversion 0 0 0 0 0 0 C Abandonment of Managed Lands 0 0 0 0 0 0 D Other Land Use Change Activities 0 0 0 0 0 0 6 Waste 346 112.662 0 1.675 23.524 8.396 A Solid Waste Disposal on Land 346 102.867 0 0 0 0 B Wastewater Treatment 0 6.16 0 0 0 0 C Waste Incineration 0 3.635 0 1.675 23.524 8.396 D Other Waste 0 0 0 0 0 0 7 Other 0 0 0 0 0 0 International Aviation and Marine 9,446 0.185 0.472 158.496 30.16 24.645 (not included in national totals) | | | | | | |
NE Not estimated
Table 3-6: Emission estimates (in Kt) for the year 1992
| SOURCE AND SINK CATEGORIES | EMISSION ESTIMATES |
|---|---|
| CO2 CH4 N2O NOx CO NMVOC (Kt) (Kt) (Kt) (Kt) (Kt) (Kt) NATIONAL TOTALS 86,428 444.545 16.893 360.989 1,359.124 288.362 1 All Energy 78,722 60.981 6.468 322.641 1,182.194 228.212 A Fuel Combustion 78,722 14.466 6.274 320.458 1,182.077 207.794 1 Energy and Transformation Ind. 44,906 0.701 1.438 78.271 6.7 2.849 2 Industry (ISIC) 9,294 0.902 1.351 18.909 4.434 1.34 3 Transport 16,418 2.999 1.519 177.991 917.611 179.976 4 Commercial, Residential, etc. 8,104 9.863 2.16 45.288 253.331 23.628 B Fugitive Emissions from Fuels 0 46.515 0 2.183 0.117 20.419 1 Solid Fuels 0 46.133 0 0 0 0 2 Oil and Natural Gas Fuels 0 0.383 0 2.183 0.117 20.419 2 Industrial Processes 7,358 0 1.983 31.435 23.557 2.347 3 Solvent and Other Product Use 0 0 0 0 0 NE 4 Agriculture 0 270.071 8.442 5.223 129.635 49.331 A Enteric Fermentation 0 139.233 0 0 0 0 B Manure Management 0 23.246 0 0 0 0 C Rice Cultivation 0 4.409 0.034 0 0 0 D Agricultural Soils 0 97.009 8.264 0 0 29.651 E Prescribed Burning of Savannas 0 0 0 0 0 0 F Field Burning of Agricultural Residues 0 6.173 0.144 5.223 129.635 19.68 G Other Agriculture Activities 0 0 0 0 0 0 5 Land Use Change & Forestry 0 0 0 0 0 0 A Wood & Woody Biomass Stock Change 0 0 0 0 0 0 B Forest and Grassland Conversion 0 0 0 0 0 0 C Abandonment of Managed Lands 0 0 0 0 0 0 D Other Land Use Change Activities 0 0 0 0 0 0 6 Waste 349 113.492 0 1.69 23.738 8.472 A Solid Waste Disposal on Land 349 103.62 0 0 0 0 B Wastewater Treatment 0 6.204 0 0 0 0 C Waste Incineration 0 3.668 0 1.69 23.738 8.472 D Other Waste 0 0 0 0 0 0 7 Other 0 0 0 0 0 0 Inernational Aviation and Marine 10,582 0.205 0.542 179.567 35.205 27.922 (not included in national totals) | |
NE Not estimated
Table 3-7: Emission estimates (in Kt) for the year 1993
| SOURCE AND SINK CATEGORIES | | | | | |
|---|---|---|---|---|---|
| | CO2 | CH4 | N2O | NOx | CO |
| | (Kt) | (Kt) | (Kt) | (Kt) | (Kt) |
NE Not estimated
Table 3-8: Emission estimates (in Kt) for the year 1994 (provisional figures)
| SOURCE AND SINK CATEGORIES | EMISSION ESTIMATES | | | | | |
|---|---|---|---|---|---|---|
| | CO2 | CH4 | N2O | NOx | CO | NMVOC |
| | (Kt) | (Kt) | (Kt) | (Kt) | (Kt) | (Kt) |
NE Not estimated
Table 3-9: Emission estimates (in Kt) for the year 1995 (provisional figures)
| SOURCE AND SINK CATEGORIES | EMISSION ESTIMATES | | | | | |
|---|---|---|---|---|---|---|
| | CO2 | CH4 | N2O | NOx | CO | NMVOC |
| | (Kt) | (Kt) | (Kt) | (Kt) | (Kt) | (Kt) |
NE Not estimated
The long-range integrated effect of all greenhouse gas emissions is shown in Table 3.10. Three time horizons are examined with the cumulative equivalence computed with the assistance of the coefficients of Table 3-1.
Table 3-10: Total emissions (in Mt of carbon dioxide equivalent) for the period 19901995
| 1990 1991 1992 1993 1994† 1995† 20-year horizon Carbon dioxide (CO ) 84.58 84.30 86.43 86.95 89.01 90.49 2 Methane (CH ) 24.81 24.86 24.89 25.07 25.57 25.51 4 Nitrous oxide (N O) 4.84 4.71 4.73 4.65 4.67 4.73 2 | | | | | | |
|---|---|---|---|---|---|---|
| Total | 114.22 | 113.88 | 116.05 | 116.66 | 119.25 | 120.73 |
| 100-year horizon Carbon dioxide (CO ) 84.58 84.30 86.43 86.95 89.01 90.49 2 Methane (CH ) 9.30 9.32 9.34 9.40 9.59 9.57 4 Nitrous oxide (N O) 5.36 5.22 5.24 5.15 5.17 5.23 2 | | | | | | |
| Total | 99.24 | 98.84 | 101.00 | 101.49 | 103.77 | 105.29 |
| 500-year horizon Carbon dioxide (CO ) 84.58 84.30 86.43 86.95 89.01 90.49 2 Methane (CH ) 2.88 2.89 2.89 2.91 2.97 2.96 4 Nitrous oxide (N O) 2.94 2.86 2.87 2.82 2.84 2.87 2 | | | | | | |
| Total | 90.39 | 90.05 | 92.19 | 92.68 | 94.81 | 96.32 |
† Provisional figures
NA Not available
Carbon dioxide emissions account for the majority of the total greenhouse gases emissions for all three time horizons considered. Considering the 100-year horizon, CO2 emissions were responsible for approximately 86% of the total emissions in Greece, while methane and nitrous oxide accounted for 9% and 5%, respectively.
As far as the sectoral contributions are concerned (Figure 3.1), energy-related activities are the largest source (approximately 84%) of all greenhouse gases emissions. These include primarily CO2 emissions from the combustion of fossil fuels (96%) and smaller amounts of methane (both from combustion and the production, transmission, storage and distribution of fossil fuels) and nitrous oxide that account for 1.7% and 1.6%, respectively. The other sectors, i.e. Agriculture (6.4%), Industrial processes (7.3%) and Waste (2.4%) account for the remaining 16% of all greenhouse gases emissions. Emissions from Agriculture mainly comprise of methane emissions from the breeding of animals and rice cultivation, while methane emissions from Waste come from the management of the solid waste and wastewater. For Industrial processes, the main contributor is CO2 emissions from the production of non-mineral products and particularly cement and lime.
3.3. Carbon dioxide
As shown in Figure 3.2, the combustion of fossil fuels accounts for approximately 92% of total CO2 emissions, while the remaining 8% result from industrial processes (mainly the production of cement and lime) and the incineration of solid waste. Since 1990 (except for 1991), the amount of carbon dioxide emitted has steadily increased. In 1994, CO2 emissions totalled 89 Mt compared with 84.58 Mt in 1990, a change of approximately 5.2%. According to provisional data, the equivalent increase for 1995 compared with 1990 is estimated to be 7%.
3.4. Methane
After carbon dioxide, methane is the second most important anthropogenic gas in the process of the greenhouse effect. From Figure 3.3, it is clear that the agricultural sector, which includes enteric fermentation in domestic livestock and manure management, is the largest anthropogenic source of methane emissions in Greece, accounting for approximately 61% of total methane emissions in 1995.
Landfills and wastewater treatment is the second largest anthropogenic source of methane emissions, accounting for approximately 25% of total Greek methane emissions, while coal mining activities are responsible for 11%.
3.5. Nitrous oxide
Nitrous oxide (N2O) is a chemically and radiatively active greenhouse gas that is produced naturally from biological sources in soil and water. As depicted in Figure 3.4, the agricultural sector is the primary anthropogenic source of nitrous oxide emissions in Greece. It accounted approximately for 49% of total Greek nitrous oxide emissions in 1994.
Nitrous oxide is also a product of the reaction that occurs between nitrogen and oxygen during fossil fuel combustion. This source accounted for 39% of total nitrous oxide emissions. Production of nitric acid is the major industrial source of nitrous oxide emissions, accounting approximately for 12% of total nitrous oxide emissions.
The marked reduction observed from 1990-1993 was solely due to a temporary reduction in the production of nitric acid from a manufacturing unit, which resumed its operation in 1994. In 1994 and 1995 emissions grew further because of a larger contribution from the energy sector.
3.6. Other gases
Anthropogenic activities also emit carbon monoxide (CO), nitrogen oxides (NOx) and non-methane volatile organic compounds (NMVOCs) that are commonly referred to as "criteria pollutants". They are not greenhouse gases, per se, but play an important role in the greenhouse effect by reacting with other compounds, thus affecting the concentration of greenhouse gases in the atmosphere.
Carbon monoxide is created when carbon-containing fuels are burned incompletely. The principal anthropogenic sources of oxides of nitrogen, NO and NO2, are fossil fuel combustion activities and biomass fires, while emissions also arise from other natural phenomena such as lightning and, in the stratosphere, from nitrous oxide. Non-methane volatile organic compounds are emitted primarily from transportation and industrial processes, biomass burning and non-industrial consumption of organic solvents.
Total emissions of these pollutants are presented in Figure 3.5. It should be noted that NMVOCs from use of solvents have not been included, as there was not available reliable information on their uses in Greece for any of the years considered.
4. SUMMARY PRESENTATION OF THE NATIONAL ACTION PLAN
The Greek National Action Plan for the reduction of CO2 and other greenhouse gases [4] was elaborated under the responsibility and supervision of the Ministry for the Environment, Physical Planning and Public Works, in collaboration with the Ministry for Development. The preparation of the Plan was however completed with the participation and contribution of other competent Ministries, bodies of the wider public sector and experts from the private sector.
The target set by the European Union as a whole is to achieve stabilisation, i.e. to return CO2 emissions in the year 2000 to 1990 levels. In Greece, a "business-asusual" course of development actions (in the absence, in other words, of planned and specific abatement measures) would lead to an increase in emissions in the order of 27% or 22 million tonnes CO2 by the year 2000 (increase from 82 to 104 million tonnes). The inventory data compiled for 1990 were the result of an extensive and complex study based on OECD and EUROSTAT emission data and factors. The projections for the year 2000 were established with the use of the Midas model, which integrated the international estimates of future energy prices, as well as the impact of technologies which have already penetrated the market and of policies that were first implemented prior to 1992.
The programme of actions for the abatement of CO2 and other greenhouse gas emissions was based on the specific development programmes planned or elaborated for the energy sector (Public Power Corporation, Public Gas Corporation, etc.), transport, residences, etc. The complementary measures which were adopted aimed at achieving an additional and reasonable improvement in the means by which energy was either produced or used. Having co-assessed all existing data, the Greek government considered that a realistic objective for its national programme consists in restricting the total increase in CO2 emissions during the 1990-2000 period to 15% (or 12.4 Mt). Discrepancies of ±3% were allowed for, due to unpredictable internal and international parameters and to possible revisions of the European Union's relevant policy. In comparison with the business-as-usual scenario, the specific objective adopted in the programme implied that a decrease in emissions in the order of 9.6 million tonnes CO2 was expected to be achieved by the year 2000.
The detailed study of Greece's specific problems revealed that, with solely technological criteria, it would be theoretically possible to achieve a greater abatement of CO2 and other gas emissions by the year 2000. The addition, however, of other unavoidable factors such as the limited availability of financial resources, the inflexibility of the production system and the inertia displayed by consumers, quickly showed this to be unrealistic.
The abatement of CO2 and other greenhouse gas emissions was to be achieved by the implementation of :
(a) a drastic energy conservation policy in all sectors of final consumption (domestic-commercial-services, industry, transports) aimed at rationalising
energy consumption without affecting the population's standard of living, and
(b) a bold investment policy in order to promote new energy generation means (involving natural gas at an initial stage and renewable energy sources in the longer term) in an attempt to substitute for conventional fuels without altering the basic characteristics of the energy system (safety, stability and reasonable operating costs).
The various interventions for the reduction of CO2 and other greenhouse gases emissions included in the Greek Action Plan are summarised in Table 4-1and Table 4-2. A more detailed presentation of these interventions is given below.
4.1. Supply-side interventions
Approximately 50% of Greece's CO2 emissions are caused by the production of electricity, as the national power generation system is based on the combustion of a thermally poor lignite. Consequently, the success of any policy for the abatement of CO2 emissions depends largely upon decisions affecting the power generation sector. Measures considered include :
4.1.1. Modernisation of the existing system.
This measure includes efficiency improvements in lignite-fired stations, reduction of losses in the transmission and distribution system and introduction of new and "cleaner" lignite combustion technologies (e.g. Liquefied Bed Units, Integrated Gasification Combined Cycle).
4.1.2. Development of combined heat and power (CHP) generation systems.
CHP systems will allow for a reduction of energy consumption in : a) urban districts located close to the Public Power Corporation's plants (Ptolemaida, Kozani, Amynteo, Florina) by the development of district-heating networks and b) highly energy consuming units in industrial zones and even in small-scale systems and non-industrial facilities (hospitals, public buildings, etc.). The introduction of natural gas will facilitate the development of co-generation systems.
4.1.3. Introduction of Natural Gas.
On the horizon of the year 2000, the abatement of CO2 emissions will be mainly achieved by the introduction of natural gas in the national energy system, i.e. through one of the greatest investments ever carried out in Greece. Plans to use natural gas (NG) for electricity generation have been finalised and incorporated in the Public Power Corporation's programme, as decisions have been taken to switch certain existing plants over to NG and to construct new gas-fired power stations, of some 1100 MW by the year 2000. Once in operation, these power plants alone are expected to enable the PPC to meet its NG absorption commitments, while yielding an annual production of approx. 5300 GWh. The CO2 savings, ensuing from the
substitution of more polluting fuels and primarily of lignite, are also expected to be significant. Furthermore, the completion of the central pipeline will accelerate the penetration of NG in the industrial sector. Of the total industrial NG consumption of 1.0 billion Nm 3 anticipated for the year 2000, approx. 80% will be absorbed by a limited number of large industrial units. Smaller manufacturing units will also draw multiple economic benefits from the use of NG and it is certain that their connection to the network will be carried out as soon as realistically possible.
Natural gas penetration will be slower in the other sectors, because of the long time periods necessary for the construction of the distribution networks in residential areas and the inertia characteristic of current consumer behaviour. The larger part of this NG will be used for space-heating purposes, as a substitute for diesel. Substitution of electricity (for cooking and water-heating purposes) will remain limited, since the significant expenses necessary to switch existing installations over to NG will only prove profitable in cases where the use of NG is substantially more energy-efficient. The substitution of NG for electricity has, however, been envisaged in air-conditioning applications with the use of new types of equipment, mainly in the commercial and services sector.
4.1.4. Exploitation of Renewable Energy Sources.
Renewable energy sources (RES) exploitation is also expected to make a marked contribution to the abatement of CO2 emissions by the year 2000. Until recently, the specific legal framework did not allow for a significant acceleration of investments in this field. This has been reversed by the establishment of the favourable new Law 2244/94. Regarding wind energy, it is estimated that the total installed generating capacity will reach some 300 MW by the year 2000. Solar energy applications are expected to be considerably expanded for the heating of usage water (with the additional installation of approx. 1.3 million m 2 of solar collectors from 1990 to 2000) and to be extended to both new technologies (e.g. void heating) and new uses (e.g. space-heating). In the case of biomass, prospects are particularly interesting, concerning mainly new techniques and systems such as district-heating, new technologies for the production of industrial heat and/or bioelectricity, and production of biofuels. The exploitation of the remaining RES is expected to be of smaller importance. As far as the construction of small hydroelectric works is concerned, it is estimated that total installations will reach 34 MW in the year 2000. As for geothermal energy, applications for the exploitation of low enthalpy geothermal fluids are likely to be promoted, primarily in agricultural uses.
4.2. Demand-side interventions
Even though the CO2 problem in Greece is basically a "supply side" issue, energy conservation nevertheless constitutes a high priority task which can substantially improve the system's energy and economic efficiency and reduce the emissions of CO2 (and other greenhouse gases). In all sectors of activity, there are still numerous possibilities for profitable investments in technologies and/or products which contribute decisively to energy conservation. Previously acquired experience will serve as an additional asset and ensure the greater effectiveness of the adopted measures and elaborated policies.
4.2.1. Domestic-commercial and public sector.
Measures are focused on: (a) reduction of energy requirements by the incorporation of "passive systems" in new buildings, increase of insulation requirements in new constructions and improvement of the situation in the existing building reserve (b) rational use of all available energy sources with the introduction of new fuels and primarily of NG and (c) introduction of new technologies (increased efficiency equipment and appliances) and proper maintenance of existing ones. The realisation of all of these interventions is expected to lead to a considerable reduction in the emissions of CO2 by the year 2000. This reduction will essentially derive from the penetration of NG in fields such as space/ water heating and even air-conditioning, as well as from the extensive use of solar heat pumps. Furthermore, drastic interventions will be carried out in the lighting sector. Finally, the maintenance of central heating boiler systems is another measure of significance.
4.2.2. Industrial sector.
The introduction of NG constitutes the most effective CO2 abatement measure. Other previously mentioned measures, such as the reintroduction of "new technology" solar systems and the promotion of co-generation - although indubitably beneficial - will have a less tangible impact. A wide range of what are usually considered "minor improvements" can be made in the auxiliary operations of industrial units. The most important of these interventions involve the supply of steam and compressed air or even the lighting of industrial premises. Other measures, such as the improvement of space/water heating, are expected to have a smaller impact. Furthermore, there are also numerous technological interventions which can be carried out in the production procedure of all of the industrial sectors. Industries presenting the greatest abatement potential are, of course, the more energy-consuming ones, such as cement industry, metallurgy (steel and non-ferrous metals), fertilisers and sugar industry.
4.2.3. Transport
Possible interventions for reducing the CO2 emissions can be either direct or indirect in nature. The first category includes measures targeted in priority at restricting CO2 emissions. In the indirect measure group, the reduction in emissions, on the contrary, results from the pursuit of other objectives, mainly related to the improvement of transport services. Direct measures focus on : (a) the fuel types in use, through the promotion of more effective fuels (diesel) and the use of biofuels, (b) the vehicles in circulation, through the promotion of their systematic maintenance and the use of more economical vehicle-types. Indirect measures involve : (a) the rational management of the entire transport system (improved road network and signalling, restructuring and combined use of transport modes, changes in driver mentality and behaviour), (b) the modernisation of public transports (metro, tram, improvements in urban bus routes, etc.).
4.3. Management of biological resources.
The effective management of biological resources and systems can make a very decisive contribution to the abatement of anthropogenic CO2 emissions. Emissions reductions can be achieved through the implementation of proposed measures such as the substitution of conventional fuels (up-grading of old and advancement of new uses for bioenergy) and the increase of the terrestrial ecosystems' annual CO2 fixation capacity by increasing the resource reserve in existence or by reducing its rate of depletion.
4.4. Other greenhouse gases
As far as the other greenhouse gases are concerned, reductions in their emission levels are, depending on the case, to be achieved either through the same measures or through specifically devised complementary actions. Particular attention has been paid to reducing the emissions of methane, other volatile hydrocarbons and carbon monoxide. In the case of nitrous oxide and nitrogen oxides - for which accurate estimates are difficult to establish - a slight increase in emissions is anticipated, although this increase will be proportionally smaller than the one to be normally induced by the increase in vehicle numbers.
Table 4-1: Greek Action Plan - Measures in the energy sector
| Measures | Measure typology | Responsible organisation | Emission Abatement Potential up to 2000 ( kt CO ) 2 | Public Expenditure (MECU) | |
|---|---|---|---|---|---|
| ELECTRICITY GENERATION | | | 4570 | | |
| Natural Gas Penetration | PPC investment | Ministry for Development/PPC | 4200 | 184 | Starting |
| Co-generation/District heating | PPC investment | Ministry for Development/PPC/ Local Authorities | 70 | | In progress |
| Improved efficiency of Lignite | PPC investment | Ministry for Development/PPC | 300 | | In progress |
| RENEWABLE ENERGY SOURCES | | | 3267 | | |
| Wind energy 300 MW | PPC investment Incentives to private investors | Ministry for Development/PPC Ministry for Development | 1000 | 52 | In progress In progress |
| Small hydroelectric Works 34 MW | Subsidies granted | Ministry for Development/PPC/ Local Authorities | 221 | 3.5 | In progress |
| Solar systems : − conventional systems 1,300,000 m2 − new technology systems 200,000 m2 | Tax exemption Subsidies granted | Ministry for Economics Ministry for Environment, Physi- cal Planning & Public Works/ Ministry for Development | 939 37 | 34.5 | In progress Under elaboration |
| Geothermal Energy | Subsidies granted | Ministry for Development | 60 | 3.5 | In progress |
| Biomass : − District heating 50 MW th − Electricity generation 80 MW e − Biofuels 50 kt/y | Subsidies granted Subsidies granted Incentives | Local Authorities Ministry for Development Ministry for Transportation | 60 750 100 | 10 40 10 | Starting Under elaboration Under elaboration |
| Research and Development | Pilot projects | Ministry for Development/ General Secretariat for Energy and Technology | 100 | 50 | Under elaboration |
| INDUSTRY | | | 2088 | > 153 | |
| Natural Gas Penetration | Incentives | Ministry for Development | 720 | | Starting |
| Co-generation 37.5 MW e | Incentives | Ministry for Development | 80 | | In progress |
| Improvement in auxiliary operations (industrial premises, steam production, compressed air) | Regulating interventions, Information, Training | Ministry for Development/ Ministry for Environment, Physical Planning & Public Works | 430 | | In progress |
| Interventions in energy intensive sectors | Regulating interventions, Incentives | Ministry for Development | 808 | | In progress |
| Environmental Energy Listings | Legislative regulation | Ministry for Environment, Physical Planning & Public Works | 50 | | Under elaboration |
Table 4.1 : Greek Action Plan - Measures in the energy sector (continued)
| Measures | Measure typology | Responsible organisation | Emission Abatement Potential up to 2000 ( kt CO ) 2 | Public Expenditure (MECU) | |
|---|---|---|---|---|---|
| RESIDENCES - COMMERCE - | | | 2195 | | |
| SERVICES | | | | | |
| Natural Gas Penetration | Incentives | Ministry for Development/ Ministry for Environment, Physical Planning & Public Works | 1092 | | Starting |
| Co-generation 11.2 MW e | Incentives | Ministry for Development | 51 | | Under elaboration |
| Lighting | Subsidies granted | Ministry for Development/ Ministry for Environment, Physical Planning & Public Works | 470 | | Under elaboration |
| Street lighting | Investment | Local Authorities | 239 | 13 | In progress |
| Central boiler maintenance | Regulating interventions, Training | Ministry for Development | 343 | | In progress |
| TRANSPORTS | | | 1263 | | |
| Fuel-related interventions | Regulating interventions, Incentives | | 56 | | In progress |
| Vehicle-related interventions | Regulating interventions, Incentives | | 300 | | In progress |
| Interventions in the transport system | Investment, Information | | 470 | | In progress |
| Interventions in Public Transports | Investment | | 437 | | In progress |
| GENERAL TOTAL | | | 13383 | | |
| Anticipated result | | | 9600 | | |
Administrative planning : I: Under implementation, D: Decided, PD: Planned/Pending Decision, P: Proposed
Table 4-2: Greek Action Plan - Measures for the management of biological resources and systems
| Measures | Measure typology | Responsible organisation | Emission Abatement Potential up to 2000 ( kt CO ) 2 | Public Expenditure (MECU) | |
|---|---|---|---|---|---|
| Acceleration of Reforestation programmes | Investment | Ministry for Agriculture | 20 | 36 | In progress |
| Reinforcement of the Forest Resource Control Programme | Investment | Ministry for Agriculture | 100 | 104 | In progress |
| Protection of soils from erosion | Investment | Ministry for Environment, Physical Planning & Public Works | 200 | 130 | In progress |
| Study on the rational use of forest resources | Research | Ministry for Agriculture | 10 * | 150 | Starting |
| Rational use of farmlands | Information, Training | Ministry for Agriculture | 100 | 80 | Starting |
| Support for the utilisation of agricultural by- products | Investment | Ministry for Agriculture | 1470 | 75 | In progress |
| Support for the promotion of energy cultivations | Investment | Ministry for Agriculture | - | 25 | Under elaboration |
| «The role of forests and agriculture in the CO balance» 2 | Research | Ministry for Agriculture/Ministry for Development | - | 15 | Under elaboration |
| TOTAL | | | 1900 | 615 | |
Administrative planning : I: Under implementation, D: Decided, PD: Planned
5. PROGRESS OF IMPLEMENTATION OF NATIONAL POLICIES AND MEASURES
5.1 Progress in legal and fiscal instruments
5.1.1. Legal and pricing policy instruments
188.8.131.52. Promotion of Renewable Energy Sources
The possibility for the exploitation of RES for electricity generation was established for the first time by Law 1559/85. According to the provisions of the law, self-producers (including local authorities) consumed the greatest part of the electricity produced, while the surplus was sold to the PPC. The results obtained through the implementation of this law were not encouraging, mainly due to the following reasons :
(a) Tariffs provided by PPC for the surplus of electricity were too low (equal approximately to 1/3 of the current KWh price).
(b) The law was applicable only to self-producers and not to independent producers
These major drawbacks were altered by the establishment of Law 2244/94, which was approved in 1994, and a number of mandated complementary decrees to assist its implementation signed in 1995-1996. The main differences between this law and Law 1559/85 are [8] :
(a) Apart from "self-producers", "independent producers" can also benefit from the provisions of the law. The electricity produced is exclusively sold to PPC.
(b) Tariffs are now favourable, especially in the non-connected grid.
(c) Long-term contracts (10-years period with the possibility of expansion) are provided.
(d) In the case of "self-producers", the electricity produced can be transported from the production to the consumption site, via the existing PPC grid.
(e) Maximum capacity limits - affecting significantly the possibility for RES penetration, especially in the case of wind and small-hydros- are now increased.
(f) Possibility of production of electricity from small-hydros (no limitations up to 2 MW, as well as for installations up to 5 MW, provided that the latter are not included in the PPC's 10-years Development Plan).
(g) Bureaucratic procedures are reduced.
184.108.40.206. Promotion of Cogeneration
Apart from electricity generation by the exploitation of RES, the previously mentioned Law 1559/85 and Law 2244/94 regulate issues concerning cogeneration either from RES or conventional fuels. According to the new Law 2244/94, the term "cogeneration" includes the following processes :
(A) Production of electricity and heating/cooling from conventional fuels
(B) Production of electricity by the exploitation of by-products
(C) Production of electricity by exploitation of recovered waste heat
According to the law, the capacity of CHP units of type (A) and (B) must not exceed the thermal and cooling capacity of the producer's installations. For CHP units of type (C) such a limitation does not exist. As in the case of renewable energies, the surplus of electricity produced must be sold exclusively to PPC. "Self-producers" or "independent producers" can benefit from the provisions of the law, which includes :
* More favourable tariffs.
* Withdrawal of prohibition for CHP installations in the prefecture of Attica (a region with an important potential for CHP installations) set by the Presidential Decree 84/94.
* Simpler licence procedures than the ones provided by the former Law 1559/85.
* Apart from industrial units, enterprises in the commercial sector and services (e.g. hotels, hospitals etc.) are now able to carry out investments in cogeneration.
Furthermore, specific regulations for central CHP units are set by the Ministerial Decision 8907/96 for the bilateral agreement between PPC and third interested parties for the establishment of cogeneration stations. The provisions of the Decision include:
* lifting of limitations in the electrical and thermal capacity of such cogeneration stations
* minimum setting efficiency standards of the stations are 65% regarding electrical and thermal capacities (theoretical potentials), 60% regarding actual electrical and thermal loads on a monthly basis
* guaranteed supply of the agreed amount of electricity and power to the PPC
* provisions for the setting of prices of electricity and power sold to PPC bilaterally agreed by the two sides in each particular agreement, under a common structure of cost analysis, and
* obligation for selling all the electricity produced exclusively to PPC, while thermal energy can be sold to anyone third.
220.127.116.11. Promotion of energy efficient appliances
Legislative instruments for the promotion of energy efficient appliances can be divided in two main categories: (a) legislation setting minimum standards for energy efficiency and (b) legislation concerning energy labelling of domestic appliances.
(a) Minimum Energy Efficiency Standards. Such standards were set by the EU for non-industrial boilers (Directive 92/42/EC) and refrigerators and freezers (Directive 96/57/EC). Regarding the former, a harmonisation of the Greek
,
legislation was accomplished through the Presidential Decree 335/1993 while the harmonisation to the latter is under way.
(b) Energy Labelling of domestic appliances. The general obligations are set by the Directive 92/75/EC (harmonisation by the Presidential Decree 180/1994), while particular provisions are set for refrigerators/freezers (Directive 94/2/EC - harmonisation by the Ministerial Decision 26810/1994), washing machines (Directive 95/12/EC - harmonisation by the Ministerial Decision 3971/96), driers (Directive 95/13/EC - harmonisation by the Ministerial Decision 3971/96) and combined washer-driers (Directive 96/60/EC - harmonisation is under way).
It should be noted that the Ministry for Development formulates specific measures regarding the safe operation and fire-protection of natural gas, LPG, cogeneration and RES installations, the promotion of energy efficient appliances/equipment and the development of a certification system for Energy Laboratories.
18.104.22.168. Reduction of energy consumption in the building sector
Recently, the Ministry for the Environment, Physical Planning and Public Works prepared an Action Plan entitled " Energy 2001 ", which aims to promote the use of RES and the application of energy efficiency technologies in the building sector. The Plan was carried out in order to set the measures for the reduction of greenhouse gases emissions in the building sector - as stated in the National Action Plan - and was completed in 1995, with the participation of competent authorities, research and academic institutes, experts etc. Action focuses on five broad fields [17], namely : a) interventions in existing residential buildings b) interventions in public buildings c) interventions in traditional buildings and settlements, d) implementation of the bioclimatic design principles in new buildings and urban settlements, and e) energy installations. In particular:
1. Existing buildings. The following measures are foreseen :
a) Residential dwellings : Reduction of energy losses through interventions concerning the building's components, installation of passive solar systems for space heating, installation of active solar systems for hot water purposes, space heating and cooling, interventions concerning the improvement of buildings' insulation.
b) Public buildings and buildings of the broader public sector : Measures for the reduction of energy consumption for space heating, cooling and lighting, through insulation improvements, installation of active solar systems etc. Proposed implementation means include the mandatory establishment of bodies responsible for energy management, energy audits and studies etc.
c) Traditional settlements : Measures such as double-glaze windows and insulation improvements will be mandatory in case of general repair. Furthermore, subsidies will be given for the installation of active solar systems for space heating, cooling and hot water.
2. New buildings. Among the most important interventions is the requirement for a mandatory study on the energy performance of every new building according to a number of specifications. The energy study will be combined with the issue of an "environmental-energy identity card", the latter forming a necessary document during the licence procedure or for selling, purchasing or renting this building. The inspection of the provisions of the above will be guaranteed by the
procedure of the "Energy-Environmental Labelling" of buildings, according to which every new building will be placed in a specific performance category, according to the study carried out and the results of on-site measurements and controls.
3. Energy installations (central heating, space heating, cooling, lighting). Measures include the mandatory control of central heating boilers in public buildings, the mandatory control of central air-conditioning systems in public buildings, offices, hotels, hospitals etc., tax exemptions for the retrofit of central heating boilers in residential dwellings in order to use natural gas, controlling devices for central heating installations, replacement of incandescent with fluorescent lamps etc.
The programme will come into force in July 1997 through a Common Ministerial Decision (Ministry for the Environment, Physical Planning and Public Works/Ministry for Development/Ministry of National Economy/ Ministry of the Interior) in agreement with the provisions of the SAVE Directive (93/76/EC) for the "stabilisation of carbon dioxide emissions and the efficient energy use in buildings" A Presidential Decree will follow, regulating the provision of subsidies for the whole building sector. The system will be in full operation in 1998 and it is expected that it will change significantly the energy consumers' behaviour.
5.1.2. Provision for investment subsidies
22.214.171.124. Development Law 1892/90
The Law 1892/90, (as amended by Laws 2234/94 and 2324/95) replaced the previous development law 1262/82. It foresees inter alia the subsidisation of industrial activities relative to energy saving, exploitation of agricultural, industrial and municipal wastes and effluents, the creation of mechanisms for energy saving, the use of solid fuels in the form of biomass and the production of energy by annual or perennial plants (energy plantations). The law also foresees the subsidisation of industries or companies for the production of electricity through the exploitation of indigenous renewable energy sources. It was the first step towards recognising the fact that this kind of investments should be subsidised as productive. Investment subsidies range from 40-55%, depending on the geographical location of the investment, while loans at reduced interest rates, tax credits and increased depreciation rates are provided.
126.96.36.199. The Operational Programme for Energy of the Ministry for Development
An Operational Programme for Energy (OPE) has been put in operation in 1996, in which funds for investments on RES and rational energy use become available. The Programme has a total budget of 946 MECU, out of which 37.5% derive from the European Commission, 29.5% from national public funds and 33% from private funds. OPE covers the time period 1994-1999 and comprises four subprogrammes:
* Sub-Programme 1 - Electricity generation. The total budget is approximately 350 MECU and covers the production of electricity by lignite (measure 1.1) and
natural gas (measure 1.2). The works currently financed by this sub-programme are: a) fuel switching of two fossil-fired units of 360 MW in Keratsini by the introduction of natural gas, and b) construction of three combined-cycle gasfired power stations in Lavrio (177 MW and 560 MW) and in Thraki (370-480 MW) .
* Sub-Programme 2 - Energy conservation. This sub-programme aims at the implementation of an integrated plan for energy conservation in various sectors, mainly in the industrial and the tertiary sectors with interventions in three basic levels :
− Institutional, organisational and regulative level (measure 2.1), including the improvement of the existing legal framework on the finance of investments, the organisation of the National Energy Council, the organisation of appropriate mechanisms for the inspection of energy conservation applications etc.
− Financial level (measure 2.2), focusing on the provision of the necessary subsidies for the motivation of investors, as well as to other financial mechanisms, such as Third Party Financing, Technology Performance Financing and Voluntary Agreements.
− Technology level (measure 2.3), including energy-audits, promotion and demonstration of new technologies for energy conservation and efficient energy use in final user groups. This measure is expected to promote significantly energy conservation measures in small and medium-size enterprises.
The implementation of the actions under this sub-programmes will result in an energy conservation of 700 ktoe on an annual basis.
* Sub-Programme 3 - Renewable Energies. The sub-programme has four main targets : development of a consistent, modern and flexible legal, institutional and administrative framework (measure 3.1), the provision of appropriate financial incentives for the development of RES applications (measure 3.2), the promotion of the required technical infrastructure for the development of a local industry for RES (measure 3.3) and the assessment of the technical and economic RES potential (measure 3.4). Through this action, it is expected that the energy production from RES will reach approximately 200 ktoe yearly. It should be noted that measures 3.1, 3.3 and 3.4, as well as the measures 2.1 and 2.3 of Sub-Programme 2, aim at the development of mechanisms which will remain economic viable even after the end of OPE.
* Sub-Programme 4 - Support of the research activities of the Institute for Geological and Mineral Research. This sub-programme supports the systematic research and investigation of the possibilities for the exploitation of natural resources for energy purposes and refers to four main fields : energy raw materials (measure 4.1), water resources (measure 4.2), equipment required for the implementation of measures 4.1 and 4.2 (measure 4.3) and programme for technical support and monitoring (measure 4.4).
Presently, 31 projects on energy conservation/cogeneration/substitution of conventional fuels by natural gas and 26 projects on the exploitation of renewable energies have been approved after the first call for proposals for measures 2.2 and 3.2. It is estimated that the realisation of these projects will result in an annual energy conservation of 140 Ktoe, accompanied by a respective reduction of
atmospheric pollutants emissions (1050 Kt of CO2, 9102 Kt of SO2 and 2087 Kt of NOx). A call for proposals referring to measure 2.3 on the technical support of small and medium-size enterprises is expected to take place in the near future.
5.1.3. Tax exemptions
Law 2364/95, which was approved by the Parliament in 1995, promotes the distribution of natural gas that is recently being implemented in Greece. The law provides a tax exemption of 75% from the end-user purchase and installation expenses of household appliances or systems using RES or natural gas, thus reinstating previous tax exemptions for users of solar collector systems, which had lapsed.
5.1.4. Other fiscal instruments
The mechanism of Third Party Financing (TPF) - through which the economic risk of investments in the field of renewable energies, rational energy use and energy conservation is undertaken by a third party (mainly the Energy Services Company/ESCO) instead of the end-user - promotes significantly the dissemination of environmentally friendly technologies and the realisation of energy investments leading to a reduction of the consumption of conventional energy forms. An appropriate legal framework is being formulated by the Ministry for Development, while a favourable evaluation is foreseen for proposals comprising TPF schemes, which are submitted for approval within the OPE framework. Furthermore, it is planned to extend the TPF mechanism on the environmental and energy projects supported by Laws 1892/90 and 2234/94.
5.1.5. Support of R&D
According to the Operational Programme for Research and Technology (OPRT) of the Ministry for Development, a number of RES demonstration projects aiming at the application and promotion of new products are financed up to 50% of the investment.
5.2. Progress in implementation of actions
The national policies and measures (PAMs), analytically described in the 1 st National communication to the FCCC, concern mainly the restriction of CO2 emissions from the energy sector (both the supply and demand side). Measures aiming at the increase of CO2 sequestration from the rational management of the biological resources and systems in Greece, although part of the National Action Plan, will not have any visible effects by the year 2000 given the fact that the energy sector is responsible for over 90% of greenhouse gases emissions. All national PAMs can be categorised in the following general areas:
* Energy sector
∗ Fuel switching
∗ Improvements in the conventional power generation system
∗ Promotion of renewable energy sources
∗ Energy efficiency improvements
∗ Transport sector interventions
* Forestry sector
∗ Reforestation
∗ Rational use of land resources
∗ Protection of soils
5.2.1. Energy sector
The measures for the reduction of greenhouses gases emissions in the energy sector, as stated in the Greek National Action Plan, together with their actual degree of implementation are summarised in Table 5-1. Details on the progress of each specific measure are given below.
The most important measures for the reduction of greenhouse gas emissions in the energy sector are the introduction of natural gas - that will substitute significant amounts of lignite and petroleum products in the electricity generation sector and end-use sectors - and the exploitation of renewable energies. The anticipated benefit provided from the implementation of measures in these two areas represents 70% of the overall CO2 emissions reduction goal (i.e. 13.38 Mt CO2) or 97% of the realistic goal (i.e. 9.6 Mt CO2) set for up to the year 2000.
Table 5-1: Greenhouse gases abatement measures in the energy sector
| Measures | Status in 1995 Degree of Administrative implementation planning | Status in 1997 Degree of Administrative implementation planning |
|---|---|---|
| PENETRATION OF NATURAL GAS | | |
| Electricity generation | Starting I | In progress I |
| Industry | Starting PD | In progress D |
| Residences - Commerce - Services | Starting PD | In progress D |
| IMPROVEMENTS IN THE CONVENTIONAL POWER GENERATION SYSTEM | | |
| Efficiency improvements Limitation of distribution losses | In progress PD | In progress PD |
| Combined Heat and Power Systems | In progress PD | In progress PD |
| RENEWABLE ENERGY SOURCES | | |
| Wind energy (300 MW) | In progress D/PD | In progress D |
| Small hydroelectric Works (34 MW) | In progress I | In progress I |
| Solar systems : • conventional systems • new technology systems | In progress PD Under elaboration P | In progress I Starting D |
| Geothermal Energy | In progress PD | In progress D |
| Biomass : • District heating (50 MWth) • Electricity generation (80 MWe) • Biofuels (50 kt/y) | In progress PD Under elaboration PD Under elaboration PD | In progress I Starting I Under PD elaboration |
| Research & Development | Under elaboration P | Starting D |
| ENERGY EFFICIENCY IMPROVEMENTS IN INDUSTRY | | |
| Cogeneration | In progress PD | In progress D |
| Improvements in auxiliary operations | In progress P | In progress D |
| Interventions in energy intensive sectors | In progress P | In progress D |
| Environmental Energy Listings | Under elaboration P | Under P elaboration |
| INTERVENTIONS IN THE DOMESTIC AND TERTIARY SECTORS | | |
| Cogeneration | Under elaboration P | Starting D |
| Lighting | Under elaboration P | Starting I/D |
| Road-lighting | In progress P | In progress P |
| Central boiler maintenance | In progress P | In progress P |
| INTERVENTIONS IN THE TRANSPORTATION SECTOR | | |
| Fuel-related interventions | In progress PD | In progress PD |
| Vehicle-related interventions | In progress PD | In progress PD |
| Interventions in the transport system | In progress PD | In progress I/D |
| Interventions in Public Transports | In progress PD | In progress I/D |
Administrative planning :
I: Under implementation
D: Decided
PD: Planned/Pending Decision P: Proposed
188.8.131.52. Penetration of natural gas
The introduction of natural gas in the national energy system is one of the largest investments to have ever been carried out in Greece. The actual cost for the NG penetration is estimated at 2 billion ECU and will be largely financed by the European Investment Bank.
According to the programme of the Public Gas Corporation (PGC), the total absorption of natural gas will reach 3.5 billion Nm 3 per year by the year 2005. Approximately 85% of this total will be imported from Russia, via Bulgaria, by pipeline, while the remaining 15% will be imported from Algeria in liquefied form.
An extended infrastructure system has been designed and is now near completion in order to carry the imported natural gas to the main consumption areas. The project consists of the following parts [11] :
1. High Pressure Transmission System (HPTS)
* Main transmission pipeline (total length : 511 km)
* High pressure branch lines (total length : 400 km)
* Above ground installations (border station, metering and pressure regulation stations, operation and control buildings, and -in the future- a compression station)
* LNG receiving terminal on Revithoussa island (comprising two LNG tanks 65,000 m 3 each and installations for regasification, dispatch and control)
* Remote control and communication facilities
2. Medium Pressure Network (total length : about 500 km), connecting the HPTS directly to industrial customers
3. Low Pressure Distribution System (LPDS) in the cities of Athens, Thessaloniki, Larissa and Volos, comprising 6,500 km of pipes and the necessary metering and pressure regulation stations.
In the future, the national gas system will be extended to feed other cities as well.
The construction of the main transmission pipeline was completed in July 1995, together with the three operation and maintenance buildings. The border station and the metering/regulating stations are under construction, as well as the LNG tanks. The medium pressure network is in good construction progress in all the four consumption areas. The construction of the high pressure branch lines and the cryogenic installations on Revithoussa island has already started. Furthermore, PGC - in collaboration of SOFREGAZ - produced the basic design of the LPDSs in the cities of Athens, Thessaloniki, Larissa and Volos and has started the procedures for the construction.
Regarding the electricity generation sector, the initial tests with NG at the first PPC gas-fired power station (Keratsini) took place in May 1997 and the power plant is expected to go into operation in the summer of 1997. The second part of the pipeline that will supply natural gas to two more power stations at Lavrio (South Attica) is scheduled to be completed by the end of 1998. Furthermore, another natural gas fired station in Thraki (Northern Greece) is also expected to come online by the end of the year 2000. Depending on the decision on the size of the power plant in Thraki and provided that all of these projects will be completed
according to the specified timetable, it is estimated that the PPC will be in a position to absorb approximately 1.1 billion Nm 3 of natural gas by the year 2000 and 1.5 billion Nm 3 by the year 2001 [10]. The total cost - as estimated by PPC for all the necessary infrastructure works related to the penetration of natural gas in the sector of electricity generation is 184 MECU.
Regarding industry, PGC has already formulated a pricing policy and the general terms of gas supply to industrial customers, while it started intensive contracts with the industrial sectors. Up to now, nine contracts have been signed for sale of more than 0.3 billion Nm 3 /yr [11]. Negotiations with other industries are in progress. The construction of network to ensure the connection of other user categories is progressing at a satisfactory rate and a few large industrial units are already connected to the distribution network. Furthermore, 15 projects for the substitution of petroleum fuels by natural gas have been submitted for approval within the framework of law 1892/90. The investments concern pottery, steel and aluminium industry, fabricated metal products, food and paper products industry. For half of these projects, the financing procedure at the Ministry of National Economy has been completed, while for the rest is in progress.
The secondary pipelines and the city networks are to be completed by the year 2000, at which time utilisation of natural gas will be gradually extended to the numerous small users of the domestic sector. Annual consumption is expected to reach 1.0 billion Nm 3 in the industrial sector and 1.0 billion Nm 3 in the domestic and tertiary sector. 7
184.108.40.206. Improvements in the conventional power generation system
The basic principle underlying the policy in this field consists of :
* Efficiency improvements of the existing lignite fired power stations - Energy conservation
* Limitation of distribution losses by :
∗ the gradual replacement of normal loss distribution transformers by limited loss transformers,
∗ the construction of a third line (400 KV) between the northern and southern electric systems, and
* Promotion of CHP systems
Efficiency improvements and energy conservation
The merits of different efficiency improvement measures are currently being evaluated by PPC, including the enhancement of the operation of the cooling towers and the installation of new lignite mills for the coal-fired stations. Other technologies considered are pressurised combustion of lignite in liquefied bed units and the more promising Integrated Gasification Combined Cycle.
Furthermore, 3 energy conservation projects in PPC power stations of a total budget of 0.6 billion GRD have been approved after the first call for proposals within the framework of the Operational Programme for Energy (OPE) of the Ministry for Development.
Limitation of distribution losses
The replacement of normal loss distribution transformers and the incorporation of the new distribution line is gradually being completed. By 1995, approximately 46% of the transformers had been replaced, while the work on the remaining 54% is expected to be completed by the year 2000. The construction of the third trunk line has been delayed because of local planning difficulties that will hopefully be resolved soon with the co-ordinated action from both the Ministry for the Environment, Physical Planning and Public Works and the Ministry for Development.
Combined Heat and Power systems
PPC has initiated the implementation of a cogeneration programme in its lignitefired plants by setting up a district-heating network in Northern Greece. Specifically :
* Medium pressure steam from the lignite-fired power station of Agios Demetrios in Northern Greece is already used for the district-heating of a part of the nearest town of Kozani (i.e. the part presenting the highest heat demand). The thermal capacity of the installation is 67 MWth. With the construction of a new power unit in Agios Demetrios, the network will be expanded to 70 MWth in order to cover the entire town.
* Medium pressure steam from the lignite-fired power station of Ptolemais is used for the district-heating of approximately 45% of the nearest town of Ptolemais. The thermal capacity of the installation is 50 MWth.
* There is a provision for the development of a district-heating network in the town of Florina, exploiting the medium pressure heat from the lignite-fired power station of Florina that will be constructed in the near future.
* A framework has been set up for the supply of heat in the town of Amyntaio and its neighbouring communities.
Other activities
Two additional activities related to the PPC's commitments for the upgrade and improvement of the electricity system in Greece are:
1. The undertaking of an extensive maintenance programme for all coal-fired units. The result of this programme has been a drastic increase of the average thermal efficiency for electricity generation from 32.2% in 1990 to 34% in 1995. This figure is expected to increase further as some of the older lignitefired units will be replaced by new units of higher efficiency, and
2. The completion of the Energy Control Centre (ECC). The ECC is a fully operational control room that aims at optimal utilisation of all available output from the power stations and the elimination of blackout occurrences especially during high demand periods.
220.127.116.11. Renewable energy sources
The Ministry for Development (MD) has placed the exploitation of renewable energies amongst its energy policy priorities. As was mentioned above, the Law 2244/94 and OPE promote the use of RES for the generation of electricity. These
initiatives are expected to substantially increase RES development in Greece during the next five years.
Since the publication of law 2244/94 and up to March 1997, the MD had received 135 applications for the installation of RES in Greece [13] . As shown in Table 52, the majority of these applications refer to the installation of wind turbines and small hydroelectric units, while there is also a smaller number of applications for biomass installations. So far, 11 installation permits have been granted for a total of 38.5 MW.
Table 5-2: Summary of applications status under Law 2244/94 by March 1997
The capacity of wind and small hydropower applications submitted for approval exceeds by far the goals set by the National Action Plan for the abatement of greenhouse gases. Although the evaluation procedure is still in progress, it is clear that the enactment of the new Law on RES exploitation and cogeneration greatly stimulated the interest of private investors, especially for the most commercially mature renewable technologies.
Wind power
Following a delay in obtaining a contract with the PPC for buying the electricity produced from the exploitation of wind energy, the first installation permits according to Law 2244/94 were issued in September 1996 and it is expected that deployment will continue without further delays. Although the additional rated wind energy capacity (35.9 MW) will more than double the current electricity production figures (approximately 34 GWh in 1995) from wind power in Greece, much higher penetration rates is hoped for 2000 with a more rigorous implementation of the law. In addition, 5 projects concerning wind farm installations were approved within the framework of OPE, after the first call for proposals.
Biomass
Regarding biomass, combustion installations burning wood residues for heat production purposes were operating in 21 manufacturing units (wood industries, paper mills and lime industries) in 1995. The total amount of residues burned was 79,515 tons and the total heat production was 1166 TJ. In addition, there were 9 cotton ginning factories burning residues for heat production (18,050 tons of cotton residues, 257 TJ heat produced) [9]. Within the framework of Law 1892/90, 20 projects concerning the substitution of liquid fuels by cotton and wood residues have been submitted for approval. For half of these, the financing procedure in the Ministry of National Economy has been completed, while the for the rest is in
progress. In addition, 5 projects concerning biomass exploitation were approved within the framework of OPE, after the first call for proposals.
Thermal solar and photovoltaics
In 1995, approximately 30% of the total number of households in Greece use flat plate collectors for thermal water heating purposes, amounting to a total of 2.0 million m 2 of installed solar systems. It should be noted that this figure represents the 57% of the total surface area of solar collectors installed in the whole European Union, while the local industry accounts for 50% of the total European market. The annual energy production from these units reaches 1.2 TWh, thus reducing CO2 emissions by approximately 1.5 Mt per annum. The internal market is estimated to grow by 120,000 m 2 per year, resulting to a total installed area of approximately 2.5 million m 2 by the year 2000.
Within the framework of OPE, 6 projects concerning the installation of central solar systems in hotels, 1 project concerning the installation of a passive solar systems in a school and 3 projects concerning PVs installations were approved, after the first call for proposals.
Regarding PVs, it should be noted that one out of the three projects approved consists of a 5 MW solar photovoltaic plant, which - when completed - will be one of the largest in Europe. The realisation of the three PV projects approved will promote the penetration of solar photovoltaic plants, that currently amount to only 235 KWp, providing 216 MWh of net electricity power [9] .
Hydropower
Apart from projects approved within the framework of Law 2244/94 (Table 5-2), 6 additional projects concerning the development of small hydroelectric works were approved within the framework of OPE, after the first call for proposals. Further substantial CO2 reductions are also to be expected from the incorporation in the PPC programme of new hydroelectric works of more than 600 MW capacity by the year 2000. Financing for these units has been secured and, as shown in Table 5-3, their construction will be completed by the year 2000 [22] .
Table 5-3: New hydropower stations of the PPC
Research and development
During the period 1994-1999, the basic instrument for the formulation and implementation of the research and technology policy will be the 2 nd Operational Programme for Research and Technology (OPRT II). Action for reduction of CO2 emissions is incorporated mainly in the following programmes :
(a) Programme EKVAN (Research Consortia for Improving the Industrial Competitiveness) : Introduced in 1993, this programme supports collaborations between the academic and production sectors via long-term projects with substantial budget and aims.
(b) PEPER (Programme of Demonstration Projects) : Launched in 1995, the programme supports the promotion and implementation in Greek enterprises of new techniques and processes or the manufacturing of new products for which the research and development stage is almost completed.
(c) The Technology Brokerage Programme : Conceived in 1995, it aims to enhance the flow of technology between suppliers and users of technology, as well as to develop the technology market in the country and the profession of technology brokers.
Up to now, 17 projects related to RES exploitation have been included in these three Programmes and they are in progress. Furthermore, several institutes/ organisations involved in the field of RES development and energy use are currently receiving funds for improvement of their laboratories and other facilities.
18.104.22.168. Energy efficiency improvements in industry
Energy efficiency improvements in various areas of the industry sector are being promoted under the provisions of laws 1892/90 and Law 2244/94. Combined heat and power (CHP) generation has been particularly popular for application in several energy-consuming units of the industry sector, public buildings and other areas, such as the ceramics, food and textile industries. According to the latest data from PPC and the Greek Organisation for the promotion of Combined Heat and Power, industrial CHP units in Greece have reached an output of about 3% of the total electricity supply, whilst it is estimated that this figure could increase to 4% in the near future without the need for any further investments. The existing CHP units in industry [12] are shown in Table 5-4.
Table 5-4: Existing CHP units in industry
Other activities being promoted include fuel switching from fuels with high carbon content to other less carbon intensive energy forms (natural gas, biomass) and production and combustion of biogas from landfills. Within the framework of the law 1892/90, 2 projects concerning the installation/expansion of CHP units in petroleum refineries have been approved and will be financed by the Ministry of National Economy. Within the same legal framework, 6 projects concerning energy conservation and use of exhaust gas heat in sectors such as cement and glass industry, pottery and dryers have been submitted for approval. For half of these, the financing procedure at the Ministry of National Economy has been completed, while for the rest is in progress.
In addition, within the framework of the Operational Programme for Energy (OPE), 24 projects on energy conservation, cogeneration and substitution of fossil fuels by natural gas in refineries, dryers, cement, sugar, food, electric and mechanical equipment, glass, aluminium and paper / pulp industry (total budget : 16 billion GRD) have been approved after the first call for proposals.
22.214.171.124. Interventions in the domestic and tertiary sectors
Apart from the introduction of natural gas, a major intervention in the domestic and tertiary sector in order to reduce greenhouse gases emissions is energy conservation. Increased energy conservation in the building sector will specifically result from the implementation of new legislature currently under preparation, which is expected to come into force after 1997. As mentioned above, the Ministry for the Environment, Physical Planning and Public Works has pushed forward an action plan, titled "Energy 2001" (to be introduced as a Presidential Decree) concerning policies, measures, new techniques, and incentives for energy conservation and promotion of renewable energy sources in the building construction sector. Some of the highlights of the action plan are:
* Measures for :
∗ energy saving techniques
∗ improvement of the efficiency and operation of the existing central heating installations
∗ introduction of the principles of environmental/energy planning and promotion of the principles of bioclimatic architecture in the planning process of new buildings
* Measures for the technology dissemination and education of technicians, engineers and the general public
* Technical advise, regulations and suggestions for the promotion of certification of construction material and of new technology products
* Planning regulations related to environmental/bioclimatic planning of buildings
* Energy audits in buildings
Regarding energy conservation in the domestic and commercial sector, a programme for the replacement of incandescent by fluorescent lamps was carried out by PPC in the island of Crete in 1996. It should be noted that in Crete, as well as in many other Greek islands with a high tourist activity, electricity demand
presents a much higher rate of increase compared to the mainland. By the completion of the programme, approximately 55,000 lamps were replaced, while the initiative will be repeated this year. In addition, 3 energy conservation projects in hospitals and public services have been approved after the first call for proposals within the framework of the Operational Programme for Energy.
An important intervention for the reduction of greenhouse gas emissions in the tertiary sector is the promotion of cogeneration. Two recently commissioned pilotdemonstration CHP projects are the "Solar Village" near Athens (67 KWe/72 KWth) and a private school in Athens (320 KWe) with combined space heating during winter and cooling during summer [12] .
126.96.36.199. Interventions in the transportation sector
Up to 2000, policies and measures in the transportation sector comprise mainly further promotion of mass transport, improvements in the road network and continuous renewal of the fleet. Although these activities are not directly related to CO2 reductions, they are expected to have an impact on fuel consumption and engine efficiency of road vehicles.
Interventions in the transport system
The efforts of the Ministry for the Environment, Physical Planning and Public Works for the enhancement of the existing infrastructure have primarily focused on the following targets [19] :
(a) Road grid improvements in the large urban centers. The major part of these improvements refer to the broader Athens area. During the last three years (1994-1996), significant infrastructure works in the existing road network were carried out, while an additional 50 MECU will be spent in road grid improvements during the time period 1998-2000.
(b) Reconstruction of the major highway road arteries. A number of significant infrastructure works in the national highway grid is actually in progress. These works will significantly decrease energy consumption - and consequently the emissions of carbon dioxide - in the transportation sector, as they will greatly reduce the distance to several important destinations. Specifically :
* Construction of the highway linking Patras-Athens-Thessaloniki (total length: 730 km, total budget : 2433 MECU). This work is very important, as it will cross the country North to South and will link 5 administrative regions, 10 prefectures, 14 towns and 5 ports. Up to now, 202 km are completed, with 310 additional km to be completed by the year 2000.
* Construction of the Egnatia highway in Northern Greece (total length : 680 km, total budget : 2333 MECU). The work is very important for the transportation sector, as it will permit a direct access to 19 large towns in Northern Greece, 5 ports (Igoumenitsa, Thessaloniki, Volos, Kavala and Alexandroupoli), 8 airports, 10 important industrial areas. Up to now, 122 km have been completed, while 280 km are under construction.
* Construction of the Rio-Antirrio bridge (total budget : 733 MECU). The work will be completed by the year 2004. The work will significantly reduce the distance for transportation from Peloponnese to Central and Northern Greece. It should be noted that on an annual basis, approximately 2 million vehicles - out of which 25% are buses and trucks - and 6 million passengers cross this sea-channel. The average time for crossing the channel (now around 45 minutes) will be reduced to 5 minutes at most.
* Undersea highway of Maliakos Gulf (total budget : 333 MECU). The new highway will reduce the traveling distance by 44 km, compared to the existing road grid. The work will be completed by the year 2002.
* Construction of the Stavros-Elefsina highway (total length : 70 km, total budget : 1667 MECU). The work will be completed by the year 2002 and will link the west part of Attica with the new airport of Spata, which is under construction, without the need to cross the town of Athens.
(c) Improvements in the traffic-lights system. Within the framework of the programme «Attica SOS» (an on-going programme developed in 1994 by the Ministry for the Environment, Physical Planning and Public Works in order to tackle the serious environmental problems in the Attica region), improvement works in four major road arteries of Athens have been carried out. In addition, a computerized system for the control of the traffic-lights system in the center of Pireus area has been completed. Additional works are in progress in the town of Thessaloniki, within the framework of the programme «Thessaloniki SOS» (an initiative similar to the one for the region of Attica).
Interventions in Public Transport
Interventions in Public Transports include mainly the following measures [14,15,18] :
(a) Construction of metro lines. Two new metro lines will supplement the already existing Athens underground service. Up to now, approximately 60% of the work has been completed and full operation is expected by the year 2001.
(b) Improvements in the existing Athens' metro-line. Additional wagons have been included in the existing traffic lines, increasing the transportation capacity during peak hours by 15%, to reduce car traffic.
(c) Efficiency improvements of buses. In Athens, up to 1995, old buses were replaced by 614 new low-polluting ones. It is expected that by 1998, approximately 1000 more new buses will be purchased.
(d) Interventions in the traffic network of buses. In the greater Athens area, a re-organisation of the bus traffic network has started by the development of five main central-lines and subsequent local lines. By these intervention measures, the number of vehicle-km has been reduced. Further works will be carried out within the next years. Furthermore, bus lanes in major road arteries in Athens are already in operation, while additional works are also in progress. The bus traffic network will be further improved by the re-design of traffic lines. Relevant technical studies are in progress.
(e) Restrictions in the use of private cars in urban areas. The entrance of private cars in the commercial centre of Athens is now prohibited. This measure resulted in a significant improvement of traffic conditions and - in combination with the circulation of flexible mini-buses - promoted the use of public transportation means. In combination to the existing and planned interventions in the field of parking policy, it is expected that the use of private cars in urban centres will be further discouraged.
(f) Improvements in the Athens' suburban railway network. This measure includes the improvement of railway stations, the provision of vehicles, the renewal of traffic-lights and the development of park-and-ride stations. Required funds will be supplied by the Ministry for the Environment, Physical Planning and Public Works, the National Railway Organisation and the Regional Operational Programme for Attica. The work is in progress.
(g) Reconstruction of the national railway network. The "Railway" Operational
Plan is financed by the Community Support Framework 1994-1999 with a total budget of 490.1 MECU. The Plan includes the following subprogrammes:
* Improvements in the railway line of Athens-Thessaloniki-Edomeni (this line has been included in the High Speed European Network)
* Provision of railway material and maintenance installations
* Improvements in the rest of the railway lines grid
* Connection with the port of Kavala, in Northern Greece
During the time period 1994-1995, the progress of the work was very satisfactory.
Furthermore, additional works are financed by the Cohesion Fund with a total budget of 497.4 MECU, including the construction of two supplementary railway lines, enlargement of existing railway lines, electrification of the Pireus-Athens-Thessaloniki railway line. The above mentioned works will facilitate a shift of goods and passengers transportation from gasoline and diesel vehicles to railway.
Interventions in vehicles
Measures taken by the Ministry for Transportation include mandatory periodic overall check controls (every 2 years) and annual renewal of the Exhaust Control Card (ECC) for all road vehicles [15] . The establishment of the ECC leads to a reduction of exhaust emissions, higher performance of the engine and fuel conservation.
5.2.2. Agriculture and Forestry
The measures for the reduction of greenhouse gases emissions from agriculture and forestry, as stated in the National Action Plan, together with their actual degree of implementation, are summarised in Table 5-5. Details on specific measure are given below.
Table 5-5: Greenhouse gases abatement measures in agriculture and forestry
| Measures | Status in 1995 Degree of Administrative implementation planning | Status in 1997 Degree of Administrative implementation planning |
|---|---|---|
| Acceleration of Reforestation programmes | In progress PD | In progress D |
| Reinforcement of the Forest Resource Control Programme | In progress PD | In progress D |
| Protection of soils from erosion | In progress PD | In progress PD |
| Study on the rational use of forest resources | Starting PD | Starting PD |
| Rational use of farmlands | Starting PD | Starting PD |
| Support for the utilisation of agricultural by-products | In progress PD | In progress PD |
| Support for the promotion of energy cultivations | Under P elaboration | Under P elaboration |
| «The role of forests and agriculture in the CO balance» 2 | Under P elaboration | Under P elaboration |
Administrative planning :
D: Decided,
PD: Planned/Pending Decision, P: Proposed
Although no significant progress is discernible in this very important sector, a number of structural changes and improvements in the Forestry Service have been put in place which are necessary for the implementation of the reforestation programme. Actions to be carried out comprise :
a) reforestation with coniferous and deciduous species, giving priority to species resistant in forest fires,
b) construction and improvement of forest roads,
c) construction of small-size works in mountainous areas facilitating access to forests, and
d) construction and improvement of buildings used by the Forestry Service for the inspection of forest fires.
Regarding the reinforcement of the Forest Resource Control Programme (i.e. the control of forest fires), the implementation of this measure is in progress and it is expected that the trend observed during the last years (i.e. every 3-4 years, forest fires are more than triple the annual average), resulting in a significant loss of forest land will be altered.
As for the protection of soils from erosion, there has been some progress in works carried out, especially in areas where forest fires occurred during the period 19921995. Regarding the rational use of farmlands (i.e. setting-aside of arable land for non-agricultural use), it is expected that by the implementation of the EU Directive
92/2078 more than 2500 ha of agricultural land will be set-aside. Finally, as for N2O, it is expected that the implementation of the EU Directive 91/676 on the reduction of pollution of surface and ground water from nitrates will lead to the decrease of N-fertilisers used in agriculture.
6. ADAPTATION MEASURES
6.1. Nature conservation
Within the context of the EU Directive 92/43 "Natura 2000", an integrated programme on the management and conservation of natural ecosystems has been developed by the Ministry for the Environment. The programme is included in the Operational Plan for the Environment (OPENV) and financed by the 2nd Community Support Framework. It comprises the formulation and establishment of management plans in important biotopes and protected areas (areas protected under the Ramsar Convention, National Forests, Marine Parks, other biotopes included in the "Natura 2000" network), as well as the necessary works for the creation of infrastructure for environmental protection in the areas in question. Plans include the definition of the spatial limits for each protected area, the formulation of a consistent set of management actions and operational rules, as well as the determination of the appropriate management body for each area.
Actually, 27 similar projects in marine parks, waterlands and mountainous areas, of a total budget of approximately 32 MECU are financed under measures 3.2 (Development of infrastructure for the conservation and protection of important national biotopes) and 3.3 (Development of infrastructure for the management and protection of biotopes, natural systems and soils - Implementation of the sustainable development principle) of OPENV. It should be noted also under the latter measure 3.3, a project concerning the protection of soils from erosion in three coastal areas is being financed.
6.2. Coastal Zone Management and Water Management
According to the national environmental policy on the environmentally sound development of sensitive zones (coastal areas, biotopes, forests etc.), rules and restrictions regarding the possible land uses within these zones are determined by Specific Planning Studies, which are implemented through relevant Presidential Decrees. Within the context of the ENVIREG Programme for the protection and development of coastal areas, 13 similar studies concerning coastal areas in islands, as well as in the mainland, were financed. Actually, these studies are at the final stage of completion. Furthermore, within the context of OPENV (measure 4.1 on spatial planning), additional Specific Planning Studies, as well as the development of a national regulative framework for coastal areas, are currently being financed.
In addition, within the context of OPENV, a project concerning the installation of Gaw stations and stations for the measurement of sea level changes, is being financed.
6.3. Research
The Ministry for the Environment, Physical Planning and Public Works supported (under the 2 nd Community Support Framework of the EU) :
a) a research study entitled "Assessment of the impact of emissions of CO2 and other greenhouse gases to climatic changes". The main objective of this work was to define the requirements for the development of a network, which by monitoring a wide range of climatic parameters will allow the recognition of the impacts of climate change onto the natural and anthropogenic environment in Greece
b) a research study for the development of monitoring stations GAW (Global Atmospheric Watch) and stations for monitoring sea level changes.
7. EDUCATION, TRAINING AND PUBLIC AWARENESS
7.1. Education
Greece participates in the GLOBE Programme (Global Learning and Observations to Benefit the Environment). GLOBE is implemented in Greece under the auspices of the Ministry for the Environment, Physical Planning and Public Works and the Ministry of National Education, while the University of Athens has the scientific and technical responsibility for the Programme. During the first year of implementation of the Programme in Greece (which was given the name GLOBE/ALEXANDROS), 24 schools were included in the network. These schools reflect a wide geographic coverage of Greece and all levels of education.
Within GLOBE/ALEXANDROS students can enhance their education through involvement in scientifically valid research. The goals of the Programme are:
* to enhance the environmental awareness of individuals at national and international level,
* to contribute to the scientific understanding of the Earth's environment and
* to help all students reach higher levels of achievement in science and mathematics.
A first assessment of the progress showed that the Programme succeeded in motivating teachers and students. The programme's success resulted in several schools to apply for becoming members of the GLOBE/ALEXANDROS network.
7.2. Environmental information
The access to environmental information in Greece will be significantly facilitated through the development of the National Network of Environmental Information (NNEI), a project which is financed by the 2nd Community Support Framework for the Environment. The target of the project is to support the formulation of national environmental policy and to promptly provide reliable data on the environmental quality in Greece to the European Environmental Agency (EEA). Within this general framework, a computer network connecting the central administration with regions and including environmental information provided by the major Greek environmental organisations is actually under development. The network will also be connected to the EEA network.
During the first phase of the project, 3 regions and 5 prefectures were connected with central computer stations in Athens. Databases and a GIS system have been incorporated to the network, while certain pilot software programmes for data input have been developed. The second phase of the project, at the end of which the network will be expanded to cover all regions and prefectures in Greece, is financed by OPENV with a total budget of approximately 9.2 MECU.
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8. EMISSIONS PROJECTIONS
Growth rate variations in societal and economic sectors are closely related to the energy demand and supply. As discussed in Chapter 3, in Greece, energy related activities are responsible for 84% of the global greenhouse gases emitted each year. In 1995, carbon dioxide emissions from the energy sector accounted for approximately 96% of this total, thus making this gas the largest contributor to the greenhouse effect. It is clear, therefore, that the development of energy policy is of paramount importance in the trend of future emissions of greenhouse gases.
This chapter gives an overview of emissions estimates for Greece up to and beyond the year 2000. These estimates are primarily based on the forecast of energy demand that in turn is related to societal and economic trends and macro-economic prospects.
8.1. Emissions for the year 2000
As shown in Figure 8.1, for the period 1991-1995, CO2 emissions are within the limits set by the National Action Plan. In 1995, the cumulative increase compared to the 1990 levels, was 7% against 8.6% and 5.8% of the pessimistic and optimistic scenarios, respectively. This, however, is not principally the result of the national PAMs described in the previous chapters, but is primarily attributed to:
a) past efforts of the PPC for the improvement of the combustion efficiency of its lignite-fired stations and
b) the decrease in the energy demand of manufacturing units due to the recession of the industrial sector in the first five years of the 90s.
The upward tendency of the CO2 emissions in the following years is expected to remain relatively unchanged mostly because of the following reasons:
a) very high increases in electricity demand (estimated to be 4% per annum up to 2000),
b) increased energy needs of the industrial sector, whose output has exhibited encouraging signs of recovery during the latter part of 1996, and
c) expected increase, at current rates, of the energy demand by the other economic sectors, without any tendency for stabilisation before the year 2000.
Despite these developments for future energy demand, it should be emphasised that the implementation of the PAMs discussed in the previous chapter (particularly natural gas penetration, energy efficiency improvements and augmented use of renewables), will significantly curtail the emissions up to the year 2000. As far as electricity demand is concerned, the actual amount of CO2 increase will depend on the means for meeting this demand. It is expected that the utilisation of the lignite units will be maximal, given their substantially lower operating cost. Still, the projected intense use of natural gas, which will be utilised for electricity generation in 1997/1998, will keep the cumulative increase within bounds. Provided that the implementation process of the National Action Plan will follow closely the time schedule set for the period 1997-2000, for all sectors concerned, the final increase is expected to be approximately 16% compared to 1990 levels, a level well within the target set by the Greek government.
8.2. Emissions up to the year 2010
A number of forecasts for the period after 2000 are available for Greece. We focus here on the prediction of final energy demand as the means to compute the emissions of CO2 from the energy sector, since they typically account for over 90% of the total emissions both in Greece and in the EU as a whole. The estimates presented in this section refer to the following five scenarios:
1. Business-As-Usual (BAU)
2. Conventional Wisdom (CW)
3. Forum (FO)
4. Current Trends (CT)
5. Effects of the Community Support Framework (ECSF)
The first three scenarios were extracted from the work of Kapros et al. [6] utilising MIDAS 5.1, (the scenarios were developed by the EC DG-XVII for the prediction of future energy and economic trends in all EU member states). The fourth scenario is based on current trends of energy demand and the anticipated GDP growth according to the provisions of the cohesion programme and the official predictions of the Greek government. The last scenario, [7], emphasises the macroeconomic approach resulting in final energy demand from which the expected emissions have been computed. This latter model takes into account the effects that the 2 nd Community Support Framework is likely to have on the Greek economy.
Forecasts of the final energy demand and CO2 emissions for all five scenarios are presented in Table 8-1. It should be emphasised that in order to enable the comparison between all five scenarios, the emissions for BAU, CW and FO have
been recalculated by using the same emission factors as those for the other two scenarios. Therefore, the figures presented in Table 8-1 may be different than those reported in [6].
Table 8-1: Final energy demand and CO2 emissions for the five scenarios
A comparison of the final energy demand and CO2 emissions for the five models is presented in Figure 8.2 and Figure 8.3.
As shown in the above figures, there is a large discrepancy between the forecasts of the five scenarios, which, for the CO2 emissions in 2010, range from +65% to +2% compared to 1990 levels. These arise from the differing assumptions for the growth of the economy, the energy system developments and the fuel mix used for the meeting of the energy demand.
For the period after 2000, the Greek Government has reaffirmed its desire to continue its efforts to curtail further greenhouse emissions. Having considered that the adopted targets should be demonstrably reachable from the financial-technical point of view, acceptable socially and in step with overall national constraints and international obligations, the Greek Government has stated its intention to restrict the national increases of CO2 emissions between 2000 and 2010 to a level of 13%. This level is considerably lower than the no-action option and of the same level as the Conventional Wisdom scenario, which incorporates a number of current programs and policies such as: natural gas penetration, efficiency improvements and use of all available clean technologies.
The major instruments to be applied towards this goal are the following (in order of priority):
1. Increased use of natural gas in electricity generation with the construction of at least 2 new power stations in northern Greece, modification of existing power plants to include topping cycles and introduction of new clean coal technologies.
2. Energy conservation measures in the transport sector focusing on mass transport, improved road grid, continuous renewal of the fleet and improvements in communications assisting decentralization of private and especially state services.
3. Increased energy conservation in the building sector specifically resulting from the implementation of new legislature currently under preparation.
4. Continuing emphasis on renewable energy sources utilisation
9. REFERENCES
[1] UNEP/WMO/OECD/IEA, 'IPCC Guidelines for National Greenhouse Gas Inventories', Volumes 1, 2 and 3, 1995
[2] Greek Insurance Companies Statistical Service / Association of Hellenic Insurance Companies 'Statistical Yearbooks 1990-1994', Athens (in Greek)
[3] EMEP/CORINAIR 'Atmospheric Emission Inventory Guidebook', Prepared by the EMEP Task Force on Emission Inventories, February 1996
[4] Ministry for the Environment, Physical Planning and Public Works 'Climate Change - The Greek Action Plan for the Abatement of CO2 and Other Greenhouse Gas Emissions', Athens, February 1995.
[5] Ministry for the Environment, Physical Planning and Public Works / National Technical University of Athens, 'Climate Change - The Greek Action Plan for the Abatement of CO2 and Other Greenhouse Gas Emissions - The Technical Report', Athens, February 1995. (in Greek)
[6] Kapros, E. Kokkolakis, S. Makris, L. Mantzos, Y. Antoniou, J.F. Guilmot, 'Energy Scenarios 2020 for European Union - Volume 8: Results for Greece', Report to EC DG-XVII/A2, October 1995.
[7] Kalyvitis and N. Christodoulakis 'The Demand for Energy in Greece: Assessing the Effects of the Second CSF', Report in the scope of Project JOU-2-CT92-0257 of DG-XII, May 1995.
[8] Centre for Renewable Energy Sources, "Renewable Energies Guide: Exploitation possibilities for local authorities", June 1996.
[9] Centre for Renewable Energy Sources, "Renewable Energy Sources Statistics for Greece, 1989-1995", April 1997
[10] DEPA Public Gas Corporation S.A., "Natural Gas in Greece", Athens, February 1996
[11] DEPA Public Gas Corporation S.A., "Macro-Economic and Environmental Impacts of Natural Gas Introduction into the Greek Energy System", Athens, March 1996
[12] Fragopoulos H., Karidoyiannis E. and Karalis G., "Cogeneration of heat and electricity", ELKEPA, Athens 1994 (in Greek).
[13] Pippos Ch., "The Greek economic incentives for the promotion of renewable energy sources and energy efficiency in Greece", paper presented in the Energy Forum 1997, Ankara-Turkey, 7-8 April 1997.
[14] Ministry for the Environment, Physical Planning and Public Works, "Attica SOS : An integrated Action Plan with interventions-measures-works", Athens, June 1994 (in Greek).
[15] Ministry for the Environment, Physical Planning and Public Works, "Attica SOS : Implementation of the Action Plan 1993-1995. Assessment and comparisons", Athens, May 1995 (in Greek).
[16] Ministry for the Environment, Physical Planning and Public Works, "Greece, Ecological and Cultural Reserve: Data, Actions, Programmes for environmental protection", Athens, July 1995 (in Greek).
[17] Ministry for the Environment, Physical Planning and Public, "Energy 2001 : Action Plan for Energy Conservation in the Building Sector", February 1995 (in Greek).
[18] Ministry for the Environment, Physical Planning and Public Works, "Thessaloniki SOS: Programme for the improvement of life quality", Athens, May 1997 (in Greek).
[19] Ministry for the Environment, Physical Planning and Public Works / General Secretariat for Public Works, "1994-1997: Progress assessment, 1997-2000 : Future Actions", Athens, February 1997 (in Greek).
[20] National Statistical Service of Greece, "Agricultural statistics of Greece" for the years 1980 -1994 (in Greek).
[21] National Statistical Service of Greece, "Annual Statistics Report", 19801997 (in Greek).
[22] Public Power Corporation, "Development Plan 1994-1998-2003", May 1994.
[23] National Statistical Service of Greece, 'Distribution of the area of Greece by land use category', Athens, 1986 (in Greek)
[24] Greek Ministry for Agriculture / General Directorate for the Forests and the Natural Environment, 'Results of the First National Forest Sencus', Athens, 1992 (in Greek)
[25] Lloyd's Register of Shipping, 'Lloyd's Fleet Statistics, December 1992', London 1993
[26] Ministry for the Environment, Physical Planning and Public Works / National Observatory of Athens, "National Inventory of Greenhouse and Other Gases for the Years 1990-1994', Athens, January 1996.
[27] IPCC, 'Climate Change 1995. The Science of Climate Change. Contribution of Working Group I to the Second Assessment Report of the Intergovernmental Panel on Climate Change', Cambridge University Press, 1996
|
VIRAL HEPATITIS
Published by the Viral Hepatitis Prevention Board (VHPB)
May 2007 Volume 15 - Number 2
CONTENTS
Editorial
This edition of Viral Hepatitis is based on material presented at the Viral Hepatitis Prevention Board meeting on the Prevention and Control of Viral Hepatitis in Spain: Lessons Learnt and the Way Forward
Madrid, Spain, November 23-24, 2006.
This issue of Viral Hepatitis reviews topics covered at the VHPB's autumn meeting held on November 23-24, 2006 in Madrid, Spain. The overall objective of the meeting was to review the current situation relating to prevention and control of viral hepatitis in Spain. Main topics discussed among participants included the organization of healthcare system, the epidemiological situation, surveillance system, research activities, and current prevention and control measures of viral hepatitis. The meeting concluded with lessons learnt from the experience in Spain, the way forward and how to meet future challenges.
The 1978 Constitution established a new territorial structure, dividing Spain into 50 provinces, grouped into 17 Autonomous Communities (ACs) and 2 Autonomous Cities. Healthcare is organized in a two-level National Health System (primary healthcare, specialist care) whereby minimum health standards are guaranteed by a State consensus while additional health priorities may be adopted and entirely managed by the ACs of Spain. Primary healthcare is characterized by extensive accessibility and equity whereas the whole system poses the question of complexity versus flexibility of this type of constitutional framework. This question is of particular relevance in the light of similar devolved governmental or administrative entities in other European countries, such as, for example, the "cantons" in Switzerland, "Laender" in Germany, "regions" in Italy or "communities" in Belgium.
Within the epidemiological surveillance network for infectious diseases in Spain, a strengthened reporting system is needed as a basis for appropriate prevention and control policies. The importance of a well-functioning outbreak investigation programme, established for ten years, was further emphasized during the meeting. Outbreak information has been consolidated since 1987, thanks to the transfer of responsibilities to the ACs, further supported by increased human resources and staff training.
An update of the epidemiological situation on viral hepatitis in Spain showed that preventive measures have led to a significant decrease in the incidence of hepatitis A, B and C infections.
As a result of Spain's pioneering role in the implementation of successful universal mass vaccination programmes against hepatitis B (HBV) in the entire country starting already in 1992, the country has seen a steady decrease in annual HBV incidence.
Spain is an area of low hepatitis A (HAV) endemicity, with prevalence remaining under 15% in the up- to-19-year-old population (1996). Regional differences may be attributable to outbreaks in specific regions or to effective HAV vaccination programmes in some regions, as demonstrated in Catalonia. In terms of ongoing epidemiological research activities in Spain, molecular epidemiology studies investigate the presence of HAV in the environment, illustrating environmental circulation (sewage water, rivers, shellfish). A limited number of studies have investigated the epidemiology of hepatitis E (HEV) in Spain, with prevalence varying from 6 to 7%. Molecular techniques were used to investigate the presence of HEV in sewage water and the potential role of swine as animal reservoir. Interestingly, the data presented indicate that HAV and HEV may be more widespread than previously thought, representing a situation of sanitary risk. Based on these findings, the importance of including HEV testing in the routine diagnostics of acute and fulminant hepatitis was emphasized.
Discussions relating to current research activities also addressed the power of up-to-date molecular techniques used for the diagnosis of hepatitis in Spain. Substantial benefits gained from molecular epidemiology included the identification of the source of hepatitis C (HCV) infection and the establishment of its transmission mechanisms. Molecular diagnosis also led to the improvement of blood supply safety by reducing the residual risk of HBV transmission.
The frequency of HCV-HIV coinfection in Spain is one of the highest among European countries. It was concluded from the growing importance of HCV-related morbidity and mortality among the HIV positive population, that this large cohort of coinfected patients is expected to have an impact on the demand of health resources for clinical care.
While high coverage rates (> 95% in children) confirm the high performance of hepatitis vaccination programmes in Spain, specific recommendations were made during the meeting, relating to outstanding challenges to be faced.
Isabel Pachón and Daniel Shouval, on behalf of the Viral Hepatitis Prevention Board
VIRAL HEPATITIS PREVENTION BOARD
Core Members
Dr Nedret Emiroglu
WHO Regional Office for Europe / EPI, WHO
Copenhagen, Denmark
Dr Johannes Hallauer
Department of Health, Sozialministerium
Schwerin, Germany
Dr Mark Kane
Seattle, Washington, USA
Dr André Meheus
Faculty of Medicine
University of Antwerp, Belgium
Dr Craig Shapiro
Department of Immunizations, Vaccines and
Biologicals, WHO
Geneva, Switzerland
Advisers
Dr Claire Cameron
Health Protection Scotland
Glasgow, Scotland
Dr Selim Badur
Microbiology Department
University of Istanbul, Turkey
Dr Hans Blystad
Norwegian Institute of public health
Oslo, Norway
Dr Paolo Bonanni
Public Health Department
University of Florence, Italy
Dr Nicole Guérin
Comité Technique Vaccinations
Antony, France
Dr Wolfgang Jilg
Institute for Medical Microbiology and Hygiene
University of Regensburg, Germany
Dr Daniel Lavanchy
Communicable Disease Surveillance and Response,
WHO
Geneva, Switzerland
Dr Harold Margolis
Pediatric Dengue Vaccine Initiative
International Vaccine Institute
Dr Vassiliki Papaevangelou
Department of Pediatrics
University of Athens, Greece
Dr Françoise Roudot-Thoraval
Public Health, Hôpital Henri Mondor
Créteil, France
Dr Daniel Shouval
Liver Unit, Hadassah University Hospital
Jerusalem, Israel
Dr John Ward
Liaison adviser
Division of Viral Hepatitis at NCID, CDC
Atlanta, Georgia, USA
Dr Steven Wiersma
Liaison adviser
Division of Viral Hepatitis at NCID, CDC
Atlanta, Georgia, USA
Dr Alessandro Zanetti
Institute of Virology University of Milano, Italy
Honorary Advisers
Dr Pietro Crovari
Institute of Hygiene
University of Genoa, Italy
Dr Alain Goudeau
Université de Tours, France
Dr Peter Grob
Zuniken, Switzerland
Dr Eric Mast
Division of Viral Hepatitis, NCID, CDC
Atlanta, Georgia, USA
Dr Elisabeth McCloy
Dorking, Surrey, United Kingdom
Dr Colette Roure
Direction Générale de la Santé / SD7
Paris, France
Executive Secretary
Dr Pierre Van Damme
Faculty of Medicine
University of Antwerp, Belgium
Executive Secretariat
Ms Emmy Engelen
Mr Alex Vorsters
Faculty of Medicine
University of Antwerp, Belgium
Rapporteurs
Dr Véronique Delpire
Brussels, Belgium
Dr Anita Vanderpooten
Brussels, Belgium
MEETING NEWS
Prevention and Control of Viral Hepatitis in Spain: Lessons Learnt and the Way Forward Madrid, Spain, November 23-24, 2006
Organization of healthcare system in Spain
National Health System: administrative and legal framework
The administrative organization in Spain is based on a parliamentary monarchy which has been in place since 1976. The 1978 Constitution established a new territorial structure, dividing Spain into 50 provinces, grouped into 17 ACs and 2 Autonomous Cities. ACs have wide legislative and executive autonomy, with their own parliaments and regional governments.
The public regime of the social security and the right for all citizens to enjoy health protection and healthcare are laid down in Articles 41 and 43 of the Spanish Constitution of 1978.
The main principles governing the exercise of this right are regulated by the General Health Act 14/1986 and include:
* public funding, with universal, free health services at the time of use;
* devolution of health affairs to the ACs;
* provision of holistic healthcare, aiming to achieve high quality, with proper evaluation and control;
* inclusion of the different public health structures and services in a National Health System (NHS).
Coordination of healthcare at national level is laid down in this Act which also identifies the tools for collaboration and establishes the NHS's Inter-Territorial Board as the coordinating body. The role of the board is further specified in the Act 16/2003 on Cohesion and Quality in the NHS. Its main objective is to guarantee the right to health protection and ensure equity and quality through coordination and cooperation among the Public Health administrations of the decentralized NHS, as illustrated in the slide below. The board has an advisory role, making recommendations aiming at a consensus for national health policy while ACs are the decision-making bodies.
Members of the Inter-Territorial Board are the highest responsible authorities for health in Spain; repre- sentatives from both State and Regional
Administrations are equally present.
The State Administration is represented by the Minister of Health who chairs the Board.
Each AC is represented by the member of the Regional Government in charge of health. The Spanish NHS includes both State and AC Health Departments and covers all health functions and services for which public authorities are legally responsible.
Spanish National Health System: Coordination
Inter - Territorial Board
Presided by the Health Minister
Commissions, Boards and Working Groups
DECENTRALIZATION - COORDINATION
State
Administration
Autonomous
Communities
Administration
G
overnme
nt
G
overnme
nt
Healthcare in Spain is mainly provided within the public sector, in the form of a non-contributory benefit. It is paid for through taxation and is included in the general budget for each AC. Services offered by the Spanish NHS include:
Pharmaceutical services cover drugs and health products. Unlike other services which are provided free of charge, pharmaceutical, orthopaedic and prosthetic services are cofinanced by users.
National Health System: State versus Autonomous Community powers
At national level, the Ministry of Health and Consumers' Affairs (MOH) is the body within the Central Administration which proposes and implements the main government guidelines on health policy, health planning and healthcare. State responsibilities include:
* General organization and coordination of health matters in terms of minimum requirements, aiming to achieve equal conditions of public health services; methods of information sharing, and technical standardization in specific areas; joint actions by State and AC authorities.
* International health, and international health relations and agreements relating to the surveillance and control of potential health risks in connection with the import, export or traffic of goods and international passenger traffic.
* Legislation on pharmaceutical products, in particular the evaluation, authorisation and registration of drugs and health products, as well as their public financing and pricing, and their purchase and distribution for international programmes; the deposit of drugs and health products for emergencies and catastrophes and the deposit of narcotics in accordance with international treaties; the importation of urgent, foreign medication.
Next to State powers, the ACs of Spain have devolved powers in the area of health. Such a decentralized structure allows for the management of healthcare to be brought closer to citizens, thus guaranteeing equity, quality and participation.
The devolution of public health powers began in 1979 and was completed in 1985 while devolution of healthcare powers began in 1981 and was completed in 2002, except for the autonomous cities of Ceuta and Melilla where the Central State Administration has kept the responsibility for health management.
Currently, the ACs hold powers for health planning, public health and healthcare. They have therefore taken on the functions and services, goods, rights and obligations relating to such powers, as well as the staff and budgets assigned to them.
The ACs should warrant minimum common health services within their territory and compliance with national public health and surveillance agreed protocols.
Their healthcare budget is allocated per capita and the ACs have the freedom to prioritize health matters within their own territory once minimum requirements set up by the State administration are satisfied.
Each AC has a Regional Health Service, which is the administrative and management body responsible for all the centres, services, and facilities in its own Community, whether these are organized by regional or town councils or other intra-Community Administrations.
Powers of the Public administrations on Health matters
State
Administration
Basic principles and coordination of health
International health matters
Drug policy
National Institute for Health management
He
a
lth planning
Public health
Regional Health Services management
Health and hygiene
Collaboration in the management of
public services
Sources: Distribution of powers according to the Spanish Constitution, the General Health Act
and the Law for cohesion and quality in the National Health System
Autonomous
Communities
Local
Councils
National
Health System
Inter-Territorial
Board
The respective powers of the different public administrations, i.e. State Administration, ACs and Local Councils, in relation to health matters, are illustrated in the graph (bottom left of page), also showing the coordination role of the Inter-Territorial Board.
The overall structure and organization of Spanish MOH responsibilities is illustrated below.
Spanish Agency for
Food Safety
Minister
Under-Secretary for
Health and Consumer
Directorate General
for Public Health
Directorate General
NHS Quality Agency
National Institute for
Health Management
Secretary General
for Health
Health Advisory
Council
Technical Office
National Institute for
Consumer
General Technical
Secretariat
Directorate General for
Resources and
Financial Services
National Centre for
Transplants and
Regenerative Medicine
Government
Delegation for the
National Drugs Plan
Directorate General
NHS Cohesion and
Senior Inspectorate
Directorate General
for Pharmacy and
Health Products
Spanish Agency for
Drugs and Health
Products
Directorate General for
Consumer Affairs and
Citizen Information
Carlos III
Health Institute
Other basic functions within the MOH include public health, food safety and health research.
The Directorate General for Public Health leads actions to promote health and prevent illness, including environmental health and health at work while health research policy is essentially carried out at the Carlos III Health Institute, as well as other Ministry-run centres.
National Health System: Organization of Healthcare
Healthcare is organized at two levels within the Spanish NHS, including primary healthcare and specialist care.
Primary healthcare
Primary healthcare is characterized by extensive accessibility and sufficient technical resources to resolve the most frequent health problems. Primary healthcare aims to provide basic services within a 15-minute radius from any place of residence. The main facilities are the primary care centres which are staffed by multi-disciplinary teams comprising general practitioners, paediatricians, nurses and administrative staff and, in some cases, social workers, midwives and physiotherapists. Since these centres are located within the community, they also deal with health promotion and preventive healthcare. Maximum accessibility and equity means that primary healthcare also reaches homes when necessary.
Each AC establishes its own health areas according to demographic and geographic criteria. Health areas are then subdivided into basic health zones, which are the territorial framework for primary healthcare and the primary care centres.
Specialist care
Specialist care requires more complex and costly diagnostic and therapeutic resources. Access to specialist care is gained by referral from primary healthcare. Specialist care is provided in specialist centres and hospitals, for both in- and outpatients. Each health area has a general hospital for specialist care.
In terms of healthcare facilities, there were 2,702 primary care centres in the whole of Spain in 2004. In 2005, out of 779 hospitals, 37.6% (293 hospitals; 103,592 beds) belonged to the Public Health sector while 42.7% (333 hospitals; 31,075 beds) belonged to the private profit-sector. [Sources: Ministry of Health and Consumer Affairs, Regional Departments of Health of the Autonomous Communities and National Catalogue of hospitals]
In terms of human resources, the figures collected by the National Statistics Institute for 2004 are presented in the table on the right.
Based on a presentation by P Santa Olalla Peralta, Dirección General de Salud Pública, Ministerio de Sanidad y Consumo, Madrid, Spain.
| Registered health professionals, 2004 | | | |
|---|---|---|---|
| | Total | % women | Registered health professionals per 1,000 inhabitants |
| Physicians | 194,668 | 41.4 | 47 |
| Dentists | 21,055 | 40.5 | 0.5 |
| Pharmacists | 57,954 | 68.3 | 1.4 |
| Veterinarians | 25,604 | 35.1 | 0.6 |
| Nurses | 225,487 | 81.6 | 5.5 |
Source: National Statistics Institute INE
National Epidemiological Surveillance Network for Viral Hepatitis in Spain
A system of infectious disease surveillance has been in place in Spain since 1930 with a specific surveillance system for hepatitis -based on aggregated data of the numbers of suspected cases- since 1982. In 1995, the National Network of Epidemiological Surveillance was established by law, with wide powers allocated to ACs and national decisions taken by consensus. Protocols of statutory notifications of infectious diseases, such as hepatitis A and B, were approved and implemented in 1997, legally binding all practicing doctors to notify. Individual data started to be collected, based on minimal data sets. In addition, as of 1997, cases of viral hepatitis have been differentiated between hepatitis A, hepatitis B, as well as non-A, non-B hepatitis.
pected or probable while laboratory confirmation is occasionally provided at regional level only. Aggregated data are notified weekly while individual cases are notified on a yearly basis, whereby the following epidemiological data is communicated, including case classification (suspected/probable/confirmed); immunization status; as well as age, sex and week of notification.
The surveillance network is structured according to the following notification systems:
Statutory notification of cases applies to diseases such as viral hepatitis A and B infections; it started in 1982, without differentiation between hepatitis A and B. The mandate was published in December 1995 to be implemented in 1996. The notification started in 1997. It is a passive surveillance system whereby all cases are notified by medical practitioners from the public and private sectors within the Spanish healthcare system. Standard case definitions are based on clinical criteria and can be sus-
The Microbiological Information System was put in place in 1989 for diseases such as hepatitis A, B and C; systematic implementation of this information system is still ongoing to date. It is a passive surveillance system based on voluntary notifications from microbiological laboratories, mainly in hospitals. The data include individual cases of confirmed recent infections, notified weekly. The information provided relates to age, sex and geographical location. Current coverage for the whole of Spain does not exceed 25%.
An Outbreak Reporting System is also part of the national epidemiological surveillance. It distinguishes between urgent notification of outbreaks defined as supra-communitary and therefore considered to be of national or international interest, and all other outbreaks which are reported on a quarterly basis. A common reporting format has been used in Spain with no major changes since 1983, based on the recommendations of the WHO Surveillance Programme for Control of Foodborne Infections and Intoxications in Europe. The information provided includes age, sex, symptoms, infectious agent, mode of transmission, geographical location, contributing factors and control measures applied.
Information on outbreaks has been consolidated since 1987 thanks to the transfer of responsibilities to ACs, coupled with increased human resources and staff training.
Complementary information systems include hospital discharge providing information on age, sex, geographical location, date and diagnosis; mortality surveillance providing information on age, sex, place, date and cause of death; further information systems include seroepidemiological surveys. There are no sentinel surveillance or registries for hepatitis at national level.
Based on a presentation by C Varela Martinez, National Centre of Epidemiology, Madrid, Spain.
Hepatitis A epidemiology in Spain, including molecular epidemiology and outbreak investigation
Surveillance data
Spain is considered an area of low endemicity for HAV virus infection and is characterized by a diminishing HAV seroprevalence in the population. The HAV epidemiological pattern in Spain is characterized by low prevalence in early ages increasing toward higher prevalence in older ages. This situation was confirmed for the whole of Spain in the 1996 National Seroprevalence Survey, as illustrated below:
Within the specific area of Catalonia, a survey conducted before the introduction of HAV vaccination reported a seroprevalence of 67.8% in the general population, with less than 5% seropositivity rate reported in a group of subjects aged between 5 and 14 years 1 .
These data indicate that a large percentage of the Spanish population under 30 years of age is not protected against HAV.
Over the period 1997-2005 a steady decrease of HAV annual incidence was observed in Spain over time, from 4.61/100,000 in 1997 to 1.60/100,000 persons-year in 2002, as reported by the National Centre for Epidemiology. However, as can be seen from graph below, the annual incidence most significantly decreased for non-A, non-B hepatitis. HBV incidence also decreased over time but to a lesser extent than the decrease in HAV incidence. The slight increase of HAV incidence which was observed between 2002 and 2005 is attributable to outbreaks.
Regional differences are illustrated in graph on top right, showing the percentage of increase or decrease in incidence rate per region over the period 2003-2005, compared to 2000-2002:
Taking a closer look at the aggregated data on the evolution of HAV annual incidence in Spain over the period 1997-2005 (see slide below), regional variations are observed, such as more important decreases observed in Catalonia, and the cities of Ceuta and Melilla, in 1998 and 2000, respectively corresponding to the introduction of HAV mass vaccination programmes in those regions.
These regional differences may be directly attributable to outbreaks in specific regions, i.e. the slight incidence increase observed in the overall data of Spain between 2002 and 2005 is not reflected in Catalonia where HAV incidence rather increased between 2001 and 2002 (a total of 19 outbreaks was reported for 2002 in Catalonia) while it decreased from 2002 to 2005. In the city of Melilla the incidence decreased from 2000 until 2005 whereas in the city of Ceuta an increase was observed between 2002 and 2005, in parallel to the situation for the whole of Spain.
Taking a closer look at the mean annual HAV incidence by sex and age over the whole period 1997-2005, the highest HAV incidence, about 8/100,000 was observed in 5-9 year-olds, and the incidence for women was lower than for men. Looking at the annual incidence by sex and age, an increase was observed in almost all age groups of both sexes between 2004 and 2005, while only a slight decrease was reported for 15-34- year-old men. In terms of regional differences, the incidences for the whole of Spain and Catalonia follow a similar pattern across age groups, except for a lower incidence observed in the 15-19-year-olds in Catalonia (1.67/100,000 compared to 3.51 /100,000 for the whole of Spain).
Data from hospital discharges also showed a slight HAV incidence increase from 2003 to 2004 while mortality was very low, with only one case per year between 2000 and 2002 (2 males, 1 female) and no deaths reported in 2003 and 2004.
Outbreak investigation
In terms of investigational procedures, the general criteria for outbreak investigation were applied, i.e. descriptive characterization of place, time and person in order to establish the relations between cases; case and control studies were also conducted. From these studies it could be established that the observations made were in line with similar studies on HAV disease worldwide.
Outbreak investigation is, among other tasks related to Public Health, the remit of the National Centre of Epidemiology in Spain.
The importance of this activity is related to the current epidemiological pattern of HAV in Spain, which is characterized by low endemicity, low rate of illness, maximum age of infection in young adulthood, and main routes of transmission from person to person and outbreaks.
From the outbreak reporting system, a total of 375 viral hepatitis outbreaks were reported in the whole of Spain for the period 1996-2003, amounting to 2881 cases, however causing no mortality. The geographical distribution for these reported outbreaks was mainly concentrated in the areas of Catalonia, Andalucia, Valencian Community and Madrid.
The proportion of outbreaks caused by foodborne transmission was 15% over the whole period, with more than 2/3 of the foodborne outbreaks located in the regions of Catalonia, Andalucia, Valencian Community and Murcia. Half of foodborne outbreaks were caused by shellfish and mollusks, the other half being waterborne. Seventy percent of outbreaks were caused by direct transmission while the origin was unknown in almost 15%. Main outbreak locations included restaurants and hotels, schools and homes. The average duration of foodborne outbreaks was 44 days which is typical for this type of outbreak- while outbreaks of other origin lasted longer, with an average of 56 days.
Control measures were communicated for 63% of outbreaks, among which 72% reported implementation of more than one method, in most cases sanitary education, and/or immunization (vaccination as a measure of outbreak control is a national recommendation in Spain but this decision is taken at the level of Community) and/or contact investigation. In one out of four outbreaks additional specific control measures were implemented.
Over the period 2003-2005, the annual number of hepatitis outbreaks was respectively 36, 44 and 38, with an average of 39 outbreaks per year; the total number of cases increased from 202 cases in 2003 to 309 cases in 2005. No death was reported over this period either. More detailed information relating to these outbreak reports is provided in the table below:
Outbreak investigation activities conducted during the past ten years within the framework of the epidemiological training programme in Spain have focused on the development, evaluation and improvement of public health instruments.
To this purpose, a total of 12 hepatitis outbreaks were thoroughly investigated, among which 10 HAV outbreaks, one caused by HBV and one caused by HCV. Outbreaks occurred in numerous ACs of Spain and, in 70% of cases, the outbreaks took place at Community level. The main route of transmission was oral-faecal, but foodborne and waterborne outbreaks were also reported.
Practically, the protocol questionnaire used for the notification of viral hepatitis in Spain was adapted to HAV investigation and information relating to general case notification, clinical symptoms, laboratory information, risk factors and control measures was obtained.
The objectives of these investigational activities include an assessment of the magnitude of the outbreak, the identification of source and vehicles, and risk factors for transmission.
The different types of studies conducted included case-finding by contacting clinicians and laboratories, descriptive studies, case-control studies (with case definition) among residents or communities, microbiological and environmental studies, etc.
Investigations performed within this programme included:
HAV outbreak due to contaminated food in Ceuta, February 2006:
descriptive, case-control and environmental studies made it possible to characterize cases, locate the outbreak in place and time, as well as identi-
fying the source of exposure. The laboratory information obtained also played an important role in this investigation.
HAV outbreak in Guadalajara, October 2000-May 2001: studies conducted have shown the epidemiological curve of the outbreak, i.e. the high number of cases observed among young adults at the beginning of the outbreak, increasing toward older age at a later stage of the outbreak. Also, the relation between primary case and secondary cases could be described thanks to a study of the geographical distribution of schools in the outbreak area.
HAV outbreak in Ibiza, September 2000-January 2001: because of the importance of Ibiza as a tourist destination in Spain, this study has shown the international implications of outbreak investigation with the simultaneous notification of HAV cases from Germany (German tourists in Ibiza) and the notification of outbreak situation in Ibiza. The primary case could be identified as a person working in a shop and restaurant in two distinct areas of the island where HAV cases were concentrated.
Current recommendations made by the National Centre of Epidemiology on the basis of results from the HAV outbreak investigation programme include the need for improved hygiene among food handlers; strengthened surveillance for foodborne diseases (in order to minimize underreporting) and enhanced cooperation at local and community level, as well as international cooperation when appropriate. At national level, vaccination is a recommended measure in outbreak control.
On the basis of information gathered from this programme, the National Centre of Epidemiology processes the following control instruments: protocols and guidelines, national databases and registries (including notifications and microbiological information), coordination, communication and follow-up of supra-regional investigations, international liaison with surveillance networks, and related publications (such as the Boletín Epidemiológico Nacional).
Molecular epidemiology: detection and identification of HAV strains
The epidemiology of water- and foodborne HAV in Spain was also investigated at molecular level. HAV strains recovered from clinical samples (anti-HAV IgM positive serum samples from patients with acute hepatitis) over the period 1990-2000 at the Hospital General Valle d'Hebron Barcelona, Spain, as well as environmental water samples from urban
sewage and superficial water over the period 1994 to 2000 were analysed, using genetic amplification and characterization techniques 2 . Shellfish samples collected over an 18-month period from shellfish-growing areas in Spain -Western Mediterranean and the Spanish Atlantic Ocean- were also analyzed for HAV presence 3 .
The data show that in the region of Catalonia over the period 1994-2000, HAV was circulating in the environment. HAV was frequently isolated from sewage water, rivers and occasionally in shellfish (see table below).
Presence of HAV in the environment and in food - Catalonia (1994-2000)
The presence of HAV was also assessed in clinical serum samples from patients with acute hepatitis, collected between 1990-2000. Among these samples, 26/74 (35.1%) of patients were positive for anti-HAV IgM and of these, 16/26 were positive for HAV-RNA.
The isolated HAV genomes were further characterized by direct sequencing. Results showed a 95% prevalence of HAV genotype 1 in the environment samples as well as in the clinical samples, with nearly 50% being either subgenotype 1A or subgenotype 1B. Various strains were found simultaneously in environmental and clinical samples. These strains appeared to be closely related to those described in distant geographical areas. Genotype 3A was also found but with a lower prevalence: 5% in sewage samples and 12.5% of serum samples. Strains belonging to a common endemic genotype were not identified. Also, both HAV and HEV
isolates were occasionally identified in the same sewage samples (this is further developed in the section of this report relating to the epidemiology of HEV).
It was concluded from these molecular epidemiology data that the abundance of HAV in the environment, as tested in Catalonia, represents a situation of sanitary risk, especially considering the low seroprevalence of anti-HAV antibodies in the young population.
References
1. Bruguera M, Salleras L, Plans P, Vidal J, Navas E, Domínguez A, Batalla J, Taberner JL, Espuñes J. Changes in seroepidemiology of hepatitis A virus infection in Catalonia in the period 1989–1996. Implications for a new vaccination strategy. Medicina Clínica (Barcelona, Spain) 1999;112:406-408.
2. Pina S, Buti M, Jardi R, Clemente-Casares P, Jofre J, Girones R. Genetic analysis of hepatitis A virus strains recovered from the environment and from patients with acute hepatitis. J Gen Virol 2001;82(12):2955-63.
3. Formiga-Cruz M, Tofino-Quesada G, Bofill-Mas S, Lees DN, Henshilwood K, Allard AK, Conden-Hansson AC, Hernroth BE, Vantarakis A, Tsibouxi A, Papapetropoulou M, Furones MD, Girones R. Distribution of human virus contamination in shellfish from different growing areas in Greece, Spain, Sweden, and the United Kingdom. Appl Environ Microbiol 2002;68(12):5990-8.
Based on presentations by P Santa Olalla Peralta, Dirección General de Salud Pública, Ministerio de Sanidad y Consumo, Madrid, Spain; C Varela Martinez, National Centre of Epidemiology, Madrid, Spain; Ángela Dominguez, Directorate of Public Health, Generalitat of Catalonia, Spain; R Gironès, University of Barcelona, Dpt. of Microbiology, Barcelona, Spain; D Herrera, National Centre of Epidemiology, Madrid, Spain
HEV epidemiology in Spain and molecular diagnosis
HEV is transmitted primarily by the faecal-oral route. Faecally-contaminated drinking water is the most commonly documented route of transmission of HEV, person-to-person transmission appears to be uncommon.
ferent animal species, such as rodents, poultry, cattle and swine. Swine appear to be the most important animal species involved in the spreading of HEV in the environment because of the great amount of manure generated, and the first HEV animal strain was of swine origin 2 .
Worldwide, two epidemiological forms have been described. HEV causes major outbreaks of acute hepatitis in endemic areas, especially in developing countries located in tropical and subtropical regions of the world where outbreaks are usually associated with faecal contamination of drinking water. In these countries, HEV is also responsible for sporadic acute hepatitis. In non-endemic, industrialized countries, isolated cases of hepatitis due to HEV have been reported, even in patients who were never linked to areas of HEV endemicity and had no contact with HEV-infected individuals. Reports of such autochthonous cases in non-endemic areas, defined as HEV in patients without history of travelling to endemic areas, raised the suspicion of an animal reservoir for HEV in industrialized countries.
Typical clinical signs and symptoms of acute HEV are similar to those of other types of viral hepatitis. Peak viremia and peak shedding of HEV into the faeces occurs during the incubation period and early acute phase of disease. Virus excretion in stools has been demonstrated up to 14 days after illness onset. Mortality is low (approximately 0.5 – 4.0% of patient population), except for pregnant women, where mortality rates can reach up to 20% 1 .
In the last decade, many seroprevalence studies were carried out in industralized and developing countries to evaluate the presence of HEV in dif-
Diagnosis of HEV
Both IgM and IgG antibody to HEV (anti-HEV) are elicited following HEV infection. The titre of IgM anti-HEV declines rapidly during early convalescence; IgG anti-HEV persists and appears to provide at least short-term protection against disease.
Several diagnostic tests are available in research laboratories. Enzyme immunoassays and Western blot assays are used to detect anti-HEV IgM and IgG in serum. These can be complemented by polymerase chain reaction (PCR) tests to detect HEV RNA in serum and stool.
In industrialized countries, including Spain, lack of specificity of commercial ELISA test has been observed. Confirmation of HEV ELISA positivity by immunoblot is therefore extremely important for an accurate diagnosis of HEV.
HEV prevalence in the Spanish population
The distribution of viral hepatitis cases in Spain, notified by the National Centre of Epidemiology, shows that between 1997 and 2004 the proportion of non-A, non-B hepatitis cases decreased from 47.4% in 1997 to 35% in 2004 (next page). However, it should be noted that these non-A, non-B reports not only include HEV cases, but also HCV and hepatitis D cases, as well as hepatitis cases caused by other etiological agents.
A limited number of studies have investigated the epidemiology of HEV in Spain and three reports on overall anti-HEV seroprevalence in the Spanish population have been published. In 1995 Buti et al. reported a 5.5% antiHEV seroprevalence 3 , whereas in 2000, Tarragó et al. reported a seroprevalence of 2.9% 4 (see below). More recently, Buti et al. (2006) found the prevalence of anti-HEV IgG antibodies in a population sample including both urban and rural areas of Catalonia to be 7.3% 5 , compared to 320% in other industrialized, non-endemic countries.
Four studies reported HEV seroprevalence rates from 1994-2004 among Spanish patients with acute hepatitis, based on commercial ELISA data. In 1994 Buti did not detect any HEV positive patient on a total of 341 patients tested 6 . One year later, the same author reported a 5.6% seroprevalence 3 . In 2004 Pérez-Gracia et al. 7 reported a 7.7% seroprevalence by ELISA and confirmed by immunoblotting.
The prevalence of anti-HEV among patients with chronic liver disease has been reported by several studies to be significantly higher than that among persons with no apparent liver disease. Recently, Abe et al. 8 found 34% of
Spanish patients with chronic liver disease to be seropositive for anti-HEV by ELISA. The prevalence of anti-HEV among this population increased with age, from 7.1% in the age class of 16 to 30 years up to 37% in patients aged 51 to 60 years.
HEV prevalence in the environment
The sporadic presence of clinical HEV strains in non-endemic areas has led to studies investigating the presence of the virus in the environment and the potential role of swine as an animal reservoir in acute hepatitis cases.
Several studies conducted in Spain were able to detect HEV in sewage water. A first study was published in 1998 by Pina et al. 9 who found one out of 37 (2.7%) urban sewage samples collected in Barcelona between 1994 and 1998 to be positive for the presence of an infectious HEV strain. In 2000, the authors 10 reported 8.3% HEV RNA presence in slaughterhouse samples and, in 2003, Clemente-Casares et al. 11 found 43.5% (20/46) of the urban sewage samples collected in Barcelona between 1994 and 2002 to be positive for HEV.
Additional work has been done in the detection of HEV in porcine serum and faeces samples. The results indicate that HEV is circulating in swine herds of Spain, in line with reports from other industrialized countries. Serum anti-HEV IgG antibodies were identified in 19% of swine tested in Catalonia (genotype 3). The presence of HEV RNA in up to 50% of porcine faeces samples 11,12,13 suggest that HEV could be more widespread than previously thought and raises concern about the use of manure as soil fertilizer.
Molecular epidemiology of HEV
Clinical and environmental samples were collected for PCR-analysis and identification of HEV strains infecting the population. An extensive genomic diversity has been observed among the different HEV strains isolated in Spain; in total 22 strains were identified. Six different HEV strains were isolated from clinical serum samples from Spanish patients with acute hepatitis (3 positive samples between 1989-99, and 3 in 2003). Of these, five human strains could be identified: one was isolated from a patient who had recently traveled to Ethiopia (genotype 1). The remaining strains (genotype 3) were from patients who had not traveled to endemic areas and were therefore considered as autochthonous HEV cases.
The majority (16/17) of sewage HEV strains belonged to genotype 3 and all swine HEV RNA isolates were also of genotype 3. Importantly, comparison of porcine and human HEV genome sequences revealed a close relationship between HEV strains isolated from sewage samples, human HEV strains causing acute hepatitis and the swine HEV strains identified in the same area. Of note, swine HEV strains appear to be more similar to the human HEV strains from the same area than to swine HEV strains from other areas. This indicates that swine might be a reservoir for HEV in Spain. In addition, both HAV and HEV strains were occasionally identified in the same sewage samples, indicating that HEV and HAV viral strains are circulating in the same location.
HEV should be considered as an environmental contaminant even in highly industrialized countries and the transmission routes of the infection must be further investigated. The dissemination of HEV genotypes that can cause outbreaks over the regions previously considered non-endemic (and where genotype 3 is the common genotype), should be monitored and evaluated.
These findings highlight the importance of including HEV testing in the routine diagnostics of acute and fulminant non-A, non-B, and non-C hepatitis even when no history of travel has been reported by the patient. The development of a reliable serological assay is crucial to estimate the real prevalence of HEV in non-endemic areas.
References
1. World Health Organization. Hepatitis E. Fact sheet N°280. Revised January 2005. Available at: http://www.who.int/mediacentre/ factsheets/fs280/en/index.html.
2. Meng XJ, Purcell RH, Halbur PG, Lehman JR, Webb DM, Tsareva TS, Haynes JS, Thacker BJ, Emerson SU. A novel virus in swine is closely related to the human hepatitis E virus. Proc Natl Acad Sci USA. 1997;94(18): 9860–9865.
3. Buti M, Jardi R, Cotrina M, Rodriguez-Frias F, Troonen H, Viladomiu L, Esteban JI, Esteban R, Guardia J. Hepatitis E virus infection in acute hepatitis in Spain. J Virol Methods 1995;55(1):49-54.
4. Tarrago D, Lopez-Velez R, Turrientes C, Baquero F, Mateos ML. Prevalence of hepatitis E antibodies in immigrants from developing countries. Eur J Clin Microbiol Infect Dis 2000;19(4):309-11.
5. Buti M, Dominguez A, Plans P, Jardi R, Schaper M, Espunes J, Cardenosa N, Rodriguez-Frias F, Esteban R, Plasencia A, Salleras L. Community-based seroepidemiological survey of HEV infection in Catalonia, Spain. Clin Vaccine Immunol 2006;13(12):1328-32.
6. Buti M, Jardi R, Rodriguez-Frias F, Quer J, Esteban R, Guardia J. Etiology of acute sporadic hepatitis in Spain: the role of hepatitis C and E viruses. J Hepatol 1994;20(5):589-92.
7. Pérez-Gracia MT, Garcia-Valdivia MS, Galan F, Rodriguez-Iglesias MA. Detection of hepatitis E virus in patients sera in southern Spain. Acta Virol 2004;48(3):197-200.
8. Abe K, Li TC, Ding X, Win KM, Shrestha PK, Quang VX, Ngoc TT,
Taltavull TC, Smirnov AV, Uchaikin VF, Luengrojanakul P, Gu H, ElZayadi AR, Prince AM, Kikuchi K, Masaki N, Inui A, Sata T, Takeda N. International collaborative survey on epidemiology of hepatitis E virus in 11 countries. Southeast Asian J Trop Med Public Health 2006;37(1):90-5.
9. Pina S, Jofre J, Emerson SU, Purcell RH, Gironès R. Characterization of a strain of infectious hepatitis E virus isolated from sewage in an area where hepatitis E is not endemic. Appl Environ Microbiol 1998;64(11):4485-8.
10. Pina S, Buti M, Cotrina M, Piella J, Gironès R. HEV identified in serum from humans with acute hepatitis and in sewage of animal origin in Spain. J Hepatol 2000;33:826-833.
11. Clemente-Casares P, Pina S, Butí M, Jardi R, Martin M, Bofill-Mas S, Gironès R. Hepatitis E virus epidemiology in industrialized countries. Emerg Infect Dis 2003; 9:448-454. University of Barcelona, Barcelona, Spain.
12. de Deus N, Seminati C, Pina S, Mateu E, Martin M, Segales J. Detection of hepatitis E virus in liver, mesenteric lymph node, serum, bile and faeces of naturally infected pigs affected by different pathological conditions. Vet Microbiol 2007;119(2-4):105-14.
13. Fernandez-Barredo S, Galiana C, Garcia A, Vega S, Gomez MT, Perez-Gracia MT. Detection of hepatitis E virus shedding in feces of pigs at different stages of production using reverse transcription-polymerase chain reaction. J Vet Diagn Invest 2006;18(5):462-5.
Based on presentations by R Gironès, University of Barcelona, Dpt. of Microbiology, Barcelona, Spain; MT Pérez-Gracia, University CEU Cardenal Herrera University, Dpt. Sanitary Attention, Public and Animal Health, Valencia, Spain.
Hepatitis B epidemiology in Spain, including molecular epidemiology and outbreak reporting
Surveillance data
Spain is a region of low HBV endemicity characterized by a steady decrease in the annual incidence. The statutory notification system reported a reduction of the incidence from 2.96 per 100,000 in 1997 to 1.45 per 100,000 in 2005, as illustrated in graph below.
As appears from the 1996 survey, HBV infection marker, anti-HBc, starts to increase as of the age of 10-14 yrs / 15-19 yrs from <2% to reach >9% in the 30-39-year-olds (1.95% HBsAg positivity) (see table and graph on the right ):
Looking at the mean annual HBV incidence data by sex and age over the period 1997-2005, the highest incidence was observed in the 20-49-yearolds while incidence in men was higher than in women across all age groups (see graph overleaf).
A steady decrease was observed in the number of HBV hospital discharges from 1,661 to 1,219 over the period 1997-2003, however this trend was reversed from 2003 to 2004 with a rise to 1,324 discharges.
Mortality was more important in men than women over 1999-2004, with an increasing rate as of 25 years of age, rising from 7 cases among 25-34year-olds to 32 cases among the 65-74-year-olds over the whole period.
Outbreak reporting
The number of hepatitis B outbreaks reported during 2003-2005 amounted to 13, with an average number of 2.5 cases per outbreak. No death was reported and the proportion of hospitalized cases was very low except for the 2005 outbreaks where 3 of the 15 cases were hospitalized.
Genetic diversity of HBV in the Spanish population
With respect to genetic diversity of HBV strains in Spain, a variety of genotypes, subtypes, and stable variants were observed in unselected DNA-positive HBV chronic carriers, with some geographic and temporal differences. In 2004, mutations previously reported to be associated with potential vaccine failure, immunoglobulin therapy resistance, or diagnostic test detection failure were identified in maximum 2.3%, 6.5% and 10.4% of the carriers respectively. The clinical significance of such mutants remains to be questioned; indeed this relatively high frequency of HBsAg mutants had only a minimal effect on the performance of diagnostic tests. The HBV mutants detected therefore do not seem to cause a measurable threat to current HBV vaccination policy. The frequency of amino acid substitutions in polymerase that are associated with antiviral resistance in chronic carriers also seemed to be low.
HBV in the blood transfusion setting in Spain
The seroprevalence of HBsAg in the Spanish population is <2%. In 2004, about 1.6 million blood donations were screened and the prevalence of HBsAg-positive blood donors was shown to be 0.04%, as detailed in the table below:
Safety testing of blood donations in Spain includes compulsory HBsAg assay and, of secondary importance, non-mandatory anti-HBc antibody and alanine aminotransferase (ALT) testing. Nucleic acid testing (NAT) is not mandatory but in 2006 it was used in 80% of blood donations.
Most blood donation centres in Spain decided not to implement anti-HBc antibody testing. The main reason is that the prevalence of anti-HBc-positive donors is quite high. In 1996, a 6.1% (130/2,161) prevalence of antiHBc among blood donors was found and a more recent study conducted in blood centres in Catalonia found the rate to be 4.2% (651/15,545). Importantly, anti-HBc screening does not avoid transmission by blood donations during the window period of HBV infection.
The infection window period is an important issue in the setting of blood transfusions. Mathematical models predicted that in Spain, a significant number of blood units would be obtained during the window period of HBV infection (i.e. 1/100,000 donations).
By applying NAT-technology for HBV DNA screening in the blood bank setting, 30 days are gained in the window period for detecting HBsAg-positive donors, as compared to conventional serological enzyme immuno assay (EIA - Auszyme) or chemoluminescence assay (PRISM) 1 .
In the four blood donation centres that started using HBV NAT-testing between 2004 and 2005, approximately 400,000 individual blood units were screened for HBV DNA up to December 2005. The methodology used was an initial screening for HBsAg (with EIA or chemoluminescence assay) and triplex NAT testing for the presence of 3 viruses (HBV, HCV, HIV). Initially reactive samples were re-tested and submitted to discriminatory testing to ascertain which of the 3 viruses was involved in the DNA signal. In addition, the donors were recalled for providing follow-up samples at different time points. The index donation and follow-up samples were submitted to an alternate NAT test and to extended HBV marker testing. The viral load of samples of positive cases was determined and for some cases, a fragment of HBsAg DNA was amplified for sequence analysis.
Among the yield cases detected up to December 2005, a total of 4 window period cases were identified, representing a rate of 1/98,600 donations. Of these, 3 were detected in a blood centre applying NAT testing of individual donations and 1 in a centre testing minipool samples (pool size of 8 donations). In addition to these 4 window cases, another occult phase donor positive for anti-HBc IgM antibodies was detected.
The results of this confirmatory testing and follow-up studies indicate that routine NAT testing of individual blood units would make a significant contribution to improving the safety of the blood supply in Spain by reducing the residual risk of HBV transmission. Moreover, a good correlation was found between the frequency of window phase cases found to be HBV DNA-positive by NAT and the frequency predicted by mathematical models (1/98,600 versus 1/100,000 donations, respectively).
MP: minipool
ID: individual donation
In silent, anti-HBc reactive but HBsAg-negative samples (i.e., samples from donors with so-called late phase or occult HBV infection), the yield of HBV identification using NAT technology was 1/24,000.
Individual donation testing by NAT was significantly more effective than NAT testing of mini-pools (pool size of 8 donations) in detecting low viral load in donations from donors in window phase as well as in donations from donors with occult HBV infection (see slide bottom right of page 10).
Individual donation-NAT testing was able to detect low viral load in donations from occult HBV infection carriers. The viral load in occult HBV infection samples ranged from values as low as 4.8 copies/ml to nearly 900 copies/ml. Of note, the question whether occult HBV infected individuals are really infectious by transfusion remains.
Among blood donations that were positive by HBV-NAT, HBV strains of genotype D were most prevalent. This was expected since HBV genotype
D is the most prevalent type, overall in Spain. Apart from wild type HBV, numerous amino acid changes were identified in occult HBV infection cases; many of these mutations had not been previously described. Certain HBsAg mutants may be missed by some serological assays in blood donation testing.
References
1. Kleinman SH, Busch MP. Assessing the impact of HBV NAT on window period reduction and residual risk. J Clin Virol 2006;36 Suppl 1:S239.
Based on presentations by E. Castro and R. Gonzalez, Red Cross Transfusion Centre (Serology Dpt.), Madrid, Spain; A. Avellón, National Centre of Microbiology, Spanish Hepatitis Reference Laboratory (Diagnostic Microbiology Service), Madrid, Spain; P Santa Olalla Peralta, General Directorate of Public Health, Spanish Ministry of Health, Madrid, Spain; C Varela Martinez, National Centre of Epidemiology, Madrid, Spain .
Hepatitis C epidemiology in Spain, including molecular diagnosis and prevalence in dialysis units
HCV epidemiology in the general population
No national data are available relating to HCV prevalence in Spain, however it is estimated that about 2% of the population has been infected with HCV (representing 800,000 to 1,000,000 persons) (see below). Several studies conducted in different parts of the country found prevalence rates in the general population ranging from 0.7% (Zamora, 2001) to 2.64% (Catalonia, 2002) 1-4 . The prevalence is higher in selected populations, such as immigrants (8.8%) 5 or drug users (up to 82%) 6 .
Preventive measures have led to a significant decrease in the incidence of HCV. Although HCV is not part of the mandatory notification system in Spain, it could be established from data collected via the microbiological information system -which covers 25% of Spain- that the number of new infections dropped significantly from 793 reported cases in 1996 to 265 reported cases in 2005 (see on right).
The data collected via the microbiological information system also showed that the total number of cases over from 1996 to 2005 was more important in men than women, in particular in the 25-44-years age group where the ratio male/female was 3 to 1. This age group accounted for more than half of the reported cases.
Data from hospital discharges have also shown a significant decrease in the number of diagnosed HCV cases from 4,131 in 1997 to 1,888 in 2004.
Over the period 1999-2004, for the 25-64-year-old group, a higher mortality rate was observed in men, whereas the trend was reversed as of 65 years of age. The majority of fatalities, more than 70 %, were reported from the 65-year-old group or older.
Two HCV outbreaks were notified over the period 2003-2005: one involving 8 cases in 2003 and one involving 17 cases (1 hospitalization) in 2004, with no death reported.
Transmission and molecular diagnosis of HCV
Up-to-date molecular techniques are used for the diagnosis and analysis of HCV infection in Spain. These techniques helped to establish transmission mechanisms and can be used to identify the source of infection by phylogenetic analysis of e.g. infected patients, and potential sources of nosocomial infection 7 .
HCV is mostly transmitted via the following routes:
* parenteral transmission, mainly due to IV drug use and nosocomial infection (patient-to-patient, during haemodialysis, etc.)
* non-apparent parenteral transmission (e.g. healthcare workers)
In Spain, drug addiction is the most prevalent risk factor for HCV infection, followed by nosocomial infection due to normal clinical practice. Other mechanisms of transmission that may induce chronicity are residual.
Mother-to-infant transmission is only related to few special cases and is associated with high HCV viral load at delivery or human immunodeficiency virus (HIV) coinfection. Overall, sexual transmission appears to be very rare; only one case was reported in 1998. The use of barriers (condoms) may be recommended when there are sexual lesions.
The benefit of molecular epidemiology has not only been demonstrated by identification of the source of HCV infection and the establishment of its transmission mechanisms, it has also resulted in the modification of clinical procedures to prevent additional nosocomial infections. HCV transmission during clinical procedures has already been reported and investigated in several settings, e.g. patient-to-patient by using multi-dose vials, during haemodialysis, during Contrast-Enhanced Computer Tomography scanning by using multi-dose contrast medium, and by healthcare provider-topatient transmission.
were introduced in Spanish dialysis centres as of 1991 and since then, the number of dialysis centres adopting isolation measures increased over time, from 29.8% of centres in 1991 up to 96% of centres in 2003. The most frequently applied isolation measure is the use of dedicated monitors (HD-machine) and healthcare providers for HCV-positive patients in a defined sector of the unit. A few centers have specific HD sessions for HCV-positive patients or dialyze them in a separate unit.
Results of molecular analysis can be used in matters as liability of healthcare providers, and compensation of nosocomially infected patients.
Epidemiology of HCV among dialysis patients
Dialysis patients are at high-risk for HCV infection, transmission in haemodialysis (HD) units has frequently been reported.
Since 1991 an epidemiological surveillance of HCV has been conducted in Spanish dialysis units. This survey collects an annual registry of HCV prevalence, together with the incidence in the different dialysis modalities. More than 50% of the Spanish dialysis population has been involved in this survey, with the number of participating centres increasing from 84 centres in 1991 to 135 centres in 2003, representing 5,218 to 10,597 participating dialysis patients, respectively.
The prevalence of HCV in Spanish dialysis patients was initially high, but decreased over time throughout the study, as illustrated on the right.
HCV prevalence was higher in HD patients than in peritoneal dialysis (PD) patients over the whole period. The prevalence of HCV among HD patients decreased from 36% in 1991 to 11.22% in 2003. In PD patients the prevalence was lower: 10.6% in 1991 and 7.5% in 2003.
Strict adherence to the universal infection control precautions 8 has been deemed adequate to prevent nosocomial transmission of HCV. However, in units with high prevalence of HCV infection, the implementation of universal precautionary measures may not suffice in order to decrease the incidence and prevalence of HCV. In this type of setting, strict isolation practices can be useful in order to achieve this goal.
The prevalence of HCV in Spanish dialysis units applying isolation measures appeared to be lower throughout the survey (1991-2003) than in centres not adopting specific isolation practices. Universal infection control precautions are the keystone in the prevention of nosocomial HCV transmission in HD units, but isolation measures have improved the results. Dialysis centres with high HCV prevalence appeared to represent a risk factor for patients becoming HCV-positive due to dialysis unit attendance. In these centres, isolation measures, in addition to the universal precautions, may be most critical to prevent patient seroconversion.
Accidents in HD units with blood from HCV-positive patients have been reported over the period 1991-2003. As detailed in the table below, some of these accidents led to seroconversion but the annual seroconversion rate due to accidents was low, with a maximum of 4 seroconversions noted in 1997. As of 2000, no seroconversions due to accident were noted.
A regular follow-up (at 6-month interval) of HCV prevalence in staff working in HD centres is performed. As shown in table at bottom of page, HCV prevalence is highest among nurses; however, their prevalence is in the same range as that reported for the general population in Spain.
Isolation measures to prevent nosocomial HCV infection in dialysis units
* including haemodialysis and peritioneal dialysis patients
In 2004, the Spanish Society of Nephrology published guidelines on HDassociated viral infections 9 , emphasizing the need for the personnel of HD units to adhere to universal precautions. These guidelines describe minimal requirements and procedures for the most at-risk virus infections in dialysis units (HBV, HCV and HIV). The document provides an actualization of possibilities of virus treatment together with current legislation and implications of HCV infection for patients and staff. Actions to be taken in case of an epidemic outbreak or in case of an accident of staff with infected blood are described. The guidelines also consider conditions necessary for inclusion of these patients on the waiting list for kidney transplantation.
References
1. Sola R, Cruz De Castro E, Hombrados M, Planas R, Coll S, Jardi R, Sunyer J, Covas MI, Marrugat J. Prevalence of hepatitis B and hepatitis C viruses in different counties of Catalonia, Spain: cross-sectional study, Med Clin (Barc) 2002;119(3):90-5.
2. Sacristán B,Gastañares MJ, Elena A, Sacristán M, Barcenilla J,García JC, Yangüela J. Infección por el virus de la hepatitis C. Estudio seroepidemiológico en población general de La Rioja. Medicina Clínica 1996; 107: 331-335.
3. Riestra S, Fernández E, Leiva P et al. Prevalence of hepatitis C virus infection in the general population of northern Spain. Eur J Gastroenterol Hepatol 2001;13(5):477-819.
4. García-Fulgueiras A, Tormo MJ, Rodríguez T, et al. Prevalence of hepatitis B and C markers in the south-east of Spain: an unlinked community-
based serosurvey of 4203 adults. Scand Infect Dis1996;2:17-20.
5. Lopez-Velez R, Huerga H, Turrientes MC. Infectious diseases in immigrants from the perspective of a tropical medicine referral unit. Am J Trop Med Hyg 2003;69(1):115-21.
6. Esteban J, Gimeno C, Aragones A, Barril J, Pellin Mde L. Prevalence of infection by HIV and hepatitis C virus in a cohort of patients on methadone treatment. Med Clin (Barc) 2003;120(20):765-7.
7. Esteban JI, Gomez J, Martell M, Cabot B, Quer J, Camps J, Gonzalez A, Otero T, Moya A, Esteban R, et al. Transmission of hepatitis C virus by a cardiac surgeon. N Engl J Med 1996;334(9):555-60.
8. Center of Disease Control and Prevention (CDC). Recommendations for preventing transmission of infections among chronic hemodialysis patients. MMWR Recom Report 2001;50:1–43.
9. Barril G, Gonzalez Parra E, Alcazar R, Arenas D, Campistol JM, Caramelo C, Carrasco, M, Carreno V, Espinosa M, Garcia Valdecasas J, Gorriz JL, Lopez MD, Martin L, Ruiz P, Terruel JL for the Spanish Society of Nephrology. Guidelines on hemodialysis-associated viral infections. Nefrologia 2004;24 Suppl 2:43-66.
Based on presentations by C. Varela Martinez, National Centre of Epidemiology, Mandatory Notifiable Diseases, Madrid, Spain; P. Barreiro, Service of Infectious Diseases, Hospital Carlos III, Madrid, Spain; J. Quer Sivila, Liver Unit, Hospital Vall d'Hebron, Barcelona, Spain; G. Barril, Unit of Hemodialysis, Hospital de la Princesa, Madrid, Spain.
Prevalence of viral hepatitis in HIV-infected individuals in Spain
Prevalence of HCV-HIV coinfection among HIV-positive mothers of newborn babies
Since the introduction of highly active antiretroviral treatment (HAART) in the mid 90's, less HIV-infected patients die from HIV-related or AIDSindicative diseases but more die from other causes, many of them hepatic conditions.
There was a dramatic decrease in the number of new AIDS cases among injection drug users (IDUs) in Spain between 1994 (about 5,000 cases) and 2005 (744). Still, IDUs, who are also at high risk for HCV infection, represent an important risk category for HIV/AIDS transmission in the country.
HCV-positive end stage liver disease (ESLD) has become a leading cause for morbidity and mortality in HIV-positive patients and the liver damage caused by HCV disease progresses more rapidly in HIV-positive individuals. As illustrated in slide below, the percentage of hospital discharges among HIV-infected patients with the HCV diagnosis (as main reason for hospitalization or not) gradually increased from 17.6% in 1999 to 26.3% in 2002 in Spain while the same parameter has remained stable for other viral hepatitis infections (e.g. 3.6-4.1% for HBV over the same period). It is expected that the presence of this large cohort of HIV patients coinfected with HCV will have an impact on the demand of health resources for clinical care.
In the context of prevention of HIV infection and more specifically, mother-to-child transmission (MTCT) of HIV-HCV, an epidemiological information system was established to estimate the prevalence of HIV infection and HIV-HCV coinfection in unselected mothers of newborn babies. The system was initiated in 1996 in 8 autonomous regions of Spain and is based on anonymous testing in newborn babies. The testing is performed on residual dried blood spot samples from routine neonatal screening and the results are unlinked for identifiers. Samples that tested positive for HIV were subsequently tested for anti-HCV. In the period 1998-2004, the overall proportion of HIV-positive mothers with anti-HCV antibodies (data available for 5 regions) was 39.5%. The table below shows the aggregated data from 1998 until 2004.
HIV + (1998-2004): 618.
The HIV prevalence was about 1.4/1,000 women and the prevalence of HIV-HCV was about 0.5/1,000 women. The prevalence was quite constant over this period (see slide below).
Based on the results obtained in this unselected population of pregnant women, it was concluded that the prevalence of HIV-HCV in Spain is high in comparison with other European countries and stable during 1998-2004. It is recommended that HCV testing should be done in HIVpositive pregnant women, as well as in all those with risk factors for HCV infection.
HIV coinfection in chronic viral hepatitis (HBV and HCV)
Overlapping routes of transmission of HBV or HCV viruses and of HIV result in a high frequency of HBV-HIV or HCV-HIV coinfection. In Spanish cohorts of HIV-infected people, the frequency of HCV-HIV coinfection is one of the highest among European countries while the prevalence of HBsAg-positive HIV patients is similar to that reported in other geographic areas around Europe (see table top right) 1-3 .
References
1. Roca B, Suarez I, Gonzalez J, Garrido M, de la Fuente B, Teira R, Geijo P, Cosin J, Perez-Cortes S, Galindo MJ, Lozano F, Domingo P, Viciana P, Ribera E, Vergara A, Sanchez T. Hepatitis C virus and human immunodeficiency virus coinfection in Spain. J Infect 2003;47(2):117-24.
2. Pacheco R. Clinical and Epidemiological Characteristics of Hepatitis C Infection in a Large Cohort of HIV-Infected Patients in Spain (GESIDA 29/02 Study). IAS Conf HIV Pathog Treat 2003 Jul 13-16;2nd: Abstract No. 985. Available at: http://www.aegis.org/conferences/IASHIVPT/2003/985.html
3. Hospital Interview among HIV/AIDS patients 2003 in Spain. Results 2003 and analysis of the evolution 1995-2003. Available at: http://cne.isciii.es/htdocs/sida/encuesta_hosp.pdf
Based on presentations by M. Díez, Secretariat of the National Plan on AIDS, National Center of Epidemiology, Madrid, Spain; C. Tural, HIV Clinical Unit, Internal Medicine Department, University Hospital Germans Trias i Pujol.
Hepatitis vaccination policy, vaccine coverage and impact of immunization programmes in Spain
Vaccination policy: administrative framework
Spain has a Public Health System (PHS) with universal coverage and until recently, only few private health centres.
The Public Health Commission created in 1992 is composed of the Directors General from the Ministry of Health and ACs. Several boards, commissions and working groups are accountable to this Commission.
As detailed previously in this report, the establishment of the Spanish 1978 Constitution has led to a progressive transfer of central health competencies to the ACs; this process was completed in 2002.
National consensus on basic health policies and priorities on healthcare issues are established by the Inter-Territorial Board formed by National and Regional Ministries of Health (representatives from each AC); implementation of such policies and priorities is ensured via a Public Health Commission, attached to the Council.
The need for coordination of health programmes and vaccination policies among ACs led to the creation of the Permanent Commission for the Follow up of Health Programmes in 1988.
In 1991, this Commission created, in turn, the Programmes and Vaccine Registration Board in order to deal with specific vaccine issues. This board is coordinated by the general sub-directorate of Health Promotion & Epidemiology and consists of representatives from the vaccination programmes of each AC and several State institutions with relation to vaccines.
The administrative process regulating the establishment and implementation of the national immunization schedule in Spain is illustrated on page 15, whereby the Programmes and Vaccine Registration Board of the Ministry of Health -composed of representatives from the ACs and different institutions such as the Spanish Drug Agency, the National Centre for Epidemiology, as well as invited experts- makes recommendations on vaccine issues and immunization schedules. Such proposals are sent for approval to the Public Health Commission before reaching the InterTerritorial Board. Once vaccine recommendations are approved by the Council in the form of a consensus, they are incorporated into the National Immunization Schedule (NIS).
In addition, the following State institutions are involved with immunization matters:
* Spanish Drug Agency responsible for the evaluation, authorization and registration of vaccines.
* Directorate General of Pharmacy and Health Products responsible for authorizations relating to public financing and pricing; and for the maintenance of a strategic, State-run deposit.
* Directorate General of Public Health responsible for recommendations, coordination of immunization schedules, coverage analysis, and evaluation of routine immunization schedules.
State powers in relation to vaccines include the regulation of conditions and minimum requirements aiming to maintain confluence, harmonization, coordination and cohesion across initiatives and vaccination guidelines from individual ACs. The State is also the focal point on vaccines for international institutions and organizations.
Implementation of immunization programmes
Despite all vaccines included in the NIS being voluntary, very high coverage levels are reported in all ACs of Spain. Most vaccines included in the primary immunization series are administered by paediatricians. However, some vaccines may be given in schools, by a public health physician and/or nurse.
The NIS is implemented in almost all ACs. It is very rare for a Community not to supply a recommended vaccine. In a couple of Communities, additional vaccines which are not included in the NIS are provided e.g., hepatitis A vaccine. Depending on the Community, there might also be slight differences on targeted high risk groups, e.g. in the case of HAV vaccine, or recommended ages for a specific vaccine, e.g. influenza vaccine.
Each AC is responsible for purchasing the vaccines for their region with, as a result, potential price variations for the same vaccine across Communities, depending on regional tender terms. All recommended vaccines are free of charge and paid by AC government. No earmarked national funds are provided to the Communities to purchase vaccines. Therefore, based on their existing budget, a Community might, in theory, not agree to support a new vaccine recommended by the Programmes and Vaccine Registration Board of the Ministry of Health or by the Public Health Commission of the InterTerritorial Board if it could not afford the expenses.
HAV vaccination policy in Spain
In 1993 HAV vaccination was only recommended to travelers to endemic areas and hemophiliacs.
In 1997 HAV vaccination was recommended for the following high-risk groups:
* travelers to HAV endemic areas
* men who have sex with men and several sexual partners
* injection drug users
* household contacts or care givers of persons with hepatitis A
* staff in contact with untreated waste water
* healthcare staff of hospitals and health institutions
* nurseries staff
* hemophiliacs
* staff frequently involved in situations of disasters
In 2004 HAV vaccination recommendations for adults were reviewed to include the following categories of high-risk groups:
* food handlers
* transplantation patients
* HIV-infected individuals
* CLD patients
However, some divergence regarding the recommended high-risk groups is observed in some ACs.
Three ACs have routine HAV immunization programmes:
* routine immunization of children < 2 years old in the cities of Ceuta and Melilla, two Spanish cities in North Africa, which are characterized by specific epidemiological patterns;
* pilot programme of pre-adolescent immunization with combined hepatitis A+B vaccine in Catalonia, started in 1998 .
HAV immunization programme in Catalonia
Catalonia started its HAV risk-group vaccination programme in 1995 but, as it became obvious that no reduction was observed, either in the number of HAV morbidity reports: 2.79/100,000 in 1995 versus 8.10/100,000 persons-year in 1998, or in the number of yearly HAV cases: 279 in 1995 versus 493 in 1998, a programme of mass hepatitis A+B vaccination in preadolescents (12 year-olds) in schools was begun in the last quarter of 1998.
The rationale for this universal vaccination programme included:
* limited impact of selective vaccination of risk groups
* immediate impact of universal vaccination on clinical cases
* potential of mass vaccination to eliminate the disease
* combined hepatitis A+B vaccine available
* well-established HBV vaccination programme of pre-adolescents in schools
* low cost of the programme
* acceptable cost-effectiveness and cost-benefit ratios of the programme 1
As shown in graph below, seven years following the implementation of the mass vaccination programme, the HAV incidence rate in the general population of Catalonia has fallen by 47.3%, in comparison with the previous seven years. The greatest fall (73.6%) occurred in the 10-19-year-olds group (corresponding to the vaccinated cohorts) followed by the 20-29year-olds group (48%), as shown in graph below. The reduction in the incidence in non-vaccinated age groups supports the indirect effects of the vaccination programme, as also observed in other studies. The effectiveness of the vaccination programme was estimated at 98% and the prevented fraction of HAV in children (6-19-year-olds) was estimated at 89% of the seven-year period 1,2 .
In 1990, on the basis of an Inter-Territorial Council Agreement, the following high-risk groups were added to the 1983 existing list:
HBV vaccination policy in Spain
Historical
HBV vaccination has had an unusual progressive implementation pattern in Spain, which may be due to the ongoing devolution process when the vaccine was introduced. Another factor which may have contributed to this gradual process are the costs linked to the simultaneous vaccination of two target groups (children and adolescents) and the changing evidence as to the best age group to vaccinate.
HBV vaccination was implemented in 1983 with a Royal Decree 3179/1983 from the Ministry of Health relating to recommendations of vaccination for the following high-risk groups:
* haemodialyzed or blood transfusion patients
* healthcare staff from haemodialysis units, laboratories, surgical and dental services
* institutionalized mentally disabled inpatients and staff working at these institutions
* household members and sex partners of persons with chronic HBV infection
* persons with frequent skin punctures not controlled by a health professional (e.g. intravenous drug users)
* newborns to chronically infected mothers (pregnant women screened; no HBIg administered)
* recipients of certain blood products (e.g., haemophiliacs)
* healthcare workers or others with occupational exposure to blood or blood products
* inmates and staff of long-term correctional facilities
* persons with several sex partners
* international travelers who will live or work for six months or longer in areas with high levels of chronic HBV infection
* frequent travelers to highly endemic areas who are at risk of having sexual contacts
Subsequent steps in the evolution of HBV vaccination policy were made on the basis of Inter-Territorial Council Agreements in 1992, 1996, and 2003 respectively, with recommendations focusing on:
1992
* intensified efforts toward higher coverage of HBV vaccination of newborns to chronically infected mothers
* development of HBV vaccination programmes for 12-13-yr-old preadolescents in all ACs within their resources and in a reasonable timeline
* specific cases where particular circumstances may warrant use of the HBV vaccine
* continued and increased HBV vaccination in high-risk groups
Inter-Territorial Council of National Health System
Recommended Vaccination Schedule (2006)
Approved by the Inter-Territorial Council on 29 March 2006
a Children not vaccinated at this age will receive the second dose between 10-13 years of age
b Children who did not receive primary vaccination during infancy
c Children will be administrated two doses of MenC vaccine between 2 and 6 months of age, at least 2 months apart
d Booster dose administration is recommended as of 2 months of age
e Vaccination only for children with no history of varicella zoster virus (VZV) disease or vaccination
Source: adapted from http://www.msc.es/ciudadanos/proteccionSalud/infancia/docs/c2006.pdf
* HBV pre-adolescent vaccination programme included in the immunization schedule of all ACs
* HBV newborn vaccination included in some ACs
2003
* HBV newborn vaccination included in all ACs, at either 0, 1, 6 or 2, 4, 6 months
* HBV vaccination at 0, 1, 6 months for newborns to chronically infected mothers
2004
* revised recommendations for high-risk groups to include transplantation patients, HIV-infected individuals and CLD patients
Vaccine coverage and impact of HBV immunization programmes
As already mentioned earlier, very high levels of vaccine coverage are reported in Spain, e.g. >84% HBV vaccine coverage was reported among adolescents in the year 1997-1998 following the 1996 recommendation; subsequent coverage figures in this population were maintained around 80% up to 2005. Of note, the lowest figure reported over the period 19972005 (<78%) refers to school year 2003-2004 and may be explained by the growing number of adolescents already vaccinated as part of children immunization programmes.
It should also be noted that these figures may be underestimated due to school population used as denominator and because of adolescents who may have already been vaccinated as newborns.
Average figures for HBV vaccine coverage in children across all ACs were 97.6%, 96.9% and 96.1% for the years 2003, 2004 and 2005, respectively (see table below). These figures are similar to those reported for other primary immunization vaccines.
The implementation of HBV immunization programmes in Spain has contributed to the steady decrease of hepatitis annual incidence over time (as illustrated in the graph presented on page 9 .)
References
1. Dominguez A, Salleras L, Carmona G, Batalla J. Effectiveness of a mass hepatitis A vaccination program in preadolescents. Vaccine 2003; 21(7-8): 698-701.
2. Navas E, Salleras L, Gisbert R, Dominguez A, Bruguera M, Rodriguez G, Gali N, Prat A. Efficiency of the incorporation of the hepatitis A vaccine as a combined A+B vaccine to the hepatitis B vaccination programme of preadolescents in schools. Vaccine 2005; 23(17-18): 2185-9.
Based on presentations by P Santa Olalla Peralta, Dirección General de Salud Pública, Ministerio de Sanidad y Consumo, Madrid, Spain and Ángela Dominguez, Directorate of Public Health, Generalitat of Catalonia, Spain.
Hepatitis B Vaccine Coverage, in Children by AC (2003-2005)
Conclusions of the Meeting
Organization of healthcare system in Spain
* The Spanish National Health System is:
- based on public funding with universal free health services;
* HAV incidence has decreased from 1997 until 2005, however a rise was observed between 2002-2005, possibly due to immigration (study in Catalonia), with some regional variations observed.
- divided between State and Autonomous Community (AC) Health Departments (devolution);
- coordinated by the Inter-Territorial Board.
* The Inter-Territorial Board makes recommendations in the form of a MOH national consensus that guarantees equal minimum healthcare standards.
* ACs make decisions regarding health policies and vaccines procurement.
* Healthcare budget is allocated per capita to each AC; individual ACs may decide on additional priorities within the budget.
* Healthcare is organized at two levels within the Spanish National Health System, including primary healthcare (in primary care centres) and specialist care (in specialist centres and hospitals).
Hepatitis epidemiological surveillance in Spain
* Since 1995, epidemiological surveillance is based on 3 main information systems, including:
- statutory notification by general practitioners, for hepatitis A and B infections (Note: 5-10 times underreporting observed for hepatitis A in Catalonia);
- microbiological information for hepatitis A, B and C (25% reporting coverage, overall );
- outbreak reporting for hepatitis A, B and C.
* Complementary information systems include hospital discharges, mortality surveillance, seroepidemiological surveys, sentinel surveillance and special registries.
* Surveillance and reporting systems for viral hepatitis should be further strengthened in terms of:
- timely and complete case-based reporting for all variables, including laboratory confirmation;
- data analysis allowing identification of well-defined high-risk groups and, more generally, appropriate policy decisions and actions to further strengthen prevention and control efforts.
Hepatitis outbreak investigation in Spain
* Outbreak investigation is part of national surveillance and a specific training programme run by the National Centre of Epidemiology has been in place for 10 years.
* Objectives of the outbreak reporting programme are to assess and confirm the magnitude of reported outbreaks, to identify its source/vehicles, and to identify risk factors/source of transmission.
* Over the period 1996-2003 a total of 375 viral hepatitis outbreaks were reported, involving 2881 cases (107 reported outbreaks in Catalonia):
- 15% foodborne (50% water/50% shellfish);
- 70% caused by direct transmission (numerous cases in schools);
- control measures reported for 63% outbreaks.
* Recommended outbreak control measures include improved hygiene, enhanced surveillance, enhanced international cooperation, as well as the use of vaccines. [Note: the decision to vaccinate is made at the level of each AC].
Epidemiology of hepatitis A in Spain
* Spain is characterized by low HAV endemicity, with low rates of disease and very low mortality.
* A high percentage of <30-yr-olds are not protected (<5% of 5-14yrolds are seropositive in Catalonia).
* Highest HAV incidence was observed among 5-9-year-olds.
* In the two autonomous cities of Melilla and Ceuta, previously characterized by exceptionally high HAV incidence rates, a significant decline has been observed following implementation of immunization programmes.
Molecular epidemiology of hepatitis A in Spain
* In the region of Catalonia, HAV was detected in sewage, rivers and
occasionally shellfish.
* Most HAV isolates were of subgenotypes 1A or 1B.
* It was concluded from molecular epidemiology data that the abundance of HAV in the environment, as tested in Catalonia, represents a situation of sanitary risk, especially considering the low seroprevalence of anti-HAV antibodies in the young population.
Hepatitis E epidemiology in Spain, including molecular diagnosis
* In 2000, HEV seroprevalence in the whole of Spain was 2.9% while it was 7.3% in Catalonia in 2006, compared to 3-20% in other industrialized countries.
* Six HEV strains were isolated from serum samples of patients with acute HEV. Among the five human strains that could be identified, four were autochthonous and one was imported (1989-2003).
* HEV-RNA was identified in 44% of sewage samples from Barcelona (genotype 3).
* Anti-HEV (IgG) antibodies were identified in 19% of pigs in Catalonia (genotype 3).
* The close relationship between HEV strains isolated from sewage samples, human HEV strains causing acute hepatitis and the swine HEV strains identified, indicates that swine might be a reservoir for HEV in Spain.
* HEV virus strains detected in pigs could also be a source of infection for humans.
* Both HAV and HEV isolates were occasionally identified in the same sewage samples.
Diagnosis of HEV
* Several diagnostic tests are available: enzyme immunoassays and Western blot assays are used to detect anti-HEV IgM and IgG in serum; these can be complemented by PCR tests to detect HEV RNA in serum and stool samples.
* Lack of specificity of commercial ELISA test has been observed. Confirmation of HEV ELISA positivity by immunoblot is extremely important for an accurate diagnosis of HEV and the development of a reliable serological assay is crucial to estimate the real prevalence of HEV in "non-endemic" areas.
* HEV should be considered as an environmental contaminant, therefore HEV-RNA testing should be included in investigation of acute/fulminant non-A, non-B, and non-C hepatitis, even in the absence of travel history.
Epidemiology of Hepatitis B in Spain
* Spain is a region of low HBV endemicity, characterized by a progressive decline (47.3% fall) in incidence of acute hepatitis B between 1997-2005.
* High HBV seroprevalence is observed among 30-39 year-olds (1.95% HBsAg positivity).
Use of molecular techniques for hepatitis B diagnosis
* A variety of HBsAg mutants have been detected among HBsAg carriers but these do not cause a measurable threat to the current vaccination policy.
* Safety testing of blood donations in Spain includes compulsory HBsAg assay and of secondary importance anti-HBc Ab and ALT. Nucleic acid testing (NAT) technology is used in 80% of blood donations.
* When applying NAT-technology for HBV DNA screening in the blood bank setting, the yield of HBV identification ranges from 1:98.000 in the window phase, and 1:24.000 for silent HBsAg-negative samples.
* Some HBsAg mutants may be missed by some serological assay in blood donation testing.
Epidemiology of hepatitis C in Spain
* HCV prevalence ranges from 1.5-2.5% in the general population of Spain, with a rapid drop of the number of new infections observed between 1996 and 2005.
* Major routes of transmission include parenteral transmission -mainly due to IVDU, nosocomial infection and percutaneous transmissionand non-apparent parenteral transmission, e.g. healthcare workers, tattooing, and acupuncture.
* The number of HCV cases is highest among 25-44 year-old men and drug addiction is the most important risk factor.
* HCV prevalence is high in haemodialyzed patients but universal precaution and isolation measures have led to the decrease of HCV infections.
Use of molecular techniques in nosocomial HCV outbreaks
* HCV transmission during clinical procedures was reported and investigated in several settings.
* The benefit of molecular epidemiology was demonstrated in:
- identifying the source of HCV infection;
- establishing HCV transmission mechanisms;
- implementing modified clinical procedures in order to prevent additional nosocomial infections.
* In Spain, molecular HCV epidemiology has legal, economical and medial practice implications.
Prevalence of viral hepatitis in HIV-infected individuals
* In Spain, the frequency of HCV-HIV coinfection is one of the highest among European countries, while prevalence of HBsAg-positive patients with HIV is similar to that in other geographic areas around Europe.
* The percentage of hospitalizations due to HCV among HIV patients has gradually increased over the period 1999-2002. HCV-positive cirrhosis of the liver has become a major cause for morbidity and mortality in HIV-positive patients in Spain.
* The presence of the large cohort of HIV patients coinfected with HCV is expected to have an impact on the demand of health resources for clinical care.
* The consequences of HCV or HBV chronic infections in HIV-positive patients are:
- faster liver fibrosis progression rate;
- increased liver-related mortality and overall mortality rates;
- increased rate of hepatotoxicity to antiretroviral agents which limits future therapeutic options;
- poorer CD4+ cell gain with an effective antiretroviral scheme in HCV coinfected patients.
Hepatitis vaccination policy in Spain
* Spanish National Immunization (NIS) guidelines are generally implemented in all ACs.
* Recommended vaccines are free of charge and paid by ACs.
* Universal HBV vaccination is recommended in the entire country.
* Universal HAV vaccination is recommended in 3 ACs, and HAV vaccination for high-risk groups in the entire country.
* Most vaccines are administered by paediatricians or in schools.
* Some ACs provide additional vaccines (e.g. HAV vaccine).
* High performance of immunization programmes needs to be sustained, prioritizing high-risk groups, including immigrants.
* Specific recommendations for revising of future vaccination policy include:
- is vaccination of healthcare workers needed?
- adolescent immunization with combined hepatitis A+B vaccine will become less needed as children are immunized via HBV universal programmes;
- should 18-month-olds be vaccinated against HAV?
- confounding effect of immigrants will need to be considered for future vaccination policies.
Hepatitis A vaccination in Spain
* 1993: high-risk group vaccination is recommended.
* 1997: extended high-risk group vaccination.
* 1998: routine adolescent vaccination in Catalonia with combined hepatitis A+B vaccine, with estimated 98% effectiveness in 2005.
* 2000: routine vaccination of children <2yrs in Ceuta and Melilla (based on specific epidemiology).
* 2004: revision of adult HAV vaccination recommendations to include additional high-risk groups.
Hepatitis B vaccination in Spain
* 1983: high risk-group vaccination is recommended in the entire country.
* 1990: extended high-risk group list, including newborns of HBsAgpositive mothers.
* 1992: efforts toward adolescent vaccination programmes.
* 1996: adolescent (12-13yrs) vaccination in all ACs + newborn vaccination in some ACs.
* 2003:
- infant vaccination in all ACs at 0,1,6 or 2,4,6-month schedule;
- passive/active vaccination of newborns to HBsAg-positive mothers at 0,1,6-month schedule;
- adolescent vaccination continued until children immunized reach adolescence.
* 2004: revision of adult HBV vaccination recommendations to include additional high-risk groups.
* 2005: >95% vaccination coverage for primary immunization series in all ACs.
Adapted from a presentation by Prof. Daniel Shouval, Liver Unit, Hadassah University Hospital, Jerusalem, Israel.
www.vhpb.org
The Viral Hepatitis Prevention Board (VHPB) is supported by grants from the pharmaceutical industry (GlaxoSmithKline Biologicals, Sanofi Pasteur MSD), several universities in Europe, and other institutions.
© The Viral Hepatitis Prevention Board All rights reserved. No part of this publication may be reproduced, stored in a retrieval system or transmitted, in any form or by any means, electronic, mechanical, photocopying, recording or otherwise, without prior written permission of the publisher.
The VHPB has strict operational and scientific independence. The VHPB Executive Secretariat also benefits from being located at the Centre for the Evaluation of Vaccination, Faculty of Medicine, University of Antwerp, Belgium, where it has the infrastructure and administrative services at its disposal. Viral Hepatitis is produced and published by the VHPB – Scientific editors: Pierre Van Damme and Alex Vorsters; Editor and copywriters: Véronique Delpire and Anita Vanderpooten-Words & Science. Artwork by Auld Lang Design. Printed by WILDA, Antwerp, Belgium.
Viral Hepatitis editorial procedure
Sections of this issue that correspond to a presentation at the November 2006 VHPB meeting in Madrid, Spain were drafted by the editors of Viral Hepatitis. These draft versions have been submitted to a number of peer reviewers selected among the speakers for review prior to publication. Following the review process, all texts were subject to editorial amendment according to the Viral Hepatitis house style.
For further information, please contact:
VHPB Executive Secretariat
Centre for the Evaluation of Vaccination
WHO Collaborating Centre for Prevention and Control of Viral Hepatitis
Faculty of Medicine
University of Antwerp
Universiteitsplein 1
B-2610 Antwerpen, Belgium
Tel +32 (0)3 820 25 23 Fax +32 (0)3 820 26 40
E-mail: firstname.lastname@example.org
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Engineers Australia Excellence Awards 2024
People Awards Entry Handbook
Overview
Thank you for considering entering your nomination in the Engineers Australia Excellence Awards: People 2024.
People awards acknowledge individual engineers for outstanding innovation and resourcefulness in their work. The Engineer of the Year awards recognise engineering professionals at all stages of their career including emerging engineers for those in the early stages of their careers. Six awards are available based on the three occupational categories.
Career achievement awards apply to individual engineering professionals at all career levels and across the occupational categories. There are 11 individual awards in this category mostly aligned to each of the engineering colleges.
Also in the people category are the distinguished career awards. This category contains two separate awards which recognise the conspicuous service of individuals who have given longstanding and prominent service to the profession.
Categories
Engineer of the year
— Professional Engineer of the Year
— Engineering Technologist of the Year
—Engineering Associate of the Year
— Emerging Professional Engineer of the Year
— Emerging Engineering Technologist of the Year
— Emerging Engineering Associate of the Year
Achievement awards
— Biomedical College:
David Dewhurst Award
— Chemical College:
Chemical Engineer Achievement Award
— Civil College:
Sir John Holland Civil Engineer of the Year
— Electrical College:
MA Sargent Medal
—Engineering Heritage Australia:
John Monash Medal
— Environment College: Environmental Engineer Achievement Award
—ITEE College:
Neville Thiele Eminence Award
Mechanical College:
AGM Michell Medal
Engineers Australia Excellence Awards: People Awards 2024 | Entry Handbook
— RISK Society: Risk Engineer Achievement Award
— Structural College: John Connell Gold Medal
— Transport Australia society:
Transport Medal
Distinguished career awards
— Peter Nicol Russell Memorial Medal
— Honorary Fellows
—
Eligibility and nomination
Applicants for these awards can be nominated by their managers, team members and members of Engineers Australia's various engineering communities. Applicants can also nominate themselves.
The Engineer of the Year is awarded to individuals who embody:
— Outstanding examples of innovation and resourcefulness within the engineering profession.
— The highest technical, professional and community service standards in engineering.
— The broad nature and impacts of the profession through their significant contributions.
The nomination and eligibility criteria for applicants are the same across each occupational category.
Nominations for either the emerging professional engineer of the year or professional engineer of the year categories need to stipulate which Engineers Australia division they're affiliated with.
Nominations in any of the four associate and technologist categories are initially reviewed by the National Committee for Engineering Associates and Technologists.
Nominations from or for international members are welcome.
If you aren't currently an Engineers Australia or engineering community member, you'll be able to join during the nomination process.
Follow the steps laid out in the submission guidelines and terms and conditions if you're interested in nominating an outstanding engineering professional for an award.
Applicants can only be nominated once in any award category.
Nominees for the emerging engineer awards must be practicing engineering professionals not over the age of 35 (up to and including the day that the awards are announced, 21 November 2024).
Why nominate?
Participating in the excellence awards helps to expand your professional network and amplify your engineering accomplishments.
We've highlighted some of the tangible benefits for each award below.
Professional engineers
Nominee
— Ticket to attend the local event
— Profiled in the awards showcase publication
— Marketing toolkit to help spread the word with your networks
— Recognised as part of the campaign through Engineers Australia owned media channels
Local winner and national finalist
— Trophy and framed certificate
— On-stage Q&A
— Ticket to attend the national event
— Invite to pre-event cocktail networking function
— Marketing toolkit to help spread the word with your networks
— Recognised as part of the campaign through Engineers Australia owned media channels
— Discounted registration for events and professional development opportunities
— Profiled in the awards showcase publication
— Opportunity to present at local Engineers Australia events
National winner
— Trophy and framed certificate
— On-stage Q&A
— Marketing toolkit to help spread the word with your networks
— Recognised as part of the campaign through Engineers Australia owned media channels
— Opportunity to be a guest speaker at local Engineers Australia events
— Opportunity to participate in the 2025 awards launch as part of 'meet the winners' session
— Opportunity to be part of the 2025 awards judging panel
Associates and Technologists
Nominee
— Ticket to attend the national event
— Profiled in the awards showcase publication
— Marketing toolkit to help spread the word with your networks
— Recognised as part of the campaign through Engineers Australia owned media channels
Winner
— Trophy and framed certificate
— On-stage Q&A
— Marketing toolkit to help spread the word with your networks
— Recognised as part of the campaign through Engineers Australia owned media channels
— Opportunity to be a guest speaker at local Engineers Australia events
— Opportunity to participate in 2025 awards launch as part of 'meet the winners' session
— Opportunity to be part of the 2025 awards judging panel
Achievement awards
Nominee
— Ticket to attend local event
— Profiled in the awards showcase publication
Winner
— Framed certificate
— Cash prize for professional development (varies by award)
— Recognised as part of the campaign through Engineers Australia owned media channels
— Invite to attend the local end-of-year event and fellowship ceremonies
— Opportunity to be part of the 2025 awards judging panel
Judging process
The judging process for the emerging professional engineer of the year or professional engineer of the year categories is a two-round process:
First-round scoring of the nominee. The local judging panel determines one local winner for each division. Each division (local) winner will become the national finalist for the award.
Second-round scoring of the nominee. The Honours and Awards Committee determines one national winner for the Emerging Professional Engineer of the Year or Professional Engineer of the Year categories.
Step 1: All applicants who qualify are referred to as nominees.
Step 2: All nominees are showcased at the local event for the division that was assigned in the submission phase.
Step 3: At the event, one person is awarded local winner for each category. For example, Professional Engineer of the Year – Victoria 2024.
Step 4: All local winners (there can be up to 10) progress as national finalists.
Step 5: All national finalists are showcased at the national event.
Step 6: One finalist is awarded for each category. For example, Professional Engineer of the Year 2024.
The judging for Associates and Technologists is conducted on a national level by the National Committee for Engineering Associates and Technologists and endorsed by the Honours and Awards Committee.
Engineers Australia's colleges and engineering communities evaluate and judge nominations for each achievement award on a national level and one winner is selected for the year.
Events
All nominees receive a complimentary ticket to attend their local event. Additional guest tickets can be purchased once event registration opens.
All winners are announced during the local and national events. No winners are given prior notification.
Event 1: Engineers Australia Excellence Awards Local winner announcement 12-19 September 2024
Local winners are announced for each division for emerging professional engineer of the year or professional engineer of the year.
Winners for the achievement awards are also announced, based on the location of the winner.
Event 2: Engineers Australia Excellence Awards Gala Dinner 21 November 2024 in Brisbane
The national winners for Emerging Engineering Associate, Engineering Associate, Emerging Engineering Technologist, Engineering Technologist and the recipients of the distinguished career awards are announced.
The event showcases and celebrates the engineering excellence of the finalists and winners are celebrated amongst industry leaders, colleagues, government and media.
Timeline
Engineers Australia Excellence Awards: People & Projects 2024 timeline:
2024
2024
Contact
Email: firstname.lastname@example.org
Nominate: engoftheyear.awardsplatform.com
Engineer of the Year Awards
Criteria and submission guidelines
These criteria and submission guidelines apply to:
— Professional Engineer of the Year
— Emerging Professional Engineer of the Year
— Engineering Technologist of the Year
— Engineering Associate of the Year
— Emerging Engineering Technologist of the Year
— Emerging Engineering Associate of the Year
Award nominees in this category can nominate themselves or be nominated by someone else.
Follow the relevant instructions below.
Application criteria
Emerging Engineer of the Year
Describe how the nominee's engineering contribution and leadership has delivered benefits for individuals, groups, communities and the environment in which they reside, work, learn or enjoy recreation.
Specifically address how the nominee has supported and contributed to EA's purpose and strategic priorities.
Describe how the nominee has:
— been resourceful, innovative or entrepreneurial in solving engineering problems
— developed elegant design solutions
— pursued engineering research in an academic or similar setting
— pioneered the use of materials or employed practices or methods which are novel, inventive and creative.
Engineer of the Year
Describe how the nominee's engineering contribution and leadership has delivered benefits for individuals, groups, communities and the environment in which they reside, work, learn or enjoy recreation.
Specifically address how the nominee has supported and contributed to EA's purpose and strategic priorities.
Explain how the nominee has significantly demonstrated this criteria over an extended period of time (more than five years).
Describe how the nominee has:
— been resourceful, innovative or entrepreneurial in solving engineering problems
— developed elegant design solutions
— pursued engineering research in an academic or similar setting
— pioneered the use of materials or employed practices or methods which are novel, inventive and creative.
Explain how the nominee has significantly demonstrated this criteria over an extended period of time (more than five years).
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Criteria 1
Contribution to Engineers Australia's strategic priorities and purpose to advance society through great engineering.
Criteria 2
Formulation of resourceful, innovative and elegant engineering solutions or pioneering use of materials or methods.
Criteria 3
Contribution to sustainable and inclusive ethical practices.
Criteria 4
Contribution to and promotion of the engineering profession.
Optional
Notable achievements during an engineering career.
Application criteria
Self-nomination
— Your details including your full name, EA or learned society membership information, phone number and email address.
— If you're not a member, you must be supported by a referee who is a current Engineers Australia member.
— Name of the relevant award.
Engineers Australia Excellence Awards: People Awards 2024 | Entry Handbook
Emerging Engineer of the Year
Elaborate on how the nominee has demonstrated consideration of sustainability (social, environmental and economic) in undertaking their engineering work. Provide details of the nominee's contribution to supporting and recognising equity, diversity and inclusion in the engineering profession. Describe the nominee's ethical approach to their engineering work and in general.
Give details of the nominee's achievements or service activities, especially voluntary engineering-related pursuits which have furthered the engineering profession.
This is an opportunity to provide additional supporting information about any of the nominee's notable personal engineering achievements.
Engineer of the Year
Elaborate on how the nominee has demonstrated consideration of sustainability (social, environmental and economic) in undertaking their engineering work. Provide details of the nominee's contribution to supporting and recognising equity, diversity and inclusion in the engineering profession. Describe the nominee's ethical approach to their engineering work and in general.
Explain how the nominee has significantly demonstrated this criteria over an extended period of time (more than five years). Include details of how they've been a role model for and assisted in the development of emerging engineering professionals.
Give details of the nominee's achievements or service activities, especially voluntary engineering-related pursuits which have furthered the engineering profession.
Explain how the nominee has significantly demonstrated this criteria over an extended period of time (more than five years).
Review EA's Royal Charter for further information.
This is an opportunity to provide additional supporting information about any of the nominee's notable personal engineering achievements.
Nominator
— Your details including your full name, EA or learned society membership information, phone number and email address.
— Name of the relevant award.
— Details of the person you're nominating including their full name, EA or learned society membership details and email address.
— When you have submitted the initial nomination, the nominee will be invited to complete the submission process.
— When the nominee has completed the submission process, you'll be asked to approve the nomination before it's sent for judging and have the opportunity to add a comment to support he nomination if you wish.
Application requirements
— Your details including your full name, EA or learned society membership information, phone number and email address.
— If you're not a member, you must be supported by a referee who is a current Engineers Australia member.
— Name of the relevant award.
— Complete an Executive Summary and answer the criteria questions
Upload
— Nominee's current CV including employment history and achievements.
— A short 100-word bio and a portrait photo.
If you have any questions about the nomination process, email us at email@example.com.
Engineer of the Year Awards
Terms and conditions
The below terms and conditions apply to the following Engineers Australia awards:
— Professional Engineer of the Year
— Emerging Professional Engineer of the Year
— Engineering Technologist of the Year
—Engineering Associate of the Year
— Emerging Engineering Technologist of the Year
— Emerging Engineering Associate of the Year
Terms and conditions
1. All nominees must agree to be nominated.
2. Nominees must be a current Engineers Australia members in the relevant category at the time of nomination and must remain a financial member up to and including the day the awards are announced (if you are not a member of the institution at the time of the nomination, please contact the awards team to assist you to obtain your membership).
3. Nominees in the following categories must be practising engineering professionals not over the age of 35 (up to and including the day that the awards are announced):
— Emerging Engineer of the Year
— Emerging Engineering Technologist of the Year
— Emerging Engineering Associate of the Year.
4. Both members and non-members of Engineers Australia can nominate a member for an award.
5. Engineers Australia staff may not prepare a nomination on behalf of a nominee.
6. There is to be no monetary gain or other direct inducement, or incentive provided to a nominator, nominee or employer of either party.
7. Engineers Australia staff will not participate in the judging or voting process, however they may provide advice to judging panels as requested.
8. The judges' decision relating to any of these awards is final and no correspondence will be entered into.
9. When nominees agree to the terms and conditions, Engineers Australia:
— has the right to investigate the nominee's membership file
— may require the nominee to be interviewed by the judges
— has the right to use the content of the nominee's submission for promotional purposes.
Engineer of the Year Awards
Tips from our judges for a successful nomination:
— Do your research. We want to know how the nominee's engineering contribution aligns with Engineers Australia's purpose and strategic priorities.
— Focus on engineering excellence. Often nominees make significant contributions professionally or in a volunteer capacity outside of engineering. While this provides great background and context to the nominee's overall character, we can only judge against their contribution as an engineer and to the engineering profession.
— Tell us what is not "business as usual" about the nominee. Why do they stand out from their peers?
— Tell us about technical challenges the nominee has faced and how they were overcome. The judges are engineers too and will be able.
— Substantiate all claims for uniqueness or technical excellence. For example, if your nominee has pioneered the use of an environmentally sustainable building product, provide clear evidence of this claim. Unsubstantiated claims are hard to verify.
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Achievement awards
Criteria and submission guidelines
These criteria and submission guidelines apply to the following Engineers Australia awards:
— Biomedical College: David Dewhurst Award
— Chemical College: Chemical Engineer Achievement Award
— Civil College: Sir John Holland Civil Engineer of the Year
— Environmental College: Environmental Engineer Achievement Award
— ITEE College: Neville Thiele Award
— Mechanical College: AGM Mitchell Medal
— RISK Society: Risk Engineer Achievement Award
— Structural College: John Connell Gold Medal
— Transport Australia society: Transport Medal
Judging criteria
Criteria 1
Contribution to Engineers Australia's strategic priorities and purpose to advance society through great engineering.
Criteria 2
Describe how the nominee's engineering contribution and leadership has delivered benefits for individuals, groups, communities and the environment in which they reside, work, learn or enjoy recreation.
Specifically address how the nominee has supported and contributed to Engineers Australia's purpose and strategic priorities.
Give details about how the nominee has displayed exceptional and sustained management, leadership and impact in their engineering practice area over an extended period of time (more than 10 years).
Describe how the nominee has:
Formulation of resourceful, innovative and elegant engineering solutions or pioneering use of materials or methods.
— been resourceful, innovative or entrepreneurial in solving engineering problems
— developed elegant design solutions
— pursued engineering research in an academic or similar setting
— pioneered the use of materials or employed practices or methods which are novel, inventive and creative.
Explain how the nominee has shown an outstanding demonstration of this criteria over an extended period of time (more than 10 years).
Engineers Australia Excellence Awards: People Awards 2024 | Entry Handbook
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Criteria 3
Contribution to sustainable and inclusive ethical engineering practices.
Criteria 4
Contribution to and promotion of the engineering profession.
Optional
Notable and outstanding achievements during an engineering career.
Elaborate on how the nominee has demonstrated consideration of sustainability (social, environmental and economic) in undertaking their engineering work. Give details of the nominee's contribution to supporting and recognising equity, diversity and inclusion in the engineering profession. Describe the nominee's ethical approach to their engineering work and in general.
Explain how the nominee has significantly demonstrated this criteria over an extended period of time (more than 10 years) and displayed exceptional leadership.
Include details of how they've supported and mentored emerging engineering professionals and shown exceptional and sustained management, leadership and impact in the engineering profession.
Give details of the nominee's achievements or service activities, especially voluntary engineering-related pursuits which have furthered the engineering profession.
Explain how the nominee has made an outstanding contribution to and promoted the engineering profession over an extended period of time (more than 10 years).
This is an opportunity to provide additional supporting information about any of the nominee's notable and outstanding personal engineering achievements that demonstrate long-standing recognised prominence in an area of engineering.
EHA John Monash Medal
Criteria and submission guidelines
These criteria and submission guidelines apply to the Engineering Heritage Australia (EHA) John Monash Medal.
Who can nominate?
Any member of Engineers Australia can be nominated including international members.
Nominations of non-members are accepted; however, the nomination is to be by a member and is to be seconded by a member of Engineers Australia or one of the Learned Societies. A nominee's membership status may be considered when choosing an award winner.
Application criteria
Nominees should have made an outstanding contribution to the aims and purposes of Engineering Heritage Australia (EHA), the practice of Heritage and Conservation Engineering or Australian engineering heritage history, over a period of more than 10 years.
It is expected that a submission for this award will encompass at least one of the criteria below in substantial detail.
Eligibility criteria
| Criteria 2 Developmental Achievements | Nominees must demonstrate: — significant research into or development of techniques to aid the conservation of heritage items resulting in resourceful, innovative and elegant engineering solutions and/or pioneering use of materials or methods and — the publication of this information within the engineering and heritage communities. |
|---|---|
| Criteria 3 Contribution to Heritage Education | Nominees must demonstrate: — promotion of the practice of Heritage and Conservation Engineering and its proper place to and within the established governmental and non-governmental heritage — Education of engineers in the practice of heritage and conservation engineering. — Mentoring of engineers entering the field of heritage and conservation engineering. |
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Criteria 4
Contribution to the Promotion and History of Engineering
Optional
Notable and outstanding achievements during an engineering career.
— endeavours that have increased engineers' awareness of the expectations and special circumstances surrounding their engineering activities that involve or affect heritage structures, sites or objects, including aboriginal heritage, or
— recording and documentation of items of engineering heritage such as long-term engineering projects, objects or people. This includes written histories of engineering endeavours, industries and precincts and recording of oral histories, or
— activities that have raised the awareness of the community to the importance of engineering heritage in their capacity as a heritage engineering practitioner or as a volunteer within the heritage field, (list all books, reports, papers or recordings resulting from this activity not already listed).
This is an opportunity for the nominee to provide any additional supporting information about notable personal engineering achievements which demonstrate long-standing recognised prominence in leadership, policy or practice of Australian engineering heritage and that a nominee has contributed to Engineers Australia's purpose to advance society through great engineering.
If you have any questions about the nomination process, email us at firstname.lastname@example.org.
Engineers Australia Excellence Awards: People Awards 2024 | Entry Handbook
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Electrical College MA Sargent Medal
Criteria and submission guidelines
These criteria and submission guidelines apply to the Electrical College MA Sargent Medal.
Application criteria
Nominees should be able to demonstrate the following criteria over a period of more than 10 years.
Criteria 1
Nominees must be able to demonstrate:
Technical excellence
Criteria 2
Leadership
Criteria 3
Citizenship
Optional
Notable and outstanding achievements during an engineering career.
— An exemplary and sustained technical excellence and professional mastery resulting in a profound impact to engineering.
— —Highly significant technical innovation which has contributed to the practice of engineering.
— A history of exemplary performance and a significant contribution to the ethical application of engineering skill, innovation and ongoing professional development to solve highly complex engineering challenges.
— Long-standing eminence in the practice of engineering.
— Results achieved and the significant social, environmental, economic impact the work has had on a business, industry or community's sustainability.
Describe how the nominee has consistently demonstrated exceptional and sustained management or leadership across a range of roles.
Nominees should also be able to demonstrate results in:
— advocacy
— influence
— mentoring
— leadership
— eminence in the engineering community
Describe how the nominee's engineering contribution and leadership has significantly contributed to EA's purpose and strategic priorities.
Highlight how these contributions have furthered Engineers Australia's purpose to advance society through great engineering and provided tangible benefits to Australian society at local, regional or national level.
Include details of any voluntary engineering-related activities which have furthered the engineering profession or reputation.
This is an opportunity to provide additional supporting information about any of the nominee's notable and outstanding personal engineering contributions that demonstrate long-standing recognised prominence in an area of engineering.
Achievement Awards
Submission guidelines
Award nominees in this category can nominate themselves or be nominated by someone else (except for the Transport Medal and John Monash Medal where self-nomination is not permitted).
Follow the relevant instructions below.
Self-nomination
— Your details including your full name, Engineers Australia or learned society membership information, phone number and email address.
— Name of the relevant award.
— Details of two referees, preferably with CPEng or Fellow status.
— Complete and submit the online form with all required attachments.
Nominator
— Your details including your full name, Engineers Australia or learned society membership information, phone number and email address.
— Name of the relevant award.
— Details of the person you're nominating including their full name, Engineers Australia or learned society membership details and email address.
— New in 2024: Nominator to complete and submit the online form including all required attachments. Nominee will not be required to complete application
Application requirements
— Confirm the nominee's details.
— Provide an executive summary (max 500 words) which can be pasted into the online form.
— Address each criterion (max 500 words). You can cut and paste into the online form.
— A short 100-word bio. You can cut and paste into the online form.
Upload
— Nominee's CV including employment history and achievements.
— A portrait photo.
If you have any questions about the nomination process, email us at email@example.com.
Achievement Awards
Terms and conditions
The below terms and conditions apply to the following Engineers Australia awards:
— Biomedical College: David Dewhurst Award
— Chemical College: Chemical Engineer Achievement Award
— Civil College: Sir John Holland Civil Engineer of the Year
— Electrical College: MA Sargent Medal
— Engineering Heritage Australia: John Monash Medal
— Environmental College: Environmental Engineer Achievement Award
— ITEE College: Neville Thiele Eminence Award
— Mechanical College: AGM Michell Medal
— RISK Society: Risk Engineer Achievement Award
— Structural College: John Connell Gold Medal
— Transport Medal: Transport Australia society
Terms and conditions
1. Engineers Australia staff may not prepare a nomination on behalf of a nominee.
2. There is to be no monetary gain or other direct inducement or incentive provided to a nominator, nominee or employer of either party.
3. Engineers Australia staff will not participate in the judging or voting process, however they may provide advice to judging panels as requested.
4. The judges' decision relating to any of these awards is final and no correspondence will be entered into.
5. When nominees agree to the terms and conditions, Engineers Australia:
— has the right to investigate the nominee's membership file
— may require the nominee to be interviewed by the judges
— has the right to use the content of the nominee's submission for promotional purposes.
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Honorary Fellows
Eligibility criteria and submission guidelines
Honorary Fellow nominations are accepted by the Honours and Awards Committee of Engineers Australia, which accept nominations, evaluate, and make recommendations to the Board of Engineers Australia on the elevation of nominee/s to the membership grade of Honorary Fellow. The nominee/s to be elevated are selected by the Board of Engineers Australia.
Who can nominate?
Nominations for this honour can be made by:
— the National President and Board Chair
— Engineers Australia Board Directors
— A Division or National Committee, College Board, or Technical Society Board
— Engineers Australia employee (on behalf of any of the representatives listed above)
Eligibility Criteria
Eligibility for the Honorary Fellows is limited to:
— Fellows of Engineers Australia.
— A distinguished non-member who has rendered conspicuous service to the Australian people or the engineering profession, as nominated by the Board of Engineers Australia.
Judging criteria
Nominations must demonstrate the contributions the nominee has made in the following areas (relevant to their career):
Submission guidelines
In addressing the selection criteria, Nominators are encouraged, but not required, to address every aspect of the selection criteria. They should focus on the areas that are most relevant to the nominee and their career. Demonstrate the nominee's technical expertise in business, research or education, their strong leadership in the field, world expertise, or their entire body of work and how it has impacted the profession or community.
| Criteria 1 Achievement | How has the nominee contributed to new innovations and knowledge in engineering through education, research, development, or other leadership? |
|---|---|
| Criteria 2 Impact on society | How has the nominee’s outstanding engineering achievements benefited Australian life and/or advance society? |
| Criteria 3 Impact on the profession | How has the nominee contributed to advancing the engineering profession through their voluntary activities? |
| Criteria 4 Above and beyond | How has the nominee contributed to the well-being of Australians by going above and beyond what could be reasonably expected, and encouraging national aspirations and ideals of the highest community standards and values? |
Application requirements
— An executive summary about the nominee (up to 500 words). This can be cut and pasted into the online form.
— Responses to the nomination criteria above (up to 800 words per criterion). This can be cut and pasted into the online form.
— Nominator details including your full name, Engineers Australia membership grade and post-nominals, phone number, and email address.
— Nominee's details including their full name, Engineers Australia Fellow membership number* and email address.
— *If not a member of Engineers Australia, provide details of their post-nominals or qualifications (if any).
Upload
— Nominee's CV including a short bio, employment history, and achievements.
— A portrait photo of the nominee.
If you have any questions about the nomination process, contact us at firstname.lastname@example.org.
Peter Nicol Russell Memorial Medal
Eligibility criteria and submission guidelines
Nominations for the Peter Nicol Russell Memorial Medal are submitted to the Honours and Awards Committee of Engineers Australia, which accept nominations, evaluate, and make recommendations to the Board of Engineers Australia. The winner is selected by the Board of Engineers Australia.
Who can nominate?
Nominations for this honour can be made by:
— the National President and Board Chair
— Engineers Australia Board Directors
— A Division or National Committee, College Board, or Technical Society Board
— Engineers Australia employee (on behalf of any of the representatives listed above)
Eligibility Criteria
Eligibility for the Peter Nicol Russell Memorial Medal is limited to:
— Honorary Fellows of Engineers Australia but not before the end of their first year of Honorary Fellowship.
Judging criteria
Nominations must demonstrate the contributions the nominee has made in the following areas (relevant to their career):
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Submission guidelines
In addressing the selection criteria, Nominators are encouraged, but not required, to address every aspect of the selection criteria. They should focus on the areas that are most relevant to the nominee and their career. Demonstrate their technical expertise in business, research, or education, their strong leadership in the field, world expertise, or their entire body of work and how it has impacted the profession or community.
Application requirements
— An executive summary about the nominee (up to 500 words). This can be cut and pasted into the online form.
— Responses to the nomination criteria above (up to 800 words per criterion). This can be cut and pasted into the online form.
— Nominator details including your full name, Engineers Australia membership grade and post-nominals, phone number, and email address.
— Nominee's details including their full name, Engineers Australia Fellow membership number* and email address.
— *If not a member of Engineers Australia, provide details of their post-nominals or qualifications (if any).
Upload
— Nominee's CV including a short bio, employment history, and achievements.
— A portrait photo of the nominee.
If you have any questions about the nomination process, contact us at email@example.com.
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ABOUT THE REPORT
This survey was conducted online within the United States between February 3-5, 2015 among 2,016 adults (aged 18 and over), among whom 610 were employed full time in a typical 9-5 schedule, by Harris Poll on behalf of Workfront via its Quick Query omnibus product. Figures for age, sex, race/ethnicity, education, region and household income were weighted where necessary to bring them into line with their actual proportions in the population. Propensity score weighting was used to adjust for respondents' propensity to be online.
All sample surveys and polls, whether or not they use probability sampling, are subject to multiple sources of error which are most often not possible to quantify or estimate, including sampling error, coverage error associated with nonresponse, error associated with question wording and response options, and post-survey weighting and adjustments. Therefore, the words "margin of error" are avoided as they are misleading. All that can be calculated are different possible sampling errors with different probabilities for pure, unweighted, random samples with 100% response rates. These are only theoretical because no published polls come close to this ideal.
Respondents for this survey were selected from among those who have agreed to participate in our surveys. The data have been weighted to reflect the composition of the adult population. Because the sample is based on those who agreed to participate in the online panel, no estimates of theoretical sampling error can be calculated.
For a complete methodology, including weighting variables, please contact Workfront at email@example.com.
EXECUTIVE SUMMARY
We believe employee work-life balance is inextricably linked to a happy and productive business.
Those who fail to establish policies and expectations that support employee work-life balance should expect lower morale and productivity and higher turnover. On the other hand, those employers who succeed will reap a more engaged workforce and all the advantages that come with it.
But creating work-life balance is not as easy as marking off items on a checklist. As employers seek to adapt to the challenges of new technology, changing employee lifestyles, and office conflicts, work-life balance can feel like a constantly moving target. This report highlights where these points of change are happening and suggests specific ways that employers can hit that target.
In this report, you will find that, although most employees working typical 9-5 schedules outside their homes (hereafter referred to simply as "employees") feel they have a good work-life balance, they also report instances where their work life seems to intrude on their personal lives. Some examples include:
* Two in five employees say that a bad work/life balance ruins the time that is spent with family and friends.
* Sixty percent of employees believe bad bosses (e.g., demanding, overbearing, mean) are among the aspects that can have the most negative impact on work/life balance.
* More than 50% of employees think technology has ruined the modern family dinner because employers/clients demand responses at any hour.
In places, the data between genders or generations can differ significantly. This report provides sections devoted to the work-life differences between men and women and age groups to further explore the mixed landscape for employees and employers seeking a better work-life balance.
We hope this report proves helpful for leaders and influencers trying to establish practices that will create the powerful but ever-elusive advantage called work-life balance.
CROSSING THE LINE
EVERYTHING'S BALANCED(?)
The vast majority of employees say they have a good work-life balance, but they also express some ambivalence about the intrusion of work and work-technology into their personal lives. They also don't hesitate to point out the role that employers should play in maintaining this balance.
QUESTION: How strongly do you agree or disagree with each of the following statements?
I believe I have a good work/life balance.
ONLY A THIRD OF EMPLOYEES STRONGLY AGREE THAT THEY HAVE A GOOD WORK-LIFE BALANCE.
34+51+11+4 34% Somewhat disagree Strongly disagree Somewhat agree [population: Employed FT And Work Typical 9-5 Schedule Outside The Home; base size: 610] 51% 11% 4%
It's important for my employer to support me when it comes to my time "off the clock" (e.g., they do not try to contact me, do not give clients my contact information).
89% OF EMPLOYEES SAY IT'S IMPORTANT FOR THEIR EMPLOYER TO NOT CONTACT THEM DURING "OFF-THE-CLOCK" TIME OR GIVE CLIENTS THEIR CONTACT INFORMATION.
[population: Employed FT And Work Typical 9-5 Schedule
[population: Employed FT And Work Typical 9-5 Schedule Outside The Home; base size: 610] 49+39+9+3 49% Somewhat disagree Strongly disagree Strongly agree Somewhat agree 39% 9% 3%
TECHNOLOGY VS. FAMILY DINNER
The majority of employees felt they had a good work-life balance but also highlighted places where work—and work-related devices—horned in on their personal time, like special events and meals. Whether these intrusions are welcome or not is up for grabs.
QUESTION: How strongly do you agree or disagree with each of the following statements?
Technology has ruined the modern family dinner because employers/clients demand responses via text, email, etc. at any hour.
OVER HALF OF EMPLOYEES THINK TECHNOLOGY HAS RUINED THE MODERN FAMILY DINNER BECAUSE EMPLOYERS/CLIENTS DEMAND RESPONSES VIA TEXT, EMAIL, ETC. AT ANY HOUR.
It's OK to answer an urgent work email while sharing a family meal.
16+41+29+14 [Population: Employed FT And Work Typical 9-5 Schedule Outside The Home; base size: 610] 16% Somewhat disagree Strongly disagree Strongly agree Somewhat agree 29% 41% 15%
40% OF EMPLOYEES THINK IT'S OK TO ANSWER AN URGENT WORK EMAIL WHILE SHARING A
FAMILY MEAL. ETC. AT ANY HOUR.
[Population: Employed FT And Work Typical 9-5 Schedule Outside The Home; base size: 610] 6 +34 +38 +22 6% Somewhat disagree Strongly disagree Strongly agree Somewhat agree 38% 34% 22%
I've missed important life events (e.g., birthdays, anniversaries, weddings, children's activities) because of work.
[Population: Employed FT And Work Typical 9-5 Schedule
[Population: Employed FT And Work Typical 9-5 Schedule Outside The Home; base size: 610] 12 +26 +31 +31 12% Somewhat disagree Strongly disagree Strongly agree Somewhat agree 31% 26% 31%
NEARLY TWO IN FIVE EMPLOYEES HAVE MISSED IMPORTANT LIFE EVENTS BECAUSE OF WORK.
WHY WORK-LIFE GETS OUT OF BALANCE
When asked which factors hurt work-life balance the most, a large number of employees pointed to two things: time-related issues and the people they work with and for. In a distant third place were distractions like meetings and email.
Which three of the following work-related aspects, if any, do you believe can have
QUESTION: the most negative impact on an employee's work/life balance?
Please select up to three responses.
60
+6
[Population: Employed FT And Work Typical 9-5 Schedule Outside The Home; base size: 610]
ALTHOUGH BAD BOSSES TOP THE LIST, PROBLEMS LIKE CHRONIC OVERTIME AND INFLEXIBLE WORK SCHEDULES CAME IN A STRONG SECOND, POSSIBLY INDICATING SIGNIFICANT CONCERN ABOUT EMPLOYEES' ABILITY TO MANAGE THEIR WORK TIME.
WHEN WORK–LIFE IS OUT OF BALANCE
By its very nature, poor work-life balance can take a toll at work and in the home. Data gathered from employees details where the most pain is felt and just how crucial this issue is to basic business health.
QUESTION: Which two of the following are among the most negative consequences of having a bad work/life balance on an employee's home life?
Please select up to two responses.
+50
51
+40
+7
+38
[Population: Employed FT And Work Typical 9-5 Schedule Outside The Home; base size: 610]
QUANTITY OF TIME SPENT WITH LOVED ONES SEEMS TO BE ONE OF THE BIGGEST CASUALTIES OF POOR WORK-LIFE BALANCE ON THE HOMEFRONT.
Which two of the following are among the most negative consequences of having a
QUESTION:
bad work/life balance on an employee's workplace?
Please select up to two responses.
68
+41
+41
+36
+4
[Population: Employed FT And Work Typical 9-5 Schedule Outside The Home; base size: 610]
ACCORDING TO EMPLOYEES, MORALE IS THE BIGGEST CASUALTY OF POOR WORK-LIFE BALANCE IN THE WORKPLACE, FOLLOWED CLOSELY BY EMPLOYEES ABANDONING SHIP OR FEELING BURNT OUT.
RESTORING BALANCE
When employers understand how profoundly work-life imbalance is affecting their workers, what can they do about it? Employees have a few suggestions, and the most popular ones are all about flexibility.
QUESTION: Which of the following, if any, do you believe employers should do to help improve work/life balance for their employees? Please select all that apply.
4
[Population: Employed FT And Work Typical 9-5 Schedule Outside The Home; base size: 610]
EMPLOYERS TAKE NOTE: MORE THAN ANYTHING ELSE, EMPLOYEES SAY MORE FLEXIBILITY IN HOW AND WHERE WORK CAN BE DONE WOULD IMPROVE WORK-LIFE BALANCE.
HOW MEN AND WOMEN COMPARE
POINTS OF DISAGREEMENT
When comparing male and female employees, you're bound to see some differences. Many were surprisingly aligned, however. Questions where their responses diverged were equally intriguing and should provide readers with a glimpse into how the genders view work-life balance.
QUESTION: How strongly do you agree or disagree with each of the following statements?
I believe I have a good work–life balance.
+48 +14 +6
+55 +7 +2
Technology has ruined the modern family dinner because employers/clients demand responses via text, email, etc. at any hour.
+37+31+16
+45 +26 +14
POINTS OF DISAGREEMENT
QUESTION: How strongly do you agree or disagree with each of the following statements?
I've missed important life events (e.g., birthdays, anniversaries, weddings, children's activities) because of work.
Male
+30+27+28
Female
+20+37+35
MISSING PRECIOUS MOMENTS BECAUSE OF WORK SEEMS TO AFFLICT MALE EMPLOYEES FAR MORE THAN IT DOES FEMALE EMPLOYEES.
WHERE IT COMES FROM, WHERE IT GOES
Although they seem to diverge slightly on some of the lesser drivers of poor work-life balance, both genders seem to be in agreement on the top factors. Leading by a healthy margin are those supervisors, managers, and leaders who drive employees crazy.
Which three of the following work-related aspects, if any, do you believe can have
QUESTION: the most negative impact on an employee's work/life balance? Please select up to three responses.
55
+38
+41
+36
+28
+29
+27
+13
+19
+4
[Population: Employed FT And Work Typical 9-5 Schedule Outside The Home; base size: 610]
THE MAJORITY OF BOTH SEXES AGREE THAT BAD BOSSES HAVE THE BIGGEST NEGATIVE IMPACT ON WORK-LIFE BALANCE.
QUESTION: Which two of the following are among the most negative consequences of having a bad work–life balance on an employee's home life?
(Please select up to two responses.)
39
+40
+39
+7
[Population: Employed FT And Work Typical 9-5 Schedule Outside The Home; base size: 610]
MALE AND FEMALE EMPLOYEES ARE REMARKABLY ALIGNED IN REGARDS TO HOW BADLY WORK-LIFE BALANCE HITS HOME AND THE WORKPLACE.
QUESTION:
Which two of the following are among the most negative consequences of having a bad work–life balance on an employee's workplace?
(Please select up to two responses.)
37
+35
out
AGREEING ON SOLUTIONS
When it comes to recommending solutions to the work-life balance problem, the sexes' priorities are nearly identical, although certain solutions received significantly more support from female employees.
QUESTION: Which of the following, if any, do you believe employers should do to help improve work–life balance for their employees?
(Please select all that apply.)
53
+56
24
+29
FEMALE EMPLOYEES ARE MORE LIKELY THAN MALE EMPLOYEES TO BELIEVE EMPLOYERS SHOULD OFFER FLEXIBLE WORK SCHEDULES TO IMPROVE EMPLOYEES' WORK-LIFE BALANCE.
GENERATIONAL DIFFERENCES
SEEING EYE TO EYE…OR NOT?
For the most part, employees agree across age groups on key work-life balance issues, but there are a few notable points of differentiation. While all agree that work should be kept out of personal time, younger employees seem to be more accepting of taking work communications off the clock and more likely to feel the impact on their personal lives.
QUESTION: How strongly do you agree or disagree with each of the following statements?
56
+56
+55
+58
[Population: Employed FT And Work Typical 9-5 Schedule Outside The Home]
MILLENNIALS (AGE 18-34) SHOW A MUCH HIGHER ACCEPTANCE OF ANSWERING URGENT WORK EMAILS DURING FAMILY MEALS THAN THEIR OLDER CO-WORKERS AGE 45-64 DO.
QUESTION:
Which three of the following work-related aspects, if any, do you believe can have the most negative impact on an employee's work/life balance?
(Please select up to three responses.)
35
+35
+48
+39
20
+27
+23
+20
18
+8
+20
+11
BABY BOOMER EMPLOYEES (AGE 55-64) ARE MORE LIKELY TO SEE BAD BOSSES AND INCOMPETENT COLLEAGUES AS A NEGATIVE FACTOR IN THEIR WORK-LIFE BALANCE THEN THOSE AGE 18-34 & AGE 35-44.
QUESTION:
Which two of the following are among the most negative consequences of having a bad work/life balance on an employee's home life?
(Please select up to two responses.)
32
+50
+41
+38
+39
+5
[Population: Employed FT And Work Typical 9-5 Schedule Outside The Home]
EMPLOYEES ARE NOTICEABLY DIVIDED ON WHETHER OR NOT POOR WORK-LIFE BALANCE HAS COST THEM TIME WITH FRIENDS AND FAMILY.
QUESTION:
Which two of the following are among the most negative consequences of having a bad work/life balance on an employee's workplace?
(Please select up to two responses.)
44
+38
+40
+40
+43
+1
[population: Employed FT And Work Typical 9-5 Schedule Outside The Home]
MILLENNIALS ARE SIGNIFICANTLY LESS LIKELY THAN THOSE AGE 45-64 TO CITE POOR MORALE AS A NEGATIVE CONSEQUENCE OF POOR WORK-LIFE BALANCE IN THE WORKPLACE.
QUESTION: Which of the following, if any, do you believe employers should do to help improve work/life balance for their employees? (Please select all that apply.)
[Population: Employed FT And Work Typical 9-5 Schedule Outside The Home]
IN ALL AGE GROUPS, FLEXIBLE WORK SCHEDULES AND REMOTE WORKING WERE EASILY THE MOST POPULAR SOLUTIONS FOR IMPROVING EMPLOYEES' WORK-LIFE BALANCE.
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+ 44 (0)845 5083771
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Euphony in the Septuagint: Genesis 49 and Exodus 15 as Study Cases
Andrei S. Desnitsky*
1. Problem: formal features in the Septuagint?
Can the Septuagint (LXX) be studied as a coherent Greek text, or should it be regarded only as a series of Greek words and expressions that give us the only possible access to the Hebrew Vorlage which has been lost? A. Deissmann once called it the LXX "a book from the Hellenistic world for the Hellenistic world." 1) This definition may sound strange since the LXX remained virtually unknown outside the Jewish community during the first ages of its existence. The earliest unquestionable quotation from it appears in Pseudo-Longinus (circ. 50 C.E.). All attempts to find earlier allusions are hardly convincing. 2)
The situation changed with the birth of Christianity which needed new skins for its new wine. Since Hellenized Judaism was the cultural environment of budding Christianity, it was no wonder that not only the very text of the LXX was adopted, but some of its characteristic features were also widely imitated in original Christian writings. These features played a very important role in the formation of Christian culture, in particular in Greek-speaking Christian literature that has been flourishing for more than a millennium and is known today under the name "Byzantine".
Until recently scholars have been mostly investigating in what way the formal
* Ph.D. in Biblical Studies at Institute for Oriental Studies of the Russian Academy of Sciences. Leading Research Fellow at the Institute for Oriental Studies of the Russian Academy of Sciences. firstname.lastname@example.org.
1) A. Deissmann, The Philology of Greek Bible, its present and future (London: Hodder and Stoughton, 1908), 6.
2) G. Dorival, "La Bible Des Septante Chez Les Auteurs Païens (jusqu'au Pseudo-Longin)", Cahiers de Biblia Patristica 1 (1987), 9-26.
features of the Hebrew text were rendered in the LXX: its 'Hebraistic nature', as formulated by Tov. 3) It was rarely, if at all, regarded as a Greek text which may have its own formal features.
Perhaps the shift of paradigm started with the discussion about homo(e)phony in the LXX. 4) The natural tendency of the human mind to recall foreign vocables by finding similar sounding words in one's own language always produces the so called "translators' false friends", i.e., words that sound similar but have different meanings such as English library and French librairie (bookstore). However debatable some particular cases may be (see in particular the criticism of J. Barr to the examples proposed by E. Tov and J. de Waard), 5) it is obvious that the LXX translators were not immune to this sort of mental fallacy. Probably they were not so naive as to rely completely on mere phonetic resemblance between two words, but it is likely that the sound of words did sometimes affect their choice of a Greek correspondence.
Then, a few papers and monographs have paid attention to the influence of formal features of the Greek text on the choices made by translators. For instance, J. de Waard and Th. van der Louw 6) examine the structure of the LXX in connection with modern translational studies.
Now, it is quite trivial to speak about poetic rhetoric and poetry in LXX texts: this is exactly what J. Aitken studied in Ecclesiastes 7) , and D. Gera in Exodus 15 8) . It is symptomatic that a collection of articles on "rhetorical and stylistic
3) E. Tov, "The nature and study of the translation technique of the LXX in the past and present", C. E. Cox, ed., VI Congress of the International Organisation for Septuagint and Cognate Studies (Atlanta: Scholars, 1987), 337-359.
4) In the scholarly literature it is spelled both with and without e.
5) E. Tov, "Loan-Words, Homophony and Transliteration in the Septuagint", Biblica 60 (1979), 216-236; Jan De Waard, "Homophony in the Septuagint", Biblica 62 (1981), 551-561; J. Barr, "Doubts about Homoeophony in Septuagint", Textus 12 (1985), 1-77.
6) J. de Waard, "The Septuagint Translation of Proverbs as a Translational Model?", The Bible Translator 50 (1999), 304-314; J. de Waard, "Some Unusuial Translation Techniques Employed by the Greek Translator(s) of Proverbs", Sollamo, R. and Sipilä, S., eds., Helsinki Perspectives on the Translation Technique of the Septuagint (Göttingen: Vandenhoeck & Ruprecht, 2001), 185-194; T. A. W. van der Louw, Transformations In The Septuagint: Towards An Interaction Of Septaguint Studies And Translation Studies (Leuven: Peeters, 2007).
7) J. K. Aitken, "Rhetoric and Poetry in Greek Ecclesiastes", Bulletin of the International Organization for Septuagint and Cognate Studies 38 (2005), 55-78.
8) D. L. Gera, "Translating Hebrew Poetry into Greek Poetry: The Case of Exodus 15", Bulletin of the International Organization for Septuagint and Cognate Studies 40 (2007), 107-120. It shall be also noted that Gera and the author of this article independently made similar observations of
features of LXX" appeared in 2011 9) , a subject that would not make much sense for the "old school" which treated LXX as a fairly literalistic translation lacking any style at all.
All this has to do with the origins of LXX. One may also ask: did the LXX bring something new to Greek literature? Was it indeed just an unattractive literal translation, a primitive auxiliary tool for a person who would not read Hebrew well? The exclusively important role played by this translation down the ages hints at a higher evaluation. To say it differently, the main question LXX scholars have been dealing with so far sounds like "how did this happen?" But one may also ask "what impact did it make?"
More than one century ago scholars asked questions about the origins of Greek rhythmic poetry (as opposed to classical metric) see, e.g., the – monograph by E. Bouvy. 10) More recently another French scholar, J. Irigoin, 11) suggested that such origins may be connected with the LXX. Still, this theory which deserved more attention remained mostly unexplored.
Taking this into consideration we can study the LXX as a unit in its own right with its own specific structures and techniques. Some of these structures and techniques were borrowed from Hellenistic literature and some may present an attempt to transpose Hebrew features on Greek soil. Sometimes Hellenic and Semitic features are synthetically combined, but such instances must be regarded as belonging to the same literary technique.
The present paper demonstrates that phonetic features would have influenced translators' choices. More concretely, it is argued that at times the choices they made resulted in forms of euphony, i.e., the repetition of sounds (alliteration and assonance) and certain rhythmic patterns. The paper also deals with the
this material. She has read and mentioned my yet unpublished text in a footnote to her article, now I do the same to her.
9) See, first of all, E. Bons, "Rhetorical Devices in the Septuagint Psalter", E. Bons and T. J. Kraus, eds., Et Sapienter et Eloquenter: Studies on Rhetorical and Stylistic Features of the Septuagint (Göttingen: Vandenhoeck & Ruprecht, 2011), 69-82; Jennifer M. Dines, "Stylistic Invention and Rhetorical Purpose in the Book of the Twelve", ibid., 23-48; Thomas J. Kraus, "Translating the Septuagint Psalms some 'Lesefrüchte' and their value for an analysis of the – rhetoric (and style) of the Septuagint (Psalms)", ibid., 49-68.
10) E. Bouvy, Poètes et Mélodes. Etudes Sur Les Origines Du Rythme Tonique Dans L'hymnographie de l'Eglise Grecque (Nîmes: Lafare frères, 1886).
11) J. Irigoin, "La Composition Rythmique Des Cantiques de Luc", Revue Biblique 98 (1991), 5-50.
questions of methodology (what distinguishes a coincidence from a meaningful repetition) and the history of Greek literature (what impact it had on the development of Byzantine poetry in distant future).
2. Methodology: what counts?
It would be quite logical, once we are talking about poetry, to study poetic texts. The poetic passages of the Pentateuch seem to provide the best material for a closer inspection. First of all, there is a consensus in the scholarly world that the Pentateuch was the first portion of the Hebrew Bible to be translated; more than that, to some extent its rendering influenced the manner in which subsequent translations were undertaken. 12) Furthermore, there is hardly any LXX book more suitable for studying poetic features, though the word "poetic" is actually applicable to any form of artistic speech. In consequence, all the examples for this article will be taken from Genesis 49:2-27 (the blessings of Jacob) and Exodus 15:1-18 (the Song of the Sea).
As it is usual in LXX studies, our analysis will be based on comparison of the LXX and the MT. Our focus will be the places where they differ significantly, which is also customary for LXX studies. Primarily, we examine the following features of the text:
Sound repetitions; those sounds which are the result of a repetition of the same or similar grammatical forms are not mentioned as their appearance may be called merely accidental. This sort of sound repetition can be conventionally called "grammatical". Besides that, the relative frequency of a certain sound is considered: four sigmas or alphas within the same line are not worth mentioning since this is a rather common case, while four lambdas or omegas should draw our attention. There is no place to discuss here what the exact sounding of a certain letter was, so we shall follow their graphic representation. Nevertheless, it can be taken for granted that some sounds, like labial vowels and , have ο ω always been close to one another. Thus repetitions of vowels of similar tone or
12) E. Tov, "The Impact of the LXX Translation of the Pentateuch on the Translation of Other Books", P. Casetti, et al., eds., Mélanges Dominique Barthélemy (Fribourg: Editions universitaires, 1981), 577-592.
consonants of the same group (dentals, bilabials etc.) can be noted as well. Underlined letters (ἄρ ) indicate the repetitions that seem to be worth τος examining. In accordance with the principle expressed above, cases like ὸ τ ν ἄ are not marked. ρτον
Rhythmic patterning which can have different forms: two or more lines roughly follow the same rhythmic pattern or are roughly equal in length; sometimes syllables within one line also follow a certain rhythmic pattern. The same restriction applies as in the case with sound repetitions: the cases which can be explained as a side-effect of natural repetition of the same or similar grammatical forms should be discounted.
Important textual variations between the LXX and the MT which find no reasonable explanation on the ground of textual criticism, as variations between proto-LXX and proto-MT, and can be explained as changing Hebrew poetic images and figures of speech for better Greek equivalents.
An important reservation is to be made here: rhythm and sound repetitions can be merely coincidental. In our everyday life we see a lot of technical texts that can contain some of these formal elements to which no one usually pays attention:
Please leave your payment on the table. (rhythm)
See the sign-up sheet at the Switchboard. (alliterations)
For sure we have no right to call these texts poetic. Their authors never aimed at creating alliteration and rhythmic patterns; we know it since all the other texts of the kind lack them. If, however, we had noticed in an office or a cafe that every second inscription rhymes and the personnel speaks in the same manner, we would have taken these very examples as another proof of the strange policy adopted for some reasons in this place.
This is why we can hardly judge whether or not in a particular case the LXX translators aimed at producing a more phonetically ordered text. They may have done this unconsciously or semi-consciously, equally well this may have been pure coincidence. On the other hand, after studying a large number of examples we can draw some conclusions about general tendencies. So for the time being we will postpone the questions of consciousness and intentionality.
When we take into account all the factors that may have influenced the translators, answering the question "Why did they translate it like that?"
becomes as fascinating as a good detective story. To show all the turns of the plot, we can have a closer look at just one expression from Genesis 49:15b, a part of Jacob's blessing for Issachar. In Hebrew this verse says: "When he sees how good is his resting place and how pleasant is his land, he will bend his shoulder to the burden and submit to forced labour". The LXX, however, renders the last expression quite differently:
ַי
ֵֽד בֹ ַס־ע ְמ ֖י ל ִ ְה וὶ ἐ ή ἀὴ ό κα γεν θη ν ρ γεωργ ς
and became a slave at forced … and became a rustic man. …
labour.
There is no simple answer why. Even the detailed analysis by J. Wevers does not suggest any kind of solution. 13) Theoretically, there are at least five possible explanations:
1. Textual variations. This would be the easiest answer: the LXX just followed a different Hebrew original. In fact, we do not have any evidence that such an original existed; it would be hard even to imagine what the Hebrew equivalent of ἀὴ όwould be like. ν ρ γεωργ ς
2. Poor understanding of the text. We can also suppose that the translator did not understand the meaning of ֵד בֹ ַס־ע מand therefor changed it for a rather vague Greek expression that would more or less suit the context.
3. Deliberate correction of the meaning. The translator may have considered this expression too harsh: according to 1 Kings 9:21-22, in Solomon's time the forced labour was not for Israelites but only for the remnants of the pre-conquest population of the Holy Land: " their descendants who were still left in the … land, whom the Israelites were unable to destroy completely – these Solomon conscripted for slave labor ( ) ֵד בֹ ַס־ע ְמ , לand so they are to this day. But of the Israelites Solomon made no slaves". This is why the translator may have chosen a better fate for Issachar. This hypothesis is supported by R. Syren. 14)
4. Cultural adaptation. The translator may have seen the fate of the peasants of Ptolemaic Egypt, who were almost serfs, as the closest natural equivalent to Hebrew . ֵד בֹ ַס־ע מBy employing ἀὴ ό, he had in mind not an idyllic ν ρ γεωργ ς
13) J. W. Wevers, Notes on the Greek Text of Genesis (Atlanta: Scholars, 1993), 828-829.
14) R. Syrén, The Blessings in the Targums: A Study on the Targumic Interpretations of Genesis 49 and Deuteronomy 33 (Åbo: Åbo akademi, 1986), 51-52.
Arcadian but a concrete social position in his own society.
5. The quest for a better organised text. It is worth noticing that the Greek expression ἐ ή ἀὴ όis full of alliteration ( ) and assonance ( / ) γεν θη ν ρ γεωργ ς γ ε η and follows a certain rhythmic pattern: two unstressed syllable plus one stressed. We cannot exclude the hypothesis that it was for the sake of sound repetitions and rhythm that passive ἐ ή (which is rather rare in the LXX though not γεν θη completely unknown) was used here instead of a more usual medial form ἐέ , which would have broken the rhythmic pattern. Can we say that the γ νετο translator sacrificed the meaning for the sounds? I think this would be too bold. Nevertheless, a number of similar examples seem to prove well that sounds were not completely neglected when the translators were making their choice.
Looking for a suitable answer for the question "Why did they translate ֵֽד בֹ ַס־ע ְמ ֖י ל ִ ְה ַי וas ὶ ἐ ή ἀὴ ό?" we have to remember that we cannot κα γεν θη ν ρ γεωργ ς penetrate the minds of unknown people who lived two millennia and a quarter ago. Still, we can propose the following model: for some reasons the translator decided not to render the text literally (the hypothesis No 3 seems the most convincing although 2 and 4 are not impossible), while the tendency to organise the text phonetically (the hypothesis No 5) influenced his choice of words.
If this is true, as we are going to demonstrate, it has an important implication for the LXX lexicography. Normally, it seeks to establish direct correspondence between the meaning of the Greek and the Hebrew words or expressions or to explain its absence when this cannot be achieved. If we accept the quest for formal regularity as yet another factor that can explain anomalous translation in some cases, it will affect lexicographic studies as well as other domains of the LXX scholarship.
3. Analysis: what is there in the text?
Now, a series of examples will be presented. For the convenience of the reader, the text of each analysed verse will be quoted in four different versions:
The Masoretic text according to Biblia Hebraica Stuttgartensia
The Septuagint text according to
Göttingen Septuaginta
New Revised Standard Version
English Translation of the
(after the Masoretic text)
Septuagint
The English translation of LXX basically follows L. Brenton's version which is literal enough to serve our purposes but it follows the Göttingen text edited by J. Wevers and is adjusted to the wording of NRSV. Line division basically follows traditional editions with a few minor changes wherever a slight adjustment seemed to fit better the prosody of the text. Those lines which appear too long are presented in halves with an indent at the beginning of the second half. Such conventional breaks are shown only on the following pages.
At this point, we are going to investigate in more details those divergences between Hebrew and Greek which are likely to be explained by some irregularities in translator's choices, There are many more possible explanations of course but we will not seriously deal with textual criticism here, avoiding examples where this would be a major issue.
Genesis 49:11
ֶ֯ן עירה ֶפ ַגּ ֚ י ל ִ ְר סֹ א ֑וֹ נֹ ֲת ֣י א ִ ְנ ֖ ה בּ ָ ֵ ק רֹ ַשּׂ ְל ו ֔וֹ ֻשׁ ְב ִן ל ַי ַיּ ֚ ס בּ ֵ ִבּ כּ ֯ ׃ ֖ים סותה ִ ָב ֲנ ַם־ע ְד וּב
Binding his foal to the vine and his donkey's colt to the choice vine,
ύ δεσμε ων π ὸ ἄ ρ ς μπελον τὸν ῶ π λον ὐ ῦ α το ὶ ῇ ἕ κα τ λικι τὸν πῶλον ῆ τ ς ὄν ὐ ῦ ου α το · πλ ῖ ἐ ἴῳ ὴ υνε ν ο ν τ ν στολὴ ὐ ῦ ν α το ὶ ἐ ἵ κα ν α ματι σταφυλῆ ὴ ς τ ν περιβολὴ ὐ ῦ ν α το ·
Binding his foal to the vine, and the foal of his ass to the branch of it, he washes his garments in wine
he shall wash his robe in wine, and his robe in the blood of grapes; and his garment in the blood of the grape.
Here we see rich repetitions, mostly grammatical (like - ), and ων ον alliterations - , which is best attested in the word pair ἄ - ῶ . The π λ μπελον π λον word ὴ echoes both ῆ (with the initial sounds) and ὴ στολ ν σταφυλ ς περιβολ ν (with the final ones). There are some rhythmic repetitions at the end of lines, partially caused by the repetition of ὐ ῦ. α το
49:12
ִן ֑י ָ ִיּ ִם מ ֖י ַ ֵינ ֥י ע ִ ִיל ְל ַכ ח ָֽב׃ ָל ֵח ִם מ ֖י ַ ִנּ ֶן־שׁ ְב וּל χαροπ ῖ οιο ἱ ὀ ο φθαλμ ὶο ὐ ῦ ἀὸ α το π ἴο νου ὶ κα λευκ ὶο ἱ ὀό ὐ ῦ ἢ ά ο δ ντες α το γ λα
his eyes are darker than wine,
His eyes shall be more cheering than wine, and his teeth whiter than milk. and his teeth whiter than milk.
This verse is an exemplary case of grammatical sound repetitions. Nevertheless, out of five diphthongs οι two (in χαροπ ῖ οιο and ἴο ) are not νου Nom. Pl. endings.
49:13
֖ים ִ ַמּ ֥וֹף י ְח ֕ ן ל ֻ ְבוּל ז ִיּ֔וֹת ֳנ ֣וֹף א ְח ֙ ל ְהוּא ֑ ן ו ֹ ְכּ ִשׁ י ֽן׃ ֹ ִיד ַל־צ ֖וֹ ע ָת ְ כ ַר ְי ו
Zebulun shall settle at the shore of the sea;
Ζαβουλὼν ά παρ ή λιος κατοικ σει ὶ ὐὸ κα α τ ς παρ᾽ ὅ ί ρμον πλο ων ὶ κα παρα ῖ ἕ τενε ως Σιδῶνος
Zabulon shall dwell on the coast, he shall be a haven for ships, and his border shall be at Sidon.
and he shall be by a haven of ships, and shall extend to Sidon.
Here we see the prefix/preposition ά παρ in the middle of each line. Unlike in the previous verse, such a coincidence cannot be called automatic since there is no Hebrew equivalent for ά in the second line. As in many other cases, the παρ usage of the same prefixes and prepositions within one verse seems to be the translator's choice. Besides that, in each line we see the sound complex , ων basically, due to its repetition in the proper names ώand ώ. Ζαβουλ ν Σιδ ν
49:17
ὶ κα γεν ή ηθ τ ὰ ω Δ ν ὄφ ἐ ις ᾽ ὁ φ ῦ δο ἐγκα
ֶ֔ ר ֶ ֵי־ד ֲל ֣שׁ ע ָ ָח ָן נ ִי־ד ְה י ַ ח ֑ ר ֹ ֵי־א ֲל ֖ ן ע ֹ ִיפ ְפ שׁ ֔וּס ֵי־ס ְב ִקּ ֵ ע שֹׁ ַנּ ה ֽוֹר׃ ֖וֹ אָח ְב ֹכ ֥ ל ר ֹ ִפּ ַיּ ו
ή θ ἐὶ μενος π τρ ίβου ά δ κνων έ πτ ρ ἵ ναν ππου ὶ κα ῖ πεσε ὁ ἱ ται π ὺ πε ς ἰε ς ὰ ὀ τ ίπ σ ω
Dan shall be a snake by the roadside, a viper along the path, that bites the horse's heels so that its rider falls backward.
And let Dan be a serpent in the way, besetting the path, biting the heel of the horse (and the rider shall fall backward),
In this verse we see some remarkable sound repetitions: - in the first οφ φο line; - in the second and the third lines; - - - in the επιτρ πτερ πεσει πευσ εισ πισ fourth line.
One can also notice the link between the words ἐ ή and ή γκαθ μενος γενηθ τω ( - , ). In fact, this resemblance appeared as the result of a rather indirect γε εγκ θη translation: ἐ ή stays instead of the γκαθ μενος Hebrew ןֹ ִיפ ְפ שׁwhich designates a certain kind of poisonous snake (presumably, Zamenis diadema). The translators may well have had difficulties with identifying the concrete species as we do today; on the other hand, they may have chosen to avoid associating Dan with such an unpleasant creature (the same way they have dealt with the donkey in the verse 14). According to Syren, 15) all the Targums, just on the contrary, retained the snake in the text.
Wevers also notices 16) that the narrative in Greek is slightly remodeled in accordance with the usual narrative strategy principles which are characteristic for this language. In the MT we see a banal repetition of metaphors: "Dan shall be a snake by the roadside, a viper along the path "; while the LXX starts a … series of actions which is to be continued in the following lines: "Dan shall be a serpent by the roadside which is lying along the path " …
49:20
֑וֹ ְמ ַח ֣ה ל ָ ֵנ ְמ ֖ ר שׁ ֵ ָשׁ ֵא מ ֶ ׃ ֶֽל ֵי־מ ַנּ ֲד ַֽע ֖ ן מ ֵ ִתּ ֥וּא י ְה ו
Ασήρ, ί ὐ ῦ ὁ π ων α το ἄρτος, ὶ κα ὐὸ α τ ς ώ ὴ δ σει τρυφ ν ἄρχουσιν
Asher's food shall be rich, and he shall provide royal delicacies.
Aser, his bread shall be fat; and he shall yield dainties to princes.
The key word in this verse is ή. Three other words: ἄ , ὐό and Ασ ρ ρτος α τ ς ἄ sound similar; this is perhaps what F. de Saussure would have called ρχουσιν – an anagram (the compositional device which makes the text echo the name of the main character associated with it) 17) . In fact, the choice of the word ἄρχουσιν 'to rulers' can be considered an intentional strategy since it is a rather free rendering for the Hebrew ֶֶל ' מking': ῖ would have been a much closer βασιλε equivalent. Perhaps this choice was influenced by the fact that the Israeli kingdom was not there anymore when this text was composed. Still, there seems to be a better explanation: such a rendering created the sound repetition at the
15) Ibid., 41.
16) J. W. Wevers, Notes on the Greek Text of Genesis, 829.
17) P. Wunderli, Ferdinand de Saussure Und Die Anagramme: Linguistik Und Literatur (Tübingen: Niemeyer, 1972).
end of the lines: ἄ ἄ . Both words have stressed ἄ- as their first ρτος – ρχουσιν ρ syllable.
Exodus 15:1b
֔ ה ָ ָא ֣ ה גּ ֹ ָא ֽי־ג ִ ֙ כּ ָה ַֽיהו ָ ה ל ֚ יר ִ ָשׁ א ָֽם׃ ַיּ ֥ה ב ָ ָ מ ֖וֹ ר ְב ֹכ ְר ֥וּס ו ס
ᾄ ῷ ίῳ, ἐ σωμεν τ κυρ ν ό δ ξως ὰ γ ρ ό δεδ ξασται· ἵ ὶ ἀ ά ἔ ἰ ά ππον κα ναβ την ρριψεν ε ς θ λασσαν
I will sing to the LORD, for he has triumphed gloriously; horse and rider he has thrown into the sea.
Let us sing to the Lord, for he is very greatly glorified:
horse and rider he has thrown into the sea.
Here we can see a pair of words from the same root (ἐ ό - ό ), νδ ξως δεδ ξασται as well as rich rhythmic repetition, the second line almost exactly repeats the rhythm of the first one. That was achieved at the cost of the literal exactitude of translation:
1. The plural ᾄ translates the σωμεν singular ָ ה ִיר ָשׁ ( אthe corresponding Greek Singular ᾄ has one syllable less). Theoretically this can be explained by the σω fact that Moses is mentioned as the only singer; on the other hand, elsewhere in the song we see 1 st person plural and the LXX accurately retains this feature.
2. The pronominal suffix in ְבוֹ כֹ ' רhis rider' is left without translation: ἀ ά ναβ την (the exact equivalent ἀ ά ὐ ῦ contains two extra syllables). ναβ την α το
3. The Greek ἐ ό ὰ ό , "because he has glorified himself νδ ξως γ ρ δεδ ξασται gloriously", as the equivalent for the Hebrew , ָאָה ֹה גּ ָא ִי־ג כּliterally "for triumphing he has triumphed", deserves our special attention. First of all, the Hebrew conjunction ִי כּis usually translated by the Greek conjunction ὅ even τι in those cases where the particle ά is needed according to the normative γ ρ Greek usage (see for instance Exodus 15:19). Secondly, the Hebrew construction absolute infinitive + finite verb in the LXX is usually translated in three ways: (1) participle + finite verb; or (2) noun in Dative + finite verb; or (3) finite verb alone 18) . Actually, models (1) and (2) sound in Greek extremely
18) See a detailed analysis in R. Sollamo, "The LXX Renderings of the Infinitive Absolute Used with a Paronymous Finite Verb in the Pentateuch", N. F. Marcos, ed., La Septuaginta En La Investigacion Contemporanea, V Congreso de La IOSCS (Madrid: Instituto Arias Montano, 1985), 101-113.
unnatural while model (3) does not give full justice to the original. The translator could choose one of these options. He could also find a stylistically blameless Greek expression, something like ά ὰ ἤ ό , μεγ λην γ ρ νεγκε δ ξαν "because he has obtained great glory", thereby loosing all the Hebrew flavour. Here, however, the translator did not try to force the Greek usage, neither did he refuse to render this peculiarity of the original: the absolute infinitive הֹ ָא גis rendered by the Greek adverb ἐ ό . In the end, the repetition of the words νδ ξως from the same root is fully retained, as well as the rhythmic pattern (one stressed + one unstressed syllable).
15:2
֔הּ ָ ֙ י ָ ת ְר ִמ ְז ֚ י ו ִ ָזּ ע ֑ה ָ ֽישׁוּע ִ ֖י ל ִ ִי־ל ְה וַֽי ֔הוּ ֵ ְו ְאַנ ֙ ו ִי ֵל ֚ ה א ֶ ז ְהוּ׃ ֶֽנ ְמ ֹמ ֲר ַא ֖י ו ִ ֥י אָב ֵ ֱ ה א
ὸ βοηθ ς ὶ ὴ κα σκεπαστ ς ἐέ ό ἰ ί γ νετ μοι ε ς σωτηρ αν· ὗό ο τ ς μου ό, θε ς ὶ ά ὐό κα δοξ σω α τ ν ὸ ῦ ό θε ς το πατρ ς μου ὶ ὑώ κα ψ σω ὐό α τ ν
The LORD is my strength and my might, and he has become my salvation; this is my God, and I will praise him, my father's God, and I will exalt him.
He was to me a helper and protector for salvation:
this is my God and I will glorify him; my father's God, and I will exalt him.
It is very easy to note rich phonetic parallelism in these verses. In the beginning of the third and the fourth lines we see some similar words: ὗό ο τ ς μου ό - ὸ ῦ ό, while the word όechoes them in the first line. θε ς θε ς το πατρ ς βοηθ ς Rhythmically, the two concluding lines are almost identical. To achieve this similarity, the translator has put the words in a rather unusual order: ό μου θε ς instead of expected ό . A similar reason may have conditioned the choice θε ς μου of ά ὐό 'I will glorify him' as the equivalent δοξ σω α τ ν for ֵהוּ ְו ' אַנI will praise him' (Wevers, however, links this verb to a cognate Arabic word and suggests the meaning 'to glorify' but it seems rather unlikely that the translators shared this interpretation). 19) This word sounds phonetically and rhythmically similar to ὑώ . It also links this word to the words from the same root in verses 1 and 6. ψ σω
19) J. W. Wevers, Notes on the Greek text of Exodus (Atlanta: Scholars, 1990), 228.
15:4
֑ם ָ ַיּ ֣ ה ב ָרָ ֖וֹ י ֵיל ְח ֛ ה ו ֹ ְ ע ַר ֥ ת פּ ֹ ְב ְכּ ַר מ ֽוּף׃ ַם־ס ְי ֥וּ ב ְע ֻבּ ֖ יו ט ָ ִשׁ ָֽל ֥ר שׁ ַ ְח ִב וּמ
ἅρματα Φαραὼ ὶ ὴ ύ ὐ ῦ κα τ ν δ ναμιν α το ἔρρ ἰ ιψεν ε ς ά θ λασσαν ἐ έ ἀ πιλ κτους ναβάτας τρι ά στ τας κατ ό επ ντισ ἐ εν ν ἐρυ ᾷ θρ θαλάσσῃ
Pharaoh's chariots and his army he cast into the sea; his picked officers were sunk in the Red Sea.
He has cast the chariots of Pharao and his host into the sea, the chosen mounted captains:
they were swallowed up in the Red Sea.
In this verse we see rich sound repetitions: - - - - and - αρ αρα ερρ ρ ερ ατα θα - - - - - - - . The second and the third lines ασσα ατασ στατασ ατ θρα θα ασσ show some rhythmic similarity. Again, the LXX differs from the MT in minor details which help to create this similarity:
4. The article in ָם ַיּ ' בin the sea' is left without translation. This makes no real difference since the article is not reflected in the consonant spelling. At the same time, the article in Greek would have added another syllable to the first line which is already relatively longish.
5. The plural ְעו ֻבּ ' טthey were sunk' is replaced by Singular ό κατεπ ντισεν 'he sank'. Proto-LXX may have had a different vocalisation here, as suggested by BHS critical apparatus: ; ַע ִבּ טa different vocalisation may have been invented on purpose in order to point more clearly to the agent. Meanwhile, the verbal form ό sounds similar to the preposition ἐwhich would not be the case κατεπ ντισεν ν with any 3 rd person Plural form.
15:6
ַ֑ ח ֹ ַכּ ֖ י בּ ָרִ ְדּ ֶא ֔ה נ ָ ְהו ְ י ֽינ ִ ְמ י ֵֽב׃ ֥ץ אוֹי ַ ְ ע ִר ֖ה תּ ְהוָ ְ י ֽינ ִ ְמ י ἡ δεξ ά , ι σου κύριε, δεδόξ ἐ ἰ ύ ασται ν σχ ι· ἡ δεξ ά ι σου ί χε ρ, κύριε, ἔθραυσεν ἐχθρ ύ ο ς
Your right hand, O LORD, glorious in power – your right hand, O LORD, shattered the enemy.
Thy right hand, O God, has been glorified in strength;
thy right hand, O God, has broken the enemies.
Alliteration is extremely rich in this verse: , , / / , / , , . Rhythmically, δ ε ξ κ χ ε ει θ ρ
the second line is quite similar to the first one, although it lacks two unstressed syllables if compared to it. Again, this effect to a large extent depends on the freedom taken by the translator:
6. The Hebrew Singular ֵב ' אוֹיenemy' is rendered by the Greek Plural ἐ ύ. χθρο ς One could say that the translator did justice to the fact that there were quite a few enemies. At the same time, verses 1 and 9 speak of them in singular in both the Hebrew and Greek. It seems that the choice of the plural form is rather conditioned by the quest for alliteration: ἔ ἐ ύcontained one more θραυσεν χθρο ς common sound than the exact equivalent ἔ ἐ ό. θραυσεν χθρ ν
7. The same Hebrew expression ְִינ ְמ ' יyour right hand' is rendered in a twofold manner: ἡ ά and ἡ ά ί. In fact, usually the LXX uses a δεξι σου δεξι σου χε ρ shorter rendering for the Hebrew word . ִין ָמ יIn Exodus it is used 4 times more. Only in Exodus 29:22, where it refers to a part of an animal, do we see ὁ ί ὁ ό. Elsewhere it is translated simply as ά without ί(14:22, βραχ ων δεξι ς δεξι χε ρ 14:29, 15:12). We may guess that here the addition of the word ί enriches χε ρ the alliteration and makes the second line longer so that it would better match the rhythmic pattern.
15:9
֖ יג ִ ַשּׂ ֥ ף א ֹ ְדּ ֶר ֛ב א ֵ ֥ר אוֹי ַ אָמ ֔ י ִ ְשׁ ַפ ֣מוֹ נ ֵ ָא ְל ִמ ֑ל תּ ָ ָל ֣ק שׁ ֵ ַלּ ֲח א ֽי׃ ִ ָד ֖ מוֹ י ֵ ִ ישׁ ֔ י תּוֹר ִ ְבּ ַר ֣ יק ח אָרִ
The enemy said, 'I will pursue, I will overtake, I will divide the spoil, my desire shall have its fill of them.
ῖεπὁἐό εν χθρ ς ώ Δι ξας κ ή αταλ μψομ , αι μ ῶ ερι σκῦ , ἐ λα μπ ή λ σω ψ ή υχ ν μου ἀ ῶ νελ ῇ τ μα ί χα ρᾳ μ , ου κ ύ ἡ υριε σει ί χε ρ μου
The enemy said, I will pursue, I will overtake,
I will divide the spoils; I will satisfy my soul,
I will draw my sword, my hand shall destroy them.'
I will destroy with my sword, my hand shall have dominion.
Striking alliterations are apparent in this verse: - - - - - - , π μψ μπ ψ μ; ξ κ σκ as well as - in the third line. The rhythm of the second and the third χαιρ χειρ lines is rather similar, partly because of the word pair ῶ - ἀ ῶ μερι νελ (it should be noticed that the MT contains verbs which match rather by alliteration than by rhythm: - ). ֵק ַלּ ֲח ִ יק א אָרAs noticed by Wevers, 20) the translation considerably over colours the picture drawn in the original text:
8. ἐ ή ή 'I will fill my soul' stays instead μπλ σω ψυχ ν μου of ִי ְשׁ ַפ ֵמוֹ נ ָא ְל ִמ ' תּmy soul will be filled with them'. Here the 1 st person singular was introduced in accordance with the other verbal forms in this verse.
9. ἀ ῶ ῇ ίῃ 'I will destroy (them) with my sword' νελ τ μαχα ρ μου renders ִי ְבּ ַר ח ִ יק ' אָרI will draw my sword'. In the translation, the arrogance of the enemy is stressed even more. On the other hand, the form ἀ ῶ is metrically identical to νελ the form ῶ in the second line. μερι
10. ύ ἡ ί 'my hand shall rule' κυριε σει χε ρ μου replaces ֽי ִ ָד ֖ מוֹ י ֵ ִ ישׁ ' תּוֹרmy hand shall destroy them'. Evidently, here the hope for a single victorious action is expanded to the vision of a global triumph. Besides that, the expression ύ ἡ ί from the phonetic and rhythmical point of view makes a κυριε σει χε ρ μου better match to the first half of the line (ἀ ῶ ῇ ίῃ ) than an exact νελ τ μαχα ρ μου equivalent like ἀ ῖ ὐ ύἡ ί . νελε α το ς χε ρ μου
These examples demonstrate convincingly that the translators did not neglect the form of the Greek text completely. Even if it were at a subconscious or semi-subconscious level, they gave at least some attention to their translations phonetic and rhythmic features. Any of these can be coincidental, but hardly all of them together.
4. Background: the Greek context for a Greek text
It has been generally acknowledged that alliteration and rhythmic repetition (without any detectable fixed patterns) were characteristic features of Hebrew poetry. 21) Meanwhile, one may ask how these two features would have sounded for a Greek-speaking audience. We know that they were not standard poetic means employed by the original Greek writers, so could their presence or absence be noticeable or significant?
First of all, it is worth noticing that for too long a time the oral (or, better, aural?) aspects of ancient literature did not receive adequate attention. Inevitably, we often visualise distant past in terms of our present. A modern
20) Ibid., 230-231.
21) See, for instance, W. G. E. Watson, Traditional Techniques in Classical Hebrew Verse (Sheffield: Sheffield Academic Press, 1994).
reader of the eighth chapter of Acts, for instance, may wonder for what particular reason the Ethiopian eunuch was reading a book aloud to himself when no other audience was present. On the contrary, in the fourth century CE Augustine was ultimately astonished when he discovered that Ambrose used to read a book without uttering a sound or even moving his lips (Confessions 6.3)! 22) Whether it was due to a poorer comprehensibility of ancient manuscripts which lacked proper punctuation and even spaces between words, or due to a venerable tradition of oral presentation of texts, the letter always remained a ghostly shadow of sound in Greco-Roman antiquity.
When analysing Greek literary techniques we are in a much better position than with Hebrew texts since we possess some theoretic treatises written by rhetoricians who still belonged to the same tradition. Nevertheless, we should carefully distinguish between the practice employed by Greek writers and the theories explaining this practice in terms that significantly differ from ours. The fact that the theories keep silence concerning a certain phenomenon does not necessarily infer the total absence of it. First of all, one has to agree with M. Gasparov 23) that "the extant works [of ancient rhetoricians] which are at our disposal are few in number and unrepresentative". Then, the whole categorical apparatus of the ancient rhetoricians differed a lot from our own: they may have failed to describe a certain phenomenon simply because it did not suit their models.
As for alliteration, Greeks did not have anything similar to what can be found in early Latin authors. 24) More than that, Greek rhetoricians known to us never mention alliteration. Still it would not be correct to say alliteration was not present in Greek literature. As was the case with Latin speaking Romans, Greeks knew alliteration from their folk songs. Athenaeus in his Deipnosophistae (8.60) quotes such a song: 25)
22) See a brief but profound discussion of this subject in J. D. Harvey, Listening to the Text: Oral Patterning in Paul's Letters (Grand Rapids: Baker Books, 1998), 51-54.
.
23) . . , " ", . . , ed., М Л Гаспаров Античная риторика как система М Л Гаспаров Античная поэтика Риторическая теория и литературная практика ( : , 1991), 27-59, 27. Москва Наука
24) See, for instance, fragmentum spurium 9 to Annals by Quintus Ennius: "Machina multa minax minitatur maxima muris". This can be rendered into English in the following way: "In the battle a battering ram breaks a breach in the bastion's bailey".
25) See a discussion in E. Norden, Die antike Kunstprosa vom VI Jahrhundert vor Chr. bis in die Zeit der Renaissance (Leipzig: Teubner, 1898), 823.
ἦ ᾽ ἦ ὼ λθ λθε χελιδ ν ὰὥ ἄ καλ ς ρας γουσα ὺἐ ύ καλο ς νιαυτο ς ἐὶ έ ά π γαστ ρα λευκ ἐὶ ῶ έ . π ν τα μ λαινα ά ὺ ύ παλ θαν σ προκ κλει ἐ ί ἴ κ π ονος ο κου ἴ έ ο νου τε δ παστρον ῦ ά . τυρο τε κ νυστρον
Come, little swallow, bring us good times, good years! Your belly is white, your back is black. Provide us with cakes from a house of wealth, with a beaker of wine, with a basket of cheese.
It can be easily seen that this verse is based on repetition and parallelism backed up with sound repetitions like έ δ παστρον – ά . κ νυστρον
Presumably, this sort of alliteration is characteristic of folk songs in many corners of the world. Some literary traditions make good use of them: ancient Germanic verse based on an elaborated system of internal alliteration can serve as an example. At the same time other literary traditions leave it aside as primitive. For the Greco-Roman writers alliteration was a very marginal tool which would have been be implemented only occasionally and would have been hardly worth mentioning in theoretic treatises. In Orestes by Euripides (140-143) we can find a brilliant example of alliteration in the lines 26) :
ΧΟΡΟΣ
ῖῖῖσ γα σ γα λεπτὸἴ ἀ
ἀύν χνος ρβ λης
τίθετ ὴ ε μκτυπ ῖ ετ᾽.
ΗΛΕΚΤΡΑ ἀποπ ὸ ᾶ ρ β τ᾽ ἐκ ῖ᾽ ἀ ε σ ποπ ό ρ μοι κ ί ο τ . ας
CHORUS:
Hush! hush! let your footsteps fall lightly! not a sound! not whisper! Further, further from his couch! I beseech ye.
ELECTRA:
It is worth noticing that these alliterations are onomatopoeic: constant repetition of voiceless , , , , perfectly depict the patter of a crowd. In the π τ κ πτ κτ first century BC this very passage was chosen as a sample by Dionysius of Halicarnassus for his treatise entitled "On the Arrangement of Words" (De compositione verborum, 11). Amazingly, he failed to mention this striking onomatopoeic feature. The obvious reason is that Greek rhetoricians employed
26) English version by E. P. Coleridge.
Euphony in the Septuagint: Genesis 49 and Exodus 15 as Study Cases /
Andrei S. Desnitsky 235
but paid no attention to sound repetition as a feature in their discourses on rhetoric.
The only context where they did speak about alliteration was in the discussion of certain poetic techniques, mainly isocolon (ἰό , equality of cola) or σ κολον parisosis ( ί , equation). Here is the definition given prior to Aristotle by παρ σωσις Anaximenes in Rhetorica ad Alexandrum (28): "Paromoeosis ( ί παρομο ωσις assimilation) goes further than parisosis, as it not only makes the members equal in length but assimilates them by employing similar words to construct them. Assimilate specially the terminations of words – this is the best way of producing paromoeosis. Similar words are those formed of similar sounding syllables".
An few lines from Helena by Gorgias (fifth sixth centuries BC) – 27) can show us how it was implemented in practice: 28)
ἄ ὖὁ ὲἐ ή ά ξιος ο ν μ ν πιχειρ σας β ρβαρος So the barbarian
ά
ἐ
άἐίβ ρβαρον πιχε ρημα
who undertook a barbarian undertaking
ὶ όῳ ὶ όῳ ὶ ἔ ῳ κα λ γ κα ν μ κα ργ
όῳ ὲ ἰί
λγμνατ ας
όῳ ὲ ἀ ί ν μ δ τιμ ας
ἔῳὲί
ργ δ ζημ ας τυχε ν
ἡ ὲ
ῖ:
ῖ δ βιασθε σα
ὶῆὶῆίῖ κα τ ς πατρ δος στερηθε σα
ὶ ῶ
ῖ
ί
ὀ
ὶῶίὀῖ κα τ ν φ λων ρφανισθε σα
ῶ ὐἂ ἰό
ῶ ὐἂ ἰό ἐ ί π ς ο κ ν ε κ τως λεηθε η
ᾶ
ί
ἢ
ί;
μ λλον κακολογηθε η
ὁ ὲ ὰἔ ά ἡ ὲ ἔ:
μνγρ δρασε δειν
δ παθε
in speech and in law and in deed, deserves to receive accusation in speech,
debarment in law, and punishment in deed;
but the woman who was violated and deprived of her country
and bereaved of her family would she not reasonably be pitied
rather than reviled?
He performed terrible acts, she suffered them;
ίὖὴὲἰῖδ καιον ο ν τ ν μ ν ο κτ ραι ὸ ὲ ῆ . τ ν δ μισ σαι
so it is just to sympathize with her but to hate him.
One can easily see that this text employs extremely rich isocola; usually they are stressed by distinctive rhythmic and sound repetitions.
Still, outside the so-called early sophistic this approach met with little
27) This passage was discussed in . . , " ( Т А Миллер От поэзии к прозе Риторическая проза Горгия )", M. JI. , ed., и Исократа Гаспаров Античная . поэтика Риторическая теория и литературн ая практика ( : , 1991), 60-105. Москва Наука
28) English version by D. M. MacDowell.
appreciation. Isocrates, who may have been a disciple of Gorgias, rejected this style as unnatural in his treatise In sophistas, composed about 391 BC. It was a judgement that became normative for ages to come. Even Isocrates was later blamed for the same sort of unnaturalness. For instance, Dionysius of Halicarnassus (De compositione verborum, 19) wrote that Isocrates' followers admit too much of boring sameness, also on the level of phonetics: ὴ φυλακ ῆ έ ἡ ὐή συμπλοκ ς φωνη ντων α τ the same combinations of sounds.
A similar idea was expressed in the first century CE by Demetrius (De elocutione, 26-27) 29) who discusses homoeoteleuta (ὁ έ μοιοτ λευτα similar endings), i.e., cola that end with similar or the same sounds. He insisted that the use of this technique was rather risky since it made the speech less natural. One may wonder what criteria he proposed for naturalness and how much of it could be found in ancient rhetoric in general, but for us it is important to notice his reservation regarding Gorgias' manner of speech.
Anyhow, be the rhetoricians in favour of sound repetition or not, they regarded it as merely an accessory to certain other features such as isocolon. In consequence, they were considered as belonging to the domain of rhetorical prose. It is no wonder, then, that Dionysius does not give attention to alliteration in Euripides: for him they were relevant for prose, while poetry was composed by completely different rules.
Still, it would not be correct to say that Dionysius paid no attention to the sounds in poetry at all. He was was just looking for something else, namely, the "quality" of different sounds and their compatibility. For instance, he quoted two lines from Ilias by Homer (xi, 36-37):
ῇτ᾽ἐδὶὲὼῶπμν Γοργ βλοσυρ πις ἐστε ά φ νωτο δεινὸν δερκο έ μ ν ὶ η περ ὲ δ ῖ Δε μός τε ό Φ β . ος τε
" and there like a crown the Gorgon's grim mask … – the burning eyes, the stark, transfixing horror – and round her strode the shapes of Rout and Fear." 30)
One can easily notice sound repetition in these lines, especially in the second
29) See also M. JI. , " ", 51. Гаспаров Античная риторика как система
30) English version by R. Fagles.
one: - - - - - . Besides that, the ends of the lines are full of δε δειν δε μεν δε δειμ alliteration: ἐστεφάνωτο - ῖ Δε μός τε Φόβος τε. Nevertheless, Dionysius (De compositione verborum, 16) did not say a word about this repetition 31) .
The artistry of the poet, according to Dionysius, was realised in the very choice of the sounds, in a certain phonetic toning of the text. In a word, relative links between sounds was of no importance for him: it was only absolute value ascribed to certain phonetic units that counted. Probably, this was conditioned to an extent by the general antagonism to phonetic repetitions shown by Dionysius, as well as by the whole Greek rhetorical theory as we know it.
It was also demonstrated by S. Averintsev 32) that even such a serious author as Plato paid certain attention to the sounding of his prose and occasionally used plays on words (paronomasia). This is not surprising if we remember that his favourite genre, dialogue, was considered as primarily oral in its origin. Here is a brilliant sample from his Republic (495e):
ῖ Δοκε ς ὖ , ἦ ᾽ ἐώ, έ ὐ ὺ ἰ ῖ ἀ ύ έ ο ν τι ν δ γ διαφ ρειν α το ς δε ν ργ ριον κτησαμ νου έ , ῦ ὶ ῦ, ὶ ὲ ἐ ῶ χαλκ ως φαλακρο τε κα σμικρο νεωστ μ ν κ δεσμ ν έ λελυμ νου, ἐν ίῳ ὲ βαλανε δ έ λελουμ νου, ὸ ἱά ἔ , ὡ ί νεουογ ν μ τιον χοντος ς νυμφ ου έ , ὰ παρεσκευασμ νου δι πενίαν ὶ ἐ κα ρημίαν ῦ ό ὴ έ το δεσπ του τ ν θυγατ ρα έ ῖ; μ λλοντος γαμε ν
"Is not the picture which they present", I said, "precisely that of a little bald-headed tinker who has made money and just been freed from bonds and had a bath and is wearing a new garment and has got himself up like a bridegroom and is about to marry his master's daughter?" 33)
It is evident that word pairs like, ί - ἐ ί and in particular έ πεν αν ρημ αν λελυμ νου - έ (with only one vowel slightly different!) helps in producing a λελουμ νου strong rhetoric effect. This ironic passage, however, is by its nature close to a folkloric genre, perhaps influenced by some actual prick songs or street jokes known to the author.
31) Instead, he was drawing reader's attention to the fact that Homerus had chosen for this frightening description special sounds: "as for the vowels – not the strongest ones but the most discordant ones; as for the consonants – the hardest to pronounce" ( ῶ έ ὐ ὰ τ ν τε φωνη ντων ο τ κρ ά ή ἀ ὰ ὰ έ ὶ ῶ ῶἢ ἀώ ὰ ώ ή ). τιστα θ σει λλ τ δυσηχ στατα κα τ ν ψοφοειδ ν φ νων τ δυσεκφορ τατα λ ψεται
32) . . , " С С Аверинцев Неоплатонизм перед лицом Платоновой критики мифопоэтического мы ", . . , ed., шления Ф Х Кессиди Платон и его эпоха ( : , 1979), 83-97. Москва Наука
33) English version by P. Shorey.
We can conclude that in practice alliteration was more or less regularly used in prose and occasionally in poetry although the theory prescribed to be extremely cautious in using them. From the extant texts we can judge that Greek scholars paid little attention to sound repetitions taking them as a very marginal and secondary feature.
As for rhythmic patterns, the picture is similar. Modern scholars use the word metre practically in the same sense as their ancient predecessors who usually applied it to regular patterns composed by certain numbers of long and short syllables in a certain order. At the same time the term rhythm now is used rather broadly. In this article it defines regular alternation of stressed and unstressed syllables. This, however, is rather far from ancient usage which is traced in detail in a work by A. Primmer 34) so here we can confine ourselves to giving just a couple of examples.
Aristotle (Rhetorica, 3.8) used to call rhythm "the measure for speech which has metres as its units" (ὁ ὲ ῦ ή ῆ έ ἀ ὸῥ όἐ ὗ δ το σχ ματος τ ς λ ξεως ριθμ ς υθμ ς στιν ο ὶ ὰ έ ή ). Dionysius of Halicarnassus ( κα τ μ τρα τμ ματα De compositione verborum, 11) listed rhythm among the four factors that make the speech pleasant, together with melody ( έ ), diversity ( ή) and relevance ( ό). Melody in μ λος μεταβολ πρεπ ν his system had to do with what we call prosody while rhythm, as was the case with Aristotle, apparently was used in application to quantitative versification.
So for them rhythm and metre were not at all to be opposed. This is not surprising as they hardly ever considered different systems of versification. This opposition, however, emerged in late antiquity when due to linguistic changes in Greek and Latin pronunciation ancient quantitative metres became inaudible and new sorts of versification was introduced both in the East and the West. Latin rhetoricians of the epoch 35) eventually started to call these new verses rhythmic, as opposed to classical metric verses which by the way they never ceased to compose till nowadays. To our astonishment, their Byzantine colleagues never bothered to notice the existence of these two rival systems of versification, both of which flourished in their culture.
34) A. Primmer, Cicero Numerosus. Studien zum Antiken Prosarhythmus (Wien: Österreichische Akademie der Wissenschaften, 1968), 17-41.
35) According to , Гаспаров , Очерк истории европейского стиха 89, the first to introduce this distinction was Marius Victorinus about 353 C. E.
5. The Byzantine continuation
Initially, Greeks rhetoricians and grammarians paid very little attention to stressed or unstressed syllables; they even did not have one term for such a phenomenon as stress which they called ό or ῳί. This negligence τ νος προσ δ α was determined by the role (or, better, the absence of any role) plaid by stresses in classical Greek verse. There was simply no practical reason to count them; as M. Gasparov noticed, "tones apparently plaid no role at all in the rhythmic structures of the ancient Greek verse" 36) .
Things changed in late antiquity (presumably, not before the third century), 37) when the length of vowels became indistinguishable in spoken Greek and Latin. From this time, no one needed special training to be able to appreciate metric poetry. Since quantity was now inaudible, poets started to introduce order in stresses 38) .
In artistic prose the situation was quite different. First, it should be specified that characteristic formal features of ancient prose are seen best in rhetorical prose. Its primary aim was formal perfection and it never ceased to be the subject of careful theoretical study. 39)
Ancient rhetoricians did say a few things about stressed and unstressed syllables: in fact, they advised to avoid repeating too many words that have the same number of syllables and length, or tonic structure 40) .
In practice, however, stresses may have been more organised, basically due to repetitions of similar grammatical forms. Let us consider the lines quoted above from Helena by Gorgias:
36) Ibid., 83-86.
37) The exact dating of these changes is a subject of constant debate. O. Shirokov, for instance, gives the diapason of 600 years: "the tonic accents started to be replaced by expiratory stresses from the second century BC; by the third-fourth centuries AD the vowels' length was levelled"; . . , О С Широков История греческого языка ( : Москва Московский государственны , 1983), 107. й университет
38) See hexameters by Nonnus of Pannopolis as an example in , Гаспаров Очерк истории европей ского стиха, 90-94.
39) See such classical works as E. Norden, Die antike Kunstprosa vom VI Jahrhundert vor Chr. bis in die Zeit der Renaissance (Leipzig: Teubner, 1898); A. Primmer, Cicero Numerosus. Studien zum Antiken Prosarhythmus (Wien: Österreichische Akademie der Wissenschaften, 1968).
40) Aristotle, Rhetorica, 3.8; Dionysius of Halicarnassus, De compositione verborum, 19; Hermogenes of Tarsus, Of Ideas, 1.12.
όῳ ὲ ἰί λ γ μ ν α τ ας όῳ ὲ ἀ ί ν μ δ τιμ ας ἔ ῳ ὲ ί ... ργ δ ζημ ας
Quite probably, Gorgias did care about the regular prosodic structure, the same way he cared about phonetic repetitions. He may have been done this intuitively. Both he and his audience may have taken it as a side-effect of the feature called isocolon.
When a vowel's length became indistinguishable in spoken Greek, stresses apparently became more important as a device to organise a text phonetically. In the example quoted above no one would have been able to discern regular patterns of long and short vowels. Stressed and unstressed syllables were, however, still audible. This factor initiated a change in the technique of composing rhetorical prose. By 1886 E. Bouvy 41) had formulated the "syntonic principle" (principe syntonique), according to which early Byzantine rhetors tended to finish each colon with a certain 'dactylic' sequence (une dipodie dactylique): two stressed syllables followed by two unstressed respectively. A few years later, in 1891, W. Meyer 42) formulated what became known as Meyersgesetz, Meyer's rule. In the fourth century, Greek rhetoric prose started to follow a certain rule pattern: whereby two unstressed syllables should preceed the last stressed syllable in a syntagm (i.e., before a pause). The quantity of these syllables (now merely theoretic) played no role at all.
Strangely enough, Greek speakers did not notice this change; it took a nineteenth century European scholar to formulate it. Greek writers did still appreciate and praise "the beauty in words and rhythm" ( ά ἐ έ ὶ κ λλος ν λ ξεσι κα ῥ ῦ), to take a nice expression by Synesius of Cyrene, υθμο 43) but they never managed to determine the true nature of this rhythm, neither in later antiquity nor in the Byzantine epoch. As S. Averintsev said, "for Byzantine theoreticians in general all the new developments concerning the accentual structure of Greek
41) E. Bouvy, Poètes et mélodes, 183, 353-354.
42) K. Litzica, Das Meyersche Satzschlußgesetz in Der Byzantinischen Prosa, Mit einem Anhang über Prokop von Käsarea (München: Buchholz, 1898); W. Meyer, Akzentuierte Satzschluß in der Griechischen Prosa vom IV bis XVI Jahrhundert (Göttingen: Deuerlich, 1891). See a more recent discussion in W. Hörandner, Der Prosarhythmus in der rhetorischen Literatur der Byzantiner (Wien: Österreichischen Akademie der Wissenschaften, 1981), 26-37.
43) His witness, as well as the witnesses by other authors, is discussed in detail Ibid., 20-26.
language were banned; the preconceived rhetoric theory had no conceptual and terminological apparatus to describe this change. Applied in practice, it remained outside theoretic models." 44)
We know, however, that Byzantine scholars, however traditional, never refused to coin new terms and conceptions if a necessity was felt, patristic theology being the most prominent case. Indeed, where they saw no cardinal innovations they preferred to operate with the old concepts, sometimes with a slightly changed meaning: for instance, they kept calling themselves Ῥ ῖ, ομα οι Romans, long after all actual links with the city of Rome were broken. So we can guess that the changes that took place did not introduce anything completely unknown and substantially new. The rhythmic alternation of stressed and unstressed syllables was already present in classical prose as a secondary feature. Due to phonetic changes, this feature became predominant and was not seen as a revolutionary change that would demand careful theoretical study and new terminology. 45)
This process took place both in poetry and prose. In late antiquity, rhythm as alternation of stressed and unstressed syllables, previously known as a secondary feature, became a support and substitution for disappearing quantitative metres. By the late fifth century it emerged in poetry as a new system of versification. 46)
As an example, these lines from the famous Akathistos hymn to Virgin Mary can be quoted (the date of the composition and the author both remain unknown):
ῖ Χα ρε ᾿ ἧἡ ὰ ἐ ά δι ς χαρ κλ μψει·
Rejoice, you through whom joy will shine forth,
ῖ ᾿ ἧἡ ἀὰ ἐ ί χα ρε δι ς ρ κλε ψει·
ῖῦό Ἀὰ ἡ χα ρε το πεσ ντος δ μ ἀά ν κλησις·
Rejoice, you through whom the curse will cease!
Rejoice, recall of fallen Adam,
ῖῶύῆὔἡ χα ρε τ ν δακρ ων τ ς Ε ας ύ λ τρωσις·
Rejoice, redemption of the tears of Eve!
44) . . , " . С С Сергей Сергеевич Аверинцев Византийская риторика Школьная норма литературно ", . . , ed., го творчества в составе византийской культуры М Л Гаспаров Проблемы литератур ной теории в Византии и латинском Средневековье ( : , 1986), 19-90, 40. Москва Наука
45) See E. Bouvy, Poètes et mélodes.
46) See a general description in J. G. de Matons, Romanos le Mélode et les origines de la poésie religieuse à Byzance (Paris: Beauchesne, 1977), and a more specific discussion in . . М Л Гаспа , ров Очерк истории европейского стиха ( : , 1989), 77-84. Москва Наука
ῖὕά χα ρε ψος δυσαν βατον ἀ ί ῖ νθρωπ νοις λογισμο ς· ῖ ά ώ χα ρε β θος δυσθε ρητον ὶ ἀ έ ὀ ῖ κα γγ λων φθαλμο ς…
Rejoice, height inaccessible to human thoughts, Rejoice, depth undiscernible for angels' eyes!
The phonetic changes that eventually made the old metric poetry inaudible presumably took place after the completion of the LXX so that they apparently had no effect on it. One is therefore justified in asking: if there is any phonetic regularity, does it have to do with translation technique as such or rather with the reception of phonetic regularity by subsequent generations?
Indeed, to the best of our knowledge, Greeks in the third century BCE spoke more or less classical Greek. 47) Nevertheless, it is possible that changes, such as the leveling of vowel length, may have started to take place in the pronunciation of translators and the first readers of the LXX – the majority of whom were not Greeks – long before they were attested in normative Greek. There is no direct proof for such a claim, but the orthography of the Oxyrinchus papyri can be cited as support: 48) long vowels were mixed with short ones and unstressed vowels occasionally became reduced.
If this hypothesis is true, it becomes clear that Greek-speaking Jews would not have heard classical metres at all. They would learn them at school, but one would not expect them to imitate a complicated versification system foreign to their own indigenous natural language. This is why there is no point in trying to find any metres in the LXX.
All this made J. Irigoin 49) ask:
Il est donc probable que, dans les régions du monde hellénistique où le grec, devenant une Koinè, s'est trouvé concurrencer d'autres langues et a été pratiqué par des peuples dont la langue maternelle était autre et présentait en particulier un système vocalique et accentuel different, l'évolution des phonèmes et des types d'accent du grec a été plus rapide. Le grec employé en Égypte par des Juif a donc pu presenter plus tôt qu'ailleurs des virtualités rhythmiques mises en œvre par les traducteurs de la Septante. Il est alors permis de se demander si le substrat rhythmique de la version hébreu n'a pas servi de guide aux
47) See, e.g. an overview in G. Horrocks, Greek, A History of the Language and Its Speakers (London: Longmans, 1997).
48) Ibid., 102ff.
49) J. Irigoin, "La composition rythmique des cantiques de Luc", 49.
auteurs de la version, les conduisant parfois à sacrifier au respect du rhythme tel détail de la traduction.
Irigoin himself did not try to answer this question. Nor do I know of any other attempt to do so. Our analysis, however, demonstrates that a cautious "yes" can be given in response to his hypothesis.
6. Conclusion
The examples that we have analysed show that a certain quest for more formal regularity could have influenced LXX translator's choices when they were choosing non-standard equivalents. In other words, translational anomalies can be explained, alongside with other reasons, by translator's intention to produce more alliterations and assonances and more rhythmic regularities. This factor has been usually neglected so far because the Septuagint itself was not regarded as a literary text that can make an aesthetic impact on the reader. On the other hand, classical Greek theories of literary composition pay no attention to these features although they occasionally occur in practice.
Things changed in late antiquity, when the length of vowels became indistinguishable in spoken Greek and Latin. Eventually a new system of versification appeared, based on stressed syllables. It can be argued that the LXX played a role in this transition, preparing some ground for these changes to take place. If D. Barthélémy is right in assuming that the LXX provided Alexandrinian Jews with liturgical texts, 50) then these passages would have been frequently recited and chanted in synagogues, creating a new tradition, continued later by Christians.
We cannot speak, however, about "Septuagint poetry" per se, for it never existed. No clear border can be drawn between versified and prosaic LXX texts. One may argue that the degree of liberty and artistry in Genesis 49 and Exodus 15 is considerably higher than in narrative texts, but this is a matter of degree.
If we approach our material from a reception perspective, we will see that
50) D. Barthélemy, "Pourquoi la Torah a-t-elle été traduite en Grec?", Black M. and Smalley W. A., eds., On Language, Culture and Religion: In Honour of Eugene Nida (The Hague: Mouton, 1974), 23-41.
these passages were regarded as songs, and more than that – as sacred songs to be recited and imitated. This is the basic reason why one can speak about their influence on a new kind of Greek poetry. We can be sure that the legendary elders, whoever they were in reality, never intended to create a text that would be rejected by the Jewish community of faith as a "golden calf" that replaced the original Torah.
But this was what actually happened. They certainly would not have imagined that a good half of Christendom would come to accept their version as its main text of the Scriptures. But this also happened. So it is justifiable to treat the LXX as a departure point of a long tradition even though the original translators would never have intended or anticipated such an eventuality. In summary, this article suggests that certain features that appeared in the LXX (first of all, sound repetitions and rhythmic patterns) would be imitated on a much larger scale by Christian Greek writers and would eventually develop into a completely new system of versification known today as Byzantine rhythmic poetry.
<Keywords>
Bible translation, Septuagint, Alliterations, Rhythmic patterns, Poetic features, Byzantine poetry.
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<References>
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Barthélemy, Dominique, "Pourquoi la Torah a-t-elle été traduite en Grec?", M. Black and W. A. Smalley, eds., On Language, Culture and Religion: In Honour of Eugene Nida, The Hague: Mouton, 1974, 23-41.
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Tov, Emanuel, "The Impact of the LXX Translation of the Pentateuch on the Translation of Other Books", P. Casetti, et al., eds., Mélanges Dominique Barthélemy, Fribourg: Editions universitaires, 1981, 577-592.
Tov, Emanuel, "The Nature and Study of the Translation Technique of the LXX in the Past and Present", C. E. Cox, ed., VI Congress of the International Organisation for Septuagint and Cognate Studies, Atlanta: Scholars, 1987, 337-359.
Van Der Louw, Theo A. W., Transformations In The Septuagint: Towards An Interaction Of Septaguint Studies And Translation Studies, Leuven: Peeters, 2007.
Euphony in the Septuagint: Genesis 49 and Exodus 15 as Study Cases / Andrei S. Desnitsky 247
Watson, Wilfred G. E., Traditional Techniques in Classical Hebrew Verse, Sheffield: Sheffield Academic Press, 1994.
Wevers, John William, Notes on the Greek Text of Exodus, Atlanta: Scholars, 1990.
Wevers, John William, Notes on the Greek Text of Genesis, Atlanta: Scholars, 1993.
Wunderli, Peter, Ferdinand de Saussure und die Anagramme: Linguistik und Literatur, Tübingen: Niemeyer, 1972.
, , " . Аверинцев Сергей Сергеевич Византийская риторика Школьная норма лите ", . . , ратурного творчества в составе византийской культуры М Л Гаспаров ed., Проблемы литературной теории в Византии и латинском Средневек овье, : , 1986, 19-90. Москва Наука
, , " Аверинцев Сергей Сергеевич Неоплатонизм перед лицом Платоновой крити ", , ed., ки мифопоэтического мышления Кессиди Платон и его эпоха, . Ф . : , 1979, 83-97. Х Москва Наука
, , " ", . . Гаспаров Михаил Леонович Античная риторика как система М Л Гаспаро , ed., в . Античная поэтика Риторическая теория и литературная практи ка, : , 1991, 27-59. Москва Наука
, , Гаспаров Михаил Леонович Очерк истории европейского стиха, : Москва Нау , 1989. ка
, . ., " ( )", Миллер Т А От поэзии к прозе риторическая проза Горгия и Исократа . . , ed., М Л Гаспаров . Античная поэтика Риторическая теория и литера турная практика, : , 1991, 60-105. Москва Наука
, , Широков Олег Сергеевич История греческого языка, , Москва : Москва Моско , 1983. вский государственный университет
<Abstract>
Euphony in the Septuagint:
Genesis 49 and Exodus 15 as Study Cases
Andrei S. Desnitsky
(The Institute for Oriental Studies of the Russian Academy of Science)
This article takes a closer look at some poetic passages in the Septuagint in order to determine if a certain quest for more formal regularity could have influenced translator's choices. This factor has been usually neglected so far because the Septuagint itself was not regarded as a literary text that can make an aesthetic impact on the reader. Anyway, the study demonstrates that at times translational anomalies can be explained, alongside with other reasons, by translator's intention to produce more alliterations and assonances and more rhythmic regularities than a standard equivalent would. Still, this research demands a rather balanced methodology so that meaningful solutions can be distinguished from mere coincidences. So the methodology is discussed here in detail. Another aspect which is considered in this study is the role played by the Septuagint in the history of Greek literature. One may ask if some Septuagint texts influenced to a certain degree the future rise of the Byzantine rhythmic poetry, and the present study gives a cautious approval to this hypothesis.
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COMMERCIAL TRADE AREA REPORT
Freeport, Michigan
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Justin Peck REALTOR® C|
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Michigan Real Estate License: 6502412114
M|o|b|i|l|e|: | | ( | 269 | ) | | 760 | - | 4965 | W | o | rk | : | | ( | 269 | ) | | 945 | - | 5182 |
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M|a|i|n|: | | j | u| st | i | n| @ | m | i | l | l | e| rre| a| l | e| st | a| t | e| . | n| e| t
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: | |www. |m|i|l|l|e|rre|a|l|e|st |a|t |e|. |n|e|t
Miller Real Estate
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Information is not guaranteed. Equal Housing Opportunity.
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LLC. All Rights Reserved.
Criteria Used for Analysis
2021 Income (Esri): Median Household Income
$69,803
Consumer Segmentation
Life Mode
Urbanization
What are the people like that
Family Landscapes
Successful young families in their first homes
Where do people
like this usually
Semirural
Small town living, families with affordable homes
live in this area?
live?
®
Information is not guaranteed. Equal Housing Opportunity.
Copyright 2023 Realtors Property Resource LLC. All Rights Reserved.
2021 Age: 5 Year Increments
(Esri):
Median Age
40.3
2021 Key Demographic Indicators
(Esri):
Total Population
544
2021 Tapestry Market Segmentation (Households): 1st Dominant Segment Middleburg
About this segment
Middleburg
This is the
#1
dominant segment for this area
In this area
90.6%
of households fall into this segment
In the United States
3.0%
of households fall into this segment
An overview of who makes up this segment across the United States
Who We Are
Our Neighborhood
Market Profile
Middleburg neighborhoods transformed from the easy pace of country living to semirural subdivisions in the last decade, as the housing boom spread beyond large metropolitan cities. Residents are traditional, family-oriented consumers. Still more country than rock and roll, they are thrifty but willing to carry some debt and are already investing in their futures. They rely on their smartphones and mobile devices to stay in touch and pride themselves on their expertise. They prefer to buy American and travel in the US. This market is younger but growing in size and assets.
Semirural locales within metropolitan areas. Neighborhoods changed rapidly in the previous decade with the addition of new single-family homes. Include a number of mobile homes. Affordable housing, median value of $175,000 with a low vacancy rate. Young couples, many with children; average household size is 2.75.
Socioeconomic Traits
Residents are partial to domestic vehicles; they like to drive trucks, SUVs, or motorcycles. Entertainment is primarily family-oriented, TV and movie rentals or theme parks and family restaurants. Spending priorities also focus on family (children's toys and apparel) or home DIY projects. Sports include hunting, fishing, bowling, and baseball. TV and magazines provide entertainment and information. Media preferences include country and Christian channels.
Education: 65% with a high school diploma or some college. Labor force participation typical of a younger population at 66.7%. Traditional values are the norm here, faith, country, and family. Prefer to buy American and for a good price. Comfortable with the latest in technology, for convenience (online banking or saving money on landlines) and entertainment.
The demographic segmentation shown here can help you understand the lifestyles and life stages of consumers in a market. Data provider Esri classifies U.S. residential neighborhoods into 67 unique market segments based on socioeconomic and demographic characteristics. Data Source: Esri 2021. Update Frequency: Annually.
®
Information is not guaranteed. Equal Housing Opportunity.
Copyright 2023 Realtors Property Resource LLC. All Rights Reserved.
About this segment
Salt of the Earth
This is the
#2
dominant segment for this area
In this area
9.4%
of households fall into this segment
In the United States
2.9%
of households fall into this segment
An overview of who makes up this segment across the United States
Who We Are
Our Neighborhood
Market Profile
Salt of the Earth residents are entrenched in their traditional, rural lifestyles. Citizens are older, and many have grown children that have moved away. They still cherish family time and also tending to their vegetable gardens and preparing homemade meals. Residents embrace the outdoors; they spend most of their free time preparing for their next fishing, boating or camping trip. The majority has at least a high school diploma or some college education; many have expanded their skill set during their years of employment in the manufacturing and related industries. They may be experts with DIY projects, but the latest technology is not their forte. They use it when absolutely necessary but seek face-toface contact in their routine activities.
This large segment is concentrated in rural enclaves in metropolitan areas. Primarily (not exclusively) older homes with acreage; new housing growth in the past 15 years. Singlefamily, owner-occupied housing, with a median value of $235,500. An older market, primarily married couples, most with no children.
Socioeconomic Traits
Steady employment in construction, manufacturing, and related service industries. Completed education: 40% with a high school diploma only. Household income just over the national median, while net worth is nearly double the national median. Spending time with family is their top priority. Cost-conscious consumers, loyal to brands they like, with a focus on buying American. Last to buy the latest and greatest products. Try to eat healthy, tracking the nutrition and ingredients in the food they purchase.
Outdoor sports and activities, such as fishing, boating, hunting, and overnight camping trips are popular. To support their pastimes, truck ownership is high; many also own an ATV. They own the equipment to maintain their lawns and tend to their vegetable gardens. Residents often tackle home remodeling and improvement jobs themselves. Due to their locale, they own satellite dishes, and have access to high-speed internet connections like DSL. These conservative consumers prefer to conduct their business in person rather than online. They use an agent to purchase insurance.
The demographic segmentation shown here can help you understand the lifestyles and life stages of consumers in a market. Data provider Esri classifies U.S. residential neighborhoods into 67 unique market segments based on socioeconomic and demographic characteristics. Data Source: Esri 2021. Update Frequency: Annually.
®
Information is not guaranteed. Equal Housing Opportunity.
Copyright 2023 Realtors Property Resource LLC. All Rights Reserved.
Freeport, Michigan: Population Comparison
Total Population
Freeport
This chart shows the total population in an area, compared with other geographies.
Data Source: U.S. Census American
Community Survey via Esri, 2021
Update Frequency: Annually
2021
2025 (Projected)
Population Density
This chart shows the number of people per square mile in an area, compared with other geographies.
Data Source: U.S. Census American Community Survey via Esri, 2021 Update Frequency: Annually
2021
2025 (Projected)
Population Change Since 2010
This chart shows the percentage change in area's population from 2010 to 2021, compared with other geographies.
Data Source: U.S. Census American Community Survey via Esri, 2021 Update Frequency: Annually
2021
2025 (Projected)
Total Daytime Population
This chart shows the number of people who are present in an area during normal business hours, including workers, and compares that population to other geographies. Daytime population is in contrast to the "resident" population present during evening and nighttime hours.
Data Source: U.S. Census American
Community Survey via Esri, 2021
Update Frequency: Annually
Freeport
Freeport
Freeport
Freeport
®
Information is not guaranteed. Equal Housing Opportunity.
Copyright 2023 Realtors Property Resource LLC. All Rights Reserved.
Daytime Population Density
This chart shows the number people who are present in an area during normal business hours, including workers, per square mile in an area, compared with other geographies. Daytime population is in contrast to the "resident" population present during evening and nighttime hours.
Data Source: U.S. Census American Community Survey via Esri, 2021 Update Frequency: Annually
Freeport
Average Household Size
This chart shows the average household size in an area, compared with other geographies.
Data Source: U.S. Census American Community Survey via Esri, 2021 Update Frequency: Annually
2021
2025 (Projected)
Population Living in Family Households
This chart shows the percentage of an area's population that lives in a household with one or more individuals related by birth, marriage or adoption, compared with other geographies.
Data Source: U.S. Census American
Community Survey via Esri, 2021
Update Frequency: Annually
2021
2025 (Projected)
Female / Male Ratio
This chart shows the ratio of females to males in an area, compared with other geographies.
Data Source: U.S. Census American
Community Survey via Esri, 2021
Update Frequency: Annually
Women 2021
Men 2021
Women 2025 (Projected)
Men 2025 (Projected)
Freeport
Freeport
Freeport
Freeport
®
Information is not guaranteed. Equal Housing Opportunity.
Copyright 2023 Realtors Property Resource LLC. All Rights Reserved.
Freeport, Michigan: Age Comparison
2021
2025 (Projected)
Median Age
This chart shows the median age in an area, compared with other geographies.
Data Source: U.S. Census American Community Survey via Esri, 2021
Update Frequency: Annually
2021
2025 (Projected)
Population by Age
This chart breaks down the population of an area by age group.
Data Source: U.S. Census American
Community Survey via Esri, 2021
Update Frequency: Annually
Freeport
®
Information is not guaranteed. Equal Housing Opportunity.
Copyright 2023 Realtors Property Resource LLC. All Rights Reserved.
Freeport, Michigan: Marital Status Comparison
Married / Unmarried Adults Ratio
Freeport
This chart shows the ratio of married to unmarried adults in an area, compared with other geographies.
Data Source: U.S. Census American
Community Survey via Esri, 2021
Update Frequency: Annually
Married
Unmarried
Married
This chart shows the number of people in an area who are married, compared with other geographies.
Data Source: U.S. Census American Community Survey via Esri, 2021
Update Frequency: Annually
Never Married
This chart shows the number of people in an area who have never been married, compared with other geographies.
Data Source: U.S. Census American
Community Survey via Esri, 2021
Update Frequency: Annually
Widowed
This chart shows the number of people in an area who are widowed, compared with other geographies.
Data Source: U.S. Census American Community Survey via Esri, 2021
Update Frequency: Annually
Divorced
This chart shows the number of people in an area who are divorced, compared with other geographies.
Data Source: U.S. Census American Community Survey via Esri, 2021
Update Frequency: Annually
Freeport
Freeport
Freeport
Freeport
®
Information is not guaranteed. Equal Housing Opportunity.
Copyright 2023 Realtors Property Resource LLC. All Rights Reserved.
Freeport, Michigan: Economic Comparison
Average Household Income
Freeport
This chart shows the average household income in an area, compared with other geographies.
Data Source: U.S. Census American Community Survey via Esri, 2021
Update Frequency: Annually
2021
2025 (Projected)
Median Household Income
This chart shows the median household income in an area, compared with other geographies.
Data Source: U.S. Census American
Community Survey via Esri, 2021
Update Frequency: Annually
2021
2025 (Projected)
Per Capita Income
This chart shows per capita income in an area, compared with other geographies.
Data Source: U.S. Census American
Community Survey via Esri, 2021
Update Frequency: Annually
2021
2025 (Projected)
Average Disposable Income
This chart shows the average disposable income in an area, compared with other geographies.
Data Source: U.S. Census American
Community Survey via Esri, 2021
Update Frequency: Annually
Freeport
Freeport
Freeport
®
Information is not guaranteed. Equal Housing Opportunity.
Copyright 2023 Realtors Property Resource LLC. All Rights Reserved.
This chart shows industries in an area
and the number of people employed in
each category.
Data Source: Bureau of Labor Statistics
via Esri, 2021
Update Frequency: Annually
Barry County
Michigan
USA
Unemployment Rate
This chart shows the unemployment
trend in an area, compared with other
geographies.
Data Source: Bureau of Labor Statistics
via PolicyMap
Update Frequency: Monthly
Employment Count by Industry
This chart shows industries in an area
and the number of people employed in
each category.
Data Source: Bureau of Labor Statistics
via Esri, 2021
Update Frequency: Annually
®
Information is not guaranteed. Equal Housing Opportunity.
Copyright 2023 Realtors Property Resource LLC. All Rights Reserved.
Freeport, Michigan: Education Comparison
Less than 9th Grade
Freeport
This chart shows the percentage of people in an area who have less than a ninth grade education, compared with other geographies.
Data Source: U.S. Census American Community Survey via Esri, 2021
Update Frequency: Annually
Some High School
This chart shows the percentage of people in an area whose highest educational achievement is some high school, without graduating or passing a high school GED test, compared with other geographies.
Data Source: U.S. Census American Community Survey via Esri, 2021 Update Frequency: Annually
High School GED
This chart shows the percentage of people in an area whose highest educational achievement is passing a high school GED test, compared with other geographies.
Data Source: U.S. Census American
Community Survey via Esri, 2021
Update Frequency: Annually
High School Graduate
This chart shows the percentage of people in an area whose highest educational achievement is high school, compared with other geographies.
Data Source: U.S. Census American Community Survey via Esri, 2021
Update Frequency: Annually
Some College
This chart shows the percentage of people in an area whose highest educational achievement is some college, without receiving a degree, compared with other geographies.
Data Source: U.S. Census American Community Survey via Esri, 2021
Update Frequency: Annually
Freeport
Freeport
Freeport
Freeport
®
Information is not guaranteed. Equal Housing Opportunity.
Copyright 2023 Realtors Property Resource LLC. All Rights Reserved.
Associate Degree
This chart shows the percentage of people in an area whose highest educational achievement is an associate degree, compared with other geographies.
Data Source: U.S. Census American Community Survey via Esri, 2021
Update Frequency: Annually
Bachelor's Degree
This chart shows the percentage of people in an area whose highest educational achievement is a bachelor's degree, compared with other geographies.
Data Source: U.S. Census American
Community Survey via Esri, 2021
Update Frequency: Annually
Grad/Professional Degree
This chart shows the percentage of people in an area whose highest educational achievement is a graduate or professional degree, compared with other geographies.
Data Source: U.S. Census American Community Survey via Esri, 2021
Update Frequency: Annually
Freeport
Freeport
Freeport
®
Information is not guaranteed. Equal Housing Opportunity.
Copyright 2023 Realtors Property Resource LLC. All Rights Reserved.
Freeport, Michigan: Commute Comparison
Average Commute Time
This chart shows average commute times to work, in minutes, by percentage of an area's population.
Data Source: U.S. Census American
Community Survey via Esri, 2021
Update Frequency: Annually
Freeport
How People Get to Work
This chart shows the types of transportation that residents of the area you searched use for their commute, by percentage of an area's population. Data Source: U.S. Census American Community Survey via Esri, 2021 Update Frequency: Annually
Freeport
®
Information is not guaranteed. Equal Housing Opportunity.
Copyright 2023 Realtors Property Resource LLC. All Rights Reserved.
Freeport, Michigan: Home Value Comparison
Median Estimated Home Value
This chart displays property estimates for an area and a subject property, where one has been selected. Estimated home values are generated by a valuation model and are not formal appraisals. Data Source: Valuation calculations based on public records and MLS sources where licensed
Update Frequency: Monthly
12 mo. Change in Median Estimated Home Value
This chart shows the 12-month change in the estimated value of all homes in this area, the county and the state. Estimated home values are generated by a valuation model and are not formal appraisals.
Data Source: Valuation calculations based on public records and MLS sources where licensed
Update Frequency: Monthly
Median Listing Price
This chart displays the median listing price for homes in this area, the county, and the state.
Data Source: Listing data
Update Frequency: Monthly
12 mo. Change in Median Listing Price
This chart displays the 12-month change in the median listing price of homes in this area, and compares it to the county and state.
Data Source: Listing data
Update Frequency: Monthly
®
Information is not guaranteed. Equal Housing Opportunity.
Copyright 2023 Realtors Property Resource LLC. All Rights Reserved.
Traffic Counts
1,218
2019 Est. daily traffic counts
Street: North State Street
Cross: –
Cross Dir: –
Dist: –
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Year
2018
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1,202
2022 Est. daily traffic counts
Street: North State Street
Cross: N State St
Cross Dir: E
Dist: 0.12 miles
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Year
Count Type
1,169
2021 Est. daily traffic counts
Street: AT SOUTH KENT
COUNTY LINE
Cross: Hammond Rd
Cross Dir: W
Dist: 0.09 miles
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Year
2020
2006
2003
Count
1,057
1,421
1,531
s
Type
AADT
ADT
ADT
1997
2,179 ADT
N | O | T | E | : | | D | a| i | l | y | | T | ra| ffi | c | | C | o| u| n| t | s | a| re| | a| | m | i | x | t | u| re| | o| f | a| c | t | u| a| l | | a| n| d| | E | st | i | m | a| t | e| s | ( | * | )
®
Information is not guaranteed. Equal Housing Opportunity.
Copyright 2023 Realtors Property Resource LLC. All Rights Reserved.
1,149
2022 Est. daily traffic counts
Street: County Line Rd
Cross: Hammond Rd
Cross Dir: W
Dist: 0.09 miles
H | i | s| t | o | r| i | c| a | l | | c| o | u | n | t | s
Year
Count
1,134
2022 Est. daily traffic counts
Street: STATE ST
Cross: N State St
Cross Dir: E
Dist: 0.12 miles
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Year
2021
2020
c
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Count
1,174
s
Type
AADT
1,062 AADT
1/17/2023
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Count
1,216
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Type
AADT
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Type
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About RPR (Realtors Property Resource)
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RPR generates and compiles real estate and other data from a vast array of sources. The data contained in your report includes some or all of the following:
Listing data from our partner MLSs and CIEs, and related calculations, like estimated value for a property or median sales price for a local market.
Public records data including tax, assessment, and deed information. Foreclosure and distressed data from public records.
Market conditions and forecasts based on listing and public records data.
Census and employment data from the U.S. Census and the U.S. Bureau of Labor Statistics.
Demographics and trends data from Esri. The data in commercial and economic reports includes Tapestry Segmentation, which classifies U.S. residential neighborhoods into unique market segments based on socioeconomic and demographic characteristics.
Business data including consumer expenditures, commercial market potential, retail marketplace, SIC and NAICS business information, and banking potential data from Esri.
School data and reviews from Niche.
Specialty data sets such as walkability scores, traffic counts and flood zones.
Update Frequency
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Other data sets range from daily to annual updates.
Learn more
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Information is not guaranteed. Equal Housing Opportunity.
LLC. All Rights Reserved.
1/17/2023
Copyright 2023 Realtors Property Resource
|
[Type text]
2014
BioTechnology
An Indian Journal
FULL PAPER
BTAIJ, 10(12), 2014 [6299-6305]
The evaluation for the performance of supply chain information sharing based on bijective fuzzy soft set
Xiao Hong, Li Kunyu, Zou Cilan*, Gong Ke Chongqing JiaoTong university, School of Management, 400074, (CHINA) E-mail: email@example.com
ABSTRACT
The disclosure of government financial information has always been the weak line in the disclosure of financial information, thus have an impact on the quality of government financial information. It's urgent to accurately reflect the status of our government accounting information, establish a transparent government and enhance the transparency of government financial information. This article examines the problem of China local government financial information disclosures. According to the research, the results show that the government financial conditions, degree of punishment a series of other factors are significantly positively related with its disclosures. It is hoped that the research can provide an excellent practice guide to the online disclosure of government financial information.
KEYWORDS
Supply chain information sharing; Evaluation; Bijective fuzzy soft set.
© Trade Science Inc.
INTRODUCTION
With the globalization of world economy and the rise of the knowledge-based economy, the operating environment of enterprises has become more complex. So the managers need to re-examine their running mode, and make the optimal allocation of resources and production strategy decisions in the larger space of thinking. Considering the production and business activities of enterprises from the perspective of the supply chain is very important to improve the competitiveness of the enterprises. With the increasingly close relationship between the enterprises of the supply chain, information sharing among enterprises is particularly important. In order to promote the flow of information. The supply chain must be built on the base of information sharing. Supply chain information sharing is the upstream and downstream enterprises in the supply chain sharing information with each other in order to achieve the coordination of the entire supply chain and achieve the efficiency of the entire supply chain optimization. Information sharing is an important components of every supply chain management system. There is a general belief that sharing information is the key to improve supply chain performance. The information technology has a significant influence on the supply chain information sharing. Because the lack of a quantitative model,so it's difficult to find out the impact factors when the level of the information sharing become lower. Therefore, the evaluation of supply chain information sharing has important practical and theoretical significance. The scholars have proposed a number of different research methods, Martı´nez-Olvera [1] proposed an entropy-based model which considered the uncertainty characteristics of supply chain to assess the supply chain information sharing methods. Tpking [2] used the Choquet utility theory to study the supply chain cost sharing information. Shore [3] used Hierarchical analysis method (AHP) and fuzzy logic method to evaluate the supply chain partnership information sharing ability. Yu etc [4] proposed a model based on Data Envelopment Analysis (DEA), and the simulation model was validated.
When we evaluate the supply chain information sharing, because of the complexity of the supply chain itself has, led to the establishment of evaluation index is very complicated, and contain some redundant indicators. which not only increase the amount of computation and may weaken other important indicators affect the calculation accuracy. Soft Set Theory [5] is a new kind of math tool dealing with uncertain problem tool. The method describing the object of Soft set is very flexible, it can be initially described according to approximate characteristic of the object, without any restrictions, it can use the word, sentence, logical expression and other parameters, so it is very convenient to use. In recent years, the applications of soft sets theory were also extended to data analysis under incomplete information [6] , combined forecasts [7] , decision making problems [8] , normal parameter reduction [9] , demand analysis [10] . But in real life many problems are imprecise in nature. Classical soft set theory is not capable to deal with such problems. Maji et al. [11] prosed the concept of fuzzy soft sets. In recent years, many researchers have studied on this fields. Fuzzy soft set theory has been used to deal with imprecision [12-15] .
Through reducing the parameters of bijective fuzzy soft sets corresponding to max-value bijective fuzzy soft set,we can find out the key factors that affect the decision variables. This paper through calculate the membership value of original data values corresponding to the indicators of these supply chain information sharing programs to construct fuzzy bijective soft set at first. And then reduce the parameters of bijectivesoft sets corresponding to max-value bijective fuzzy soft set to identify the key factors that affect the supply chain information sharing, and the significance of soft sets are calculated to quantify the importance of each parameter, so that to propose new evaluation method of the supply chain information sharing.
PRELIMINARY
Membership function
The core application of the fuzzy set theory is to determine the membership function reasonably. Because the practical engineering problems often lack information and collection is difficult, it's very difficult to determine the membership function, therefore the trapezoidal or triangular membership function of the membership function is widely used. It's simple in form, an have the advantages of low requirement for data information. The the form of this membership functions of is usually as follows:
Let U be a common universe, 1 [ , ] n U x x = ,high,low,med are three fuzzy sets over U.denoted by A,B,C,a,b,d are four nodes,where x a b c d x < < < < < .
1 n
There are many ways to determine the nodes. This paper uses the distance divided interval. Five intervals were divided by the same distance. the interval is 1 5 n x x − .
The concept of fuzzy bijective soft set
Let U be a common universe and let E be a set of parameters.
Definition 1(see [5] ) (soft set). A pair ( , ) F E is called a soft set (overU ) if and only if F is a mapping of E into the set of all subsets of the set U , where F is a mapping given by : ( ) F E P U ® .
In other words, the soft set is a parameterized family of subsets of the setU . Every set ( )( ) F E e e Î , from this family may be considered the set of e -elements of the soft sets( , ) F E , or as the set of e approximate elements of the soft set.
Let U be a common universe and let E be a set of parameters.
Definition 2 (see[8])(Fuzzy soft set) Suppose A E ⊂ . Let ( ) U Ã% be the set of all fuzzy subsets inU . A pair ( ) , A % ℘ is called a fuzzy soft set overU , where F % is a mapping given by : ( ) F A U % % →℘
Definition 3 (see [16] ) (bijective soft set)Let ( ) , F B be a soft set over a common universeU , where F is a mapping : ( ) F B P U ® andB is nonempty parameter set. We say that ( ) , F B is a bijective soft set, if ( ) , F B such that
U
( ) F e U =.
e B Î
For any two parameters , , i j i j e e B e e Î ¹ , ( ) ( ) i j F e F e Ç = Æ.
Definition 4 Let ( ) , E % ℘ be a fuzzy soft set over universeU , ,( 1,2.., ) i x i n = be an element of U and e be a parameter of E . ( ) max x e ξ denotes the characteristic function of the max-value soft set of the fuzzy soft set ( ) , E % ℘ , defined by
Definition 5 Let ( ) , F B be the a max-value soft set of a fuzzy soft set ( ) , B % ℘ over a common universeU , B is a nonempty parameter set. We say that ( ) , B % ℘ is a max-value bijective fuzzy soft set, if and only if ( ) , F B is a bijective soft set.
Obviously, a bijective soft set is a special interval-valued bijective fuzzy soft set, where λ =1.
The reduction of the bijective soft
Definition 7(see [16] ) (dependency of two bijective soft set) suppose that ( , ),( , ) F E D C are two bijective soft sets over a common universe U , where E C ∩ = ∅ . ( , ) F E is said to depend on ( , ) D C to a degree (0 1) k k ≤ ≤ , denoted ( , ) ( , ) k F E D C ⇒ % , if
Definition 6 (see [16] )(restricted AND operation on a bijective soft set and a subset of universe) Let 1 2 { , ,..., } n U x x x = be a common universe, X be a subset of U , and ( , ) F E be a bijective soft set over U . The operation of " ( , ) F E restricted AND X " denoted by ( , ) F E X ∧ % is defined by { ( ) : ( ) } e E F e F e X ∈ ⊆ U .
where | | • is the cardinal number of a set.
The concept of dependency is to describe a degree of bijective soft set in classifying the other one.
If 1 k = we say ( , ) F E is full depended on ( , ) D C .
If 0 k = we say ( , ) F E is not depended on ( , ) D C .
Definition 8(see [16] ) (bijective soft decision system) Let (( , ),( , ), ) F E G B U be a soft decision system, where 1 ( , ) ( , ) n i i i F E F E = = ∪ % and ( , ) i i F E is bijective soft set. ( , ) F E are called condition soft set. The soft dependency between 1 1 2 2 ( , ) ( , ) ... ( , ) n n F E F E F E ∧ ∧ ∧ and ( , ) G B is called soft decision system dependency of (( , ),( , ), ) F E G B U , denoted κ and defined by
Definition 9(see [16] ) (bijective soft decision system dependency) Let (( , ),( , ), ) F E G B U be a soft decision system, where 1 ( , ) ( , ) n i i i F E F E = = ∪ % and ( , ) i i F E is bijective soft set. ( , ) F E are called condition soft set. The soft dependency between 1 1 2 2 ( , ) ( , ) ... ( , ) n n F E F E F E ∧ ∧ ∧ and ( , ) G B is called soft decision system dependency of (( , ),( , ), ) F E G B U , denoted κ and defined by
= κ ( γ∧
n
i 1 = i
i
(, F E),( , )) G B
Definition 10(see [16] )Let (( , ),( , ), ) F E G B U be a bijective soft decision system, where 1 ( , ) ( , ) n i i i F E F E = = È % and ( , ) i i F E is bijective soft set, 1 ( , ) ( , ) m i i i F E F E = È Ì % . k is the bijective soft decision system dependency of (( , ),( , ), ) F E G B U . If 1 ( ( , ),( , )) m i i i F E G B g k = Ù = we say 1 ( , ) m i i i F E = È is a reduct of bijective soft decision system (( , ),( , ), ) F E G B U .
Algorithm proposed
On the base of above,let us consider the following algorithm:
Step1. Calculate the membership value of each indicator and construct fuzzy soft set ( ) , A % ℘ .
Step2. Find out the bijective soft set ( , ) F E corresponding to bijective fuzzy soft set ( ) , A % ℘
.
Step3. Construct bijective soft decision system 1 ( ( , ),( , ), ) n i i i F E G B U = ∪ % .
Step4. Calculate each dependency between ( , ) j j F E ∧ and ( , ) G B , where 0 j n < ≤ .
Step5. Calculate bijective soft decision system dependency of 1 ( ( , ),( , ), ) n i i i F E G B U = ∪ % .
Step6. Find the reduction of bijective soft sets with respect to bijective soft decision system 1 ( ( , ),( , ), ) n i i i F E G B U = ∪ % .
Step7. Calculate the significance of each bijective soft set to decision bijective soft set in the reduct bijective soft sets.
EVALUATION MODEL OF SUPPLY CHAIN INFORMATION SHARING BASED ON BIJECTIVE SOFT SET
Building bijective soft set of supply chain information sharing decision system
The literature [17] established eight programs of supply chain information sharing,including suppliers, general contractors, subcontractors. The third type of program is all of the capacity, demand, and inventory information sharing. The model use the Rockwell Software Arenav5.0 (production system planning simulation software) as a simulation tool,and calculate results of four energy parameters of eight kinds of programs after run the simulation. The scores 8 programs are ranked by Data Envelopment Analysis (DEA).
Suppose 5 7 1 2 3 4 6 8 , , , , , , , x x x x x x x x eight programs of supply chain information sharing, We can get the bijective soft set (F,E)corresponding to bijective fuzzy soft set ( , ) A Ã% as following:
TABLE 1 : The tabular representation of the soft set (F,E)corresponding to bijective fuzzy soft set ( , ) A Ã%
Calculate bijective soft decision system dependency and find out reduction of the bijective soft sets In the Step 3 and Step 4 the following results were obtained:
In the step 5, we can obtain the information sharing decision system dependency 1 κ = . In the step6,we can obtain:
They are both equal toκ .
By definition 10,we know that reduction of the supply chain information sharing decision system are:
In the Step 7,we can quantify the significance of each factors which affect the supply chain information sharing as follows. The significance describes the changes in the dependency of bijective soft set decision system when a bijective soft set remove.
Analysis of Results
We can see from the results that significance of "Compliance rate "order cycle "are all 0, thus one of them alone can determine the success or failure of supplychain information sharing individually. They need to be combined with the customer "cost "and"service level ",to determine the level of entire supply chain information sharing,Such as {" compliance rate "," Cost" " Service Level "} or {" costs "," Service Level "," the ordering cycle "}. Thus it can be seen that the "customer service level "and" Cost" is the core of the supply chain information sharing decision system.
CONCLUSION
This paper proposed a supply chain information sharing decision system evaluation model based on bijective soft set. By calculating its reduction to identify which is the factors that has a greater impact on the the shared overall performance of the supply chain, and calculate the significance of each factor.
ACKNOWLEDGEMENTS
This paper belongs to the project of the "National Natural Science Foundation of China", No. 71301180.
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[9] Z.Kong et al.; The normal parameter reduction of soft sets and its algorithm. Comput.Math.Appl., 56(12) 3029-3037 (2008).
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Estimation Uncertainties in the Optical Signal-to-Noise Ratio Network Optimization
Fábio R. Durand, Guilhereme M. Lopes, Amanda Spagolla
Technological Federal University of Paraná, UTFPR, CP 6101, Cornélio Procópio-PR, Brazil. email@example.com, firstname.lastname@example.org, email@example.com
Taufik Abrão
Department of Electrical Engineering, the State University of Londrina, UEL-PR, Londrina, Brazil. firstname.lastname@example.org
Abstract— In this work, we investigate the effects of estimation uncertainties in the optimization of the optical signal-to-noise ratio (OSNR) at the wavelength division multiplexing (WDM) optical networks. The OSNR optimization increases the network throughput and energy efficiency and it enables to minimize the number of retransmissions by higher layers. The OSNR optimization algorithms are related to the optical channel estimation performed by the combinations of optical performance monitors (OPM) measurements, analytical models and numerical simulations. Furthermore, the estimation uncertainties are introduced by several factors such as the availability of monitoring information, monitoring accuracy, imperfection of physical layer and dynamic of channel allocation. Our numerical results have demonstrated the relation between the uncertainties in the channel error estimation, normalized mean squared error (NMSE) and power penalty. The developed methodology can be utilized to determinate the maxim level of acceptable uncertainties in the channel error estimation according the power penalty permitted in the OSNR optimization.
Index Terms— optical networks, optical signal noise ratio, uncertainties, optimization algorithm.
I. INTRODUCTION
The continuous increase of Internet traffic and others applications such as high-definition video communications, e-learning and cloud computing results in the high bandwidth request in the optical core networks. Because of this rapid increase in traffic demands, optical transmission and networking technologies are moving toward more efficient, flexible and scalable solutions [1]. The dynamic adaptation of the network resources such as bandwidth, lightpaths, rate and power is necessary to build flexible networks that simultaneously support legacy and new services [1][2]. These networks must provide maximum reuse of existing optical infrastructure, flexible bandwidth upgradeability and management, apart from capability to provide higher capacity [3]. In addition, it is mandatory to the next generation of optical systems to increase energy efficiency, since the increase of the power received 8 Oct 2015; for review 15 Oct 2015; accepted 28 Jan 2016
consumption in Information and Communication Technology (ICT) has been continuously observed considering the traffic increasing [4].
The evolution of optical network layer equipment has provided flexibility with respect to the adjustment of the network link conditions and traffic demands, however optical networks are mostly static yet owing to potential impairments that are hard to forecast or model [2][5]. These impairments are composed by the linear and nonlinear physical effects [6]. The linear impairments include amplified spontaneous emission (ASE), polarization mode dispersion (PMD) and group velocity dispersion (GVD) or chromatic dispersion (CD) effects [6]. Besides, the nonlinear impairments include self-phase modulation (SPM), cross-phase modulation (XPM) and four-wave mixing (FWM) [6]. In this scenario, the lightpaths are exceptionally modified, as soon as assigned due to these impairments [2][5]. Furthermore, algorithms of resource allocation such as routing and wavelength allocation (RWA) and power allocation (PA) are done mainly at the planning step, with significant over-provisioning. In the RWA, given a set of connection requests that represents a traffic matrix, the problem consists of selecting a lightpath, that is, an appropriate path and a wavelength on the links of that path, for each requested connection [3][5]. On the other hand, the PA consists in the determination of the appropriated value of the transmitted power for each lightpath according to the adequate optical signal-to-noise ratio (OSNR) level [2]. However, any changes are executed manually using offline algorithms, which is expensive and time demanding [3]. In this work, the PA problem applied to the OSNR optimization is investigated considering the computational complexity to the integration with RWA optimization problem.
The establishment of lightpaths with a higher OSNR enables us to minimize the number of retransmissions by higher layers, thus increasing network throughput and energy efficiency [7][8]. For a dynamic traffic requests the objective is to minimize the blocking probability of the lightpaths established by routing, assigning channels while maintain an acceptable level of optical power and suitable OSNR all over the network [7][9]. Furthermore, different lightpaths can travel via different routes and presents different requirements of quality of service (QoS). The QoS is related to the OSNR, dispersion, and nonlinear effects those are represented by the quality-of-transmission (QoT) [5][7]. Therefore, it is desirable to adjust network parameters such as optical transmitted power, amplifier gain, OADMs/OXCs power losses in an optimal way, based on online decentralized iterative algorithms, to accomplish such adjustment [7]-[9][10]. The OSNR optimization could be integrated with RWA, considering the OSNR optimization procedure implemented after the routing step and the lightpath assignment have been established [10]. This approach is conveyed to the generalized multiprotocol label switching (GMPLS) signaling protocol in order to allocate the available power resources if and only if the connection meets OSNR constraints. Otherwise, the request is blocked.
Brazilian Microwave and Optoelectronics Society-SBMO received 8 Oct 2015; for review 15 Oct 2015; accepted 28 Jan 2016 Brazilian Society of Electromagnetism-SBMag © 2016 SBMO/SBMag ISSN 2179-1074 The OSNR optimization algorithms are related to the optical channel estimation in the lighpath route or in the receiver node [7]-[10]. The estimation process is based on combinations and
interpolations of optical performance monitors (OPM) measurements, as well as in analytical models and numerical simulations [11]-[13]. The main figures of merit of QoT are the OSNR and the bit error rate (BER) [5]. The estimation of QoT at each node is affected directly by the transmitted pulse shape, filter types and bandwidth. These elements will compromise some parameters of the received signal samples utilized in the estimation processes. In addition, the estimation processes is affected by the channel impairments, mainly GVD and PMD, and on the noise power spectral density (PSD) [14]. The dispersive effects, such as GVD and PMD are signal degradation mechanism that significantly affects the overall performance of optical communication systems, as well as the degradation of the measurements performed by OPM [12] [14]. The effects of PMD is one major physical impairment that must be considered in high capacity optical networks which can hardly be controlled due its dynamic and stochastic nature [6]. In addition, the GVD causes the temporal spreading of optical pulses that limits the product line rate and link length [6]. On the other hand, the OSNR measurements techniques could be affected by these dispersion effects in the transmission link [11]. Therefore, the measured information about the channel gain utilized by the OSNR optimization algorithm could be deteriorated by the uncertainties caused by the effects of CD and PMD. The power uncertainties of 1dB could results in 20% of further regenerators in the optical network [15].
In this context, the contribution of this work lies in the modeling and evaluation of the effects of estimation uncertainties in the OSNR optimization applied to the context of optical networks. The estimation uncertainties depends on the several factors such as the availability of monitoring information, monitoring accuracy, imperfection of physical layer and dynamic of channel allocation [14][15]. Hence, specifically, our contribution in the OSNR optimization modeling is based on the analytical-iterative algorithm for adjusting the transmitted power levels according the OSNR target [7]. The proposed algorithm is distributed and autonomous, i.e., it deploys decentralized feedback while it needs only the estimation of local QoT parameters for the algorithm updating [7][9]. In this sense, in the previous works the perfect channel estimation hypothesis were considered while herein, differently, we adopt the channel estimation based on availability of monitoring information, monitoring accuracy and imperfection of physical layer.
The remainder of this paper is described as follows. In Section II, the network architecture, the transmission system and the OSNR optimization algorithm are described. In Section III, the system model with the aim to obtain the estimation uncertainties is formulated. In Section IV, the main results are analyzed, and finally, the relevant conclusions are presented in Section V.
II. WAVELENGTHDIVISIONMULTIPLEXINGOPTICALNETWORK
This section illustrates the WDM network architecture, as well as the OSNR model for considering intensity modulated wavelengths channels.
A. Network Architecture
The WDM network considered in this work is formed by nodes that have optical switching nodes
Brazilian Microwave and Optoelectronics Society-SBMO
received 8 Oct 2015; for review 15 Oct 2015; accepted 28 Jan 2016
ISSN 2179-1074
interconnected by WDM links with lightpaths defined by virtual paths based in wavelengths as depicted in Fig. 1. The WDM optical switching nodes consist of optical line terminals (OLTs), optical add/drop multiplexers (OADMs) and optical cross-connects (OXCs). Optical amplifiers (OAs) are utilized in the fiber link to compensate the optical fiber losses. The WDM networks present the advantage of the transparency to protocols and to the bit-rates. In addition, the channels can be added or dropped in optical domain. However, there is an interaction between network and physical layers that requires further considerations on the impairments and degradations in the network management and control [3].
B. Optical Signal Noise Ratio Model
Each link in an optical network is represented by the ensemble of N spans that include one optical amplifier per span. Hence, in each link, a group of M = {1, …, m} intensity modulated wavelengths channels are multiplexed together and transmitted across the link. The OSNR for the ith channel is given by [9]:
where pi is the transmitted power of the ith channel, pj is the transmitted power of the interfering channels in the same route, Aj is the channel transmission matrix and ni is the spontaneous amplified emission (ASE) noise power accumulation in chains of optical amplifiers for the ith channel. The noise modeling for ni is obtained according to the recursively model detailed in the Appendix [10]; the noise contribution of each amplifier (NASE) is given by
where nsp is the spontaneous emission factor, typically around 2 − 5, h is Planck's constant, f is the carrier frequency, Gamp is the amplifier gain and B is the optical bandwidth. 𝚪 is the (m m) system matrix with non-zero diagonal elements, while the off diagonal elements are dependent on specific optical network parameters such as link and span gains [7]. The elements of system matrix can be calculated by [9],
where 𝐺 𝑖 and 𝐺 𝑗 are ith channel gain and the jth interfering channel gain, respectively. In these channel gain elements were considered combining the gain of each amplifier in the link and optical fiber losses. In this sense, the channel gain is represented by 𝐺 𝑖 = 𝐺 𝑗 = ∏ 𝐺𝑎𝑚𝑝 𝑘 𝐾 𝑘=1 . ∏ 𝐿 𝑓𝑖𝑏𝑒𝑟 𝑙 𝐿 𝑙=1 , where 𝐺𝑎𝑚𝑝 𝑘 is the kth amplifier gain operating in automatic power control (APC) mode, considering wavelength dependent and 𝐿 𝑓𝑖𝑏𝑒𝑟 𝑙 is the lth optical fiber loss typically channel independent. P0 is the total power allowed in each optical fiber established by the APC; this control mode operates scaling the gain such that the same total power is established at the output of each amplifier [9]. Therefore, the power scaling introduces coupling between channel powers, and channel OSNR is no longer independent of other channels' powers as illustrated in previous OSNR formalism, eq. (1).
C. Optical Signal Noise Ratio Optimization
The distributed power control analytical-iterative algorithm (DPCA) adopted for the OSNR optimization presents a geometric rate of convergence regarding the optimal solution of transmitted power according the target OSNR [7]. Furthermore, the DPCA utilizes only the estimation of local QoT parameters for the algorithm update, for each (ith) channel as illustrated in Fig. 2.
In dynamical WDM optical networks, there are modifications of system parameters at network reconfiguration level and updates that need to be performed after network topology changing has been propagated [6]. In this context, in the DPCA scheme it is assumed that system parameters, including channel gains and interference between channels are stationary between any updates. Such characteristics of on the system parameters stationary are standard assumption in adaptive control [7].
The optimal transmitted power adjustment aiming to determine the instantaneous OSNR is based on the follow iterative DPCA power-updating equation [7],
where 0 < 𝛼≤1 is the adjustment parameter, 𝛾 𝑖 ∗ is the target OSNR of the ith channel, 𝛾̂𝑖 is the estimated OSNR and n is the number of iterations. In this work, the estimated OSNR is obtained by eq. (1), but considering the estimation uncertainties described in the Section III. Moreover, Fig. 3 illustrates the OSNR optimization procedure based on the power control considering the OSNR estimation integrated to the RWA processing. For more mathematical formalism details and discussion related to the utilized DPCA, please see Section IV of [7].
Fig. 3. OSNR optimization based on the power control considering the OSNR estimation integrated to the RWA processing.
The quality of solution achieved by any iterative resource allocation procedure could be measured by how close to the optimum solution the found solution is, and can be quantified by the normalized mean squared error (NMSE) when equilibrium is reached after n iterations. For power allocation problem, the NMSE definition is given by [8],
where ‖∙‖ 𝟐 denotes the squared Euclidean distance to the origin, and 𝔼[∙] the expectation operator. The vector p* is the optimized (minimum) power vector solution obtained through matrix inversion 𝐩 ∗ = [𝐈−𝚪 ∗ 𝐇] −1 , where I is an identity matrix, H is the normalized interference matrix, whose elements can be evaluated by 𝐻𝑖,𝑗 = Γ𝑖,𝑗 Γ𝑖,𝑖 / for i j and zero for other case [8]. The matrix inversion is equivalent to a centralized power control strategy, i.e. the existence of a central node able to proceed with power control calculation. The central node storages information about all physical network architecture like link length between nodes and regular update about link establishment and dynamic of traffic [8]. These observations justify the need for on-line OSNR optimization algorithms, which have provable convergence properties for general network configurations [7], [9].
Another figure of merit suitable to evaluate the effects of estimation uncertainties is the power penalty associated to the ith lightpath (PPi). In this work the parameter PPi is defined as the ratio between the transmitted power obtained by the optimization algorithm (pi) and the optimal transmitted power obtained by the centralized matrix inversion (𝑝 𝑖 ∗) calculation. The power penalty in dB for the ith node after n iterations is given by
D. Lightpath Setup Time
In this subsection, the time of convergence for the jointly power control and OSNR estimation procedures is evaluated considering the lightpath setup time. For this goal, the power control algorithm is considered integrated to the distributed routing strategy. Thus, to assess the lightpath setup time it is applied the methodology similar to that one presented in [16][17], but adding the computation time of power control algorithm and OSNR estimation.
where tRWA is the computation time of the RWA algorithm, tOCC is the processing time in each controller in the control plane, tlink is the propagation delay in each network link, tconfig is the software configuration time of an optical node, tswitch is the time to perform the optical switching, d represents the number of nodes traversed by the lightpath and tOSNR is the joint computational time to execute the power control algorithm and OSNR estimation procedures.
III. ESTIMATION UNCERTAINTIES MODEL
In the estimation uncertainties model we have considered the uncertainty in the QoT estimation parameters in each iteration/updating of the DPCA. The uncertainties occur in the QoT estimation process, which is related to optical channel error estimation in the receiver node or in the lightpath route. The reasons for the error in the estimation process were described in the introductory section.
In our model, the values obtained from the QoT estimation process present a random error characteristic represented herein by the random variable called the channel error estimation (ε). Furthermore, this random variable depends on what monitoring information is available in the network to perform the estimation, for instance, OSNR monitor, PMD monitor, residual chromatic dispersion monitor, and power channel monitor [15]. In this context, ε quantity is affected by the availability of monitoring information, monitoring accuracy and imperfection of physical layers for each lightpath. Hence, the channel error estimation is modeled as:
where 𝜗𝑢 is the parameter that determine the accuracy of the information of the uth monitor for U monitors available in each link. The entire lightpath is composed by a set of L links. In this work, this parameter is assumed to be the precisions of the OPMs, such as the accuracy of the equipment of power meter ∆𝑃 , the OSNR monitoring ∆OSNR , the PMD monitoring ∆𝑃𝑀𝐷 , and the chromatic dispersion monitoring ∆𝐶𝐷 . The parameter 𝜃𝑢 defines the binary variable optical monitor availability, where we can assume 𝜃𝑢 =1 for the presence and 𝜃𝑢 = 0 for the absence of the optical monitor.
The error in the channel estimation is expeditiously incorporated adding random error to the each channel (Gi), and, as a consequence, in the calculated OSNR, considering regular iteration basis. The ratio of the estimated channel vector (𝐆 ̂ ) and the true channel vector (𝐆) with dimension (1 m) values is given by (1 + ε); hence, the estimated channel vector 𝐆 ̂ on each iteration is given by:
For an illustrative case, the error in the channel estimation could be considered as a random variable with a uniform distribution within the range 𝜀~𝒰[0;1] [14]. Herein, the assumption of ε = 0 corresponding to the case where we have full confidence in channel estimation and assume that it returns the true channel matrix. On the other hand, ε = 1 corresponding to the case with maximum inaccuracy.
received 8 Oct 2015; for review 15 Oct 2015; accepted 28 Jan 2016
IV. NUMERICAL RESULTS
In this section we discuss the validity of the proposed optical network model by exploring a typical optical network example. Indeed, for numerical example evaluation, we have chosen the Southern Finland network topology illustrated in Fig. 3. This topology consists of 12 nodes and 19 bidirectional links. Furthermore, Table I summarizes the optical fiber link parameters deployed with their respective entry values. Notice that for the numerical results discussed in this section, typical values of parameters of devices, components and equipment have been assumed. For simplicity we adopt m = 8 channels uniformly distributed from 1554 nm to 1561 nm with channel separation of 1 nm. Each optical amplifier has a parabolic spectral gain profile of 15 −4 × 10 16 (𝜆−1555 × 10 −9 ) 2 and a total output power of 8 dBm. It is worth noting that aiming to obtain diversity in distance and number of hops, the routes were not necessarily chosen by shortest path. The routes considered for OSNR optimization is illustrated in Table II and will be utilized in the remainder of this work.
Ima
Helsinki
Helsinki
Fig. 3. Southern Finland network topology with 12 nodes and 19 bi-directional links
Table I. Deployed optical fiber link parameters values
Table II. Selected routes of the Southern Finland network topology
It is assumed the continuous monitoring of QoT metrics by the establishment of a supervisor lightpaths entity, while the physical layer impairments performance of each supervised lightpath is tracked by a monitor placed at the receiving lightpath end. This kind of monitoring presents lower cost compared with others approaches to perform the monitoring processes [5]. Table III shows the required accuracy of the monitoring parameters [18]. In all numerical results considered in this section, the adjustment parameter of the DPCA = 0.4 has value been adopted; thus, a trade-off between the quality of the solutions and velocity of convergence in the DPCA of (4) can be reached [7]. The increase of arises from the increment of the DPCA convergence velocity, although the quality of the answer found is affected.
Table III. Required accuracy of the monitoring parameters
Fig. 4 depicts the transmitted power evolution for de number of iterations considering perfect channel estimation hypothesis, i.e. without channel estimation uncertainties. The optimized transmitted power vector in dBm for routes R1, R2, …, R6 of Table II, obtained via matrix inversion, is represented by horizontal lines (dot lines).
It can be seen from Fig. 4 that the transmitted powers obtained by DPCA reach the convergence to the optimal values as obtained with matrix inversion when the number of iterations increases for each transmitted node, i.e., the node from which the lightpaths were originated. The transmitted power obtained by DPCA represents the methodology previously proposed in [7][9] and with the transmitted power obtained via matrix inversion will be utilized to evaluate the next results. The target OSNR for all the nodes is equal and the variation of the transmitted power is related to three factors, e.g., distance, accumulated ASE and the interference between the wavelengths in the same link. If no power control has been utilized the transmitted power of each node will be 1 mW and the total transmitted power will be 6 mW. On the other hand, the total optimized transmitted power, i.e. the sum of transmitted power illustrated in Fig.4 is substantially reduced to approximately 4.03 mW (6.05 dBm). Furthermore, the power penalty is 𝑃𝑃 ≈ 1.76 dB when any transmitted power is utilized.
Fig. 5 shows the NMSE evolution as a function of the channel estimation error, i.e. when there are uncertainties in the OSNR estimation. The vertical dash line represents the channel error estimation when there are OPMs installed in all the established lightpahts. The available OPMs are able to perform OSNR, Power, CD and PMD measurements and the accuracy of the monitoring parameters considered are the same required accuracy described in Table III.
Channel error estimation
Fig. 5. NMSE evolution as a function of the channel error estimation for routes illustrated in Table II.
From Fig. 5, as expected, one can observe the increasing of the NMSE when the channel error estimation increases. The increasing in the channel error estimation is related with the availability of OPMs in each link and their accuracy. Moreover, the value of zero for the channel error estimation is obtained when there are OPMs available in all links of the lightpath and there are not uncertainties in the OPMs measurements. On the other hand, the value of one for the channel error estimation is obtained when there aren't OPMs available in any link of the lightpath and/or the measurements of the OPMs do not present high level of confidence [18]. The channel error estimation of 𝜀= 0.2 represents the maximum uncertainty when there are OPMs of OSNR, power, CD and PMD measurements in all links with acceptable accuracy of the measurements. For this case, the NMSE is approximately 10 -2 , which is adequate to the dynamical adjustment of the transmitted power [8]. However, if there are available only the OPM of power meter in all links of the lightpath, the channel error estimation will increase to 0.4 and the NMSE is approximately 6 10 -2 . For this case, it is necessary the evaluation of the transmitted power level aiming to reach the target OSNR with this level of uncertainty.
The power penalty evolution for the number of iterations is illustrated in Fig. 6, considering the routes of Table II and two level of channel error estimation of (a) 𝜀 = 0.2 and (b) 𝜀 = 0.4. It can be seen the magnitude of the power penalty in the transmitted power for each route to reach the target OSNR. The variation of the power penalty for different routes is affected by the same elements that affect the variation of transmitted power, i.e. distance, accumulated ASE and the interference between the wavelengths in the same links. Moreover, the power penalty is defined by eq. (6), which defines the relation between the instantaneous DPCA iterative-based transmitted power 𝑝𝑖[𝑛] given by eq. (4) and the optimal transmitted power 𝑝 𝑖 ∗ obtained via the centralized matrix inversion. Therefore, the instantaneous transmitted power presents some variation during the evolution of the power control algorithm before reach the steady state value.
When the power penalty curves from Fig. 6 (a) and (b) are compared one can observe that increasing values in the mean value of the power penalty when the channel error estimation grows from 0.2 to 0.4. On the other hand, one can observe that for some routes, for example R4, there is a decrease of the power penalty, but the mean value of the power penalty increase. This effect occurs because when the channel error estimation is added to the algorithm optimization process, the better solution for each transmitted power is reached when the target OSNR is established.
The effect of different channel error estimation over the power penalty of transmitted power for the routes of Table II is illustrated in Fig. 7; indeed, it is shown the mean power penalty for the channel error estimation considering the routes R1 to R6 of Table II. It can be seen clearly the intensification of the power penalty with the deterioration of the channel estimation. Accordingly, the optimization algorithm works to achieve the target OSNR at expense of the transmitted power increase in the scenario with channel error estimation. The impact of the channel error estimation is related with the necessity of the increase in the number of regenerators in the optical network. The channel error estimation of 𝜀=0.2 and 𝜀=0.4 results in the power penalty of 𝑃𝑃≈ 0.68 and 1.14 dB, respectively. For comparison, the power uncertainties of 1 dB could results in an increasing of 20% in further regenerators along the optical network routes [15]. Besides, Fig. 7 reveals that for the power penalty of 1.76 dB, which is obtained when any OSNR optimization algorithm is utilized, the channel error estimation is about 0.52. In other words, for our typical numerical example with the level of uncertainties in the channel error estimation lower than 0.52 the utilization of OSNR optimization algorithm can be advantageously implemented and justified.
Channel error estimation
Fig. 7. Mean power penalty evolution as a function of the channel error estimation for routes illustrated in Table II.
In order to evaluate the impact of the convergence of the distributed power control, in the next it is discussed the lightpath setup time for the longest lightpath. There is an increase in the lightpath setup time when others aspects such as power control algorithm and OSNR estimation are adopted. In this context, Fig. 8 shows the lightpath setup time versus the computational time of the OSNR optimization considering the cases without power control and with power control. The time of the OSNR optimization is composed by the power control algorithm and OSNR estimation. The adopted mean time parameters for the power control algorithm integrated with a distributed routing strategy is depicted in Table IV. These parameters were previously defined in [16][17].
Table IV. Mean time parameters
The increasing of the computational time of the OSNR optimization causes the increases of the lightpath setup time for the case with power control. In order to evaluate the accepted level of the increase in the lightpath setup time, we compare the distributed routing strategy with QoT assessment where the lightpath setup time could presents an increase of almost 97 % for the distributed RWA (without power control algorithm) for 1000 ms of QoT computational time [17], i.e. the doubling of lightpath setup time. This order of time variation is considered acceptable. From Fig. 8, the variation of the lightpath setup time for 1000 ms of OSNR optimization computational time is approximately 96% when the power control algorithm is considered. Furthermore, the power control algorithm will not affect the overall network performance. The power control algorithm depends heavily on the hardware and software deployed, furthermore in the optical nodes the power control algorithm could be performed in hardware-accelerated computation or via software. In this context, considering the simulations performed with MATLAB (version 7.1) in a personal computer with 4 GB of RAM and processor Intel Core i5@ 1.6 GHz, the computational time needed for the convergence of the power control algorithm is approximately 275 ms.
V. CONCLUSIONS
In this work, we have investigated the effects of estimation uncertainties in the optimization of the optical signal-to-noise ratio (OSNR) at the wavelength division multiplexing (WDM) optical networks. The OSNR optimization algorithms are related to the optical channel estimation performed by the combinations of optical performance monitors (OPM) measurements, analytical models and simulations. Furthermore, the estimation uncertainties are introduced by several factors such as the
availability of monitoring information, monitoring accuracy, imperfection of physical layer and dynamic of channel allocation. As a proof of concept, a numerical example was evaluated and the normalized mean squared error (NMSE) and power penalty (PP) for different levels of uncertainties in the channel error estimation were analyzed; hence, an introduction of a channel error estimation of 𝜀 = 0.2 and 𝜀 = 0.4 has resulted in a power penalty of 𝑃𝑃≈ 0.68 and 1.14 dB, respectively. For comparison, the power penalty without any OSNR optimization procedure has increased to 𝑃𝑃≈ 1.76 dB, resulting in an augmented channel error estimation of 0.52. As a consequence, this value represents the maximum level of uncertainty allowed for the utilization of any OSNR optimization algorithm. Finally, analyses of the power control algorithm integrated with routing and wavelength allocation (RWA) procedures will not affect the overall network performance considering the lightpath setup time.
ACKNOWLEDGMENT
This work was supported in part by the Araucaria Foundation, PR, Brazil under grant 668/2014, National Council for Scientific and Technological Development (CNPq) of Brazil under Grant 202340/ 2011-2, 446995/2014-2, and State University of Londrina-Paraná State Government (UEL).
APPENDIX - OPTICAL AMPLIFIER NOISE MODELLING
The ASE at cascaded amplified spans is given by model developed by Fig. 9 from [10].
This model considers that the receiver Rx receives the signal from a link with cascading amplifiers, numbered as 1, 2, . . starting from the receiver. The pre-amplifier can be considered as the amplifier number 0 of the cascade. Let 𝐺𝑎𝑚𝑝 𝑘 be the gain of amplifier k and Nsp-k its spontaneous emission factor. The span between the k-th and the (k − 1)th amplifier has attenuation Lk. The equivalent spontaneous emission factor is given by [10].
Calculating recursively 𝑛𝑖 one can find the noise at cascading amplifiers.
In this work, the optical amplifiers operate in APC model, where a constant total power, or a constant total launching power after each span, compensates variations in fiber-span loss across a link. The amplifier gain with wavelength dependency is given by:
where is the wavelength in nm.
REFERENCES
[1] D. Kilper, K. Bergman, V. W. S. Chen, I. Monga, G. Porter, and K. Rauschenbach, "Optical Networks Come of Age," OSA Optics and Photonics News, pp. 50-57, Sep. 2014.
[2] B. Birand, H. Wang, K. Bergman, D. Kilper, T. Nandagopal, G. Zussman, "Real-time power control for dynamic optical networks - algorithms and experimentation," IEEE Journal on Selected Areas in Communications, vol. 32, no. 8, pp. 1615 – 1628, Aug. 2014.
[3] R. Doverspike and J. Yates, "Optical network management and control," Proc.IEEE, vol. 100, no. 5, pp. 1092–1104,
May 2012.
[4] Rodney S. Tucker, "Green Optical Communications - Part II: Energy Limitations in Networks", IEEE J Selected Topics in Quantum Electronics, vol. 17, no. 2, pp. 261 – 274, March-April 2011.
[5] J. Sole-Pareta, S. Subramaniam, D. Careglio, and S. Spadaro, "Cross-layer approaches for planning and operating impairment-aware optical networks," Proc. IEEE, vol. 100, no. 5, pp. 1118–1129, May 2012.
[6] G. P. Agrawal, Fiber-optic communication systems, John Wiley & Sons, 2002.
[7] L. Pavel, "OSNR optimization in optical networks: Modeling and distributed algorithms via a central cost approach," IEEE J. Sel. Areas Commun., vol. 24, no. 4, pp. 54–65, Apr. 2006.
[8] F. R. Durand and T. Abrão, "Distributed SNIR Optimization Based on the Verhulst Model in Optical Code Path Routed Networks With Physical Constraints", J. Opt. Commun. Netw., vol. 3, no. 9, pp. 683–691, Sep. 2011. doi:10.1364/JOCN.3.000683
[9] Y. Pan, and L. Pavel, "OSNR Game Optimization with Link Capacity Constraints in General Topology WDM Networks, " Optical Switching and Networking, vol. 11, Part A, pp. 1-15, Jan. 2014
[10] G. Pavani, L. Zuliani, H. Waldman and M. Magalhães, "Distributed approaches for impairment-aware routing and wavelength assignment algorithms in GMPLS networks", Computer Networks, vol. 52, no. 10, pp. 1905–1915, July 2008.
[11] Z. Pan, C. Yu, and A. Willner, "Optical performance monitoring for the next generation optical communication networks," Opt. Fiber Technol., vol. 16, no. 1, pp. 20–45, 2010.
[12] D. Kilper, R. Bach, D. Blumenthal, D. Einstein, T. Landolsi, L. Ostar, M. Preiss, and A. Willner, "Optical performance monitoring," J. Lightw. Technol., vol. 22, no. 1, pp. 294–304, Jan. 2004.
[13] S. Pachnicke, T. Gravemann, M. Windmann, and E. Voges, "Physically constrained routing in 10-Gb/s DWDM networks including fiber nonlinearities and polarization effects," J. Lightwave Technol., vol. 24, n. 9, pp. 3418–3426, Sep. 2006.
[14] S. Azodolmolky et al., "A novel impairment aware RWA algorithm with consideration of QoT estimation inaccuracy," J. Opt. Commun. Netw., vol. 3, pp. 290–299, Apr. 2011.
[15] T. Zami, A. Morea, F. Leplingard, and N. Brogard, "The relevant impact of the physical parameters uncertainties when dimensioning an optical core transparent network," in Proc. European Conf. Optical Communications (ECOC), 2008.
[16] L. Velasco, F. Agraz, R. Martínez, R. Casellas, S. Spadaro, R. Muñoz, and G. Junyent, "GMPLS-based multi-domain restoration: Analysis, strategies, policies and experimental assessment," J. Opt. Commun. Netw., vol. 2, pp. 427–441, 2010.
[17] L. Velasco, A. Jirattigalachote, M. Ruiz, P. Monti, L. Wosinska, and G. Junyent, "Statistical Approach for Fast Impairment-Aware Provisioning in Dynamic All-Optical Networks", J. Opt. Commun. Netw.,, vol. 4, no. 2, pp. 130141, 2012.
[18] D. Dahan et al.: Optical performance monitoring for translucent/transparent optical networks, IET Optoelectr., vol. 5, n. 1, pp. 1-18, Feb. 2011.
received 8 Oct 2015; for review 15 Oct 2015; accepted 28 Jan 2016
|
Sale, use and distribution of this product in Nassau and Suffolk Counties in the State of New York is prohibited.
Herbicide for control of certain grasses and broadleaf weeds in potatoes and soybeans
ACTIVE INGREDIENTS:
*Contains petroleum distillates.
PCT | Sunrise® Croprotek® MetriChlor Pre is formulated as an emulsifiable concentrate (EC) containing 5.25 lbs. of S-metolachlor and 1.25 lbs. of metribuzin per gallon.
KEEP OUT OF REACH OF CHILDREN WARNING/AVISO
Si usted no entiende la etiqueta, busque a alguien para que se la explique a usted en detalle. (If you do not understand the label, find someone to explain it to you in detail).
FIRST AID
NOTE TO PHYSICIAN:
| If in eyes: | • Hold eye open and rinse slowly and gently with water for 15-20 minutes. • Remove contact lenses, if present, after the first 5 minutes then continue rinsing eye. • Call a poison control center or doctor for treatment advice. |
|---|---|
| If swallowed: | • Immediately call a poison control center or doctor. • Do not induce vomiting unless told to by a poison control center or doctor. • Do not give any liquid to the person. • Do not give anything by mouth to an unconscious person. |
Contains petroleum distillates. Vomiting may cause aspiration pneumonia.
HOTLINE NUMBER: Have the product container or label with you when calling a poison control center or doctor, or going for treatment. You may also contact 1-877-424-7452 for emergency medical treatment information.
SEE BOOKLET FOR ADDITIONAL PRECAUTIONARY STATEMENTS, COMPLETE DIRECTIONS FOR USE, WARRANTY DISCLAIMER AND LIMITATION OF LIABILITY.
EPA Reg. No.:
2/0701/1
NET CONTENTS
1381-272-65468
Distributed by: Sunrise Cooperative, Inc. 2025 W. State Street Fremont, OH 43420
202800 PCT SC MetriChlor 0net NoEst BL.indd 1
PRECAUTIONARY STATEMENTS
Hazards to Humans and Domestic Animals
WARNING/AVISO. Causes substantial, but temporary eye injury. Harmful if swallowed. Do not get in eyes or on clothing. Wash thoroughly with soap and water after handling and before eating, drinking, chewing gum, using tobacco or using the toilet. Remove and wash contaminated clothing before reuse. Contains petroleum distillates.
Environmental Hazards
Do not apply directly to water, to areas where surface water is present, or to intertidal areas below the mean high water mark. Do not contaminate water when disposing of equipment wash water or rinsate.
Groundwater Advisory
Metribuzin is a chemical which can travel (seep or leach) through soil and can contaminate groundwater which may be used as drinking water. Metribuzin has been found in groundwater as a result of agricultural use. Users are advised not to apply metribuzin where the water table (groundwater) is close to the surface and where the soils are very permeable, i.e., well-drained soils such as loamy sands. Your local agricultural agencies can provide further information on the type of soil in your area and the location of groundwater.
S-metolachlor is known to leach through soil into groundwater under certain conditions as a result of label use. This chemical may leach into groundwater if used in areas where soils are permeable, particularly where the water table is shallow.
Surface Water Advisory
This product may impact surface water quality due to runoff of rain water. This is especially true for poorly draining soils and soils with shallow ground water. This product is classified as having high potential for reaching surface water via runoff for several weeks or months after application. A level, well-maintained vegetative buffer strip between areas to which this product is applied and surface water features such as ponds, streams, and springs will reduce the potential loading of S-metolachlor from runoff water and sediment. Runoff of this product will be reduced by avoiding applications when rainfall or irrigation is expected to occur within 48 hours.
Non-target Organism Advisory
This product is toxic to plants and may adversely impact the forage and habitat of non-target organisms, including pollinators, in areas adjacent to the treated site. Protect the forage and habitat of non-target organisms by following label directions intended to minimize spray drift.
Mixing/Loading Instructions
Check-valves or antisiphoning devices must be used on all mixing and/or irrigation equipment.
Care must be taken when using this product to prevent back-siphoning into wells, spills, or improper disposal of excess pesticide, spray mixtures, or rinsate.
This product must not be mixed or loaded within 50 ft. of perennial or intermittent streams and rivers, natural or impounded lakes and reservoirs. This product may not be mixed/loaded or used within 50 ft. of all wells, including abandoned wells, drainage wells, and sink holes. Operations that involve mixing, loading, rinsing, or washing of this product into or from pesticide handling or application equipment or containers within 50 ft. of any well are prohibited, unless conducted on an impervious pad constructed to withstand the weight of the heaviest load that may be positioned on or moved across the pad. Such a pad shall be designed and maintained to contain any product spills or equipment leaks, container or equipment rinse or wash water, and rain water that may fall on the pad. Surface water shall not be allowed to either flow over or from the pad, which means the pad must be self-contained. The pad shall be sloped to facilitate material removal. An unroofed pad shall be of sufficient capacity to contain at a minimum 110% of the capacity of the largest pesticide container or application equipment on the pad. A pad that is covered by a roof of sufficient size to completely exclude precipitation from contact with the pad shall have a minimum containment capacity of 100% of the capacity of the largest pesticide container or application equipment on the pad. Containment capacities as described above shall be maintained at all times. The above-specified minimum containment capacities do not apply to vehicles when delivering pesticide shipments to the mixing/loading site.
Physical or Chemical Hazards
Do not mix or allow contact with oxidizing agents. Hazardous chemical reaction may occur.
STORAGE AND DISPOSAL
Do not contaminate water, food or feed by storage or disposal.
PESTICIDE STORAGE:
Store in original container in a well-ventilated area separately from fertilizer, feed and foodstuffs. Avoid cross-contamination with other pesticides. Contain spillage or leakage and absorbed with clay granules, sawdust, or equivalent material for disposal.
PESTICIDE DISPOSAL:
Wastes resulting from the use of this product must be disposed of on site or at an approved waste disposal facility.
CONTAINER HANDLING: Use the handling instructions below appropriate for container size and type.
Nonrefillable container equal to or less than 5 gallons: Nonrefillable container. Do not reuse or refill this container. Clean container promptly after emptying. Triple rinse as follows: Empty the remaining contents into application equipment or a mix tank and drain for 10 seconds after the flow begins to drip. Fill the container ¼ full with water and recap. Shake for 10 seconds. Pour rinsate into application equipment or a mix tank or store rinsate for later use or disposal. Drain for 10 seconds after the flow begins to drip. Repeat this procedure two more times. Then offer for recycling or reconditioning, or puncture and dispose of in a sanitary landfill, or by incineration, or by other procedures approved by state and local authorities.
Nonrefillable container greater than 5 gallons: Nonrefillable container. Do not reuse or refill this container. Clean container promptly after emptying. Triple rinse as follows: Empty the remaining contents into application equipment or a mix tank. Fill the container ¼ full with water. Replace and tighten closures. Tip container on its side and roll it back and forth, ensuring at least one complete revolution, for 30 seconds. Stand the container on its end and tip it back and forth several times. Turn the container over onto its other end and tip it back and forth several times. Empty the rinsate into application equipment or a mix tank or store rinsate for later use of disposal. Repeat this procedure two more times. Then offer for recycling or reconditioning, or puncture and dispose of in a sanitary landfill, or by incineration, or by other procedures approved by state and local authorities.
Refillable container: Refill this container with pesticide only. Do not reuse this container for any other purpose. Cleaning the container before final disposal is the responsibility of the person disposing of the container. Cleaning before refilling is the responsibility of the refiller. To clean the container before final disposal, empty the remaining contents from this container into application equipment or mix tank. Fill the container about 10 percent full with water. Agitate vigorously or recirculate water with the pump for 2 minutes. Pour or pump rinsate into application equipment or rinsate collection system. Repeat this rinsing procedure two more times. Then offer for recycling or reconditioning, or puncture and dispose of in a sanitary landfill, or by incineration, or by other procedures approved by state and local authorities.
FOR CHEMICAL EMERGENCY: Spill, leak, fire, exposure or accident, call CHEMTREC 1-800-424-9300.
PRECAUTIONARY STATEMENTS
Hazards to Humans and Domestic Animals
WARNING/AVISO. Causes substantial, but temporary eye injury. Harmful if swallowed. Do not get in eyes or on clothing. Wash thoroughly with soap and water after handling and before eating, drinking, chewing gum, using tobacco or using the toilet. Remove and wash contaminated clothing before reuse.
Contains petroleum distillates.
Personal Protective Equipment (PPE)
Applicators and other handlers must wear:
* Chemical-resistant gloves made of barrier laminate, butyl rubber (≥ 14 mils), nitrile rubber (≥ 14 mils), or Viton (≥ 14 mils)
* Protective eyewear
* Long-sleeved shirt and long pants
* Shoes plus socks
Discard clothing and other absorbent materials that have been drenched or heavily contaminated with this product's concentrate. Do not reuse them.
Follow manufacturer's instructions for cleaning/maintaining PPE. If no such instructions for washables exist, use detergent and hot water. Keep and wash PPE separately from other laundry.
When handlers use closed systems, enclosed cabs, or aircraft in a manner that meets the requirements listed in the Worker Protection Standard (WPS) for agricultural pesticides [40 CFR 170.607(d-f)], the handler PPE requirements may be reduced or modified as specified in the WPS.
User Safety Recommendations
Users should:
* Remove PPE immediately after handling this product. Wash the outside of gloves before removing. As soon as possible, wash thoroughly and change into clean clothing.
* Remove clothing/PPE immediately if pesticide gets inside. Then wash thoroughly and put on clean clothing.
Environmental Hazards
Do not apply directly to water, to areas where surface water is present, or to intertidal areas below the mean high water mark. Do not contaminate water when disposing of equipment wash water or rinsate.
Groundwater Advisory
S-metolachlor is known to leach through soil into groundwater under certain conditions as a result of label use. This chemical may leach into groundwater if used in areas where soils are permeable, particularly where the water table is shallow.
Metribuzin is a chemical which can travel (seep or leach) through soil and can contaminate groundwater which may be used as drinking water. Metribuzin has been found in groundwater as a result of agricultural use. Users are advised not to apply metribuzin where the water table (groundwater) is close to the surface and where the soils are very permeable, i.e., well-drained soils such as loamy sands. Your local agricultural agencies can provide further information on the type of soil in your area and the location of groundwater.
Surface Water Advisory
This product may impact surface water quality due to runoff of rain water. This is especially true for poorly draining soils and soils with shallow ground water. This product is classified as having high potential for reaching surface water via runoff for several weeks or months after application. A level, well-maintained vegetative buffer strip between areas to which this product is applied and surface water features such as ponds, streams, and springs will reduce the potential loading of S-metolachlor from runoff water and sediment. Runoff of this product will be reduced by avoiding applications when rainfall or irrigation is expected to occur within 48 hours.
Non-target Organism Advisory
This product is toxic to plants and may adversely impact the forage and habitat of non-target organisms, including pollinators, in areas adjacent to the treated site. Protect the forage and habitat of non-target organisms by following label directions intended to minimize spray drift.
Mixing/Loading Instructions
Care must be taken when using this product to prevent back-siphoning into wells, spills, or improper disposal of excess pesticide, spray mixtures, or rinsate.
Check-valves or antisiphoning devices must be used on all mixing and/or irrigation equipment.
This product must not be mixed or loaded within 50 ft. of perennial or intermittent streams and rivers, natural or impounded lakes and reservoirs. This product may not be mixed/loaded or used within 50 ft. of all wells, including abandoned wells, drainage wells, and sink holes. Operations that involve mixing, loading, rinsing, or washing of this product into or from pesticide handling or application equipment or containers within 50 ft. of any well are prohibited, unless conducted on an impervious pad constructed to withstand the weight of the heaviest load that may be positioned on or moved across the pad. Such a pad shall be designed and maintained to contain any product spills or equipment leaks, container or equipment rinse or wash water, and rain water that may fall on the pad. Surface water shall not be allowed to either flow over or from the pad, which means the pad must be self-contained. The pad shall be sloped to facilitate material removal. An unroofed pad shall be of sufficient capacity to contain at a minimum 110% of the capacity of the largest pesticide container or application equipment on the pad. A pad that is covered by a roof of sufficient size to completely exclude precipitation from contact with the pad shall have a minimum containment capacity of 100% of the capacity of the largest pesticide container or application equipment on the pad. Containment capacities as described above shall be maintained at all times. The above-specified minimum containment capacities do not apply to vehicles when delivering pesticide shipments to the mixing/loading site.
Physical or Chemical Hazards
Do not mix or allow contact with oxidizing agents. Hazardous chemical reaction may occur.
202800 PCT SC MetriChlor 0net NoEst BK.indd 1
DIRECTIONS FOR USE
It is a violation of Federal Law to use this product in a manner inconsistent with its labeling.
Do not apply this product in a way that will contact workers or other persons, either directly or through drift. Only protected handlers may be in the area during application. For any requirements specific to your State or Tribe, consult the agency responsible for pesticide regulation.
Sale, use and distribution of this product in Nassau and Suffolk Counties in the State of New York is prohibited.
FAILURE TO FOLLOW THE DIRECTIONS FOR USE AND PRECAUTIONS ON THIS LABEL MAY RESULT IN POOR WEED CONTROL, CROP INJURY, OR ILLEGAL RESIDUES.
AGRICULTURAL USE REQUIREMENTS
Use this product only in accordance with its labeling and with the Worker Protection Standard, 40 CFR Part 170. This Standard contains requirements for the protection of agricultural workers on farms, forests, nurseries, and greenhouses, and handlers of agricultural pesticides. It contains requirements for training, decontamination, notification, and emergency assistance. It also contains specific instructions and exceptions pertaining to the statements on this label about personal protective equipment (PPE) and restricted-entry interval. The requirements in this box only apply to uses of this product that are covered by the Worker Protection Standard.
Do not enter or allow worker entry into treated areas during the restricted-entry interval (REI) of 12 hours. Exception: If the product is soil-injected or soil- incorporated, the Worker Protection Standard, under certain circumstances, allows workers to enter the treated area if there will be no contact with anything that has been treated.
For early entry to treated areas that is permitted under the Worker Protection Standard and that involves contact with anything that has been treated, such as plants, soil, or water, wear:
* Coveralls
* Protective eyewear
* Chemical-resistant gloves made of barrier laminate, butyl rubber (≥ 14 mils), nitrile rubber (≥ 14 mils), or Viton (≥ 14 mils)
* Shoes plus socks
PRODUCT INFORMATION
PCT | Sunrise® Croprotek® MetriChlor Pre is a soil applied, pre-emergent herbicide containing two active ingredients with different modes of action, which assists in the management of herbicide resistance.
Do not apply under conditions which favor runoff or wind erosion of soil containing this product to non-target areas.
To prevent off-site movement due to runoff or wind erosion:
* Do not apply to impervious substrates, such as paved or highly compacted surfaces.
* Avoid treating powdery dry or light sand soils when conditions are favorable for wind erosion. Under these conditions, the soil surface should first be settled by rainfall or irrigation.
* Do not use tailwater from the first flood or furrow irrigation of treated fields to treat non-target crops, unless at least ½ inch of rainfall has occurred between application and the first irrigation.
Mixing Instructions
Prepare no more spray mixture than is needed for the immediate operation. Thoroughly clean the spray equipment before using PCT | Sunrise® Croprotek® MetriChlor Pre. Vigorous agitation is necessary to maintain uniformity of the spray mixture. Maintain maximum agitation throughout the spraying operation. Do not allow spray mixture to stand overnight in the spray tank. Flush the spray equipment thoroughly following each use and apply the rinsate to a previously treated area.
Application in Water or Fluid Fertilizers
PCT | Sunrise® Croprotek® MetriChlor Pre Alone: Add 1/3 of the required amount of water or fluid fertilizer to the spray or mixing tank. With the agitator running, add PCT | Sunrise® Croprotek® MetriChlor Pre into the spray tank. Continue agitation while adding the remainder of the water or fluid fertilizer. Begin application of the spray solution after the PCT | Sunrise® Croprotek® MetriChlor Pre has completely dispersed in the water or fluid fertilizer. Maintain agitation until all of the mixture has been applied.
Tank Mixtures
This product may be tank mixed with other products at appropriate rates as long as tank mixing is not prohibited by the label(s) of the tank mix partner products, or as otherwise noted within the specific crop use directions for this product, and the tank mix partner products are labeled for the timing and method of application for the use site to be treated. Do not exceed any label dosage rates.
It is the pesticide user's responsibility to ensure that all products in the mixtures are registered for the intended use. Read and follow the applicable restrictions and limitations and directions for use on all product labels involved in tank mixing. Users must follow the most restrictive directions for use and precautionary statements of each product in the tank mixture.
If you have no previous experience mixing these products under your conditions, perform a compatibility test before attempting large-scale mixing (see the Compatibility Test section of this label).
Mixing Instructions (PCT | Sunrise® Croprotek® MetriChlor Pre + Tank Mix Partner): Add 1/3 of the required amount of water or fluid fertilizer to the mix tank. Start the agitator running before adding any tank mix partners. In general, add tank mix partners in this order: products packaged in water-soluble packaging, wettable powders, wettable granules (dry flowables), liquid flowables, liquids such as PCT | Sunrise® Croprotek® MetriChlor Pre, and emulsifiable concentrates.
Always allow each tank mix partner to become fully dispersed before adding the next product. Provide sufficient agitation while adding the remainder of the water. Maintain agitation until all of the mixture has been applied.
When using PCT | Sunrise® Croprotek® MetriChlor Pre in tank mixtures with products packaged in water-soluble packaging:
2) Water-soluble packets will not properly dissolve in most spray solutions that contain fluid fertilizers.
1) Add all products in water-soluble packaging to the tank and mix with plain water before any other tank mix partner, including PCT | Sunrise® Croprotek® MetriChlor Pre. Allow the water-soluble packaging to completely dissolve and the product(s) to completely disperse before adding any other tank mix partner to the tank.
PCT | Sunrise® Croprotek® MetriChlor Pre is compatible with most common tank mix partners. However, the physical compatibility of
PCT | Sunrise® Croprotek® MetriChlor Pre with other products, use a jar test, as described below.
PCT | Sunrise® Croprotek® MetriChlor Pre with tank mix partners should be tested before use. To determine the physical compatibility of
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Compatibility Test
A jar test is recommended before tank mixing to ensure compatibility of PCT | Sunrise® Croprotek® MetriChlor Pre with other pesticides. The following test assumes a spray volume of 25 gal./A. For other spray volumes, make appropriate changes in the ingredients.
Note: Nitrogen solutions or complete fluid fertilizers may replace all or part of the water in the spray. Because liquid fertilizers vary, even within the same analysis, always check compatibility with pesticide(s) before use. Incompatibility of tank mixtures is more common with suspensions of fertilizer and pesticides.
Test Procedure
Note: Use the same source of water that will be used for the tank mix and conduct the test at the temperature the tank mix will be applied.
1) Add 1.0 pt. of carrier (fertilizer or water) to each of 2 one qt. jars with tight lids.
2) To one of the jars, add ¼ tsp. or 1.2 milliliters of a compatibility agent approved for this use (¼ tsp. is equivalent to 2.0 pt./100 gal. spray). Shake or stir gently to mix.
4) After adding all ingredients, put lids on and tighten, and invert each jar ten times to mix. Let the mixtures stand 15-30 minutes and then look for separation, large flakes, precipitates, gels, heavy oily film on the jar, or other signs of incompatibility. Determine if the compatibility agent is needed in the spray mixture by comparing the two jars. If either mixture separates, but can be remixed readily, the mixture can be sprayed as long as good agitation is used. If the mixtures are incompatible, test the following methods of improving compatibility: (a) Slurry the dry pesticide(s) in water before addition, or (b) add ½ the compatibility agent to the fertilizer or water and the other ½ to the emulsifiable concentrate or flowable pesticide before addition to the mixture. If incompatibility is still observed, do not use the mixture.
3) To both jars, add the appropriate amount of pesticide(s) in their relative proportions based on label rates. If more than one pesticide is used, add them separately with dry pesticides first, flowables next, and emulsifiable concentrates last. After each addition, shake or stir gently to thoroughly mix.
5) After compatibility testing is complete, dispose of any pesticide wastes in accordance with the Storage and Disposal section in this label.
Ground Application
Apply PCT | Sunrise® Croprotek® MetriChlor Pre alone or in tank mixtures by ground equipment in a minimum of 10 gallons of spray mixture per acre, unless otherwise specified.
Use sprayers that provide accurate and uniform application. Calibrate the sprayer before use at the beginning of the season. For PCT | Sunrise® Croprotek® MetriChlor Pre tank mixtures with wettable powder or dry flowable formulations, screens and strainers should be no finer than 50-mesh.
Calculate the amount of herbicide needed for band treatment by the formula:
Band width in inches
X broadcast rate per acre = amount needed per acre of field
Row width in inches
Center Pivot Irrigation Application
If applying through chemigation, apply this product only through a center pivot irrigation system. Do not apply this product through any other type of irrigation system. Crop injury, lack of effectiveness, or illegal pesticide residues in the crop can result from non-uniform distribution of treated water. If you have questions about calibration, contact State Extension specialists, equipment manufacturers, or other experts. Do not connect an irrigation system (including greenhouse systems) used for pesticide application to a public water system, unless the pesticide label-prescribed safety devices for public water systems are in place. A person knowledgeable of the chemigation system and responsible for its operation, or under the supervision of the responsible person, shall shut the system down and make necessary adjustments should the need arise.
Operating Instructions
* The pesticide injection pipeline must contain a functional, automatic, quick-closing check-valve to prevent the flow of fluid back toward the injection pump.
* The system must contain a functional check-valve, vacuum relief valve, and low pressure drain appropriately located on the irrigation pipeline to prevent water- source contamination from backflow.
* The pesticide injection pipeline must also contain a functional, normally closed, solenoid-operated valve located on the intake side of the injection pump and connected to the system interlock to prevent fluid from being withdrawn from the supply tank when the irrigation system is either automatically or manually shut down.
* The irrigation line or water pump must include a functional pressure switch which will stop the water pump motor when the water pressure decreases to the point where pesticide distribution is adversely affected.
* The system must contain functional interlocking controls to automatically shut off the pesticide injection pump when the water pump motor stops.
* Systems must use a metering pump, such as a positive displacement injection pump (e.g., diaphragm pump or piston pump), effectively designed and constructed of materials that are compatible with pesticides and capable of being fitted with a system interlock.
* Prepare a mixture with a minimum of 1-part water to 1-part herbicide(s) and inject this mixture into the center pivot system. Injecting a larger volume of a more dilute mixture per hour will usually provide more accurate calibration of metering equipment. Maintain sufficient agitation to keep the herbicide in suspension.
* Do not apply when wind speed favors drift beyond the area intended for treatment.
* Meter into irrigation water during entire period of water application.
* Apply in ½ - 1 inch of water. Use the lower water volume (½ inch) on coarse-textured soils and the higher volume (1 inch) on fine-textured soils. More than 1 inch of water at application may reduce weed control by moving the herbicide below the effective zone in the soil.
Precaution for center pivot applications: Where sprinkler distribution patterns do not overlap sufficiently, unacceptable weed control may result. Where sprinkler distribution patterns overlap excessively, crop injury may result.
Aerial Application
Apply PCT | Sunrise® Croprotek® MetriChlor Pre in water using a minimum spray volume of 2 gal./A. Avoid application under conditions where uniform coverage cannot be obtained or where excessive spray drift may occur. Make applications at a maximum height of 10 ft. above the crop canopy.
Do not apply this product in a way that will contact workers or other persons, either directly or through drift. Only protected handlers may be in the area during application.
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Spray Drift Management
Aerial Applications:
Mandatory Spray Drift Management
* Do not release spray at a height greater than 10 ft above the ground or vegetative canopy, unless a greater application height is necessary for pilot safety.
* For all other applications, applicators are required to select the nozzle and pressure that deliver medium or coarser droplets (ASABE S641).
* For applications prior to the emergence of crops and target weeds, applicators are required to select the nozzle and pressure that deliver coarse or coarser droplets (ASABE S641).
* Nozzles must always point backward parallel with the air stream and never be pointed downwards more than 45 degrees.
* Do not apply when wind speeds exceed 15 mph at the application site. If the wind speed is greater than 10 mph, the boom length must be 65% or less of the wingspan for fixed wing aircraft and 75% or less of the rotor diameter for helicopters. Otherwise, the boom length must be 75% or less of the wingspan for fixed-wing aircraft and 90% or less of the rotor diameter for helicopters.
* If the wind speed is 10 miles per hour or less, applicators must use ½ swath displacement upwind at the downwind edge of the field. When the wind speed is between 11-15 miles per hour, applicators must use ¾ swath displacement upwind at the downwind edge of the field.
* Do not apply during temperature inversions.
Ground Boom Applications:
* Applicators are required to select the nozzle and pressure that deliver medium or coarser droplets (ASABE S572).
* User must only apply with the release height recommended by the manufacturer, but no more than 4 feet above the ground or crop canopy.
* Do not apply when wind speeds exceed 15 miles per hour at the application site.
* Do not apply during temperature inversions.
Boomless Ground Applications:
* Do not apply when wind speeds exceed 15 miles per hour at the application site.
* Applicators are required to select the nozzle and pressure that deliver medium or coarser droplets (ASABE S572).
* Do not apply during temperature inversions.
Spray Drift Advisories
THE APPLICATOR IS RESPONSIBLE FOR AVOIDING OFF-SITE SPRAY DRIFT. BE AWARE OF NEARBY NON-TARGET SITES AND ENVIRONMENTAL CONDITIONS.
Importance of Droplet Size
An effective way to reduce spray drift is to apply large droplets. Use the largest droplets that provide target pest control. While applying larger droplets will reduce spray drift, the potential for drift will be greater if applications are made improperly or under unfavorable environmental conditions.
Controlling Droplet Size – Ground Boom
* Pressure - Use the lowest spray pressure recommended for the nozzle to produce the target spray volume and droplet size.
* Volume - Increasing the spray volume so that larger droplets are produced will reduce spray drift. Use the highest practical spray volume for the application. If a greater spray volume is needed, consider using a nozzle with a higher flow rate.
* Spray Nozzle - Use a spray nozzle that is designed for the intended application. Consider using nozzles designed to reduce drift. Solid stream nozzles oriented straight back produce the largest droplets and the lowest drift.
* Nozzle Orientation - Orienting nozzles so that the spray is released parallel to the airstream produces larger droplets than other orientations and is the recommended practice. Significant deflection from horizontal will reduce droplet size and increase drift potential.
* Number of nozzles - Use the minimum number of nozzles that provide uniform coverage.
Controlling Droplet Size – Aircraft
* Generally, to reduce fine droplets, nozzles should be oriented parallel with the airflow in flight.
* Adjust Nozzles - Follow nozzle manufacturers' recommendations for setting up nozzles.
Boom Height – Ground Boom
For ground equipment, the boom should remain level with the crop and have minimal bounce.
Release Height - Aircraft
Higher release heights increase the potential for spray drift. Do not release spray at a height greater than 10 feet above the ground or vegetative crop canopy, unless a greater application height is required for aircraft safety. Making applications at the lowest height that is safe reduces exposure of droplets to evaporation and wind.
Swath Adjustment
When applications are made with a crosswind, the swath will be displaced downward. Therefore, on the up and downwind edges of the field, the applicator must compensate for this displacement by adjusting the path of the aircraft upwind. Swath adjustment distance should increase, with increasing drift potential (higher wind, smaller drops, etc.)
Shielded Sprayers
Shielding the boom or individual nozzles can reduce spray drift. Consider using shielded sprayers. Verify that the shields are not interfering with the uniform deposition of the spray on the target area.
Temperature and Humidity
When making applications in hot and dry conditions, use larger droplets to reduce effects of evaporation.
Temperature Inversions
Drift potential is high during a temperature inversion. Temperature inversions are characterized by increasing temperature with altitude and are common on nights with limited cloud cover and light to no wind. The presence of an inversion can be indicated by ground fog or by the movement of smoke from a ground source or an aircraft smoke generator. Smoke that layers and moves laterally in a concentrated cloud (under low wind conditions) indicates an inversion, while smoke that moves upward and rapidly dissipates indicates good vertical air mixing.
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Wind
Drift potential generally increases with wind speed. AVOID APPLICATIONS DURING GUSTY WIND CONDITIONS. Drift potential is lowest between wind speeds of 2-10 mph. However, many factors, including droplet size and equipment type determine drift potential at any given speed. Application should be avoided below 2 mph due to variable wind direction and high inversion potential. NOTE: Local terrain can influence wind patterns. Every applicator should be familiar with local wind patterns and how they affect spray drift.
Sensitive Areas
The pesticide should only be applied when the potential for drift to adjacent sensitive areas (e.g. residential areas, bodies of water, known habitat for threatened or endangered species, non-target crops) is minimal (e.g. when wind is blowing away from the sensitive areas).
Boomless Ground Applications
Setting nozzles at the lowest effective height will help to reduce the potential for spray drift.
Handheld Technology Applications:
Take precautions to minimize spray drift.
Cleaning Equipment After Application
1) Flush tank, hoses, boom, and nozzles with clean water.
Because some non-labeled crops are sensitive to low rates of PCT | Sunrise® Croprotek® MetriChlor Pre, special attention must be given to cleaning equipment before spraying a crop other than those registered for use and on this label. Mix only as much spray solution as needed. Immediately after spraying, clean equipment thoroughly using the following procedure:
2) Prepare a cleaning solution of one gal. of household ammonia per 50 gal. of water. Many commercial spray tank cleaners may be used as well. Consult your Winfield Solutions, LLC representative for a partial listing of approved tank cleaners and more information about proper tank cleaning procedures. Do not use chlorine-based cleaners.
4) Flush hoses, spray lines, and nozzles for at least one minute with the cleaning solution.
3) When available, use a pressure washer to clean the inside of the spray tank with this solution. Take care to wash all parts of the tank, including the inside top surface. Completely fill the sprayer with the cleaning solution to ensure contact of the cleaning solution with all internal surfaces of the tank and plumbing. Start agitation in the sprayer and thoroughly re-circulate the cleaning solution for at least 15 minutes. All visible deposits must be removed from the spraying system.
5) Dispose of rinsate from steps 1 - 3 as described under the Environmental Hazards section of the Precautionary Statements.
7) Remove nozzles, screens, and strainers and clean separately in the ammonia cleaning solution after completing the above procedures.
6) Repeat steps 2 - 5.
8) Rinse the complete spraying system with clean water.
Impregnation Onto Dry Bulk Granular Fertilizers
Many dry bulk granular fertilizers may be impregnated or coated with PCT | Sunrise® Croprotek® MetriChlor Pre and used to control weeds. When applying PCT | Sunrise® Croprotek® MetriChlor Pre with dry bulk fertilizers, follow all directions for use, restrictions and precautions on the PCT | Sunrise® Croprotek® MetriChlor Pre label regarding target crops, rates per acre, soil texture, application methods, and rotational crops.
Complying with all individual state regulations relating to dry bulk granular fertilizer blending, registration, labeling, and application is the responsibility of the individual and/or company selling the herbicide/fertilizer mixture.
Prepare the herbicide/fertilizer mixture by using any closed drum, belt, ribbon, or other commonly used dry bulk fertilizer blender. Nozzles used to spray PCT | Sunrise® Croprotek® MetriChlor Pre onto the fertilizer must be spaced to provide uniform spray coverage. Take care to aim the spray onto the fertilizer only, avoiding the walls of the blender.
If the herbicide/fertilizer mixture is too wet, add a highly absorptive material, such as granular clay or diatomaceous earth materials, to obtain a dry, free-flowing mixture. Add absorptive materials only after the herbicide has been thoroughly blended into the fertilizer mixture. Best application results will be obtained by using a granule of 6/30 particle size or of a size similar to that of the fertilizer materials being used. Generally, less than 2% by weight of absorptive material will be needed. Avoid using more than 5% absorptive material by weight.
Calculate the amount of PCT | Sunrise® Croprotek® MetriChlor Pre to be used by the following formula:
2,000
X
pt. of PCT | Sunrise® Croprotek®
MetriChlor Pre per acre
=
pt. of PCT | Sunrise® Croprotek®
MetriChlor Pre per ton of fertilizer
lbs. of fertilizer per acre
Pneumatic (Compressed Air) Application
High humidity, high urea concentrations, low fertilizer use rates, and dusty fertilizer may cause fertilizer mixtures to build up or plug the distributor head, air tubes, or nozzle deflector plates. To minimize buildup, premix PCT | Sunrise® Croprotek® MetriChlor Pre with Aromatic 200 at a rate of 2.0 - 2.5 pt./gal. of PCT | Sunrise® Croprotek® MetriChlor Pre. Aromatic 200 is a noncombustible/nonflammable petroleum product. Aromatic 200 may be used in either a fertilizer blender or through direct injection systems. Do not use drying agents when using Aromatic 200.
Mixtures of PCT | Sunrise® Croprotek® MetriChlor Pre and Aromatic 200 must be used on dry fertilizer only. Poor results or crop injury may result if these mixtures are used in water or liquid fertilizer solutions for spraying applications. When impregnating PCT | Sunrise® Croprotek® MetriChlor Pre in a blender before application, a drier mixture can be obtained by substituting a drying agent for Aromatic 200. The use of a drying agent of 6/30 particle size is recommended. Drying agents are not advised for use with On-The-Go impregnation equipment.
Restrictions: To avoid potential for explosion,
2) Do not combine PCT | Sunrise® Croprotek® MetriChlor Pre with a single superphosphate (1-20-0) or triple superphosphate (0-46-0).
1) Do not impregnate PCT | Sunrise® Croprotek® MetriChlor Pre on ammonium nitrate, potassium nitrate, or sodium nitrate, either alone or in blends with other fertilizers.
3) Do not use PCT | Sunrise® Croprotek® MetriChlor Pre on straight limestone, since absorption will not be achieved. Fertilizer blends containing limestone can be impregnated.
Application of Impregnated Dry Bulk Granular Fertilizer
Apply 200 - 700 lb. of the herbicide/fertilizer mixture per acre. For best results, apply the mixture uniformly to the soil with properly calibrated equipment immediately after blending. Uniform application of the herbicide/fertilizer mixture is essential in order to prevent possible crop injury to subsequent rotational crops. Non-uniform application may also result in unsatisfactory weed control. In areas where conventional tillage is practiced, a shallow incorporation of the mixture into the soil is advised to obtain satisfactory weed control. On fine- or medium-textured soils in areas where soil incorporation is not planned, i.e., reduced-tillage situations or in some conventional till situations, make applications approximately 30 days before planting to allow moisture to move the herbicide/fertilizer mixture into the soil. On coarsetextured soils, make applications approximately 14 days prior to planting.
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Precaution: To help avoid rotational crop injury, make applications as early as possible, since PCT | Sunrise® Croprotek® MetriChlor Pre impregnated onto dry bulk fertilizers can be expected to last longer in the soil than PCT | Sunrise® Croprotek® MetriChlor Pre applied as a spray in water or fluid fertilizer.
Table 1: Crop Rotation Intervals 1,3
2
Rotational Interval After Application of PCT | Sunrise® Croprotek® MetriChlor Pre
| 4 months | 4½ Months | 8 Months | 12 Months | 18 Months |
|---|---|---|---|---|
| Corn | Winter Barley Winter Wheat Alfalfa | Peas Rice4 Spring Barley Spring Wheat | Asparagus Cotton Forage Grasses Lentils Sainfoin Sugarcane Tomatoes Other Crops not listed (except root crops) | Onions Sugar Beets and Other Root Crops |
1 Cover crops for soil building or erosion control may be planted any time, but do not graze or harvest for food or feed. Stand reductions may occur in some areas.
3 Refer to the specific crop use sections for additional crop rotation precautions.
2 Crop rotation restrictions do not include restrictions for the tank mix partner. Refer to the label of the other product for additional restrictions.
4 Do not rotate rice after any application to a primary crop at greater than 1.0 lb. a.i. per acre of metribuzin per season.
Replanting
If replanting is necessary in fields previously treated with PCT | Sunrise® Croprotek® MetriChlor Pre, the field may be replanted to soybeans or potatoes. Before replanting, refer to the specific crop use sections for precautions and restrictions.
Activation
A small amount of rainfall or irrigation is required to activate PCT | Sunrise® Croprotek® MetriChlor Pre following application. In areas of low rainfall, follow a preemergence application with light irrigation of ¼ to ½ inch of water. Do not apply heavy irrigation immediately after application. As with many surface-applied herbicides, weed control and crop tolerance may vary with rainfall and/or soil texture.
Weed Resistance Management
PCT | Sunrise® Croprotek® MetriChlor Pre contains both a Group 15 herbicide (S-metolachlor) and a Group 5 herbicide (Metribuzin). Any weed population may contain plants naturally resistant to Group 15 and/or Group 5 herbicides. The resistant biotypes may dominate the weed population if these herbicides are used repeatedly in the same field. Appropriate resistance-management strategies should be followed.
To delay herbicide resistance, take one or more of the following steps:
* Use tank mixtures with herbicides from a different group if such use is permitted; where information on resistance in target weed species is available use the less resistance-prone partner at a rate that will control the target weed(s) equally as well as the more resistanceprone partner. Consult your local extension service or certified crop advisor if you are unsure as to which active ingredient is currently less prone to resistance.
* Rotate the use of this product or other Group 15 and Group 5 herbicides within a growing season sequence or among growing seasons with different herbicide groups that control the same weeds in a field.
* Adopt an integrated weed-management program for herbicide use that includes scouting and uses historical information related to herbicide use and crop rotation, and that considers tillage (or other mechanical control methods), cultural (e.g., higher crop seeding rates; precision fertilizer application method and timing to favor the crop and not the weeds), biological (weed-competitive crops or varieties) and other management practices.
* Scout fields after herbicide application to monitor weed populations for early signs of resistance development. Indicators of possible herbicide resistance include:
* Fields should be scouted prior to application to identify the weed species present and their growth stage to determine if the intended application will be effective.
Failure to control a weed species normally controlled by the herbicide at the dose applied, especially if control is achieved on adjacent weeds.
Surviving plants mixed with controlled individuals of the same species.
A spreading patch of non-controlled plants of a particular weed species.
If resistance is suspected, prevent weed seed production in the affected area by an alternative herbicide from a different group or by a mechanical method such as hoeing or tillage. Prevent movement of resistant weed seeds to other fields by cleaning harvesting and tillage equipment when moving between fields, and planting clean seed.
* Contact your local extension specialist, certified crop advisors, and/or Winfield Solutions, LLC representative for pesticide resistance management and/or integrated weed management recommendations for specific crops and resistant weed biotypes.
* If a weed pest population continues to progress after treatment with this product, discontinue use of this product, and switch to another management strategy or herbicide with a different mode of action, if available.
* For further information or to report suspected resistance, contact your Winfield Solutions, LLC representative.
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Table 2: Weeds Controlled/Suppressed by PCT | Sunrise® Croprotek® MetriChlor Pre
Annual Broadleaves*
Anoda, spurred
Lambsquarters, common
Sesbania spp.
Beggarweed, Florida
Lettuce, prickly
Shepherd's-purse
Carpetweed
Mallow, Venice
Sicklepod
Chickweed, common
Mustard spp.
Sida, prickly/teaweed
Cocklebur**
Nightshade, black
Smartweed, Pennsylvania
Copperleaf, hophornbeam
Nightshade, hairy**
Spurge, spotted
Galinsoga spp.
Pennycress, field
Starbur, bristly
Henbit
Pepperweed, Virginia
Sunflower, common**
Jimsonweed
Pigweed spp.
Thistle, Russian
Knotweed spp.
Purslane, common
Velvetleaf**
Kochia (in soybean)
Pusley, Florida
Waterhemp spp.
Kochia (in potato)**
Ragweed, common**
Ladysthumb
Redweed
Annual Grasses
Barnyardgrass
Bluegrass, annual
Crabgrass spp.
Crowfootgrass
Cupgrass, prairie
Cupgrass, southwestern
Foxtail spp.
Goosegrass
Junglerice
Sedges
Yellow nutsedge (in potato)
Yellow nutsedge** (in soybean)
Volunteer Crops
Barley**
Sorghum**
Wheat**
* Except triazine-resistant biotypes other than Galinsoga spp., black nightshade, pigweed spp. and waterhemp spp.
** Suppression only. Suppression means significant activity, but not always at a level considered acceptable for commercial weed control.
CROPS
POTATOES (EXCEPT CALIFORNIA)
The application rates for PCT | Sunrise® Croprotek® MetriChlor Pre for use in potatoes are provided below (Table 3 and Table 4). When a rate range is given, use the lower rate within the range on the more coarse-textured soils listed within that group and/or where weed pressures are known to be light; use the high end of the rate range on the more fine-textured soils listed within that group and/or where the weeds pressures are known to be heavy.
PCT | Sunrise® Croprotek® MetriChlor Pre may be used for preemergence weed control prior to or after potato emergence. PCT | Sunrise® Croprotek® MetriChlor Pre has some postemergence activity on weeds, but the consistency and spectrum of weed control is much better preemergence to weeds. There is an increased risk of crop injury with preplant incorporated applications.
See Table 2 for a listing of weeds controlled/suppressed by PCT | Sunrise® Croprotek® MetriChlor Pre.
Restrictions:
2) For potatoes grown in soils with organic matter between 3% and 10% do not apply more than 5.1 pints (3.35 lbs. a.i. S-metolachlor; 0.80 lb. a.i. metribuzin) per acre/year.
1) Do not apply more than two treatments per year.
3) For potatoes grown in soils with organic matter between 0.5% and 3.0% do not apply more than 4.95 pints (3.25 lbs. a.i. S-metolachlor; 0.77 lb. a.i. metribuzin) per acre/year.
5) Do not apply more than 1.0 lb. a.i. of metribuzin per acre/year from any source.
4) Do not apply PCT | Sunrise® Croprotek® MetriChlor Pre to muck or peat soils.
6) Pre-harvest Interval (PHI): Do not harvest within 60 days of the last PCT | Sunrise® Croprotek® MetriChlor Pre application.
8) Do not apply PCT | Sunrise® Croprotek® MetriChlor Pre to sweet potatoes or yams.
7) Do not apply after June 30 in Idaho, Oregon, or Washington if the treated land will be planted to a crop other than potatoes in the fall.
Precautions:
2) Potato varieties may vary in their response to a given herbicide application. When using PCT | Sunrise® Croprotek® MetriChlor Pre for the first time on a particular variety, always determine crop tolerance before using on a field-scale.
1) To avoid crop injury, make postemergence applications only on russetted or white skinned varieties of potatoes that are not early maturing. Avoid postemergence applications on Atlantic, Bellchip, Centennial, Chipbelle, Shepody and Superior varieties. Preemergence applications on these varieties may cause crop injury under adverse weather conditions, on coarse soils, under high soil pH and with higher use rates.
3) The planting of sensitive crops such as lettuce, cole crops and cucurbits during the next growing season following application of PCT | Sunrise® Croprotek® MetriChlor Pre may result in injury to that crop.
202800 PCT SC MetriChlor 0net NoEst BK.indd 7
Panicum, fall
Rice, red
Sandbur spp.**
Seedling Johnsongrass**
Shattercane**
Signalgrass, broadleaf
Texas Panicum**
Witchgrass
4) Certain cereal varieties are sensitive to metribuzin and are not advised to be planted during the next growing season unless the following cultural practices occur:
5) Crop injury may occur if PCT | Sunrise® Croprotek® MetriChlor Pre is applied as a preplant incorporated application in potatoes.
a) Potato vines left in the row as a result of harvest must be uniformly distributed over the soil surface prior to plowing, and b) Plow with a moldboard plow to a depth sufficient to mix the upper 8 inches of soil.
6) Applying PCT | Sunrise® Croprotek® MetriChlor Pre postemergent when the weather in the next 3 days is predicted to be cool, wet or cloudy, may cause crop injury.
Preemergence Applications
Apply with ground spray equipment, aerial spray equipment, or by center pivot irrigation equipment which is capable of making a uniform broadcast application. Apply after planting but before crop emergence, or apply after drag-off if this operation is part of the usual cultural practice.
Table 3: PCT | Sunrise® Croprotek® MetriChlor Pre Preemergence Use Rates in Potatoes
1 On soils that classify as a "sand" texture do not use more than 1.5 pt./A of PCT | Sunrise® Croprotek® MetriChlor Pre, or more than 0.5 lb. a.i./A of metribuzin in total, or crop injury may occur.
Postemergence Applications
Apply postemergence only in center pivot irrigation water, after drag-off if that is a usual cultural practice, but not closer than 60 days before harvest. Refer to the Center Pivot Irrigation Application section of this label for application information.
Table 4: PCT | Sunrise® Croprotek® MetriChlor Pre Postemergence Use Rates in Potatoes (for application in center pivot irrigation water only)
Crop injury may occur on soils that classify as a "sand" texture and have less than 0.5% organic matter.
Tank Mixtures With Other Products Registered for Use in Potatoes
For preemergence applications in potatoes, PCT | Sunrise® Croprotek® MetriChlor Pre may be tank mixed with other pesticide products registered for use in this way and timing in potatoes.
For postemergence applications (center pivot irrigation applications only), i.e. where potato vines are exposed, there may be increased risk of crop injury from certain product mixtures. At this application timing, tank mix PCT | Sunrise® Croprotek® MetriChlor Pre only with pesticide products which allow tank mixing and postemergence chemigation on their product label.
See the Tank Mix section on this label for further information on tank mixing.
SOYBEANS (EXCEPT CALIFORNIA)
PCT | Sunrise® Croprotek® MetriChlor Pre may be applied preplant surface, preplant incorporated, preemergence, as a sequential application, or as a postemergence directed (see state limitations) to control weeds listed on this label.
See Table 2 for a listing of weeds controlled/suppressed by PCT | Sunrise® Croprotek® MetriChlor Pre.
Grazing and Feeding Treated Soybean Plants
Do not graze or feed soybean plants to livestock if they have received a post-emergent (directed application) treatment. For other applications, treated soybean plants may be grazed or fed to livestock 40 days after the last application of PCT | Sunrise® Croprotek® MetriChlor Pre.
Rate Ranges
Where a rate range is shown, use the lower rate on soils that are coarse-textured and/or low in organic matter. Use the higher rate on soils that are relatively fine-textured and/or high in organic matter.
Replanting
If replanting is necessary in fields previously treated with PCT | Sunrise® Croprotek® MetriChlor Pre, the field may be replanted to soybeans. Minimum tillage is advised. Excessive tillage will reduce residual weed control. Do not apply a second treatment as injury to soybeans may occur.
Precautions
1) When soils have a calcareous surface area or a pH of 7.5 or higher.
Injury to soybeans or reduced weed control may occur when PCT | Sunrise® Croprotek® MetriChlor Pre is used under the following conditions. Avoid these conditions wherever possible.
2) Due to the sensitivity of certain soybean varieties, do not apply PCT | Sunrise® Croprotek® MetriChlor Pre on varieties that are not confirmed as being tolerant to metribuzin. Consult the seed supplier for information on its tolerance to metribuzin (an active ingredient in PCT | Sunrise® Croprotek® MetriChlor Pre) before using PCT | Sunrise® Croprotek® MetriChlor Pre.
4) Uneven application or improper incorporation of PCT | Sunrise® Croprotek® MetriChlor Pre can decrease the level of weed control and/ or increase the level of crop injury.
3) When applied in conjunction with soil-applied organic phosphate pesticides.
5) When applied to any soil with less than 0.5% organic matter.
7) When sprayers were not calibrated accurately.
6) Where soil incorporation is deeper than recommended.
8) When heavy rains occur soon after application, especially in poorly drained areas where water may stand for several days.
10) Where high soil levels of atrazine are present.
9) When soybeans are planted less than 1½" deep, particularly when PCT | Sunrise® Croprotek® MetriChlor Pre is applied preemergence.
11) When using poor quality soybean seed.
Restriction: Do not exceed 3.71 lbs. a.i. per acre per year of S-metolachlor containing products.
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Tank Mixing
PCT | Sunrise® Croprotek® MetriChlor Pre may be tank mixed with other products at appropriate rates as long as tank mixing is not prohibited by the label(s) of the tank mix partner products, or as otherwise noted within the soybean section of this label and the tank mix partner products are labeled for the timing and method of application.
See the Tank Mix section on this label for further information on tank mixing.
PCT | Sunrise® Croprotek® MetriChlor Pre Foundation Program for a Planned 2-Pass Weed Control Systems (preplant incorporated or preemergence application followed by other herbicide)
On soils with pH above 7.0, use the 1.5 pt./A rate only. Recommended postemergence treatments include any product or combination of products labeled to control the specific weeds remaining in the field, including glyphosate products (for use only on glyphosate tolerant soybean varieties). Follow all application directions for PCT | Sunrise® Croprotek® MetriChlor Pre used alone, either preplant incorporated or preemergence. For the postemergence herbicide application, consult the selected postemergence herbicide manufacturer's label for weeds controlled, weed size, application rate, additional use directions, precautions, and limitations before use. See the Tank Mix section on this label for further information on tank mixing.
PCT | Sunrise® Croprotek® MetriChlor Pre may be applied preplant incorporated or preemergence at 1.5 - 1.8 pt./A on all soils to reduce competition from the weeds listed in Table 2 for a 30-day period when followed by a planned postemergence weed control treatment.
PCT | Sunrise® Croprotek® MetriChlor Pre in Conventional Tillage Systems
Preplant Incorporated Application: Incorporate PCT | Sunrise® Croprotek® MetriChlor Pre uniformly into the top 2 inches of soil within 14 days before planting using a disk, field cultivator, rolling cultivator, or similar implement. Apply PCT | Sunrise® Croprotek® MetriChlor Pre preplant incorporated if furrow irrigation is used or when a period of dry weather after application is expected. If soybeans are planted on beds, apply and incorporate the tank mixture after bed formation.
Preemergence Application: Dry weather following preemergence application of PCT | Sunrise® Croprotek® MetriChlor Pre may reduce effectiveness. If weeds develop, cultivate uniformly with shallow tilling equipment such as a rotary hoe that will not damage soybeans.
For information on applying product in fluid or dry fertilizer, refer to Application in Water or Fluid Fertilizers or Impregnation Onto Dry Bulk Granular Fertilizers and Application of Impregnated Dry Bulk Granular Fertilizer on this label.
Table 5: PCT | Sunrise® Croprotek® MetriChlor Pre Use Rates - Conventional Tillage Systems (Broadcast Rate)
1 Do not use on sand soils. On coarse-textured soils, do not use on loamy sand soils with less than 2% organic matter.
3 For Southern and Southeastern states, see section below In Coarse (Light) Soils (Table 6)
2 For preplant incorporated application, use the lower rate.
4 Silty clay loam soils are transitional soils and may be classified as medium-textured soils in some regions of the U.S. When using PCT | Sunrise® Croprotek® MetriChlor Pre, treat this soil as "fine-textured."
Precaution: On soils with pH above 7.0, soybean injury caused by the metribuzin in PCT | Sunrise® Croprotek® MetriChlor Pre may occur at rates higher than 1.5 pt./A. To avoid injury, do not use PCT | Sunrise® Croprotek® MetriChlor Pre at rates greater than 1.5 pt./A on soils above pH 7.0.
In Coarse (Light) Soils
PCT | Sunrise® Croprotek® MetriChlor Pre may be applied as a preplant incorporated or preemergence application in coarse-textured, low organic matter soils in the states listed above. Refer to the appropriate sections of this label for specific directions on use, precautions, and restrictions.
(Only in AL, AR, FL, GA, LA, MS, MO, NC, OK, SC, TN, TX, VA)
Table 6: PCT | Sunrise® Croprotek® MetriChlor Pre Preemergence Application (Broadcast Rates)
1
2 Use the higher rate under heavy weed pressures and/or on soils higher in organic matter. For maximum control of sicklepod, use a preemergence application.
Do not use on sand with less than 1% organic matter.
Precaution: On soils with pH above 7.0, soybean injury caused by the metribuzin in PCT | Sunrise® Croprotek® MetriChlor Pre may occur at rates higher than 1.5 pt./A. To avoid injury, do not use PCT | Sunrise® Croprotek® MetriChlor Pre at rates greater than 1.5 pt./A on soils above pH 7.0.
Burndown Weed Control
PCT | Sunrise® Croprotek® MetriChlor Pre can be used as part of a burndown herbicide program for control of existing vegetation prior to soybean emergence in conservation tillage (reduced- tillage/no-till) systems.
PCT | Sunrise® Croprotek® MetriChlor Pre may be tank mixed with other herbicides registered for the same use and timing for control of emerged weeds prior to crop emergence. Apply PCT | Sunrise® Croprotek® MetriChlor Pre burndown tank mixes before planting or prior to crop emergence. See the Tank Mix section on this label for further information on tank mixing.
Application
PCT | Sunrise® Croprotek® MetriChlor Pre may be applied up to 30 days before planting or preemergence. Apply only by ground equipment when PCT | Sunrise® Croprotek® MetriChlor Pre is used for burndown of existing vegetation in conservation tillage systems. Use the high end of the rate range for PCT | Sunrise® Croprotek® MetriChlor Pre applications made 14 - 30 days before planting. Refer to Table 7 for rates of PCT | Sunrise® Croprotek® MetriChlor Pre. Refer to the tank mix product labels for rates and use directions. Follow all label directions, restrictions, and precautions for tank mix partners. Where differences arise, the more restrictive language must be followed.
Refer to the Product Information section of this label for additional information, precautions, and limitations.
Restrictions for Burndown Weed Control in Soybeans:
2) Burndown application may only be made by ground.
1) Do not apply these treatments after crop emergence.
3) Soybean plants or hay treated with PCT | Sunrise® Croprotek® MetriChlor Pre as a burndown treatment may be grazed or fed to livestock 40 days after application. Follow the most restrictive preharvest interval of all products used in a tank mixture.
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PCT | Sunrise® Croprotek® MetriChlor Pre Use Rates For Reduced and No-Till Systems
Preplant Surface Application
PCT | Sunrise® Croprotek® MetriChlor Pre may be used in reduced-till and no-till systems. Applications may be made up to 30 days before planting or after planting, but before soybean emergence.
Residual herbicides may be tank mixed for additional weed control. If weeds are present at time of application, burndown herbicides may be added to the tank mixes (see Burndown Weed Control section). Refer to the tank mix product labels for rates and use directions. See the Tank Mix section on this label for further information on tank mixing.
Table 7: PCT | Sunrise® Croprotek® MetriChlor Pre Use Rates for Reduced-Till and No-Till Systems (Broadcast Rates)
1 Use the lower rate within the range for low residue level or soils with less than 3% organic matter. Use the higher rate within the range for high residue level or soils with greater than 3% organic matter.
3 Silty clay loam soils are transitional soils and may be classified as medium-textured soils in some regions of the U.S. When using PCT | Sunrise® Croprotek® MetriChlor Pre, treat this soil as "fine-textured."
2 Do not use on sand soils. On coarse-textured soils, do not use on loamy sand soils with less than 2% organic matter.
PCT | Sunrise® Croprotek® MetriChlor Pre Sequential Application
An early preplant (surface-applied or shallow incorporated) application of PCT | Sunrise® Croprotek® MetriChlor Pre, followed by a preemergence application of PCT | Sunrise® Croprotek® MetriChlor Pre after planting but before soybean emergence, will provide more consistent control of broadleaf and grass weeds than a single application.
A sequential application will decrease the need for tillage and/or burndown herbicides for the control of existing vegetation before planting, while providing residual control of weeds after planting.
Application
An early preplant application may be made 15 - 30 days before planting soybeans. Follow this application with a preemergence overlay application of PCT | Sunrise® Croprotek® MetriChlor Pre after planting but before crop emergence. Follow directions on this label for sequential applications from 0 - 14 days before planting.
Where a rate range is listed, use the higher rates (a) in fields with a history of severe weed pressure, (b) when the time between early preplant and preemergence overlay applications approaches the maximum 30 days, (c) when the organic matter content of the soil is over 3%, and/ or (d) when heavy crop residues are present on the soil surface.
When weeds exceed 1 - 1.5 inches in height or diameter at application, use a burndown herbicide, such as glyphosate, paraquat, or 2,4-D LVE.
Weeds Controlled:
In addition to weeds controlled by PCT | Sunrise® Croprotek® MetriChlor Pre alone, the sequential application improves control of the following annual broadleaf weeds: buffalobur, cocklebur, common ragweed, velvetleaf, and sunflower.
Table 8: Sequential Application (Broadcast Rates)
| 1.2 - 1.8 | - followed by - |
|---|---|
| 1.5 - 2.1 | - followed by - |
| 1.8 - 2.4 | - followed by - |
1 On coarse-textured soils, do not use on sand soils with less than 1% organic matter. However, on coarse-textured soils with a calcareous surface area or a pH of 7.5 or higher, do not use on sand soils with less than 2% organic matter, or on loamy sand or sandy loam soils with less than 1% organic matter.
2 PCT | Sunrise® Croprotek® MetriChlor Pre, treat this soil as "fine-textured."
Silty clay loam soils are transitional soils and may be classified as medium-textured soils in some regions of the U.S. When using
Restriction: Do not to exceed 3.9 pints (2.56 lbs. a.i. S-metolachlor; 0.61 lb. a.i. Metribuzin) of PCT | Sunrise® Croprotek® MetriChlor Pre per acre per year.
Postemergence Directed Application (AR, LA, MO – Bootheel only, MS, TN)
PCT | Sunrise® Croprotek® MetriChlor Pre can be applied postemergence directed to soybeans to provide residual control of weeds that emerge after crop emergence in the states of Arkansas, Louisiana, Missouri - Bootheel only, Mississippi and Tennessee. A postemergence directed spray of PCT | Sunrise® Croprotek® MetriChlor Pre can be applied to soybeans in addition to a preemergence or preplant application of PCT | Sunrise® Croprotek® MetriChlor Pre according to label directions. The total amount of PCT | Sunrise® Croprotek® MetriChlor Pre applied must not exceed 3.9 pints per acre per year.
See Table 9 below for PCT | Sunrise® Croprotek® MetriChlor Pre postemergence directed rates according to soil type and organic matter level.
Table 9: PCT | Sunrise® Croprotek® MetriChlor Pre Rates for Postemergence Directed Application (Broadcast Rates)
A postemergence directed application of PCT | Sunrise® Croprotek® MetriChlor Pre will provide residual preemergence weed control of the weeds listed in Table 2.
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Apply in 10 to 20 gallons of water per acre in a 6 to 8 inch band on each side of the row when soybeans are at least 8 inches tall. Do not allow the directed spray to contact more than the lower ¼ to ¹/³ of soybean plants. Soybean leaves contacted by the spray will be killed or severely injured. Do not apply directly to soybeans or serious injury will occur.
Precaution: If heavy rain occurs soon after application, crop injury may result, especially in poorly drained areas where water stands for several days.
Post-Directed Application Tank Mixes - Glyphosate Tolerant Soybeans Only
Postemergence directed applications of PCT | Sunrise® Croprotek® MetriChlor Pre can be tank mixed with glyphosate in glyphosate-tolerant soybeans only. See the Tank Mix section on this label for further information on tank mixing.
Postemergence Directed Applications – Restrictions
2) Do not exceed 3.71 lbs. a.i. per acre per year of S-metolachlor containing products.
1) Do not exceed a total of 3.9 pints (2.56 lbs. a.i. S-metolachlor; 0.61 lb. a.i. Metribuzin) per acre per year of PCT | Sunrise® Croprotek® MetriChlor Pre.
3) Do not graze or feed treated soybean forage, hay, or straw to livestock.
5) Do not apply PCT | Sunrise® Croprotek® MetriChlor Pre to sandy loam or loamy sand soils with less than 2% organic matter.
4) Pre-harvest Interval (PHI): Do not apply within 75 days of soybean harvest.
STORAGE AND DISPOSAL
Do not contaminate water, food or feed by storage or disposal.
PESTICIDE STORAGE:
Store in original container in a well-ventilated area separately from fertilizer, feed and foodstuffs. Avoid cross-contamination with other pesticides. Contain spillage or leakage and absorbed with clay granules, sawdust, or equivalent material for disposal.
PESTICIDE DISPOSAL:
Wastes resulting from the use of this product must be disposed of on site or at an approved waste disposal facility.
CONTAINER HANDLING: Use the handling instructions below appropriate for container size and type.
Nonrefillable container equal to or less than 5 gallons: Nonrefillable container. Do not reuse or refill this container. Clean container promptly after emptying. Triple rinse as follows: Empty the remaining contents into application equipment or a mix tank and drain for 10 seconds after the flow begins to drip. Fill the container ¼ full with water and recap. Shake for 10 seconds. Pour rinsate into application equipment or a mix tank or store rinsate for later use or disposal. Drain for 10 seconds after the flow begins to drip. Repeat this procedure two more times. Then offer for recycling or reconditioning, or puncture and dispose of in a sanitary landfill, or by incineration, or by other procedures approved by state and local authorities.
Nonrefillable container greater than 5 gallons: Nonrefillable container. Do not reuse or refill this container. Clean container promptly after emptying. Triple rinse as follows: Empty the remaining contents into application equipment or a mix tank. Fill the container ¼ full with water. Replace and tighten closures. Tip container on its side and roll it back and forth, ensuring at least one complete revolution, for 30 seconds. Stand the container on its end and tip it back and forth several times. Turn the container over onto its other end and tip it back and forth several times. Empty the rinsate into application equipment or a mix tank or store rinsate for later use of disposal. Repeat this procedure two more times. Then offer for recycling or reconditioning, or puncture and dispose of in a sanitary landfill, or by incineration, or by other procedures approved by state and local authorities.
Refillable container: Refill this container with pesticide only. Do not reuse this container for any other purpose. Cleaning the container before final disposal is the responsibility of the person disposing of the container. Cleaning before refilling is the responsibility of the refiller. To clean the container before final disposal, empty the remaining contents from this container into application equipment or mix tank. Fill the container about 10 percent full with water. Agitate vigorously or recirculate water with the pump for 2 minutes. Pour or pump rinsate into application equipment or rinsate collection system. Repeat this rinsing procedure two more times. Then offer for recycling or reconditioning, or puncture and dispose of in a sanitary landfill, or by incineration, or by other procedures approved by state and local authorities.
FOR CHEMICAL EMERGENCY: Spill, leak, fire, exposure or accident, call CHEMTREC 1-800-424-9300.
WARRANTY DISCLAIMER
The directions for use of this product must be followed carefully. TO THE EXTENT CONSISTENT WITH APPLICABLE LAW, (1) THE GOODS DELIVERED TO YOU ARE FURNISHED "AS IS" BY MANUFACTURER OR SELLER AND (2) MANUFACTURER AND SELLER MAKE NO WARRANTIES, GUARANTEES, OR REPRESENTATIONS OF ANY KIND TO BUYER OR USER, EITHER EXPRESS OR IMPLIED, OR BY USAGE OF TRADE, STATUTORY OR OTHERWISE, WITH REGARD TO THE PRODUCT SOLD, INCLUDING, BUT NOT LIMITED TO MERCHANTABILITY, FITNESS FOR A PARTICULAR PURPOSE, USE, OR ELIGIBILITY OF THE PRODUCT FOR ANY PARTICULAR TRADE USAGE. UNINTENDED CONSEQUENCES, INCLUDING BUT NOT LIMITED TO INEFFECTIVENESS, MAY RESULT BECAUSE OF SUCH FACTORS AS THE PRESENCE OR ABSENCE OF OTHER MATERIALS USED IN COMBINATION WITH THE GOODS, OR THE MANNER OF USE OR APPLICATION, INCLUDING WEATHER, ALL OF WHICH ARE BEYOND THE CONTROL OF MANUFACTURER OR SELLER AND ASSUMED BY BUYER OR USER. THIS WRITING CONTAINS ALL OF THE REPRESENTATIONS AND AGREEMENTS BETWEEN BUYER, MANUFACTURER AND SELLER, AND NO PERSON OR AGENT OF MANUFACTURER OR SELLER HAS ANY AUTHORITY TO MAKE ANY REPRESENTATION OR WARRANTY OR AGREEMENT RELATING IN ANY WAY TO THESE GOODS.
LIMITATION OF LIABILITY
TO THE EXTENT CONSISTENT WITH APPLICABLE LAW, IN NO EVENT SHALL MANUFACTURER OR SELLER BE LIABLE FOR SPECIAL, INCIDENTAL, OR CONSEQUENTIAL DAMAGES, OR FOR DAMAGES IN THE NATURE OF PENALTIES RELATING TO THE GOODS SOLD, INCLUDING USE, APPLICATION, HANDLING, AND DISPOSAL. TO THE EXTENT CONSISTENT WITH APPLICABLE LAW, MANUFACTURER OR SELLER SHALL NOT BE LIABLE TO BUYER OR USER BY WAY OF INDEMNIFICATION TO BUYER OR TO CUSTOMERS OF BUYER, IF ANY, OR FOR ANY DAMAGES OR SUMS OF MONEY, CLAIMS OR DEMANDS WHATSOEVER, RESULTING FROM OR BY REASON OF, OR RISING OUT OF THE MISUSE, OR FAILURE TO FOLLOW LABEL WARNINGS OR INSTRUCTIONS FOR USE, OF THE GOODS SOLD BY MANUFACTURER OR SELLER TO BUYER. TO THE EXTENT CONSISTENT WITH APPLICABLE LAW, ALL SUCH RISKS SHALL BE ASSUMED BY THE BUYER, USER, OR ITS CUSTOMERS, BUYER'S OR USER'S EXCLUSIVE REMEDY, AND MANUFACTURER'S OR SELLER'S TOTAL LIABILITY SHALL BE FOR DAMAGES NOT EXCEEDING THE COST OF THE PRODUCT.
If you do not agree with or do not accept any of directions for use, the warranty disclaimers, or limitations on liability, do not use the product, and return it unopened to the Seller, and the purchase price will be refunded.
Sunrise® and Croprotek® are registered trademarks of Sunrise Cooperative, Inc.
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| 5/6/22 | 202800 | WINFIELD |
|---|---|---|
| 8.5" x 11.5" | 8.25" x 5.125" | |
| BLK 7452 | BLK | BLK |
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Board of Directors and Company Secretary
Penny Ladkin-Brand
Penny Ladkin-Brand
R A
Appointed July 2017
Chair
Penny is Non-Executive Chair and a member of the Audit and Remuneration Committees.
Penny joined Next 15 as a Non-Executive Director and chair of the Audit Committee. In April 2020 she was also appointed as Senior Independent Director and from February 2021 became Chair of the Board.
Skills and experience
Penny is also Chief Strategy Officer at Future plc, a global platform for specialist media. She was previously Chief Financial Officer at Future during which time the group's market capitalisation increased from £25m to £1.2bn and entered the FTSE 250 as it became a digital led business. Prior to that, Penny was Commercial Director at Auto Trader Group plc responsible for digital monetisation. Penny brings considerable experience of digital transformation and M&A to the Board. Penny qualified as a Chartered Accountant with PwC before moving into corporate finance. Penny is a NED and Chair of the Audit Committee at ATG plc.
Tim Dyson Chief Executive Officer Appointed August 1988
Tim joined the Group in 1984 straight from Loughborough University and became CEO in 1992.
Skills and experience
As one of the early pioneers of tech PR, he has worked on major corporate and product campaigns with such companies as Cisco, Microsoft, IBM, Sun and Intel. Tim moved from London to set up the Group's first US business in 1995 in Seattle and is now based in California. Tim oversaw the flotation of the Company on the London Stock Exchange and has managed a string of successful acquisitions by the Group including The Outcast Agency, M Booth, Activate and The Blueshirt Group in the US as well as Morar (now Savanta), Elvis, Velocity, Planning-inc and Publitek in the UK.
Outside Next 15, Tim has served on advisory boards of a number of emerging technology companies. Tim was named an Emerging Power Player by PR Week US and subsequently in PR Week's Power Book. Tim was also recognised on the Holmes Report's In2's Innovator 25, which recognises individuals who have contributed ideas that set the bar for the industry.
Peter joined Next 15 as its Chief Financial Officer in November 2013 and was appointed as an Executive Director in March 2014.
Skills and experience
Peter's financial experience spans 30 years and he has extensive media experience, having spent the last 20 years in finance roles in the media sector. From July 2013 until December 2018, he was a Non-Executive Director of Communisis plc and Chairman of its Audit Committee. He was previously the Interim Finance Director at Centaur Media plc, Interim CFO of Bell Pottinger LLP, CFO of the Engine Group, and CFO of 19 Entertainment. Prior to that, he was Group Finance Director of Capital Radio plc. Peter has considerable experience in UK and US-listed companies, with international exposure.
Helen Hunter
Appointed June 2019
Non-Executive Director
As a Non-Executive Director of Next 15, Helen chairs the Remuneration Committee and is a member of the Audit Committee.
Skills and experience
Helen is Chief Data and Analytics Officer at J Sainsbury plc where her remit is to maximise the value of the Group's data assets: democratising access and finding creative ways to unlock its insight potential in support of Sainsbury's strategy. Over the last nine years at Sainsbury's in roles including Director of Innovation, Director of Marketing Strategy & Innovation, and Director of Customer Data & Relationships, she has developed products and propositions such as Sainsbury's Brand Match and digital Nectar. Helen is also currently a Governor of Lancing College. Before joining Sainsbury's, she held roles at emnos, Home Retail Group, Woolworths Group, and Kingfisher.
Robyn Perriss
Robyn Perriss
A R
Appointed November 2020
Non-Executive Director
Robyn joined Next 15 as a Non-Executive Director and member of the Audit and Remuneration Committees. From February 2021 she was appointed Chair of the Audit Committee.
Skills and experience
Robyn has significant experience in both the technology and media industries, having served as Finance Director at Rightmove plc, the UK's largest property portal, until June 2020. Robyn previously held senior roles at Rightmove, including as Financial Controller and Company Secretary. Before joining Rightmove, Robyn was Group Financial Controller at Auto Trader, another media sector disruptor. Robyn joined Softcat plc, a leading provider of IT infrastructure to the corporate and public sectors, as a Non-Executive Director and Chair of the Audit Committee in July 2019. She is also a Non-Executive Director and chair of the Audit Committee for Dr Martens plc. Robyn qualified as a Chartered Accountant in South Africa with KPMG and worked in both audit and transaction services.
Mark Sanford General Counsel and Company Secretary Appointed February 2021
Mark Sanford
Skills and experience
Having qualified as a solicitor at Eversheds, Mark worked in their Corporate team before moving to his first in-house role at Premier Farnell plc. Mark first joined Next 15 in 2003 as General Counsel and Company Secretary. In 2009 he set up his own boutique law firm Baker Sanford LLP while continuing to provide an outsourced legal and company secretarial function to Next 15. In 2017 Mark became General Counsel and Company Secretary of Ebiquity plc, an AIM-listed media consultancy business. He re-joined Next 15 in February 2021.
Key
Chair of Committee
A Audit Committee
R Remuneration Committee
Corporate governance statement
"I look forward to building on Richard Eyre's successful tenure as Chair and to working with the Board to progress continual improvements of our board effectiveness and governance framework to promote the longterm success of the Group."
Penny Ladkin-Brand
Chair
26
An introduction from our Chair
On behalf of the Board I am pleased to present the corporate governance report for the year ended 31 January 2021.
The Directors recognise that shareholders look to the Board to promote the long-term success of the Company and I recognise that effective governance is crucial to achieving this. In this section of our report we have set out our approach to governance and provided further detail on how the Board and its Committees operate.
The Board has continued to apply the Quoted Companies Alliance Corporate Governance Code (the 'QCA Code'). The corporate governance framework which the Group operates, including Board leadership and effectiveness, Board remuneration, and internal controls is based upon practices which the Board believes are proportional to the size, risks, complexity and operations of the businesses within the Group.
During the year, we concluded the orderly transition of the Board Chair role from Richard Eyre to me and refreshed and added further diversity to the Board with the appointment of Robyn Perriss as a Non-Executive Director and Chair of the Audit Committee. In addition, we undertook a comprehensive independent evaluation of the Board's and Committees'
effectiveness with an external specialist board evaluation firm. This robust exercise revealed a positive picture of a Board that is working well across the key areas of board effectiveness, governance and performance. We have embraced the recommendations from the external board evaluation and have developed a roadmap to implement these as part of our strong focus on our governance framework.
As Chair I am responsible for leading the Board and for its governance of the Group. I look forward to building on Richard Eyre's successful tenure as Chair and to working with the Board to progress continual improvements of our board effectiveness and governance framework to promote the long-term success of the Group.
We welcome feedback from our shareholders at all times and I encourage all to participate in our AGM.
Penny Ladkin-Brand Chair 12 April 2021
Statement of compliance
Next 15 has adopted the QCA Code and is compliant with all of its principles. Disclosures required by the QCA Code have been made both in this annual report and on our website. Further information on the Company's compliance with the QCA Code can be found on the Group's website at www.next15.com, on the AIM Rule 26 page.
The Composition of the Board
The Board is responsible for the strategic direction, investment decisions and effective control of the Group. During the year ended 31 January 2021 the Board comprised two Executive Directors, a Non-Executive Chairman and three Non-Executive Directors.
On 7 May 2020, the Company announced that Richard Eyre CBE would complete nine years as Chairman of the Board on 11 May 2020 and Penny Ladkin-Brand, who chaired the Audit Committee from July 2017, would become Chair of the Board with effect from 1 February 2021. Penny became Senior Independent Director with effect from 7 May 2020 and Richard agreed to continue in post to the end of the financial year, to support a smooth transition. During that time, Penny Ladkin-Brand stepped down from the position of Chief Financial Officer and as an Executive Director of Future plc, a global platform for specialist media, and took up the role of Chief Strategy Officer at Future plc. Richard retired from the Board on 31 January 2021 and Penny succeeded him as Chair of the Board from that date, and stepped down as Senior Independent Director and Chair of the Audit Committee.
Robyn Perriss joined the Board on 12 November 2020, as a Non-Executive Director and member of the Audit and Remuneration Committees. From February 2021 she was appointed Chair of the Audit Committee. Robyn brings significant expertise of growth through digital disruption as well as governance and strategic oversight, making her a valuable addition to the Board as Next 15 continues its progress in technology-driven marketing. Robyn served as Finance Director at Rightmove plc, the UK's largest property portal until 30 June 2020 and previously held senior roles at Rightmove, including as Financial Controller and Company Secretary. Before joining Rightmove, Robyn was Group Financial Controller at Auto Trader, another media sector disruptor. Robyn joined Softcat plc, a leading provider of IT infrastructure to the corporate and public sectors, as a Non‑Executive Director and Chair of the Audit Committee in July 2019 and in January 2021 was appointed to the board of Dr Martens Limited, as a Non-Executive Director, on its floatation on the London Stock Exchange.
Biographies of each of the Board Directors, including the Committees on which they serve and chair, are shown on pages 24 and 25.
The Board is satisfied that, between the Directors, it has an effective and appropriate balance of skills and knowledge, including a range of financial, commercial and entrepreneurial experience. The Board is also satisfied that it has a suitable balance between independence (of character and judgement) and knowledge of the Company to enable it to discharge its duties and responsibilities effectively. The Non-Executive Directors are considered to be independent. No single Director is dominant in the decision-making process.
The Board aims to convene nine times a year, with additional meetings being held as required. The Covid-19 pandemic has meant that there were more meetings than usual and all meetings have been held virtually during the year. It is anticipated that following the change to adopt virtual working, and as Tim Dyson is located in California, that around half of the Board meetings will continue to be held virtually going forward. Details of Board and Committee meetings held during the financial year and the attendance records of individual Directors can be found on page 28.
The Board meets once a year to discuss the Group's strategy. This year, the Board participated in workshops with representatives from the Group's businesses focusing on the future of the Group and how it could serve its stakeholders better.
Prior to their appointment, the Company informed each Director of the nature of their role, their responsibilities and duties to the Company, and the time commitment involved. On appointment each Director confirmed that, taking into account all of their other commitments, they were able to allocate sufficient time to the Company to discharge their role effectively. The Board is satisfied that the Chair and the Non-Executive Directors each devote sufficient time to the Company and that there have been no significant changes to their other commitments.
Corporate governance statement continued
Board and Committee attendance for the year ended 31 January 2021
Attendance records for the Board and Committee meetings held during the year are shown below. These include both scheduled Board, Audit Committee and Remuneration Committee meetings and further meetings that were convened as required throughout the year. In particular, the Board met more frequently as the Covid-19 situation developed, in order to assess and respond to the uncertainty, challenges and opportunities which this created for the business. Additional Committees of the Board were also constituted to review and approve certain acquisitions, and regulatory news announcements. Other members of the senior management and brand management teams, as well as advisers, attended Board and Committee meetings by invitation as appropriate throughout the year.
1 Robyn Perriss joined the Board on 12 November 2020.
The Board's responsibilities and processes
The principal matters considered by the Board during the period included:
* the Group's strategy, budget and financial resources;
* the Group's performance and outlook, including that of individual brands;
* the Group's financial results for the interim and year end;
* Information Security Management System ('ISMS') arrangements across the Group including cyber security;
* assessing and responding to the uncertainty, challenges and opportunities from the Covid-19 pandemic and Brexit;
* review of the Group's risk management and internal controls;
* review of opportunities to expand by acquisition;
* post-integration monitoring of acquisitions; and
* corporate governance matters including QCA Code compliance Board evaluation outcomes and succession planning.
There is a schedule of matters specifically reserved for decision by the Board which is regularly reviewed and available from the Group's website at www.next15.com.
At each Board meeting, the Chief Executive Officer provides a business review and the Chief Financial Officer provides a financial review. Board members receive monthly trading results, together with detailed commentary. Each Director receives a Board pack in advance of each meeting which includes a formal agenda together with supporting papers for items to be discussed at the meeting.
All Directors have access to the advice and services of the Company Secretary, who is responsible for ensuring that Board procedures are followed and that the Company complies with all applicable rules, regulations and obligations. Directors may take independent professional advice at the Company's expense, as and when necessary to support the performance of their duties as Directors of the Company. Appropriate induction and training for new and existing Directors is provided where required.
Appointment, election and re-election of Directors
Appointments to the Board are the responsibility of the Board as a whole. From February 2021, the Board has reestablished a Nomination Committee comprising all the Non-Executive Directors.
The Directors' service agreements, the terms and conditions of appointment of Non-Executive Directors and Directors' deeds of indemnity are available for inspection at the Company's registered office during normal business hours.
The Company's Articles of Association provide that a Director appointed by the Board shall retire and offer themselves for re-election at the first AGM following their appointment and that, at each AGM of the Company one-third of the Directors in addition to any new appointment must retire by rotation. Robyn Perriss having been appointed since the last AGM, will be subject to election, and Penny Ladkin-Brand and Peter Harris will offer themselves for re-election by the shareholders at the forthcoming AGM.
With regard to the Directors who are offering themselves for re-election at the next AGM, the Board was delighted to welcome Robyn Perriss to Next 15 during the year. Robyn brings with her extensive experience in the technology and media industries which complement the existing skills and expertise of the Board. The Board is further satisfied that the contributions of both Penny Ladkin-Brand and Peter Harris continue to be effective and demonstrate sufficient time commitment to their respective roles. The Board believes that each Director standing for re-election is independent in character and judgement. The Board therefore recommends that the Company and its shareholders support the election and re-election of each of these Directors.
Richard Eyre CBE stepped down as Chairman of the Board on 31 January 2021 and Penny Ladkin-Brand, who had been Chair of the Audit Committee and Senior Independent Director, became Chair of the Board with effect from that
date. Following Penny's appointment as Chair of the Board, Robyn Perriss has been appointed Chair of the Audit Committee.
Biographical details of each Director standing for election and re-election can be found on pages 24 and 25 of this report.
The roles of the Chair and Chief Executive
Richard Eyre CBE held the position of the Chairman of the Board until he stepped down from the Board in January 2021. During the year, he led the Board in the determination of its strategy and in achieving its objectives. The Chair is responsible for organising the business of the Board, ensuring its effectiveness and setting its agenda, and is also responsible for effective communication with the Group's shareholders. At the time of his appointment as Chairman, Richard Eyre CBE was considered independent as defined by the UK Code and in accordance with the principles of the QCA Code. Penny Ladkin-Brand was appointed as Chair of the Board on 1 February 2021 and is considered to be independent as defined by the UK Code and in accordance with the principles of the QCA Code.
The Chief Executive Officer, Tim Dyson, oversees the Group on a day-to-day basis and is accountable to the Board for the financial and operational performance of the Group. The Chief Executive Officer has responsibility for implementing the agreed strategy and policies of the Board.
Board performance evaluation, succession planning and diversity
The performance of the Board is key to the Company's success. The performance of the Board and its Committees is evaluated regularly, and the evaluations are conducted with the aim of improving their effectiveness.
During the year ended 31 January 2021, the Company engaged the services of Board Excellence to carry out a detailed and independent review of the Board and Board Committee processes, procedures and effectiveness. Board Excellence is a specialist board evaluation firm and has no other connection with the Company. The process consisted of completion by the Board and senior executives of a searching questionnaire of the board dynamics, effectiveness and governance, a review of the last 12 months of all Board, Committee and governance related materials and confidential one-to-one interviews of all the board members and senior executives. This culminated in a detailed report assessing the board's effectiveness, governance and performance across 20 key categories, assessing compliance with the QCA Code and the Financial Reporting Council (FRC) Guidance on Board Effectiveness (2018), comparison with international best practices and recommendations on driving sustained improvement in the board effectiveness. By way of overview, the evaluation concluded that the board is working effectively, balancing strong oversight, debate and challenge with the independent non-executive directors adding strategic value. The evaluation also concluded that there was strong compliance with the QCA Code and a deep commitment by the board to employee engagement and Environment, Social and Governance (ESG).
The principal findings of the independent evaluation and recommendations that are endorsed by the Board for implementation are to:
* Enhance the strategic framework at board/executive level to incorporate agile approaches in the light of market disruption and emerging opportunities.
* Streamline the individual brand executive reporting at board level.
* Expand the focus on ESG at board and committee level.
The Board believes in the importance of diverse Board membership. Our Board has 60% female representation which exceeds the recommendation set out by Lord Davies, supported by the Hampton-Alexander Review, for a minimum of 33% female representation (applicable to FTSE 350 boards)
by 2020. The Board considers that gender is not the only diversity factor and is mindful of a range of other factors when assessing the balance of the Board and welcomed a finding of Board Excellence that the Board is also diverse in terms of thinking styles, age and reflective of the Groups' customer demographics. We set out our Group-wide approach to diversity and inclusion in our Corporate Governance Statement on page 33.
In place of having a separate Nomination Committee, during the year ended 31 January 2021 the Board as a whole lead the Board recruitment and appointment processes. It also has responsibility for reviewing the balance of the Board to ensure that, collectively, the Board: has a good range of skills, knowledge and experience; comprises diverse individuals who can bring different perspectives to the Board's discussions; has oversight of senior management and Board succession plans; and makes recommendations on matters such as Directors' independence and commitment.
Directors' conflicts of interest
Directors have a statutory duty to avoid conflicts of interest with the Company. The Company's Articles of Association allow the Directors to authorise conflicts of interest and the Board has adopted a policy for managing and, where appropriate, approving potential conflicts of interest. The Board is aware of the other commitments and interests of its Directors, and changes to these commitments and interests are reported by the Directors. A review of Directors' conflicts of interest is conducted annually.
Corporate governance statement continued
Committees of the Board
The Board is supported by the Audit and Remuneration Committees. The Board appoints the Committee members. The reports of these Committees can be found on pages 36 to 39 and 40 to 57 respectively.
Each Committee has access to such external advice as it may consider appropriate. The Company Secretary or his nominee acts as Secretary to the Committees. The terms of reference of each Committee are reviewed regularly, updated as necessary to ensure ongoing compliance with best practice guidelines and referred to the Board for approval. Copies of the Committees' terms of reference are available from the Group's website at www.next15.com.
The Audit Committee currently comprises three Non-Executive Directors: Penny Ladkin-Brand (Chair up to 31 January 2021), Robyn Perriss (Chair from 1 February 2021), Richard Eyre CBE (up to 31 January 2021) and Helen Hunter. Peter Harris also attends most meetings at the invitation of the Chair of the Audit Committee. Broadly, the Audit Committee is responsible for reviewing financial reporting, oversight of the Internal Audit function, the relationship with the External Auditor, internal controls, and oversight of the effectiveness of risk and risk management systems.
The Remuneration Committee comprises three Non-Executive Directors: Helen Hunter (Chair), Penny Ladkin-Brand, Robyn Perriss (from 12 November 2020) and Richard Eyre CBE (up to 31 January 2021). The Executive Directors also attend these Committee meetings at the invitation of the Chair of the Remuneration Committee, except when discussing matters of their own remuneration. The Remuneration Committee is responsible for reviewing and approving executive remuneration policies and practices, taking account of pay practices and policies across the Group's workforce.
Nomination matters, such as Board recruitment and the appointment process as described on page 28, were dealt with by the Board as a whole during the year ended 31 January 2021. However, from February 2021 the Board has resolved to reconstitute a Nomination Committee comprised of the three Non-Executive Directors: Penny Ladkin-Brand (Chair), Helen Hunter and Robyn Perriss.
Risk
Our approach to risk management is set out on page 16, and the principal risks to our business, and the actions we have taken to mitigate them, are set out on pages 17 to 20.
Corporate culture
We have a strong corporate culture based on entrepreneurial spirit, taking personal responsibility and treating all stakeholders fairly and equitably. Businesses within the Group are given a high degree of autonomy in line with the Group's emphasis on personal responsibility, with the centre acting as enablers and teachers. However, the Board and its Committees set a high standard for ethical behaviour and ensure the Group complies with applicable laws and regulations, and the executive team work to embed a corporate conscience that runs throughout Group initiatives and practices.
The Group determines that ethical values and behaviours are recognised and respected through:
* the emphasis on the 'who' before the 'what' during due diligence when the Group evaluates acquiring new businesses;
* presentations by each business to the Board throughout the year focusing on all areas of their responsibility including people, clients and sustainable growth;
* quarterly Executive Committee meetings with the CEO and senior management; and
* HR policies and practices, reviews and objective setting, and training within each business in the areas they require the most development.
Environmental and social impact
Recent global events, such as the Covid-19 pandemic and the Black Lives Matter movement have reinforced the necessity of environmental and social sustainability to our future resilience and prosperity. The Group remains passionate about using business as a force for good for our people, communities, customers, environment and shareholders.
Building on our work last year, we are using the internationally recognised B Corp framework to focus our strategy on people, planet and profit. Using this framework, we have begun work on a number of important initiatives including:
Environment
* We engaged an external partner, Green Element, to measure our scope 1&2 emissions for UK Head Office and Savanta, see SECR reporting on page 32. We have also begun measuring our global scope 1-3 carbon emissions (including electricity usage, water usage, waste and travel) with a view to setting robust targets.
* We consolidated office space in the UK and US to reduce our environmental footprint, with our people expected to work from home more often post-pandemic. We are also increasing renewable energy usage in our offices as well as implementing more energy-efficient lighting and appliances and environmentally friendly waste management.
People
* We implemented several Diversity, Equity and Inclusion (DE&I) initiatives including DE&I audits, a DE&I Council and measuring our employee diversity. Further detail is provided in the Diversity, Equity and Inclusion section on page 33.
* We implemented a program called Next4Me, which helps smooth the transition for those made unavoidably redundant and retains their details in our databases for future opportunities.
* We continuously monitored employee health and wellbeing during a year of heightened emotional and physical strain, further detail can be found in the employee engagement section on page 33.
* We are rolling out standardised progressive policy sets and training.
* We are benchmarking brands and setting standards for fair remuneration and succession planning.
Customers
* We established an ethics group to ensure we only work with clients aligned with our values.
* We started tracking revenue from contentious sources so that we can hold ourselves to account and disclose these revenues separately in future reporting.
* As part of acquisition due diligence, we have been asking all targets about their approach to ESG to ensure we are buying values-aligned businesses.
Communities
* We have repaid all UK government furlough support received during the Covid-19 pandemic.
* We are measuring how local, diverse and compliant with laws & regulations our suppliers are. This is with a view to setting targets and highlighting any suppliers who are not aligned to our social and environmental values with a view to replacing them if they fail to make progress.
Governance
* We are in the process of implementing standardised social and environmental non-financial KPIs from Board level down.
* We will continue to increase our ESG disclosure in order to act as a role model for change.
Streamlined Energy and Carbon Reporting 2020/21
Next 15 has reported Scope 1 and 2 (and associated Scope 3) greenhouse gas (GHG) emissions in accordance with the requirements of Streamlined Energy and Carbon Reporting (SECR). This includes emissions for the first mandatory reporting financial year, the 12 months to 31 January 2021.
Methodology
Next 15 were responsible for the internal management controls governing the data collection process. Green Element was responsible for data collection, data aggregation, GHG calculations and the emissions statements. Emissions were calculated according to the Greenhouse Gas Protocol Corporate Greenhouse Gas Accounting and Reporting Standard. Data was gathered from exact information where possible, with some information based on pro-rata extrapolation where verifiable data was not available.
Responsibilities of Next 15 and Green Element
Scope and Subject Matter
The report includes sources of environmental impacts under the operational control of the Next 15 Group in the UK. This includes two UK organisations in 2020:
* Next 15
* Savanta
In accordance with the UK Government's Environmental Reporting Guidelines, these companies meet the mandatory reporting requirements and others within the Next 15 group have not been included.
GHG sources included in the process:
* Scope 1: Natural gas for energy generation (there was no gas usage in either Next 15 or Savanta offices).
* Scope 2: Purchased electricity (location-based method)
* Scope 3: Business travel in employee owned or hired vehicles (there was no reported business travel in employee owned or hired vehicles).
Types of GHG included, as applicable: CO 2 , NO 2 , CH 4 . The figures were calculated using DEFRA conversion factors, expressed as tonnes of carbon dioxide equivalent (tCO 2 e).
Corporate governance statement continued
Energy Efficiency Action
During the reporting period, we have focused on ensuring our offices are using a low base load of energy during periods of low occupation. This has involved installing PIR motion sensor lighting and low energy bulbs. In addition, we have installed modern efficient appliances in our kitchens and programmed laptops to apply standby power when not in use.
Next 15 Streamlined Energy and Carbon Reporting (SECR) 2020/21 mandatory reporting, as follows:
| Energy consumption used: (kWh) |
|---|
| Electricity (kWh) 99,545.9 |
| Gas (kWh) — |
| Transport fuel (kWh) — |
| Other energy sources (kWh) — |
| TOTAL 99,545.9 |
| Emissions (tCOe*) 2 |
32
* tCO2e is tonnes of carbon dioxide equivalent gases.
** Location-based electricity (Scope 2) emissions using the average grid fuel mix in the region or country where the electricity was purchased and consumed. For SECR, location based is mandatory.
Our shareholders
The Board recognises the importance of maintaining an effective dialogue with its shareholders, to ensure that its strategy and performance are clearly understood. We communicate with our shareholders through our annual report and accounts, full-year and half-year results announcements, trading updates, AGMs and face-to-face meetings. A range of corporate information is available from the Group's website at www.next15.com (including copies of presentations, announcements, historical annual reports, historical notices of general meetings, AGM voting records, and other governance-related materials).
In early 2021, we engaged directly with our institutional shareholders on changes to the remuneration packages for both Executive and Non-Executive Directors, to better align the packages to market levels and Next 15's longer-term strategy. Further details of these changes are set out in the Remuneration Report from page 40.
Ordinarily the Board would be available to take questions from shareholders at the AGM. In accordance with current UK government measures, shareholders may not be able to attend the AGM in person. If the restrictions on public gatherings remain in place and shareholders are unable to attend the AGM, in order to ensure that shareholders have adequate access to the Board, we will ensure that the Board is able to meet shareholders and respond to their questions by way of an interactive webcast. Details of this and any other changes to the AGM arrangements will be published on the Group's website. We strongly encourage all shareholders to vote on all resolutions by completing an online proxy appointment form in advance of the meeting, appointing the chair of the meeting as your proxy. Proxy votes will be counted at the meeting for each shareholder resolution and are subsequently published on the Group's website at www.next15.com. In the event of a significant proportion of votes ever being received against a particular resolution, the Board would take steps to understand shareholder concerns and consider what action they might want to take
in response. Shareholders are also encouraged to submit questions to the Board throughout the year via the Company Secretary to email@example.com. More information concerning the arrangements for the AGM can be found on page 59.
The Board is happy to enter into dialogue with institutional shareholders based on a mutual understanding of objectives, subject to its duties regarding equal treatment of shareholders and the dissemination of inside information. The Chief Executive Officer and the Chief Financial Officer meet institutional shareholders on a regular basis.
The Board as a whole is kept informed of the views and concerns of the major shareholders. When requested to do so, the Non-Executive Directors will attend meetings with major shareholders and are prepared to contact individual shareholders should any specific area of concern or enquiry be raised.
Our people
We talk about the "who" and not the "what". We talk about our people being our greatest asset. Today, we are not only competing for great talent, but we're also competing to stand out in the market as a great place to work. Our goal is to create a work environment where all our people can bring their whole selves to work every day. Where inclusivity is a behaviour; a mindset that runs through the group.
2020 was a year that saw society unite and divide, to fight a common enemy, start movements, and force action across the globe. The world of work has changed because of the events of 2020 and that compelled us to not only reflect on our practices as employers and as corporate citizens, but to interrogate our thinking. It highlighted the need for us as an organisation to focus and take action to embed change across the business. By making these key changes, we take the first step to changing the societies we operate in.
Diversity, equity and inclusion
We recognise that we have fundamental changes to make within the business, however this journey started many years ago when we set out to ensure our board was gender balanced. We currently have a majority female board including a female Chair. Taking the events of 2020 into consideration we have embarked on the next stage of our journey where we have started to work more holistically as a group, to create new frameworks that underpin all our businesses and embed the changes we need to make.
During the year we took the decision to audit our current state as a starting point. We engaged with an external partner, Bold Culture, to conduct Diversity, Equity and Inclusion audits on all of our brands which will be completed by the end of May 2021. We intend to use the data to develop a more informed strategy tailored to the needs of the organisation and our people. This strategy will be kept under continuous review by way of direct engagement with our employees, and leverage feedback to create a work environment, including benefits and policies, that aligns with our culture and best practice.
We built a cross brand affinity group to collaborate, share best practice and help each other improve. We also formed a DE&I Council in August 2020 comprised of 20 people from across the brands representing all levels of business and industry experience, and provides diversity of thought, race, ethnicity, gender, sexual orientation and disability. The DE&I Council will act as our internal indicator of change, reporting on activity and measuring the adoption of new processes and programs.
M Booth appointed Eric Winkfield as Head of DE&I, the first appointment of its kind for the Group. In addition to his responsibilities at M Booth, Eric works with Next 15 to help with Group and Brand guidance on inclusion, and consults with clients on diversity, equity and inclusion. Inclusive hiring training has been carried out at the Next 15 level and is being conducted within the Brands as they complete their
audits. In the coming months, a group strategy to embed inclusivity across the Group will be created as the full set of audit data becomes available.
We have taken significant steps to understand the Group by utilising new software that provides us with understandable analysis of our own data. We have taken the opportunity to look at our diversity at a Group level, the aggregate data is shown in the charts on page 34. This data is now used to populate the "People Dashboard" which is kept up to date in real time and reviewed by the Board at every meeting. This data also allows us to create stronger strategic people plans and highlight areas of risk as well as develop benchmarks for best practice.
Employee engagement
Our employees are key to the Group's success and we rely on a committed workforce to help us achieve our short-term and long-term objectives. It is right that our employees share in the success of Next 15. Accordingly, a number of incentive arrangements operate across the Group to reward colleagues for the contribution they are making, as a result of their efforts to grow the business, towards generating the rewards which our investors enjoy. We are always reviewing our incentives to ensure that they drive the right behaviours within our businesses. In addition, the Group regularly keeps employees apprised of the Group's financial performance, through a combination of meetings and collaborative communication.
Knowing what our people think and feel is key to our growth as a Group. Our businesses monitor engagement and act on feedback in a variety of different ways, including yearly engagement surveys, pulse surveys, 360-degree appraisals and central reporting of HR issues. We have worked to centralise data and reporting so we can correlate people trends with other business metrics. These trends and issues are reported to our Chief Executive Officer at quarterly Executive Committee meetings of senior management.
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Our customers
Client focus is critical to the success of each of our businesses. By their nature our businesses work in collaboration with their clients: we embed teams within client organisations, use agile processes, and build businesses to better serve client needs based on what they tell us.
Our suppliers
Because of the nature of our business, our long-term success as a Group is not dependent on any one supplier; nevertheless, we believe in treating our suppliers fairly, for example by ensuring that we pay our suppliers promptly in accordance with the prevailing terms of business.
The Group has a zero-tolerance approach to practices which are at odds with our values and culture, for example corruption, bribery and modern slavery. We are committed to acting ethically and with integrity in all business dealings and relationships and to implementing and enforcing effective systems and controls to ensure such practices are not taking place anywhere in our businesses or supply chain.
Financial reporting and going concern statement
The Directors have, at the time of approving the financial statements, a reasonable expectation that the Company and the Group have adequate resources to continue in operational existence for the foreseeable future. Accordingly, they continue to adopt the going concern basis in preparing the financial statements.
The Directors have made this assessment in light of reviewing the Group's budget and cash requirements for a period in excess of one year from the date of signing of the annual report and considered outline plans for the Group thereafter.
The Group's business activities, together with the factors likely to affect its future development, performance and position, are set out in the Strategic Report on pages 1 to 23. The financial position of the Group, its cash flows, liquidity position and borrowing facilities are described in the Financial Review on pages 10 to 15.
In addition, note 19 to the financial statements includes: the Group's objectives, policies and processes for managing its capital; its financial risk management objectives; details of its financial instruments and hedging activities; and its exposures to credit risk and liquidity risk.
The Directors' Responsibilities Statement in respect of the financial statements is set out on page 61.
Audit Committee report
36
I am pleased to present my first report as Chair of the Audit Committee (the 'Committee') following my appointment as Committee Chair on 1 February 2021. I would like to thank Penny Ladkin-Brand, who served as Committee Chair until that date.
I had a detailed induction to the Next 15 Group following my appointment as a Non-Executive Director in November 2020 with additional emphasis and tailoring in relation to my responsibilities as Chair of the Committee. My induction included:
* meetings with the CFO and the Group's finance team;
* meetings with Deloitte LLP, our External Auditors and with the Group's Internal Audit function;
* a meeting with Numis Securities Ltd, the Group's corporate broker to get a capital markets perspective of the Group;
* a review of the key reporting and areas of significant judgement in the prior financial year; and
* a review of the minutes, reports and papers submitted to the Committee in the 2020 financial year.
This was very helpful in getting quickly up to speed with key financial reporting and control matters and I'd like to thank all of those who provided assistance during my induction.
The Committee plays a vital role in helping the Board to fulfil its oversight obligation by monitoring and reviewing the financial reporting process, ensuring the integrity of the financial information provided to our shareholders, overseeing the development and maintenance of the Group's risk management and internal control environment. It is important that we as a Committee continue to independently assess how the internal control environment and relevant processes and systems ensure that the Next 15 Group is effective, robust and sustainable for the long term whilst also maintaining
the agility and entrepreneurial spirit of the Group companies. This has been a key focus for the year together with regular monitoring of the impact of Covid-19 on our business. You will find important detail on this in other sections of the Annual Report.
I will be happy to answer any questions about the work of the Committee at the forthcoming AGM.
Robyn Perriss Audit Committee Chair 12 April 2021
Membership and Attendance
The current members of the Committee are the Chair of the Committee and two Non-Executive Directors, all of whom are independent. The membership of the Committee has been selected with the aim of providing a range of financial and commercial expertise necessary to meet its responsibilities under the QCA Code. The Committee Chair and Penny Ladkin-Brand have both recently stepped down as Chief Financial Officers of premium listed FTSE businesses and both are qualified accountants and thus the Board considers their financial experience to be recent and relevant to discharge their duty to the Committee and its stakeholders.
The Company Secretary, or his nominee, attends all meetings as Secretary to the Committee and, by invitation, they are attended by the Chief Executive Officer, Chief Financial Officer, the External Audit Partner and the Head of Internal Audit. From time-to-time other senior managers are invited to present on the executive team's behalf.
The Committee met six times during the year, with three extra meetings to consider and monitor the impact of Covid-19. In prior years, the Committee met at least three times a year. Following a review of the Committee's workload and duties and taking into account feedback from the recent Board evaluation, it was agreed that one additional meeting would be added to the calendar to ensure the Committee meets at least every quarter going forward. A summary of members attendance can be found on page 28.
Role and Responsibilities
The Committee's role is to assist the Board in fulfilling its oversight responsibilities. The Committee monitors and reviews the integrity of the Group's financial reporting and other announcements relating to its financial reporting and manages the relationships between the Company and its Internal and External Audit functions. The Committee makes recommendations to the Board based on its activities, all of which were accepted during the year. The Committee's responsibilities are set out in its Terms of Reference on the Company's website at www.next15.com.
Risk and Internal control
The Company's system of internal control, along with its design and operating effectiveness, is subject to review by the Committee. The Board has overall responsibility for setting the Group's risk appetite and ensuring that there is an effective risk management framework. The Committee supports the Board and the Internal Auditor in reviewing systems of risk management and the effectiveness of internal controls. The Chief Executive Officer has overall accountability for the control and management of the risks the Company faces. More information on how we manage our risk can be found on page 16.
Key activities during the year
Key area
Activity during the year
Financial reporting
Internal Audit
External audit
Other matters
* Considered the Group's accounting policies and practices, application of accounting standards and significant judgements and estimates, adjusting items, tax matters, goodwill impairment, earn-out liabilities, and accounting for new acquisitions.
* Reviewed the Annual Report and Accounts as a whole including the clarity of the disclosures and that the narrative in the front section reflected the performance as detailed in the Group financial statements.
* Reviewed the Going Concern Statement included in the Annual Report; in assessing going concern the Committee has considered the Group's latest budget and three-year plan, cash-flow forecast and corresponding sensitivities together with potential downside scenarios.
* Reviewed the half-year accounts, including the material judgements and estimates.
* Reviewed the External Auditor's report on the full-year audit.
* Reviewed the half-year and full-year results announcements and trading statements.
The significant financial judgements considered in relation to the Annual Report and Accounts are detailed on page 39.
* Approved the annual Internal Audit plan, including its alignment to the principal risks, emerging areas of risk, coverage across the Group and continuing review of the Group's processes and controls.
* Monitoring the remit and resourcing of the Group's Internal Audit function.
* Assisting the Board in its assessment of the Group's risk environment, internal controls and risk management processes.
* Keeping under review the effectiveness of the Group's internal control and risk management systems.
* Reviewed key findings from Internal Audit activities during the year.
* Reviewed the External Auditor's independence, objectivity, and the effectiveness of the external audit process.
* Considered the re-appointment of the External Auditor.
* Considered External Auditor fees and terms of engagement.
* Reviewed and approved changes to the Non-Audit Services Policy.
* Reviewed the External Auditor non-audit services and fees.
* Discussed the impact of upcoming changes to accounting standards and legal, tax and regulatory requirements.
* Carried out a review of the Committee's terms of reference.
Audit Committee report continued
Areas of focus for the coming year
The Committee intends to continue to focus on strengthening the systems of internal control through a number of initiatives such as supporting management in continuing to improve the Group's information security controls and embedding continuous controls monitoring. In light of the Covid-19 pandemic and the fundamental changes to how our people work, we will continue to be alert to the risk of fraud and ensuring that people are working safely remotely and that our data is protected. A key area of focus for the Committee over the coming year will include our Group cyber posture and a review of our GDPR compliance across key brands. The Committee has recently launched a governance improvement project to include a review of the quality of reporting from the Group into the Committee and the Committee's terms of reference have been recently refreshed. Over the coming year the Committee also plans to review the operation of both the whistleblowing policy and antibribery and corruption procedures.
Internal Audit
The Group has an independent and objective internal audit function which supports the Board in assessing and ensuring that risks are appropriately managed in line with the Board's risk appetite, and that the internal controls are operating effectively. Internal audit achieves this by assessing whether all significant risks are identified and appropriately reported to the Board, assessing whether they are adequately controlled and assisting management to improve the effectiveness of governance, risk management and internal controls.
Internal audit focuses on controls and related activities (including policies, procedures and systems) which are in place to ensure:
* Proper identification and management of risk;
* Reliability and integrity of information;
* Compliance with policies, plans, procedures, laws and regulations;
* Safeguarding of assets;
* Economical and efficient use of resources; and
* Accomplishment of established objectives and goals.
Internal audit may perform consulting and advisory services relating to governance, risk management and control as appropriate for Next 15. It may also evaluate within the independence requirements, specific operations at the request of the Board, Audit Committee, or management as appropriate. To provide for the independence of the function, the function is run by the Head of Internal Audit, who reports administratively to the Chief Operations Officer of the Group and functionally to the Audit Committee. The Audit Committee provides final approval of the department's Charter and annual internal audit plan. The Head of Internal Audit is responsible for providing the Audit Committee with a selfassessment on internal audit activity, its consistency with the Audit Charter and performance relative to its plan at least every two years.
The Internal Audit Plan for FY22 was approved by the Committee in December 2020 with areas of focus over the coming year including:
* End user IT asset management and bring your own device controls. This is particularly relevant in light of Next 15 employees working remotely from home since late March as a result of Covid-19;
* An update on the implementation of GDPR across the Group;
* Financial controls and health check reviews with a particular focus on recent acquisitions; and
* Development of a continuous controls monitoring dashboard which provides a centralised view of the control environment of Next 15 brands and facilitates investigation by exception, together with benchmarking and sharing of best practice.
Auditor independence, objectivity and fees
The External Auditor, Deloitte LLP, was first appointed in 2014, for the financial year ended 31 January 2015. The Board is satisfied that the Company/Group has adequate policies and safeguards in place to ensure that Deloitte maintain their objectivity and independence. The External Auditor reports annually on its independence from the Company/Group and in accordance with Deloitte's partner rotation rules, a new senior audit partner, Peter McDermott, was appointed with effect from 1 February 2020.
The Group has a formal policy on the engagement of the External Auditor for non-audit services. The objective of the policy is to ensure that the provision of non-audit services by the External Auditor does not impair, or is not perceived to impair, the External Auditor's independence or objectivity. The policy sets out monetary limits and imposes guidance on the areas of work that the External Auditor may be asked to undertake and those assignments where the External Auditor should not be involved. The policy is reviewed regularly, and its application is monitored by the Committee. The fees paid to Deloitte in respect of non-audit services are shown in note 4 to the financial statements. This work is not considered to affect the independence or objectivity of the External Auditor. The non-audit services policy was updated in the year to comply with the FRC Revised Ethical Standards for periods commencing on or after 15 March 2020. The Audit Committee has confirmed no services were provided outside of the updated policy.
External audit effectiveness
The Committee places great importance on ensuring that the external audit is a high quality and effective. The Committee met with Deloitte throughout the year including at times without management present, to discuss their remit and any issues arising from their work as auditor The Committee plans to evaluate the effectiveness of the audit process more formally this year using a questionnaire, together with input from management at the end of the audit cycle.
In relation to the 2021 financial year, the Committee was satisfied that there had been appropriate focus and challenge on the primary areas of audit risk and concluded that Deloitte remained independent and objective in relation to audit. The Committee has made a recommendation to the Board to re-appoint Deloitte LLP as the Company's auditor for the 2021/22 financial year. Accordingly, a resolution proposing their re-appointment will be proposed at the AGM in June 2021.
Significant Judgements
Issue
Explanation
How it was addressed
Accounting for acquisitions
Changes in estimates relating to acquisition-related liabilities
Presentation of Alternative Performance Measures
Under IFRS 3 the Group must identify and value the intangibles it has acquired. The identification of the intangibles acquired, such as customer relationships, brand names or intellectual property, requires judgement following an assessment of the acquired business. Furthermore, it relies on forecasting future performance of the business which, depending on the size of the acquiree, could be materially sensitive to changes in growth rate or profitability assumptions.
The Group has material earn-out liabilities, with some payments dependent on performance in up to four years from the 31 January 2021. The estimates are sensitive to changes in revenue growth rates and profitability assumptions, as well as the discount rate used. If incorrect assumptions are used this could result in a material adjustment to the value of the liabilities within future financial years.
The identification of adjusting items and the presentation of Alternative Performance Measures ("APMs") is a judgement in terms of which costs or credits are not associated with the underlying trading of the Group or otherwise impact the comparability of the Group's results year on year. The Group's adjusting items include the amortisation of acquired intangibles, the change in estimate and unwinding of discount on acquisition-related liabilities, deal costs, growth share charges, employment-related acquisition costs, property related impairment, and Covid-19 related restructuring costs.
During the year the material acquisitions for the Group were CRE and Mach49. The Committee considered the proposed acquisition accounting for both businesses from management, which included the valuation of the acquired intangibles. Due to the nature of Mach49, the assumptions used for revenue growth rate and profitability were particularly sensitive in calculating the contingent consideration. The Committee discussed the sensitivity of those assumptions, and the basis of the assumptions used as well. At the year-end, the External Auditor's work was also discussed. The Committee concluded that the assumptions used were appropriate.
The Committee considered the earn-out liabilities recognised at the half-year and year-end split by brand, how they had changed over the last 6 or 12 months, and the key assumptions made. Further detail was discussed for the most sensitive liabilities alongside management's rationale for those assumptions and relevant sensitivity analysis.
At the year-end the External Auditor's testing thereof was also discussed and following due consideration the Committee concluded it was satisfied with management's assumptions and judgements.
For both the half-year and full year results the Committee considered the adjusting items, including explanations of why they were either not related to the performance of the business or impacted the comparability of the Group's results year-on-year. The Committee also reviewed the FRC's guidance, considered adjusting items used by the Group's peers and the External Auditor's assessment of the adjusting items. The Committee reviewed the narrative for the adjusting items within the Annual Report to ensure it gave adequate detail on why the items were adjusted. The Committee concluded it was satisfied with the adjusting items included in the Group's results and that appropriate disclosure of those items has been included in the Annual Report.
Directors' remuneration report
Helen Hunter
Remuneration Committee Chair
"The Committee keeps the remuneration framework under consistent review and is committed to ensuring it is consistent with best practice."
40
On behalf of the Board, I am pleased to present the Directors' Remuneration Report for the year ended 31 January 2021. The report explains the work of the Remuneration Committee (the 'Committee') during the year, the basis for the remuneration paid to Directors for FY21, and how we intend to apply the remuneration framework for FY22.
Steps taken to adjust our remuneration approach in light of the Covid-19 pandemic
I am presenting this report to you following a year of unprecedented market uncertainty and volatility, driven by the Covid-19 pandemic. The Directors recognised the need to exercise restraint early in 2020 to ensure that the Company's cash position was maximised, and that executive pay was aligned with the experience of its employees and shareholders. Recognising the need to furlough some of our staff and to suspend our dividend the Executive and Non-Executive Directors took a pre-emptive 20% pay cut, effective 1 April 2020, which was reviewed by the Committee and the full salary was re-instated in October 2020. The Executive Directors also waived their entitlement to the FY21 bonus scheme.
We delayed the FY21 long-term incentive award grants until the impact of Covid-19 was clear and meaningful targets could be set. Following adequate assessment of the Company's position, stretching targets were set and are detailed in this report.
Remuneration review
The Committee keeps the remuneration framework under consistent review and is committed to ensuring it is consistent with best practice and adequately reflects Next 15's position and performance against the current macro-economic backdrop. Having focused on the structure of our remuneration framework last year, which resulted in a significant change to the LTIP structure, the Committee has now reviewed the
overall remuneration levels and structure more broadly throughout the senior executive population. Following this review and in light of the Group's ambitious growth plans, the Committee believes it is appropriate to increase the LTIP award levels from 100% to 150% of salary for both Executive Directors. Next 15 has bold growth plans for the next 5-year period and the Committee believes that a greater focus on the LTIP will provide a better alignment to this strategy. Furthermore, in determining this proposed increase, the Committee reviewed the Executive Directors' total remuneration levels against the market. The increase to the LTIP will provide a more appropriate weighting to the package between salary and performance related elements for the CEO and will ensure that the CFO's package is not too far below the mid-market level. A two-year post vest holding period will also be introduced for awards granted from FY22 onwards to increase the performance time-horizon and to bring this aspect of the framework into line with best practice. The increase to LTIP award levels will require an increase to the individual limit within the LTIP rules, which will be subject to a shareholder vote to amend the LTIP rules, at the 2021 AGM.
The Non-Executive Directors' fees were also reviewed during the year. These have remained unchanged for six years and the review indicated that the base fee levels should increase, recognising the growth and development of the business over this time and the need to recruit and retain high quality talent to support the next stage of the Company's growth. The Non-Executive Director base fee will therefore increase from £40,000 to £53,000. The fee for chairing a committee will be £7,000. The increase in fees combined with a desire to have the ability to expand the number of non-executive directors as the Group continues to grow, will also require a change to be made to the Articles of Association to increase the cap on aggregate fees payable to directors, and the approval of new Articles of Association will be subject to a separate vote at the 2021 AGM.
We are committed to having an open and constructive dialogue with investors and as such the proposals set out above were sent to our major investors for their feedback. The Committee was pleased that the overall the response was positive and investors were supportive.
Performance and pay for FY21
Notwithstanding the very challenging operating environment, it has been another year of good progress for the Group with adjusted diluted EPS and adjusted profit before income tax both increasing by 17% and 22% respectively.
The annual bonus was based on the achievement of adjusted operating profit, cash conversion, organic revenue and adjusted operating profit margin performance conditions. The formulaic outcome under the bonus would have resulted in a bonus pay-out of 100% of maximum. However, the Executive Directors made a decision early in the year to forgo any bonus, in light of the need to retain cash and spread the available bonus pool more broadly throughout the business.
We have several cycles of legacy LTIP awards that were due to vest based on performance over FY21 and tranche four of the FY18 LTIP, tranche three of the FY19 LTIP award and tranche two of the FY20 LTIP award are all eligible to vest in FY22. The awards are based 70% on an adjusted EPS performance metric and 30% on strategic KPIs. Following an assessment of performance over the year, the tranches will vest as follows:
* 100% of tranche four of FY18 LTIP;
* 100% tranche three of FY19 LTIP; and
* 82.5% of tranche two of FY20 LTIP.
Further details on the performance against targets for both the bonus and LTIP can be found later in this report.
Grant of the FY21 LTIP awards
The grant of the FY21 LTIP awards was delayed until there was better visibility for longer term business performance. These annual awards are usually granted in April of each year but given the uncertainty from the Covid-19 pandemic these were deferred and eventually granted on 30 July 2020. The three-year performance and vesting approach approved at the June 2020 AGM was adopted for these awards and in line with the current remuneration framework. For the 70% based on EPS, growth of between 10% and 20% over the three-year performance period is required for threshold and maximum vesting. 15% of the award is based on average annual organic net revenue growth and vesting requires between 0% and 5% average annual growth over the threeyear performance period – this recognises that FY20 was a relatively high base line to measure this growth (pre impact of the pandemic on the business in FY21). The remaining 15% is based on operating profit margin and requires the average annual margin over the performance period to be between 16%-18% for threshold to maximum vesting. The award levels were 100% of salary.
Closing remarks
The Committee is satisfied that the remuneration framework has been applied prudently, with stretching performance conditions applied and a significant reduction in pay to align with the experience of our stakeholders. We will continue to apply the framework robustly to ensure that there is a strong link between reward and performance.
I hope this report is clear and demonstrates the robust application of our remuneration framework to ensure pay for performance at Next 15. Although we are an AIM listed company with no requirement for a shareholder vote on Directors' pay, in the spirit of full accountability, this Remuneration Report will be subject to an advisory shareholder vote at the 2021 AGM.
We look forward to continued dialogue with you, and your support at the forthcoming AGM.
Helen Hunter Remuneration Committee Chair 12 April 2021
Directors' remuneration report continued
LTIP tranches vesting in relation to FY21 performance
Tranche four of the FY18 LTIP award, tranche three of the FY19 LTIP award and tranche two of the FY20 LTIP award are eligible to vest in FY22, based on performance over FY21.
The awards are based 70% on an adjusted EPS performance metric and 30% on strategic KPIs. The awards have different performance criteria; performance against targets and the vesting outcomes are shown below:
FY18 and FY19 LTIP Awards
FY20 LTIP Awards
The performance criteria for the FY20 LTIP award were set at the date of the award for FY20 and FY21.
How we will apply our remuneration framework for FY22
Time horizon
| Salary Pension and benefits | Tim Dyson, Chief Executive: $906,206. Peter Harris, Chief Financial Officer: £330,000. Salary levels refel ct no salary increase for the CEO and a 2.1% increase for the CFO, in line with / less than, the average workforce increase. | |
|---|---|---|
| | Directors are entitled to receive employer contributions of up to 10% of base salary to a Group pension plan. | |
| Annual bonus Long-term incentives | Maximum opportunity is 60% of salary, payable in cash. Performance metrics unchanged from FY21 of operating profit, organic revenue growth, cash conversion ratio and operating profit margin. | |
| | | Long-term incentive grant of 150% of salary. Performance will be measured over a single three-year period and will be based two thirds on EPS, 16.7% on revenue and 16.7% on margin. A two-year holding period will apply to the vested award. |
| Shareholding requirement | | Executive Directors must build and maintain a holding of shares in the Company of 200% of salary. 50% of the net of tax number shares vesting under the incentive arrangements must be retained until guideline is met. |
Directors' remuneration report continued
Remuneration framework
To ensure that the Group continues to grow, organically and inorganically, we must have the right remuneration framework in place.
In setting our remuneration framework the Committee considers:
* ensuring that there is a strong long-term alignment of interest between Executive Directors and our shareholders;
* the need to align the overall reward arrangements with the Group's strategy, both in the short and long term;
* the need to attract, retain and motivate Executive Directors and senior management of the right calibre, ensuring an appropriate mix between fixed and variable pay; and
* ensuring that there are coherent cascade pay and benefits arrangements elsewhere in the Group to support internal alignment of interest and succession.
Executive Director remuneration framework
Element of
Directors' remuneration report continued
Remuneration framework continued
Executive Director remuneration framework continued
Element of
Non-Executive Director remuneration framework
Element of
Policy on recruitment
In the case of hiring or appointing a new Executive Director, the Committee may make use of any or all of the existing components of remuneration, as described above. The Committee will take into consideration all relevant factors (including quantum, nature of remuneration and the jurisdiction from which the candidate operates) to ensure that the pay arrangements are in the best interests of the Company and its shareholders. Awards forfeited from the previous employer may be bought out like‑for-like with equivalent bonus or LTIP awards over Next 15 shares.
Directors' service contracts, policy on outside appointments and payments for loss of office
Executive Directors have rolling contracts that are terminable on six months' notice. There are no contractual entitlements to compensation on termination of the employment of any of the Directors other than payment in lieu of notice at the discretion of the Company and a payment for compliance with post-termination restrictions.
Date of current service contract
Notice period
The Executive Directors are allowed to accept appointments and retain payments from sources outside the Group, provided such appointments are approved by the Board.
Bonus and LTIP awards normally lapse if the Executive resigns. However, for a 'good leaver', part-year bonus may be payable, pro rata, and the Executive's unvested awards may also vest subject to the achievement of the performance conditions, usually pro rata, for the proportion of the LTIP holding period employed.
Directors' remuneration report continued
Non-Executive Directors' letters of appointment
All Non-Executive Directors are engaged under letters of appointment terminable on three months' notice at any time. Non-Executive Directors are not entitled to any pension benefit or any payment in compensation for early termination of their appointment.
Date of current letter of appointment
Notice period
Illustrative performance scenarios
These charts illustrate, under three different performance scenarios, the total value of the remuneration package receivable by the Executive Directors for FY22. The assumptions used have been set out below.
Minimum: Comprises fixed pay only using the salary for FY22, the value of benefits in FY21 and a 10% company pension contribution. Tim Dyson also receives a pension benefit under a US 401k plan.
On-Target: A bonus of 30% of salary is payable (50% of maximum) for target performance and half the LTIP awards vest (based on a grant value of 150% of salary).
Maximum: Comprises fixed pay and assumes that the maximum annual bonus is paid (60% of salary) and the FY22 LTIP grant (150% of salary) vests in full. The maximum scenario includes an additional element to represent 50% share price growth on the LTIP award from the date of grant to vesting.
Composition of the Committee and advice received
The Committee usually comprises three Non-Executive Directors: Helen Hunter the Committee Chair, Richard Eyre (until 31 January 2021), Penny Ladkin-Brand and Robyn Perriss (from 10 November 2020). The Company's Chief Executive Officer and Chief Financial Officer attend the Committee meetings by invitation and assist the Committee in its deliberations, except when issues relating to their own remuneration are discussed. No Director is involved in deciding his or her own remuneration. The Company Secretary or his nominee acts as secretary to the Committee. The Committee is authorised, where it judges it necessary to discharge its responsibilities, to obtain independent professional advice at the Company's expense.
Korn Ferry is appointed as adviser to the Committee. Korn Ferry is a signatory to the Remuneration Consultants' Code of Conduct and has confirmed to the Committee that it adheres in all respects to the terms of the Code. Fees paid to Korn Ferry during the period were £49,776 (FY20, nil). This related to advice and support to the Committee on the Long-Term Incentive Plan, shareholder consultation and general remuneration matters. The Committee is satisfied that the advice it received from Korn Ferry is objective and independent.
Terms of reference and activities in the year
The activities of the Committee are governed by its terms of reference, which are available from the Group's website at www.next15.com. The Committee had 10 scheduled meetings during the year and details of attendance can be found in the Corporate Governance Report on page 28.
The principal matters considered by the Committee during the year included:
* reviewing the remuneration framework against the Group strategy and best practice corporate governance requirements;
* undertaking the annual review of remuneration for both Executive Directors;
* setting financial targets for the annual bonus plan FY21;
* reviewing and setting appropriate stretching performance targets for the FY21 LTIP awards;
* considering the remuneration arrangements of brand senior management;
* reviewing the extent to which performance conditions have been met for both the annual and long-term incentive plans, and agreeing the cash and equity payments arising including the processes and communication to Executive Directors and senior executives;
* reviewing the design, policies and targets of the Group's equity incentive plans including their impact on dilution and headroom;
* closely reviewing changes to laws, regulations and guidelines or recommendations regarding remuneration, including in relation to tax; and
* continuing to review the Group's approach to gender pay, diversity and inclusion policies.
Directors' remuneration report continued
Key activities of the Committee for the year ahead
The principal matters for consideration by the Committee for the year ahead will include:
* keeping the remuneration framework under review;
* setting appropriate performance targets for the incentive schemes;
* consideration to the principles governing the Group's brand equity schemes and any adjustments required;
* continuing to review the Group's approach to gender pay, diversity and inclusion policies;
* monitoring and reviewing best practice corporate governance requirements, changes to laws, regulations and tax; and
* re-instate the review of remuneration structures for staff below Executive Director level.
Directors' remuneration for the 12-month period to 31 January 2021
| Executive Directors Tim Dyson 634 — 426 72 50 Peter Harris 291 — 203 29 1 | |
|---|---|
| | 1,182 |
| | 524 |
| | 135 |
| | 45 |
| | 41 |
1 Robyn Perriss joined the Board on 12 November 2020.
2 These figures comprise tranches of three LTIP awards which vest in relation to performance periods ending FY21, being those LTIP awards granted in May 2017, April 2018 and April 2019, valued using a share price of 529p, being the average share price over the last quarter of the period.
3 These figures have been restated to reflect the actual value of the LTIPs on vesting for 2020 using a share price of 365p.
Performance-related bonus
The annual bonus opportunity for FY21 was 60% of salary for both Executive Directors. Performance was based on four, equally weighted performance metrics. The formulaic outcome based on performance against targets would have resulted in a bonus pay-out of 100% of maximum as set out in the table below. As set out in the Chair's letter, the Executive Directors waived their bonuses for FY21 taking into account the performance of the business as a whole for FY21 and the overall experience of shareholders.
* Excludes contribution from acquisition acquired after the reforecast in May 2020.
The bonuses for year ended 31 January 2021 were £nil ($nil) for Tim Dyson and £nil for Peter Harris.
Long-Term Incentive Plan
The historic awards granted to the Executive Directors which vested by reference to performance periods ending on 31 January 2021 are summarised below:
Awards vesting by reference to performance periods ending 31 January 2021
FY18 LTIP grant (granted 2 May 2017)
Number of
Performance shares which vest in tranche 4 of the FY18 award will be released following the 31 January 2022 results (expected to be April 2022).
FY19 LTIP grant (granted 10 April 2018)
Number of
Performance shares which vest in tranche 3 of the FY19 award will be released in April 2021.
continued
Directors' remuneration report
Long-Term Incentive Plan continued
FY20 LTIP grant (granted 28 April 2019)
Performance shares which vest in tranche 2 of the FY20 award will be released following the 31 January 2022 results (expected to be April 2022).
Valued using a share price of 529p, being the average share price over the last quarter of the period.
Awards granted during FY21
The FY21 awards were granted to Executive Directors on 30 July 2020. The award covers a three-year period with the performance measured as an average of the performance over the period from 1 February 2020 to 31 January 2023. The performance criteria for the award is based 70% on adjusted EPS performance and 30% on a range of financial KPIs. Subject to performance against these conditions, the award will be released following the end of FY23.
Directors' interests in share plans for the year to 31 January 2021
As at 31 January 2021 the following Directors held performance share awards over Ordinary Shares of 2.5p each under the 2005 LTIP, 2015 LTIP and 2016 Share Award Agreements, as detailed below:
| Number of Shares performance Shares Shares granted shares at lapsing during released during during Executive Director 1 February 2020 the period the period the period | Number of performance shares at 31 January 2021 | End of Total gain performance on vesting Grant date period £’000 |
|---|---|---|
| Tim Dyson 158,694 51,772 74,404 — 132,496 21,350 — — 128,220 20,413 — — — — — 186,423 | 32,519 | 02.05.2017 31.01.2022 1 272 10.04.2018 31.01.2023 2 — 26.04.2019 31.01.2024 3 — 30.07.2020 31.01.2023 — |
| | 111,146 | |
| | 107,807 | |
| | 186,423 | |
| Peter Harris 73,557 23,997 34,487 — 67,073 10,808 — — 58,847 9,368 — — — — — 85,174 | 15,073 | 02.05.2017 31.01.2022 1 126 10.04.2018 31.01.2023 2 — 26.04.2019 31.01.2024 3 — 30.07.2020 31.01.2023 — |
| | 56,265 | |
| | 49,479 | |
| | 85,174 | |
1 As reported previously, the LTIP awards under the 2015 LTIP (granted from 2017) vest on a tranche basis over a total five-year period. Tranches representing a maximum of 20% of this award will vest by reference to performance periods ending 31 January 2021 but are not released until after 31 January 2022.
2 Executive Directors will become unconditionally legally and beneficially entitled to up to 60% of the total awarded performance shares on the date on which vesting is determined in relation to the performance period ending 31 January 2021 (expected April 2021), and up to the remaining 40% on the date on which vesting is determined in relation to the performance period ending 31 January 2023 (expected April 2023).
3 Executive Directors will become unconditionally legally and beneficially entitled to up to 60% of the total awarded performance shares on the date on which vesting is determined in relation to the performance period ending 31 January 2022 (expected April 2022). The Executive Directors will become unconditionally legal and beneficially entitled to the remaining 40% of the award on the date on which vesting is determined in relation to the performance period ending 31 January 2024 (expected April 2024).
Directors' remuneration report continued
Directors' interests in the shares of Next Fifteen Communications Group plc
The interests of the Directors in the share capital of the Company at 31 January 2020 and 31 January 2021 are as follows:
2
2
| 31 January 2020 (or date of appointment if later) | 31 January 2021 (or date of resignation if earlier) | 1 February 2020 (or date of appointment if later) |
|---|---|---|
| Executive Directors Tim Dyson 5,077,997 1 Peter Harris 354,322 1 | | 419,410 2 199,477 2 |
| | 5,077,997 1 | |
| | 371,566 1 | |
| Non-Executive Directors Richard Eyre 115,000 Penny Ladkin-Brand 20,118 Helen Hunter — Robyn Perriss — | | — — — — |
| | 120,000 | |
| | 85,118 | |
| | — | |
| | — | |
1 in last year's annual report, we included performance shares which had vested in relation to prior periods but not released. As these shares are not issued shares they are now in the LTIP performance shares column.
2 In last year's annual report, performance shares that had vested in relation to prior periods but not released were included in the 'Ordinary Shares' column. As these shares are not issued shares they are now included in these numbers.
Total shareholder return
The Directors consider that a comparison of the Company's total shareholder return to that of similar businesses on the Main Market is more relevant than a comparison with the FTSE AIM All-Share Index.
This graph shows the value on 31 January 2021 of £100 invested in the Company on 31 January 2012 compared with £100 invested in the FTSE Media Index and demonstrates the sustained and significant total shareholder return that we have delivered to shareholders over this period.
How the remuneration framework will be applied for FY22
Salary
The CEO will not receive a salary increase for FY22. The CFO will receive a salary increase of 2.1% in line with / which is less than, the average increase awarded to the workforce.
Directors' remuneration report continued
How the remuneration framework will be applied for FY22 continued
Non-Executive Director fees
Following the review of NED remuneration, the following increases will take effect from 1 February.
| Non-Executive Chair fee £150,000 Non-Executive Director base fee £40,000 Senior Independent Director fee £5,000 | £150,000 | 0% 32.5% 0% |
|---|---|---|
| | £53,000 | |
| | £5,000 | |
| Audit Committee Chair fee £6,000 | £7,000 | +16.7% |
Pension and benefits
Pension will remain capped at 10% of base salary for both Executive Directors. Tim Dyson is also entitled to a small pension under a US 401k pension plan.
Benefits will operate in line with FY21.
Annual bonus
The annual bonus opportunity will remain at 60% of salary for FY22, payable in cash. Performance will be measured against adjusted operating profit, cash conversion ratio, organic revenue growth and adjusted operating profit margin, all equally weighted. The Committee considers the bonus targets to be commercially sensitive but commits to full retrospective disclosure in next year's Remuneration Report.
Long-term incentive
The Executive Directors will be granted LTIP awards of 150% of salary. Performance will be measured over a single three-year performance period to 31 January 2024. The awards will vest based on the achievement of the following performance conditions and targets over the three-year performance period:
A two-year post-vesting holding period applies to vested awards.
The Committee will have discretion to override the formulaic outcome of the incentives in certain circumstances. Clawback and malus provisions will apply.
Report of the Directors
The Directors present their Annual Report together with the audited financial statements of Next Fifteen Communications Group plc (the 'Company') and its subsidiaries (the 'Group') for the year ended 31 January 2021.
The Group has chosen, in accordance with section 414C(11) of the Companies Act 2006, to include such matters of strategic importance to the Group in the Strategic Report which otherwise would be required to be disclosed in this Directors' Report.
Group results and dividends
The Group's results for the period are set out in the Consolidated Income Statement on page 76. The Directors recommend a final dividend of 7p per ordinary share to be paid on Friday 13 August 2021, which gives a total dividend of the period of 7p per ordinary share (2020: 2.5p). Due to the outbreak of Covid-19, the FY20 final dividend and the FY21 interim dividend were suspended.
Directors
Details of Directors who served during the year and biographies for Directors currently in office can be found on pages 24, 25 and 27.
Details of the Directors' remuneration, share options, service agreements and interests in the Company's shares are provided in the Directors' Remuneration Report on pages 40 to 57.
Except for Directors' service contracts, no Director has a material interest in any contract to which the Company or any of its subsidiaries is a party.
Directors' indemnity
In accordance with its Articles of Association the Company has entered into contractual indemnities with each of the Directors in respect of its liabilities incurred as a result of their office. In respect of those liabilities for which Directors may not be indemnified, the Company maintained a Directors' and Officers' Liability Insurance policy throughout the period. Although the Directors' defence costs may be met, neither the Company's indemnity nor the insurance policy provides cover in the event that the Director is proved to have acted dishonestly or fraudulently. No claims have been made under the indemnity or against the policy.
Acquisitions
The following is a summary of Group acquisitions made in the year to 31 January 2021, more detailed disclosure of which can be found in note 26 to the financial statements.
On 15 July 2020, Next 15 purchased the entire share capital of Implementra Limited (trading as Conversion Rate Experts) ('CRE'). The initial consideration for the acquisition was approximately £5.9m, which was settled with £4.6m of cash and the issue of 351,806 of new Ordinary Shares in Next 15. Further contingent consideration may be payable around April 2023 and April 2025 based on the EBIT performance of CRE over the next five years.
On 25 August 2020, Next 15 acquired Mach49 LLC, Mach49 Limited and Mach49 Singapore Pte Ltd, the Silicon Valley-based growth incubator for global businesses. The initial consideration for the acquisition was approximately $2m settled in full in cash, with a further $3.7m deferred. Further contingent consideration may be payable around April 2023, April 2024 and April 2025 based on the EBIT performance of Mach49. The contingent consideration that becomes payable may be satisfied by cash or up to 15% in new ordinary shares, at the option of Next 15.
On 31 October 2020, Next 15 acquired To This Day Limited and its subsidiary Marlin PR Limited. The initial consideration for the acquisition was approximately £1.9m, which was settled with £1.5m of cash and the issue of 101,777 of new Ordinary Shares in Next 15. Further contingent consideration may be payable around April 2021 and April 2022 based on the EBITDA performance of Marlin over the remaining year.
Significant post-balance sheet events
Subsequent to the year end, on 9 April 2021, Next 15 acquired Shopper Media Group Ltd ("SMG") and its subsidiaries. SMG is a UK based agency specialising in commerce marketing activation, connecting retailers and brands with shoppers at the point of purchase both online and in-store. The initial consideration is approximately £15.7m, which will be settled with £11.8m of cash and the issue of 569,181 new Ordinary Shares in Next 15. Further consideration may be payable around June 2023 and June 2025 based on the EBITDA performance of SMG in the two year periods ending 31 January 2023 and 31 January 2025.
Likely future developments in the business of the Company
The Group's priorities for 2021/22 are disclosed in the Strategic Report on pages 1 to 23.
Research & Development
During the year many of our brands undertook R&D activities as part of their work developing leading technological solutions for their clients. Several of our market research agencies have innovated to automate manually intensive research processes by developing bespoke software designed to manage the huge amount of data gathered daily by their clients.
Employees and workers
Our employees and workers are considered one of the Company's principal stakeholders as described in the Corporate Governance Report on pages 26 to 35.
Equal opportunities
The Group seeks to recruit, develop and employ throughout the organisation suitably qualified, capable and experienced people, irrespective of sex, age, race, disability, religion or belief, marital or civil partnership status or sexual orientation. The Group gives full and fair consideration to all applications for employment made by people with disabilities, having regard to their particular aptitudes and abilities.
Any candidate with a disability will not be excluded unless it is clear that the candidate is unable to perform a duty that is intrinsic to the role, having taken into account reasonable adjustments. Reasonable adjustments to the recruitment process will be made to ensure that no applicant is disadvantaged because of his or her disability. The Group's policies for training, career development and promotion do not disadvantage people with disabilities.
Diversity and inclusion
The Group's approach to diversity and inclusion is set out on page 33 and on our website at www.next15.com. Our approach to Board diversity is set out on page 29.
Health and safety
The Group recognises and accepts its responsibilities for health, safety and the environment. The Group is committed to maintaining a safe and healthy working environment in accordance with applicable requirements at all locations in the UK and overseas. The Chief Financial Officer is responsible for the implementation of the Group policy on health and safety.
Cyber security
During the year, Chris Dare joined Next 15 as our Chief Technology Officer. Since joining, Chris has conducted a thorough review of the Group's IT systems and has developed a roadmap for improvement. This has included redeveloping our Information & Cyber Security policies across the group to ensure we meet industry best practice, we have continued the rollout of group wide security systems, including to new acquisitions.
Disclosure of information to the External Auditor
Each of the persons who is a Director at the date of approval of this report confirms that:
1. so far as the Director is aware, there is no relevant audit information of which the Company's External Auditor is unaware; and
2. the Director has taken all steps that they ought to have taken as a Director in order to make themselves aware of any relevant audit information and to ensure that the Company's External Auditor is aware of that information.
This confirmation is given and should be interpreted in accordance with the provisions of section 418 of the Companies Act 2006.
Annual General Meeting
It is our current intention to hold the Annual General Meeting (the 'AGM') of Next Fifteen Communications Group plc (the 'Company') at our offices located at 75 Bermondsey Street, London SE1 3XF on 24 June 2021 at 3.00 p.m. Because of the restrictions arising from the Covid-19 situation, arrangements for the AGM may be subject to change, possibly at short notice. Currently the measures that the UK government has put in place as a result of the Covid-19 pandemic mean that attendance at the AGM in person will not be possible and shareholders or their appointed proxies (other than the chair of the Annual General Meeting) will not be permitted entry to the AGM. should this be the case, the Company will put in place arrangements such that the legal requirements to hold the meeting can be satisfied and the meeting will proceed with only such attendees, employees and AGM support staff as are strictly required and will include only the formal business set out in the Notice of Meeting. The Company is exploring ways to engage shareholders if they are unable to attend in person, including through an online interactive webcast. Details of this and any changes to the AGM will be made available via our website. We strongly encourage you to vote on all resolutions by completing an online proxy appointment form in advance of the meeting, appointing the chair of the meeting as your proxy.
continued
Report of the Directors
Annual General Meeting continued
The Notice of AGM and explanatory notes regarding the ordinary and special business to be put to the meeting will be set out in a separate circular to shareholders, which will be made available on the Group's website at www.next15.com and will be mailed to shareholders who have requested a paper copy.
Political donations
Significant shareholdings
As at 31 March 2021 the Company had received the notifications below of the following significant beneficial holdings in the issued Ordinary Share capital carrying rights to vote in all circumstances of the Company. The percentage holding is based on the Company's issued share capital at the date of the notification.
It is the Group's policy not to make donations for political purposes and, accordingly, there were no payments to political organisations during the year (2020: £Nil).
Charitable donations
During the year ended 31 January 2021, the Group donated £69,925 to various charities (2020: £56,857).
Acquisition of shares
Acquisitions of shares by the Next Fifteen Employee Trust purchased during the period are as described in note 22 to the financial statements.
Financial instruments
Information on the Group's financial risk management objectives, policies and activities and on the Group's exposure to relevant risks in respect of financial instruments is set out in note 19 and in the Strategic Report on pages 16 to 20.
External Auditor
| 2021 | |
|---|---|
| Total | % |
| 12,796,223 | 14.07 |
| 12,739,265 | 14.05 |
| 10,657,356 | 11.75 |
| 6,849,633 | 7.91 |
| 5,077,997 | 5.86 |
| 4,641,977 | 5.08 |
| 4,244,777 | 4.98 |
| 3,841,419 | 4.44 |
| 3,289,152 | 3.80 |
Financial reporting and going concern statement
The Board appointed Deloitte LLP to act as External Auditor for the year ended 31 January 2021. A resolution to reappoint Deloitte LLP as External Auditor of the Company and to authorise the Board to fix their remuneration will be proposed at the forthcoming AGM.
The Directors have, at the time of approving the financial statements, a reasonable expectation that the Company and the Group have adequate resources to continue in operational existence for the foreseeable future. Accordingly, they continue to adopt the going concern basis in preparing the financial statements.
The Directors have made this assessment in light of reviewing the Group's budget and cash requirements for a period in excess of one year from the date of signing of the annual report and considered outline plans for the Group thereafter.
The Group's business activities, together with the factors likely to affect its future development, performance and position, are set out in the Strategic Report on pages 1 to 22. The financial position of the Group, its cash flows, liquidity position and borrowing facilities are described in the Financial Review on pages 10 to 15.
In addition, note 19 to the financial statements includes: the Group's objectives, policies and processes for managing its capital; its financial risk management objectives; details of its financial instruments and hedging activities; and its exposures to credit risk and liquidity risk.
The Directors' Responsibilities Statement in respect of the financial statements is set out on page 61.
Approved by the Board on 12 April 2021 and signed on its behalf by:
Directors' responsibilities statement
The Directors are responsible for preparing the annual report and the financial statements in accordance with applicable law and regulations.
Company law requires the Directors to prepare financial statements for each financial year. Under that law the Directors are required to prepare the Group financial statements in accordance with International Financial Reporting Standards ('IFRSs') and Article 4 of the IAS Regulation and have elected to prepare the parent company financial statements in accordance with United Kingdom Generally Accepted Accounting Practice (United Kingdom Accounting Standards and applicable law), including FRS 101 'Reduced Disclosure Framework'. Under company law the Directors must not approve the accounts unless they are satisfied that they give a true and fair view of the state of affairs of the company and of the profit or loss of the Company for that period.
In preparing the parent company financial statements, the Directors are required to:
* select suitable accounting policies and then apply them consistently;
* make judgements and accounting estimates that are reasonable and prudent;
* state whether FRS 101 'Reduced Disclosure Framework' has been followed, subject to any material departures disclosed and explained in the financial statements; and
* prepare the financial statements on the going concern basis unless it is inappropriate to presume that the Company will continue in business.
In preparing the Group financial statements, International Accounting Standard 1 requires that Directors:
* properly select and apply accounting policies;
* present information, including accounting policies, in a manner that provides relevant, reliable, comparable and understandable information;
* provide additional disclosures when compliance with the specific requirements in IFRSs are insufficient to enable users to understand the impact of particular transactions, other events and conditions on the entity's financial position and financial performance; and
* make an assessment of the Company's ability to continue as a going concern.
The Directors are responsible for keeping adequate accounting records that are sufficient to show and explain the Company's transactions and disclose with reasonable accuracy at any time the financial position of the Company and enable them to ensure that the financial statements comply with the Companies Act 2006. They are also responsible for safeguarding the assets of the Company and hence for taking reasonable steps for the prevention and detection of fraud and other irregularities.
The Directors are responsible for the maintenance and integrity of the corporate and financial information included on the Company's website. Legislation in the United Kingdom governing the preparation and dissemination of financial statements may differ from legislation in other jurisdictions.
Responsibility statement
We confirm that to the best of our knowledge:
* the financial statements, prepared in accordance with the relevant financial reporting framework, give a true and fair view of the assets, liabilities, financial position and profit or loss of the Company and the undertakings included in the consolidation taken as a whole;
* the Strategic Report includes a fair review of the development and performance of the business and the position of the Company and the undertakings included in the consolidation taken as a whole, together with a description of the principal risks and uncertainties that they face; and
* the annual report and financial statements, taken as a whole, are fair, balanced and understandable and provide the information necessary for shareholders to assess the Company's position and performance, business model and strategy.
This responsibility statement was approved by the Board of Directors on 12 April 2021 and is signed on its behalf by:
Peter Harris Chief Financial Officer
|
research-article
895167 research-article2019
Article
Parent and student voice in evaluation and planning in schools
Martin Brown 1 , Gerry McNamara 1 , Shivaun O'Brien 1 , Craig Skerritt 1 , Joe O'Hara 2 , Jerich Faddar 3 Sakir Cinqir 4 , Jan Vanhoof 3 , Maria Figueiredo 5 , and Gül Kurum 4
1
Improving
Schools
https://doi.org/10.1177/1365480219895167 Improving Schools 2020, Vol. 23(1) 85–102 © The Author(s) 2019 Article reuse guidelines: sagepub.com/journals-permissions DOI: 10.1177/1365480219895167 journals.sagepub.com/home/imp
EQI, the Centre for Evaluation, Quality and Inspection, DCU Institute of Education, Ireland
2
3
4
Dublin City University, Ireland
Department of Training and Education Sciences, University of Antwerp, Antwerp, Belgium
Faculty of Educational Sciences, Ankara University, Ankara, Turkey
5
Polytechnic Institute of Viseu, Viseu, Portugal
Abstract
Current approaches to the regulation of schools in most jurisdictions tend to combine elements of external inspection with systems of internal self-evaluation. An increasingly important aspect of the theory and practice of both, but particularly the latter, revolves around the role of other actors, primarily parents and students, in the process. Using literature review and documentary analysis as the research method, this article explores the research literature from many countries around the concerns of schools and teachers about giving a more powerful voice to parents and pupils. Then, focusing on Ireland, this article tries to clarify three things, official policy concerning stakeholder voice in school self-evaluation and decision making, the efforts by schools to implement this policy and the response to date of school leaders and teachers to this rather changed environment. Using Hart's ladder of genuine, as opposed to token, participation, it is argued that policy mandating parental and student involvement has evolved significantly, that schools have responded positively and that there is little evidence, as yet, of teacher concern or resistance. This response is explained by the low stakes and improvement-focused education environment; the controlled, structured and simplified nature of the self-evaluation process; and the limited extent of parental and student participation in decision making.
Keywords
Parent and student voice, school inspection, school self-evaluation
Introduction
There has been an increased interest in, and demand for, school evaluation in recent decades with the work of teachers and schools becoming the subject of critique (Ottesen & Stephens, 2019).
Corresponding author:
Email: email@example.com
According to Baxter (2019), over the last 20 years, the external inspection of standards and quality of education has gained enormous credence throughout the Organisation for Economic Co-operation and Development (OECD). The OECD is now a major player in education with global influence and has done much to encourage education to be perceived as a process governed by inspection, assessment, and comparison reports (OECD, 2014). The education sector has been subject to ever greater scrutiny, and educators are facing heightened levels of surveillance, regulation and bureaucratic scrutiny (Murphy, 2019).
While most education systems now have some form of external inspection system (Brown et al., 2018), the growth in popularity of school inspections has also seen inspectorates across Europe develop new methods of evaluation that respond to increasing levels of decentralised school governance (Baxter, 2017). In consequence, there has been a major change in the conceptualisation of both what constitutes quality and where, how, and by whom it is to be assured. Traditionally, quality assurance was perceived as being the responsibility of the government, but schools are now required to implement their own school-based policies (Brown et al., 2016). In order to improve the quality of education, there is now an expectation, or requirement, in many systems that schools monitor and improve what they deliver themselves (Mac Ruairc, 2019). As Vanhoof et al. (2009, p. 21) point out, schools 'are increasingly being asked to shoulder a greater proportion of the responsibility for developing and guaranteeing educational quality'. This is what is often referred to as school self-evaluation (SSE).
Thus, in summary, current approaches to the regulation of schools tend to combine elements of external inspection with systems of internal self-evaluation. Importantly, an increasingly key aspect of the theory and practice of both, but particularly the latter, revolves around the appropriate role of other actors, primarily, parents and students in the process. This is the focus of this article.
The move towards a more significant role for these stakeholders was bound to arouse concerns and has already generated a considerable literature about the misgivings of other actors, notably teachers, in relation to this development. We examine this in the next section. We then proceed to report on some recent research in Ireland which identifies the increasingly significant roles for parents and students envisaged by official policy and, to an extent at least, executed in school practices. It is noted that, as yet, these new policies and practices have not generated staff concerns and resistance but have, to a large degree, been well received. Finally, in the concluding section, it is speculated that this quite positive response may perhaps be a function of the low stakes, limited accountability and non-threatening nature of school evaluation in Ireland.
Method
Documentary analysis was used as the research method for this article and consisted of two distinct phases. In the first phase, using an integrated library and online search mode, the EndNote software programme was used to search for peer-reviewed research and government policies on stakeholder voice in school evaluation. At the end of the search, 278 research papers and policy documents were used for final analysis. Following this, using a deductive content analysis process (Elo & Kyngäs, 2008), the next step involved the development of six categories relating to stakeholder voice in school evaluation:
*• The idealistic nature of student voice
*• The threatening nature of student voice
*• The divisive nature of student voice
*• The idealistic nature of parent voice
*• The threatening nature of parent voice.
*• The divisive nature of parent voice
This was followed by the development of a structured categorisation matrix and the coding of data according to these categories.
Using Ireland as a case example, the second phase of the study involved a document analysis of a random sample of documents from 20 post-primary schools to ascertain the extent which parents and students are involved in the SSE process. Within this, a range of documents was analysed including the school's values/vision statements, self-evaluation reports and school plans. Of note, however, is that a limitation of this approach is that schools may not necessarily document the process of engagement in each case. For example, parents and students may have been involved in the development of school policies, and while the policies are generally available in documented form, the process of developing them may not have been outlined in all cases.
Resistance, objections and drawbacks to parent and student voice in schools
The idealistic nature of student voice
A role for students in evaluation and decision making referred in the literature as 'student voice' has become common in many jurisdictions and commonly involves consultation on internal school evaluation and planning activities such as, for example, feedback on school policies, quality assurance, and in some cases, staff appointments. However, student voice has by no means become an entirely accepted feature of school life, particularly among teachers. Issues concerning the reliability and validity of student input are widely reported (Burr, 2015). An 'ideology of immaturity that gets in the way of our seeing students as responsible and capable young people' (Grace as cited in Rudduck & Fielding, 2006, p. 225) as their world is steeped in social practices that are labelled as 'childish' and/or 'cultish' (Gunter & Thomson, 2007). Indeed, teachers, and others, often believe that they know better or consider young people to be too immature to make a worthwhile contribution (Lodge, 2005). As Comeau (in Glover, 2015, p. 27) puts it,
One of the difficulties that organisations face in developing children's participation is the attitude and culture that views children as too young or vulnerable to be capable of being included in decision making.
Bragg (2007a, p. 510), for example, gives examples of some unsatisfactory answers given by primary school students when asked for their views on what they would change about their school: 'We don't like always having to do English and Maths in the mornings, why can't we do it in the afternoon?' and 'It's too noisy in our class because the radiator makes a noise'. During the recruitment process for a new teacher, Bragg (2007a, p. 512) highlights the unrealistic requests or judgements of students as the teacher recalls the answers she received when she asked the students what kind of teacher they wanted to be hired:
Initially, I get all the standard answers, 'somebody with a sense of humour, kind and pretty', it is like they want a Mary Poppins!
For some teachers, the lack of credibility of student voice could stem from their disappointment with, and disapproval of, elections to student councils. According to a teacher in Pérez-Expósito's (2015) research
No matter how much you explain to them that it (the elections for the student representatives) has to be an electoral process, and what generates the votes are the proposals, they (the student candidates) do the same (as in politics): they give a candy (to the students), promises that are unrealistic . . . illogical things . . . we always fall in the absurd. (p. 363)
It is therefore unsurprising that teachers can be reluctant to engage with student voice if they are presented with unrealistic and trivial requests and suggestions and from students that they consider not to be taking the democratic process seriously. As Leren (2006) points out, if the primary concern of a student council is for the presence of a drinks machine in the school canteen, for example, the lack of motivation among staff to facilitate a democratic school is understandable.
The divisive nature of student voice
Further limitations of student voice also stem from the actual voice being spoken. Gunter and Thomson (2007), for example, point out that some voices speak louder than others. Some students may struggle to articulate themselves using appropriate language and may be concerned about how their 'contributions' will be perceived by teachers (Hall, 2017), and the more self-assured and articulate students may dominate consultative conversations and be more readily 'heard' (Rudduck & Fielding, 2006). According to McIntyre et al. (2005), student voice could, therefore, inadvertently serve as a 'dividing practice' (p. 150) that segregates confident and articulate students from the rest. Keddie (2015) asserts that such 'selective listening' (p. 231) is because 'we wish to hear' (p. 244) the voices of certain students. This mediated form of selective bias is also reported by Robinson and Taylor (2012), who found that certain groups of students are sometimes invited and/ or selected to participate in projects that seek student input:
It just came naturally to choose who to be involved, it's what we do, we use our judgment to choose who we think is the most suited. (Secondary school teacher)
I suppose we didn't really question the fact that staff chose us to be involved, that's just what we're used to in school. (Secondary school student; p. 38)
Robinson and Taylor's (2012) research point out that neither staff nor students questioned the selection process and a 'taken-for-granted' mode of selective bias was a cultural norm that existed between teachers and students. Keddie (2015), however, points out that it is not only teachers, or adults, who can maintain these power relations, but students as well. Either way, the concept of 'student voice' does not always allow for all students to speak and to be heard.
The threatening nature of student voice
It is unlikely that all staff in a school will be in favour of increasing student voice (Robinson & Taylor, 2007). Issues such as time constraints are regularly cited as preventing teachers from fully engaging with student voice (Brown et al., 2017). Other reasons may include resourcing issues (Lewis & Burman, 2008) as well as issues of space, architecture and timetabling (McIntyre et al., 2005). Woolner et al. (2007) also suggest that there may be problems with consulting students about school design because they will inevitability be moving on as they progress through the system, leaving school staff in a better position to give more balanced, long-term views of needs. Some teachers also appear to be somewhat dismissive of various conceptions of the student voice processes and defensive about how they consult students in their everyday practice. Cooper and McIntyre (1996) point out that teachers in the absence of formal mechanisms of engagement quite frequently take account of students' perspectives as part of their everyday classroom practice. This is evident in the following comments of some teachers, who are reluctant to engage in student voice at a formal level:
but I listen to children all the time anyway! (Bragg, 2007a, p. 509).
I give them the rules, but I explain to them, and if there is any problem, if there is any inconformity, we talk about it. But I give the reasons. It is not that we do what I say, but 'look boys this is the reason'. (PérezExpósito, 2015, p. 361)
Other teachers, however, do not entertain the idea of student voice and are thoroughly opposed to it:
Sorry kids, you are not the authority in the classroom. Me Teacher. You student. Me Teach; You Learn. End of discussion. Education is not a business. You are not my customer. My classroom is not Burger King. You do not get to have it your way. Courtesy and respect does not extend to their ideas, which may or may not be given a hearing depending on the instructor's preferred teaching style, and which may be summarily dismissed if they are judged to be beside the pedagogical point. Treat them as human beings with inherent dignity by all means; but don't treat them as sages before the fact. (New York Times as cited in Burr, 2015, p. 31)
Teachers may also be concerned about student voice due to the possibility of receiving unanticipated (and sometimes unwanted) messages (Sellman, 2009), or what might be referred to as 'uncomfortable learnings' (McIntyre et al., 2005, p. 154). Ferguson et al. (2011), for example, found that several teachers were surprised by students expressing negative thoughts about teachers and classrooms. Students too are aware of the consequences of voicing negative feedback:
They might get offended, because it's not nice if you say, like, 'Our lesson is rubbish' –they'll get upset about it. (Rudduck & Fielding, 2006, p. 81)
However, while teachers may be anxious about receiving negative feedback from students, arguably, even more worrying for them is how student feedback positions them in relation to other teachers. Bragg (2007a) describes students getting used to the flexible approach of their teacher and then reacting badly to their new teacher's methods, leaving all involved upset and angry, and in the teacher's case, 'demoralised' (p. 508). How teachers are perceived by their students and colleagues is important to them, and their self-efficacy, and can have a damaging impact if this is not in high regard. For example, a teacher in Demetriou and Wilson's (2010) research admitted, 'I am sensitive to how students and staff perceive me, and this affects my relationships with them' (p. 59). It is probably unsurprising, therefore, that some teachers admit to engaging in student voice projects as a 'PR exercise' to counter what they perceive to be as their negative reputation among students (Bragg, 2007b).
According to Mitra (2008), teachers are used to being in control. However, there is a concern that student voice will undermine the authority of teachers and fundamentally change historically deep-rooted power relations in schools – the argument being that too much of an emphasis on student voice could have a negative effect on the totality of stakeholder engagement; that is, the voice of the teacher is diminished (Flutter, 2007). This perspective resonates with Whitty and Wisby (2007), who felt that it was ironic that in some instances, students were being offered more say in decision making than teachers.
The idealistic nature of parent voice
Much like student voice, parent voice is often championed as an empowering process that will improve standards in education. Parent empowerment refers to the parents' role in exercising influence within a school, typically through decision-making forums, and usually affords parents some degree of authority and power (Bauch & Goldring, 1998). In England, for example, parent power has been promoted as a solution to educational ills (Leaton Gray, 2013), with a particular emphasis on choice of school. There are, of course, many perceived limitations to parent voice in education. Common teacher barriers to increased parental involvement include a lack of time, institutional atmosphere and teacher attitude, and a fear of criticism (Shearer, 2006), and, more extremely, fears over potential decreases in the professional status and general wellbeing of teachers (Addi-Raccah & Ainhoren, 2009).
The attitude of parents may also be dependent on their own past experiences with schools and schooling (LaRocque et al., 2011). Furthermore, they may be discouraged due to perceptions that their children may be put into a vulnerable position if they take a critical stance on school policies (Sliwka & Istance, 2006), or if they feel that they lack the resources to make their voices heard (Tveit, 2009). Many parents are also constrained by work commitments and child care difficulties (Harris & Goodall, 2008). These barriers may also be intensified in schools that find it difficult to get parents to serve as governors (see, for example, Ranson et al., 2005; Xaba & Nhlapo, 2014). In England, for example, James et al. (2014) point out that recruiting post-primary school parent governors can be somewhat more difficult than in primary schools and suggest that it could be especially difficult in disadvantaged settings. This also appears to be the case in Ireland, where although board members can fill a variety of duties, there are also issues surrounding the capability of schools to form a board that has the capacity to carry out all the required duties of school boards. As stated by an inspector in Brown (2012),
And there is a problem though, and I don't think anybody could deny that, and that is the problem that they are a voluntary board and particularly in areas of disadvantage. It is difficult for schools to get a correctly constituted board. It's difficult for them to get people, certainly from the locality, who would have the capacity and the willingness on a voluntary basis to do the work that needs to be done. So, there is a building capacity in relation to Boards of Management and volunteers as well. (p. 12)
The divisive nature of parent voice
An implicit assumption in the literature is that stakeholders hold similar conceptions of what counts as parental involvement, but this assumption is problematic (Barge & Loges, 2003). According to Lawson (2003), the perceptions parents and teachers have of the meanings and functions of parent involvement are different. Baker (1997) also argues that teachers and parents differ in how they perceive parental involvement, with teachers taking a narrower view (e.g., school-home contact) and parents taking a broader view (e.g., attending and participating in school activities that may, for example, include teacher evaluations). At a fundamental level, Hornby and Lafaele (2011) suggest that parents and teachers may also differ in their understanding of the relationship between schooling and education:
If education is largely about schooling then logically it is teachers that possess the greatest knowledge, skills, power and expertise. If however, schooling is merely a part of education, then there is a clear shift in power and expertise towards parents. . .To put it succinctly, 'Should school teachers educate children while parents humbly support the schools? Or . . . Are parents the main educators of their child, while schools supplement home-learning with specialist expertise? (p. 45)
Further limitations may be based on the ability of parents to effectively contribute to school decision-making, or at least overcome the negative perceptions school staff may have of their level of competence. In Italy, for example, Dozza and Cavrini (2012) conclude that parents do not appear to have a clear understanding of what constitutes teacher competency, the classroom climate, the organisational culture of the class and the school itself. In more extreme cases, such as in South
Africa, one of the significant challenges is the illiteracy rate of parents involved in school governance (Duma, 2013). As one primary school principal explains
The language there is, you know, the legal language issue . . . and as is well-known, parents are by and large not educated or versant with legislation, while the language is difficult. To start with, as a principal, it's difficult for you to understand fully. So, it becomes even more difficult with the parents. (Xaba & Nhlapo, 2014, p. 430)
Parent voice can, therefore, be divisive in that it has the power to segregate teachers and parents, rather than partner them. Even in instances where parents are able to engage with schools and are included in the decision-making process (e.g., being a school governor), as with student voice, not all parents' voices are heard to the same effect. Vincent and Martin (2000), for example, report that it can be difficult for any controversial parental views to get a hearing, while some parents may only attend meetings for their own self-serving ends.
The threatening nature of parent voice
Within a discourse of 'partnership', the locus of power changes (Barge & Loges, 2003) and just like with student voice, teachers are wary of the potential parent voice has to undermine them and hold them more accountable. As Inglis (2012) notes, the balance of power can shift from professionals to parents in a consumerist model. Further to the above examples in an English context, Bulkley (2005) refers to some schools in the United States as providing parents with means to express their dissatisfaction through greater voice. Indeed, with parents gaining more confidence in utilising their 'rights', they may pose a threat to teachers' professionalism (Crozier, 1998). For example, Dor and Rucker-Naidu (2012) compared the attitudes of teachers in the United States and Israel towards parent involvement and found that
The teachers mentioned parents who questioned the teacher's authority and professionalism. In some cases, parents do not trust the teacher's judgment, and this leads to inappropriate, contemptuous behaviour toward teachers. Being exposed to these kinds of reactions may cause tension and insecure feelings among the teachers. (p. 253)
However, greater reservations, tensions, and challenges were expressed among the Israeli teachers (Dor & Rucker-Naidu, 2012). Previous research from Israel by Addi-Raccah and Ainhoren (2009) indicates that teachers' least favoured school context is one in which parents are empowered more than them. Addi-Raccah and Arviv-Elyashiv (2008) also report that 'on the whole, the teachers expressed concern and distress about parents' increasing power and control over their work and practices' (p. 403). The comments from Israeli teachers can, therefore, be very insightful in terms of how parent voice can be damaging to teachers' sense of professionalism:
It is an invasion of our privacy. Parents come to school and criticise our work. They can do whatever they want. (Addi-Raccah & Arviv-Elyashiv, 2008, p. 403)
I punished one of my pupils and told him he couldn't leave the class during the break because of his behaviour. Then I got a phone call from the child's mother telling me that I obviously don't know how to control her son and that she forbids me from punishing him in any way. (Dor & Rucker-Naidu 2012, p. 254)
Consequently, teachers who feel insecure in meetings with parents, or who worry about possible threats to their professional expertise tend to keep a distance when communicating with them (Westergård, 2007). Reflecting on past experiences where 'parents could come in and take pupils out of detention' (p. 142), a deputy headteacher in Martin and Vincent's (1999) research, who admitted to previously feeling insecure and undermined, explains his school's current stance on parent involvement:
Before (under the previous headteacher) parents did have the upper hand somewhat. (The current head) is certainly into accountability . . . we are all very much accountable to parents in terms of exam results and in terms of whatever the pupils require. But I think we, that's as far it goes. We like to make sure they know their role and we don't like them to interfere . . . We are not into consultation. Certainly no collaboration . . . If you like it, fine, if not you can go and that is your choice . . . Certainly that is the attitude we give. (p. 143)
Research from Norway reports that teachers may try to limit the influence of parents by emphasising their own professionalism, thus leaving parents with the role as supporters (Bæck, 2010). In the United Kingdom, Crozier (1999, p. 225) reports that parents' respect for teachers' professionalism was considered to be very important to teachers, A common response from teachers was that parents should keep their distance and know their place, just as they themselves did regarding other professionals. As one Year Head contends, again, it comes down to my professionalism. I'm a great believer in this, I mean at the end of the day should people have a greater say in the treatment by the doctor? . . . I suppose they have an input and I've got absolutely no objection to that whatsoever. But there's very few people that would actually want to be in the doctor's place, making the doctor's decisions . . . (But) at the end of the day everybody, anybody is an excellent teacher but they wouldn't put themselves in that situation as a doctor, or as a solicitor etc. (p. 225)
More recent research from England also found that teachers tended to assume authority on educational matters while parents played a supporting role or acted as passive receivers of information. In the majority of conversations between teachers and parents, the flow of information was predominantly from teachers to parents, with teachers selecting the topics for discussion, deciding who would speak, and focusing on the knowledge that only they possess (Bilton et al., 2018). Indeed, the literature shows that teachers do approve of parent involvement once it does not relate to their professional work in the classroom (Addi-Raccah & Arviv-Elyashiv, 2008). However, Ule et al. (2015) explored parental involvement in the educational trajectories of children in Europe and found that parents not only realise that the future of their child depends on the work of the teacher but also to a great and growing degree on parents as co-educators, meaning that teachers' classroom expertise may be called in to question:
Some parents suggest that teachers should adopt a more individualised (teaching) approach, taking the individual personality of students into account; for example, one Italian parent proposed that
Teachers should change their methods: sometimes it is too schematic and too much based on the assumption that pupils are part of general categories. They should try to see pupils according to their way of expressing themselves. (Ule et al., 2015, p. 343)
This understandably can be threatening for teachers and is unlikely to receive a warm reception from them as alluded to in the following teacher comments,
What I would not want is parents coming in and actually saying, you know, 'he's not teaching that lesson right. (Crozier, 1999, p. 225)
Table 1.The ladder of participation (Hart, 1992).
We know our subject, and we know what the exam boards require and I think, hopefully, we know the best way to teach. (Crozier, 1999, p. 226)
The literature makes clear that the involvement of both students and parents in any substantive way in many aspects of school activities can be problematic from the perspective of school leaders and staff. Given these sensitivities, it might be expected that involving these actors in the evaluation of schools would not be as straightforward as is sometimes implied in officially policy which can be at odds with the reality on the ground.
Stakeholder voice in SSE
SSE is an internal process which aims to ensure quality, improve the teaching–learning process and increase school performance (Hofman et al., 2009). While school principals are still designated as the formal leaders of schools, other organisational members and stakeholders are coming to play a significant role in influencing school decision-making, although to very varying extents. (Ni et al., 2018). SSE, for example, is no longer the sole responsibility of principals and their senior leadership teams, but a more democratic process that includes stakeholders such as students and parents:
Recent developments across many systems have included the participation of a wider range of stakeholders. This is a positive shift, as a wider range of perspectives is likely to offer more detailed and complex insights into the depths of the organisation. (Chapman & Sammons, 2013, p. 22)
Key stakeholders such as teachers, students and parents, it is suggested (Brown et al., 2017; Odhiambo & Hii, 2012), know the local context better than those in central government. They can, therefore, provide detailed knowledge, valuable insights and constructive feedback on how to improve schools. Thus, calls for greater participation in decision-making have often been championed in the literature as a progressive way of making schools more democratic and more efficient (Mokoena, 2011).
There are, however, varying degrees of participation in decision making that can range from tokenism in the form of engaging parents and students with negligible decisions to that of a genuinely reciprocal process of shared decision making as described in Harts (1992) ladder of participation (Table 1).
We turn now to some recent research on Irish schools to illuminate the types of roles and tasks for stakeholders envisaged in official policy and the extent of the implementation of that policy in a sample of schools. Evolving school evaluation policy suggests roles for parents and students which are at a higher level of participation on Hart's ladder than anything previously contemplated. In fact, it is arguable that policy now demands a transition from non-participation to participation at around level 5 of Hart's framework.
To get a closer look at these realities, we now proceed to examine some of the recent research on the involvement of parents and students in school evaluation in Ireland.
The policy and implementation of stakeholder voice in SSE in Ireland
The current SSE process was introduced to Irish primary and post-primary schools in 2012, and according to the School Self-Evaluation Guidelines 2016-2020 (Department of Education and Skills [DES], 2016b), the SSE process involves school management and teachers under the direction of the Board of Management and in consultation with parents and students. The SSE cycle involves a process of deciding the focus, gathering evidence, analysing data, and writing an SSE report and improvement plan. Actions are implemented over a 1- to 3-year timeframe and the action plan is monitored at intervals. The evidence that is analysed may include data on student outcomes (including state examination results) and experience in the school; data on student, teacher and parent perspectives; a review of school policies and school environment; and data from professional collaborative reviews. Apart from any existing data that are already available in the school, further data are gathered through interviews, focus groups, documentary analysis, questionnaires and observation.
While parents and students are consulted, they are not generally involved in any decision making, target setting or action planning aspects of the process. The full SSE report and improvement plan is only shared within the school to staff and management. A summary report is, however, provided to the whole-school community.
In terms of SSE, the guidelines for post-primary schools issued by the DES (2016b, p. 7) are aimed at including a wide range of stakeholders, 'inviting students and parents, to enable their fullest participation'. In the definition of SSE provided by the DES (2016b), it is stated that SSE is undertaken 'in consultation with parents and students' (p. 10).
This trend towards increasing stakeholder involvement is also reflected in the school inspection process. The DES' inspection guidelines for post-primary schools was developed in consultation with the 'education partners' and states that
The Inspectorate acknowledges that students and their parents are key stakeholders in the school community. Their participation in school inspections, where appropriate, is a necessary component of a valid, authentic school evaluation process. It enhances the quality of the evaluation and the recommendations for school improvement that emerge. Listening to the voice of students and parents, and their opinions on the performance and operation of schools, is an important and integral part of the work of the Inspectorate in schools. (DES, 2016a, p. 5)
Students and parents are required to be involved in the inspection process in the following ways:
*• Questionnaires are issued to a sample of students and parents as a part of some of the inspection models.
*• During classroom visits, inspectors may also interact with students and review samples of their work.
*• Meetings take place between inspectors and representatives of the parent body during whole-school evaluations.
Therefore, at an official policy level, an enhanced role for parental and student voice is considered desirable. However, it is clear that it is very much up to schools how they consult with parents and students in terms of the numbers involved, methods used, questions asked and what findings are included in evaluation reports. Schools in Ireland do not have access to the support of a 'critical friend' who might ensure that stakeholder views are 'voiced and considered' (O'Brien et al., 2014, p. 176).
The limited recent research to date on the application of school evaluation policy would suggest that students and parents are, in fact, being consulted during SSEs considerably more so than would have been the case in the past and that school leaders and teachers have not raised significant concerns about this development. In a study of self-evaluation in post-primary schools, O'Brien et al. (2019) found that the data most frequently gathered were surveys of teachers' attitudes and practice, surveys of students' and parents' attitudes, entrance examination results, and results of state examinations. In relation to students and parents, comments from one school captured the generally positive response of heads and teachers:
So we got the different perspectives of the different people including the staff, the students and the parents and it really gave us a complete picture so we could see then very clearly where we wanted to go. When you pool all that information together, it's just much easier to see the full picture. (O'Brien et al., 2019, p. 9)
In the study, schools reported asking both parents and students about their opinion of school-wide issues including literacy and numeracy provision, teaching and learning and discipline. Students were asked about their attitude to reading and maths and parents were asked about their perception of the support provided by the school for literacy and numeracy. The data from students were frequently used to provide baseline data for target setting and frequently targets were expressed in terms of changes in students' behaviour, attitudes or performance. This reflects the DES (2016b) guidelines for SSE, which recommends that improvement targets should focus on improving outcomes for learners.
The findings from O'Brien et al. (2019) are generally reflected in school documentation examined by the present authors in an analysis of a sample of 20 post-primary school websites from across Ireland. In a majority of cases, the inclusion of parent and student voice is a common theme in both the rhetoric and, it seems, the reality of schools. Evidence of staff attitudes to student and parent voice as well as evidence of including student and parent voice was explored in the following range of documents from each website: Principal's address, SSE reports, the parents' association documents, reports from the Students' Council, school policy documents and school newsletters.
The Principal's address often appears to reflect the values of the school and therefore reference to the importance of student and/or parent voice here would suggest the recognition of both within the overall culture of the school. Evidence of student and parent voice as part of the SSE documentation and school policies suggests that consultation with one or both stakeholder groups has actually occurred. Table 2 outlines the overall findings from this analysis. The schools included in the study are labelled A-T and in each case a indicates if evidence of parent and/or student voice was found and NF refers to websites where such evidence was not found. While such an analysis provides a useful indication of involvement, a limitation of this approach is that schools may not necessarily document the process of engagement in each case.
The picture that emerges is a rather mixed one. As the categories above, SSE, values/vision and policy development are designed, theoretically, to be closely interdependent, one might expect greater consistency of stakeholder involvement across the three areas. However, as official policy has only relatively recently begun to demand stakeholder involvement in these processes, the extent to which this has become part of the landscape in many schools is notable. Also noticeable are the very positive statements about stakeholder engagement on the websites of those schools which have embraced the concept.
Table 2.Evidence of student and parent voice across 20 post-primary schools using documentary analysis of school websites.
The following quotes from the analysed websites provide examples of where the inclusion of student and parent voice is clearly an underpinning principle to the operation of the schools involved:
Our students are encouraged to actively partake in the leadership of our school through their participation on Student Council, Senior Mentor and Senior Prefect programmes. The role of our student leaders is to represent the views, concerns and aspirations of the student body, working in partnership with school management, staff and parents for the benefit of the school and the student body. This ensures that our school is student orientated and adapts to the ever-changing needs of the students. Parental involvement in all aspects of our development is an essential and appreciated part of our school. Parents are represented on the Board of Management and there is an active Parents' Association. (Principal School C)
School B has a documented parental involvement policy on its website which focuses mainly on the involvement of parents in supporting their child's learning rather than in decision making or management aspects:
It is the aim to encourage parents to become more actively involved in the learning of their children. The goal is to help improve the academic and social performance of the students by enlisting the help of the parents. (Parental Involvement Policy School B)
A very different approach was found in School E where it appeared that students and parents were central to decision making processes:
In developing our vision, we engaged with staff, student and parent members of the Board of Management in identifying our needs and priorities for the school. (Principal School E)
Similar findings came from School K and Q where the Principals stated,
Student and parent voice are central to the running of the school. We consistently consult students and parents in policy development and involve students and parents in the evaluation of various aspects of our school through school self-evaluation. (Principal School K)
In addition to supporting their own child, parents/guardians are encouraged to become involved in the life of the school through the parents' association, self-evaluation activities, policy development work, and extra-curricular activities. (Principal School Q)
In some schools, student voice appeared to be promoted with little or no reference to parent voice:
Pupil voice is a student council which represents the student body. Two students represent each year group and provide a voice for that year group about key issues that affect them. Every Thursday, each representative brings their ideas, issues and questions to the table with the main goal of making the school a better place. (Website School P)
Many, but not all schools shared SSE Reports and School Improvement Plans on school websites. The SSE Reports, in particular, documented which stakeholders were consulted as part of the school's SSE process. Where SSE Reports were available, it was very clear if parents and students were consulted as the findings of surveys carried out with students and parents were included in SSE Reports. This is evident in numerous SSE Reports as follows:
73% of students feel they have a good relationship with their teachers and 64% feel they can ask their teachers when they need help.
64% of parents feel their child is extremely engaged, 36% felt their daughters were somewhat engaged. No parent ticked the category 'not at all engaged'.
(SSE Report School E)
70% of parents agreed, while 27% were unsure if their child's voice was being heard. (SSE Report School H)
87% of students said they had been taught how to work with other students in a group. 83% said they have opportunities to work in a group on a regular basis. (SSE Report School L)
Overall, this analysis of a sample of 20 post-primary school websites shows a great deal of inconsistency in the inclusion of student and parent voice across the schools involved. As a general trend, approximately half of schools referred to the importance of student and parent voice as a value or guiding principle. A slightly higher percentage of schools involved parents and students in SSE processes but even where this occurred, fewer schools involved parents in policy development and very few schools involved students in policy development. While this analysis may provide some indication of the reality of student and parent voice in schools, it is likely that some of the schools may not have included information on all such processes. In addition, it is difficult to know the level and impact of such involvement in each of the schools concerned.
Perhaps, not surprisingly as websites are the public face of schools, the attitudes displayed to greater stakeholder involvement are very positive. However, some other recent research in Ireland appears to confirm that, so far, little of the concern about greater roles for parents and students reported in the literature reviewed above has emerged in the Irish context. In a study by Young et al. (2018), Irish school leaders and teachers were very positive about involving students in consultation about curriculum content and goals. Data from students were used by schools to provide a baseline for target setting, and frequently targets were expressed in terms of changes in students' behaviour, attitudes or performance. As stated by one school Principal the student would have come in with their target setting sheet of what they want to achieve, and then the student would have been asked to conduct a little piece of self-evaluation themselves and plan out with teachers what they needed to do to achieve their desired grade. (p. 12)
Similarly, in doctoral research conducted in two Irish post-primary schools by Harvey (2015), it was reported that both the teachers and leaders were open to the idea of student and parent involvement in the SSE process. This is something, Harvey suggests, that would have been unthinkable in Irish schools in previous years. The following comment made by a teacher in Harvey's (2015) research is reflective of how stakeholder voice in SSE is coming to be accepted by teachers in Ireland, provided it is perceived to be for the purpose of improvement as opposed to accountability:
I do think that it is important to get parents and pupils input into SSE because really if you look at the fact that we're selling the product of their education they should evaluate did we sell a good product or not. So I think that it is important but obviously within certain parameters that, you know, you don't want them to be attacking a certain teacher or something like that. (p. 149)
As implied in the above quotation from Harvey, teacher acceptance of greater parental and teacher involvement in higher level decision making in Irish schools is probably contingent on fairly strict limitations. It may be of relevance that stakeholder voice in Ireland has developed in an education system that maintains a light-touch and low-stakes system of accountability. One can speculate that in a more threatening accountability environment the response might not be so positive.
Conclusion
Recent decades have brought a considerable growth in the formal evaluation of schools. External inspection and SSE are now to be found in most education systems and in most of these, the rights and roles of stakeholders, particularly parents and students, are strongly emphasised. It is enshrined in policy that not only do these groups have a right to be consulted about many aspects of school decision making, but that they are central to both the evaluation of the performance of the school and key actors in planning its future direction.
Of course the level of involvement envisaged varies a great deal from system to system but in the case described in this article, Ireland, policy has moved, in terms of Harts (1992) ladder of participation, from 'non-participation' to 'participation'. Moreover, research to date, including a review of school websites conducted for this research, indicates that a majority of schools are making considerable efforts to involve students and parents in SSE and school development planning.
In some jurisdictions, this degree of power-sharing with stakeholders has engendered a fairly extensive sceptical literature about these developments as perceived from the perspective of school leaders and teachers. This scepticism applies to many of the roles envisaged for parent and student voice but, not surprisingly, particularly to evaluations which offer these groups a powerful say in making judgements on the performance of the school, its' management and its' teachers. The hostility to this type of potentially threatening scrutiny emerges very strongly in research literature reported from England and Israel, for example. In contrast, however, a more positive view is evidenced in research, admittedly limited, emerging from Ireland. In summary, it might be argued that when looking at how stakeholder voice is operationalised and received, it is important to consider context. School evaluation regimes which take a high-stakes approach may lead to hostility and negativity towards parent and student voice while those perceived by school leaders and teachers as less threatening and intrusive may be more comfortably accepted.
The introduction of SSE in 2012 to Irish schools provided a legislative and structural mechanism for the enhanced development of student and parent voice in Irish schools. This has resulted in an increase in the rhetoric if not the reality of student and parent participation in Irish schools. Furthermore, it would appear that there is no great resistance among school staff to such developments. This may be explained as follows:
*• Consultation with parents and students within the SSE process focuses on whole-school practices (e.g., literacy, numeracy, assessment, teaching and attendance) rather than the evaluation of individual teachers or school leadership.
*• The quantity of data gathered from students and parents is relatively small, reflecting the relatively small amount of data generally required in order to conduct an SSE process.
*• SSE is a controlled and structured consultation process where school staff decide on the focus of the evaluation, what questions to ask, what feedback from parents and students is included in SSE reports and what aspects of the evaluation report is shared with the school community. Feedback from parents and students is therefore seen as useful when the school set the agenda.
*• There is little or no evidence from our research that parents or students are involved in the decision making or action planning stages of SSE.
*• There are no negative consequences for school staff as a result of engaging in SSE, regardless of what feedback they receive from parents or students. SSE is seen more as an improvement rather than an accountability mechanism.
In terms of Hart's (1992) ladder of participation, the research finds that student and parent participation in SSE is at Level 5 on the framework as they are consulted and informed.
Unsurprisingly, there is little evidence that parent and student participation in SSE would prove a threat to teachers or school management. Parents and students may indeed have a more threatening and divisive voice on issues related more specifically to individual student and/or parent experiences with the school but SSE is generally not the process for dealing with such matters. The main issue regarding engagement with SSE for teachers with SSE is the additional workload, lack of allocated roles within the schools for SSE and the too-general nature of the training and resources provided (O'Brien et al., 2019). Therefore, while schools in Ireland may be experiencing some challenges in relation to the implementation of SSE, opposition to the inclusion of parent and student voice had not been highlighted as a concern.
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Greater Downtown Dayton Plan
City of Dayton, Ohio Platinum Cycling Friendly Plan
DRAFT
Active Lifestyle and River Corridor Committee
Table of Contents
Greater Downtown Dayton Plan Cycling Plan
Strategic Overview
Bike friendly initiatives are being embraced around the country as a strategy to increase urban vibrancy and improve quality of life and grow the creative workforce. Cycling puts people on the street, changes their perspective and how they interface with the community. Of course, we know that people visible to others attract people, so cycling's ability to increase the number of people on the street is a key ingredient in creating a interesting and varied street culture that can be leveraged for economic and creative efforts. Finally, a region's propensity to be bike friendly is a creative class indicator. A quick look at the top cycling cities in the nation reveals that the mobility and culture cycling engenders can transform cities into destinations for both tourists and those looking for great places to live and work.
A successfully implemented bike friendly initiative described by this Greater Downtown Dayton Cycling Plan can change how the region's citizens travel in the downtown core and could act as the catalytic initiative that the area needs to become a Midwest cycling and ultimately an outdoor recreation destination and people friendly community.
The Greater Downtown Dayton Plan should leverage the recently adopted Miami Valley Regional Planning Commission's (MVRPC) Comprehensive Local Regional Bikeways Plan ( CLRBP) in conjunction with the process developed by the League of American Bicyclists' (LAM) Bicycle Community Program through the City of Dayton's newly formed Bike Task Force to focus the region's bike friendly efforts on the core downtown in order to quickly expand and implement a cycling friendly initiative.
The effort should set its sites initially on Bronze Bike Friendly Certification among other tactics and with the goal of ultimately reaching Platinum Bike Friendly status, not to simply gain the certification, but to use the process to transform the Dayton core into a vibrant people friendly core.
Current Position
The Dayton region has developed an impressive set of cycling infrastructure and amenities over last 35 years. This effort has engendered the development of a large, but somewhat disjointed cycling community and retail sector that could be leveraged for plan support ( Currently there are 18 bike shops in the Greater Dayton MSA…none in the City of Dayton proper).
Recently many related but somewhat uncoordinated cycling centric initiatives have been started or completed. Much of the work needed for Dayton to reach its full cycling potential is in place. The challenge is to organize, one coordinated effort that can be funded and implemented in a phased manner to leverage existing elements. Following are some of the key initiatives underway:
* Opening of MetroParks Mountain Bike Area Sept 2007.
* UD Bike Co-op project
* RiverScape Phase III Bike Hub Development
* City of Dayton Bicycling Task Force
* Bike Friendly Community Initiative
* Passage of Comprehensive Local Regional Bikeways Plan
* SE Corridor Task Force
* Comprehensive Local Regional Bikeways Implementation Plan Steering Committee
* Regional Recreation Trail Way finding System
* Near completion of local segments of the Great Miami River and Mad River Recreation Trails
* Regional Cycling Web and Promotions project
* Downtown Dayton Cycling Plan
* The Miami Valley Cycling Summit set for August 14
Political Will and the Community
Successful cycling initiatives around the country have several key elements in common:
1. Public-private partnerships. The majority of successful cycling communities combine visionary goal setting with strong political, governmental, grassroots organizations in their effort to become cycling friendly.
2. Existence of a charismatic private or political figure or group that challenges or motivates the community to become cycling friendly
3. A somewhat centralized dedicated cycling-focused coordination via an individual or organization
Through work in planning the upcoming Miami Valley Cycling Summit discussions with cycling leaders from current Bike Friendly Communities tells us that in many ways the idea of a cycling friendly community has been normalized in Dayton to a much greater extent than it was for others at the beginning of their effort. As much of the effort has been driven by local government, as opposed to citizen-based grass roots effort the idea of cycling has become mainstream.
The ability to bring community leadership together in an established commonly understood goal will be key in quick achievement of cycling goals. The upcoming Miami Valley Cycling Summit will be the next step for the community to come together and collaborate on making Dayton and the region truly bike friendly.
Stated Goals
1. Create a pedestrian and cycling friendly environment in the Dayton Downtown Core that will significantly improve the quality of life of the City's residents and will increase cycling as a recreational activity and transportation alternative.
2. Implement a comprehensive Complete Streets program to improve street infrastructure to better accommodate cycling and pedestrian activity through traffic calming, street diets, bike lanes, sharrows, bike boulevards, and other access creating efforts.
3. Continue to connect to and expand Dayton's off-street trail network.
4. Dayton will promote a bicycling culture that supports experienced riders and brings new riders safely and comfortably into cycling.
5. Dayton educational institutions, businesses, health care providers, and government will actively support bicycling as a transportation choice.
6. Dayton will build social capital by encouraging bicycling as a social norm for all of Dayton's diverse population.
7. Dayton will facilitate a mutual respect among drivers, bicyclists, and pedestrians by promoting education, acceptance, and consistent enforcement of traffic laws.
8. Dayton will collaborate with surrounding municipalities, Montgomery County, and colleges and universities to develop complementary bicycle transportation plans and a seamless network of bikeways in the Dayton area.
9. Dayton will take advantage of the unique resources in our area (UD, Sinclair Five Rivers Outdoors and other educational institutions, bicycle industry, other businesses and nonprofit organizations) to engage in public-private partnerships to develop innovative bicycle facilities, educational programs, outreach efforts, and funding mechanisms.
10. Dayton's bicycle plans will be incorporated into other city plans (such as transportation plans, land use plans, neighborhood plans, the Comprehensive Plan, etc.) to promote bicycle use as part of a multimodal, environmentallyfriendly urban transportation network.
11. Dayton will create an on-going mechanism for cooperation and cross fertilization on bicycling issues across city department disciplines and regional agencies
12. Dayton will increase its bicycle mode share (the percent of the traveling public that uses a bicycle for transportation).
13. Create nearly ubiquitous on and off-street connectivity to the Bike and Pedestrian Friendly Zone (recommended in this report) Dayton Downtown Core and established arterial recreation trail network.
14. Implement a cycling sharing program that will further normalize cycling in the core and will act as a "last mile" extension of the existing transit network providing needed connectivity, mobility and mode shift.
15. Utilize cycling friendliness and amenities as one element of an effort to remake the image of Dayton Ohio as a bike friendly destination.
16. Improve connections to the regional trails in the downtown core.
17. Finally full Implementation of the recently adopted City of Dayton Complete Streets Plan as part of the larger Comprehensive regional/Local Bikeways Master Plan.
Objective Overview
a. City of Dayton achieve Platinum Level Bike Friendly Certification by 2020
i. City of Dayton achieve Bronze Level by 2010
ii. City of Dayton achieve Silver Level by 2012
iii. City of Dayton achieve Gold Level by 2015
b. Leverage the implementation of the Greater Downtown Dayton plan as a catalyst for further regional action.
i. Achieve Bronze level Regional Bike Friendly certification by 2015 ( e.g. Tucson area)
c. Achieve 5% of population commuting by cycling by 2015
d. Create a sustainable public-private cycling organization and initiative that will make Dayton a Midwestern cycling destination
i. Develop an image and marketing plan to raise Dayton image as a cycling center
ii. Develop a regional cycling web site to promote the region's cycling opportunities to the region and nation
e. Implement a Safe Routes to School Program for schools in the plan zone
f. Develop a sustainable multi-level integrated cycling education program housed in a downtown Bike Co-op
Initial Tactics
a. The LAB Bike Friendly Community Program should be used as a planning and assessment framework.
a. Assess and identify gaps in Bike Friendly requirement focusing on the Bike and Pedestrian Friendly Zone downtown as the initial effort.
1. Make application to the LAB for the purposes of developing an assessment of cycling deficiencies in the core plan area.
b. Perform gap analysis and develop Core area action plan to resolve deficiencies
c. Identify gaps for City of Dayton beyond Core area plan and develop action to resolve
d. Implement city-wide plan to resolve deficiencies and apply for City of Dayton Bronze Certification status.
1. Complete Streets
2. Safe routes to School
3. Education and Promotion
e. Implement a bi-annual Cycling Summit to move the Bike Friendly initiative forward with grassroots support.
f. Target and complete key indicator-level infrastructure
1. Establish 3 public or private bike parking facilities in core for up to 50 bikes
2. Implement the two-way downtown bike lane project
3. Work with regional partners to complete the South East Corridor Trail within Dayton city limits by 2010
4. Complete the Wolf Creek Recreation Trail in the City of Dayton
5. Complete the Creekside extension along US 35 into the Huffman Neighborhood
6. Identify key neighborhood connections into Core and identify bike boulevards to establish
7. Add sharrows or bike lanes to 5 other core streets or connections to the core
Organization
The City of Dayton Bike Task Force should be leveraged as the core of the effort to develop and implement a comprehensive Greater Downtown Dayton cycling plan within the context and stated cycling goals of the public-private Greater Downtown Dayton Plan initiative.
The City of a Dayton Bike Task Force has established a good initial assessment of the Bike Friendly Community program requirements as they apply to the Dayton area. Participation needs are currently being assessed by the existing Task Force members for additional task force participation needs from the community.
Task Force members from throughout the community should be selected for their dedication to improving the city and for their knowledge of various bicycling issues including health, engineering, education, city processes, industry and business, law enforcement, environmental sustainability, and transportation choice. In addition to community members, city staff from the Departments of Traffic Engineering, Engineering, Public Health, Parks and Recreation, Police, Planning, as well as regional partners Miami Conservancy District, Five Rivers MetroParks, MVRPC, and Miami Valley RTA. Input from the public should be sought along the way.
Successful cycling initiatives rely heavily on energetic grassroots participation to maintain the energy, enthusiasm and momentum of long-term cycling initiatives. This element is lacking in current cycling initiatives in the community and is a deficiency that needs to be addressed.
Recommendation: The City of Dayton Task Force and Dayton Downtown Planning Committee should work to develop a sustainable grassroots
organization with which it can work to gain public input and maintain initiative momentum. The potential exists to revive Bike Miami Valley for this purpose? The Cycling and Pedestrian Town Hall and the 2009 Miami Valley Cycling Summit scheduled for August 14 are the first steps in this effort.
Recommendation: In order for the Task force to be effective it is recommended that a dedicated, empowered individual be identified that can coordinate the planning and implementation of task force planning and recommendations.
The Detailed Plan Why Cycling
A. Quality of Life
Daytonians enjoy and value a high quality of life. Better conditions for bicycling and walking have tangible and intangible benefits to the quality of life. In cities where people can regularly be seen out bicycling and walking, there is a palpable sense that these are safe and friendly places to live and visit. Bicyclists are an indicator of quality of life, the proverbial "canary in the coalmine." A contributing factor towards preserving and improving Dayton's quality of life is making the City even more friendly to bicycling.
Insert Photo
Bicycling can improve quality of life in many ways, including:
* Allowing individuals to integrate physical activity into their daily lives and/or commute, thereby enhancing time spent traveling to work, school, shopping, or exercise facilities.
* People on bikes perceive and interface differently that people encased in a car moving at 50 mph. This more visceral experience fostering a sense of community in both neighborhoods and workplaces through the intimate contact of bicyclists with their surroundings, thus helping to build Dayton's reserve of social capital.
* Reducing car traffic in neighborhoods, around schools and social centers.
* Reducing noise and air pollution in and around pedestrian centers.
B. Health Promotion
The City of Dayton performs poorly in many health surveys and studies. As a gateway activity and form of alternative transportation cycling may have the ability to help local residents build an active, healthier lifestyle. This plan will complement and further the activities and goals of other plans and organizations working to improve the health of Dayton residents. According to a July 2009 report issued by the Robert Wood Johnson Foundation, Ohio is the 10 th fattest state in the USA.
There are several programs in operation that seek to address the increasing rates of obesity and increase in sedentary lifestyles. The health benefits of regular physical activity are far-reaching: reduced risk of coronary heart disease, stroke, and other diseases; lower health care costs; and improved quality of life for people of all ages. Improving health lessens the impact of the growing health care crisis and decreases the money individuals spend on prescription drugs and that is spent on emergency health care.
Physical activity need not be unduly strenuous for an individual to reap significant health benefits. Even small increases in light to moderate activity, equivalent to bicycling for about 30 minutes a day, produce measurable benefits among those who are least active.
One of the best ways to sustain a physical activity program is to incorporate it into a day-to-day routine. Bicycling for transportation and recreation fits well with these goals. Making bicycling a safer and easier choice for people also improves the health of the community.
Insert image
C. Environmental Sustainability Motor vehicles create a substantial amount of air pollution. Although individual cars are much cleaner today than they once were, as total motor vehicle miles traveled continues to grow, overall air quality will deteriorate. Decreasing air and noise pollution around schools and neighborhoods will improve the environment for citizens.
Reducing CO2 emissions should be an important priority for Dayton for the public's health.Cars and trucks burn millions of barrels of oil, a non-renewable energy source, every day. America's reliance on oil and the emissions of greenhouse gases are factors troubling many Daytonians. The bicycle offers a sustainable and efficient alternative to motor vehicle travel.
Fewer raw materials go into the making of bicycles and bicycle infrastructure than of automobiles and roadways, thus reducing the potential landfill waste. In addition, Dayton is home to several emerging efforts that recycle, refurbish, and reuse bicycles, reducing the number of bikes that end up in a landfill and putting cycling in the hands of those that can use them most. Name 2-3 of these efforts
D. Economic Benefits
When safe facilities are provided for pedestrians and bicyclists, more people are able to be productive, active members of society by using the transportation provided by bicycles. Bicycling and walking are affordable forms of transportation. Car ownership is expensive---bikes much less so
According to the 2000 US census, a substantial number of Dayton residents do not have access to a car for transportation making cycling accessible to all is an important economic and social justice issue. Insert Kate's data
By increasing bicycle riding, it may make it possible for some families to reduce the number of cars that they own. The more transportation costs are reduced, the more disposable income residents will haveto improve their own lives.
In addition, the provision of bicycle facilities has actually been shown to increase property values. A 2002 National Association of Realtors (NAR) and National Association of Home Builders (NAHB) survey of 2000 homebuyers ranked a bikeway as"the second most important neighborhood amenity for homebuyers." Information cited by the National Park Services says that "property values are higher adjacent to paths or trails, that homeowners and real estate agents believe that trails have either positive or no adverse effects on property values, that parks and greenbelts may increase property tax revenues, or that developers or builders may benefit from the presence of trails."
Evidence of this trend is represented locally in The Ohio State study that found real property values increased near MetroParks and recreation trails.
Also, bicycling is a major tourism draw. Dayton can increasingly be a major destination for bicycling tourism, bringing millions of dollars in income to our area businesses. Events like Gear Fest and the Adventure Summit in Dayton point to the potential for recreation tourism dollars.
Employees who bicycle are healthier and more productive, losing less time to illness. Encouraging bicycling can have a positive return on investment much like many worksite wellness programs.
Finally, the Dayton region is home to several bicycle manufactures and sports 17 bicycle retailers. Improving bicycling conditions will increase the number of bicycle riders, and thus increase the direct and indirect positive economic impacts of the bicycling industry on the local economy.
Themes
The Platinum Plan recommendations fall under the following themes:
A. Transportation Choice
Many of the trips that Dayton's residents make every day are short enough to be accomplished on a bicycle. The 2001 National Household Transportation Study (NHTS) found that approximately 44% of all trips in Dayton are less than 2 miles in length – which represents a 10-minute bike ride or a 30-minute walk. The same study found that 30% of trips were less than a mile. In Dayton, a bike ride from the southern suburb of Centerville to Downtown Dayton can take less than a half hour.
People are willing to try modes other than the automobile if they feel that they are safe and convenient. A 1995 Rodale Press survey found that Americans want the opportunity to walk or bike instead of drive: 40% of U.S. adults say they would commute by bike if safe facilities were available.
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Bicycling and walking can help reduce roadway congestion. Many streets and highways carry more traffic than they were designed to handle, resulting in gridlock, wasted time and energy, pollution, and driver frustration. Enabling the Dayton region to connect and use the already extensive trail network for commuting though a Complete Streets policy is an excellent example of leveraging an existing cycling investment. Bicycles require less space per traveler than automobiles. Roadway improvements to accommodate bicycles can also enhance safety for motorists.
For example, adding paved shoulders on two-lane roads has been shown to reduce the frequency of run-off-road, head-on, and sideswipe motor vehicle crashes.
B. Safe Routes to School
Walking or bicycling to school was once a part of everyday life. In 1969, about half of all students walked or bicycled to school, but today less than 15 percent of all school trips are made by walking or bicycling (Report No. 4, NPTS, FHWA, July 1972 and 2001 NHTS). There has been a subsequent adverse effect on traffic congestion and air quality around schools, as well as on pedestrian and bicycle safety. Children who lead sedentary lives are at risk for a variety of health problems such as obesity, diabetes, and cardiovascular disease ("Physical activity and the health of young people," U.S. Centers for Disease Control & Prevention, Fact Sheet, 2004). Ironically, traffic danger is regularly cited as a reason parents do not allow their children to bicycle or walk to school ("Barriers to Children Walking and Biking to School," CDC, 2005).
Over the last several years an international movement has developed called Safe Routes to School, which seeks to improve children's ability to bike or walk to school by improving engineering, enforcement, education, encouragement, and evaluation. Though Safe Routes to School is a program or a combination of programs and policies that can be implemented, Greater Dayton Planing Group it is a theme that should be considered whenever improvements for bicycling and walking are discussed or made. All of the components of Safe Routes to School are incorporated in this report, though they are not always directly identified as such.
Insert Image kids heading to school.
C. Complete Streets
A complete street is a street that works for all users: motorists, bus riders, bicyclists, and pedestrians, including people with disabilities. The goal of a complete streets policy is to create streets that are safe and convenient for all users. This is an important concept and theme in the Greater Dayton Planing Group's recommendations, especially in the planning, policy, land use, and infrastructure recommendations.
Complete streets are not intended to be limited to a few designated corridors. Rather, a complete streets policy strives for diversity of use on almost every street, creating a variety of route choices and facility types for all users. The US Congress and the US Department of Transportation have passed legislation and policies that intend to encourage complete streets (also known as "routine accommodation"), but few states and cities follow them. Dayton is just now considering a complete streets, now is the time to be bold and implement a policythat will make Dayton a leader in the nation.
Insert: complete street Image
D. Recreational Opportunities
In addition to being a mode of transportation, bicycling is recreational. Its recreational opportunities range from the leisurely family ride, to long distance touring, to racing. By improving bicycling in Dayton, we can make Dayton a center for recreational activities, not only improving our citizens' health, but also attracting visitors and businesses to our community. Also, some individuals who begin bicycling for recreation later bicycle for transportation.
E Extending off street corridors and trails
Downtown Dayton's street grid was engineered to pass traffic efficiently when downtown was home to major automobile, tire, paint and printing operations. As such, the street infrastructure is is overly weighted to the accommodation of automobile traffic and not conducive to walking and cycling, decreasing the safety, security and ability for bikes and pedestrians traveling downtown. The downtown core streets provide a significant opportunity for creating off street biking where an underutilized multiple lane street once existed. Other tactics include shrinking street width, creating calmed intersections, bike boulevards and lanes that could make the core a cycling and pedestrian haven.
G. Partnerships with the Private Sector
In an era of dwindling public resources, public-private partnerships are becoming more important. Ohio, and Dayton in particular, is in the unique position of being an emerging outdoor recreation center with over 45 businesses in the outdoor recreation sector including several national manufactures.
Other local employers should be helped to understand the importance of a healthy community and the contribution that bicycling can make to a healthy community. Employees who bicycle are healthier and more productive, losing less time to illness. Encouraging bicycling can have a positive return on investment much like many worksite wellness programs. Dayton's social capital
relies on its citizens, and businesses are just a larger extension of our citizenship.
H. Innovation
The Greater Dayton Planing Group has made an effort to make recommendations that are innovative and visionary, with the intent of assisting the City of Dayton toward becoming the best city to bicycle in America. To that end, many of the recommendations in this report may be a "stretch" from the current condition or practices. However, this report is meant to also be a list of "actionable" items, and not a laundry list of "pie in the sky" ideas. Actionable items are ideas which are reasonable, not cost prohibitive, and are likely to be implemented. The intent of this report is full implementation of all of the recommendations.
Context and Analysis
A. League of American Bicyclists Bicycle Friendly Community Program The Bicycle Friendly Community Campaign is an awards program that recognizes municipalities that actively support bicycling. A Bicycle-Friendly Community provides safe accommodation for cycling and encourages its residents to bike for transportation and recreation. The League of American Bicyclists (LAB) administers the Bicycle Friendly Community Campaign. The two year awards range from Honorable Mention, to Bronze, Silver, Gold, and Platinum. In addition, many communities apply and receive no designation whatsoever. The application process involves a screening application (Part I) and a more in-depth application for those communities that qualify (Part II). A committee at LAB scores the Part II application. The process includes feedback from LAB members in the community that has applied.
B. Bicycle Mode Share
Bicycle mode share is the percent of transportation trips made by bicycle. The decennial US Census tracks mode share for the journey to work only. Bicycle mode share for trips other than the journey to work can be difficult to determine, and usually requires a scientific survey or study, often called a Household Travel or Transportation Survey.
These surveys are often undertaken by communities for the purpose of developing air quality models. Two of the most bicycle friendly communities in the world include Amsterdam and Copenhagen. Overall bicycle mode share for these cities hovers around the 30% mark. Copenhagen currently has a goal of a 40% bicycle mode share. As mentioned above, in the United States there is not good, consistent data on TOTAL bicycle trips by city, but a few of the cities with the highest bicycling commuting mode share are shown below.
* Davis, California-14.42%
* Santa Cruz, California-4.43% Tucson, Arizona -2.21%
* Boulder, Colorado-6.89%
Source: 2000 US Census
The 2000 U.S. Census Journey to Work data indicates that Dayton has a .003?? bicycling mode share for employees over the age of 16. The Thunderhead Alliance, a national coalition of state and local bicycle and pedestrian advocacy organizations working to help organizations to grow and become more effective, is currently undertaking a national benchmarking project supported by the Centers for Disease Control, the Institute for Transportation Engineers, and Planet Bike to collect better data on bicycling, including bicycle trip mode share.
The MVRPC Bikeway Ssteering Committee is implementing its first regional trail count in July 2009.
b) Primary use of bicycle In order to actually understand our performance gathering accurate data on bicycle use in Dayton on a regular basis would be very useful in efforts to improve bicycling conditions in the City. Among the recommendations of this report is a suggestion that a such study be undertaken and repeated at regular intervals.
C. Crashes and Fatalities
Need crash data from MVRPC and City.
D. Funding
Finding sufficient funding for any city program or project is an ongoing challenge. Reference Comp Plan… includes an extensive list of funding sources available for use with bicycle transportation projects.
The recommendations of this report fall into one of two categories: infrastructure or capital budget projects and programs or operating budget projects. If the City of Dayton wishes to advance bicycle/pedestrian projects in a timely manner, additional funding and staff resources will need to be allocated. New funding sources will need to be developed. These sources may include impact fees, special assessments, and the proposed Regional Transportation Authority sales tax funding. The Name strongly suggests that the City investigate the use of these funds and others to help implement the recommendations of this report. In the case of some infrastructure projects, but certainly with regards to program based projects, the City will need to commit a larger portion of local general obligation
funds in order to implement the recommendations of this report, as well as seek partnerships with the private sector and regional partners.
E. Status of Current Plans and Programs in Dayton
The region recently approved MVRPC'sComprehensive Local Regional Bikeway Plan 20 year master cycling plan.
This report is meant to a complement, and not replace thatplan's recommendations. This plan is developed to act as an implementation device for the existing Bikeways plan.
MVRPC Comprehensive Local/Regional bikeways Plan Insert link
Recommendations
This report contains an extensive list of recommendations. Each recommendation includes a concept or action, with details, responsible party, performance measure, timeline, and required resources. It was the committee's intent to provide enough information to make the recommendation clear, while leaving room for flexible implementation by the city. Where possible, estimates of cost have been included.
The committee has developed a draft timeline for implementation of the report's recommendations. While the timeline may evolve as each project is examined in detail, the committee felt that including a draft timeline was critical to the implementation of the report's recommendations.
Some efforts have been made by the committee to prioritize the recommendations. The Committee forwarded 20 recommendations to the Mayor as priorities for 2009 – 2010 planning. These 20 recommendations are denoted with the following icon in the report:
The plan stresses, however, that the prioritization of the recommendations was mainly completed with the regional plan and in order to provide leadership with first steps. The committee expects the City to implement ALL of its recommendations.
Timeline Index
This plan is identifies 20 recommendations to the Mayor and The Cities Task force as priorities for 2009 - 2010 planning.
These 20 recommendations are denoted with the following icon
Recommendations: Infrastructure
Adopt and implement a Complete Streets Resolution.
Details : Complete Streets are defined in the Themes section of this report. While paths are useful, especially for recreation, paths can practically be located safely in only certain areas.
certain areas. Streets must also be a component and will form the core of the bikeway system. The resolution should state that all new arterials, collectors and select commercial streets shall have bike lanes. Reconstruction of existing streets (such as East
Washington) will likewise be updated to meet Complete Street criteria. Place design and construction of bicycle facilities (street and path) at the same level as other modes.
Responsible Party: Task Force with input from Engineering, Traffic
Engineering, and Dayton Police and regional partners
Performance Measure: A written resolution is developed, approved and implemented.
Timeline: Spring 2010
Resources: Staff Time
Identify an on-street arterial bicycle network and incorporate into the Bicycle Transportation Plan and other appropriate plans. The network shall include routes on the street grid to allow bypassing the regional trails following the river corridors, which are subject to closure from flooding and roadwork.
Details : Conduct a public input process to identify an arterial bicycle network and incorporate into the Bicycle Transportation Plan and other appropriate plans, including the comprehensive plan.
Responsible Party: Metropolitan Planning Organization (MPO) with input from Traffic Engineering and Engineering.
Performance Measure: A timeline and path/route hierarchy are developed and implemented. Funding is set aside in the city budget. Neighborhood plans reflect the arterial path system.
Timeline: Summer 2010
Resources: Staff Time and Street Department to Sign Routes
Develop a public 5-year Bicycle Improvement Program (BIP) to manage selection, funding, and construction of bicycle facilities Details : In order to encourage public participation, and in order to best take advantage of available opportunities, the city should develop a project selection process for new paths, new bridges, parking, on-street facilities, reconstruction, rehabilitation, resurface, repair and retrofit projects. This process would mirror a similar process for automobile facilities called the Transportation Improvement Program (TIP). Project selection should include consideration of destinations such as schools, colleges, shopping centers, and other trip generators. Included in project selection should be periodic review and upgrades to existing facilities. The BIP should be written by city staff. A public input process should be part of BIP development.
Responsible Party: Traffic Engineering will propose with input from Engineering, Planning, Parks, MVRPC and Dayton Cycling Taskforce Performance Measure: A written policy is developed, implemented, and updated on a regular basis.
Timeline: Fall 2010
Resources: Staff Time
Construct Bike Boxes at select and appropriate signalized intersections.
Details : A Bike Box is an advance stop bar for bicycles. It provides a safe area for bicyclists to wait at traffic controls/signals that allows them to get an advance start on motor vehicle traffic, which stages at a stop bar behind the bicyclist. Often, the pavement within a Bike Box is painted. Potential locations include Washington Street at Jefferson and Washington Street at Ludlow and
Washington at Main Street.
Responsible Party: Engineering and Traffic Engineering
Performance Measure: Bike boxes installed
Timeline: 2011
Resources: Staff time and pavement marking materials
Study and determine a location for two to three bike boulevards. Construct one and evaluate.
Details : A bicycle boulevard is a corridor where bicycles have preferential status.
Only local motorized traffic is allowed
(for instance, to residences). A combination of signs and traffic calming devices are used to limit automobile traffic. Typically, a bicycle boulevard would have few traffic signals or signs causing the bicyclists to have to stop. Bicycles are thus provided a long linear stretch for quick and efficient travel. Bicycle boulevards tend to work best on grid street systems, where alternative parallel routes exist for motorized traffic. Examples include Second and Fourth Streets andBrown Street. If successful, expand.
New neighborhood plans should consider bicycle boulevards as part of their comprehensive transportation plan. Neighborhood plans in undeveloped areas should be amended or include bicycle boulevards to improve bicycling connectivity and access.
Responsible Party: Planning and Traffic Engineering
Performance Measure: Potential locations are proposed and one bike boulevard is built
Timeline: 2011
Resources: Staff time and construction costs.
Author, update, improve, and implement a written street, path, bridge and bicycle parking maintenance policy.
Details : The policy should include two distinct parts.
A. General or Routine: Policy should include surface and joint repair, glass & debris pickup, frequency of service, and maintenance of bicycle racks and removal of abandoned bicycles and bicycle parts, maintenance of signs and markings, and trimming of trees.
B. Winter: Policy should include timeliness, level of service for bike lanes, paths, and select local street bike routes and snow removal at all public bicycle racks. The detail for plowing should be published in map format on the city's website so that the public knows what to expect for trip planning and requests for changes. There should also be a "one-stop" phone number for all city related issues that is published on the city web site (that would correspond to "report a problem" on the regional website) and
signed at select locations so that bicyclists may immediately report problems.
Responsible Party: Task Force
Performance Measure: A written policy is developed and implemented and posted on website.
Timeline: Fall 2010
Complete a public bicycle parking needs study for the central city area. Details: May include need for covered parking, signing, rental bicycle lockers, on demand bicycle lockers, and/or a bike station (bike stations should be located in central employment areas). Investigate installation of a bicycle station and/or bicycle cages and/or electronic on-demand bicycle lockers. See examples of on demand lockers at: http:/www/bikelink.org/
Responsible Party: Traffic Engineering and Planning with assistance from
Cycling organizations or outside consultant
Performance Measure: A parking study is completed
Timeline: 2011
Resources: Cost of study fundable through MVRPC
Institute a program of city-provided public bicycle parking racks. Details: The City would provide bicycle racks (usually a two bike rack such as a U rack, post, or ring) to be placed in the public right-of-way at the request of businesses or citizens. Also consider using a limited number of on-street automobile parking spots as locations for public multi-bicycle racks. Best practices occur in Chicago, Seattle, and Milwaukee. Priority locations should include all public buildings.
Responsible Party: Traffic Engineering and Parking
Performance Measure: The city institutes a program and begins installing racks Timeline: Spring 2008
Resources: Staff time and the cost of racks and installation. An allocation for the purchase of the first portion of these racks in the city budget has been approved by the City Council.
Accelerate development of bicycle routes, lanes, and paths.
Details: See Regional Plan, the Regional Transportation Plan
2020 and subsequent updates, and all other adopted plans.
Responsible Party: Mayor, Traffic Engineering, Engineering, Parks,
Metropolitan Planning Organization (MPO), Planning
Performance Measure: Accelerate progress towards fulfillment of recommended facilities
Timeline: Ongoing
Resources: Depends on project. Will require a regular and increased commitment of local, state, and federal funding to bicycle projects.
Convert existing wide streets to two or three lane roads with bike lanes.
Details: Examples are all streets downtown within the Bike and Pedestrian
Friendly Zone identified elsewhere in this report.
Responsible Party: Traffic Engineering and Engineering
Performance Measure: Additional converted roads
Timeline: 2012
Resources: Depends on project
Recommendations: Infrastructure
Develop, implement, and enforce a written bicycle access policy through and around public and private construction projects.
Details : Streets, Paths, bridges/tunnels and sidewalks should be included in the policy. Elements should include (but not be limited to) signage, detour routes, duration of detour, closures, etc. The same care and concern should be used for bicycles as for motor vehicles.
Responsible Party: Engineering, Traffic Engineering, Parks, Planning, Building Inspection
Performance Measure: A written policy is developed and implemented
Timeline: 2011
Resources: Staff Time
Establish a Bike and Pedestrian Friendly Zone in the area defined by:
a. South and East of the Great Miami River, North of US 35, and West of Keowee Street.
Details : Dedicated bike lanes or shared use paths on every street within the zone. Traffic signal timing and cross walk distances conducive to walking. Streets put on diets to reduce the number of driving lanes, Elements should include (but not be limited to) signage, detour routes, duration of detour, closures, etc. The same care and concern should be used for bicycles as for motor vehicles.
Responsible Party: Engineering, Traffic Engineering, Parks, Planning, Building Inspection
Performance Measure: Completion of projections
Resources: Staff time and Federal TE and CMAC funding
Target and complete key indicator-level infrastructure
* Implement the two-way downtown bike lane project
* Establish 3 bike parking facilities in core for up to 50 bikes through public/private partnerships.
* Add sharrows or bike lanes to all core streets within the Zone by 2011
* Work with regional partners to complete the South East Corridor Trail by 2010
* Complete the Wolf Creek Recreation Trail in the City of Dayton by 2012
* Complete the Creekside extension along US 35 into the Huffman Neighborhood by 2013
* Identify key neighborhood connections into Core and identify bike boulevards to establish 2013
Details : Identifying key elements that have the ability to quickly move the bike friendly effort forward is key to creating momentum and success that can be built upon.
Responsible Party: Engineering, Traffic Engineering, Planning, Task Force and
Project Partners
Performance Measure: Completion of projections
Timeline: Various
Resources: Staff time and Federal TE, CMAC and Clean Ohio Trail Fund funding
Create a Bicycle Level of Service Analysis.
Details: Develop a tool that can be used for planning and designing on- and offstreet bicycle facilities. Elements may include path and bicycle lane widths. In order to evaluate paths, significant data must be collected.
Responsible Party: Engineering, Traffic Engineering, MPO
Performance Measure: Analysis developed and completed.
Timeline: Fall 2010, in conjunction with update of Bicycle Plan
Resources: Staff time and/or consultant.
Complete a comprehensive review of physical barriers and missing links to biking routes.
Details: Collect information for use as a tool for making recommendations for the 6-year improvement program. These can be manmade barriers such as freeways, interchanges, incomplete street grid, "missing links," railroads and railroad crossing or natural barriers such as streams or steep topography Responsible Party: Engineering, Traffic Engineering, MPO Performance Measure: Tool developed and implemented
Timeline: Fall 2010, in conjunction with update of Bicycle Plan
Resources: Staff time.
Create a training, peer review, on-the-job training and mentoring program for bicycle facility concept, design and construction.
Details: Bicycle planning and engineering is often a skill learned on-the-job rather than in school. Dayton has a shortage of institutional knowledge, skill and experience in bicycle planning and engineering. Develop an training program that will develop thenext generation of engineers and planners who understand how to accommodate all modes of transportation.
Responsible Party: Engineering and Traffic Engineering, Planning, Police
Performance Measure: Program developed and implemented
Timeline: 2011
Resources: Staff Time.
Revise the Standard Detail Drawings and construction standards to address several bicycle-related elements.
Details :
A. Bicycle lane marking at signalized and unsignalized intersections.
B. Path entering a street. Path entering a street design at a minimum should address smoothness of ride and turning movements.
C. Path crossing a street at an elevated smooth level (speed table for motor vehicle). Path crossing a street design should also address the potential for motor vehicles stopping at the path.
D. On-street left turn lanes for bicycles where a path crosses a street with a median to make the turn onto the path safer. Example locations for left turn lanes are Washington Street at Jefferson / Patterson intersection.
E. Standardize arterial and collector street typical cross-sections
F. Standardize pavement structure design process for paths to include
maintenance vehicle usage.
Responsible Party: Engineering and Traffic Engineering
Performance Measure: Standard Detail Drawings and standards with policy are developed and implemented.
Timeline: 2013
Resources: Staff Time
Recommendations: Infrastructure
Accelerate elimination of sidewalk bike routes by providing convenient alternate routes and/or bike lanes.
Details: Bicycling on sidewalks can be dangerous because of conflicts with pedestrians and because automobiles may not expect a fast moving bicyclist to cross driveways or streets. Therefore, the committee recommends that no new sidewalk bike routes be created and that existing routes be moved off of sidewalks.
Responsible Party: Engineering and Traffic Engineering
Performance Measure: No new sidewalk bike routes are created and existing routes are moved off sidewalk
Timeline: Ongoing
Resources: Cost will vary by project.
Allow two-way bicycle operation on short one-way streets.
Details : Example is Stewart Street from UD to the river and Wolf Creek Trail adjacent to James McGee
Responsible Party: Traffic Engineering
Performance Measure: Two-way bicycle operation is allowed on select short one way streets.
Timeline: Complete one in Fall 2011 and review; if feasible, three more by 2010 Resources: Staff time and signage
Identify, formalize, and improve known bike "shortcuts."
Details: Examples occur through the UD campus in several locations, near
Dayton Daily News HQ from Far Hills to Patterson, etc.
Responsible Party: Engineering and Traffic Engineering
Performance Measure: Shortcuts formalized and signed, if needed.
Timeline: Complete one in Fall 2010.
Resources: Cost will vary by shortcut. These should be relatively low cost projects.
Examples of Destination Based Bike Network Signs Image: Image insert
Convert current bike trail network and signage to a destination-based network.
Details : Signs will indicate where bicyclist can get to and the distance. Examples exist in Chicago and Portland. May include the naming of
some routes and the signage may be phased in.
Responsible Party: Traffic Engineering
Performance Measure: Network planned and signs installed
Timeline: Plans to begin no later than Spring 2010.
Resources: Detailed cost analysis required.
Ensure traffic signals actuate to bicycles and allow sufficient time for a bicyclist to cross the street with the signal.
Details: Inventory all existing street signals to ensure that they actuate to bicycles and are timed to allow sufficient time for a bicyclist to cross the street with the signal. Take corrective action as needed.
Responsible Party: Traffic Engineering
Performance Measure: All street signals actuate to bicycles and are properly timed
Timeline: Spring 2010
Resources: Staff time and cost of implementation materials.
Consider bicycle signals (has bike symbol) at appropriate signal locations where bikes may have a different movement than a motor vehicle.
Details: E.g. All downtown Main St and Patterson Crossings
Responsible Party: Traffic Engineering
Performance Measure: Special cases are reviewed and signal changes considered
Timeline: Spring 2011
Resources: Staff time and cost of implementation materials.
Develop policy to mark bike lanes at signalized intersections on bike routes (and other streets where bikes are expected) even if the street does not have bike lanes.
Details: Third and Main, Fifth and Keowe, etc
Responsible Party: Traffic Engineering
Performance Measure: Policy developed and implemented
Timeline: Spring 2011
Resources: Staff time and cost of marking lanes
Where a sidepath crosses an intersecting street with a stop sign or yield sign, place a supplemental sign indicating two-way bicycle traffic.
Details: Stewart St with intersection of Great Miami River Trail. Best practice examples in Denmark.
Responsible Party: Traffic Engineering
Performance Measure: Supplemental signs placed
Timeline: Spring 2011
Resources: Staff time and cost of sign implementation
Install bicycle actuation for signals and pedestrian countdown signals at
signalized path crossings (where appropriate).
Details: Existing actuation example is Stewart Street at Patterson
Existing countdown example is the.
Responsible Party: Traffic Engineering
Performance Measure: Policy developed and implemented
Timeline: Spring 2011
Resources: Staff time and cost of new traffic signal components.
Adjust signal timing/progression on significant bike routes to better favor bicycle commuters.
Details: Starting and stopping at signals is a significant inconvenience to bicyclists and discourages some from bicycling. Favoring bicyclists on certain
significant routes can encourage more bicycling and improve safety.
Responsible Party: Traffic Engineering
Performance Measure: Signal timing is adjusted
Timeline: Spring 2011
Resources: Staff time
Recommendations: Infrastructure
Wayfinding signs. Image insert
Adopt the current network of wayfinding signs and maps on the trail system and for use at key locations on the street system.
Details: In 2007, Miami Conservancy District initiated a regional trail sign system through ODOT and regional partners. This trail wayfinding system is now the standard in Montgomery, Miami, and Greene Counties and should be adapted and modified for on-street bicycle system wayfinding.
Responsible Party: Graffiti Team, Traffic Engineering, and Parks with assistance from Bicycle Federation of Ohio and private partner.
Performance Measure: Existing signs are repaired and new signs added
Timeline: Winter 2009
Resources: Staff Time and signage design and production costs. Federal Transportation funds.
Revise, Implement and enforce the existing bicycle parking ordinance.
Details: A revised ordinance should include the following provisions:
1. Access and Placement
2. Parking Standards: a. Bike Racks: Provision for an approved list of bicycle racks for private development and public spaces to include a properly worded appeals process. b. Bike Lockers c. Internal Storage
3. New Development:
a. Public Buildings: Employee and visitor parking
b. Private Businesses: Employee parking, lockers and customer parking
c. Residential: Resident long term indoor parking and resident short term indoor and outdoor parking and visitor parking
d. Mixed Use Development: Residential, Employee, and Customer
4. Retrofitting Existing Development: a. When making a major change to development, they will have to come into compliance for bicycle parking requirements for the entire development b. A timeline should be developed for existing development to come into compliance with the bicycle parking ordinance.
5. Enforcement of the bicycling parking ordinance should include counting spaces, verifying that the rack supports the bike frame and can be used with U-shaped lock, etc. Bike parking design and placement should not be the last task a developer undertakes because this results in the racks being placed in empty areas that do not easily support automobile parking, like near the garbage bins far away from the building entrance. Ideally, the rack placement should be a condition for zoning code compliance approval. Ordinance example: Association of Pedestrian & Bike Professionals Bicycle Guidelines.
Responsible Party: Planning, Zoning, Traffic Engineering
Performance Measure: An improved ordinance is written and implemented
Timeline: Winter 2009
Resources: Staff time
Conduct a review of complex intersections and determine solutions to improve bicycle/pedestrian safety and comfort.
Details: Review intersections and determine solutions (examples include
Patterson / Main; Washington – Main - Patterson
Responsible Party: Traffic Engineering
Performance Measure: Intersections are reviewed and a plan for improvements made.
Timeline: Spring 2011
Resources: Staff time and cost of corrective action.
Increase bicycle capacity on RTA buses.
Details: Most Dayton buses currently have 2 bike racks mounted on the front of the buses. As these racks require replacement or new buses are purchased, the racks should be replaced with 3 bicycle racks.
Responsible Party: RTA
Performance Measure: Capacity is increased
Timeline: Ongoing
Resources: Cost of racks
Insert Image Bike Rack on RTA bus:
Incorporate bike access and bike transport in/on all streetcars, and commuter rail planning and construction, and remain mindful of impact of tracks on bicyclists.
Details: In all development of new transit options, including streetcars and/or commuter rail, provide convenient bicycle transport. If and when the City moves forward with plans for streetcars or commuter rail, consideration should be made to the possible negative effects of rail tracks (parallel and perpendicular to the travel lane) on bicyclists. Cities like Portland and Amsterdam present useful real world examples of negotiating these difficulties
Responsible Party: Transport Committee, RTA, MVRPC
Performance Measure: Bicycles are considered and accommodated for in rail projects
Timeline: 2010
Resources: Staff and committee time
Bicycle parking should be provided at all city buildings and transit centers. Details: Covered short-term parking and secure long-term parking should be provided at all current and future transit transfer points, future rail and bus stations, and park and ride lots. Secure, long term bicycle parking should be installed at these locations.
Example might include rented or pay-by hour bicycle lockers. Parking should also be provided at major bus hubs. In
addition, the city will install racks to meet the zoning ordinance and will assure that all city buildings, libraries and parks and recreation centers have bicycle parking.
Responsible Party: Mayor's Office, RTA, Library Board, and Parks and RC,
FRMP
Performance Measure: Bicycle parking is provided
Timeline: Ongoing
Resources: Staff time and cost of racks
Land Use and Planning
Create a city interdepartmental staff team to meet at least monthly to improve communication and joint planning for future bicycle facilities. Details: Many City departments are involved in some aspect of bicycle facility planning and implementation. Staff from these departments often work together informally on an ad hoc basis, but the recommendations or actions of one group are not always communicated effectively to all other staff who should be aware of this information, or who can help advance the recommendation toward adoption and implementation. A formal staff team with representatives from the agencies most involved in bicycle facility planning (including Engineering, Traffic Engineering, Metropolitan Planning Organization, Planning and Parks) will facilitate better inter-agency communication and mutual support in implementing bicycle facility recommendations.
Responsible Party: All departments
Performance Measure: Group meets quarterly.
Timeline: Ongoing beginning in 2008
Resources: Staff Time.
Include specific recommended bicycle connections to major activity centers in neighborhood plans.
Details: Neighborhood plans should include specific recommended bicycle connections to major activity centers within the neighborhood, such as employment areas, business districts, parks, schools and other civic uses, adjacent neighborhoods, and city-wide and regional bicycle transportation routes and facilities.
These plans should recognize a hierarchy of bicycle facilities that may include off-street bicycle paths and trails, marked on-street bicycle lanes, and identified routes to major neighborhood destinations using low-volume local streets, which may or may not be officially designated, that can provide an alternative for younger or less-experienced bicyclists who are not comfortable using the bicycle lanes provided on collector and arterial streets.
For new neighborhoods at the urban edge, the recommended bicycle facilities should be shown on the neighborhood development plans that are adopted before development begins. For older, established neighborhoods, additional bicycle connections should be incorporated into the neighborhood plans or special area plans that are prepared for some of these areas from time-to-time, and/or be recommended in bicycle facility plans to address network deficiencies.
Responsible Party: Planning
Performance Measure: Specific recommended bicycle connections to major activity centers are included in neighborhood plans
Timeline: 2011
Resources: Staff Time.
Review and strengthen the zoning ordinance to ensure adequate on-site pedestrian and bicycle access, parking, and circulation.
Details: Review and strengthen the zoning ordinance to ensure that new developments provide adequate on-site pedestrian and bicycle access, parking, and circulation, including connections to existing and planned bicycle facilities/bikeway systems.
Responsible Party: Planning, Engineering, and MVRPC
Performance Measure: Ordinance is reviewed and strengthened to ensure adequate on-site pedestrian and bicycle access, parking, and circulation Timeline: 2010
Resources: Staff Time
Review and strengthen the subdivision ordinance to ensure a connected street network with bicycle facilities
Details: Review and strengthen the subdivision ordinance, as needed, to ensure that new developments provide a connected street network with multiple route options and destinations and incorporate bicycle facilities shown in applicable land use and transportation plans.
Considerations may include required maximum block lengths, width of mid-block connections, reservation of right-of-way for shared-use paths, and possible requirement for installation of local shared-use paths primarily serving residents within the neighborhood (e.g., connections between cul-de-sacs and shortcuts through parks or other open spaces) and reduced speed limits.
Responsible Party: Planning
Performance Measure: Subdivision ordinance is strengthened to ensure a connected street network with bicycle facilities
Timeline: 2012
Resources: Staff Time.
Annual bicycle counts are taken on major bicycle routes and
bicycle/pedestrian counts on bike paths.
Details: Locations are selected and counts are taken annually
Responsible Party: Traffic Engineering, Planning, Engineering, and MVRPC and
Regional Partners
Performance Measure: Locations are selected and counts are taken annually
Timeline: Ongoing beginning in 2009
Resources: Staff Time
Develop a map of urban to rural routes and a written policy for their future preservation and rehabilitation.
Details : Due to development and traffic pressures, many roads from the city leading out into rural areas that were once desirable for bicycling are becoming unpleasant and/or dangerous on which to bicycle. If the currently designated bicycle route cannot be preserved in a manner appropriate for most intermediate bicyclists, a new, equally convenient route nearby shall be designated through the use of bicycle boulevards, paths, connections to existing low-volume streets, or other such infrastructure.
Responsible Party: Regional Bike Steering Committee, MVRPC Performance Measure: A map and written policy are developed and implemented
Timeline: Winter 2010
Resources: Staff Time
Develop sources of funding for shared use paths that serve larger areas. Details: Sources of funding could include impact fees. Impact fees are designed to ensure new development pays a proportionate share of new, expanded, or
improved facilities required by the development. Impact fees have been used for roadway improvements, including intersection improvements and traffic signals. Bicycle facilities are also needed to serve new development.
Responsible Party: All departments and Mayor's office
Performance Measure: Impact Fees or other funding sources are developed.
Timeline: 2011
Resources: Staff Time.
Maintain bicycle connections as the street network develops and is modified. Details: As the street network in a developing neighborhood evolves, the ability to provide all of the recommended bicycle connections must be maintained and any revised alignments for these routes should be clearly shown on the revised plans.
Land in new neighborhoods is often developed over a relatively long time period, often in disconnected tracts. This makes the alternative local street connections, which are preferred for bicycling by children and less-experienced adult bicyclists, particularly vulnerable to being broken inadvertently as multiple iterative modifications are made to the street network that was envisioned in the plan as originally adopted. This reinforces the importance of clearly including all of the recommended bicycle connections in the neighborhood plans and ensuring that the plans remain current.
Responsible Party: Planning, Traffic Engineering, and Engineering Performance Measure: Bicycle connections are maintained as the street network develops.
Timeline: Ongoing beginning in Spring 2008
Resources: Staff Time.
Enforcement
Create a formal bicycle program, with an identified program coordinator, within the Dayton Police Department to standardize police bicycle operations and to increase the degree to which bicycles are used as a mode of transport by police personnel for general enforcement as well as for bicycle /pedestrian enforcement.
Details: The purpose for doing so is to increase the degree to which bicycles are used as a mode of transport by police personnel for general enforcement as well as for bicycle /pedestrian enforcement, and to increase the degree to which Dayton Police Department serves as a visible role model to the community.
Responsible Party: Police
Performance Measure: Program created
Timeline: 2013
Resources: Depends on size of program
Review all bicycle related ordinances and laws for relevancy to being bike friendly. Bike task force to develop set of detail ordnance changes and recommendations to support bike friendly initiative.
Details: The purpose for doing so is to increase the degree to which bicycles are used as a mode of transport to ensure general enforcement is in line with bike friendly strategy
Responsible Party: Dayton Police and Task Force
Performance Measure: Review and recommendations made
Timeline: 2009
Resources: Depends on size of program
Increase the number of police personnel available to be assigned to traffic law enforcement to allow for consistent enforcement.
Details: This will enable the Dayton Police Department to increase the amount of time spent on bicycle and pedestrian enforcement efforts, and to conduct such enforcement during a wider variety of hours.
a. The Dayton Police Department should continue the existing practice of urging existing personnel to conduct more traffic law enforcement as their duties permit.
b. Dayton Police Department should continue to prioritize enforcement of hazardous moving violations, and should continue the practice of prioritizing those efforts to areas or situations where safety hazards are most prevalent.
Issues regarding consistent enforcement
1. All traffic law enforcement serves to increase bicyclist safety by improving driving behaviors of motorists and bicyclists. If drivers are observing speed limits, stopping at stop signs and signals, yielding right of way as required by law, driving sober, etc., then the streets are safer for everyone.
2. In particular, law enforcement should be aware that speeding significantly increases severity of auto-bicycle and auto-pedestrian crashes, and failure to yield is one of the most common forms of auto/bicycle crashes for adult cyclists in urban areas.
3. Parking law enforcement is needed to prevent parking in bicycle lanes. Responsible Party: Police and Mayor's Office
Performance Measure: More personnel available for traffic enforcement
Timeline: Winter 2010
Resources: Shifting duties of existing staff or adding staff
Deferring prosecution for cited bicyclists who successfully complete bicycle traffic safety classes.
Details: Bicyclists who are cited are currently able to attend a class to defer prosecution
Responsible Party: Police and Traffic Engineering, certified training instructors.
Performance Measure: Continue program of bicycle education
Timeline: Ongoing
Resources: Same as current
Improve use of media in covering crashes.
Details: Reinforce desired traffic safety messages, dispel cultural myth that crashes are "accidents", that bicycling is dangerous, and blaming the cyclist by
inference. Encourage the use of word “crash” en lieu of “accident” to reinforce this message.
Responsible Party: All departments, particularly police
Performance Measure: Media coverage of bicycle crashes improves
Timeline: Ongoing
Resources: Staff time
Develop a Bicycle Crash Report "study sheet" so officers reporting bicycle rashes include necessary information for crash analysis.
Details: This is needed for development of engineering, safety education and for enforcement programs.
1. City Traffic Engineering should continue to analyze bicycle crash data to determine bicycle safety improvement goals; to determine causal factors leading to such crashes; and to identify locations where such crashes commonly occur.
2. Traffic Engineering will communicate this information to Dayton Police Department to enable them to develop traffic law enforcement plans that are responsive to these identified safety problems.
3. Traffic Engineering will work with state government to change the crash reporting requirements, to require reporting of crashes involving bicycles or pedestrians that do not involve motor vehicles (Current state law does not require such reporting).
i. Recommended criteria – crash involves injury or property damage of $200 or more.
Responsible Party: Police and Traffic Engineering
Performance Measure: Study sheet developed and implemented
Timeline: 2011
Resources: Staff time and minimal printing
Dayton Police Department continue to work with UD Campus Police, Sinclair Security, Five Rivers MetroParks Rangers, and Montgomery County Sheriff to ensure consistency in cycling enforcement efforts.
Details: In order to assure that all jurisdictions are communicating their plans and programs, as well as sharing best practice information, regular coordination should take place. Consistent enforcement is a cornerstone of encouraging lawful and safe behavior.
Responsible Party: Police
Performance Measure: Ongoing good relations and partnerships
Timeline: Ongoing
Resources: Staff time
Continue to educate and train law enforcement personnel in the enforcement of laws concerning bicyclists' rights and responsibilities
Details: Use the Ohio Department of Transportation – Bureau of
Transportation Safety (DOT-BOTS) Pedestrian and Bicycle Law Enforcement
training course, new recruit training, and roll call refresher courses. The DOT- BOTS training should be offered at least once per year and one or more officers should be trained to provide these courses internally. (Train-the- Trainer) Responsible Party: Police
Performance Measure: Annual trainings
Timeline: Ongoing
Resources: Staff time and cost of trainings, which may be covered by Ohio
Department of Transportation – Bureau of Transportation Safety
Recommendations: Assessment and Review
Education, Encouragement, and Outreach
Institute a Sunday traffic free downtown ride once per month.
Details: Sunday Parkways are times set aside on weekends and holidays for traffic-free biking and walking on a network of selected streets. In effect, streets are transformed into trails. Hundreds of thousands of cyclists use Sunday Parkways called Ciclovia in Bogotá, Columbia, and Via RecreActiva in Guadalajara, Mexico. Sunday Parkways do not impact motorized traffic flow like other special events, since all cross-traffic flows normally. Participants stop at all traffic signals, so that only the closed street is affected. Often on a divided arterial, the Sunday Parkway uses one half of the roadway and motorized traffic uses the other half. Sunday Parkways provide close-to-home recreational opportunities for all ages and all types of active travel.
Responsible Party: Mayor's Office, Traffic Engineering, Police, Dayton Metro Performance Measure: A Sunday Parkways program is launched, expanded, and sustained
Timeline: Spring 2008
Resources: Staff, police time, and volunteers
Institute a Moonlight Ramble ride on Urban Nights dates
Details: Encourage cycling by instituting a mass nighttime ride through downtown and various neighborhood. This ride will put people who are rarely on the street downtown in area thought to be dangerous and will create an new understanding of the relative safety of both cycling and downtown.
Responsible Party: Mayor's Office, Traffic Engineering, Police, Dayton RTA Performance Measure: A Moonlight Ramble ride is launched, expanded, and sustained
Timeline: Spring 2010 ( Urban Nights)
Resources: Staff, police time, and volunteers
Create a Safe Routes to School plan for Dayton.
Details: To include education, enforcement, engineering, encouragement, and evaluation for children K-12.
Responsible Party: Planning, Traffic Engineering, Health, Engineering will work together with the Dayton City School District (MMSD), other school districts
that serve City of Dayton children, Safe Community Coalition, Ohio Bicycle Federation, and other community groups.
Performance Measure: Plan completed
Timeline: Ongoing and funded for 5 schools Id core schools by end 2010
Resources: Staff time or cost of a consultant
Maintain and expand partnership in the Drive Less, Live More campaign Details: This cost-effective marketing program identifies people receptive to changing the way they travel and then provides them with personalized information about their preferred option(s).
Responsible Party: DLLM Partners Mayor's Office, Public Health, MPO, Metro, Traffic Engineering
Performance Measure: The DLLM marketing campaign is expanded
Timeline: Winter 2009-2010
Resources: Depends on extent of program
Recommendations: Assessment and Review
Integrate bicycling into GetUp! Montgomery County program
Details: GetUp! Montgomery County and The Natural Step are existing efforts that can and should integrate bicycling into their programs.
Responsible Party: Public Health
Performance Measure: Bicycling content of GetUP! Montgomery County
Timeline: 2009
Resources: Staff Time
Facilitate an annual meeting of all regional bicycle/pedestrian
planners/engineers in MVRPC region at Planning Workshop.
Details: In order to assure that all communities and organizations are communicating their plans and programs, as well as sharing best practice information, an annual meeting should be held.
Responsible Party: Staff from all departments with MVRPC and Planning Workshop as lead
Performance Measure: An annual meeting is held
Timeline: Dec 2009 at Planning Workshop
Resources: Staff time and nominal meeting costs
Undertake a scientific survey to determine the level of bicycling in Dayton and what the public feels can and should be done to improve bicycling conditions and to increase the number of people bicycling.
Details: In addition to the fact that reliable figures are not available for the number of people bicycling in Dayton, the Greater Dayton Planing Group recognizes that there are issues that they do not have the answers for regarding bicycling. Among
these issues is the question of how to get those who do not currently bicycle to try it. The Committee hopes that some innovative solutions will emerge through the recommended mini-grant program, this scientific study, and the
individualized marketing program. The city may be able to partner with the UD or WSU to complete the survey.
Responsible Party: Traffic Engineering and/or Public Health
Performance Measure: A survey is implemented and analyzed
Timeline: Spring 2011
Resources: Staff time and the cost of the study
Recommendations: Assessment and Review
Create a plan for city bicycle education, encouragement, and outreach for adults.
Details: Create a plan and consider adding a bike coordinator to address adult bicycle education and outreach to be housed in the Public Health Department, Planning or
Five Rivers MetroParks Outdoor Recreation Dept..
Responsible Party: Mayor's Office, MetroParks: A plan for adult bicycle education and outreach iscreated and implemented and appropriate staff or consultant is hired
Timeline: Winter 2010
Resources: Estimated cost $100,000 annually for additional staff person/contract Expand and Improve children's bicycle safety education in school.
Details: In collaboration with the educational plan/staff recommended, expand and improve bicycle education for children. May include Safe Routes training, Bike Clubs, training associated with free helmet giveaways, rodeos with trained instructors. Ideally, every child in grades 5 or 6 (age 9-12 would be ideal) will receive detailed bicycle safely training. Possible housed in conjunction with youth program, earn a bike and Co-op.
Responsible Party: Traffic Engineering, and other community groups, as well as collaboration with Dayton Metropolitan School District and other school districts serving Dayton school children..
Performance Measure: Children receive bicycle safety education
Timeline: 2011
Resources: Depends on level of program implemented
Support a School District policy that all children, if allowed by their parents, should be allowed to bicycle to school in Dayton.
Details: Encouraging bicycling begins at a young age. With parental guidance, bicycling can be an excellent form of transportation for children to get to school. The city should support adult supervised and/or approved (depending on age) bicycling of children to school.
Responsible Party: Mayor's office and Planning will work with Dayton City School District (MMSD) other school districts that serve City of Dayton children, Safe Community Coalition, Ohio Bicycle Federation, and other community groups.
Performance Measure: All children are allowed to bike to school (with parental approval)
Timeline: Fall 2009
Resources: Staff time
Provide information and incentives to all city employees about bicycling for transportation/recreation and encourage other businesses and corporations to do so as well.
Details: may include League of American Bicyclists classes, other classes, printed materials, prizes
Responsible Party: Mayor's Office, Traffic Engineering, Public Health with help from Ohio Bicycle Federation and other community groups
Performance Measure: Information and incentives are made available to all City employees
Timeline: Spring 2008 and ongoing
Resources: Depends on program
Establish Bicycle User Groups (BUGs).
Details: Bicycle User Groups (BUGs) are worksite or neighborhood-based groups involved in various cycling activities. Some BUGs organize rides or events, while others campaign for better cycling facilities.
Responsible Party: Traffic Engineering, Parks, Public Health, Bicycle
Federation, priority boards or other community groups
Performance Measure: When the city has opportunities to do so, they will direct citizens to appropriate resources
Timeline: Fall 2011
Resources: Staff time
Encourage regular bike programs/workshops at around the community Details: The task force recognizes that there are issues that they do not have the answers for regarding encouraging more people to bicycle. The task force does not have an articulated concept for how to reach out to these groups, however they acknowledge that the issues addressed in this report affect all citizens of Dayton, and that a better community can be developed through open communication and collaboration.
Responsible Party: Parks and Rec, Public Health, GetUp! Montgomery County, Five Rivers MetroParks, Drive Less, Live More Campaign, priority boards. Performance Measure: When the City has opportunities to do so, they will provide assistance to groups that wish to facilitate bike programs.
Timeline: Ongoing
Resources: Staff time
Reach out to neighborhood planning councils, developers, builder's association, environmental groups, chamber of commerce, schools.
Details: The Greater Dayton Planing Group recognizes that there are issues that they do not have the answers for regarding encouraging more people to bicycle. The Committee does not have an articulated concept for how to reach out to these groups, however they acknowledge that the issues addressed in this report affect all citizens of Dayton, and that a better community can be developed through open communication and collaboration.
Responsible Party: All departments
Performance Measure: Ongoing good relations and partnerships with these groups
Timeline: Ongoing
Resources: Staff time
Establish a mini-grant program to support community efforts that encourage bicycling.
Details: The mini-grant program taps the creative potential of our community by seeking ideas from the public to encourage bicycling. The grants will particularly seek to reach people who either do not bike at all or who bicycle infrequently, as well as minority, low-income, and other under-represented populations. May include grants for public art that is dedicated to bicycling or bike parking for businesses.
Responsible Party: Task Force, Mayor's Office
Performance Measure: Mini grants given away and associated projects completed
Timeline: Launch early 2010
Resources: Funding to come initially from the corporate sponsorships of the
Task force. If successful, seek additional funding from the city or
businesses
Insert Image A family bicycles
Establish a regional cycling promotions effort among regional agencies and metropolitan governments
Details: Consider advertising website with stickers on city bike racks, cross-
linking, joint cycling promotions
Responsible Party: Regional agencies
Performance Measure: A web clearinghouse is developed and launched with
improved web sites and a jiont 2010 cycling promotion is developed
Timeline: ongoing Fall 2009
Resources: Staff time and TBD funding from all agencies
Develop an online interactive bicycle route mapping to include segment suitability and average biking time as part of above web site.
Details: Web-based application similar to Mapquest for cars. Investigate the development of a "bike score" to assist bicyclists, businesses, and property sellers/buyers of the bicycle—friendliness of an area.
Responsible Party: Traffic Engineering and Engineering with assistance from Bicycle Federation of Ohio or other contractor
Performance Measure: Online application developed and launched
Timeline: Winter 2011
Resources: Development and web hosting costs.
Recommendations: Assessment and Review
Add Montgomery and Miami County to Green County Cycling Classic Details: Separate from Bike to Work Week—and held during summer months.
Likely location would be Riverscape MetroPark site when completed
Responsible Party: seek a nonprofit or private company
Performance Measure: A festival is developed and held
Timeline: Summer 2011-12
Resources: Minimal city resources; festival should be organized and supported
by private sector
Reach out to minority, low-income, and under-represented groups.
Details: The Plan recognizes that there are issues that they do not have the answers for regarding bicycling. Amongst these issues is the question of how to encourage minority, low-income, and other under-represented groups to bicycle more. The Committee hopes that some innovative solutions will emerge through the recommended mini-grant program, the scientific study, and the individualized marketing program. In addition, other approaches may include materials printed in foreign languages, Major Taylor programs (for AfricanAmerican children), Affordable Transportation for Affordable Housing programs, Getup! Montgomery County, and reaching out to churches/neighborhood centers.
Responsible Party: All departments and regional agencies, DLLM
Performance Measure: Improved outreach to these groups
Timeline: Ongoing
Resources: Staff time
Recommendations: Assessment and Review
Promote programs that make bicycles available to everyone regardless of income level (both used and new bikes) thru earn a bike and integrated Coop Program
Details: Examples of such programs include Red Bike Program, Wheels for Winners, Boys and Girls Club, GetUp!, , UD Brown St, and Adventure Central, DECA, Teens in Actions, etc.
Responsible Party: establish non-profit
Performance Measure: When the City has opportunities to do so, they will
direct citizens to these resources
Timeline: 2011
Resources: Staff time
Coordinate bicycle plans and activities with the University of Dayton and Wright State, Sinclair
Details: In order to ensure that all communities and organizations are communicating their plans and programs, as well as sharing best practice information, regular coordination should take place.
Responsible Party: All departments
Performance Measure: Ongoing good relations and partnerships with colleges/universities
Timeline: Ongoing
Resources: Staff time
Recommendations: Assessment and Review
Promote existing rides, events, programs, and groups that promote bicycling. Details: Examples include Bike to Work Week, MoMBA, Club Rides, Fundraising Events, Competitive Sporting Events, Mountain Biking Responsible Party: Regional Promotion project, regional agencies, DLLM Performance Measure: When the City has opportunities to do so, they will direct citizens to these resources
Timeline: Ongoing
Resources: Staff time
Provide printed safe bicycling information to bicycle event planners and participants through city parks permitting process.
Details: Bicycling events provide a unique opportunity to educate cyclists because they are gathered in one place. By educating bicyclists on the rules of the road and on courteous riding behavior, the city can improve safety and the relationship between bicyclists and motorists.
Responsible Party: MVRPC and regional agencies
Performance Measure: Information provided to all events
Timeline: Spring 2009
Resources: Bicycle Federation of Ohio may be willing to assist with cost and distribution. 10,000 newsprint publications can be printed for about $500
Create a Bicycle Ambassador program.
Details: The concept of bicycle ambassadors is gaining popularity nationwide. Bicycle Ambassadors work to encourage bicycling as a form of transportation, while promoting safety. Ambassadors might organize a number of activities such as: bike skill and safety clinics, free bike repair and commuter classes, share maps and offer route - finding help, lead "Get to Know Dayton by Bike" tours, helmet fittings, ABC Quick Bike Checks, Bike Rodeo assistance, co-host special events by request. The Ambassadors would interact with people every day on Dayton's streets - answering questions, giving out free safety gear and resources, offering courses to help people become better cyclists, demonstrating the best biking and walking techniques, speaking with motorists and moped drivers about bike and pedestrian issues and more. Currently, the University of Ohio has a campus Ambassador program
Responsible Party: Mayor's Office, regional agencies, FRMP MVPs, Public Health, Police, or Parks
Performance Measure: A Bicycle Ambassador program is launched and sustained
Timeline: Spring 2010
Resources: Cost proportional to size of program. Estimate $25,000-$50,000 per 1/2 time Ambassador
Coordinate bicycle plans and activities with public and private K-12 schools Details: In order to ensure that all communities and organizations are communicating their plans and programs, as well as sharing best practice information, regular coordination should take place.
Responsible Party: All departments
Performance Measure: Ongoing good relations and partnerships with schools
Timeline: Ongoing
Resources: Staff time
Recommendations: Assessment and Review
Investigate implementation of a bike sharing program
Details: Many communities throughout the world are using bike sharing programs or short-term, on-demand bike rentals to encourage bicycling. Dayton had a brief bike sharing program called "red bikes" in the 1990s. Currently, the University of Dayton and Active Lifestyle Committee is researching a bike sharing program. The city should work with the university to investigate expanding such a program citywide.
Responsible Party: Plan committees and task force
Performance Measure: Implementation of a bike sharing program
Timeline: Winter 2011
Resources: Not known
Recommendations: Assessment and Review
Assessment and Review
Adopt/accept this report through the City process.
Details : The recommendations of this report will be considered on an even basis with recommendations for other modes. This report will be integrated into other transportation plans.
Responsible Party: Mayor and Council
Performance Measure: The report is adopted
Timeline: 2009
Resources: No cost
The Mayor and city department heads work as a team to be catalysts for implementing the recommendations of this report.
Details : It is anticipated that this report will be officially adopted through the usual city policy process via resolution by the Mayor. Implementing the recommendations of this report will require a cultural change in the way that the government process currently operates. Jump-starting that change will take a fair measure of political will. The Mayor will designate a staff person in her/his office to be the point person to monitor the progress of report implementation.
Responsible Party: Mayor and city department heads
Performance Measure: A call to action is made
Timeline: Ongoing
Resources: No cost
Recommendations: Assessment and Review
Staff from the Mayor's office will meet annually with bicycle advocacy groups.
Details : Groups may include
a. Ohio Bicycle Federation, Miami Valley Mountain Bike Association or other grassroots cycling organizations.
c. Cyclocross groups to discuss cyclocross in local parks,
d. Local urban riders to discuss rideablity of downtown and growth of the urban riding culture
e. Other interest groups
As appropriate, the Mayor's office will pass information from these meetings on to appropriate city staff for follow-up.
Responsible Party: Mayor's Office
Performance Measure: Meetings are held and plans to move forward with interest groups are developed
Timeline: Fall 2009
Resources: Staff time
Recommendations: Assessment and Review
Create an annual "Policy and Planning Bicycle Tune-Up Report Card" to be presented to the Board of Commissioners each year. Details : The first report card would be due by May 2008. The report card would be available to the public so that citizen groups may monitor the city's progress on bicycling issues and the recommendations of this report. The report card will reference the themes and chapters of this report as a guide and report on the status of implementation, as well as update the recommendations. The report will be made by staff to the Task Force in conjunction with a public hearing and the Task Force will forward the report to the full city council and Mayor with their comments for adoption/acceptance.
Responsible Party: Staff from all departments with Planning, Traffic Engineering, and the MVRPC as leads.
Performance Measure: An annual report card is published and made available to the public
Timeline: Annually starting Spring 2010
Resources: Staff time
Conclusions
All of the bike friendly cities (places like Boulder, Portland, Louisville, Copenhagen and Amsterdam) have become great cities for bicycling because of the visionary actions of citizens and government. The time is ripe for Dayton to become one of the best cities in America for bicycling. This report outlines how to build upon the excellent work which has already been accomplished through the efforts in the public and private sectors over many years in order to move towards becoming a Bronze Level Bicycle Friendly Community by 2010 and ultimately a Platinum Level Bicycle Friendly Community by 2020. It is up to the citizens and leaders of Dayton to make it happen.
Resources
Local Resources
http://pedalopolis.com/
http://www.miamivalleytrails.org/
Advocacy Organizations
http://www.bikeleague.org/programs/bicyclefriendlyamerica/communities/
http://www.thunderheadalliance.org/site/index.php/site/index
http://www.bikesbelong.org/ http://www.adventurecycling.org/
http://www.ohiobike.org/
Cycling Organizations in other Cities
http://bike-pgh.org/
http://www.bikechattanooga.org/
http://bikeportland.org/
http://www.louisvilleky.gov/BikeLouisville/
http://www.clevelandbikes.org/Clevelandbikeplan.htm http://bikecolumbus.blogspot.com/
http://cityofdavis.org/bicycles/
Bike Facilities – Equipment, Co-ops and Hubs
http://ohiocitycycles.org/ http://www.bikestation.com/ http://workingbikes.org/
http://www.sopobikes.org/index http://www.apbp.org
http://www.bikeracks.com
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The American Congress
a
nd gynecologists of obstetricians
TODAY
FEBRUARY 2012
acm 2012 acm 2012
Preventing and Treating Preeclampsia
the patient perspective, how preeclampsia affects a family emotionally, psychologically, socially and physiologically.
James N. Martin, Jr, MD President
We'll discuss current concepts of preeclampsia pathophysiology and where recent research is headed. We'll talk about preeclampsia management as it affects your office and your hospital practice. And we will also hear
Preeclampsia and hypertensive disorders during pregnancy have consumed my professional career for more than 30 years. Over the past two decades, preeclampsia in particular has been a growing problem in the US. I invite you to join me in kicking off the Annual Clinical Meeting in San Diego
Despite decades of research, we still do not know precisely what causes preeclampsia, nor how to effectively prevent it. But we have made inroads into how best to manage it. Please join me for the ACM President's Program to explore preeclampsia—the most important major medical complication of pregnancy.
with a frank look at this disease. It's fitting that our ACM is held in May, the month we hope will become national Preeclampsia Awareness Month.
Even though preeclampsia causes so many preterm births and related deaths, it is among the most poorly understood, understudied, and underfunded conditions compared with other diseases. More research is critically needed so that we can develop evidence-based guidelines for prevention and treatment.''
FEBRUARY 2012 acm issue Volume 56, Issue 1
Find this issue online at www.acog.org/goto/acogToday
Executive Vice President Hal C. Lawrence, III, MD
Director of Communications Penelope Murphy, MS
Editor Melanie Padgett Powers
Design and Production touch three www.touch3.com
Permission to Photocopy/Reprint
email: firstname.lastname@example.org
ACOG Communications Office
Address Changes 800-673-8444, ext 2427, or 202-863-2427 Fax: 202-479-0054 email: email@example.com
Copyright 2012 by
The American Congress of Obstetricians and Gynecologists PO Box 70620 Washington, DC 20024-9998 (ISSN 0400-048X) Main phone: 800-673-8444 or 202-638-5577
The American Congress of Obstetricians and Gynecologists (ACOG) does not endorse or make any representation or warranty, express or implied, with respect to any of the products or services described herein.
ACOG Today's mission is to keep members apprised of activities of both The American Congress of Obstetricians and Gynecologists and The American College of Obstetricians and Gynecologists.
Follow ACOG via Social Media:
Run or Walk for the Preeclampsia Foundation
All ACM registrants and guests are invited to join ACOG President James N. Martin, Jr, MD, for the ACM Fun Run/Walk in gorgeous San Diego.
When: Sunday, May 6, from 6 to 8 am
Cost: $15 donation per person. All proceeds will benefit the Preeclampsia Foundation.
Where: Along the San Diego Bay, starting and finishing behind the Hilton San Diego Bayfront (the ACM headquarters hotel).
First place winners in the male and female categories will receive unlimited access to the Donor Lounge at the San Diego Convention Center and a free registration to the 2013 Annual Clinical Meeting in New Orleans. Second place winners will receive their choice of one free luncheon conference ticket for Monday and one free luncheon conference for Tuesday, subject to availability.
" An ACM is time for renewal. It is an excellent way to renew your specialty knowledge, given the amazingly broad spectrum of courses offered."
Mark S. DeFrancesco, MD, MBA
Mark S. DeFrancesco, MD, MBA, ACOG secretary and District I immediate past chair
Jeanne A. Conry, MD, PhD
Eva Chalas, MD
" I always enjoy the President's Program because ACOG goes to great lengths to find speakers who appeal to not only the ob-gyns in attendance but to our friends and partners who accompany us. My husband always attends the opening ceremony because he knows that the program will offer something special and pertinent to medicine and society." Jeanne A. Conry, MD, PhD, District IX immediate past chair
Eva Chalas, MD, District II chair
" The ACM brings national and international experts to you. Listening to these dynamic individuals is exciting and thought-provoking."
" Attending the ACM is a great way to obtain CME credits in a venue with a vast variety of choices in learning format and topics."
Stella M. Dantas, MD, District VIII secretary
san diego Register now at acog.org/acm • #ACM12
What's not to miss in San Diego?
" San Diego is blessed with nearly perfect weather. Highlights would certainly have to include a trip to the famous San Diego Zoo and SeaWorld. The Gaslamp Quarter District near the convention center has excellent dining, shopping, and entertainment." Ronald V. Uva, MD, District II vice chair
" My favorite attraction is the beach! A close second is the San Diego Zoo's Wild Animal Park. You don't need to travel to Africa to go on safari—it's all in sunny San Diego." Dane M. Shipp, MD, District IX Section 8 vice chair
Ronald V. Uva, MD
John P. McHugh, MD
3
" You can't beat a day in La Jolla—whether you're shopping, strolling along the coast or, for the adventurous, kayaking the sea caves. One more adventure is a sunset hike up Cowles Mountain with a 360-degree view from the ocean to the mountains." John P. McHugh, MD, District IX Section 7 vice chair
" My favorite thing to recommend for travelers to San Diego is to walk along North Harbor Drive away from the convention center and the big hotels toward the USS Midway. Go to Tuna Lane and find the huge statue in Tuna Harbor Park called "Unconditional Surrender." It is a statue of the famous picture from the end of World War II where an unknown, happy sailor kisses a surprised nurse. It is placed so you can see the USS Midway just across the water and makes a great picture (especially if your wife is a nurse like mine!). Recreate the famous seen and then have a wonderful dinner al fresco at the Fish Market right in the park." Owen C. Montgomery, MD, District III immediate past chair
Special Session on Maternal and Child Mortality
Saving Mothers M odel and documentary filmmaker Christy Turlington Burns and author, producer, and documentary filmmaker Tonya Lewis Lee will be headlining a special ACM session on maternal and child mortality. Burns is married to filmmaker Edward Burns, and Lee is married to filmmaker Spike Lee.
Burns' film, "No Woman, No Cry," tells the stories of at-risk pregnant women in four parts of the world: a remote Maasai tribe in Tanzania, a slum of Bangladesh, a postabortion care ward in Guatemala, and a prenatal clinic in the US. "I was inspired to make a documentary film that would share the stories of women at risk of becoming a mortality statistic," she explained on her website. "I hope that by bringing people together through the universal experience of birth, we can help create a mainstream maternal health movement that ensures the lives and well-being of mothers worldwide, for generations to come."
Burns was so affected by a serious complication during the birth of her first child, she created a documentary outlining maternal mortality risks around the world and founded the organization Every Mother Counts. "While I had a birth team that worked quickly to manage the situation, I was shocked to learn that hundreds of thousands of women die each year during childbirth—and that 90% of these deaths are preventable. This left me needing to learn more about maternal health," Burns said on her website.
Saving Babies
In a web video for the HHS campaign, Lee explained, "Every year, 8,000 African American children die during their first year of life—8,000. As a mother, this really concerns me. Our babies are dying at three times the rate of white babies before their first birthday."
Lee is the face of a national infant mortality campaign, "A Healthy Baby Begins with You," sponsored by the Office of Minority Health at the US Department of Health and Human Services (HHS). Her documentary, "Crisis in the Crib: Saving Our Nation's Babies," focuses on infant mortality in the black community. Much of the film was shot in Memphis, which has a high infant mortality rate.
Join Burns and Lee for "Special Session on Maternal and Child Mortality" on Tuesday, May 8, from 3 to 4 pm in the San Diego Convention Center. The session is free, but registration is required when you register for the ACM.
"The Committee on Scientific Program has worked diligently over the last year to develop an ACM program that highlights the most recent information regarding evidence-based medicine, techniques, procedures, and patient management; addresses clinical dilemmas and controversies; and tackles 'hot topics' and issues facing the membership."
Christopher M. Zahn, MD, Committee on Scientific Program chair
san diego Register now at acog.org/acm • #ACM12
F ollow the clues and guess the obscure or surprising diagnoses in the
Junior Fellows will attempt to Stump the Professors
always hilarious and fun Gerald and Barbara Holzman Stump the Professors session during the ACM. Four Junior Fellows are selected to present unique real-life clinical cases they experienced in an attempt to stump a panel of professors. The session is held on Tuesday from 9:30 to 11 am. Retired ACOG Executive Vice President Ralph W. Hale, MD, will return to serve on the panel of professors, along with Norman F. Gant, Jr, MD; Cynthia Izuno Macri, MD; and Nanette F. Santoro, MD.
ACM Educational Session Highlights
Fetal programming of adult obesity
Breast cancer screening
The impact of the Affordable Care Act on ob-gyn practice
Live surgery of pelvic surgical anatomy
Hypertensive diseases in pregnancy
Workforce issues affecting ob-gyns
Practice management and electronic health records
Update on and future of ovarian cancer screening
International effect of infertility treatment and multiple gestation management
Happiness—and pandas— await you in San Diego
W hen most people think of San Diego, they think of the San Diego Zoo and its famous pandas. Whether it's because these lumbering bears look so cuddly and huggable or simply because pandas are so rare at US zoos, most kids and adults fall in love with pandas as soon as they see them.
To make your zoo trip extra special, book private backstage tours that allow you and your kids to touch and help train zoo animals, while hearing insider stories and about the zoo's conservation efforts. Visit sandiegozoo.org/zoo/special.
San Diego is the perfect ACM locale to bring along your family. Book some extra time in "America's Finest City," and be sure to put the zoo at the top of your list. The zoo currently hosts two adult pandas and their son, Yun Zi, who will be about 2 ½ in May. Before seeing the giant pandas, visitors walk through the new Panda Trek exhibit, which houses other animals native to China such as goat-antelopes called "takins" and red pandas, which are actually related to raccoons.
My Must-Do Activities in San Diego
by Philip J. Diamond, MD, District IX chair and San Diego resident
1. Exploring Balboa Park, including the museums and the world-famous San Diego Zoo
3. The Hotel del Coronado
2. LEGOLAND
4. Authentic Mexican restaurants and taco shops
6. Old Town State Historic Park, which has great restaurants and shops
5. Golfing at Torrey Pines Golf Course
7. Hiking in Torrey Pines and shopping in Del Mar Plaza
9. Taking the trolley to Tijuana, Mexico
8. Old Town trolley tours of San Diego
10. Learning to surf or boogey board in Pacific Beach
Always sunny in San Diego
Popular attractions include SeaWorld and LEGOLAND California. Take time to explore the historic Gaslamp Quarter, which features dozens of restaurants, theaters, and galleries. One of the must-see theaters is the Old Globe, built in 1935 and modeled after Shakespeare's Globe Theatre in London. The theater is located in Balboa Park, the nation's largest urban cultural park, home to beautiful gardens and 15 major museums, including the Museum of San Diego History and the San Diego Air & Space Museum. For a great selfguided walking tour of the park, visit sandiego.org/article/visitors/1569.
S an Diego is also famous for its weather. As the joke goes, being a meteorologist is the easiest job in the city. The sun always seems to be shining, the temperatures always seem to be a welcoming 70-some degrees, and the beaches are always inviting. What a perfect spot for an early summer vacation.
san diego Register now at acog.org/acm • #ACM12
Camp ACOG and Youth Tours
Attend ACM sessions while your children have a blast at Camp ACOG and on daily field trips.
Register now before space runs
Camp ACOG, held at the Hilton San Diego Bayfront Hotel, welcomes children ages 6 months through 15 years old. Children 6 and older can participate in off-site youth tours.
out: acog.org/acm Daily Youth Tours
Saturday: San Diego City Tour and Birch Aquarium
Sunday: Legoland
Monday: SeaWorld
Tuesday: San Diego Zoo
Wednesday: San Diego Air & Space Museum
Spouse/Guest Tours
B ring along your partner or guest to the ACM, and he or she can explore the city while you're exploring the ACM. Register now or register on site if tickets are still available.
Saturday: City Bus Tour With Old Town Self-Guided Walking Tour
Sunday: Coronado Walking Tour, La Jolla With Birch Aquarium, or Kayak- ing at La Jolla
Monday: City Tour Land and Sea or Orfila Vineyards and Winery, and/or an Evening Harbor Cruise
Tuesday: Gaslamp Quarter Walking Tour or San Diego Zoo
Wednesday: Reserve
Hiking in Torrey Pines State
The American Congress of Obstetricians and Gynecologists
Washington, DC 20024-9998
PO Box 70620
Presort STANDARD U.S. POSTAGE PAID Permit No. 251
acog.org/acm
* Browse the ACM Preliminary Program online now
* Register for the ACM
* Choose your sessions
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core values
commitment
Faithfully and diligently fulfill the obligations of our Organizations as set forth in the statutes.
integrity
Perform each task as efficiently as possible with absolute honesty and integrity.
respect
Treat your fellow associates and those you serve on behalf of the Organizations with dignity and respect.
talents
Continually strive to improve the Organizations through the use of every associate's talents and creativity.
ownership
Encourage participation and a sense of ownership from the members of our Organizations.
consistency
Demonstrate fairness and consistency among all associates and encourage personal development.
North Carolina Reinsurance Facility
general organizational information
The annual meeting for member companies of the North Carolina Reinsurance Facility will be held October 29, 2008, at the Grandover Resort and Conference Center, Greensboro, North Carolina.
message from the chairman
This is the 35th year that the North Carolina Reinsurance Facility has provided a great service to North Carolina insureds. Drivers who would otherwise be uninsurable can obtain insurance for the protection of the general public. Protecting the public from uninsured drivers at an affordable premium is a win-win proposition for all North Carolinians.
This has been a very active year. A total revision and update of the commercial auto manual is well underway, and the File Transfer Protocol (FTP) phase of the EDGE information system has been implemented, providing better, cheaper, and more secure reporting for the member companies. More functionality is coming, which will provide greater access and information to both the member companies as well as the Facility staff.
Recent changes in the financial markets have been monitored closely by the Investment Committee. The Facility's investments are very low risk, and there has been minimal impact by the market changes. We have and will continue to maintain an extremely conservative investment strategy and continue to abide by our strict investment guidelines.
The Facility works well because of the efforts of so many. Industry and agent representatives serving on the Board, task forces, and committees oversee its successful operation. Various experts consult with these groups and offer important information and perspective. We have always been fortunate to have a professional and knowledgeable staff with many years of experience managing our operations. They constantly look for ways to improve services and provide manageable data for more efficient operations. Many thanks to the professional staff of our Reinsurance Facility and to the former Board members and employees who laid the foundation for a well managed operation.
Sincerely,
Board of Governors
Responsibility for management is vested in a fifteen-member Board of Governors. There are twelve voting members; seven member insurance companies; five agents appointed by the Insurance Commissioner; two nonvoting public members appointed by the Governor; and the Insurance Commissioner, who is a member of the Board ex-officio without vote. Eight meetings of the Board were held during the year, including three telephone conferences.
member representative
Allstate Insurance Co. . . . . . . . . . . . . . . . . . . . . . . . . . . . Bob Blystone
*chair
agent members
public members
ex-officio members
Standing Advisory Committees
The Plan of Operation establishes a number of advisory committees. These committees oversee the activities of the Facility and formulate recommendations for presentation to the Board of Governors. The Accounting and Statistical Committee is a joint AIPSO and NCRF committee and is chaired by New Hampshire Insurance Company. In addition, there are several additional specialty advisory groups that perform similar tasks for the Facility throughout the year.
The following committees met during the report period:
James E. Long. . . . . . . . . . . . . . . . . . . . . . . . . Commissioner of Insurance
general manager's report
Among our many tasks undertaken this year, perhaps the most important has been protecting the Facility's reputation for honesty, integrity, accessibility, and professionalism. If folks don't have confidence in what we say, it is difficult to complete effectively our primary tasks of getting the right premium, paying claims properly, and administering the financial matters that result.
The bottom line of how we do this is in executing the intent of the enabling statute in the best, most sincere, honest, and transparent way possible. I believe this thinking has served us well this year and guided us in dealing with a diverse set of challenges, including being IT developers, determining how taxi cabs are rated, responding to financial markets, and participating in a Legislative study committee.
Perhaps the most important issue facing us has been, and appears to continue to be, how we manage and invest the money that the Facility operation generates. As noted in other parts of this report, the Facility has considerable reserves and cash flow for which we are responsible to maintain and invest in safe, conservative investments that generate a reasonable return. The good news is that thus far, and we are confident this is going to continue, we have been successful in navigating the turbulent financial waters with the help of our staff, Board input, oversight by the Investment Committee, and a host of vendors and experts.
This coming year, there will be a change we have not seen for 24 years. The Commissioner is going to be someone other than Jim Long. While we have not always seen eye to eye, Jim Long has been an imposing and important part of the insurance business in North Carolina. I can't imagine the Commissioner retiring, but whatever his future plans, I hope you join me in wishing him well. For sure, next year will be different.
Thanks to each of our partners, Board members, committee members, and associates for working so hard to ensure that the Facility can effectively fulfill its obligations.
Edith T. Davis
Director, Reinsurance Facility
Edith Davis
management discussion & analysis
Created by the NC Legislature to replace an Assigned Risk Plan, over its 35-year existence, the Facility has annually reinsured a high of 30% of the auto liability market and a low of 23% of the auto liability market in NC. Since its inception, it has reinsured around $14 billion in auto liability for the policyholders of North Carolina. A few of the original staff still work here. A few of the Board and committee members remember the early days, although most of the names and faces have changed. But for the most part, the Facility remains "business as usual."
rate changes
Ceded "clean risks" comprised approximately 70% of the total ceded exposures. By law, the most this group may only be charged is the voluntary manual rate. In 2007, no changes were filed by the Rate Bureau for the voluntary private passenger auto rates. The Rate Bureau's February 1, 2008 voluntary auto rate filing requested a liability increase of 16.5% for automobiles and 0.7% for motorcycles. Following a public hearing, the Commissioner disapproved the filed increases and ordered a 14.5% liability decrease for automobiles and an 11.2% decrease for motorcycles. The Rate Bureau Governing Committee voted to appeal the Commissioner's order and to implement an overall increase of 12.8% for automobiles and 0% for motorcycles to be effective January 1, 2009.
The ceded private passenger "other-than-clean" risks comprised about 26% of total ceded exposures. In June 2008, the Facility filed a base rate change to the "otherthan-clean" risks, including average rate level changes of 10.4% for bodily injury, 12.4% for property damage, and 0.7% for medical payments coverages, averaging 10.8% over rates presently in effect. The filing also included a rate level change of 2.2% for the motorcycle liability coverages. The revised rates apply to all new and renewal policies effective on and after October 1, 2008.
There was no rate change filed or implemented for the remaining 4% of exposures in the commercial line of business during the report period.
clean risk recoupment
North Carolina law requires carriers to "take all comers", and the risks for whom the voluntary rates are inadequate are often ceded to the Facility. While the Facility establishes rates for other-than-clean risks that are actuarially sound, the rates for "clean risks" are capped at the voluntary rate level. The voluntary rate level is inadequate to pay the losses and expenses of the clean risks ceded to the Facility. The difference between what this group pays and what they should pay is made up through the statutorily authorized "clean risk" recoupment surcharge applied to the liability premiums of private passenger non-fleet policies.
Recoupment surcharges are reviewed at least annually and adjusted as appropriate. Effective October 2007, the Board of Governors implemented a clean risk recoupment surcharge of 2.48% (before inclusion of agent compensation). This was significantly lower than the indicated surcharge in order to reduce the private passenger surplus and bring the members' equity position closer to a break-even position. Fiscal year to date through June 2008, the clean risk surcharge had generated approximately $48.6 million
Clean Risk Recoupment Surcharges
investment income
Investment income approximated $36 million for the fiscal year to date through June 30, 2008. This represents an increase of 16.5% from the same period one year ago – much of which is attributable to capital gains realized during a declining interest rate environment over the first part of the report year. Despite the recent volatility in the financial markets related to mortgage devaluations and illiquidity issues, the values of the securities held in the Facility's portfolio were minimally affected, primarily due to the high quality of assets held and the conservative nature of the investment policy.
operating results
As of June 30, 2008 the Facility had realized its third consecutive quarterly operating loss, and the private passenger surplus continued to decline. These operating losses were planned and due, in part, to the reduced recoupment surcharges and the reduction in other-than-clean risk private passenger rates effective in October 2007.
member's equity
As a result of the operating losses, the members' equity balance decreased from $178 million in September 2007 to $131.2 million in June 2008.
The clean risk recoupment surcharge was adjusted to 4.24% (before inclusion of agent compensation) effective October 2008. The new surcharge continues to be significantly below the indicated level so as to further reduce the member's equity balance.
operations
During this report period, we were the largest residual market mechanism by total written premium volume in the United States. There were approximately one million policies in force as of June 2008, consisting of 96% Private Passenger non-fleet policies and 4% All Other policies, generating about 26 million transactions. Cession notice volume was down slightly over the same period for the prior year, and written premium for the fiscal year ending September 2008 was projected to total $730 million – a modest reduction of less than 4% over the prior fiscal year.
compliance activity
As part of our responsibility to ensure that the Facility collects the right premium and pays the right losses, regular and special audits are performed on all member companies. This is no small effort, as there are over 100 member company groups reporting to the Facility. We continue to emphasize compliance with statutes, rules and regulations, and eligibility for ceded coverage and reimbursement.
Throughout the year, the compliance staff performs audits on each ceding company, as well as voluntary companies who report only recoupment to the Facility. The files are reviewed for claims handling, proper application of underwriting rules, eligibility statutes, experience modification rating, and recoupment, among others. During this report period, over 3600 files were audited. One of the primary benefits of these audits is to identify system problems and enable a company to correct them sooner to minimize their impact.
This effort has appeared to have also educated the member companies on the Facility guidelines, resulting in fewer errors that required special audits to be performed. Additionally, the compliance staff focused great effort on the design and testing of the new audit-tracking module in the EDGE system, which has been designed to improve the timeliness, selection, review, and tracking of the Facility audits in the future.
legislative changes
The Facility was created by the Legislature in 1973 with N.C.G.S. §58-37 and replaced an Assigned Risk Auto Plan. At that time there was a perceived stigma of being in a bad risk pool, and this new mechanism enabled drivers to select the company of their choice. Since then the legislature has made alterations to address changing conditions in the marketplace.
In 2007, the statutory definition of the eligibility of risks that can be ceded to the Facility changed as a result of House Bill 729, which became law in North Carolina on August 23, 2007. A portion of this legislation was effective on ratification; however, most of the bill's provisions became effective on January 1, 2008. In 2008, the General Assembly enacted House Bill 738 making UM and UIM coverages mandatory up to the limits of liability coverage purchased. The Facility will be required to accept coverage of those policies to which mandatory UM and UIM apply.
EDGE system development
The development of our new Electronic Data Gathering Enterprise (EDGE) system has been extended to address design issues which were revealed during testing. Though full implementation is taking longer than expected, we are no less confident in the advantages the system will
Innovation in Action
I have been very involved with the FTP process. I LOVE it. I can now preview the detail and summary records before we send it— I was never able to view the tape cartridge. I actually detected a coding issue that was incorrect and had it fixed BEFORE it got to NCRF and AIPSO. I also like the 25-day lag much better than the 45-day lag. Using 21st century technology is great!
Margaret Menard – Travelers Insurance
bring to both the member companies and the Facility. This web-based system will allow companies to interface with the Facility like never before, providing them access to the nearly 300 million records of their own reported data.
We did have a big win this year—an initial phase of the EDGE system was implemented this year. File Transfer Protocol (FTP) reporting went into full production in April 2008, with 100% of member companies meeting the cutover target date. For the first time, all active member companies are reporting their data in to the Facility electronically in the same standard format and encrypted for security. This replaces reporting to AIPSO via magnetic media (cartridges, CD's, diskettes). We congratulate our member companies for making this transition with us and note that, as a result, the timeliness of reporting has dramatically improved, and there have no late reports since 2007. Special thanks to the migration coordinators at the member companies who helped facilitate this effort and to AIPSO for their invaluable commitment to this success.
Innovation in Action
I thought our transition went very well. The FTP support team was extremely helpful throughout the process. It took a little work to get everything completed, but it is certainly paying off. The FTP process is a much more efficient and safer way to exchange data especially at a time when data security is a must. Thanks!
Tim Gallagher - The Hartford
The EDGE project team continues to dedicate a huge amount of effort to bringing this system into reality, and the contributions of each member are greatly appreciated. It will change the way companies do business with the Facility and offer features such as single sign-on access to the NCRF, NCRB, and NCIGA; real-time ceding of risks; online edits; email alerts; and new online consolidated billing with EFT payment options, among others.
other system development
In early 2008, the organizations rolled out a new and improved Website. The new site contained improved content and featured new graphics, better navigation, and some new functionality. In the future, the site will host the portal through which member companies will access the EDGE system.
Innovation in Action
The dial-up process we were using was slow and cumbersome, and support wasn't very good when having connection problems. We have experienced no problems since we went live, and the upload process has been more efficient. We like the daily e-mail confirmation on cessions uploaded, and find it much easier to send an additional (multiple) files, if needed. By comparison, the prior process was much more difficult.
Greg Ricker - Atlantic Casualty Insurance
Behind the scenes, the Facility also transitioned to our new Contact Management System (CMS). This single repository of contact information will eliminate the use and maintenance of several other systems, reduce the scattered silos of contact information, simplify the business continuity needs, and interface with the EDGE system and a Web Security system as the single source for member company information.
Innovation in Action
We are pleased to be reporting via FTP. We prefer it since the process is not as cumbersome as the tapes, and it allows us to transmit sensitive customer data more securely. We also like that it is now a scheduled job as opposed to relying on someone to transmit the tapes.
Lisa Pierce – GEICO
conclusion
This has been another very active year. While many of the improvements and efficiencies gained are not all visible from the outside, they are no less valuable or important. The staff deserves a big round of applause for the double duty they have been performing by maintaining the regular business operations of the Facility while committed to the development of the EDGE system, the new organization Website, the transition to the new Contact Management System, and other behind-the-scenes activities. They have brought new meaning to the term "team effort."
The contributions of the industry experts and counsel who support the various activities of the Facility are also greatly appreciated. They are often called upon to assist us on an amazing variety of issues. And finally, we would like to thank the members of the Board of Governors and the committees that devote significant amounts of their time. These industry leaders provide us guidance and leadership and continue to support our efforts to improve each and every year.
Edith T. Davis
North Carolina Reinsurance Facility
balance sheet
income statement
9 9
1 0
NCRF Management Staff
Jannet Barnes Manager, Compliance
Valerie Pearson Supervisor, Operations
Organizational Shared Resources
Vicki Godbold Director, Human Resources & Administrative Services
Tammy Choboy Manager, Quality Assurance
Tim Lucas Manager, Automobile
Mike Newton Manager, Claims
Shelley Chandler Manager, Software Development
Amy Tart Manager, Organizational Administration
1 0
1 1
North Carolina Reinsurance Facility
special purpose statement of operations
1 1
1 2 1 2 1 2
North Carolina Reinsurance Facility
special purpose balance sheets
r
Ernst & Young LLP
Suite 700
3200 Beechleaf Court
Raleigh, North Carolina 27604-1063
Report of Independent Auditors
The Board of Governors North Carolina Reinsurance Facility
We have audited the accompanying special-purpose balance sheets of the North Carolina Reinsurance Facility (the Facility, a partnership) as of September 30, 2007 and 2006, and the related special-purpose statements of operations, members' equity and cash flows for the years then ended. These financial statements are the responsibility of the Facility's management. Our responsibility is to express an opinion on these special-purpose financial statements based on our audits.
We conducted our audits in accordance with auditing standards generally accepted in the United States. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. We were not engaged to perform an audit of the company's internal control over financial reporting. Our audits included consideration of internal control over financial reporting as a basis for designing audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the Facility's internal control over financial reporting. Accordingly, we express no such opinion. An audit also includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements, assessing the accounting principles used and significant estimates made by management, and evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion.
As described in Note 1, the accompanying special-purpose financial statements have been prepared for the purpose of complying with, and on the basis of accounting practices specified in the "Standard Practice Manual," which were approved for use by and within the authority of the Chair of the Facility's Board of Governors and are not intended to be a presentation in conformity with accounting principles generally accepted in the United States.
In our opinion, the special-purpose financial statements referred to above present fairly, in all material respects, the financial position of the North Carolina Reinsurance Facility at September 30, 2007 and 2006, and the results of its operations and its cash flows for the years then ended in conformity with accounting practices prescribed by the Facility's Standard Practice Manual.
This report is intended solely for the information and use of the Board of Governors, the member companies and the North Carolina Department of Insurance and is not intended to be and should not be used by anyone other than these specified parties.
February 4, 2008
0712-0895055
1
r
Phone:
(919) 981-2800
Fax: (919) 981-2997
www.ey.com
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|
SHIRE OF KELLERBERRIN
MINUTES
Minutes of the Ordinary Council Meeting held at the Shire of Kellerberrin Council Chamber, 110 Massingham Street Kellerberrin on Tuesday, 18 th June 2019, commencing at 2.04pm.
1. DECLARATION OF OPENING/ANNOUNCEMENT OF VISTORS
The Presiding Member opened the meeting at 2.04pm.
2. RECORD OF ATTENDANCE / APOLOGIES / LEAVE OF ABSENCE
Present:
Cr. Forsyth
Cr. Leake
Cr. O'Neill
Cr. Reid
Mr Raymond Griffiths
Cr. Steber
Ms Kate Dudley
Mr Brett Taylor
Mr Mick Jones
Mrs Natasha Giles
Apologies:
Cr. McNeil
Leave of Absence:
Nil
3. RESPONSE TO PREVIOUS PUBLIC QUESTION TAKEN ON NOTICE:
Nil
4. PUBLIC QUESTION TIME:
Nil
5. APPLICATIONS FOR LEAVE OF ABSENCE:
Nil
6. DECLARATION OF INTEREST:
In accordance with Section 5.65 of the Local Government Act 1995 the following disclosures of Financial interest were made at the Council meeting held on 18 th June 2019
| | Date | | Name | | Item No. | Reason |
|---|---|---|---|---|---|---|
| 18 June 2019 | | Cr Dennis Reid | | 13.1.1 | | |
| 18 June 2019 | | Cr Matt Steber | | 13.1.1 | | |
Ordinary Council Meeting Minutes – 18 th June 2019
Page 1
…………………………………………….
DATED:
………………..……………………………..
PRESIDENT SIGNATURE:
President
Member
Deputy President
Member
Chief Executive Officer
Member
Deputy Chief Executive Officer
Senior Finance Officer (left the meeting at 2.48pm)
Manager of Works and Services
Communtiy Development Officer (left the meeting at 2.28pm)
Member
In accordance with Section 5.65 of the Local Government Act 1995 the following disclosures of Closely Association Person and Impartiality interest were made at the Council meeting held on 18 th June 2019
| | Date | | Name | | Item No. | | Reason |
|---|---|---|---|---|---|---|---|
| 18 June 2019 | | Mr Raymond Griffiths | | 13.1.1 | | Listed as a referee for an applicant to join the panel of pre-qualified suppliers | |
7. CONFIRMATION OF MINUTES OF PREVIOUS MEETINGS
7.1 Shire of Kellerberrin Ordinary Council Meeting Minutes, 21
st
June, 2019
COUNCIL RESOLUTION
Ordinary Council Meeting Minutes – 18 th June 2019
Page 2
DATED: ……………………………………………. PRESIDENT SIGNATURE: ………………..……………………………..
MIN094/19 MOTION: Moved Cr. O'Neill 2 nd Cr. Steber
That the minutes of the Shire of Kellerberrin Ordinary Council Meeting held on Tuesday 21 st June 2019, be confirmed as a true and accurate record
CARRIED 5/0
8. ANNOUNCEMENTS BY PRESIDING PERSON WITHOUT DISCUSSION
Nil
9. PETITIONS/DEPUTATIONS/PRESENTATIONS/SUBMISSIONS
Nil
10. REPORTS OF COMMITTEES/COUNCILLORS
10.1 Reports of Committees/Councillors
MIN095/19 MOTION: Moved Cr. Steber 2 nd Cr. Reid
That the Presidents Reports for May 2019 be received and noted.
Ordinary Council Meeting Minutes – 18 th June 2019
Page 3
DATED: ……………………………………………. PRESIDENT SIGNATURE: ………………..……………………………..
That the Presidents Reports for May 2019 be received and noted.
CARRIED 5/0
10.2 Standing Orders
MIN096/19 MOTION: Moved Cr. Leake 2 nd Cr. Reid
That Standing Order numbers 8.9 – Speaking Twice & 8.10 – Duration of Speeches be suspended for the duration of the meeting to allow for greater debate on items in the agenda.
CARRIED 5/0
11.1 CORPORATE SERVICES – AGENDA ITEM
Agenda Reference:
11.1.1
Subject: Community Requests and Discussion Items
Location:
Shire of Kellerberrin
Applicant:
Shire of Kellerberrin - Council
File Ref:
Various
Disclosure of Interest: N/A
Date:
4 th June 2019
Author:
Mr Raymond Griffiths, Chief Executive Officer
BACKGROUND
Council during the Performance Appraisal process for the Chief Executive Officer requested time during the meeting to bring forward ideas, thoughts and points raised by the community.
May 2019 Council Meeting
MIN 073/19 MOTION - Moved Cr. McNeil 2 nd Cr. Steber
That Council review the Leake Street footpath near Dryandra for a pothole.
April 2019 Council Meeting
MIN 044/19 MOTION -
Moved Cr. Leake
2 nd Cr. Steber
That Council:
2. Refer the request for white lines on the Kellerberrin Yoting Road "S" bends to Main Roads WA for review.
1. Ensures that some Gravel is put in at the crossover near the Kellerberrin District High School, Library Car park .'
3. Request that the Boundary markers presented to Council by the Men's shed be approved up to a maximum of 20, ensuring that the wording is completed professionally.
5. Rectify pot holes on Doodlakine-Kunnunoppin Road near Bowen's property.
4. Make contact with the Water Corporation with regards to works undertaken on the South Doodlakine road as the road repair has failed near Chandler's driveway where previous works have been undertaken.
March 2019 Council Meeting
MIN 024/19 MOTION - Moved Cr. Reid
2 nd Cr. Leake
That Council:
2. Endorse the request for the official opening of the Patterson Hall of Fame at the recreation centre to be on show day and contact the Ag Society;
1. Investigate advice of the Catholic Church requirements for ablution facilities.
3. Adopt that the Seniors request for the Laptop & Printer allocation of funds be redistributed to Bus Hire charges;
5. Council to endorse Dryandra's actions in seeking the transfer of Crown Land to Freehold title to ensure the longevity of Aged Care services within the region.
4. Council to write to Department of Planning Land and Heritage seeking the transfer of Crown Land to Freehold title on Reserve 37171 (Dryandra Land) and
Ordinary Council Meeting Minutes – 18 th June 2019
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DATED: ……………………………………………. PRESIDENT SIGNATURE: ………………..……………………………..
May MIN 073/19
1. MWS inspected the footpath but noted that it was in the Dryandra Carpark.
April MIN 044/19
Ordinary Council Meeting Minutes – 18 th June 2019
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DATED: ……………………………………………. PRESIDENT SIGNATURE: ………………..……………………………..
1. Item Noted, Town Crew to complete works
2. Main Roads were contact via email 2 nd May 2019, Gren Putland has arranged for request to be carried out.
3. Item Noted
4. Action completed 29 th April 2019
5. Item Noted, Town Crew Completed 18 th April 2019.
March MIN 024/19
1. Inspection carried out by the Shire’s EHO on March 28 th 2019, letter issued. Spoke to Church, items raised at Council regarding toilets wasn’t from Council it was a church decision.
2. Emailed Ag Society & Bruce about the opening and Brett to arrange plaque.
3. Letter issued to seniors on 21 st March 2019 and Debtor Officer notified.
4. Letter issued to Dryandra on 25 th March 2019, an application has been made to Dept. for Green Title. Mia Davies has also provided a letter of support.
FINANCIAL IMPLICATIONS (ANNUAL BUDGET)
Financial Implications will be applicable depending on requests and decision of Council.
POLICY IMPLICATIONS
Policy Implications will depend on items brought forward by Council. During discussions the Policy Manual will be referred to prior to decision being finalised.
STATUTORY IMPLICATIONS
Local Government Act 1995 (as amended)
Section 2.7. The role of the council
(1) The council —
(a) Directs and controls the local government’s affairs; and
(b) is responsible for the performance of the local government’s functions.
(2) Without limiting subsection (1), the council is to —
(a) oversee the allocation of the local government’s finances and resources; and
(b) determine the local government’s policies.
Section 2.8. The role of the mayor or president
(1) The mayor or president —
(a) presides at meetings in accordance with this Act;
(b) provides leadership and guidance to the community in the district;
(c) carries out civic and ceremonial duties on behalf of the local government;
(d) speaks on behalf of the local government;
(e) performs such other functions as are given to the mayor or president by this Act or any other written law; and
(f) liaises with the CEO on the local government's affairs and the performance of its functions.
(2) Section 2.10 applies to a councillor who is also the mayor or president and extends to a mayor or president who is not a councillor.
Section 2.9. The role of the deputy mayor or deputy president
The deputy mayor or deputy president performs the functions of the mayor or president when authorised to do so under section 5.34.
Section 2.10. The role of councillors
A councillor —
(a) represents the interests of electors, ratepayers and residents of the district;
(b) provides leadership and guidance to the community in the district;
(c) facilitates communication between the community and the council;
(d) participates in the local government's decision-making processes at council and committee meetings; and
(e) performs such other functions as are given to a councillor by this Act or any other written law.
5.60. When person has an interest
For the purposes of this Subdivision, a relevant person has an interest in a matter if either —
(a) the relevant person; or
(b) a person with whom the relevant person is closely associated,
has —
(c) a direct or indirect financial interest in the matter; or
(d) a proximity interest in the matter.
[Section 5.60 inserted by No. 64 of 1998 s. 30.]
5.60A. Financial interest
For the purposes of this Subdivision, a person has a financial interest in a matter if it is reasonable to expect that the matter will, if dealt with by the local government, or an employee or committee of the local government or member of the council of the local government, in a particular way, result in a financial gain, loss, benefit or detriment for the person.
[Section 5.60A inserted by No. 64 of 1998 s. 30; amended by No. 49 of 2004 s. 50.]
5.60B. Proximity interest
Ordinary Council Meeting Minutes – 18 th June 2019
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DATED: ……………………………………………. PRESIDENT SIGNATURE: ………………..……………………………..
(1) For the purposes of this Subdivision, a person has a proximity interest in a matter if the matter concerns —
(a) a proposed change to a planning scheme affecting land that adjoins the person’s land;
(b) a proposed change to the zoning or use of land that adjoins the person’s land; or
(c) a proposed development (as defined in section 5.63(5)) of land that adjoins the person's land.
(2) In this section, land (the proposal land) adjoins a person's land if —
(ii) made a contribution to travel undertaken by the relevant person that section 5.83 requires the relevant person to disclose;
Ordinary Council Meeting Minutes – 18 th June 2019
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DATED: ……………………………………………. PRESIDENT SIGNATURE: ………………..……………………………..
(a) the proposal land, not being a thoroughfare, has a common boundary with the person’s land;
(b) the proposal land, or any part of it, is directly across a thoroughfare from, the person’s land; or
(c) the proposal land is that part of a thoroughfare that has a common boundary with the person’s land.
(3) In this section a reference to a person’s land is a reference to any land owned by the person or in which the person has any estate or interest.
[Section 5.60B inserted by No. 64 of 1998 s. 30.]
5.61. Indirect financial interests
A reference in this Subdivision to an indirect financial interest of a person in a matter includes a reference to a financial relationship between that person and another person who requires a local government decision in relation to the matter.
5.62. Closely associated persons
(1) For the purposes of this Subdivision a person is to be treated as being closely associated with a relevant person if —
(a) the person is in partnership with the relevant person; or
(b) the person is an employer of the relevant person; or
(c) the person is a beneficiary under a trust, or an object of a discretionary trust, of which the relevant person is a trustee; or
(ca) the person belongs to a class of persons that is prescribed; or
(d) the person is a body corporate —
(i) of which the relevant person is a director, secretary or executive officer; or
(ii) in which the relevant person holds shares having a total value exceeding —
(I) the prescribed amount; or
(II) the prescribed percentage of the total value of the issued share capital of the company,
whichever is less;
or
(e) the person is the spouse, de facto partner or child of the relevant person and is living with the relevant person; or
(ea) the relevant person is a council member and the person —
(i) gave a notifiable gift to the relevant person in relation to the election at which the relevant person was last elected; or
(ii) has given a notifiable gift to the relevant person since the relevant person was last elected;
or
(eb) the relevant person is a council member and since the relevant person was last elected the person —
(i) gave to the relevant person a gift that section 5.82 requires the relevant person to disclose; or
or
(f) the person has a relationship specified in any of paragraphs (a) to (d) in respect of the relevant person's spouse or de facto partner if the spouse or de facto partner is living with the relevant person.
(b) any proposed change to the zoning or use of that land or any land adjacent to that land; or
(c) the proposed development of that land or any land adjacent to that land,
Ordinary Council Meeting Minutes – 18 th June 2019
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DATED: ……………………………………………. PRESIDENT SIGNATURE: ………………..……………………………..
(2) In subsection (1) —
notifiable gift means a gift about which the relevant person was or is required by regulations under section 4.59(a) to provide information in relation to an election;
value, in relation to shares, means the value of the shares calculated in the prescribed manner or using the prescribed method.
[Section 5.62 amended by No. 64 of 1998 s. 31; No. 28 of 2003 s. 110; No. 49 of 2004 s. 51; No. 17 of 2009 s. 26.]
5.63. Some interests need not be disclosed
(1) Sections 5.65, 5.70 and 5.71 do not apply to a relevant person who has any of the following interests in a matter —
(a) an interest common to a significant number of electors or ratepayers;
(b) an interest in the imposition of any rate, charge or fee by the local government;
(c) an interest relating to a fee, reimbursement of an expense or an allowance to which section 5.98, 5.98A, 5.99, 5.99A, 5.100 or 5.101(2) refers;
(d) an interest relating to the pay, terms or conditions of an employee unless —
(i) the relevant person is the employee; or
(ii) either the relevant person’s spouse, de facto partner or child is the employee if the spouse, de facto partner or child is living with the relevant person;
[(e) deleted]
(f) an interest arising only because the relevant person is, or intends to become, a member or office bearer of a body with non-profit making objects;
(g) an interest arising only because the relevant person is, or intends to become, a member, office bearer, officer or employee of a department of the Public Service of the State or Commonwealth or a body established under this Act or any other written law; or
(h) a prescribed interest.
(2) If a relevant person has a financial interest because the valuation of land in which the person has an interest may be affected by —
(a) any proposed change to a planning scheme for any area in the district;
(b) any proposed change to the zoning or use of land in the district; or
(c) the proposed development of land in the district,
then, subject to subsection (3) and (4), the person is not to be treated as having an interest in a matter for the purposes of sections 5.65, 5.70 and 5.71.
(3) If a relevant person has a financial interest because the valuation of land in which the person has an interest may be affected by —
(a) any proposed change to a planning scheme for that land or any land adjacent to that land;
then nothing in this section prevents sections 5.65, 5.70 and 5.71 from applying to the relevant person.
Ordinary Council Meeting Minutes – 18 th June 2019
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DATED: ……………………………………………. PRESIDENT SIGNATURE: ………………..……………………………..
(4) If a relevant person has a financial interest because any land in which the person has any interest other than an interest relating to the valuation of that land or any land adjacent to that land may be affected by —
(a) any proposed change to a planning scheme for any area in the district;
(b) any proposed change to the zoning or use of land in the district; or
(c) the proposed development of land in the district,
then nothing in this section prevents sections 5.65, 5.70 and 5.71 from applying to the relevant person.
(5) A reference in subsection (2), (3) or (4) to the development of land is a reference to the development, maintenance or management of the land or of services or facilities on the land.
[Section 5.63 amended by No. 1 of 1998 s. 15; No. 64 of 1998 s. 32; No. 28 of 2003 s. 111;
No. 49 of 2004 s. 52; No. 17 of 2009 s. 27.]
[5.64. Deleted by No. 28 of 2003 s. 112.]
5.65. Members' interests in matters to be discussed at meetings to be disclosed
(1) A member who has an interest in any matter to be discussed at a council or committee meeting that will be attended by the member must disclose the nature of the interest —
(a) in a written notice given to the CEO before the meeting; or
(b) at the meeting immediately before the matter is discussed.
Penalty: $10 000 or imprisonment for 2 years.
(2) It is a defence to a prosecution under this section if the member proves that he or she did not know —
(a) that he or she had an interest in the matter; or
(b) that the matter in which he or she had an interest would be discussed at the meeting.
(3) This section does not apply to a person who is a member of a committee referred to in section 5.9(2)(f).
5.66. Meeting to be informed of disclosures
If a member has disclosed an interest in a written notice given to the CEO before a meeting then —
(a) before the meeting the CEO is to cause the notice to be given to the person who is to preside at the meeting; and
(b) at the meeting the person presiding is to bring the notice and its contents to the attention of the persons present immediately before the matters to which the disclosure relates are discussed.
[Section 5.66 amended by No. 1 of 1998 s. 16; No. 64 of 1998 s. 33.]
5.67. Disclosing members not to participate in meetings
A member who makes a disclosure under section 5.65 must not —
(a) preside at the part of the meeting relating to the matter; or
(b) participate in, or be present during, any discussion or decision making procedure relating to the matter,
(4) A person must not contravene a condition imposed by the Minister under this section. Penalty: $10 000 or imprisonment for 2 years.
Ordinary Council Meeting Minutes – 18 th June 2019
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unless, and to the extent that, the disclosing member is allowed to do so under section 5.68 or 5.69.
Penalty: $10 000 or imprisonment for 2 years.
5.68. Councils and committees may allow members disclosing interests to participate etc. in meetings
(1) If a member has disclosed, under section 5.65, an interest in a matter, the members present at the meeting who are entitled to vote on the matter —
(a) may allow the disclosing member to be present during any discussion or decision making procedure relating to the matter; and
(b) may allow, to the extent decided by those members, the disclosing member to preside at the meeting (if otherwise qualified to preside) or to participate in discussions and the decision making procedures relating to the matter if —
(i) the disclosing member also discloses the extent of the interest; and
(ii) those members decide that the interest —
(I) is so trivial or insignificant as to be unlikely to influence the disclosing member’s conduct in relation to the matter; or
(II) is common to a significant number of electors or ratepayers.
(2) A decision under this section is to be recorded in the minutes of the meeting relating to the matter together with the extent of any participation allowed by the council or committee.
(3) This section does not prevent the disclosing member from discussing, or participating in the decision making process on, the question of whether an application should be made to the Minister under section 5.69.
5.69. Minister may allow members disclosing interests to participate etc. in meetings
(1) If a member has disclosed, under section 5.65, an interest in a matter, the council or the CEO may apply to the Minister to allow the disclosing member to participate in the part of the meeting, and any subsequent meeting, relating to the matter.
(2) An application made under subsection (1) is to include —
(a) details of the nature of the interest disclosed and the extent of the interest; and
(b) any other information required by the Minister for the purposes of the application.
(3) On an application under this section the Minister may allow, on any condition determined by the Minister, the disclosing member to preside at the meeting, and at any subsequent meeting, (if otherwise qualified to preside) or to participate in discussions or the decision making procedures relating to the matter if —
(a) there would not otherwise be a sufficient number of members to deal with the matter; or
(b) the Minister is of the opinion that it is in the interests of the electors or ratepayers to do so.
[Section 5.69 amended by No. 49 of 2004 s. 53.]
5.69A. Minister may exempt committee members from disclosure requirements
(1) A council or a CEO may apply to the Minister to exempt the members of a committee from some or all of the provisions of this Subdivision relating to the disclosure of interests by committee members.
(2) An application under subsection (1) is to include —
(a) the name of the committee, details of the function of the committee and the reasons why the exemption is sought; and
(b) any other information required by the Minister for the purposes of the application.
(3) On an application under this section the Minister may grant the exemption, on any conditions determined by the Minister, if the Minister is of the opinion that it is in the interests of the electors or ratepayers to do so.
(4) A person must not contravene a condition imposed by the Minister under this section.
Penalty: $10 000 or imprisonment for 2 years.
[Section 5.69A inserted by No. 64 of 1998 s. 34(1).]
5.70. Employees to disclose interests relating to advice or reports
(1) In this section —
employee includes a person who, under a contract for services with the local government, provides advice or a report on a matter.
(2) An employee who has an interest in any matter in respect of which the employee is providing advice or a report directly to the council or a committee must disclose the nature of the interest when giving the advice or report.
(3) An employee who discloses an interest under this section must, if required to do so by the council or committee, as the case may be, disclose the extent of the interest.
Penalty: $10 000 or imprisonment for 2 years.
5.71. Employees to disclose interests relating to delegated functions
If, under Division 4, an employee has been delegated a power or duty relating to a matter and the employee has an interest in the matter, the employee must not exercise the power or discharge the duty and —
(a) in the case of the CEO, must disclose to the mayor or president the nature of the interest as soon as practicable after becoming aware that he or she has the interest in the matter; and
(b) in the case of any other employee, must disclose to the CEO the nature of the interest as soon as practicable after becoming aware that he or she has the interest in the matter.
Penalty: $10 000 or imprisonment for 2 years.
Ordinary Council Meeting Minutes – 18 th June 2019
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DATED: ……………………………………………. PRESIDENT SIGNATURE: ………………..……………………………..
STRATEGIC PLAN IMPLICATIONS:
The Strategic Plan will be the driver and provide Guidance for Council in their decision making process for the community requests.
CORPORATE BUSINESS PLAN IMPLICATIONS (Including Workforce Plan and Asset Management Plan Implications)
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LONG TERM PLAN IMPLICATIONS:
Nil
COMMUNITY CONSULTATION:
Council Community Members
STAFF RECOMMENDATION
That Council note any requests or ideas to be actioned.
COUNCIL RESOLUTION
MIN097/19 MOTION -
Moved Cr. Reid 2 nd Cr. Steber
That Council;
1. Provides $550.00 financial support for Wheatbelt Ag Care Community Support Services Inc.; and
2. endorse the grant application to Landcorp for further release of industrial land blocks.
CARRIED 5/0
Reason:
The Council was in support of amendments to the staff recommendation to provide financial support to the Wheatbelt Ag Care Community Support Services Inc and endorse the grant application to Landcorp.
Agenda Reference:
11.1.2
Subject: Status Report of Action Sheet
Location:
Shire of Kellerberrin
Applicant:
Shire of Kellerberrin - Council
File Ref:
Various
Disclosure of Interest: N/A
Date:
4 th June 2019
Author:
Raymond Griffiths, Chief Executive Officer
BACKGROUND
Council at its March 2017 Ordinary Meeting of Council discussed the use of Council's status report and its reporting mechanisms.
Council therefore after discussing this matter agreed to have a monthly item presented to Council regarding the Status Report which provides Council with monthly updates on officers' actions regarding decisions made at Council.
It can also be utilised as a tool to track progress on Capital projects.
COMMENT
This report has been presented to provide an additional measure for Council to be kept up to date with progress on items presented to Council or that affect Council.
Council can add extra items to this report as they wish.
The concept of the report will be that every action from Council's Ordinary and Special Council Meetings will be placed into the Status Report and only when the action is fully complete can the item be removed from the register. However the item is to be presented to the next Council Meeting shading the item prior to its removal.
This provides Council with an explanation on what has occurred to complete the item and ensure they are happy prior to this being removed from the report.
FINANCIAL IMPLICATIONS (ANNUAL BUDGET)
Financial Implications will be applicable depending on the decision of Council. However this will be duly noted in the Agenda Item prepared for this specific action.
POLICY IMPLICATIONS
Policy Implications will be applicable depending on the decision of Council. However this will be duly noted in the Agenda Item prepared for this specific action.
STATUTORY IMPLICATIONS
Local Government Act 1995 (as amended)
Section 2.7. The role of the council
(1) The council —
(a) Directs and controls the local government's affairs; and
(b) is responsible for the performance of the local government's functions.
(2) Without limiting subsection (1), the council is to —
(a) oversee the allocation of the local government's finances and resources; and
(b) determine the local government's policies.
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Section 2.8. The role of the mayor or president
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(1) The mayor or president —
(a) presides at meetings in accordance with this Act;
(b) provides leadership and guidance to the community in the district;
(c) carries out civic and ceremonial duties on behalf of the local government;
(d) speaks on behalf of the local government;
(e) performs such other functions as are given to the mayor or president by this Act or any other written law; and
(f) liaises with the CEO on the local government’s affairs and the performance of its functions.
(2) Section 2.10 applies to a councillor who is also the mayor or president and extends to a mayor or president who is not a councillor.
Section 2.9. The role of the deputy mayor or deputy president
The deputy mayor or deputy president performs the functions of the mayor or president when authorised to do so under section 5.34.
Section 2.10. The role of councillors
A councillor —
(a) represents the interests of electors, ratepayers and residents of the district;
(b) provides leadership and guidance to the community in the district;
(c) facilitates communication between the community and the council;
(d) participates in the local government’s decision-making processes at council and committee meetings; and
(e) performs such other functions as are given to a councillor by this Act or any other written law.
5.60. When person has an interest
For the purposes of this Subdivision, a relevant person has an interest in a matter if either —
(a) the relevant person; or
(b) a person with whom the relevant person is closely associated,
has —
(c) a direct or indirect financial interest in the matter; or
(d) a proximity interest in the matter.
[Section 5.60 inserted by No. 64 of 1998 s. 30.]
5.60A. Financial interest
For the purposes of this Subdivision, a person has a financial interest in a matter if it is reasonable to expect that the matter will, if dealt with by the local government, or an employee or committee of the local government or member of the council of the local government, in a particular way, result in a financial gain, loss, benefit or detriment for the person.
[Section 5.60A inserted by No. 64 of 1998 s. 30; amended by No. 49 of 2004 s. 50.]
5.60B. Proximity interest
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(1) For the purposes of this Subdivision, a person has a proximity interest in a matter if the matter concerns —
(a) a proposed change to a planning scheme affecting land that adjoins the person’s land;
(b) a proposed change to the zoning or use of land that adjoins the person’s land; or
(c) a proposed development (as defined in section 5.63(5)) of land that adjoins the person’s land.
(2) In this section, land ( the proposal land ) adjoins a person’s land if —
(a) the proposal land, not being a thoroughfare, has a common boundary with the person’s land;
(b) the proposal land, or any part of it, is directly across a thoroughfare from, the person’s land; or
(c) the proposal land is that part of a thoroughfare that has a common boundary with the person’s land.
(3) In this section a reference to a person’s land is a reference to any land owned by the person or in which the person has any estate or interest.
[Section 5.60B inserted by No. 64 of 1998 s. 30.]
5.61. Indirect financial interests
A reference in this Subdivision to an indirect financial interest of a person in a matter includes a reference to a financial relationship between that person and another person who requires a local government decision in relation to the matter.
5.62. Closely associated persons
(1) For the purposes of this Subdivision a person is to be treated as being closely associated with a relevant person if —
(a) the person is in partnership with the relevant person; or
(b) the person is an employer of the relevant person; or
(c) the person is a beneficiary under a trust, or an object of a discretionary trust, of which the relevant person is a trustee; or
(ca) the person belongs to a class of persons that is prescribed; or
(d) the person is a body corporate —
(i) of which the relevant person is a director, secretary or executive officer; or
(ii) in which the relevant person holds shares having a total value exceeding —
(I) the prescribed amount; or
(II) the prescribed percentage of the total value of the issued share capital of the company,
whichever is less;
or
(e) the person is the spouse, de facto partner or child of the relevant person and is living with the relevant person; or
(ea) the relevant person is a council member and the person —
(h) a prescribed interest.
(2) If a relevant person has a financial interest because the valuation of land in which the person has an interest may be affected by —
(a) any proposed change to a planning scheme for any area in the district;
(b) any proposed change to the zoning or use of land in the district; or
(c) the proposed development of land in the district,
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(i) gave a notifiable gift to the relevant person in relation to the election at which the relevant person was last elected; or
(ii) has given a notifiable gift to the relevant person since the relevant person was last elected;
or
(eb) the relevant person is a council member and since the relevant person was last elected the person —
(i) gave to the relevant person a gift that section 5.82 requires the relevant person to disclose; or
(ii) made a contribution to travel undertaken by the relevant person that section 5.83 requires the relevant person to disclose;
or
(f) the person has a relationship specified in any of paragraphs (a) to (d) in respect of the relevant person’s spouse or de facto partner if the spouse or de facto partner is living with the relevant person.
(2) In subsection (1) —
notifiable gift means a gift about which the relevant person was or is required by regulations under section 4.59(a) to provide information in relation to an election;
value, in relation to shares, means the value of the shares calculated in the prescribed manner or using the prescribed method.
[Section 5.62 amended by No. 64 of 1998 s. 31; No. 28 of 2003 s. 110; No. 49 of 2004 s. 51; No. 17 of 2009 s. 26.]
5.63. Some interests need not be disclosed
(1) Sections 5.65, 5.70 and 5.71 do not apply to a relevant person who has any of the following interests in a matter —
(a) an interest common to a significant number of electors or ratepayers;
(b) an interest in the imposition of any rate, charge or fee by the local government;
(c) an interest relating to a fee, reimbursement of an expense or an allowance to which section 5.98, 5.98A, 5.99, 5.99A, 5.100 or 5.101(2) refers;
(d) an interest relating to the pay, terms or conditions of an employee unless —
(i) the relevant person is the employee; or
(ii) either the relevant person’s spouse, de facto partner or child is the employee if the spouse, de facto partner or child is living with the relevant person;
[(e) deleted]
(f) an interest arising only because the relevant person is, or intends to become, a member or office bearer of a body with non-profit making objects;
(g) an interest arising only because the relevant person is, or intends to become, a member, office bearer, officer or employee of a department of the Public Service of the State or Commonwealth or a body established under this Act or any other written law; or
then, subject to subsection (3) and (4), the person is not to be treated as having an interest in a matter for the purposes of sections 5.65, 5.70 and 5.71.
(3) If a relevant person has a financial interest because the valuation of land in which the person has an interest may be affected by —
(a) any proposed change to a planning scheme for that land or any land adjacent to that land;
(b) any proposed change to the zoning or use of that land or any land adjacent to that land; or
(c) the proposed development of that land or any land adjacent to that land,
then nothing in this section prevents sections 5.65, 5.70 and 5.71 from applying to the relevant person.
(4) If a relevant person has a financial interest because any land in which the person has any interest other than an interest relating to the valuation of that land or any land adjacent to that land may be affected by —
(a) any proposed change to a planning scheme for any area in the district;
(b) any proposed change to the zoning or use of land in the district; or
(c) the proposed development of land in the district,
then nothing in this section prevents sections 5.65, 5.70 and 5.71 from applying to the relevant person.
(5) A reference in subsection (2), (3) or (4) to the development of land is a reference to the development, maintenance or management of the land or of services or facilities on the land.
[Section 5.63 amended by No. 1 of 1998 s. 15; No. 64 of 1998 s. 32; No. 28 of 2003 s. 111; No. 49 of 2004 s. 52; No. 17 of 2009 s. 27.]
[5.64. Deleted by No. 28 of 2003 s. 112.]
5.65. Members' interests in matters to be discussed at meetings to be disclosed
(1) A member who has an interest in any matter to be discussed at a council or committee meeting that will be attended by the member must disclose the nature of the interest —
(a) in a written notice given to the CEO before the meeting; or
(b) at the meeting immediately before the matter is discussed.
Penalty: $10 000 or imprisonment for 2 years.
(2) It is a defence to a prosecution under this section if the member proves that he or she did not know —
(a) that he or she had an interest in the matter; or
(b) that the matter in which he or she had an interest would be discussed at the meeting.
(3) This section does not apply to a person who is a member of a committee referred to in section 5.9(2)(f).
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5.66. Meeting to be informed of disclosures
If a member has disclosed an interest in a written notice given to the CEO before a meeting then —
(a) before the meeting the CEO is to cause the notice to be given to the person who is to preside at the meeting; and
(b) at the meeting the person presiding is to bring the notice and its contents to the attention of the persons present immediately before the matters to which the disclosure relates are discussed.
[Section 5.66 amended by No. 1 of 1998 s. 16; No. 64 of 1998 s. 33.]
5.67. Disclosing members not to participate in meetings
A member who makes a disclosure under section 5.65 must not —
(a) preside at the part of the meeting relating to the matter; or
(b) participate in, or be present during, any discussion or decision making procedure relating to the matter,
unless, and to the extent that, the disclosing member is allowed to do so under section 5.68 or 5.69.
Penalty: $10 000 or imprisonment for 2 years.
5.68. Councils and committees may allow members disclosing interests to participate etc. in meetings
(1) If a member has disclosed, under section 5.65, an interest in a matter, the members present at the meeting who are entitled to vote on the matter —
(a) may allow the disclosing member to be present during any discussion or decision making procedure relating to the matter; and
(b) may allow, to the extent decided by those members, the disclosing member to preside at the meeting (if otherwise qualified to preside) or to participate in discussions and the decision making procedures relating to the matter if —
(i) the disclosing member also discloses the extent of the interest; and
(ii) those members decide that the interest —
(I) is so trivial or insignificant as to be unlikely to influence the disclosing member's conduct in relation to the matter; or
(II) is common to a significant number of electors or ratepayers.
(2) A decision under this section is to be recorded in the minutes of the meeting relating to the matter together with the extent of any participation allowed by the council or committee.
(3) This section does not prevent the disclosing member from discussing, or participating in the decision making process on, the question of whether an application should be made to the Minister under section 5.69.
5.69. Minister may allow members disclosing interests to participate etc. in meetings
(1) If a member has disclosed, under section 5.65, an interest in a matter, the council or the CEO may apply to the Minister to allow the disclosing member to participate in the part of the meeting, and any subsequent meeting, relating to the matter.
(2) An application made under subsection (1) is to include —
(a) details of the nature of the interest disclosed and the extent of the interest; and
(b) any other information required by the Minister for the purposes of the application.
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(3) On an application under this section the Minister may allow, on any condition determined by the Minister, the disclosing member to preside at the meeting, and at any subsequent meeting, (if otherwise qualified to preside) or to participate in discussions or the decision making procedures relating to the matter if —
(a) there would not otherwise be a sufficient number of members to deal with the matter; or
(b) the Minister is of the opinion that it is in the interests of the electors or ratepayers to do so.
(4) A person must not contravene a condition imposed by the Minister under this section.
Penalty: $10 000 or imprisonment for 2 years.
[Section 5.69 amended by No. 49 of 2004 s. 53.]
5.69A. Minister may exempt committee members from disclosure requirements
(1) A council or a CEO may apply to the Minister to exempt the members of a committee from some or all of the provisions of this Subdivision relating to the disclosure of interests by committee members.
(2) An application under subsection (1) is to include —
(a) the name of the committee, details of the function of the committee and the reasons why the exemption is sought; and
(b) any other information required by the Minister for the purposes of the application.
(3) On an application under this section the Minister may grant the exemption, on any conditions determined by the Minister, if the Minister is of the opinion that it is in the interests of the electors or ratepayers to do so.
(4) A person must not contravene a condition imposed by the Minister under this section.
Penalty: $10 000 or imprisonment for 2 years.
[Section 5.69A inserted by No. 64 of 1998 s. 34(1).]
5.70. Employees to disclose interests relating to advice or reports
(1) In this section —
employee includes a person who, under a contract for services with the local government, provides advice or a report on a matter.
(2) An employee who has an interest in any matter in respect of which the employee is providing advice or a report directly to the council or a committee must disclose the nature of the interest when giving the advice or report.
(3) An employee who discloses an interest under this section must, if required to do so by the council or committee, as the case may be, disclose the extent of the interest.
Penalty: $10 000 or imprisonment for 2 years.
5.71. Employees to disclose interests relating to delegated functions
If, under Division 4, an employee has been delegated a power or duty relating to a matter and the employee has an interest in the matter, the employee must not exercise the power or discharge the duty and —
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(a) in the case of the CEO, must disclose to the mayor or president the nature of the interest as soon as practicable after becoming aware that he or she has the interest in the matter; and
(b) in the case of any other employee, must disclose to the CEO the nature of the interest as soon as practicable after becoming aware that he or she has the interest in the matter.
Penalty: $10 000 or imprisonment for 2 years.
STRATEGIC PLAN IMPLICATIONS:
The Strategic Plan will be the driver and provide Guidance for Council in their decision making process for the community requests.
CORPORATE BUSINESS PLAN IMPLICATIONS
(Including Workforce Plan and Asset Management Plan Implications)
LONG TERM PLAN IMPLICATIONS:
Nil
COMMUNITY CONSULTATION:
Chief Executive Officer Deputy Chief Executive Officer Manager Works and Services Manager Development Services Council Staff Council Community Members.
STAFF RECOMMENDATION
That Council receives the Status Report.
COUNCIL RESOLUTION
MIN098/19 MOTION - Moved Cr. Steber
2 nd Cr. Leake
That Council receives the Status Report.
CARRIED 5/0
2.28pm At this time the Community Development Officer left the meeting.
Agenda Reference:
11.1.3
Subject:
WE-ROC Council Meeting Minutes and Resolutions
Location:
Council Chambers, Shire of Merredin
Applicant:
WE-ROC Council
File Ref:
ORG-10
Disclosure of Interest:
Nil
Date:
10 th June 2019
Author:
Raymond Griffiths, Chief Executive Officer
2.48pm At this time the Senior Finance Officer left the meeting.
BACKGROUND
The Minutes of the recent Council Meeting of the Wheatbelt East Regional Organisation of Councils (WE-ROC) held on Wednesday 29 th May, 2019, in the Council Chambers at the Shire of Merredin, are provided to Council formally, with the aim of providing a stronger link and partnership development between member Councils and WE-ROC to keep this Council abreast of forward/strategic planning initiatives of the Council Group and to consider outcomes from the WE-ROC Council Meetings.
COMMENT
Attached to this agenda item is a copy of the last WE-ROC Council Meeting Minutes held on Wednesday 29 th May, 2019, in the Council Chambers at the Shire of Merredin.
The intent is to list minutes of each Council Meeting formally as compared to listing these minutes in the Information Bulletin section of Council's monthly Agenda, ensures that Council is;
b) opportunity to prepare agenda items
a) aware of decision making and proposals submitted
c) forward planning to commitments made by the full Council Group and;
d) return the formality by Member Councils involved in the organization and provision of Executive Support Services of WE-ROC.
Resolutions arising out of the 29 th May 2019, 2019 WE-ROC Council Meeting summarised hereunder,
RESOLUTION:
Moved: Greg Powell
Seconded: Jamie Criddle
CARRIED
That representatives from BSC Solar and Power Ledger be invited to address the WEROC Council on Wednesday 26 June to explain the potential benefits to Member Councils in developing small scale solar farms on Council owned land to assist in the development of a revenue stream through the sale of power generated by the solar farms.
RESOLUTION:
Moved: Darren Mollenoyux Seconded: Greg Powell
That the Minutes of the Executive Meeting held Wednesday 27 March 2019 be confirmed as a true and correct record.
RESOLUTION:
Moved: Jamie Criddle
Seconded: Greg Powell
That the Status Report for May 2019 be received.
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DATED:
CARRIED
CARRIED
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PRESIDENT SIGNATURE:
RESOLUTION:
Moved: Greg Powell
Seconded: Darren Mollenoyux
a) Provision of data for the Shire of Merredin be made available as soon as possible;
1. That feedback be provided to Accingo on its draft asset audit report, with a request that the following issues be further reported on:
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b) An explanation as to why the asset audit report contained no information on trucks. If the data is available a request be made for it to be included in the final report provided to WEROC;
c) A request for the inclusion of information on the frequency an asset is used; and
d) Clarification of the data provided for the Shire of Bruce Rock, with details on the differences shown and why these differences occurred.
2. That Accingo be requested to have a further draft of its report variable for consideration by the WEROC Executive at its next meeting, scheduled for Wednesday 27 July 2019.
CARRIED
RESOLUTION: Moved: Jamie Criddle Seconded: Greg Powell
1. That WEROC provide in-kind and financial support to a maximum of $5,000 to Dr Andrew Harper, Adjunct Clinical Professor at the Curtin Medical School, to assist in the conduct of the “Curtin Wheatbelt Community Health Study: An exploratory research proposal”.
2. That the Executive Officer provide Dr Andrew Harper with a copy of the Verso Report.
CARRIED
RESOLUTION: Moved: Greg Powell Seconded: Jamie Criddle
That the WEROC Executive recommend to the WEROC Council that WEROC seek quotations from suitably qualified records management consultants to undertake a review of Member Councils’ recordkeeping policies and procedures to ensure they adequately support their respective Record Keeping Policies.
CARRIED
RESOLUTION: Moved: Darren Mollenoyux Seconded: Greg Powell
That:
1. Mr Ben Galvin from LGIS be invited to attend the next meeting of the WEROC Executive to discuss concerns Member Councils have with their region’s current LGIS coordinator; and
2. That should Mr Galvin be available to meet with the WEROC Executive on 24 July, Member Councils’ Works Supervisors also be invited to attend the meeting.
CARRIED
RESOLUTION: Moved: Greg Powell Seconded: Jamie Criddle
That the WEROC Executive recommend to the WEROC Council that WEROC engage the services of a suitably qualified lobbyist to assist in efforts to have the decision to prohibit clearing of vegetation required for the development of the proposed Greenfinch Open Pit operated by Ramelius Resources.
CARRIED
FINANCIAL IMPLICATIONS (ANNUAL BUDGET)
POLICY IMPLICATIONS
STATUTORY IMPLICATIONS:
Nil (not directly in regards to formalisation of the Group other following good administration practices in terms of researching and conducting the business requirements of the Group benchmarked against Minutes, Agenda and Meeting procedure standards- voluntary membership).
STRATEGIC COMMUNITY PLAN IMPLICATIONS
Participation in WE-ROC provides the Council the opportunity to develop and strengthen partnerships with neighbouring local governments to deliver identified local government services in a more cost effective and substantial manner for the benefit of each Council Member of WE-ROC.
CORPORATE BUSINESS PLAN IMPLICATIONS
(Including Workforce Plan and Asset Management Plan Implications)
LONG TERM FINANCIAL PLAN IMPLCATIONS
COMMUNITY CONSULTATION
Council and Councillors of the Shire of Kellerberrin WE-ROC Member Councils Staff Information re Minutes and Agendas of WE-ROC
ABSOLUTE MAJOURITY REQUIRED
No
STAFF RECOMMENDATION
That Council receive the Minutes of the Council Meeting of the Wheatbelt East Regional Organisation of Councils (WE-ROC) held on Wednesday 29 th May, 2019.
COUNCIL RECOMMENDATION
MIN099/19 MOTION - Moved Cr. Reid 2 nd Cr. Leake
That Council receive the Minutes of the Council Meeting of the Wheatbelt East Regional Organisation of Councils (WE-ROC) held on Wednesday 29 th May, 2019.
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CARRIED 5/0
Agenda Reference:
11.1.4
Subject:
Common Seal Register and Reporting
Location:
Shire of Kellerberrin
Applicant:
Shire of Kellerberrin
File Ref:
ADM-52
Disclosure of Interest:
N/A
Date:
07 th June 2019
Author:
Raymond Griffiths, Chief Executive Officer
BACKGROUND
To seek Council's endorsement for the application of the Shire of Kellerberrin Common Seal in accordance with the Common Seal Register.
COMMENT
The Shire of Kellerberrin's Common Seal is applied in circumstances where the Shire enters into a legal agreement, lease or undertakes the disposal or acquisition of land.
Application of the Seal is accompanied by the signatures of the President and Chief Executive Officer.
A register is maintained to record all occasions on which the Seal is applied. The register is maintained, updated and should be presented to Council on a quarterly basis. A process will be put in place to ensure that this occurs. It is recommended that Council formalises the receipt of the affixation of the Common Seal Report for endorsement.
Generally, the Common Seal is only applied in circumstances where the Council has specifically resolved to enter into an agreement, lease or dispose of or acquire land. There are however, occasions where the Seal is required to be applied urgently and Council's endorsement is sought retrospectively.
Attached to this report is a short list of agreements that require Council endorsement for use of the Common Seal.
FINANCIAL IMPLICATIONS:
Nil (not known at this time)
POLICY IMPLICATIONS:
Nil (not known at this time)
STATUTORY IMPLICATIONS
Shire of Kellerberrin Standing Orders Local Law 2006
Clause 19.1 The Council's Common Seal
(1) The CEO is to have charge of the common seal of the Local Government, and is responsible for the safe custody and proper use of it.
(2) The common seal of the Local Government may only be used on the authority of the Council given either generally or specifically and every document to which the seal is affixed must be signed by the President and the CEO or a senior employee authorised by him or her.
(3) The common seal of the local government is to be affixed to any local law which is made by the local government.
(4) The CEO is to record in a register each date on which the common seal of the Local Government was affixed to a document, the nature of the document, and the parties to any agreement to which the common seal was affixed.
(5) Any person who uses the common seal of the Local Government or a replica thereof without authority commits an offence. Penalty $1,000
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STRATEGIC PLAN IMPLICATIONS:
Nil (not known at this time)
FUTURE PLAN IMPLICATIONS:
Nil (not known at this time)
COMMUNITY CONSULTATION:
Nil (not required statutory function of the Council)
ABSOLUTE MAJORITY REQUIRED –
No
STAFF RECOMMENDATION
That Council endorse the affixing of the Shire of Kellerberrin’s Common Seal as per the attached Common Seal Register document.
COUNCIL RESOLUTION
MIN100/19 MOTION -Moved Cr. Steber 2 nd Cr. Reid
That Council endorse the affixing of the Shire of Kellerberrin’s Common Seal as per the attached Common Seal Register document.
CARRIED 5/0
Agenda Reference:
11.1.5
Subject:
Authorised & Registration Officers
Location:
Shire of Kellerberrin
Applicant:
Shire of Kellerberrin
File Ref:
ENG 01
Disclosure of Interest:
N/A
Date:
5 th June 2019
Author:
Mr Raymond Griffiths, Chief Executive Officer
The Chief Executive Officer deferred item 11.1.5 for lack of an Absolute Majority
BACKGROUND
To authorise employees to act on behalf of Council as an Authorised and/or Registration Officer of Council.
COMMENT
Council annually reviews the Authorised and Registration Officers for Council to act on behalf of Council under the provision of the provided Legislation.
FINANCIAL IMPLICATIONS
Cost of advertising within the Government Gazette
POLICY IMPLICATIONS
Nil
STATUTORY IMPLICATIONS
The following legislation is referred to for Council's Authorised and Registration Officers;
* Caravan Park and Camping Ground Act 1995
* Local Government Property Local Law 2006
* Shire of Kellerberrin Cemetery Local Law 2003
* Local Government Act 1995
* Control of Vehicles (Off-Road Areas) Act 1978
*
Litter Act 1979
* Bush Fires Act 1954
* Dog Act 1976
* Cat Act 2011
* Local Government (Miscellaneous Provisions) Act 1960
* Building Act 2011
* Food Act 2008
STRATEGIC PLAN IMPLICATIONS
Nil
CORPORATE BUSINESS PLAN IMPLICATIONS
(Including Workforce Plan and Asset Management Plan Implications)
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LONG TERM PLAN IMPLICATIONS
Nil (not applicable at this date and therefore unknown)
COMMUNITY CONSULTATION
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Chief Executive Officer Personal Assistant
ABSOLUTE MAJORITY REQUIRED
Yes
STAFF RECOMMENDATION
That Council:
1. adopts the Authorised Officers Schedule as presented
2. adopts the Registration Officers Schedule as presented
BY ABSOLUTE MAJORITY
Item 11.1.5 was deferred for lack of an Absolute Majority
Agenda Reference:
11.1.6
Subject: Delegated Authority review to CEO
Location:
Shire of Kellerberrin
Applicant:
Shire of Kellerberrin - Administration
File Ref:
Delegations File (SAFE)
Record Ref:
Disclosure of Interest:
Date:
4 th June, 2019
Author:
Mr Raymond Griffiths, Chief Executive Officer
The Chief Executive Officer deferred item 11.1.6 for lack of an Absolute Majority
BACKGROUND
The Local Government Act 1995 as amended, the associated Regulations and the Compliance Audit Return requires the Local Government to review its delegation of Powers/Authority to the Chief Executive Officer, at least once in every twelve (12) months and then for the Chief Executive Officer to review his Delegation of Authority to identified Senior Staff and Management Staff within the same review period.
June 2018 Council Meeting
MIN 091/18 MOTION - Moved Cr. Steber
2P nd P Cr. Reid
That Council:
2. in accordance with sections 10, 14, 17, 48 and 50 of the Bush Fires Act 1954,
1. in accordance with section 5.42 of the Local Government Act 1995 as amended
3. the defined delegations as per the attached Delegations Schedule to the Chief Executive Officer, be made to the Chief Executive Officer and remain in place until the next Delegations Review has been completed.
4. Cancel all previous Delegations to the Chief Executive Officer.
CARRIED 6/0
BY ABSOLUTE MAJORITY
June 2017 Council Meeting
MIN 090/17 MOTION - Moved Cr. O'Neil 2 nd Cr. Leake
That Council:
2. in accordance with sections 10, 14, 17, 48 and 50 of the Bush Fires Act 1954,
1. in accordance with section 5.42 of the Local Government Act 1995 as amended
3. adopts the defined delegations as per the attached Delegations Schedule to the Chief Executive Officer, be made to the Chief Executive Officer and remain in place until the next Delegations Review has been completed.
4. Cancel all previous Delegations to the Chief Executive Officer.
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CARRIED 7/0
BY ABSOLUTE MAJORITY
July 2016 Council Meeting
MIN 118/16 MOTION - Moved Cr. O'Neill 2 nd Cr. Steber
1. That in accordance with section 5.42 of the Local Government Act 1995 as amended and in accordance with sections 10, 14, 17, 48 and 50 of the Bush Fires Act 1954, the defined delegations as per the attached Delegations Schedule to the Chief Executive Officer, be made to the Chief Executive Officer and remain in place until the next Delegations Review has been completed.
2. That all previous Delegations to the Chief Executive Officer be cancelled.
CARRIED 7/0 BY ABSOLUTE MAJORITY
June 2015 Council Meeting
MIN 97/15 MOTION - Moved Cr. McNeil 2 nd Cr. O'Neill
1. That in accordance with section 5.42 of the Local Government Act 1995 as amended and in accordance with sections 10, 14, 17, 48 and 50 of the Bush Fires Act 1954, the defined delegations as per the attached Delegations Schedule to the Chief Executive Officer, be made to the Chief Executive Officer and remain in place until the next Delegations Review has been completed.
2. That all previous Delegations to the Chief Executive Officer be cancelled.
CARRIED 6/0 BY ABSOLUTE MAJORITY
June 2014 Council Meeting
MIN 73/14 MOTION - Moved Cr. O'Neill 2 nd Cr. Bee
1. That in accordance with section 5.42 of the Local Government Act 1995 as amended and in accordance with sections 10, 14, 17, 48 and 50 of the Bush Fires Act 1954, the defined delegations as per the attached Delegations Schedule to the Chief Executive Officer, be made to the Chief Executive Officer and remain in place until the next Delegations Review has been completed.
2. That all previous Delegations to the Chief Executive Officer be cancelled.
CARRIED 7/0 BY ABSOLUTE MAJORITY
July 2013 Council Meeting
MIN101/13 MOTION - Moved Cr. Clarke 2 nd Cr. O'Neill
1. That in accordance with section 5.42 of the Local Government Act 1995 as amended and in accordance with sections 10, 14, 17, 48 and 50 of the Bush Fires Act 1954, the defined delegations as per the attached Delegations Schedule to the Chief Executive Officer, be made to the Chief Executive Officer and remain in place until the next Delegations Review has been completed.
CARRIED 5/0 BY ABSOLUTE MAJORITY
2. That all previous Delegations to the Chief Executive Officer be cancelled.
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MIN 223/12 MOTION - Moved Cr. Bee 2 nd Cr. Forsyth
1. That in accordance with section 5.42 of the Local Government Act 1995 as amended and in accordance with sections 10, 14, 17, 48 and 50 of the Bush Fires Act 1954, the defined delegations as per the attached Delegations Schedule to the Chief Executive Officer, be made to the Chief Executive Officer and remain in place until the next Delegations Review has been completed.
2. That all previous Delegations to the Chief Executive Officer be cancelled.
CARRIED 6/0 BY ABSOLUTE MAJORITY
COMMENT
The proposed delegations are summarised as per the enclosed Delegations Schedule and has been presented on the basis of;
2. For continued and efficient Management of daily Functions of the Staff to completing Business and Administrative requirements of the Council.
1. Statutory Requirement to do so under the Local Government Act 1995 associated Regulations of the Local Government Act 1995, the Bush Fires Act 1954 and the Compulsory Annual Compliance Audit Return.
3. The proposed Delegations are in accordance with Local Government Industry Standards of a Local Government Operation of this size.
4. The attached Delegations Schedule has been amended to include Local Government Act changes and associated Regulations changes to keep the list at a minimum standard for efficient and effective management of Councils daily business requirements and in accordance with the statutory functions of the Council and that of the Chief Executive Officer.
FINANCIAL IMPLICATIONS
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Nil (not known at this time)
POLICY IMPLICATIONS
Nil (not known at this time)
STATUTORY IMPLICATIONS
Local Government Act 1995 (as amended)
5.41. Functions of CEO
The CEO's functions are to —
(a) advise the council in relation to the functions of a local government under this Act and other written laws;
(b) ensure that advice and information is available to the council so that informed decisions can be made;
(c) cause council decisions to be implemented;
(d) manage the day to day operations of the local government;
(e) liaise with the mayor or president on the local government’s affairs and the performance of the local government’s functions;
(f) speak on behalf of the local government if the mayor or president agrees;
(g) be responsible for the employment, management supervision, direction and dismissal of other employees (subject to section 5.37(2) in relation to senior employees);
(h) ensure that records and documents of the local government are properly kept for the purposes of this Act and any other written law; and
(i) perform any other function specified or delegated by the local government or imposed under this Act or any other written law as a function to be performed by the CEO.
5.42. Delegation of some powers and duties to CEO
(1) A local government may delegate* to the CEO the exercise of any of its powers or the discharge of any of its duties under this Act other than those referred to in section 5.43.
* Absolute majority required.
(2) A delegation under this section is to be in writing and may be general or as otherwise provided in the instrument of delegation.
*
[Section 5.42 amended by No. 1 of 1998 s. 13.]
5.43. Limits on delegations to CEO
A local government cannot delegate to a CEO any of the following powers or duties —
(a) any power or duty that requires a decision of an absolute majority or a 75% majority of the local government;
(b) accepting a tender which exceeds an amount determined by the local government for the purpose of this paragraph;
(c) appointing an auditor;
(d) acquiring or disposing of any property valued at an amount exceeding an amount determined by the local government for the purpose of this paragraph;
(e) any of the local government's powers under section 5.98, 5.98A, 5.99, 5.99A or 5.100;
(f) borrowing money on behalf of the local government;
(g) hearing or determining an objection of a kind referred to in section 9.5;
(ha) the power under section 9.49A(4) to authorise a person to sign documents on behalf of the local government;
(h) any power or duty that requires the approval of the Minister or the Governor;
(i) such other powers or duties as may be prescribed.
*
[Section 5.43 amended by No. 49 of 2004 s. 16(3) and 47; No. 17 of 2009 s. 23.]
5.44. CEO may delegate powers and duties to other employees
(1) A CEO may delegate to any employee of the local government the exercise of any of the CEO's powers or the discharge of any of the CEO's duties under this Act other than this power of delegation.
(2) A delegation under this section is to be in writing and may be general or as otherwise provided in the instrument of delegation.
(3) This section extends to a power or duty the exercise or discharge of which has been delegated by a local government to the CEO under section 5.42, but in the case of such a power or duty —
(a) the CEO's power under this section to delegate the exercise of that power or the discharge of that duty; and
(b) the exercise of that power or the discharge of that duty by the CEO's delegate, are subject to any conditions imposed by the local government on its delegation to the CEO.
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(4) Subsection (3)(b) does not limit the CEO’s power to impose conditions or further conditions on a delegation under this section.
(5) In subsections (3) and (4) — conditions includes qualifications, limitations or exceptions.
* [Section 5.44 amended by No. 1 of 1998 s. 14(1).]
5.45. Other matters relevant to delegations under this Division
(1) Without limiting the application of sections 58 and 59 of the Interpretation Act 1984 —
(a) a delegation made under this Division has effect for the period of time specified in the delegation or where no period has been specified, indefinitely; and
(b) any decision to amend or revoke a delegation by a local government under this Division is to be by an absolute majority.
(2) Nothing in this Division is to be read as preventing —
(a) a local government from performing any of its functions by acting through a person other than the CEO; or
(b) a CEO from performing any of his or her functions by acting through another person.
5.46. Register of, and records relevant to, delegations to CEO and employees
(1) The CEO is to keep a register of the delegations made under this Division to the CEO and to employees.
(2) At least once every financial year, delegations made under this Division are to be reviewed by the delegator.
(3) A person to whom a power or duty is delegated under this Act is to keep records in accordance with regulations in relation to the exercise of the power or the discharge of the duty.
Bush Fires Act 1954
7. Interpretation
(1) In this Act unless the context otherwise indicates or requires —
adjoining, when used with respect to 2 or more pieces of land, extends to pieces of land which are separated only by a road or roads or by a railway or by a water-course;
authorised CALM Act officer means a wildlife officer, forest officer, ranger or conservation and land management officer who is authorised for the purposes of section 45(3a) of the Conservation and Land Management Act 1984;
Authority means the Fire and Emergency Services Authority of Western Australia established by section 4 of the FESA Act;
bush includes trees, bushes, plants, stubble, scrub, and undergrowth of all kinds whatsoever whether alive or dead and whether standing or not standing and also a part of a tree, bush, plant, or undergrowth, and whether severed therefrom or not so severed. The term does not include sawdust, and other waste timber resulting from the sawmilling of timber in a sawmill whilst the sawdust and other waste timber remains upon the premises of the sawmill in which the sawmilling is carried on;
bush fire brigade means a bush fire brigade for the time being registered in a register kept pursuant to section 41;
CALM Act CEO has the meaning given to "CEO" by section 3 of the Conservation and Land Management Act 1984;
CALM Act Department has the meaning given to "Department" by section 3 of the Conservation and Land Management Act 1984;
Chief Executive Officer means the person holding, acting in, or otherwise discharging the duties of, the office of chief executive officer of the Authority, as referred to in section 19 of the FESA Act;
forest land means State forest and timber reserves within the meaning of the Conservation and Land Management Act 1984 and any land to which section 131 of that Act applies;
member of the Authority means a member of the board of management referred to in section 6 of the FESA Act;
occupier of land means, subject to subsection (2), a person residing on the land or having charge or control of it, whether the person is the owner or tenant or a bailiff, servant, caretaker, or other person residing or having charge or control of the land and includes a person who as mortgagee in possession has possession of the land, while the land is unoccupied, and also a person who has the charge or control of 2 or more separate parcels of land, although the person resides on only one of the parcels;
prohibited burning times means the times of the year during which it is declared by the Minister under section 17 to be unlawful to set fire to the bush within a zone of the State and, in relation to any land in such a zone —
(a) includes any extension of those times made, or any further times imposed, under that section in respect of the whole of that zone or in respect of the part of that zone, or the district or part of a district, in which that land is situated; but
(b) does not include any period by which those times are reduced, or for which those times are suspended, under that section in respect of the whole of that zone or in respect of the part of that zone, or the district or part of a district, in which that land is situated or in respect of that land in particular;
restricted burning times means the times of the year during which it is declared by the Authority under section 18 to be unlawful to set fire to the bush within a zone of the State except in accordance with a permit obtained under that section and with the conditions prescribed for the purposes of that section and, in relation to land in such a zone —
(a) includes any extension of those times made, or any further times imposed, under that section in respect of the whole of that zone or in respect of the part of that zone, or the district or part of a district, in which that land is situated; but
(b) does not include any period by which those times are reduced, or for which those times are suspended, under that section in respect of the whole of that zone or in respect of that part of that zone, or the district or part of a district, in which that land is situated;
the FESA Act means the Fire and Emergency Services Authority of Western Australia Act 1998.
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(2) Subject to section 33(9), a reference in this Act to an owner or occupier of land does not include a reference to a department of the Public Service that occupies land or a State agency or instrumentality that owns or occupies land.
10. Powers of Authority
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(1) The Authority shall —
(a) report to the Minister as often as it thinks expedient so to do on the best means to be taken for preventing or extinguishing bush fires;
(b) perform and undertake such powers and duties as may be entrusted to it by the Minister;
(c) subject to the general control of and direction by the Minister, be responsible for the administration of this Act;
(d) recommend to the Minister the prohibited burning times to be declared for the whole or any part of the State;
(e) carry out such fire prevention measures as it considers necessary;
(f) carry out research in connection with fire prevention and control and matters pertaining to fire prevention and control;
(g) conduct publicity campaigns for the purpose of improving fire prevention measures.
(2) The Authority may —
(a) recommend that the Chief Executive Officer appoint and employ such persons as the Authority considers necessary for carrying out the provisions of this Act;
(b) organise and conduct bush fire brigade demonstrations and competitions and provide prizes and certificates for presentation to bush fire brigades and competitors;
(c) pay the expenses of bush fire brigades attending bush fire brigade demonstrations.
*
[Section 10 amended by No. 65 of 1977 s. 7; No. 42 of 1998 s. 8 and 16.]
12. Appointment of bush fire liaison officers
(1) The Chief Executive Officer may, on the recommendation of the Authority and with the approval of the Minister, appoint persons under section 20 of the FESA Act to be bush fire liaison officers for the purposes of this Act.
(2) Any person who was a bush fire warden immediately before the coming into operation of section 9 of the Bush Fires Act Amendment Act 1977 1 shall be deemed to have been appointed to be a bush fire liaison officer under subsection (1).
*
[Section 12 inserted by No. 65 of 1977 s. 9; amended by No. 42 of 1998 s. 10.]
14. Members of the Authority and other persons may enter land or buildings for purposes of the Act
(1) A member of the Authority, an officer who is authorised by the Authority so to do, a bush fire liaison officer and a bush fire control officer, appointed in accordance with the provisions of this Act, and, subject to the proviso to this section, a member of the Police Force, is empowered to enter any land or building at any time to —
(a) examine a fire which he has reason to believe has been lit, or maintained, or used in contravention of this Act;
(b) examine a fire which he believes is not under proper control;
(c) examine fire-breaks on the land;
(d) examine anything which he considers to be a fire hazard existing on the land;
(e) investigate the cause and origin of a fire which has been burning on the land or building;
(f) inspect fire precaution measures taken on the land;
(g) investigate and examine the equipment of a bush fire brigade;
(h) do all things necessary for the purpose of giving effect to this Act.
Provided that a member of the Police Force is not empowered under this section to enter any land or building for any purpose other than those specified in paragraphs (a), (b) and (e).
(2) A bush fire liaison officer or a member of the Police Force exercising the power conferred by subsection (1)(e) may remove from the land or building, and keep possession of, anything which may tend to prove the origin of the fire.
* [Section 14 amended by No. 11 of 1963 s. 5; No. 65 of 1977 s. 11 and 47; No. 60 of 1992 s. 8; No. 42 of 1998 s. 16; No. 38 of 2002 s. 20.]
[Divisions 3 and 4 (s. 15-16E) deleted by No. 42 of 1998 s. 11(1).]
Part III — Prevention of bush fires
[Division 1 deleted by No. 65 of 1977 s. 12.]
Division 2 — Prohibited burning times
17. Prohibited burning times may be declared by Minister
(1) The Minister may, by declaration published in the Gazette, declare the times of the year during which it is unlawful to set fire to the bush within a zone of the State mentioned in the declaration and may, by subsequent declaration so published, vary that declaration or revoke that declaration either absolutely or for the purpose of substituting another declaration for the declaration so revoked.
(2) Where by declaration made under subsection (1) prohibited burning times have been declared in respect of a zone of the State then, subject to such variations (if any) as are made under that subsection from time to time, those prohibited burning times shall have effect in respect of that zone in each year until that declaration is revoked.
(3) A copy of the Gazette containing a declaration published under subsection (1) shall be received in all courts as evidence of the matters set out in the declaration.
(4) Where the Authority considers that burning should be carried out on any land, the Authority may suspend the operation of a declaration made under subsection (1), so far as the declaration extends to that land, for such period as it thinks fit and specifies and subject to such conditions as may be prescribed or as it thinks fit and specifies.
(5) The Authority may authorise a person appointed by it to regulate, permit or define the class of burning that may be carried out, and the times when and conditions under which a fire may be lit, on the land referred to in subsection (4) during the period of suspension granted under that subsection.
(7)(a) Subject to paragraph (b), in any year in which a local government considers that seasonal conditions warrant a variation of the prohibited burning times in its district the local government may, after consultation with an authorised CALM Act officer if forest land is situated in the district, vary the prohibited burning times in respect of that year in the district or a part of the district by —
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(6) In any year in which the Authority considers that seasonal conditions warrant a variation of the prohibited burning times in a zone of the State the Authority may, by notice published in the Gazette, vary the prohibited burning times in respect of that year in the zone or a part of the zone by —
(a) shortening, extending, suspending or reimposing a period of prohibited burning times; or
(b) imposing a further period of prohibited burning times.
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(i) shortening, extending, suspending or reimposing a period of prohibited burning times; or
(ii) imposing a further period of prohibited burning times.
(b) A variation of prohibited burning times shall not be made under this subsection if that variation would have the effect of shortening or suspending those prohibited burning times by, or for, more than 14 successive days.
(8) Where, under subsection (7), a local government makes a variation to the prohibited burning times in respect of its district or a part of its district the following provisions shall apply —
(a) the local government —
(i) shall, by the quickest means available to it and not later than 2 days before the first day affected by the variation, give notice of the variation to any local government whose district adjoins that district;
(ii) shall, by the quickest means available to it, give particulars of the variation to the Authority and to any Government department or instrumentality which has land in that district under its care, control and management and which has requested the local government to notify it of all variations made from time to time by the local government under this section or section 18;
(iii) shall, as soon as is practicable publish particulars of the variation in that district;
(b) the Minister, on the recommendation of the Authority, may give notice in writing to the local government directing it —
(i) to rescind the variation; or
(ii) to modify the variation in such manner as is specified in the notice;
(c) on receipt of a notice given under paragraph (b) the local government shall forthwith —
(i) rescind or modify the variation as directed in the notice; and
(ii) publish in that district notice of the rescission or particulars of the modification, as the case may require.
(9) For the purposes of subsections (7) and (8) publish means to publish in a newspaper circulating in the district of the local government, to broadcast from a radio broadcasting station that gives radio broadcasting coverage to that district, to place notices in prominent positions in that district, or to publish by such other method as the Authority may specify in writing.
(10) A local government may by resolution delegate to its mayor, or president, and its Chief Bush Fire Control Officer, jointly its powers and duties under subsections (7) and (8).
(11) A local government may by resolution revoke a delegation it has given under subsection (10) and no delegation so given prevents the exercise and discharge by the local government of its powers and duties under subsections (7) and (8).
(12) Subject to this Act a person who sets fire to the bush on land within a zone of the State during the prohibited burning times for that zone is guilty of an offence.
Penalty: $10 000 or 12 months' imprisonment or both.
*
Division 3 — Restricted burning times
18. Restricted burning times may be declared by Authority
(1) Nothing contained in this section authorises the burning of bush during the prohibited burning times.
(c) The provisions of section 17(8), (9), (10) and (11), with the necessary adaptations and modifications, apply to and in relation to the variation of restricted burning times or prescribed conditions by a local government, as if those provisions were expressly incorporated in this section.
(d) For the purposes of this subsection prescribed condition includes the requirement of subsection (6)(a).
(6) Subject to this Act a person shall not set fire to the bush on land within a zone of the State during the restricted burning times for that zone of the State unless —
(a) he has obtained a permit in writing to burn the bush from a bush fire control officer of the local government in whose district the land upon which the bush proposed to be burnt is situated, or from the chief executive officer of the local government if a bush fire control officer is not available; and
(b) the conditions prescribed for the purposes of this section are complied with in relation to the burning of the bush.
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(2) The Authority may, by notice published in the Gazette, declare the times of the year during which it is unlawful to set fire to the bush within a zone of the State mentioned in the notice except in accordance with a permit obtained under this section and with the conditions prescribed for the purposes of this section, and may, by subsequent notice so published, vary that declaration or revoke that declaration either wholly or for the purpose of substituting another declaration for the declaration so revoked.
(3) Where by declaration made under subsection (2) restricted burning times have been declared in respect of a zone of the State then, subject to such variations (if any) as are made under that subsection from time to time, those restricted burning times shall have effect in respect of that zone in each year until that declaration is revoked.
(4) A copy of the Gazette containing a declaration published under subsection (2) shall be received in all courts as evidence of the matters set out in the declaration.
(4a) In any year in which the Authority considers that seasonal conditions warrant a variation of the restricted burning times in a zone, or part of a zone, of the State the Authority may, by notice published in the Gazette, vary the restricted burning times in respect of that year in the zone or part of the zone by —
(a) shortening, extending, suspending or reimposing a period of restricted burning times; or
(b) imposing a further period of restricted burning times.
(5)(a) Subject to paragraph (b) in any year in which a local government considers that seasonal conditions so warrant the local government may, after consultation with an authorised CALM Act officer if forest land is situated in its district —
(i) vary the restricted burning times in respect of that year in the district or a part of the district by —
(A) shortening, extending, suspending or reimposing a period of restricted burning times; or
(B) imposing a further period of restricted burning times;
or
(ii) vary the prescribed conditions by modifying or suspending all or any of those conditions.
(b) A variation shall not be made under this subsection if that variation would have the effect of —
(i) shortening the restricted burning times by; or
(ii) suspending the restricted burning times, or any prescribed condition, for,
more than 14 successive days during a period that would, in the absence of the variation under this subsection, be part of the restricted burning times for that zone in that year.
The person issuing a permit to burn under this section may, by endorsement on the permit —
(a) incorporate therein any additional requirements and directions considered necessary by him relative to the burning; or
(b) modify or dispense with any of the conditions prescribed for the purposes of this section in so far as those conditions are applicable to the burning.
(8) The holder of a permit to burn under this section —
(a) shall observe and carry out any requirement or direction incorporated therein pursuant to subsection (7)(a);
(b) shall, where any prescribed condition is modified pursuant to subsection (5) or subsection (7)(b), comply with that condition as so modified;
(c) need not comply with any prescribed condition that is suspended or dispensed with pursuant to subsection (5) or (7)(b).
(9) A permit issued under this section may authorise the owner or occupier of land to burn the bush on a road reserve adjoining that land.
(10)(a) Subject to the regulations a local government may by resolution declare that within its district bush may be burnt only on such dates and by such persons as are prescribed by a schedule of burning times adopted by the local government.
(b) A person desiring to set fire to bush within the district of the local government that has so resolved shall, by such date as may be determined by the local government, apply to the local government for permission to set fire to the bush, and the local government shall allocate a day or days on which the burning may take place.
(c) The burning shall be done only on the day or days and in the manner specified by the local government and subject to the conditions prescribed for the purposes of this section except that any prescribed period of notice may be varied by the local government in order to enable the schedule of burning times adopted by it to be given effect to.
(11) Where a person starts a fire on land, if the fire escapes from the land or if the fire is in the opinion of a bush fire control officer or an officer of a bush fire brigade out of control on the land, the person shall be liable to pay to the local government on the request of and for recoup to its bush fire brigade, any expenses up to a maximum amount of $10 000 incurred by it in preventing the extension of or extinguishing the fire, and such expenses may be recovered in any court of competent jurisdiction.
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(7)
(12) A person who commits a breach of this section other than subsection (11) is guilty of an offence.
Penalty: For a first offence $4 500.
For a second or subsequent offence $10 000.
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* [Section 18 inserted by No. 65 of 1977 s. 14; amended by No. 8 of 1987 s. 8; No. 14 of 1996 s. 4; No. 42 of 1998 s. 16; No. 38 of 2002 s. 22, 39 and 40(1).]
Part V — Miscellaneous
48. Delegation by local governments
(1) A local government may, in writing, delegate to its chief executive officer the performance of any of its functions under this Act.
(2) Performance by the chief executive officer of a local government of a function delegated under subsection (1) —
(a) is taken to be in accordance with the terms of a delegation under this section, unless the contrary is shown; and
(b) is to be treated as performance by the local government.
(3) A delegation under this section does not include the power to subdelegate.
(4) Nothing in this section is to be read as limiting the ability of a local government to act through its council, members of staff or agents in the normal course of business.
*
[Section 48 inserted by No. 38 of 2002 s. 35.]
50. Records to be maintained by local governments
(1) A local government shall maintain records containing the following information —
(a) the names, addresses, and usual occupations of all the bush fire control officers and bush fire brigade officers appointed by or holding office under the local government;
(b) where a bush fire control officer holds office in respect of part only of the district of the local government, descriptive particulars of that part of the district in respect of which the bush fire control officer holds office;
(c) particulars of the nature, quantity, and quality of the bush fire fighting equipment and appliances which are generally available within the district of the local government for use in controlling and extinguishing bush fires.
(2) The Governor may make regulations —
(a) requiring an owner or occupier of land to notify the local government in whose district the land is situated of the occurrence of any bush fire on the land;
(b) requiring a local government to send to the Authority particulars of losses caused by bush fires in its district;
(c) prescribing the times at or within which, and the manner in which, the requirements of the regulations shall be complied with;
(d) imposing a maximum penalty of $1 000 for any breach of the regulations.
*
[Section 50 amended by No. 113 of 1965 s. 8(1); No. 65 of 1977 s. 39; No. 14 of 1996 s. 4; No. 42 of 1998 s. 16; No. 38 of 2002 s. 39.]
Compliance Audit Report
Annual endorsement and certification, that the process of Council and CEO has reviewed its delegated authority respectively.
STRATEGIC PLAN IMPLICATIONS
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Nil (not known at this time)
FUTURE PLAN IMPLICATIONS
Nil (not known at this time)
COMMUNITY CONSULTATION
Nil (not required – a statutory function of the Council and of the Chief Executive Officer)
ABSOLUTE MAJORITY
Yes
STAFF RECOMMENDATION
That Council:
1. in accordance with section 5.42 of the Local Government Act 1995 as amended
2. in accordance with sections 10, 14, 17, 48 and 50 of the Bush Fires Act 1954,
3. the defined delegations as per the attached Delegations Schedule to the Chief Executive Officer, be made to the Chief Executive Officer and remain in place until the next Delegations Review has been completed.
4. Cancel all previous Delegations to the Chief Executive Officer.
BY ABSOLUTE MAJORITY
Item 11.1.6 was deferred for lack of an Absolute Majority
BACKGROUND
Council has received a development application from Mr. Tim Dooling on behalf of Cooperative Bulk Handling for development at its Doodlakine receieval site (Lot 54 Mather Road, Doodlakine). Over the last five (5) years the Shire has received a number of development applications from CBH group for improvements at its Kellerberrin site.
The proposal includes the following: 36m long weighbridge, with hut, to replace the existing 18m weighbridge and hut.
SITE
The Doodlakine CBH site is located on the northern side of Great Eastern Highway, East of the Doodlakine townsite.
* 18m weighbridge and marshaling area
* Open bulkhead
* Sampling and weighbridge hut
* Main Storage Bunker; and
* Staff facilities
…………………………………………….
DATED:
………………..……………………………..
PRESIDENT SIGNATURE:
FINANCIAL IMPLICATIONS (ANNUAL BUDGET)
A fee of $1,957 for the Planning approval has been issued.
POLICY IMPLICATIONS
Local Planning Scheme No.4
Zoning: GA
3.2.6 General Agriculture Zone
(a) To ensure the continuation of broad-hectare farming as the principal land use in the District and encouraging where appropriate the retention and expansion of agricultural activities.
(b) To consider non-rural uses where they can be shown to be of benefit to the district and not detrimental to the natural resources or the environment.
(c) To allow for facilities for tourists and travellers, and for recreation uses.
4.11 RURAL DEVELOPMENT
4.11.1 Buildings within the General Agriculture zone shall comply with the following minimum lot boundary setbacks:
Front: 20.0 metres Rear: 15.0 metres Side: 5.0 metres
Planning and Development (Local Planning Schemes) Regulations 2015
67 . Matters to be considered by local government
In considering an application for development approval the local government is to have due regard to the following matters to the extent that, in the opinion of the local government, those matters are relevant to the development the subject of the application —
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(a) the aims and provisions of this Scheme and any other local planning scheme operating within the Scheme area;
(b) the requirements of orderly and proper planning including any proposed local planning scheme or amendment to this Scheme that has been advertised under the Planning and Development (Local Planning Schemes) Regulations 2015 or any other proposed planning instrument that the local government is seriously considering adopting or approving;
(q) the suitability of the land for the development taking into account the possible risk of flooding, tidal inundation, subsidence, landslip, bush fire, soil erosion, land degradation or any other risk;
(r) the suitability of the land for the development taking into account the possible risk to human health or safety;
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(c) any approved State planning policy;
(d) any environmental protection policy approved under the Environmental Protection Act 1986 section 31(d);
(e) any policy of the Commission;
(f) any policy of the State;
(g) any local planning policy for the Scheme area;
(h) any structure plan, activity centre plan or local development plan that relates to the development;
(i) any report of the review of the local planning scheme that has been published under the Planning and Development (Local Planning Schemes) Regulations 2015 ;
(j) in the case of land reserved under this Scheme, the objectives for the reserve and the additional and permitted uses identified in this Scheme for the reserve;
(k) the built heritage conservation of any place that is of cultural significance;
(l) the effect of the proposal on the cultural heritage significance of the area in which the development is located;
(m) the compatibility of the development with its setting including the relationship of the development to development on adjoining land or on other land in the locality including, but not limited to, the likely effect of the height, bulk, scale, orientation and appearance of the development;
(n) the amenity of the locality including the following —
(i) environmental impacts of the development;
(ii) the character of the locality;
(iii) social impacts of the development;
(o) the likely effect of the development on the natural environment or water resources and any means that are proposed to protect or to mitigate impacts on the natural environment or the water resource;
(p) whether adequate provision has been made for the landscaping of the land to which the application relates and whether any trees or other vegetation on the land should be preserved;
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(s) the adequacy of —
(i) the proposed means of access to and egress from the site; and
(ii) arrangements for the loading, unloading, manoeuvring and parking of vehicles;
(t) the amount of traffic likely to be generated by the development, particularly in relation to the capacity of the road system in the locality and the probable effect on traffic flow and safety;
(u) the availability and adequacy for the development of the following —
(i) public transport services;
(ii) public utility services;
(iii) storage, management and collection of waste;
(iv) access for pedestrians and cyclists (including end of trip storage, toilet and shower facilities);
(v) access by older people and people with disability;
(i) the potential loss of any community service or benefit resulting from the development other than potential loss that may result from economic competition between new and existing businesses;
(w) the history of the site where the development is to be located;
(x) the impact of the development on the community as a whole notwithstanding the impact of the development on particular individuals;
(z) any submissions received on the application;
() the comments or submissions received from any authority consulted under clause 66;
() any other planning consideration the local government considers appropriate.
STRATEGIC PLAN IMPLICATIONS:
Nil (not applicable at this date and therefore unknown)
CORPORATE BUSINESS PLAN IMPLICATIONS
(Including Workforce Plan and Asset Management Plan Implications)
LONG TERM PLAN IMPLICATIONS:
Nil (not applicable at this date and therefore unknown)
COMMUNITY CONSULTATION:
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Not required.
PLANNING ASSESSMENT
The above-mentioned proposal provides no significant planning issues. The proposal does not seek to change road formatting and entry and exit points. The development will not impact upon local amenity as the proposal does not significantly change building bulk or scale. The proposal complies with the shires Scheme No.4 , including zone objectives and setbacks. Furthermore the proposal is consistent with the ‘matters to be considered’ in the Planning and Development (local planning schemes) Regulations 2015.
It is noted that the Shire of Merriden are in the process of introducing a policy that will allow the Shire to receive royalties from CBH. An outline of this policy is attached.
STAFF RECOMMENDATION
That Council;
Approves the application for development and endorse the attached approved development plans; including:
* 36 m long weighbridge; and
* hut
With the following conditions;
a) the endorsed approved plans shall not be altered without the prior written approval of the shire; and
b) Development approval will expire if the development is not substantially commenced within two years of the approval date.
c) The provision of planning approval is not considered Building approval and such works should be accompanied with a building permit.
COUNCIL RESOLUTION
nd Cr. Reid
MIN 101/19 MOTION - Moved Cr. Leake 2
That Council;
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Approves the application for development and endorse the attached approved development plans; including:
* 36 m long weighbridge; and
* hut
With the following conditions;
a) the endorsed approved plans shall not be altered without the prior written approval of the shire; and
b) Development approval will expire if the development is not substantially commenced within two years of the approval date.
c) The provision of planning approval is not considered Building approval and such works should be accompanied with a building permit.
GENERAL CONDITIONS
a) Planning approval is not considered Building approval, this must be obtained separately through a building permit.
CARRIED 5/0
Reason:
Council was supportive of the general condition being added to the approval
…………………………………………….
DATED:
………………..……………………………..
PRESIDENT SIGNATURE:
Agenda Reference:
11.1.8
Subject:
Loan – Community Resource Centre
Location:
92-94 Massingham Street, Kellerberrin
Applicant:
Community Resource Centre
File Ref:
Ass 458 & Ass 459
Record Ref:
ICR191980
Disclosure of Interest:
Nil
Date:
11 th June 2019
Author:
Mr Raymond Griffiths, Chief Executive Officer
The Chief Executive Officer deferred item 11.1.8 for lack of an Absolute Majority
BACKGROUND
Council's February 2019 Ordinary Meeting of Council – 12 th February 2019
MIN 014/19 MOTION - Moved Cr. Leake 2nd Cr. Reid
That Council:
2. Approve a Loan to the Community Resource Centre of $80,000 for the purchase of the Australian Post Franchise and upgrades to the Facility to enable the purchase with the following conditions;
1. Approve the CRC request to upgrade the buildings at 94-96 Massingham Street to incorporate the Kellerberrin Post Office as presented.
a. Quarterly payments of $5,000 until the loan principle are paid in full.
c. Council is provided with the Monthly Financial Reports of the Community Resource Centre incorporating the Kellerberrin Post Office franchise.
b. Payments commence 30 th April 2019
COMMENT
Council has received correspondence from the Community Resource Centre advising that they no longer require the self-supporting loan from Council as they are able to fund the purchase of the Post Office from their own resources.
Council in February 2019 adopted to approve the funding, therefore Council need to revoke part two of the motion as the Committee still seeks Council's approval for the building modifications.
FINANCIAL IMPLICATIONS
Nil
POLICY IMPLICATIONS
There are no policy implications.
STATUTORY IMPLICATIONS
STRATEGIC PLAN IMPLICATIONS
Nil
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PRESIDENT SIGNATURE:
FUTURE PLAN IMPLICATIONS
Nil
COMMUNITY CONSULTATION
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Chief Executive Officer Deputy Chief Executive Officer
ABSOLUTE MAJORITY REQUIRED
Yes
STAFF RECOMMENDATION
That Council;
a) rescinds Part 2 of Council Resolution MIN 014/19
b) writes to the Community Resource Centre acknowledging receipt of their correspondence notifying Council they no longer require the Self-supporting loan to fund the purchase of the Post Office.
BY ABSOLUTE MAJORITY
Item 11.1.8 was deferred for lack of an Absolute Majority.
Agenda Reference:
11.1.9
Subject:
Shire of Kellerberrin – Private and Confidential Items
Location:
Shire of Kellerberrin
Applicant:
Shire of Kellerberrin
File Ref:
Various
Disclosure of Interest:
N/A
Date:
11 th June 2019
Author:
Mr Raymond Griffiths, Chief Executive Officer
The Chief Executive Officer deferred item 11.1.9 for lack of an Absolute Majority for item 11.1.10
BACKGROUND
Council wish to move behind closed doors to discuss 19/20 Salaries & Wages Budget.
STATUTORY IMPLICATIONS
Local Government Act 1995 (as amended)
5.23. Meetings generally open to public
(1) Subject to subsection (2), the following are to be open to members of the public —
(a) all council meetings; and
(b) all meetings of any committee to which a local government power or duty has been delegated.
(2) If a meeting is being held by a council or by a committee referred to in subsection (1)(b), the council or committee may close to members of the public the meeting, or part of the meeting, if the meeting or the part of the meeting deals with any of the following —
(a) a matter affecting an employee or employees;
(b) the personal affairs of any person;
(c) a contract entered into, or which may be entered into, by the local government and which relates to a matter to be discussed at the meeting;
(d) legal advice obtained, or which may be obtained, by the local government and which relates to a matter to be discussed at the meeting;
(e) a matter that if disclosed, would reveal —
(i) a trade secret;
(ii) information that has a commercial value to a person; or
(iii) information about the business, professional, commercial or financial affairs of a person,
where the trade secret or information is held by, or is about, a person other than the local government;
(f) a matter that if disclosed, could be reasonably expected to —
(i) impair the effectiveness of any lawful method or procedure for preventing, detecting, investigating or dealing with any contravention or possible contravention of the law;
(ii) endanger the security of the local government's property; or
(iii) prejudice the maintenance or enforcement of a lawful measure for protecting public safety;
(g) information which is the subject of a direction given under section 23(1a) of the Parliamentary Commissioner Act 1971; and
(h) such other matters as may be prescribed.
(3) A decision to close a meeting or part of a meeting and the reason for the decision are to be recorded in the minutes of the meeting.
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STAFF RECOMMENDATION
That Council, in accordance with Section 5.23 (2) (a) of the Local Government Act 1995, moves behind closed doors to discuss 19/20 Salaries & Wages.
BY ABSOLUTE MAJORITY
Item 11.1.9 was deferred for lack of an Absolute Majority for item 11.1.10
Agenda Reference:
11.1.10
Subject:
2019/20 – Salaries and Wages Budget
Location:
Shire of Kellerberrin
Applicant:
Shire of Kellerberrin
File Ref:
FIN 04
Record No.:
Disclosure of Interest:
N/A
Date:
30 th May 2019
Author:
Mr Raymond Griffiths, Chief Executive Officer
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Record No.:
Disclosure of Interest:
N/A
Date:
30 th May 2019
Author:
Mr Raymond Griffiths, Chief Executive Officer
This report is confidential under Section 5.23 - 2(c) of the Local Government Act 1995 in that it deals with “a matter affecting an employee or employees”.
The Chief Executive Officer deferred item 11.1.10 for lack of an Absolute Majority.
STAFF RECOMMENDATION
That Council:
1. Receives the Salaries and Wages schedule as presented
2. Instructs Council’s Chief Executive Office to incorporate the Draft Salary and Wages Budget into Council’s 2019/20 Draft Budget.
BY ABSOLUTE MAJORITY
Item 11.1.10 was deferred for lack of an Absolute Majority.
Agenda Reference:
11.1.11
Subject:
Draft Fees and Charges 2019/20
Location:
Shire of Kellerberrin
Applicant:
Shire of Kellerberrin
File Ref:
FIN 04
Record No.:
Disclosure of Interest:
Date:
5 th June 2019
Author:
Kate Dudley, Deputy Chief Executive Officer
BACKGROUND
In accordance with Regulation 5(2) of the Local Government (Financial Management) Regulations, a local government is to undertake a review of its fees and charges regularly; and not less than once in every financial year. This report provides the council with a recommended Schedule of Fees and Charges to apply for the financial year commencing on 01 July 2019, for its consideration.
Council adopts fees and charges as part of its annual budget process, though fees and charges can be imposed or amended at any stage of the financial year provided the proposed changes are advertised accordingly (absolute majority required).
Council considers the annual schedule of fees and charges separately from the budget document to enable more time to contemplate each proposed charge for the forthcoming year.
COMMENT
Statutory fees and charges have been considered in relation to sustainability and are adjusted to reflect current pricing where prudent. Council fees and charges have been considered in relation to current income and use and have been compared to other local government bodies in the region.
The list of draft fees and charges for 2019/20 are available at attachment A.
The significant changes proposed are available below:
Housing- Weekly Rentals
Lot 401 Moore Street is currently occupied by the Dentist Surgery. An increase of the weekly rental fee to $80.00 is proposed to maintain consistency with the fees of other properties (eg Doctor Surgery).
Rubbish Charges
Avon Waste will be increasing their 2019/20 fees by 1.1%. Officers propose a 1.5% increase in the domestic and commercial bins and additional bins. This is consistent with the Fees and Charges revenue extrapolation as comprised within the Councils adopted Long Term Financial Plan.
Event Applications
Event assessments have been split into two categories. Events Assessment fewer than 1000 people will remain at $115.00, event assessments for more than 1000 people will be $250.00 with the addition of Environmental Health Officer time being charges at cost plus admin fees. This proposed change will ensure that staff time is being accounted for when processing more complicated event applications.
Gym Membership
Officers have proposed that the hourly gym fee be removed from the list of fees and changes.
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FINANCIAL IMPLICATIONS
Whilst fees and charges revenue includes items that the Council has no authority to amend, it is important that, where possible, controllable fees and charges are appropriately indexed on an annual basis, to assist in offsetting the increasing costs of providing associated services. This may include increases beyond normal indexation in particular cases in line with Section 6.17 of the Act.
POLICY IMPLICATIONS
There are no direct policy implications.
STATUTORY IMPLICATIONS
Local Government Act 1995 (as amended)
6.16. Imposition of fees and charges
(1) A local government may impose* and recover a fee or charge for any goods or service it provides or proposes to provide, other than a service for which a service charge is imposed.
* Absolute majority required.
(2) A fee or charge may be imposed for the following —
(a) providing the use of, or allowing admission to, any property or facility wholly or partly owned, controlled, managed or maintained by the local government;
(b) supplying a service or carrying out work at the request of a person;
(c) subject to section 5.94, providing information from local government records;
(d) receiving an application for approval, granting an approval, making an inspection and issuing a licence, permit, authorisation or certificate;
(e) supplying goods;
(f) such other service as may be prescribed.
(3) Fees and charges are to be imposed when adopting the annual budget but may be —
(a) imposed* during a financial year; and
(b) amended* from time to time during a financial year.
* Absolute majority required.
6.17. Setting level of fees and charges
(1) In determining the amount of a fee or charge for a service or for goods a local government is required to take into consideration the following factors —
(a) the cost to the local government of providing the service or goods;
(b) the importance of the service or goods to the community; and
(c) the price at which the service or goods could be provided by an alternative provider.
(2) A higher fee or charge or additional fee or charge may be imposed for an expedited service or supply of goods if it is requested that the service or goods be provided urgently.
(3) The basis for determining a fee or charge is not to be limited to the cost of providing the service or goods other than a service —
(c) prescribed under section 6.16(2)(f), where the regulation prescribing the service also specifies that such a limit is to apply to the fee or charge for the service.
(4) Regulations may —
(a) prohibit the imposition of a fee or charge in prescribed circumstances; or
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(a) under section 5.96;
(b) under section 6.16(2)(d); or
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(b) limit the amount of a fee or charge in prescribed circumstances.
STRATEGIC COMMUNITY PLAN IMPLICATIONS
This matter aligns with Goal 13 “Council leads the organisation and engages with the community in an accountable and professional manner” and particularly 13.1 Develop and maintain our integrated planning documents.
CORPORATE BUSINESS PLAN IMPLICATIONS
(Including Workforce Plan and Asset Management Plan Implications)
LONG TERM FINANCIAL PLAN IMPLICATIONS
Projected Fees and Charges are included in the Shire of Kellerberrin Long Term Financial Plan as a 1.5% increase annually.
ABSOLUTE MAJORITY REQUIRED
No
STAFF RECOMMENDATION
That Council adopts the fees and charges for 2019/20 as presented to be included in the 2019/20 Annual Budget.
COUNCIL RESOLUTION
MIN102/19 MOTION - Moved Cr. Steber
2 nd Cr. Reid
That Council adopts the fees and charges for 2019/20 as presented with the addition of;
1. Unit 1/72 Hammond Street and Unit 2/72 Hammond Street rent set by GROH;
2. An increase of the annual gym membership to $150;
3. An increase to the monthly gym membership to $60; and
4. Standpipe Water Supply increase to $10.50 per kiloliter.
for inclusion in the 2019/20 Annual Budget.
CARRIED 5/0
Reason:
The Council was in agreement that the amendments to the staff recommendation is reflective of current market prices.
BACKGROUND
Please see below the Direct Debit List and Visa Card Transactions for the month of May 2019.
Municipal Direct Debit List
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Visa Transactions
FINANCIAL IMPLICATIONS (ANNUAL BUDGET)
Financial Management of 2018/2019
POLICY IMPLICATIONS - Nil
STATUTORY IMPLICATIONS
34. Financial activity statement report — s. 6.4
Local Government (Financial Management) Regulations 1996
(1A) In this regulation —
committed assets means revenue unspent but set aside under the annual budget for a specific purpose.
(1) A local government is to prepare each month a statement of financial activity reporting on the revenue and expenditure, as set out in the annual budget under regulation 22(1)(d), for that month in the following detail —
(a) annual budget estimates, taking into account any expenditure incurred for an additional purpose under section 6.8(1)(b) or (c);
(b) budget estimates to the end of the month to which the statement relates;
(c) actual amounts of expenditure, revenue and income to the end of the month to which the statement relates;
(d) material variances between the comparable amounts referred to in paragraphs (b) and (c); and
(e) the net current assets at the end of the month to which the statement relates.
(2) Each statement of financial activity is to be accompanied by documents containing —
(a) an explanation of the composition of the net current assets of the month to which the statement relates, less committed assets and restricted assets;
(b) an explanation of each of the material variances referred to in subregulation (1)(d); and
(c) such other supporting information as is considered relevant by the local government.
(3) The information in a statement of financial activity May be shown —
(a) according to nature and type classification; or
(b) by program; or
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PRESIDENT SIGNATURE:
(c) by business unit.
(4) A statement of financial activity, and the accompanying documents referred to in subregulation (2), are to be —
(a) presented at an ordinary meeting of the council within 2 months after the end of the month to which the statement relates; and
(b) recorded in the minutes of the meeting at which it is presented.
(5) Each financial year, a local government is to adopt a percentage or value, calculated in accordance with the AAS, to be used in statements of financial activity for reporting material variances.
STRATEGIC PLAN IMPLICATIONS
Nil
CORPORATE BUSINESS PLAN IMPLICATIONS
Nil
TEN YEAR FINANCIAL PLAN IMPLICATIONS
Nil
COMMUNITY CONSULTATION
Nil
ABSOLUTE MAJORITY REQUIRED
No
STAFF RECOMMENDATION
That the Direct Debit List for the month of May 2019 comprising;
a) Municipal Fund – Direct Debit List
c) Visa Card Transactions
b) Trust Fund – Direct Debit List
Be adopted.
COUNCIL RESOLUTION
nd Cr. Leake
MIN103/19 MOTION - Moved Cr. Steber 2
That the Direct Debit List for the month of May 2019 comprising;
a) Municipal Fund – Direct Debit List
c) Visa Card Transactions
b) Trust Fund – Direct Debit List
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Be adopted.
CARRIED 5/0
BACKGROUND
Accounts for payment from 1 st May 2019 – 31 st May 2019
TRUST
COMMENT
During the month of May 2019, the Shire of Kellerberrin made the following significant purchases:
Bitutek Pty Ltd
Two coat primerseal C170 bitumen with up to 5% cutback @ 1.7L/m2 and 14 & 10mm, Additional product used above quoted binder application rates, Spray & Cover single coat 95/5 C170 bitumen @ 1.30L/m2 and 7mm aggregate., Two coat primerseal C170 bitumen with up to 5% cutback @ 1.7L/m2 and 14 & 10mm, Additional product used above quoted binder application rates, Two coat primerseal C170 bitumen with up to 5% cutback @ 1.7L/m2 and 14 & 10mm
$ 123,619.55
Deputy Commissioner Of Taxation
GST Debtors, PAYG Tax, GST Creditors, Fuel Tax Credits
WCS Concrete Pty Ltd
Supply, Delivery & Laying of 32MPA concrete to North Baandee Rd for floodway, Local Provider within 60kms of Kellerberrin, Supply and Lay N25 coloured concrete (Beige) with F52 mesh in February 2019 as per Quoted Job No 103264, Supply and Lay N20 concrete for footings 8mm 3 bar trench mesh in February 2019 as per Quoted Job No 103264, Supply & Delivery of 3 mts stabe 6% for floodway pipes extension at North Baandee project, 4 x 750mm concrete pipes for floodway plus delivery
Mineral Crushing Services WA PTY LTD
Purchase of 187.25 tonne of 14mm & 60.20 tonnes of 10mm aggregate for Baandee North Rd, Purchase of 227.50 tonnes of 10mm aggregate for Kwolyin West, Purchase of 155.45 tonnes of 10mm & 75.65 tonnes of 14mm aggregate for Baandee North Rd, Purchase of 124.55 tonnes of 10mm & 87.10 tonnes of 14mm aggregate for Baandee North Rd, Purchase of 101.60 tonnes of cracker dust for GROH project, Purchase of 47.80 tonnes of 10mm & 115.95 tonnes of 14mm aggregate for Baandee North Rd
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DATED:
$ 51,710.00
$ 40,940.90
$ 39,464.04
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PRESIDENT SIGNATURE:
KLM Mining & Industrial Pty Ltd
Supply & Install 35ml synthetic turf, 15 Hammond Street, GROH housing
$ 30,030.00
Western Stabilisers
$ 21,027.69
Wet Mixing & Mobilisation at Kwolyin West Rd project
…………………………………………….
DATED:
PRESIDENT SIGNATURE: ………………..……………………………..
Moore Stephens
Compilation of Monthly Financial Statements as per Quote dated 26 March 2019, Including EOM review service, Additional work at EOM to reconcile changes to the opening balance items, Compilation and submission of Monthly Business Activity Statement as per Quote dated 26 March 2019, Rates processing service for April 19 Shire of Kellerberrin 2018/2019 Operating Budget
$ 5,863.55
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POLICY IMPLICATIONS
Nil
STATUTORY IMPLICATIONS
Local Government (Financial Management) Regulations 1996
11. Payment of accounts
(1) A local government is to develop procedures for the authorisation of, and the payment of, accounts to ensure that there is effective security for, and properly authorised use of —
(a) cheques, credit cards, computer encryption devices and passwords, purchasing cards and any other devices or methods by which goods, services, money or other benefits may be obtained; and
(b) Petty cash systems.
(2) A local government is to develop procedures for the approval of accounts to ensure that before payment of an account a determination is made that the relevant debt was incurred by a person who was properly authorised to do so.
(3) Payments made by a local government —
(a) Subject to sub-regulation (4), are not to be made in cash; and
(b) Are to be made in a manner which allows identification of —
(i) The method of payment;
(ii) The authority for the payment; and
(iii) The identity of the person who authorised the payment.
(4) Nothing in sub-regulation (3) (a) prevents a local government from making payments in cash from a petty cash system.
[Regulation 11 amended in Gazette 31 Mar 2005 p. 1048.]
12. Payments from municipal fund or trust fund
(1) A payment may only be made from the municipal fund or the trust fund —
(a) If the local government has delegated to the CEO the exercise of its power to make payments from those funds — by the CEO; or
(b) Otherwise, if the payment is authorised in advance by a resolution of the council.
(2) The council must not authorise a payment from those funds until a list prepared under regulation 13(2) containing details of the accounts to be paid has been presented to the council.
[Regulation 12 inserted in Gazette 20 Jun 1997 p. 2838.]
13. Lists of accounts
(1) If the local government has delegated to the CEO the exercise of its power to make payments from the municipal fund or the trust fund, a list of accounts paid by the CEO is to be prepared each month showing for each account paid since the last such list was prepared —
(a) The payee's name;
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(b) The amount of the payment;
(c) The date of the payment; and
(d) Sufficient information to identify the transaction.
(2) A list of accounts for approval to be paid is to be prepared each month showing —
(a) For each account which requires council authorisation in that month —
(i) The payee’s name;
(ii) The amount of the payment; and
(iii) Sufficient information to identify the transaction; and
(b) The date of the meeting of the council to which the list is to be presented.
(3) A list prepared under sub-regulation (1) or (2) is to be —
(a) Presented to the council at the next ordinary meeting of the council after the list is prepared; and
(b) Recorded in the minutes of that meeting.
STRATEGIC COMMUNITY PLAN IMPLICATIONS
Nil
CORPORATE BUSINESS PLAN IMPLCATIONS (Including Workforce Plan and Asset Management Plan Implications)
LONG TERM FINANCIAL PLAN IMPLCATIONS
Nil
COMMUNITY CONSULTATION
Nil
ABSOLUTE MAJORITY REQUIRED
No
STAFF RECOMMENDATION
That Council notes that during the month of May 2019, the Chief Executive Officer made the following payments under council’s delegated authority as listed in appendix A.
1. Municipal Fund payments totalling $ 454,207.08 on vouchers EFT , CHQ, Direct payments
2. Trust Fund payments totalling $ 700.00 on vouchers EFT, CHQ, Direct payments
COUNCIL RESOLUTION
MIN104/19 MOTION - Moved Cr. Steber 2nd Cr. Leake
That Council notes that during the month of May 2019, the Chief Executive Officer made the following payments under council's delegated authority as listed in appendix A.
1. Municipal Fund payments totalling $ 454,207.08 on vouchers EFT , CHQ, Direct payments.
2. Trust Fund payments totalling $ 700.00 on vouchers EFT, CHQ, Direct payments.
CARRIED 5/0
Agenda Reference:
11.1.14
Subject:
Financial Management Report for May 2019
Location:
Shire of Kellerberrin
Applicant:
Shire of Kellerberrin
File Ref:
N/A
Record Ref:
N/A
Disclosure of Interest:
N/A
Date:
12 June 2019
Author:
Kate Dudley, Deputy Chief Executive Officer
The Chief Executive Officer deferred item 11.1.14 for lack of an Absolute Majority.
BACKGROUND
Enclosed is the Monthly Financial Report for the month of May 2019.
FINANCIAL IMPLICATIONS (ANNUAL BUDGET)
Financial Management of 2018/2019
POLICY IMPLICATIONS
Nil
STATUTORY IMPLICATIONS
34. Financial activity statement report — s. 6.4
Local Government (Financial Management) Regulations 1996
(1A) In this regulation —
committed assets means revenue unspent but set aside under the annual budget for a specific purpose.
(1) A local government is to prepare each month a statement of financial activity reporting on the revenue and expenditure, as set out in the annual budget under regulation 22(1)(d), for that month in the following detail —
(a) annual budget estimates, taking into account any expenditure incurred for an additional purpose under section 6.8(1)(b) or (c);
(b) budget estimates to the end of the month to which the statement relates;
(c) actual amounts of expenditure, revenue and income to the end of the month to which the statement relates;
(d) material variances between the comparable amounts referred to in paragraphs (b) and
(c); and
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(e) the net current assets at the end of the month to which the statement relates.
(2) Each statement of financial activity is to be accompanied by documents containing —
(a) an explanation of the composition of the net current assets of the month to which the statement relates, less committed assets and restricted assets; and
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(b) an explanation of each of the material variances referred to in subregulation (1)(d).
(3) The information in a statement of financial activity be shown —
(a) according to nature and type classification; or
(b) by program; or
(c) by business unit.
(4) A statement of financial activity, and the accompanying documents referred to in subregulation (2), are to be —
(a) presented at an ordinary meeting of the council within 2 months after the end of the month to which the statement relates; and
(b) recorded in the minutes of the meeting at which it is presented.
(5) Each financial year, a local government is to adopt a percentage or value, calculated in accordance with the AAS, to be used in statements of financial activity for reporting material variances.
STRATEGIC PLAN IMPLICATIONS
Nil
CORPORATE BUSINESS PLAN IMPLICATIONS
Nil
TEN YEAR FINANCIAL PLAN IMPLICATIONS
Nil
COMMUNITY CONSULTATION
Nil
ABSOLUTE MAJORITY REQUIRED
Yes
STAFF RECOMMENDATION
That the Financial Report for the month of May 2019 comprising;
a) Statement of Financial Activity
b) Note 1 to Note 13
Be adopted.
BY ABSOLUTE MAJORITY
Item 11.1.14 was deferred for lack of an Absolute Majority.
DEVELOPMENT SERVICES – AGENDA ITEM
Agenda Reference:
11.2.1
Subject:
Building Returns: May 2019
Location:
Shire of Kellerberrin
Applicant:
Various
File Ref:
BUILD06
Disclosure of Interest:
Nil
Date:
4 th June 2019
Author:
Raymond Griffiths, Chief Executive Officer
BACKGROUND
Council has provided delegated authority to the Chief Executive Officer, which has been delegated to the Building Surveyor to approve of proposed building works which are compliant with the Building Act 2011, Building Code of Australia and the requirements of the Shire of Kellerberrin Town Planning Scheme No.4.
COMMENT
1. There were four (4) applications received for a "Building Permit" during the May period. A copy of the "Australian Bureau of Statistics appends".
2. There was seven (7) "Building Permits" issued in the May period. See attached form "Return of Building Permits Issued".
FINANCIAL IMPLICATIONS (ANNUAL BUDGET)
There is income from Building fees and a percentage of the levies paid to other agencies. ie: "Building Services Levy" and "Construction Industry Training Fund" (when construction cost exceeds $20,000)
POLICY IMPLICATIONS
Nil
STATUTORY IMPLICATIONS
* Building Act 2011
* Shire of Kellerberrin Town Planning Scheme 4
STRATEGIC COMMUNITY PLAN IMPLICATIONS
Nil
CORPORATE BUSINESS PLAN IMPLCATIONS (Including Workforce Plan and Asset Management Plan Implications)
LONG TERM FINANCIAL PLAN IMPLCATIONS
Nil
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PRESIDENT SIGNATURE:
COMMUNITY CONSULTATION
Building Surveyor
Building Contractors
Owners
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ABSOLUTE MAJORITY REQUIRED
No
STAFF RECOMMENDATION
That Council
1. Acknowledge the "Return of Proposed Building Operations" for the May 2019 period.
2. Acknowledge the "Return of Building Permits Issued" for the May 2019 period.
COUNCIL RESOLUTION
MIN105/19 MOTION - Moved Cr. Reid
2 nd Cr. Steber
That Council
1. Acknowledge the "Return of Proposed Building Operations" for the May 2019 period.
2. Acknowledge the "Return of Building Permits Issued" for the May 2019 period.
CARRIED 5/0
13. NEW BUSINESS OF AN URGENT NATURE INTRODUCED BY DECISION OF MEETING
Agenda Reference:
13.1.1
Subject:
Late Item List of Preferred Suppliers 2019/2022
Location:
Shire of Kellerberrin
Applicant:
Shire of Kellerberrin
File Ref:
Record No.:
Disclosure of Interest:
Yes
Date:
17 June 2019
Author:
Kate Dudley, Deputy Chief Executive Officer
Signature of Author:
________________________________________
Signature of CEO:
Attachment A is confidential under Section 5.23 - 2(c) of the Local Government Act 1995 in that it deals with "a contract entered into or which may be entered into, by the local government".
The Chief Executive Officer deferred item 13.1.1 for lack of a quorum.
BACKGROUND
Council's over the previous financial years have been advised at audit time that the tender threshold of $150,000 for purchases can be reflected across the use of a sole contractor over a period equating to $150,000 therefore it would become best practice to Tender the contractor service out and either accept a sole tender or have a Preferred Suppliers list for the specified contract works.
The idea of Tender threshold was previously thought by officers to only be for the financial year that the expenditure was to occur in. However recent advice has come to light that it is now recommended that you should undertake a review of your creditors and that any creditor that has history of reaching such funds over a three year period and it is foreseeable that this could occur again then this should be tendered out.
The practice we believe could be seen to be best practice not necessarily regulatory. However, the process does help with day to day operations and ease of appointing contractors to undertake works, understanding the costs up front without quoting.
COMMENT
Council in reviewing its areas of expenditure identified that Council expends considerable funds on Earthmoving contractors throughout any year and over a three year period therefore a tender was called for a panel of pre-qualified preferred suppliers for the three year period commencing 1 st July 2019 to 30 th June 2022 covering the following areas:
a. Contract Haulage
c. Prime Mover
b. Earthmoving Gravel Push-up
i. Truck Only
iii. Semi Combo
ii. Trailer/s Only
iv. Long Vehicle Combo
d. Plant Hire (Specify Type of Plant)
e. Engineering services;
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Council advertised the Tender on the 10 th May 2019 in "The West Australian" and additional adverts in the local pipeline and Council's facebook page.
Council issued out 27 information packs to prospective contractors and at the closing of tender submissions on Friday 14 th June 2019 Council received thirteen submissions in response to the Request for Tender. Submissions were received from:
1. Rockway Contracting
3. R Munns Engineering Consulting Services
2. May Day Earthmoving
4. Martin William Grant
6. Smith Earthmoving
5. Moonspark Holdings Pty Ltd, T/as Peak Transport
7. Innes & Co
9. Brooks Hire
8. Triplains Pty Ltd ATF T/As L & L Steber
10. Tricoast Holdings Pty Ltd
12. Sam Williams
11. Mineral Crushing Services (WA) Pty Ltd
13. Youlie & Sons Spreading
The submissions received from the abovementioned contractors are for various parts of the specified areas, some contractors are for Plant hire only etc.
The review process of all submissions has been completed by the Tender Evaluation Panel, that comprised of the Deputy Chief Executive Officer. The original panel consisted of:
* Mr Raymond Griffiths, Chief Executive Officer
* Mr Mick Jones, Manager Works and Services
Council on the receipt of the tender submissions opened all submissions and reviewed the referees and recognized that both staff members listed above where listed as referees therefore both members removed themselves from the evaluation process leaving the Deputy CEO to review the tenders.
The assessments of the tenders were based on the following Qualitative Criteria as included in the Request for Tender Document:
| Description of Qualitative Criteria | Weighting |
|---|---|
| | % |
| A) Capabilities Outline the key services, skills, personnel and equipment that your company can provide the Shire of Kellerberrin. i. Key services and skills (10%) ii. Key personnel (10%) iii. Relevant equipment (5%) | 25% |
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FINANCIAL IMPLICATIONS
Purchasing under this contract will be in accordance with works program outlined in the Annual Budget 2019/20.
POLICY IMPLICATIONS
2.3 Purchasing and Tendering Policy
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1. PURCHASING
The Shire of Kellerberrin (the "Shire") is committed to delivering the objectives, principles and practices outlined in this Policy, when purchasing goods, services or works to achieve the Shire strategic and operational objectives.
This policy complies with the Local Government (Functions and General) Regulations 1996 (The Regulations as amended in March 2007 & LGA 1995 as amended)
1.1 OBJECTIVES
The Shire's purchasing activities will achieve:
* The attainment of best value for money;
* Sustainable benefits, such as environmental, social and local economic factors are considered in the overall value for money assessment;
* Consistent, efficient and accountable processes and decision-making;
* Fair and equitable competitive processes that engage potential suppliers impartially, honestly and consistently;
* Probity and integrity, including the avoidance of bias and of perceived and actual conflicts of interest;
* Compliance with the Local Government Act 1995, Local Government (Functions and General) Regulations 1996, as well as any relevant legislation, Codes of Practice, Standards and the Shire's Policies and procedures;
* Risks identified and managed within the Shire's Risk Management framework;
* Records created and maintained to evidence purchasing activities in accordance with the State Records Act and the Shire's Record Keeping Plan;
* Confidentiality protocols that protect commercial-in-confidence information and only release information where appropriately approved.
1.2 ETHICS & INTEGRITY
All officers and employees of the Local Government shall observe the highest standards of ethics and integrity in undertaking purchasing activity and act in an honest and professional manner that supports the standing of the Local Government.
The following principles, standards and behaviors must be observed and enforced through all stages of the purchasing process to ensure the fair and equitable treatment of all parties:
1. Full accountability shall be taken for all purchasing decisions and the efficient, effective and proper expenditure of public monies based on achieving value for money;
2. All purchasing practices shall comply with relevant legislation, regulations, and requirements consistent with the Local Government policies and code of conduct;
3. Purchasing is to be undertaken on a competitive basis in which all potential suppliers are treated impartially, honestly and consistently;
4. All processes, evaluations and decisions shall be transparent, free from bias and fully documented in accordance with applicable policies and audit requirements;
5. Any actual or perceived conflicts of interest are to be identified, disclosed and appropriately managed; and
6. Any information provided to the Local Government by a supplier shall be treated as commercial-in-confidence and should not be released unless authorised by the supplier or relevant legislation.
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1.3 VALUE FOR MONEY
Value for money is an overarching principle governing purchasing that allows the best possible outcome to be achieved for the Local Government. It is important to note that compliance with the specification is more important than obtaining the lowest price, particularly taking into account user requirements, quality standards, sustainability, life cycle costing, and service benchmarks. An assessment of the best value for money outcome for any purchasing should consider:
1. All relevant whole-of-life costs and benefits whole-of-life cycle costs (for goods) and whole of contract life costs (for services) including transaction costs associated with acquisition, delivery, distribution as well as other costs such as but not limited to holding costs, consumables, deployment, maintenance and disposal.
2. The technical merits of the goods or services being offered in terms of compliance with specifications, contractual terms and conditions and any relevant methods of assuring quality.
3. Financial viability and capacity to supply without risk of default. (Competency of the prospective suppliers in terms of managerial and technical capabilities and compliance history).
4. A strong element of competition in the allocation of orders or the awarding of contracts. This is achieved by obtaining a sufficient number of competitive quotations wherever practicable.
5. A strong element of competition by obtaining a sufficient number of competitive quotations wherever practicable and consistent with this Policy;
6. The safety requirements and standards associated with both the product design and the specification offered by suppliers and the evaluation of risk arising from the supply, operation and maintenance;
7. The environmental, economic and social benefits arising from the goods, services or works required, including consideration of these benefits in regard to the supplier's operations, in accordance with this Policy and any other relevant Shire Policy; and
8. Providing opportunities for businesses within the Shire's boundaries to quote wherever possible.
Where a higher priced conforming offer is recommended, there should be clear and demonstrable benefits over and above the lowest total priced, conforming offer.
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1.4 PURCHASING THRESHOLDS AND PRACTICES
The Shire must comply with all requirements, including purchasing thresholds and processes, as prescribed within the Regulations, this Policy and associated purchasing procedures in effect at the Shire.
1.4.1. Policy Purchasing Value Definition
Purchasing value for a specified category of goods, services or works is to be determined upon the following considerations:
* Exclusive of Goods and Services Tax (GST); and
* Where a contract is in place, the actual or expected value of expenditure over the full contract period, including all options to extend specific to a particular category of goods, services or works. OR
* Where there is no existing contract arrangement, the Purchasing Value will be the estimated total expenditure for a category of goods, services or works over a minimum three year period. This period may be extended to a maximum of 5 years only where the supply category has a high risk of change i.e. to technology, specification, availability or the Shire's requirements (Regulation 12).
The calculated estimated Purchasing Value will be used to determine the applicable threshold and purchasing practice to be undertaken.
1.4.2. Purchasing from Existing Contracts
The Shire will ensure that any goods, services or works required that are within the scope of an existing contract will be purchased under that contract.
1.4.3. Table of Purchasing Thresholds and Practices
This table prescribes Purchasing Value Thresholds and the applicable purchasing practices which apply to the Shire's purchasing activities:
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STATUTORY IMPLICATIONS
Local Government Act 1995 (As Amended)
Section 3.57
(1) A local government is required to invite tenders before it enters into a contract of a prescribed kind under which another person is to supply goods or services.
(2) Regulations may make provision about tenders.
Local Government (Function and General) Regulations No. 2 2005
Regulations 11 to 24 deals with tenders for providing goods and services in detail.
Annual Compliance Audit Return – certification of compliance relating to tender processes and accountability toward the advertising and consideration of tenders received and awarded.
STRATEGIC COMMUNITY PLAN IMPLICATIONS
Strategic Priority 2.1
Provide sustainable and well managed community assets and infrastructure for the long term enjoyment by our residents and visitors.
| Goal 2.1.1 | To maintain, upgrade and renew assets to ensure condition and |
|---|---|
| | performance remain at the level required. |
| Council’s Role | |
| Goal 2.1.2 | To ensure new assets are designed and operated to incorporate the |
| | principles of value for money and life cycle costing. |
| Council’s Role | |
| Goal 2.1.3 | To collaborate with groups to investigate opportunities to improve road |
| | and transport network and connectivity between the Shire and beyond. |
| Council’s Role | |
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CORPORATE BUSINESS PLAN IMPLICATIONS
(Including Workforce Plan and Asset Management Plan Implications)
LONG TERM FINANCIAL PLAN IMPLICATIONS
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Purchasing under this contract will be in accordance with works program outlined in the Long Term Financial Plan.
ABSOLUTE MAJORITY REQUIRED
No
STAFF RECOMMENDATION
That Council
1. adopts the contractors list supplied as the Panel of pre-qualified suppliers for a three year term commencing 1 st July 2019 to 30 th June 2022 for the following categories;
a. Contract Haulage
b. Earthmoving Gravel Push-up
c. Prime Mover
i. Truck Only
ii. Trailer/s Only
iii. Semi Combo
iv. Long Vehicle Combo
d. Plant Hire (Specify Type of Plant)
e. Engineering services;
2. Advises the contractors that they qualify for the panel.
Item 13.1.1 was deferred for lack of a quorum
14 ELECTED MEMBERS OF MOTIONS OF WHICH PREVIOUS NOTICE HAS BEEN GIVEN
Nil
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15 CLOSURE OF MEETING
The Presiding Member closed the meeting at 5.36pm and thanked members for their attendance.
NEXT MEETING DATE
Ordinary Council Meeting Tuesday, 23 rd July 2019
|
A
Trade Science Inc.
FULL PAPER BTAIJ, 2(2), 2008 [97-100]
BioTechnology BioTechnology
An Indian Journal
Emerging antibiotic resistance of Pseudomonas aeruginosa isolated from various drinking water sources of Rewa city (M.P)
1
T.Leelanath 1 *, K.Vasundhara 2
2
J.J.College of Arts and Science, Bharathidasan University, Pudukkottai, Tamilnadu , (INDIA)
E-mail: email@example.com, firstname.lastname@example.org
Hindu college, Department of Biotechnology, Pudukkottai, Tamilnadu , (INDIA)
Received: 25
th
April, 2008 ; Accepted: 30
th
April, 2008
BSTRACT
In the present study, seven water samples from various drinking water sources situated in rewa city were collected in the months of Sept. 2006 to June 2007. In which the three water samples showed the presence of pathogenic bacteria Pseudomonas aeruginosa, where as single strain of pseudomonas aeruginosa was isolated and identified from each of the three water samples thus a total three Pseudomonas aeruginosa, strains were observed for their antimicrobial sensitivity using various antibiotics viz., Amikacin, Benzylpenicllin, Cefotaxime, Chloramphenicol, Gentamicin, Streptomycin and Tetracycline Antibiogram of these three strains of Pseudomonas aeruginosa, showed that all the strains were found sensitive to chloramphenicol, and Streptomycin, were as equal percentage of strains were observed both sensitive and resistance to Benzylpencillin and Cofotaxine, but 66.6% strains were found also resistance to Getamicin. Thus high incidence of bacterial resistance to antibiotics was seen in drinking water.
2008 Trade Science Inc. - INDIA
INTRODUCTION
With increasing environmental pollution it is absolutely necessary to ascertain the potability of water before used for human consumption . water is one of the major carrier of several diseases of bacteriological orgins and hence careful assessment of bacteriological origins and hence careful assessment of bacteriological quality of water is most essential.
Intestinal micro-organisms from warm blooded animals including man enter river streams and large bodies of water contributing to the pollution of the environment. Among these intestinal microbes are the coliforms. Pathogenic forms may be in evidence but the numbers and the types will vary with the geographic area, the state of community health, the nature and degree of sewage treatment and physiological state of the organ- isms [11] .
Sewage polluted water is often a common source
The incidence of Pseudomonas aeruginosa in human faecal specimens was determined by Sutter et al. [36] . About twelve percent of the healthy adults or employees in medical or dental school discharged the organisms in number upto 10 g-1of faeces. It appeared persistently in some individual but only transiently in others. Bondey [6] recovered Pseudomonas aeruginosa from sewage and polluted fresh water and sea water then sufficiently large numbers of thermo tolerant faecal coliforms were present. More recently this view was sustained by Drake [16] , Hoadly [20] , Cabelli, Kennedy and Levin [7] and Jawed [22] , these workers had observed a higher incidence of this organism in heavily polluted water than in water in which the level of pollution was relatively low.
F
ULL
P
APER
During recent years, the distribution of antibiotic resistant strains of Enterobacteriaceae in aquatic has been studied in different parts of the world [19,5,26] . Only few reports are available on the antibiotic resistance among Pseudomonas aeruginosa strains isolated from various drinking water sources in India. Therefore, the present study was undertaken to see the antibiotic resistance of Pseudomonas aeruginosa from drinking water sources of Rewa city in Madhya Pradesh.
of disease in man and animals [12] . Several diseases from water borne pathogens out breaks are due to the presence of drug resistant enertic pathogens carrying " R " factors which which results in deaths due to failure of patients to respond to treat ment with antibiotics [2,18] . The distribution of antibiotic resistant bacteria in aquatic environment mainly in surface water has been investigated [25,19] and the significance of polluted water as route for the spreading of the antibiotic resistance in the environment has been realized.
MATERIALS AND METHODS
The seven drinking water samples were collected from different places such as S1-Khanna Chowk, S2Bus Stand, S3-Tatahati, S4- Hospital Chowk, S6Municipal Water and S7-University Campus. The kind of water sources were tube wells except Municipal tap water (S6).
Isolation of Pseudomonas aeruginosa was done by the method described by Pandya et al., (1975). The confirmation of P.aeruginosa was done by the Oxdiase test and other biochemical tests described by Cappucienno et al., [8] and the strains were maintained in the nutrient agar medium with 8% dettol.
Antimicrobial sensitivity of Pseudomonas aeruginosa
Antibiotic disks: Antibiotic disks of seven antibiotics with following potency used Amikacin (30 g), Benzylpencillin (10 g), Cefotaxime (30 g), Chloramphenicol (30 g), Gentamicin (10 g), Streptomycin (10 g), Tetracycline (30 g) of each 6 mm. disk.
The antibiotic susceptibility patterns of isolated strains were determined by disk diffusion method [3] . After overnight incubation period the zone diameter were measured. The results were then interpreted ac-
An Indian Journal BioTechnology
BioTechnology
TABLE 1: Antimicrobial sensitivity of isolated Pseudomonas aeruginosa strains from drinking water sources of Rewa city
Antibiotics: Ak-Amikasin, BP-Benzylpenicillin, CE-Cefotaxime, C-Chloramphenicol, G-Gentamicin, S-Streptomycin, TTetracyline, S-sensitive, PR-Partial resistance, R-Resistance; Water samples: S1-Khanna chowk (Tube Well), S2-Bus stand (Tube well), S3-Tatahati (Tube well)
TABLE 2: Percentage of sensitivity, resistance and partial resistance of Pseudomonas aeruginosa drinking water isolates to various antibiotics
cording to the critical diameter prescribed by national committee for clinical Laboratory standard [29] .
RESULTS
Present study deals with antimicrobial sensitivity of various antibiotics against isolated Pseudomonas aeruginosa. Only three drinking water samples of S1, S2, S4, have given positive results for the presence of Pseudomonas aeruginosa and were subjected to antimicrobial sensitivity test against seven antibiotics. Antibiogram of P.aeruginosa water isolates is shown in TABLE 1 and percentage of sensitivity, partial resistance and resistance response shown in TABLE 2.
All the strains of Pseudomonas aeruginosa tested were resistance to Benzylpenicillin and Cefotaxime, among aminoglycosides 66.66% strains was found resistance to Gentamicin. In the case of other antibiotics 33.33% isolated strains were found partial resistance and showed resistance to Amikacin and Tetracycline. But all the strains were found sensitive to Chloramphenicol and streptomycine.
DISCUSSION
Multiple drug resistance of P.aeruginosa strains have been reported to -lactum (Benzylpencillin) antibiotics as observed in present study was also been reported earlier by S.Jain, [21] . In the same way the strains were found resistance to Tetracycline in present study were also highly resistance reported earlier by chandler and Krishnapalli et al., [10] . Resistance to -lactum antibiotics due to R-factors impart in the organism, the capacity of producing -lactamase and induce some cell wall changes which result in making them resistant [37] . Among aminoglycosides 66.6% strains were found resistance to Gentamicin in present study. But majority of strains were found sensitive in other workers [21,13,10] observation. S.Jain [21] , reported that 96.8% strains were found sensitive to Amikacin, however in present study the strains observed resistance. Resistant to aminoglyco side antibiotics were due to their enzymatic inactivation [28] .
Majority of strains resistant to widely used amino glycosides likes Kanamycin and Streptomycin [4,37,14,23] . But in the present study all the strains were observed sensitive to streptomycin sensitivity to streptomycin due to the inhibition of protein synthesis [33] .
Dutta et al., [15] have reported that 83.3% to 95% strains were found resistance against Chloramphenicol. But in the Present study all the strains were found sensitive. Celma, Monro and Vezquez [9] described the sensitivity to chloramphenicol due to the inhibition of protein synthesis process.
Wide spread use of antibiotics with out professional could be one reasons in favoring the increased incidence of drug resistance bacteria in water [17] . Studies of Kelch and Lee et al. [24] suggest that water treatment could play selection process causing an increase in antibiotic resistance of bacteria in drinking water.
The studies of Alkhar river (Baghdad) and various other studies show higher resistance in pollution indicator bacteria for Ampilcillin, as Ampilcillin is known to be common in sample of untreated sewage [30] . However it was shown the clinical isolates of bacteria P.aeruginosa and E.coli in Baghdad [1] . Simlar results also observed with Benzylpenicilline but P.aeruginosa strains
The incidences of antibiotic resistant strains vary significantly in water. No obvious connection with the water source or level of contamination has been reported. The incidence of resistance strains was found high in untreated domestic sewage and brakish water and lake water which were also found in ground water in present study.
ULL APER
It is well known that misuse of antibiotics is a major factor affecting the emergence of antibiotic resistance in bacteria [17] .
F P were isolated from contaminated ground water.
CONCLUSION
This study may explain the emergency of antibiotic(s) resistant pollution indicator bacteria in the river water and underground water system.
REFERENCES
[1] Z.Al-Doori, M.Kaddouri, T.Al-Naimi, S.Hamad, N.Alin, Z.AL-Ani, K.Murad; Comparative studies of multiple antibiotic resistance of Pseudomonas aeruginosa among war injured and common patients. Proceedings of XXV International Congress of military Medicines and pharmacy, Baghad, 109-117 (1984).
[3] A.W.Bauer, W.W.M.Kirby, J.C.Sherris, M.Truck; Am.J.lin Path, 45, 493 (1966).
[2] W.B.Baine, J.J.Farmar, E.J.Gangarosa, C. Tomsbery, P.A.Rice; J.Infect Dis., 135, 649-653 (1977).
[4] Bawa et al.; Cited by Uppal et al., 1981 (1978).
[6] G.J.Bondey; ' Bacterial Indicator of Water Pollution ' , 2 nd Edition, Teknish forlag Copenhagen, (1963).
[5] J.B.Bell; Can.J.Microbiol, 24, 886-888 (1978).
[7] V.J.Cabelli, H.Kennedy, M.A.Levin; J.Wat Pollution Control Fed., 48, 367-376 (1976).
[9] Celma, Monoro, Vazqez; Cited in Bacterial Plasmid and Antibiotic Resista ance, (1970).
[8] Cappuceino, O.james, H.Sherman; ' MicrobiologyA Laboratory Manual ' , Benjamin/Cummings Publishing Company, (1987).
[10] P.M.Chandler, P.M.Krishnapillai; Cited by Katoch and Shriniwas, (1974).
' [12] G.R.Croun; J.Wat.Pollut.Control, 44, 1175-1182 (1972).
[11] L.L.Ciaccio; ' Water and Water Pollution Hand book , 2, (1971).
[13] Dev Manorama, Shriniwas, Bhujwala; Ind.J.Med. Res., 355-359 (1982).
[15] N.Dutta, R.W.Hedgers, E.J.Shaw, V.Krcmery, L.Rosival, T.Watanabe; ' Properties of R-factor
[14] Doil et al.;Cited in Bacterial Plasmid and Antibiotic Resistance, (1971).
An Indian Journal BioTechnology
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[17] I.Farid, W.F.Miner, A.Hassan, B.Tarabolsi; New Engl.J.Med., 202, 216 (1975).
[19] S.M.Goyal, C.P.Eerba, J.L.Melinick; Water Res., 349-356 (1979).
[18] E.J.Gangarosa, J.V.Bennet, C.Wyatt, P.E.Pierce, J.Olarte, P.M.Hernades, V.Vawqez, P.Bessudo; J. Infect Dis., 126, 215-218 (1972).
[20] S.Hoadly; The Occurrence and Behaviour of Pseudomonas aeruginosa in The Surface Water, Ph.D.Thesis, University of Visconsin, U.S.A., (1967).
[22] L.Jawed; On the Sanitary Significance of Pseudomonas aeruginosa, M.Sc.Thesis of Dundee, (1976).
[21] S.Jain; Indian Pendiat., 24(3), 227-233 (1987)
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[27] S.B.Levy; Antibiotic Resistance infect.control, 4,195-197 (1983).
[29] National Committee for Clinical Laboratory Standards (NCCLS), Volunteer Consensus, Standards for Laboratory Testing, Villanova, P.A.NCCLS, (1990).
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Ouachita Baptist University
Scholarly Commons @ Ouachita
Honors Theses
2019
The Evolution of Military Tactics: A Series
Bethany Lenards Ouachita Baptist University
Follow this and additional works at: https://scholarlycommons.obu.edu/honors_theses
Part of the Military History Commons
Recommended Citation
Lenards, Bethany, "The Evolution of Military Tactics: A Series" (2019). Honors Theses. 720. https://scholarlycommons.obu.edu/honors_theses/720
This Thesis is brought to you for free and open access by the Carl Goodson Honors Program at Scholarly Commons @ Ouachita. It has been accepted for inclusion in Honors Theses by an authorized administrator of Scholarly Commons @ Ouachita. For more information, please contact firstname.lastname@example.org.
Carl Goodson Honors Program
SENIOR THESIS APPROVAL
This Honors thesis entitled
"The Evolution of Military Tactics: A Series"
Designed by
Bethany Lenards and submitted in partial fulfillment of the requirements for completion of the Carl Goodson Honors Program meets the criteria for acceptance and has been approved by the undersigned readers.
- Dr. Chris Mortenson, thesis director
Penis Williams second reader
Rene Zimny, third reader
Dr. Barbara Pemberton, Honors Program director
The Evolution of Military Tactics: A Series
Written and designed by
Bethany Lenards
Proposal Statement and Explanation
"To be prepared for war is one of the most effective means of preserving peace," said George Washington.
Military tactics have been widely studied by a vast group of people, but to some, they may seem hard to understand. Graphic designers, like myself, find solutions to problems such as these. The solution to this problem is to analyze the information and create an infographic about four of America's war tactics (Revolutionary War, Civil War, World War I and World War II) in order to show the evolution of those tactics in a simpler, visual, but still informational way.
Military tactics are always evolving. Looking back on American wars, this evolution is evident. Advancements in technology and improved training are large factors in this. In each infographic you will find a short blurb about an important type (or types) of tactics used. You will also find a sketch of the most commonly used rifle-like gun (rifle-like was chosen to better display the evolution and advancement of weapons used). Lastly, you will find information pertaining to the naval and air forces used within the war.
Process Explanation
In order to design an infographic, there needs to be information that can be explained visually. Therefore, research had to be done to gather the same kind of information about each war in order to visually show the differences between them. This proved to be challenging. Some military tactic manuals were read, but did not offer the kind of information needed because the manual included what was supposed to happen and how things should have been executed, but it did not include what actually happened on the battlefield.
From there, books that summarized what happened on the battlefield and the tactics used there proved to be more beneficial. The new challenge was gathering the same type of information about each war. For example, what weapon was most commonly used? How did the navy come into play and what tactics did they use? Did the training of men have an effect on the type of tactics used? These were the kinds of questions that needed answers. After many readings, this was accomplished.
After the information had been gathered, parts of it needed to be explained visually. To be consistent, the guns were presented visually so that, when viewed as a series, the audience can see how they have changed from war to war. The number of ships in the Revolutionary War and the Civil War are represented by circles and the number of American made planes in World War I are represented by squares. World War II has a representation of the B-17 Flying Fortress because the number of planes used in WWII was about 100,000 and the scale of the squares would have been lost.
Revolutionary War
During the Revolutionary War, employing a regular army was not possible. Instead, there were militia men who acted as citizen-soldiers and fought alongside the regular army. The strategy of this war was founded upon weakness due to the fact that we did not have an established army and there was a lack of well-trained men. Therefore, America had to be on the defensive.
The most common used gun of the Revolutionary War was the British "Brown Bess" Flintlock Musket. It was fired by a spark from a flint and had a range of 1 00 yards. The quote "don't fire until you see the whites of their eyes" was said due to this short range, but also due to the lack of training the men received with these weapons.
Washington started a private navy in which small boats could prey on British merchantmen and ward off enemy raids. Then, the Continental Navy was founded in 1775. From then until the end of the war, 50 ships saw service. Again, the largest handicap here was the lack of well-trained seamen.
,
..
REVO UTIONARY WAR
1775-1783
During the Revolutionary War, employing a regular army was not possible. Instead, there were militia men who acted as citizen-soldiers and fought alongside the regular army.
British ''Bro"Wn Bess''
Flintlock Musket
Fired by a ·spark from a flint
Range: 100 yards
Due to the limited range and lack of training the soldiers had, battles had to be fought at extremely close distances.
Small boats could prey on British merchantmen and ward off enemy raids
The biggest handicap was the lack of trained seamen
I 4
*••••••••• 50 ships saw service
*
*
Civil War
During the Civil War, linear tactics were widely used. The double column (two stacks of company battle lines) was commonly used for moving troops. The officers preferred lines over columns when in battle. The Union focused on combining a strategy of attrition with a strategy of annihilation. Meaning, their goal was to run down the Confederacy as much as possible, taking away their supplies and making their conditions worse.
The most commonly used gun of the Civil War was the rifled musket. There were grooves in the barrel that spun the bullet so it could be fired farther. The range of the rifled musket was about 500 yards. However, battles were still fought at close distances due to the lack of training the soldiers had with the rifled musket and the terrain and foliage made it difficult to see the enemies until they got closer.
The navy of the North focused on a costal blockade that they continued to tighten as the South tried to break it. This significantly declined the South's standard of living on the home front and their logistical support. By December of 1864, there were 671 ships in the Navy, 236 of which were steam vessels built during the war.
(
CIVIL WAR
1861-1865
During the Civil War, linear tactics were· widely used. The double column (two stacks of company battle lines) was commonly used for moving troops. The officers preferred lines over columns when in battle.
Double Column
Rifled Musket
Grooves in the barrel made the bullet spin so it could be fired farther Range: 500 yards
Although the range on the rifled musket is 5 times that of the Brown Bess of the Revolutionary War, battles were still fought in close proximity due to the lack of training with the weapons.
Naval Forces ··:·:· .... ·:···:··:··········· .. . :··:·· ... .. . ......... . ..... :: ·:·:··:·············· ······ · · ·· · ············· !! ······=·:·········==···.::: ......... ......... I ·:····:············· . . ... · · · · ····················
. ..
The blockade on the coast was one of the North's most important weapons
..
*:·······: • • •••••• 671 ships saw service
Union made use of rivers to seize them and the land around them from the Confederacy
*•
World War I
During World War I, trench warfare was widely used. The front-line trench was 6 to 8 feet deep and 3 to 5 feet wide. Trench raids were common, but could not and would not win the war. Night raids were a major tactic and they tried to create a significant break in the opposing line, but failed to develop new tactics. No man's land was the area between the two front-line trenches that was heavy with barbed wire, land mines and other things to keep the enemies away. The distance of no man's land ranged from several hundred yards to sometimes less than 10 yards.
The most commonly used gun of WWI was the 1903 Springfield Rifle, which was an American five-round magazine fed, bolt-action service repeating rifle with a range of 1,000 yards. The range of the Springfield Rifle is double that of the rifled musket of the Civil War. This, along with better training, allowed battles to be fought at greater distances.
During WWI, the United States wanted to modernize but not enlarge their naval fleet. However, they couldn't form a wartime Army and Navy of their own without expanding and regulating the economy and they soon realized they needed to build up their fleet in order to fight well. The Navy's principal mission was to escort Army troopships. The U.S. surface Navy never fired on enemy surface vessels. Instead, they tried an underwater mine barrage, laying over 56,000 mines. 700 planes were American made and could manage 120 mph and 13,000 feet in altitude. Air-to-air combat became more common as the war went on and they began to bomb enemy positions.
WORLD WAR I
*
1914-1918
During World War I, trench warfare was widely used. The front-line trench was 6 to 8 feet deep and 3 to 5 feet wide. Trench raids were common, but could not and would not win the war.
Example of trenches. The front line trench was connected to support trenches and bunkers.
1903 Springfield Rifle
The range of the Springfield Rifle is double that of the rifled musket of the Civil War. This, along with better training, allowed battles to fought at greater distances.
American five-round magazine fed, bolt-action service repeating rifle Range: 1,000 yards
Naval and Air Forces
*•••••••••••••••••••••••••••••
*•••••••••••••••••••••••••••••
*
The planes were capable of 120 mph and 13,000 feet in altitude. Airto-air combat was common
*•••••••••••••••••••
Naval forces laid over 56,000 underwater mines, but the U.S. surface navy never fired on enemy surface vessels
World War II
During World War II, there were three main infantry formations. The squad column helped them get into position quickly. Skirmish lines were hard to maintain while moving, but helped them cover their flanks while moving quickly. The troops sometimes moved in triple subgroups to support each other, but each subgroup made advances whenever possible. They also took advantage of main and secondary attacks. These attacks took place simultaneously so the enemy could not focus fire on one group. The main attack was made at a weak point in the enemy line and the secondary attack was used while advancing or to pull fire from the main attack.
The most commonly used gun ofWWII was the M1918 Browning Automatic Rifle (BAR). It was treated as a light machine gun and had a range of 100 to 1,500 yards. Due to the range graduation of the M 1918 BAR, soldiers were able to use it at both near and farther distances, offer flexibility in the distance at which the battles were fought.
The Air Force took advantage of the B-17 Flying Fortress. The B-17 Flying Fortress had high altitude flying, 13 .50-caliber machine guns, could fit a 1 O-man crew and had a limited bomb load. They also used the P-51 Mustang that was much smaller and had a longer range. The Navy moved in convoys of 50 vessels in parallel columns over 24 square miles of ocean.
r
..
,
WORLD WAR II
1939-1945
During World War II, there were three main infantry formations. The squad column helped them get into position quickly. Skirmish lines were hard to maintain while moving, but helped them cover their flanks while moving quickly. The troops sometimes moved in triple subgroups to support each other, but each subgroup made advances whenever possible.
Ml918 Browning .Autom.atic Rifle
Treated as a light machine gun Range: 100 to 1,500 yards
Due to the range graduation of the Ml918 BAR, soldiers were able to use it at both near and farther distances.
Naval and Air Forces
The B-17 Flying Fortress had high altitude flying, 13 .50-caliber machine guns, could fit a lO-man crew and had a limited bomb load
The Navy moved in convoys of 50 vessels in parallel columns over 24 square miles of ocean
..
B-17 flying fortress
Bibliography
Ellis, John. Eye-Deep in Hell: The Western Front, 1914-18. Penguin, 2002. Print.
Hess, Earl J. Civil War Infantry Tactics: Training, Combat, and Small-Unit Effectiveness. Louisiana State University Press, 2015. Print.
Millett, Allan R., and Peter Maslowski. For the Common Deftnse: a Military History of the United States of America. New York: The Free Press, 1994. Print.
Morris, James M. Americas Armed Forces: A History. Upper Saddle River, NJ: Prentice Hall, 1996. Print.
Steuben, Friedrich Wilhelm von. Baron Von Steubens Revolutionary War Drill Manual. New York: Dover, 1985. Print.
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CEIDS Newsletter No. 6 brings you the latest information on international and social/university collaboration being pursued at CEIDS. Our coverage includes a visit to the Massachusetts Institute of Technology (MIT), where we interviewed faculty members, and a review of the collaborative research we are conducting with Suita City. This issue also contains articles about some unique educational programs, including lectures for graduate students and basic seminars for undergraduate students at the Co-creative Design Laboratory for Sustainability of CEIDS. Take a look inside to learn more about the various research and educational activities taking place at CEIDS.
1. A Visit to MIT: A Dialogue on Educational Programs
In its advanced subprogram "Environmental Innovation Design for Sustainability", the Center for Environmental Innovation Design for Sustainability (CEIDS) nurtures people to become leaders in environmental innovation. These leaders have panoramic and constructive understanding of a variety of academic disciplines relating to environmental and energy solutions, and achieving sustainable societies. As such, they can answer social needs and visions with appropriate scientific and technological seeds. The subprogram goes beyond courses with a classroom focus and aims to be practical by helping students grasp the heart of an issue while giving them specialized knowledge and comprehensive scientific understanding. In this manner, we develop in them the capacity to find solutions. A good example is Practice of Environmental Innovation Design, a course that teaches students practical methodologies for extracting issues from
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specific regions and fields, and finding solutions for themselves. The course Sustainability D-lab, begun in 2014, actually puts students into the field as part of efforts to find solutions for revitalizing farming and mountain villages.
Universities outside Japan are also developing
educational programs that send their students into the field in order to find regional solutions. Students in these programs learn methodologies for finding solutions by gathering a variety of real-world experiences. In recent years, MIT has gained the global spotlight for its pioneering work in practical education programs with a focus on finding solutions. For this reason, Assoc. Prof. Keishiro Hara of CEIDS and Asst. Prof. Kazutoshi Tsuda of the Creative Design Studio on Technology, Graduate School of Engineering paid a visit to MIT on March 4 and 5, 2014, where they observed a number of their programs related to practical and interdisciplinary educational and research activities. While there, they also interviewed and enjoyed conversations with MIT personnel in the hopes of soliciting suggestions for CEIDS' own education and research programs.
Our staff specifically interviewed personnel associated with three MIT interdisciplinary programs: the D-Lab, Media Lab, and Energy Initiative. They also caught up with Emer. Prof. Jeffrey I. Steinfeld, who previously served as a guest lecturer at Osaka University. Prof. Steinfeld had planned and implemented a sustainability education program at MIT for many years. During his interview, he and our staff discussed the current state of and outlook for interdisciplinary research and education at the two universities. A brief summary of the interview may be found below.
D-Lab (http://d-lab.mit.edu/) is an educational program dealing with appropriate technologies in the context of international development and with the development of solutions for achieving regional sustainability. The "D" in the name stands for a number of concepts, including "Development", "Dialogue", "Design", and "Dissemination". We spoke with co-director Victor Grau Serrat at the D-Lab office. Amy Smith, who is currently the other co-director, established D-Lab in 2002. The lab was launched out of the awareness of a problem. Namely, university research and educational activities were not leading to solutions to the social problems faced by people in underdeveloped countries.
The primary mission of the lab is to nurture international networks among innovators and create and disseminate technologies for ending rampant world poverty. "Innovators" as used here includes university researchers, nongovernment organization (NGO) and non-profit organization staff members, local engineers, and even children. Several guidelines were decided upon for achieving this mission. One guideline is to propose technical solutions for people currently living in poverty, such as those living on no more than $3 per day. The program works by bringing students from all over the world with all sorts of specialties together to work collaboratively and come up with proposals. Another feature of the program is that students learn through on-the-ground experience. More specifically, they go on field trips, becoming part of the region and community that they are studying and actually living in the area. During this time, they work to develop appropriate technologies through a process of co-creation with local partners. Through these activities, students learn methodologies and strategies for finding solutions to local problems. The program is designed to teach these skills through actual experience. Some of these activities have resulted in student-led ventures and business start-ups. The D-Lab program has much in common with the educational and research approach of CEIDS, which aims to find strategic connections between social issues (needs and visions) and research seeds. Our visit to the lab yielded some important suggestions for developing and improving our educational program.
Together with Japanese students studying at the MIT Media Lab
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Media Lab (http://www.media.mit.edu/) is an interdisciplinary and future-oriented research facility located in the MIT School of Architecture + Planning. In recent years, the Media Lab has become known in part because its Director is the venture capitalist and businessperson Joi Ito, who is joined by computer researcher Hiroshi Ishii as Associate Director. Each year, approximately 150 graduate students and more than 200 undergraduates take part in research here. On our visit, we talked with Akane Sano and Dan Sawada, two students from Japan working as research assistants.
One of the major features of Media Lab is that it cultivates interdisciplinary research, and one major element of this is the project format used. Currently, 25 research groups are pursuing more than 350 projects of various types. Many of the students are involved in more than one project at any one time. Researchers involved in Media Lab must have the ability to coordinate these multiple projects while pursuing creative research with other researchers and engineers. The lab uses a number of methods to bring researchers from a variety of specialties face to face. For example, participants are offered a free lunch every other week. These lunches provide an important forum that allows researchers to engage in dialogue in a relaxed environment. Another feature of Media Lab is the unique university– industry collaboration consisting of a group of nearly 80 companies that make up its member community and provides most of its independently funded annual
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budget. This arrangement also benefits the corporate members in several ways. Media Lab continues to produce creative and influential research results because of its interdisciplinary nature and unique university– industry collaboration, and because of its active effort to brand itself in the eyes of the outside world.
We also visited the office of Dr. Amanda C. Graham, Director of the Education Program for the Energy Initiative (http://mitei.mit.edu/) where we interviewed her about the program philosophy, the nature of its current educational program, and how the educational program connects to research activities. The Energy Initiative started in 2006 as an interdisciplinary energy research, teaching, and practice platform transcending the boundaries between different school departments. It pursues three main activities: providing an educational program, conducting research, and running a practical program on campus (the Campus Energy Program). Participating faculty members all belong to different school departments, but form loose partnerships with each other to pursue interdisciplinary research.
On the education side, the Energy Initiative offers a graduate-level minor program in energy studies that is open to students throughout MIT. The core curriculum in the minor program consists of three domains: Energy Science Foundations, Social Science Foundations of Energy, and Energy Technology / Engineering in Context. Students take the core curriculum and also choose from among 24 elective courses. While
technological seeds and scientific and engineering theory are core parts of the program, students also receive a strong foundation in the social sciences. Moreover, the program is intended to develop a new generation of leaders who can use both their broad outlook and areas of specialization in order to address energy problems as a social issue. During our visit, we talked with Dr. Graham on such topics as designing a system for pursuing interdisciplinary educational programs and picked up some valuable suggestions for the educational program at CEIDS.
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sustainability and environmental education program for a long time, played a central role in advancing sustainability education and environmental research at MIT. We updated the professor on educational and research activities now taking place at CEIDS and traded views from various perspectives on the outlook for sustainability research, education, and interdisciplinary educational programs at the two universities.
Our MIT visit also gave us a chance to meet and exchange information with Emer. Prof. Jeffrey I. Steinfeld for the first time in quite a while. Prof. Steinfeld, who originally specialized in chemistry, had spent time as a guest lecturer at Osaka University. Although currently an emeritus professor, he still finds time to come to his university office several times a week. Prof. Steinfeld, who has been involved in the MIT
During our visit and interviews, we learned that the two institutions' approaches to interdisciplinary education and research have several points in common, and we were greatly encouraged by our visit. We are looking forward to continuing to build our network and use it to further develop CEIDS' educational programs and related research.
(Keishiro Hara, Associate Professor, CEIDS Kazutoshi Tsuda, Assistant Professor, Creative Design Studio on Technology)
2. Report from Annual Meeting of the Japan Society of Energy and Resources
The 33rd Annual Meeting of the Japan Society of Energy and Resources was held at International House, Osaka June 10 and 11, 2014, which happened to be shortly after the April 11 decision by the Japanese Cabinet to adopt the Basic Energy Plan. Thus, there was plenty of discussion about Japan's new energy policy and energy systems in the aftermath of the Great East Japan Earthquake and the accidents at the Fukushima Daiichi Nuclear Power Plant of Tokyo Electric Power Company, Inc. (TEPCO). The meeting offered 77 presentations, including two special lectures and 75 regular sessions. The following is a brief overview of some of the presentations based on the author's recollection:
In the first special lecture, Prof. Hajimu Yamana, Professor at the Kyoto University Research Reactor
Institute (KURRI) and President of the International Research Institute for Nuclear Decommissioning (IRID), gave a talk entitled "The initiative to decommission the Fukushima Daiichi Nuclear Power Plant." Right now, TEPCO is trying to deal with contaminated water at Fukushima Daiichi, even though problems relating to the decommissioning have become hot topics worldwide. Prof. Yamana's presentation provided an update of the current measures to deal with contaminated water along with a roadmap for extracting the fuel debris (melted fuel) at the stricken plant. The professor indicated that it would take about 40 years or more to extract the fuel debris, dismantle the reactor facilities, and ultimately decommission the power plant. In the second special presentation, Prof. Shigeru Miyashita, Professor at the Fisheries Laboratory of Kinki University, spoke
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on the topic of "Cultivating the ocean: The world's first successful complete-cycle aquaculture of Pacific blue fin tuna." The university is deploying their tuna under the brand of "Kindai Maguro" (literally, Kinki University tuna). Two restaurants with "Kinki Daigaku Suisan Kenkyujo" (Kinki University Fisheries Laboratory) in their name and serving Kindai Maguro are now open: one in Grand Front Osaka located near the central station of Osaka and the other in Ginza, Tokyo. Both are reportedly constantly fully booked. In his speech, Prof. Miyashita recounted 32 years of trial and error experimentation; from the time the research began on the complete-cycle aquaculture of Kindai Maguro until it was successful. During those years, he and his fellow researchers faced a number of difficulties. In each case, they analyzed the problem until they found a solution and achieved their objectives. Perhaps the underlying factor of this achievement was the shared tenacity across all the generations of researchers.
The regular sessions touched upon an expansive range of topics: transportation; energy policy; resources and waste; global warming; natural forms of energy; consumer, workplace, and international energy supply and demand; heat pumps and environmental problems; solar energy; energy conservation; the economics of energy cogeneration; power systems; regional energy demand; home energy; energy storage; and reforming the energy market. There were three presentations given by CEIDS staff (fulltime and concurrent), including the author, as discussed below:
1. Yutaka Nomaguchi, Hiroki Tanaka, Akiyuki Sakakibara, Kikuo Fujita, Yusuke Kishita, Keishiro Hara, Michinori Uwasu, "Design and Evaluation of Scenarios in Cooperative Planning of Subsidy Systems and Power Grids toward Building Distributed Energy Systems - Case Study of Mishima Area, Osaka -, Proceedings of the 33rd Annual Meeting of Japan Society of Energy and Resources, (2014), pp. 31-34.
2. Keishiro Hara, Michinori Uwasu, Yusuke Kishita, Hiroyuki Takeda, "Electricity and Gas Consumption
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Patterns and Saving Perceptions - Time-series Analysis in Suita City, Proceedings of the 33rd Annual Meeting of Japan Society of Energy and Resources, (2014), pp. 303-308.
3. Yusuke Kishita, Naoto Kurahashi, Naoki Iwai, Shinichi Fukushige, Yasushi Umeda, Yohei Yamaguchi, Yoshiyuki Shimoda, "Scenarios of the Electrical Grid in the Kansai Region in 2030 - Analyzing Influences by the Diffusion of Photovoltaics and Electric Vehicles, Proceedings of the 33rd Annual Meeting of Japan Society of Energy and Resources, (2014), pp. 297-300.
The first two presentations listed above were reports on collaborative research by Suita City (Osaka Prefecture) and CEIDS. The first concerned diffusion of photovoltaic (PV) systems, while the second was about consumer energy conservation behavior. The third concerned research performed as part of a Ministry of Economy, Trade and Industry (METI) project. Each presentation appeared to pique the interest of those attending, as there were quite a few questions afterwards. The attendees were not necessarily engineering specialists. Researchers from the fields of economics and policy science also attended and asked questions from a variety of perspectives. For example, in the first presentation listed above, there was a discussion about consumer preferences in respect to PV installation, as well as the impact that separating the functions of power generation and transmission would have upon PV diffusion. These discussions reminded us the importance of understanding how technology and society interact when designing energy systems, or any other system. This point also came across during the meso-level research that CEIDS has been practicing. We left the event with a greater awareness that applying research findings, such as those reported at this meeting, in actual society (in other words, social implementation of the research results) will be among our next major challenges.
(Yusuke Kishita, Assistant Professor, CEIDS)
3. CEIDS and Suita City Begin "Collaborative Research on Environmental Innovation"
In June 2014, CEIDS and Suita City began their "Collaborative Research on Environmental Innovation." Researchers from Osaka University and employees and policymakers from Suita City are now meeting regularly to discuss the city's environmental policies and various issues. The objective is to help the city draft policy and build its vision for the future.
and creating visions) and mechanisms and practices designed to let each side accumulate knowledge for finding solutions have been very limited up to now, despite the great need for them. CEIDS has begun a new undertaking intended to put such mechanisms in place.
Up to now, CEIDS has worked to strategically tie promising scientific and technological seeds to social visions, such as achieving a society that is low-carbon, recycling-based, and safe and secure. To accomplish this, we pursue what we call "meso-level research", by which we mean research intended to promote environmental innovation. We believe that it is very important to work with the regional community and society to advance this new level of research. For that reason, CEIDS and the Suita City Environmental Bureau signed a memorandum to confirm collaborative research on environmental innovation in 2013. Under this arrangement, the two sides have pursued a variety of partnerships and exchanges, such as hosting joint symposiums and using the city as the venue for meso-level research. The recently begun collaborative research represents another step forward in such exchanges, as it is an effort in "cooperative knowledge creation" between a university and local government. Collaboration between researchers and policymakers for common objectives (such as finding solutions
A CEIDS/Suita City collaborative research meeting (Suita City Hall)
About once every two months, Suita City will share some specific policy issues with the center. The two sides will also present relevant research to each other and discuss the issues from a number of angles. The first joint research meeting took place on Tuesday, June 24, at Suita City Hall. Osaka University sent CEIDS faculty and Graduate School of Engineering Assoc. Prof. Yutaka Nomaguchi, among others, while Suita City sent City Hall staff from various departments, including the environmental and roads and parks bureaus. The two sides enjoyed a spirited discussion. Assoc. Prof. Nomaguchi gave a presentation entitled "Research on writing and evaluating scenarios for the diffusion of distributed energy: a case study on the Mishima area of Osaka Prefecture" in which he covered a number of topics, including policy and technology options that Suita City should consider based upon his analysis of scenarios for the renewable energy diffusion. Representatives from the city presented their views on current high-priority policy issues such as dealing with the heat island effect, and other items that need to be considered.
A presentation by Graduate School of Engineering Assoc. Prof. Yutaka Nomaguchi
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3. CEIDS and Suita City Begin "Collaborative Research on Environmental Innovation"
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The second joint research meeting is due to take place on Monday, August 25 at the Suita Campus of Osaka University. CEIDS faculty and Suita City employees will take part to discuss "convenience and community development". The two sides hope to continue holding research and discussion meetings with a specific theme for each session. The theory is that, by working together, Osaka University researchers and Suita City employees can produce results that lead to a vision for a better Suita City.
bodies, to get involved in solving national and regional policy issues. Now, however, on top of these traditional mechanisms, new initiatives are needed to help local governments formulate visions and find solutions for social problems. Those mechanisms must specifically include collaborative research and work by all types of stakeholders, including researchers. It is our hope that the collaborative research that CEIDS and Suita City have begun will become a model for such new collaborations.
Researchers have had opportunities in the past, through mechanisms such as councils of governmental (Keishiro Hara, Associate Professor, CEIDS)
4. Community Development Innovation
Starting this academic year, CEIDS offers courses for graduate students at the Co-creative Design Laboratory for Sustainability of CEIDS at Grand Front Osaka. In the first semester, we offered the course Community Development Innovation. This course, taught by lecturers from the university and beyond, introduced how community revitalization and urban management are perceived from various points of view, including enterprise/government/university and business/management/research. At the close of the lecture series, a workshop was offered on the theme of "Thinking about Community Development in Osaka and Phase 2 at Umekita."
The first lecture touched on current city conditions and how they came about, as well as initiatives being taken to revitalize the community. The lecturers were Prof. Atsuko Kaga of Osaka University and Asst. Prof. Hiroyuki Takeda of CEIDS. The second lecture concerned business improvement districts (BID), which are attracting attention, especially in Osaka City, as a new method for area management. Prof. Kaga gave an overview of BIDs and Mr. Yasuo Tatsumi of the Osaka City Urban Planning Department talked about the Osaka City Area Management Activity Promotion Ordinance, established this year. In the third lecture, Mr. Mitsuhiro Matsuzuka of the Kansai Electric Power Co., Inc. and Asst. Prof. Hiroyuki Takeda of CEIDS gave concrete examples of recent community development activities in central urban areas by private enterprise, as well as housing development that fosters community spirit. In the fourth lecture, Mr. Taiki Toriyama of Bird Design House, who is involved in regional branding strategies that rely mainly on graphics, talked about how citizen initiatives can develop into community development. Prof. Nobuhiko Matsumura of Ehime University talked about his onsite research into citizen initiatives for area design. At the fifth and final lecture, Mr. Hiroyuki Uematsu of Hankyu Railway, a company involved in the development of Grand Front Osaka, was joined by Mr. Yuji Suzuki of Grand Front Osaka TMO, who currently oversees area management at Grand Front Osaka. Their talk included a site visit.
During the sixth and seventh sessions, students took part in a workshop in which they considered future community development in Osaka and the Kansai region, using what they had learned from the lectures. Then, they discussed what concepts should guide development of the Umekita neighborhood in its second
phase. The class was then divided into two groups, each with a mix of student types (liberal arts/science, Japanese/international students). Some members were a bit perplexed, but both groups had lively discussions. I think especially for the Japanese students, the fresh viewpoint and ideas of the international students gave them a good opportunity to reconsider Japanese community development and consequently Japanese culture and ideas.
In the second semester, CEIDS will offer omnibusstyle lectures on "Society and Energy" at the Co-creative Design Laboratory for Sustainability. See the syllabus for details. In closing, I would like to express my thanks to all the lecturers who helped with the course.
(Hiroyuki Takeda, Assistant Professor, CEIDS)
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Theme and lecturers for each session
The first lecture at Co-creative Design Laboratory for Sustainability
| #1 | June 6 (Fri.) 18:00–21:00 | A Sustainable Urban Structure Prof. Atsuko Kaga, Osaka University Graduate School of Engineering Asst. Prof. Hiroyuki Takeda, CEIDS, Osaka University |
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| #2 | June 13 (Fri.) 18:00–21:00 | Town Management for Community Revitalization Mr. Yasuo Tatsumi, Osaka City Urban Planning Department Prof. Atsuko Kaga, Osaka University Graduate School of Engineering |
| #3 | June 20 (Fri.) 18:00–21:00 | Community Revitalization and the Real Estate Business Mr. Mitsuhiro Matsuzuka, Kansai Electric Power Co., Inc. Asst. Prof. Hiroyuki Takeda, CEIDS, Osaka University |
| #4 | June 27 (Fri.) 18:00–21:00 | Citizen-Led Community Development Activities Mr. Taiki Toriyama, Bird Design House Prof. Nobuhiko Matsumura, Graduate School of Science and Engineering, Ehime University |
| #5 | July 4 (Fri.) 18:00–21:00 | Community Revitalization in Umekita Yuji Suzuki of Grand Front Osaka TMO Hiroyuki Uematsu of Hankyu Railway |
| #6 | July 11 (Fri.) 18:00–21:00 | Workshops Thinking about Community Development in Osaka and Phase 2 at Umekita |
| #7 | July 18 (Fri.) 18:00–21:00 | |
Explanation of area management initiatives at one site (fifth lecture)
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5. Basic Seminar Held: The Environment and Global Sustainability as Seen in Cities and Rural Communities
CEIDS held a basic seminar for first-year undergraduate students entitled "The Environment and Global Sustainability as Seen in Cities and Rural Communities" August 6 to 8 on the Toyonaka Campus. To deal with sustainability problems, it is important to have a comprehensive view of a variety of phenomena, since these problems deal with the environment, social economics, and many other sorts of issues. This course consists of lectures that provide a panoramic view of sustainability from the perspective of urban cities and agricultural communities, the environment and social economics, and global (world) and local (Japan) viewpoints, as well as group work during which students come up with their own suggestions for selected issues based on their own research.
This year's event drew participation from 24 students, including two senior high school students, as well as undergraduates from the schools of Foreign Studies, Law, Economics, Science, Human Sciences, Letters, Engineering, and Engineering Science. The students broke up into five groups to work on the themes of sustainable cities, poverty reduction, and depopulation. After the students received a basic overview and perspective in the classroom on sustainability and problems of the environment and poverty in cities and agricultural communities, each group was asked to pick a problem and recommend solutions. Because the group members had different areas of expertise, their own interests and awareness of conditions were different. After reading up on the issues from the Internet, printed reports, and other materials, the students held energetic discussions of what is important in terms of sustainability, and how the issues can be addressed. As they did so, they put together PowerPoint presentations. While some groups struggled to make progress, in the end, everyone, including the senior high school students, gave their own presentations, which were followed by spirited question and answer sessions.
Although this basic seminar has now been held for three years, each year it is a matter of trial and
A question-and-answer session after a presentation
error to figure out how to present such a broad theme. For many students, this seminar is their first time even to hear the word "sustainability", but the group work and all-group discussions appear to give them a sustainability perspective on poverty in industrializing nations, along with urban issues and depopulation in Japan's semi-mountainous areas. Although each student will go on to pursue his or her own specialty, we hope that, as they go forward in their student life and academic career, they will remember the sustainability perspective that they learned during these three intensive days. In closing, we would like to thank the teachers who led the lectures and group work for their great effort.
(Michinori Uwasu, Associate Professor, CEIDS)
6. CEIDS Research 4: Research on Sustainable Forest Management in Partnership with Osaka Prefecture Forest Owners Association
The Cabinet of Japan adopted its Basic Energy Plan in April 2014, which gave a boost to renewable energy initiatives. However, in 2006, long before this plan had been formulated, the Ministry of Agriculture, Forestry and Fisheries (MAFF) had begun its Biomass Town Concept, which set forth a comprehensive system for using biomass. Under that system, concerned parties over a wide region would partner to form efficient processes, bringing together everything from the generation to the use of biomass. Presently, such initiatives are going forward in 318 zones throughout Japan, but many have gotten no further than the conceptual stage or failed to reach the implementation, evaluation, and re-implementation stage, and there have not been any particularly prominent successes. Thus, there would appear to be a number of implementation and sustainability-related factors that need to be resolved in projects that expect to use biomass. Implementation will require not only a conceptual examination of regional characteristics, policy, work efficiency, and local production for local consumption, but also a comprehensive understanding of a number of concepts, such as environmental burden and economics, in order to design scenarios for success. Moreover, one of the reasons that the concept has not been realized is the fact that theory does not always overlap with practice. It is well known how difficult it can be to commercialize the results of research and development, but it is extremely important to establish techniques that allow such results to start taking effect in actual society. For this research, researchers (the University) and business people (a forest owners association) set up a collaborative research organization designed to study the current state of biomass production on the ground and stakeholders in the local community. This allows any problems or advantages that they discover during the process of study, analysis, and evaluation to be immediately reflected as improvements and solutions. The knowledge learned from such analysis, trial, and reconsideration will be used to build a "woody biomass fuel diffusion scenario" in Takatsuki City, Osaka
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Prefecture. The objective of the research is to suggest a theory and mechanism for promoting efficient use of woody biomass regionally. The collaborative study with the Osaka Prefecture Forest Owners Association uses Takatsuki City as a case study for sustainable forest management. It began last fiscal year with the objective of both reducing environmental burden and achieving economic efficiency. The owners association is the only enterprise in Japan to produce bio-coke, or coke derived by heating and compressing biomass resources. The owners association is taking an advanced initiative in the field of woody biomass fuel diffusion.
Last academic year, the partnership conducted an economic evaluation of the project. It considered the economy and efficiency of forestry operations based on a comparison of actual income with maximum possible income. This year, to evaluate the environmental burden, it estimated the CO2 emissions of producing woody biomass fuel (bio-coke and pellets) in Takatsuki City. The results were compared with emissions from using fossil fuels to determine how much the environmental burden could be reduced. The figure shows the processes and factors involved in CO2 emissions during bio-coke production. The researchers have also interviewed a business using bio-coke in place of fossil fuels (conventional coke derived from coal). Based on this interview, they are learning how much of each fuel is being used, how far it is transported, and the implementation status of alternative fuel. From this, in turn, they are calculating how much actual CO2 reduction results from the use of the alternative. Comparing CO2 emissions derived from the production and transportation of woody biomass fuel and CO2 emissions resulting from use of the alternative, the project is specifically quantifying the reduction of environmental burden resulting from the use of woody biomass fuel.
At present, only one business is purchasing and using bio-coke as an alternative to coke made from coal. Moreover, since most of the unused material that provides the raw material for bio-coke comes
6. CEIDS Research 4: Research on Sustainable Forest Management in Partnership with Osaka Prefecture Forest Owners Association
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2
CO emissions resulting from power consumption
CO2 emissions resulting from fuel (light oil, kerosene, gasoline, etc.) consumption
Forestry
operations
Company T
(uses biocoke as
alternative)
Transportation
within site
Transportation
offsite
Drying 1
Crushing 1
Crushing 2
Drying 2
Filling/
compressing
Heating
Cooling
CO2 emitting processes and factors during bio-coke production from thinned wood obtained from owners association operations, bio-coke cannot be said to significantly promote the use of unused wood resources over the region as a whole. If the environmental burden reduction effect of bio-coke could be clearly shown, it would likely cause enterprises to consider using it, and then the economic merits of the fuel would likely lead to actual use. Naturally, if the number of businesses using bio-coke were to increase, it would also encourage forest maintenance in the region and revitalize related industries such as distribution. Thus, this research seeks to stimulate the creation of both a recycling society and a revitalized regional economy by creating a mechanism for environmental measures based on regional partnerships.
Keishiro Hara, CEIDS, OsakaUniversity
Michinori Uwasu, CEIDS, OsakaUniversity
Shuji Kurimoto, CEIDS, OsakaUniversity
Koichiro Tsuge, Mishima branch, Osaka Prefecture Forest Owners Association
Tateo Kita, Mishima branch, Osaka Prefecture Forest Owners Association
(Yukari Fuchigami, Project Researcher, CEIDS)
List of main research members Yukari Fuchigami, CEIDS, Osaka University
Unused wood, the raw material of bio-coke, is crushed
bio-coke
7. Researcher Interview No. 4, "Methodology and Practice of Future Design"
Prof. Tatsuyoshi Saijo (Professor, School of Management, Kochi University of Technology; Visiting Professor, CEIDS)
Visited: May 26, 2014
Visited by: Keishiro Hara, Yukari Fuchigami
Hara: Tell us about your specialty, and how your research themes have changed over time.
The starting point of my research was when I was involved in mechanism design at the University of Minnesota. First, let me give you an overview of my research field as a whole. In the first half of the 20th century, there was a great deal of conflict over socialism (i.e., the question of whether capitalism or socialism is better). That debate led a number of researchers to begin research that treated institutions themselves as variables. One of those researchers was Prof. Leonid Hurwicz, who was a mentor to me. One of the key concepts for these researchers was "incentive". Their intention was to build mechanisms capable of keeping people motivated while achieving societal goals like fairness and efficiency. Now that I am working with CEIDS, we talk about "intergenerational fairness", but at the time we were not thinking about it at all. At first, the conversation was to create good conditions (a fair and efficient society) for the present generation and then create mechanisms so that people always have incentives. The initial result was an impossibility theorem called the Hurwicz theorem. If you ask why we use the term "impossibility", it is because the aim was to fulfill incentive compatibility (acting in accordance with one's own actual preferences) after first maintaining efficiency and fulfilling individual rationality (ensuring that things do not get worse than they presently are for the individual). However, it is impossible to create a society that fulfills incentive compatibility, in other words, a society where honesty is the best course of action. My field of research begins with the recognition that this is impossible. It says that it is not possible to create a good society easily. To give an example, a major topic at the time was the "competitive system". Such a system fulfills both efficiency and individual rationality, but is incapable of fulfilling incentive compatibility. In light of this discovery, in its attempt to somehow create good mechanisms, the field of research moved in a different direction. Specifically, it decided to abandon the condition of incentive compatibility, the state in which honesty is best. This was because, in our society, we exchange such information as price and product specifications but preferences are not stated.
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The new starting point for the research was the famous Maskin's theorem, advocated by Eric Maskin in 1977. As I said, the original goal of this field of research was a system capable of keeping people motivated while achieving societal aims such as fairness and efficiency. This is possible if we actually design mechanisms for it. In other words, "if certain conditions are met, it is possible to create mechanisms such that societal aims can be achieved." However, there was not sufficient proof of this theorem, so I affirmatively proved it by designing a new mechanism. I published my paper in 1988 in Econometrica. Based on my findings, Maskin formulated the basic theorem of mechanism design. In 2007, he received the Nobel Prize for Economics, together with Hurwicz and Roger Myerson. However, the mechanism was still complicated and mystifying to most, and was not so easy to implement in an actual society. Accordingly, I set about to create a more easily understood mechanism for achieving societal aims based more on economics, that is, price and quantity.
Hara: Can you explain to us concretely the aims you were trying to achieve?
This is economics after all, so at the very least, the mechanism must be able to achieve efficiency. One additional condition is that the mechanism must make things better than they are now for all people. I conducted numerous experiments during which I combined these two conditions with various other conditions. In the process, we in the field began to get the uneasy feeling that the mechanisms that we were creating looked good on paper but might not do so well in actual society. Therefore, we started to verify our theory by experimenting with human subjects. I had begun doing experiments with human subjects in the mid-1980s trying to prove the well-known Vickrey mechanism (named after the 1996 winner of the Nobel Prize for Economics), but my efforts did not go well at all. It really hit me that not even a wellknown mechanism such as this one could be simply implemented in an actual society, and I wanted to build a mechanism that would go well in experiments while remaining scientific.
After I started these verification tests, I learned something interesting. Similar experiments were taking place in various countries besides Japan, such as the United States, China, Mongolia, and South Korea. However, for some reason, only in Japan did we find a certain percentage of subjects with a unique behavior: they would get in the way of other people, even if it came at some loss to themselves. I was doing research on a project called "Are Japanese spiteful?" It turned out that such people were enough to alter the overall trend in Japan. For example, suppose that someone takes an unfair head start over others. In Japan, the moment other people see this happen, they block the person who got the unfair head start, even if it means incurring a disadvantage for themselves. When that happens, the person who attempted to gain unfair advantage learns that "free riding" will not work, and simply accepts that there is nothing to be done except cooperate fairly with others. In Japan, it is widely believed that humans are fundamentally depraved, but that if you step out of line, others will get in your way (or as we like to say, the nail that sticks out gets hammered down). For that reason, Japanese people strive to cooperate with each other. Or to put it conversely, the racial or national characteristics of Japan are better suited than others for dealing with problems of providing public goods (problems such as climate change and global warming).
Hara: Tell us how you started to incorporate environmental issues into your research.
After the Kyoto Protocol was adopted in 1997, I became a member of a project to design mechanisms related to it. That is when I began to learn a great deal about the environment. One of the major principles of the Kyoto Protocol was so-called emissions trading. With assistance from the Research Institute of Economy, Trade and Industry, we started to conduct verification tests to see how well such a mechanism would actually work. Our finding was that "if there is uncertainty about the future and investment is irreversible, emissions trading will not be very successful." To give an
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example, at the time the European Union (EU) had begun emissions trading. This was known as the EU Emissions Trading System. As soon as the details were disclosed quantitatively, the market reacted and the price of emissions credits dropped all at once. "Emissions trading market control" is now a very important research issue. After that, I went on to take a concurrent teaching post at the Osaka University Research Institute for Sustainability Science (the forerunner to CEIDS) in 2006. There, I became involved in researching energy resources with Prof. Yoshiyuki Shimoda of the School of Engineering, among others. One of our findings was that solar water heaters were substantially more effective than solar power generation for reducing CO2 emissions. However, we also learned that even if you show people this, they tend to be more attracted to solar power.
Of course, I continue to do theoretical research on mechanism design now, not just research on environmental problems. In particular, I am working to create game models for solutions of social dilemmas and am testing these models with human subjects. I am also developing mechanisms that may be simple but appear likely to go well, and I am gradually seeing some success. It is all very fine if the mechanism works well in theory and experimentation, but it is still relatively abstract and it does seem to me that what I have developed deviates a bit from actual social conditions.
Hara: Right now you are a leader in Future Design research. Can you tell us about that?
The thing that made this research really take form for me was something that happened after a presentation I gave at the University of Massachusetts in March 2012 on the topic of social dilemmas. I was at a dinner party when the talk turned to a topic that philosophers and economists had been discussing. Namely, there are problems such that decisions we make today have a major influence on future generations, but those future generations cannot negotiate with us, because they do not exist yet. At the time, I suggested that perhaps
we should set up a group that exists in the current generation but which thinks only of future generations. I was told by the wife (Laura) of John Stranlund, a student of mine at the University of California, about the Iroquois Indians, who thought about the future in 1000-year units when they acted. I was greatly surprised to think that if we take the Iroquois as a case study, it may be possible for the present generation to negotiate with future generations. That was a major influence on me, and that is how my Future Design research was born. Another important factor was that some young researchers at Osaka University endorsed the idea of having people in the present generation who think only of future generations. That helped to form connections between older and younger researchers. Then, in April 2012, working with researchers from CEIDS at Osaka University, I started to develop a mechanism for creating a group that would exist in the present generation but think only of future generations. We called this mechanism the "Ministry of the Future". Through it, we are endeavoring to design what the future should be, looking at it from a number of angles, such as problems of energy, water, population, the forest, and urban structure. Since then, we have changed the name to Future Design, and we are working on a project to sum it up in a book.
One point that I had not paid much attention to until this project began was the problem of markets. Markets allocate resources without any thought for future generations. When a market is a mechanism that freely steals resources from future generations, we need to bring it under control. That is, we need to develop methods and mechanisms for skillfully taming such markets. Let us take emissions trading as an example. To keep CO2 emissions from exceeding some established amount, we have to use the market skillfully. Numerous people praise the "logic of market competition". I am not refuting competition itself, but I feel that if we do not take future generations into account when we consider how future markets should act, the various conflicts between generations will not go away. Another major perspective is democracy.
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I did some research into national constitutions from around the world and found that hardly any of them mentioned the terms "future" and "generations". At the time that those constitutions were being framed, the intent was to create a democratic constitution in the wake of a democratic revolution. It was not a time to be thinking about future generations. However, we have now reached an age suitable for incorporating future generations into our political systems and constitutions. Government has to change, and our market mechanisms need to give way to something new. If we do not do so, we will not be well prepared to solve climate change or other environmental problems. Our concept starts with more than just penalizing those who emit excessive amounts of greenhouse gases, or conversely, rewarding those who omit little. Rather, the point is to change the entire world.
To take this discussion a little further, we are considering the idea of creating something like a School of Future Studies in universities as a mechanism for developing people who consider future generations. I do not know whether we can really create a society capable of achieving such things, but if things continue as they are now, there may well be a "revolution for the future" at some point. As climate change occurs and we start seeing flooding, drought, and famine close up, people will finally start to accept that things cannot be allowed to continue this way. I fear that there will be unrest, called a revolution. That is the reason we do the research we do.
Hara: So "future generations" is an important keyword for you.
I guess the story of the Iroquois Indians was a major influence on me. I was shocked to hear that there were already people who think seven generations ahead when they make decisions. I thought, "This is exactly what we are aiming for." Actually, even before that, I had thought of the idea of creating something like a Ministry of the Future and developing people who think of the future, but learning about the Iroquois reinforced the idea and led me to step up the pace of this research.
There will be difficulties such as we have never faced before, for example, social conditions that interfere with sustainability. To deal with these problems skillfully and maintain sustainable conditions, we will have to design a variety of social systems that take the future into account. It is not possible for everyone to be a leader who acts with consideration for the future, so I think it would be a good idea to incorporate consideration for the future into social mechanisms from the very start. We have to create a mechanism whereby "people who think only of the future" can help to make decisions within society. How about, for example, a "House of the Future" in addition to the present House of Representatives? Unless some of the tasks aimed at considering the future are assigned to the political system, it is unlikely this function will ever take root, no matter how much concern people express about environmental problems and social conditions in industrializing nations. Right now must be the time to innovate by setting up a Ministry of the Future, House of the Future, or School of Future Studies. If we fail to do so, I cannot help but feel that the human race will not be able to continue.
In that sense, "Future Studies" would not mean a certain field filled by specialists. More than just a technical discipline, Future Studies would have to consider the viewpoint of future generations by bringing in a variety of perspectives, including economics and government. Of course, specialists will be necessary, but we also need to nurture numerous people who can see things comprehensively.
Hara: So it seems that, as a society, we need to see "future-thinking" as a type of career.
Yes, that is one of the issues that we are dealing with. There is no easy way to achieve things such as sustainability unless society as a whole creates that type of atmosphere. We should not just follow our leaders. Rather, we need to make leaders in our social mechanisms. Moreover, in our idea of Future Design, we are not trying to create leaders for a decade from now. We are trying to create people capable of thinking
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about how leaders a decade from now will think. This is what the Iroquois were thinking so long ago. So I expect that there are others in the world who think the same way.
The Iroquois way of thinking contains roots of something other than Western democracy. The founders of the United States of America used plenty of Iroquois ideas, but the US Constitution itself does not contain the Iroquois notion of democracy. That is a terrible shame. If the US had adopted the Iroquois concept of democracy, the world would have changed even more. So now is the time to create a new mechanism that emulates the Iroquois and incorporates their way of thinking.
Hara: As a final question, tell us what you will be working on going forward in your Future Design research.
The mechanisms of Future Design cannot just be assembled logically. So I hope to verify them through rigorous testing. I hope to see the day when the Ministry of the Future and the School of Future Studies are born. But unless we build a society where these can be realized, we could end up having a destructive "revolution for the future" someday. This is a key issue going forward. I do not know whether it will happen in my lifetime, but I plan to work on building those social mechanisms that make it possible.
(Keishiro Hara, Associate Professor, CEIDS; Yukari Fuchigami, Project Researcher, CEIDS)
8. Introduction of New Member
A young faculty member who joined CEIDS in FY2013 introduces himself.
Assist. Prof. Takashi Michikawa
My name is Takashi Michikawa, and I have joined CEIDS since April 1. I graduated from Keio University (Bachelor of Environment and Information Studies and Master of Media and Governance) and The University of Tokyo (Doctor of Engineering). Then I worked for RIKEN and Research Center for Advanced Science and Technology (RCAST) at The University of Tokyo before I joined CEIDS.
develop automatic algorithms for surface reconstruction of mechanical objects and quantitative analysis defect structures. In addition, I worked on issues in a wide range of fields relating to geometric modeling, such as digital mockup (DMU), geographic information system, and quantitative analysis of fossil crania.
My research interests lies in the field of geometric modeling and its applications to industrial problems. In my last position, I was engaged in a research on geometry processing of mechanical objects scanned by CT scanner in order to improve manufacturing processes by measuring and evaluating actual objects and providing feedback. My contribution of this field is to
Based on these experiences, I am exploring the possibilities of geometric modeling in the fields of civil engineering and urban planning. Recent progress of measurement technologies such as LIDAR and mobile mapping systems (MMS) have made it possible to scan large scenes such as cities as point cloud data. Such "actual object" data are important clues for realizing a sustainable society. However, many technological gaps still exist in order to use the measurement data for actual problems. I would like to use my experience so far to help close these gaps. I will appreciate your guidance and support.
9. Announcements from CEIDS
1 CEIDS faculty member receives Osaka University Presidential Awards for Outstanding Contribution in Research
Environmental Innovation
CEIDS Assoc. Prof. Keishiro Hara has won the Osaka University Presidential Awards for Outstanding Contribution in Research for the
2014 academic year. The award goes to younger faculty members who are expected to play an active part in their fields, judged in part by recognition that they have gained for their work in education and research.
(Osaka University web site: http://www.osaka-u.ac.jp/ en/oumode/commendation/deed/h26encourage).
Going forward, the faculty of CEIDS is fully devoted to our research and educational activities.
2 "Reading Session on just two pages" selects book Pioneering Sustainability Science towards
The "Reading Session on just two pages," hosted by the Support Office for Large-Scale Education and Research Projects, held its third session September 10 at Resona Bank Umeda Branch / Private Salon Re LUXE. The theme of this session was "What is dialogue? Viewed from clinical philosophy and sustainability science." The group picked the book Pioneering Sustainability Science towards Environmental Innovation, edited by Keishiro Hara and Yasushi Umeda of CEIDS, and supervised by CEIDS. For details, see http://www.ura. osaka-u.ac.jp/2pages.html.
Publisher Contact information
Osaka University, Center for Environmental Innovation Design for Sustainability (CEIDS)
Office for University-Industry Collaboration, Building D, 6F 2-1 Yamadaoka, Suita, Osaka, Japan 565-0871
HP: http://www.ceids.osaka-u.ac.jp/english/
Tel: +81-6-6879-4150 / Fax: +81-6-6875-6271
|
Modern Research Studies:
An International Journal of Humanities and Social Sciences
Mapping Right to Information in Print: Critical Study of Times of India and Hindustan Times
AMARESH JHA*
Ph. D. Research Scholar, Amity School of Communication, Amity University, Noida, India E-mail: firstname.lastname@example.org
Dr. AMAN VATS
Associate Professor,
Amity School of Communication, Amity University, Noida, India
E-mail: email@example.com
*Correspondence author
Abstract
This paper presents framing analysis of media coverage focusing on representations of RTI stories related to transparency, governance, services and accountability from 2005–2015. The main sources of material for this research are Times of India (TOI) and Hindustan Times (HT), the two most widely-read English newspapers in India. The analysis adopts the contextual constructivism function of the mass media. The results show that the amount of newspaper content on RTI has increased during the last ten years. RTI stories were highlighted most during 2011 when the then United Progressive Alliance Government was questioned the most on grounds of corruption. The decadal analysis of the RTI stories shows that in these two newspapers the most frequent theme was corruption (15% of articles), with the second most dominant theme related to accountability (11%). 62% of articles were related to events that were positive, compared with 21% that were negative for RTI objectives. The findings of this study recommends that there is a need to constantly monitor the grass root situation of the usage of RTI Act and also to bridge the gap between the urban and the rural masses.
Keywords: Framing Analysis, Media, Newspapers, Right to Information Act
© Dept. of Humanities & Social Sciences, NIT Agartala http://www.modernresearch.in Vol.4. Issue 2 / June2017
After a decade of the implementation of the Right to Information (RTI) Act, it is necessary to examine the prominence this act has got in media and whether media has played its role of disseminator, educator and awareness generator while reporting stories related to RTI Act. Most of the newspapers however report RTI stories in an episodic way, but on completion of ten years of this law some thematic stories were also reported.
One such article published in Hindustan Times (HT) on October 16, 2015 is worth mentioning here. The article titled "A decade of RTI: All you need to know about the game changing law" explains briefly what this act is, how it can be used and how it's being used. This article emphasizes that empowering public authorities to give out information will make the process transparent ("A Decade of RTI," 2015). Another article published in Times of India (TOI) analyzes the ten years of RTI Act in terms of number of users. The article titled "Only 0.41 per cent of Indians seek information under RTI Act: Study" (N. Sharma, 2015) mentions the key findings of the study conducted by Commonwealth Human Rights Initiative which revealed that not even 0.5 per cent of India's population sought information under the RTI Act in 2014. However, the absolute number of RTI applications is increasing year by year.
The study also focuses on the micro trends, which point to a malefemale and rural-urban divide among different states. Data from different states are analysed. The study revealed that only Chhattisgarh captured the urban-rural break-up of RTI applicants. Though the number of applicants increased by 21 percent in Chhattisgarh in 2014 the ratio of rural applicant had in fact reduced. In 2014 less than 20 percent rural applicants sought information through RTI. The study also confirmed that more men file RTI applications than women. The gender wise break up was captured only in Chhattisgarh and Nagaland. "In Chhattisgarh, women constituted 6.9 per cent of the RTI applicants
while in Nagaland they comprise 2.53 per cent of the RTI applicants," (Choudhary et al., 2015) says the study. Further, analysis of socioeconomic background of applicants indicates an increase in applicants from Scheduled Castes and Scheduled Tribes. Chhattisgarh, the only state which has captured the indicative trend, shows that RTI applicants belonging to Scheduled Castes nearly doubled in 2014. There was over 40% increase in RTI applicants from Scheduled Tribes in 2014 from that of 2013.
In an article titled "RTI empowers the citizen, but threats can make Act opaque" published in English daily Hindustan Times, former Central Information Commissioner, Shailesh Gandhi (2015), asserts that after a decade of the implementation of the RTI Act, it is necessary to reflect on some of its key achievements and the threats it faces. On the achievement side he says that the act has spread across the country, and there is no district that has not received RTI applications and the act has empowered the ordinary citizen to get respect as an individual from the government and its officials. On the threat side he observes that the performance of information commissions has been largely unsatisfactory as they have delayed the decisions and hence have failed to prove their accountability.
Context and relevance of the study
The Right to Information is now an internationally protected right. It is protected by United Nations' Universal Declaration of Human Rights, the International Covenant on Civil and Political Rights and by the Commonwealth. Prior to 1989 there were only a dozen countries in the world which provided its citizen with the Right to Information. This number increased to 103 in the next decade. Now, majority of the United Nations member states have recognized freedom of information. As a result, transparency and accountability have gradually become the norm rather than the exception. Now the Governments are also bound to ensure that their offices are properly staffed, funded, trained and equipped to facilitate citizens' access to official information. The departments are bound by the law to voluntarily disclose key information related to their funding, expenditure, and overall
functioning. Every public office has a designated Public Information Officer (PIO).
RTI campaign in India began in the early 1990s. The Mazdoor Kisan Shakti Sangathan (MKSS) started the movement in rural areas of Rajasthan, the western state of India. The campaign was for land, minimum wages and delivery of basic services to the poor. In 1996, Prabhash Joshi, the renowned Indian journalist came forward to support the cause of MKSS and popularized the slogan "Hum Jaanenge, Hum Jeeyenge" (We will Know, We will Live). Following Prabhsash Joshi, other journalists also came in support of this movement. Not only journalists but eminent bureaucrats like S. R. Sankaran, Harsh Mander, and N. C. Saxena also demonstrated their contribution.
Prominent individuals and organizations in the National Campaign for People's Right to Information were joined by a growing number of RTI advocates in many states, campaigning for strong legislation and implementation at the state and national levels.
In this ongoing struggle for making the Indian State accountable to its citizens, the role and contribution of many prominent individuals like Aruna Roy, Shekhar Singh, Nikhil Dey, Anna Hazare, Maja Daruwallah, Shailesh Gandhi and Anjali Bhardwaj are well known. However, much less acknowledged is the collective role of many unnamed individuals and groups who have enabled this fundamental change.
The development of RTI as a part of the constitutional law of India started with petitions of the press to the Supreme Court for enforcement of certain logistical implications of the right to freedom of speech and expression such as challenging governmental orders for control of newsprint, bans on distribution of papers, etc. It was through these cases that the concept of the public's right to know developed.
The landmark case was Bennett Coleman & Co. vs. Union of India in which the petitioners, a publishing house bringing out the most read newspaper in India, the Times of India, challenged the government's
newsprint policy which put restrictions on acquisition, sale and consumption of newsprint. The court struck down the newsprint control order saying that it directly affected the Petitioner's right to freely publish and circulate their paper. In that, it violated their right to freedom of speech and expression. The judges also remarked that freedom of speech and expression includes within its compass the right of all citizens to read and be informed.
In India, like other countries which have adopted Freedom of Information legislations, PIOs are responsible for processing and responding to RTI queries. Modern RTI legislation also incorporates provisions ensuring quick, inexpensive and all-inclusive access to official information. In India it includes timely response to an information request and the release of requested information at minimal costs.
Media advocacy has played an important role in effective RTI legislation and its implementation. Media in India has advocated for publicly disseminating information on the provisions of RTI laws, the procedures for exercising RTI, and key developments within the RTI movement. When various movements joined hands and formed National Campaign for Peoples' Right to Information in 1996, the media took up the issue of RTI in a more serious way. The Indian media generated necessary pressure on the government and parliamentarians to pass the historic RTI Act 2005.
After the passage of the Act in 2005 the Indian media, particularly the newspapers, covered RTI related issues which greatly impacted levels of public awareness. This resulted in the exponential growth of RTI applications every year. For the clarity of the arguments it is important to note that as per RTI Act, one can file a request seeking information to any public funded office. The maximum period to reply an RTI application is 45 days. Media houses launched a nationwide campaign on RTI to build public awareness. This encouraged a large number of people not to pay bribes and ask for information from the government officials under the RTI Act. "Drive against Bribes" was one such campaign which accompanied media partners and civil society
members from across the country. Another such initiative was made by News Express, another newspaper, which joined hands with Parivartan, an NGO in guiding people how to exercise the RTI. This express initiative got wide recognition in the country.
Since the enactment of RTI Act in India, the number of RTI applications has increased exponentially from 100000 queries per month in 2007 to a million applications a month in 2013. RTI also proved useful and instrumental in unearthing large scams in India. RTI queries have been instrumental in unearthing Mumbai's Adarsh Housing Society scam, which led to the sacking of a chief minister; the scandalous Maharashtra irrigation scam; Delhi's Commonwealth Games scam, Assam's public distribution system scam and Madhya Pradesh's recruitment scam.
Indian media has proved very instrumental in bringing the issues and scams unearthed using the RTI Act. This paper analyses all the contents of two leading newspapers of India from 2005 to 2015 to provide a clear image of how RTI issues have been covered and which issues got prominence. This study will prove beneficial not only to the RTI activists and civil society members but also to media researchers. This decadal trend also provides an account of frames used in newspaper coverage of RTI issues which gives an insight into the way RTI issues are highlighted in media. All over the world media researchers are engaged in making assessment of the impact of intervention on big issues. This study will guide policy makers and media professionals on how they have been putting the things till now, and what they need to do in future for better implementation of the act and useful dissemination of information.
Objective of the Right to Information Act:
The basic aim of RTI Act is to empower the citizens. The act also intends to promote transparency and accountability in the working of the Government, contain corruption, and make our democracy work for the people in real sense.
Addressing a convention on the 10 th anniversary celebrations of RTI Act, Prime Minister Narendra Modi said, "The process of accessing information should be transparent, timely and trouble-free. Delayed information does not help solve the problem but increases it. Timely information can halt a wrong decision, we will emphasize this" ("RTI replies," 2015).
Media and Right to Information
Media occupies a critical place in the governance process. The crucial part is its role of a gatekeeper; disseminating critical messages to the public and highlighting issues, concerns, and initiatives. The prime objective of RTI to usher in a practical regime of right to information cannot be attained without a proactive role played by a disseminator, educator, awareness generator that is the media. In the context of RTI implementation, journalists have to play a dual role – as RTI activists and observers – scrutinizing the implementation of the law in rural and urban areas. Media thus plays a crucial role in building an inclusive information society by its sheer reach and opinion building power.
The role of media organizations assumes considerable importance in realizing the objectives of RTI Act. The media can not only play an important role in monitoring public service delivery by invoking provisions under act, but can also facilitate in generating awareness and capacity building on RTI among the community. Thus, media performs an important role in the governance process by acting as a bridge between the community and public agencies.
RTI Act has become a major tool for journalists seeking to uncover information about how people are governed. The act is a key component of an enabling environment for the news media, which are undermined if they cannot access government-held information. Conversely, even with RTI, public right to know cannot be effective without an independent, free press to disseminate information.
So, mere adoption of RTI legislation does not necessarily promote freedom of expression and freedom of the press. Hence the role of press becomes important because news media plays an important part in
advocating RTI laws. Besides journalists themselves, the positions of media outlet owners toward RTI, and the level of ownership independence and concentration are pivotal. If media houses are strongly linked to government and the latter opposes broadening of RTI horizon, then owners of media houses are unlikely to support it, or to allow publishing of stories based on RTI requests that negatively portray government. Conversely, owners of more independent media houses may encourage journalists to support such act and use of it.
Review of Literature
Article 19 of the Universal Declaration of Human Rights adopted by the United Nations states: "Everyone has the right to freedom of opinion and expression; this right includes freedom to hold opinions without interference and to seek, receive and impart information and ideas through any media and regardless of frontiers." Media in the Plan of Action (C.9) states that "The media have an essential role in the development of the Information Society and are recognized as an important contributor to freedom of expression and plurality of information" (WSIS, 2003).
Thompson (1995) has made similar view and stated that means of communication create new ways of acting and interacting socially, new types of relationships, and new ways of presenting ourselves. He asserted that we are passing from face to face dialogue to asymmetrical mass media communication.
Besley and Burgess (2002) has viewed that having a more informed and politically active electorate strengthens incentives for governments to be accountable. This suggests that there is a role for both democratic institutions and mass media in ensuring that preferences of citizens are reflected in policy.
Natharius (2004) has a more critical view on freedom of information and media. He has argued that the role of visual perception is supreme in media literacy. This is truer in present times as majority of information is transmitted using visual forms of mass media such as Television, Films and Internet. This has also led to the shift from a linear perceptual process to a holistic perceptual process. Natharius
(2004) deduces that "media-literate individual must be educated in the processes of visual perception and how the media use the visual channels to transmit, and often distort, information. The more we know the more we see as well as the next most important axiom: What is not seen is as important as what is seen."
In Maciejewski and Ozar's (2005) opinion Right to Know has multiple meanings associated with it. The concept is closely associated with moral thinking, including a discussion of the moral elements of rights. Its meaning varies in specific journalistic situations.
Richardson (2004) notes that the public's right to know is a dangerous notion because an unfettered right to know would result in restrictions on the press's right to determine what to publish.
Studying RTI in India as a case for empowering people, Ashraf (2008) suggests that in the era where numerous administrative agencies have expanded exponentially RTI plays vital role in equipping people to make informed choices. He argues that RTI has emerged as a powerful tool for the poor and underprivileged in India. Adding to this Subramanian and Saxena (2008) in their study express the need of enhancement of IT enabled e-governance in India to achieve a more efficient, transparent, speedy, and corruption free service delivery system.
Roberts (2010) gives an account of first four years of RTI law in India. He finds that however Indian citizens have filed about two million RTI requests for information during its first two and half years, the use of the law is constrained by uneven public awareness, poor public planning, and bureaucratic indifference or outright hostility.
Webb (2010) has studied the success stories of RTI activists in north India and analysed the narratives tailored by activists. He found that reproducing and presenting the success stories helps to show influential movement sympathisers and policy-makers that the movement is socially diverse and that ordinary people are participating. The conscious use of rhetoric is part of building a sense of belonging to particular groups or to the wider movement. A study conducted by Rupley, Brown and Marshall (2012) has similar observation. The study
suggests that there is a need of examining the relation between specific aspects of governance and media coverage. And, results from longitudinal analyses indicate that the quality of disclosures increases over time. But, Fisk (2013) further elaborates the problem and observes that all disclosure statutes are not created equally.
The effectiveness of media advocacy depends on how frequently and in which tone the issues have been raised and followed. Chitra and Neelamalar (2013) while studying the effectiveness of print technologies in bringing social change through RTI Act observed that newspapers had only around 0.16% of articles related to RTI. This study had taken into account the articles published in a single month. Relly and Scwalbe (2013) content-analyzed 221 articles published in three Indian Newspapers and found that more than 80% of RTI related articles referred to corruption and these articles had a brief mention of RTI Act. The English-language dailies reported their own use of RTI to expose corruption in 2% of the articles.
In a recent study P. Sharma (2015) observes that RTI has brought in a palpable sense of empowerment in the lives of many ordinary Indians. However, he warns that just having information using RTI is not enough and for a viable social change we need to act and think beyond rights and legislation. Not only the means of communication has to be meaningful, the act has also to be meaningful according to Pamela Philipose (2015).
Fattah (2016) argues that merely enacting a right like RTI is not enough to ensure citizens' access to information. This study asserts that infomediaries are essential and in Bangladesh infomediaries have played significant role in increasing the number of RTI users and this intervention in Bangladesh increased the number of women RTI users than in non-intervention areas.
Objective of the Study:
1. To provide an empirical assessment of prominence given to RTI related stories in the leading Indian newspapers in the last ten years.
2. To provide an account of type of content, theme and tone of newspaper coverage on RTI related issues in the last ten years.
Hypothesis:
H1: The last ten year has witnessed constant increase in the number of articles on RTI related issues in the leading newspapers of India.
H2: The RTI articles have been placed on reader friendly pages in the leading newspapers.
H3: The tone of articles related to RTI has remained mostly positive towards the basic objectives of the Act.
H4: The articles related to RTI predominantly have thematic frames.
METHODS
Sample
Study sample comprised of two leading national English-language dailies – Hindustan Times (HT) and Times of India (TOI) from 20052015.
1). Articles were obtained from a media monitoring company that provided all clippings of news coverage featuring the words "RTI", "Right to Information'', "RTI Act''
2). For an article to be included in the study it had to be at least five hundred words long and contain at least one full paragraph focused on RTI, plus at least one other mention of RTI.
3). This search strategy yielded 4566+8944 = 13510 articles over the period of ten years from 2005-2015. These articles are likely to represent most of the RTI related news coverage found in national newspapers in India during this period.
Coding variables
There were three key types of variable coded: prominence, content, and tone. Prominence was assessed depending on whether the article appeared on the first page or on the reader friendly pages. Content was assessed in terms of six RTI related themes (Accountability, Governance, Corruption, Personal Grievances, beneficiaries and whistle
blowing). Tone variables included: positive, negative or neutral for RTI related objectives. These coding variables enabled to establish how often RTI related articles appeared in the news, how prominent they were, the type of articles in which they appeared, the main content areas or themes of the news items, and the "tone" of the news items relative to RTI objectives. In addition to this the frequency of RTI related articles in each of the three newspapers was also calculated.
Coding procedures and analysis
Coding procedures were developed over an extended period. Articles on RTI related issues from 2005 to 2015 were coded by one of two authors. To assess inter-coder reliability, 20 articles per month were randomly chosen and coded by both coders. The median value of κ (Cohen's κ index) was 0.86 (range 0.73 to 0.97). Therefore, an acceptable level of agreement between coders was established. Additional significance testing was not carried out because the newspaper articles in this study represent a census rather than a sample of the population of articles.
Findings:
Characteristics and prominence of coverage
Over the course of the last ten years, i.e. from October 2005 to October 2015, 13510 RTI focused articles were published in two leading national newspapers of India. This represents, as shown in Table1, an average of 112 articles per month, or just over three articles a day. Of these, 37% were published on pages other than the front page and 30.54% in special section. Newspaper coverage of RTI issues also included 407 letters to the editor and 403 editorials representing 3.01% and 3.13 % of total coverage respectively.
Table e 1. Cross tabulation n of RTI stories by n newspaper section and main focus
| | | Focuus of Title | | | | | |
|---|---|---|---|---|---|---|---|
| | | Accountability | Governance/ Administration | Corruption | Personal Grievances | Beneficiaries/ Success stories | Whistleblowers /Exposes/ Threats |
| Front page | Count % of total | 31 2 | 67 3.5 | 783 38.6 | 567 18.24 | 889 34.63 | 1143 46.99 |
| Other pages | Count % of total | 843 56 | 711 37.6 | 586 28.9 | 1289 41.48 | 753 29.33 | 881 36.22 |
| Editorial | Count % of total | 46 3 | 53 2.8 | 113 5.6 | 49 1.57 | 83 3.23 | 79 3.24 |
| Letter to the editor | Count % of total | 43 2.8 | 46 2.4 | 89 4.3 | 61 1.96 | 116 4.51 | 52 2.13 |
| Special Section | Count % of total | 523 35 | 1004 53 | 456 22 | 1141 36.72 | 726 28.28 | 277 11.38 |
| | Count | 1486 | 1891 | 2027 | 3107 | 2567 | 2432 |
Volume of Articles
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However, there was considerable variation in the volume of coverage (as can be seen in Fig. 1) each year from a peak of 960+1685 = 2645 in 2011 to a low of 11+25 =36 in 2005. Still, the volume of articles fluctuated over the period – the general trend was that the number of RTI related stories increased. As RTI Act came into effect in the last quarter of 2005, it won't be apt to compare the figures of 2005 with the full years. Even if the number of stories published in 2006 or 2007 is compared with year 2014 or 2015, it's clear that the volume has increased significantly. So, hypothesis no.1 is accepted.
Table 2. Coverage of RTI stories on episodic and thematic frames
| Type of frame | | HT | TOI |
|---|---|---|---|
| Episodic | Count | 3607 | 7423 |
| | % of total | 79 | 83 |
| Thematic | Count | 959 | 1521 |
| | % of total | 21 | 17 |
News stories related to personal grievances of RTI users, as shown in Table 2, includes 23% of all the stories. These grievances included pay and pension related queries, transfer and posting related queries and grievances related to delay in rendering public services. Success stories of RTI beneficiaries accounted for 19% of all the stories. These success stories were somehow related to personal and community grievances only, but the reply of such queries benefited the RTI user or the community directly. 18% of all the stories reported in both the newspapers were related to whistle blowers, RTI Activists and new disclosures made using RTI Act; 15% of the stories reported corruption in Government and local bodies; 14% of the stories were related to loopholes in administration and governance; and 11% stories questioned the accountability of Government and local administration. Of all the stories 25.75% were reported on the front page and among the front page stories those related to whistleblowers and new disclosures were prominent, comprising 46.9% of front page stories, followed by 38.6% stories related to general corruption in government, administration and local bodies. The findings reveal that RTI stories have not been placed prominently on reader friendly pages. Therefore, hypothesis no. 2 is rejected.
Tone of coverage
This the natur by the Majority events th transpare around 2 were ne articles bodies, t coded as objective positive study coded the re of the event b author relative y of the articles hat were positiv ency, accountab 21% of RTI rela gative for RTI with themes of threats to whist s having neutral es. The findings and therefore hy e tone of RTI rel being covered a to fundamenta s as shown in F ve for fundame bility, anti-corru ated stories repr objectives, and f poor governa tle blowers, etc l (17%) impact s reveal that the ypothesis no. 3 i lated stories in o and the opinion al objectives of Figure 2 (61.99 ental objectives uption initiatives resented coverag d were more oft ance, corruption . The remainin on right to info e coverage has r s accepted. order to evaluate being expressed f the RTI Act 9%) reported on of RTI such as s, etc. However ge of events that ten contained in in government ng articles were ormation related remained mostly e d t. n s r, t n t e d y
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Type of frame
As far as type of frame used in RTI related articles is concerned, the content analysis based on coding of stories on episodic and thematic frames (Table 2) found 81.64% of all the stories being reported in episodic frame and only 18.35 percent coverage in thematic frame. This means that newspapers were hardly concerned with educating the readers on RTI issues, their main concern was to create sensation trough the information gathered using RTI. These findings suggest that thematic frames were not given prominence, and hence hypothesis no. 4 is rejected.
Discussion
The results of this framing analysis provide a decadal upgrading of the only study to have systematically examined newspaper coverage of RTI issues in Indian press. The total volume of articles (Fig. 1.) reflects an ongoing presence of RTI issues in the news, with an average of over twelve articles a day. The fluctuation in coverage of RTI issues was, however, substantial during this period. This suggests either that there were peaks and troughs in RTI related queries, or that the newsworthiness of some issues resulted in such fluctuations. One particular fluctuation can clearly be seen in the year 2011, when the large number of corruption related stories was published and the revelations were made signed Right to Information Act. Overall, 2645 newspaper articles relating to RTI appeared in 2011 and most of them were stories on corruption. The relatively high volume of articles in 2011 can also be related to specific scams. In 2011, India's telecom scandal (2G scam) clinched the second spot in Time Magazine's "Top 10 Abuses of Power" list, bested only by Watergate. Times of India and Hindustan Times followed this story regularly and almost every day it carried stories related to this scam.
Coverage of issues related to transparency, accountability, successful RTI users, scams and corruption revealed using RTI and threat to life of whistle blowers were prominent in almost all the years since 2006 (Table 1). The newspapers consistently covered the programs reflecting ongoing development of RTI related issues and
trials including yearly seminar organized in the month of October. The newspapers published articles related to yearly, five yearly and decadal review of the act.
One such article published in Times of India on October 29, 2015 critically examined the ten years of RTI as "10 years after RTI act, info under lock & key." This article compares the state of national RTI act with status of RTI act in Tamil Nadu as it was the first state in India to enact transparency law. The story in Times of India narrated the ten years in terms of victory of good over evil – "when the country celebrated Vijayadashami to mark the symbolic triumph of good over evil, a potent tool to empower citizens and expose the often accepted sordid business of governance came into being. Ten years later, the Right to Information Act has become a whistleblower's weapon as it seeks, though at times in theory, to bring to the light dealings in government departments otherwise shrouded in secrecy" (Philip, 2015).
The same day Hindustan Times published an article with the title "RTI empowers the citizen, but threats can make Act opaque." This article by former Chief Information Commissioner Shailesh Gandhi (2015) provides an account of key achievements of the act and potential threats to this act. The most disturbing aspect in Shailesh Gandhi's view is the judiciary's approach to transparency – "the Supreme Court had declared that it is a fundamental right flowing from Article 19 (1) (a) of the Constitution, before the advent of the RTI Act in many landmark judgments. In the last five years it appears that the decisions of various courts are expanding the grounds on which information can be denied" (Gandhi, 2015). Out of 16 apex court judgments analyzed by Gandhi, only one gave an order to furnish information. This judgment had the following statement: "The Act should not be allowed to be misused or abused, to become a tool to obstruct the national development and integration, or to destroy the peace, tranquility and harmony among its citizens. Nor should it be converted into a tool of oppression or intimidation of honest officials striving to do their duty" (Gandhi, 2015). The writer alleges that many judgments are expanding the exemptions, in a manner which is not in consonance with the law or the Constitution. Shailesh Gandhi concludes this article with a positive remark – "there is a possibility of a true democracy which can lead to
good governance and respect for the citizen. Citizens must continue their efforts at spreading the usage and spirit of the RTI, and also to counter the threats. If citizens want a better future and governance they will have to take this responsibility" (Gandhi, 2015).
Nearly 62 percent stories published in Times of India and Hindustan Times in the last ten years had positive slant towards the objectives of RTI Act. The style of reporting and presentation of the facts were of course different but the ultimate aim of such articles was to promote transparency and accountability in governance.
Sanjoy Narayan, in his one of the articles ("A decade of RTI," 2015) provided an account of how the law was enacted and how crucial it has proved so far for the citizens in exercising their democratic rights. The article elaborates on how one can use this act and who is responsible for providing the information to the citizen –"under RTI any citizen can request, as her fundamental right, information from public authority, which is bound to reply speedily — within 30 days. Since its enactment in 2005, not only has the number of RTI applications soared — around 70 central government offices alone received an average of a million applications a month in 2013 compared to 100,000 a month in 2007 — but it has also been a law that has been instrumental in the unearthing of several scams and misdeeds involving hundreds of crores of rupees."
Newspapers have time to time reported some interesting and useful stories on RTI. One such story was from Hyderabad ("Fogging kills mosquitoes," 2013) titled "Fogging kills mosquitoes or harms humans?" In reply to this query filed by Syed Ali Hussaini, municipal authorities admitted that they have not done any study to check the effect of the chemicals used against mosquitoes on humans. What's more, it is not only one or two, but around 10 chemicals that are routinely being sprayed around houses and parks in the city. The reply shows that municipal authorities have been blindly following the procedure without knowing its consequences. Such stories create awareness among masses and motivate others to file queries using this act for the benefit of the community.
However, both the newspapers used the episodic frames dominantly while reporting RTI stories – time to time these newspapers provided systematic information about RTI as well. Altogether more than 80% of the stories used episodic frame and around 18.35% stories used thematic frames (Table 2). This indicates that there is need of increasing the stories based on thematic frames so that people can have better understanding of the act. This will help in bridging the gap and the country will have more empowered and informed citizenry.
Directions for further research
This content analysis of newspaper coverage of RTI issues provides one important component of an overall evaluation of media advocacy efforts. Other methods that can contribute to a broader understanding of the subject include interviews with advocates and journalists, public opinion surveys, and the tracking of relevant policy changes. Perhaps most importantly, future research needs to examine the putative links between the presentation of issues in the media, individual use of media, and the way that news articles are perceived by the public.
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Maciejewski, J. & Ozar, D. (2005). Natural Law and the Right to Know in a Democracy. Journal of Mass Media Ethics, 20 (2), 121-138.
Natharius, D. (2004). The More We Know, the More We See: The Role of Visuality in Media Literacy. American Behavioral Scientist, 48(2), 238-247
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jonas declerq, szabolc Acta Orthop. Belg., 2020, 86, 220-226
s benis,
wim vanhove,
nadine hollevoet
ORIGINAL STUDY
Treatment of distal radius fractures with palmar plates and locking screws. Comparisson of two different types of plate
Jonas Declerq, Szabolcs Benis, Wim Vanhove, Nadine Hollevoet
From the Ghent University Hospital, Belgium
Various plating systems are available to fix distal radius fractures, each with a specific design. The purpose of this study was to compare radiological outcome and complications of the Variable Angle LCP Plate 2.4-mm (DePuy Synthes) with the VariAx volar locking plate (Stryker). One hundred patients (103 wrists) operated on for a distal radius fracture were retrospectively reviewed with a mean follow-up of 3.5 years. Seventy-three wrists were treated with a DePuy Synthes plate and 30 with a VariAx plate. The overall complication rate was 32%. Nineteen cases underwent revision surgery, 18 had malunion and 3 complex regional pain syndrome. Complicaton rate was 43% with DePuy Synthes plates and 27% with Variax plates, but the difference was not significant.
Keywords : distale radius fracture ; palmar plate ; complications.
In the last decade there has been an increased interest in operative treatment with palmar plates and locking screws (11). Main advantages are stable fixation, decreased period of immobilization, early rehabilitation and good anatomical restoration (7,9,19). Locking plates are particularly useful in patients with osteoporotic bones. The palmar approach has become more popular than the dorsal because of the lower risk of tendon rupture and hardware irritation (20). Several different palmar plate designs were introduced on the market, all with different features to reduce the risk of complications. Plates have become thinner and more adapted to the shape of the volar surface of the distal radius. It is possible to choose the direction of the locking screws and in some plates double rows of distal locking screws are available (14,17). Variable Angle LCP Two-Column Volar Distal Radius Plate 2.4mm (DePuy Synthes) and the VariAx Distal Radius
INTRODUCTION
Distal radius fractures are one of the most common fractures. In the Netherlands, the overall incidence was 20 per 10,000 person-years with a higher incidence in women increasing with age for both women and men. Fifty percent of all fractures were extra-articular or AO type A fractures, 24% partially articular or AO type B and 26% complete articular or AO type C (3). The most common injury mechanism is a low energy fall on the outstretched hand (12).
Acta Orthopædica Belgica, Vol. 86 - 2 - 2020 No benefits or funds were received in support of this study. The authors report no conflict of interests.
Hollevoet.indd 220
n Jonas Declercq, Medical student.
n Wim Vanhove, MD, Orthopaedic Surgeon.
n Szabolcs Benis, MD, Orthopaedic Surgeon.
n
Department of Orthopaedic Surgery and Traumatology,
Nadine Hollevoet, MD, PhD, Orthopaedic Surgeon.
Ghent University Hospital, Ghent, Belgium.
E-mail : email@example.com © 2020, Acta Orthopædica Belgica.
Correspondence : Nadine Hollevoet, Department of Orthopaedic Surgery and Traumatology, Ghent University Hospital, De Pintelaan 185, B-9000 Gent., Telephone : 093322010, Fax : 093324975.
Acta Orthopædica Belgica, Vol. 86 - 2 - 2020
Plating System (Stryker) have an anatomical design and polyaxial (variable angle) locking screws (17) (Fig 1). The aim of the present study study was to compare radiological outcomes and complications of these two different volar locking plate design systems.
PATIENTS AND METHODS
Between 2011 and 2014, 120 patients were operated on for a distal radius fracture, of whom
Hollevoet.indd 221
4 bilaterally, with a Variable Angle LCP Plate 2.4mm (DePuy Synthes) or a VariAx volar locking plate (Stryker) in the Orthopaedic department of the Ghent University Hospital. Fifteen patients were lost to follow-up and two did not want to participate in the study. Of those patients, 10 were treated with a Variable Angle LCP Plate and 7 with a VariAx plating system. Patients were excluded if concomitant ipsilateral fractures of the ulna or radius had been treated with a plate. This was the case in 3 patients (4 wrists). Three included patients
had a bilateral distal radius fracture and underwent bilateral palmar plate fixation, 2 with a DePuy Synthes plate and 1 with a VariAx plate. In total, 103 wrists of 100 patients were included in this study.
Following information was collected from the electronic medical files : gender, age at the time of surgery, side,complications, revision surgery, fracture type and radiological parameters. In 84 patients, no secondary surgical procedures were reported in the medical files and they were contacted by telephone to find out if they had undergone revision surgery or any treatment for complications in another hospital.
Patients were operated on by different surgeons under general anaesthesia and with the use of a tourniquet. First closed reduction of the distal radius fracture and temporary fixation with one or two K-wires was performed. The Henry approach was used to reach the distal radius fracture. The position of the fracture, plate and screws was checked with fluoroscopy. Postoperatively, a forearm plaster of Paris splint was applied. After one week skin sutures were removed and a circular forearm cast was applied for three more weeks. Patients were advised to move their fingers, elbow and shoulder.
Complications were defined as any condition severe enough to require a revision surgical procedure, complex regional pain syndrome (CRPS) or if there was radiological evidence of malunion. Additional surgery to remove the hardware was also considered as a complication.
Radiographic images were evaluated with the picture archiving and communication system (PACS, GE Healthcare, Milwaukee, USA). Fractures were classified with the AO-classification system : extra-articular (type A), partial articular (type B) and complete articular (type C) fractures (23). It was noted if an additional fracture of the ulnar head was present. A fracture of the ulnar styloid process was not considered as an associated ulna fracture (24). Ulnar variance, radial inclination and radial tilt were determined on preoperative, immediate postoperative and at least one month postoperative wrist X-rays. In case of malunion, fractures were classified into four types : 1) Dorsal malunion (dorsal tilt greater than 10°) ; 2) Palmar
Hollevoet.indd 222
malunion (palmar tilt greater than 16° or with palmar translation of the distal fracture fragment of more than 2 mm) ; 3) Intra-articular malunion (articular step of more than 2 mm, a palmar tilt less than 17°, a dorsal tilt no more than 10°, and no palmar translation) ; 4) Radial shortening (increase in ulnar variance of more than 2 mm without articular steps, palmar shift or major change in palmar tilt). Normal ulnar variance was estimated from radiographs of the normal wrist or from radiographs taken on the first postoperative day (8). Malunion could be evaluated in 82 patients.
Complications rate, revision surgery rate and malunion rate between the two plate systems and the three fracture types were analysed using the Pearson's chi-square test. The analysis was performed with SPSS datastatistics, version 24 (IBM SPSS, Armonk, NY, USA). A P-value of <0.05 was considered statistically significant.
The data were collected by the first author (JD), who was not involved in the surgical treatment or rehabilitation. The study has been approved by the medical ethics committee of the Ghent University.
RESULTS
Fifty women and 50 men were included in the study. Three men had a bilateral radius fracture. Patients were reviewed with a mean follow-up of 44 months (range : 13, 74). Features of the patients included in the study and AO classification are presented in Table I.
Twelve patients treated with a DePuy Synthes plate needed revision surgery. A 37-year old man was operated on for acute carpal tunnel syndrome one day after the osteosynthesis. A 22-year old man sustained a fracture of the radius through the proximal screw hole of the plate after a fall on the hand during snowboarding 17 months after osteosynthesis (Fig 1). The plate had to be removed
The total overall complication rate was 32%. The compication rate of the DePuy Synthes plate was 43% and of the VariAx plate 27% . Nineteen cases (18%) underwent revision surgery. Comparison between the complications of the Variable Angle LCP Plate and the VariAx plate is presented in Table II.
Table I. — Features of patients treated with a DePuy Synthes and VariAx plate
| | DePuy Synthes (N=73) |
|---|---|
| Men / Women | 34 (47%) / 39 (53%) |
| Age: mean (SD) (years) | 51 (17) |
| Right side | 29 (40%) |
| Extra-articular fractures (AO-classification A) | 28 (38%) |
| Partial articular fractures (AO-classification B) | 18 (25%) |
| Intra-articular fractures (AO-classification C) | 27 (37%) |
Table II. — Complications with the DePuy Synthes plate and the VariAx plate
| | | | DePuy Synthes (N=73) |
|---|---|---|---|
| Revision surgery (number of patients) | | | 12 (16%) |
| | Hardware removal | | 8 (11%) |
| | | Extensor tendinitis | 1 |
| | | Flexor tendinitis | 2 |
| | | Intra-articular screw | 0 |
| | Carpal tunnel release | | 1 |
| | Ulnar shortening osteotomy (ulnar instability) | | 1 |
| | Tendon transfer (rupture tendon extensor pollicis longus) | | 1 |
| | Peri-implant fracture | | 1 |
| | Proximal row carpectomy | | 1 |
| Complex regional pain syndrome | | | 2 |
| Radiological results | | | N=53 |
| Malunion | | | 11 (21%) |
| | Dorsal malunion | | 0 |
| | Volar malunion | | 4 |
| | Intra-articular malunion | | 3 |
| | Radial shortening | | 5 |
and osteosynthesis with another plate was required. An ulnar shortening osteotomy was performed in a 35-year old man, four months postoperatively because of instability of the distal radio-ulnar joint in association with an ulna plus. A 54-year old woman with a comminuted fracture was reoperated for rupture of the tendon of the extensor pollicis longus 6 months postoperatively. In a 43-year old woman, plate and screws were removed 10 months postoperatively and four months later a proximal row carpectomy was performed in another hospital because of carpal instability. A 61-year old woman and a 67-year old man developed CRPS.
Of the 7 patients treated with a VariAx plate who needed revision surgery, there was a 77-year old woman in whom plate and screws had to be removed because of intra-articular screw placement. A 25-year old man had symptoms of median nerve compression two years postoperatively. This was confirmed by an electromyography and a carpal tunnel release was performed. In this patient plate and screws were also removed because of hardware irritation. A 31-year old woman was diagnosed with CRPS two months postoperatively.
Mean postoperative ulnar variance was 1 mm (range : -3, +7), mean postoperative palmar tilt 9°
Hollevoet.indd 223
(range : -11, 25) and mean radial inclination 23° (range : 3, 36).
There was no statistically significant difference in complication rate, revision surgery rate and malunion rate between the two plating systems (P=0.12, P=0.41 and P=0.72). Complication rates were not significantly higher in one of the three different fracture types (P=0.16).
DISCUSSION
In recent years palmar plate fixation has become the preferred treatment for unstable distal radius fractures, but it is not without complications. In the present study the overall complication rate was 32%. In the literature, reported complication rates ranged between 0 and 48% (25). This variation can be explaned by the different definition of complication. In some studies, hardware removal and malunion were not considered as a complication (6,15,25).
In the present study, hardware had to be removed in 15 cases. In two of those if was because of flexor tendonitis, in 1 because of extensor tendonitis and in another a screw was placed intra-articularly.The systematic review of Yamamoto showed that the most frequent reasons for hardware removal were routine removal, tendon irritation or tenosynovitis, hardware problem and patient's request (25). There is a high variety in removal rate and not all studies report hardware removal as a complication. The mean hardware removal rate according to the systematic review of Yamamoto et al. was 9%, ranging from 0 to 100%. Thorninger et al. reported a removal rate of 7% and Javed et al. a rate of 3% (9,22).
One of the most important risks of volar plate fixation is flexor and extensor tendon irritation and rupture. Excessive distal placement of the plate, prominent distal edge of the plate and prominent screws can irritate flexor tendons (2). The Watershed line is a surgical landmark on the volar radius which can serve as a distal margin for volar plating. To reduce the risk of tendon irritation, it is important to place the plate proximally of this line. Extensor tendons may rupture when screws perforate the dorsal radius cortex (17).
Carpal tunnel syndrome is a common complication after distal radius fracture (16). It can be idiopathic
Hollevoet.indd 224
(primary), secondary or acute. Acute carpal tunnel syndrome is progressive, develops rapidly and requires urgent decompression. Secondary carpal tunnel syndrome can occur months to years after the fracture and may be mild and not recognized (6,16). Prophylactic release of the carpal tunnel during plate fixation is not recommended (16). In the present study, 2 patients (2%) had carpal tunnel syndrome, one acute and another late. In the literature rates of carpal tunnel syndrome after plate fixation of distal radius fractures range between 2 to 6% (6,9,13,17,18,22).
In the present study, there was one patient reoperated with an ulnar shortening osteotomy. Esenwein et al. reported this procedure in 8 cases (1,2%) (6).
Complex regional pain syndrome is a well known complication in patients with a distal radius fracture. It is a clinical diagnosis characterized by pain, swelling, neurovegetative symptoms and loss of function. Treatment is non-operatively with physiotherapy and painkillers. In the present study, two patients with CRPS were found. Some studies reported no CRPS, while others had rates of 4%, 5% and 9% (13,17,18).
Other complications reported in the literature are compartment syndrome, deep and superficial infections, delayed unions and screw loosening (1,6). In the present study those complications were not found.
In the present study, two different plate designs were compared. Both were characterized by the variable angle (polyaxial) feature and the anatomical design. These characteristics make it easier to place
Several studies reported a link between malalignment and poor clinical outcome (4,5). Especially radial shortening and palmar malunion may be important (5). However, this correlation was less clear in elderly patients (5,21). We did not see a significant difference in malunion rate between the two types of plates. The total malunion rate was 18%. Knight et al. reported 25% malunions with fixed-angle locked T-plates. However, a different definition for malunion was used. Malunion was considered if the dorsal angle was more than 0°, the palmar angle more than 15° and radial shortening greater than 3 mm (10).
the plate on the optimal location on the radius surface (14,17). To our knowledge, this is the first study that compared these two plate designs. No significant difference in complication and malunion rate between the VariAx and the DePuy Synthes plate were found. Javed et al. compared three different plate designs : Stryker Variax, Synthes LCP (not reported if with fixed or variable angle), and Smith & Nephew Peri-Loc (fixed angle) with respectively 26%, 20% and 14% complication rates. The differences were not significant (9). Thorninger et al. compared the complication rates between the variable angle VariAx plate and the fixed angle AcuLoc plate and did not find a significant difference (22). Mehrzad et al. compared two different types of volar plates : one design with locking screws with fixed angles and one new design with variable angle locking screws. They found significantly more plate related complications in the group with the fixed angle screws (15). Obert et al. compared also those two different types of plates. The new design had fewer implant related problems than the old (4.1% and 6.4%), but more tendon ruptures (5% and 0 %), The overall complication rate was similar for the old and new designs, 16.5% and 16.1%, repectively (17).
Limitations of the present study are its retrospective nature. Complications may be underreported as postoperative CT scans were not studied to detect intra-articular screw placement. Some complications may not be related to the type of plate but to the nature of the fracture and the energy of the trauma.
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10/31/2023 11/3/2023
Conference
Thailand
Full Air Fare Only
(TENCON) 2023
| | Saket | Kumar | NIT, Raipur | 10/16/2023 | 10/19/2023 | 49th IEEE Annual Conference of Industrial Electronics Society (IECON 2023) | Singapore | Regretted |
|---|---|---|---|---|---|---|---|---|
| 12241 | Yugal | Kishor | NIT, Raipur | 10/16/2023 | 10/19/2023 | 49th Annual Conference of The IEEE Industrial Electronics Society (IECON-2023) | Singapore | Full Air Fare Only |
| | Noshin Abizer | Sabuwala | VJTI, Mumbai | 10/31/2023 | 11/3/2023 | IEEE TENCON 2023 | Thailand | Regretted |
| | Markala | Karthik | NIT, Rourkela | 10/16/2023 | 10/19/2023 | 49th Annual Conference of the IEEE Industrial Electronics Society (IES) IECON 2023 | Singapore | Regretted |
| | Hans | Krupakar | IIIT, Delhi | 10/25/2023 | 10/31/2023 | Intelligent Systems Research Centre Computational Neuroscience Neurotechnology and Neuro-Inspired AI (ISRC-CN3) Autumn School | UK | Regretted |
| | Aman | Gupta | Indian Institute of Engineering Science and Technology, Shibpur | 10/24/2023 | 10/26/2023 | IEREK UPADSD 8th Edition Conference | Italy | Regretted |
| 12242 | Gade Kesava | Rao | IIT Roorkee, Roorkee | 10/23/2023 | 10/26/2023 | IEEE PES ISGT Europe 2023 | France | Full Air Fare Only |
| | Tripti | Gangwar | IIT Roorkee, Roorkee | 10/23/2023 | 10/26/2023 | IEEE PES ISGT Europe 2023 | France | Regretted |
| 12243 | Tribhuwan Singh | Bisht | Indian Institute of Technology, Delhi | 10/9/2023 | 10/13/2023 | Sardinia Symposium 2023 | Italy | Full Air Fare Only |
| | Manuj | Saini | CCSHAU, Hisar | 9/27/2023 | 9/29/2023 | 14th IFSDAA International Conference on Sustainable Agriculture for Food Security Under Climate Change | Germany | Regretted |
| 12244 | Harsha Vardhan | Kurugodu | Indian Institute of Technology, Delhi | 10/9/2023 | 10/11/2023 | PARTICLES 2023 | Italy | Full Air Fare Only |
| | Prity | Dhanai | Indian Institute of Technology, Delhi | 10/9/2023 | 10/11/2023 | PARTICLES 2023 | Italy | Regretted |
Indian Institute
244th ECS Meeting
Sagar
Vashisht of Technology,
Delhi
10/8/2023 10/12/2023
Sweden
Regretted
| | Satakshi | Ghosh | Jadavpur University, Calcutta | 10/2/2023 | 10/4/2023 | 25th International Symposium on Stabilization, Safety and Security of Distributed Systems | USA |
|---|---|---|---|---|---|---|---|
| | Anupam | Choubey | Indian Institute of Technology, Delhi | 10/15/2023 | 10/19/2023 | The 27th International Conference on Miniaturized Systems for Chemistry and Life Sciences | Poland |
| | Arkaprava | Mandal | IISER, Kolkata | 10/9/2023 | 10/20/2023 | FERS Future Earth Research School Sea Level Rise and Coastal Adaptation | Italy |
| 12245 | Dipankar | Bera | Vidyasagar University, Midnapore | 10/2/2023 | 10/5/2023 | 5th Euro- Mediterranean Conference for Environmental Integration | Italy |
| | Dincy | Mariyam | Centre for Wildlife Studies, Bengaluru | 10/10/2023 | 10/13/2023 | GEO BON Global Conference: Monitoring Biodiversity for Action | Canada |
| | Supreet | Kaur | NPL, DELHI | 10/2/2023 | 10/6/2023 | American Association for Aerosol Research 41st Annual Conference 2023 (AAAR) | USA |
| | Abinash | Bal | Indian Institute of Technology, Kanpur | 10/30/2023 | 11/2/2023 | International Geomechanics Symposium 2023 | Kingdom of Saudi Arabia |
| | Uttam | Pandey | Indian Institute of Tropical Meteorology, Maharashtra | 10/4/2023 | 10/6/2023 | Novel Approaches in Tree Ring Research | Germany |
| | Vandana | Choudhary | Jawaharlal Nehru University, New Delhi | 10/29/2023 | 11/3/2023 | NEEDS Conference | Netherlands |
| 12246 | Lalit | Kandpal | Indian Institute of Technology, Delhi | 10/9/2023 | 10/11/2023 | Particles 2023 | Italy |
| | Swagatika | Chakra | Physical Research Laboratory, Ahmedabad | 10/23/2023 | 10/27/2023 | World Climate Research Programme Open Science Conference (WCRP OSC) 2003 | Rwanda |
| | Jaswant | Moher | Indian Institute of Technology, Delhi | 10/2/2023 | 10/8/2023 | 8th CVC Training School | Italy |
Atreyee
Saha
Pune Knowledge
Cluster, Pune
Googles Geo for
Good Summit 2023
| | Ashmita | Patro | IMMT, BHUBANESWAR | 10/1/2023 | 10/5/2023 | IEES Conference 2023 Closed Cycles and the Society: the Power of Ecological Engineering | Greece |
|---|---|---|---|---|---|---|---|
| | Biswajit | Dey | NIPER, Hyderabad | 10/11/2023 | 10/15/2023 | AACR-NCI-EORTC International Conference on Molecular Targets and Cancer Therapeutics | USA |
| | Prasanjeet | Kaur | Indian Institute of Technology, Delhi | 10/15/2023 | 10/20/2023 | 13th International Peptide Symposium | Australia |
| | Nishant Kumar | Sharma | Indian Institute of Science, Bangalore | 10/15/2023 | 10/19/2023 | MicroTAS 2023 | Poland |
| | Mayank | Sinha | Indian Institute of Technology, Delhi | 10/15/2023 | 10/20/2023 | 13th International Peptide Symposium | Australia |
| | Tanay | Biswas | Indian Institute of Technology, Kanpur | 10/1/2023 | 2/1/2024 | Mehta Rice Engineering Scholars Program | USA |
| | Anwesha | Mahajan | ICMR-National Institute of Nutrition, Hyderabad | 10/10/2023 | 10/12/2023 | 3rd Food Chemistry Conference | Germany |
| 12247 | Dileshwar | Kumar | ICMR-National Institute of Nutrition, Hyerabad | 10/10/2023 | 10/12/2023 | 3rd Food Chemistry Conference: Shaping a Health and Sustainable Food Chain Through Knowledge | Germany |
| | Pallabika | Gogoi | ICMR-National Institute of Nutrition, Hyderabad | 10/10/2023 | 10/12/2023 | 3rd Food Chemistry Conference: Shaping a Healthy and Sustainable Food Chain Through Knowledge | Germany |
| | Zufika` | Qamar | Jamia Hamdard, New Delhi | 10/22/2023 | 10/25/2023 | American Association of Pharmaceutical Scientists (AAPS) Pharm Sci 360 | Florida (FL) |
| | Saif Ahmad | Khan | Jamia Hamdard, New Delhi | 10/22/2023 | 10/25/2023 | American Association of Pharmaceutical Scientist (AAPS) Pharm Sci 360 | US |
10/9/2023 10/11/2023
USA
Regretted
12248 Somya
Singhal
Tezpur
University,
Shaping A Healthy and Sustainable
Tezpur
Food Chain Through
| Ami Ghanshyambha i | Patel | The M.S University of Baroda, Vadodara | 10/22/2023 | 10/25/2023 | AAPs PharmSci 360 | USA | Regretted |
|---|---|---|---|---|---|---|---|
| Gagan | Kaur | Indian Institute of Technology, Delhi | 10/15/2023 | 10/20/2023 | 13th International Peptide Symposium | Australia | Regretted |
| Takdeer | Kaur | Postgraduate Institute of Medical Education & Research, Chandigarh | 10/13/2023 | 10/16/2023 | ASBMR 2023 Annual Meetings | Canada | Regretted |
| Pankaj Nathu | Musale | NCL, PUNE | 9/17/2023 | 9/21/2023 | Molecular Parasitology Meeting (MPM) 2023 | USA | Regretted |
| Simran | Kaur | Postgraduate Institute of Medical Education & Research, Chandigarh | 10/13/2023 | 10/16/2023 | ASBMR 2023 Annual Meetings | Canada | Regretted |
| Arunkumar | Subramanian | SRMIST, Kattankulathur | 10/25/2023 | 10/27/2023 | Monash Initiate 2023 | Malaysia | Regretted |
| Amitha Banu | S | ICAR-IVRI, Bareilly | 10/16/2023 | 10/19/2023 | TERMIS-AP 2023 (Tissue Engineering and Regenerative Medicine International Society Asia Pacific) | Hong Kong | Regretted |
| Zuha | Shariff | Al-Ameen College of Pharmacy, Bangalore | 10/25/2023 | 10/27/2023 | MONASH INITIATE 2023 Translating Research Into Practice: Revolutionizing Healthcare Delivery and Outcomes | Malaysia | Regretted |
| Maseera | Ahmedi | Al-Ameen College of Pharmacy, Bangalore | 10/25/2023 | 10/27/2023 | MONASH INITIATE 2023 Translating Research Into Practice Revolutionizing Healthcare Delivery and Outcomes | Malaysia | Regretted |
| Priyanka Raju | Chougule | ICMR-National Institute of Nutrition, Hyderabad | 10/16/2023 | 10/17/2023 | 19th Annual Conference on Pharmacology and Toxicology Emerging Trends in Drug Discovery and Development | Singapore | Regretted |
10/10/2023 10/12/2023
Germany Half Air Fare Only
Jamia Hamdard,
MONASH INITIATE
New Delhi
2023 Monash
International Health
| | Vishal | Mathur | Jamia Hamdard, New Delhi | 10/25/2023 | 10/26/2023 | MONASH INITIATE 2023 Monash International Health Science and Science Technology Conference (Translating Research Into Practice: Revolutionizing Healthcare Delivery and Outcome) | Malaysia | Regretted |
|---|---|---|---|---|---|---|---|---|
| 12249 | Bonipas | Antony J | Tamil Nadu Agricultural University, Coimbatore | 10/16/2023 | 10/19/2023 | 6th International Rice Congress 2023 | Philippines | Half Air Fare Only |
| 12250 | Mathankumar | P | Tamil Nadu Agricultural University, Coimbatore | 10/16/2023 | 10/19/2023 | 6th International Rice Congress 2023 | Philippines | Half Air Fare Only |
| | Mythili | S R | Tamil Nadu Agricultural University, Coimbatore | 10/16/2023 | 10/19/2023 | 6th International Rice Congress 2023 | Philippines | Regretted |
| | Nivedha | R | Tamil Nadu Agricultural University, Coimbatore | 10/16/2023 | 10/19/2023 | 6th International Rice Congress 2023 | Philippines | Regretted |
| 12251 | Pravin | Kumar K | Tamil Nadu Agricultural University, Coimbatore | 10/16/2023 | 10/19/2023 | 6th International Rice Congress 2023 | Philippines | Half Air Fare Only |
| 12252 | Arockia Infant | Paul R | Tamil Nadu Agricultural University, Coimbatore | 10/16/2023 | 10/19/2023 | 6th International Rice Congress | Philippines | Full Air Fare Only |
| | Santhiya | Subramanian | Tamil Nadu Agricultural University, Coimbatore | 10/16/2023 | 10/19/2023 | 6th International Rice Congress 2023 | Philippines | Regretted |
| 12253 | Shobica Priya | Ramasamy | Tamil Nadu Agricultural University, Coimbatore | 10/16/2023 | 10/19/2023 | 6th International Rice Congress 2023 | Philippines | Full Air Fare Only |
| | Yama Santhoshi | Lavanya | Tamil Nadu Agricultural University, Coimbatore | 10/16/2023 | 10/19/2023 | International Rice Congress (IRC 2023) | Philippines | Regretted |
Indian Institute of Technology,
EMBO/EMBL
Symposium Seeing
Delhi
Saurabh
Shrivastva
10/4/2023 10/7/2023
is Believing: Imaging the Molecular
| | Subhradip | Das | IISER Pune | 10/20/2023 | 10/23/2023 | European Drosophila Research Conference 2023 | France |
|---|---|---|---|---|---|---|---|
| 12254 | Kundan | Kumar | IISER Pune | 10/20/2023 | 10/23/2023 | European Drosophila Research Conference 2023 | France |
| 12255 | Anuhya Lohitha | Anne | BITS-Pilani, Hyderabad | 10/12/2023 | 10/14/2023 | 1st Epigenetics Society (ES) International Meeting | Italy |
| | Avinash Kumar | Ranjan | Indian Institute of Technology, Delhi | 9/26/2023 | 9/29/2023 | Bernstein Conference | Germany |
| | Vikas Dhar | Dubey | Indian Institute of Technology, Delhi | 10/1/2023 | 10/6/2023 | EMBO Workshop Inter-Organelle Contacts Biology 2023 | Italy |
| | Sarabjot | Kaur | CSIO, CHANDIGARH | 10/9/2023 | 10/10/2023 | 5th International Conference on Applied Microbiology and Beneficial Microbes | UK |
| | Rushikesh Munnalal | Jaiswal | Institute of Agriculture Science BHU, Varanasi | 10/16/2023 | 10/19/2023 | International Rice Congress 2023 | Philippines |
| 12256 | Chaman | Saini | All Indian Institute of Medical Sciences, New Delhi | 10/15/2023 | 10/18/2023 | Cytokine-2023 Annual Meeting of International Cytokine & Interferon Society (ICIS) | Greece |
| | Namrata Pramod | Kulkarni | IISER Pune | 10/20/2023 | 10/23/2023 | European Drosophila Research Conference (EDRC) 2023 | France |
| | Jyotsna | Kawadkar | IISER, Bhopal | 10/20/2023 | 10/23/2023 | European Drosophila Research Conference 2023 | France |
| | Swapnil | Hingole | IISER, Bhopal | 10/20/2023 | 10/23/2023 | European Drosophila Research Conference 2023 | France |
| 12257 | Nimita | Deora | ICMR-NIMR, New Delhi | 10/17/2023 | 10/19/2023 | DMM 2023: Infectious Diseases Through an Evolutionary Lens | UK |
| 12258 | Pallavi | T | University of Agricultural Sciences, Bangalore | 10/16/2023 | 10/21/2023 | 11th International Symposium on Plant Soil Interaction at Low pH (PSILPH) | China |
Germany Regretted
THSTI, Faridabad
2023 International
Society for Vaccines
12259 Rahul
Ahuja
10/22/2023 10/24/2023 (ISV) Congress
Switzerland Half Air Fare Only
| | Kushagra | Pant | National Institute of Food Technology Entrepreneurship and Management, Sonipat | 10/10/2023 | 10/12/2023 | 3rd Food Chemistry Conference Snaping a Healthy and Sustainable Food Chain Through Knowledge | Germany |
|---|---|---|---|---|---|---|---|
| | Arun | Kumar s | NITK, Mangalore | 10/31/2023 | 11/3/2023 | The 13th Asia Pacific Chitin and Chitosan Symposium | Republic of Korea |
| | Ankan | Chakraborty | Indian Institute of Technology, Delhi | 10/9/2023 | 10/11/2023 | RNA Granules 2023 | UK |
| 12260 | Shashank M | Patil | JSS Academy of Higher Education and Research, Mysuru | 10/10/2023 | 10/12/2023 | 3rd Food Chemistry Conferecne: Shaping a Healthy and Sustainable Food Chain Through Knowledge (Elsevier) | Germany |
| 12261 | Amartya | Mukherjee | Indian Institute of Science, Bangalore | 10/20/2023 | 10/23/2023 | 27th European Drosophila Research Conference (EDRC) | France |
| | Avik | Bardhan | IISER, Pune | 10/8/2023 | 10/12/2023 | Microtubules in Neurons 2023 | Germany |
| | Ankit | Maurya | IIT Roorkee | 10/4/2023 | 10/6/2023 | TIMING Research Forum 3 | Portugal |
| | Simran Krishnakant | Kushwaha | BITS-Pilani, Rajasthan | 10/2/2023 | 10/4/2023 | SPP 2330 International Symposium | Germany |
| 12262 | Farhan | Anjum | IIT Mandi, Mandi | 10/4/2023 | 10/7/2023 | EMBO-EMBL Symposium on Seeing is Believing: Imaging the Molecular Processing of Life | Germany |
| | Prince Samuel | Godson | Manonmaniam Sundaranar University, Tamilnadu | 10/2/2023 | 10/5/2023 | 5th Euro- Mediterranean Conference for Environmental Integration (Springer) | Italy |
| 12263 | Ankita | Kumari | Banaras Hindu University, Varanasi | 10/20/2023 | 10/23/2023 | 11th Congress on Trends in Medical Mycology (TIMM- 11) | Greece |
| 12264 | Gunjan | Uttam | Banaras Hindu University, Varanasi | 10/20/2023 | 10/23/2023 | 11th Congress on Trends in Medical Mycology(TIMM-11) | Greece |
| 12265 | Sonali | Kumari | IIT (BHU), Varanasi | 10/15/2023 | 10/19/2023 | IUPAC-ISCNP31 & ICOB11 | Italy |
Saurabh
Dwivedi
IMMT,
BHUBANESWAR 10/1/2023 10/5/2023
IEES Conference
2023
Greece
Regretted
Indian Institute
MICROTAS 2023
Bheema of Science,
| 12266 | Debarati Guha | Roy | National Institute of Biomedical Genomics, West Bengal | 10/15/2023 | 10/18/2023 | Cytokines 2023 11th Annual Meeting of International Cytokine and Interferon Society (ICIS) | Greece | Half Air Fare Only |
|---|---|---|---|---|---|---|---|---|
| 12267 | Santosh Vijay | Lohakare | Birla Institute of Technology & Science, Pilani | 10/2/2023 | 10/7/2023 | Conference on Particle Physics and Cosmology 2023 (RUBAKOV Conference 23) | Armenia | Full Air Fare Only |
| | Snehil | Srivastava | IIT Tirupati | 10/7/2023 | 10/11/2023 | VIII International Conference on Particle Based Methods & FCCOMAS Particles Course | Italy | Regretted |
| | Rahul | Poddar | Sri Sathya Sai Institute of Higher Learning, A.P | 10/19/2023 | 10/20/2023 | 2nd World Conference on Physics and Mathematics | France | Regretted |
| 12268 | Ashaiba | Asiamma | Yenepoya (Deemed to be University), Mangalore | 10/16/2023 | 10/20/2023 | Nano Balkan International Conference (NB2023) | Albania | Half Air Fare Only |
| 12269 | Rujuta Ulhas | Parlikar | NIMHANS, Bengaluru | 10/23/2023 | 11/10/2023 | CAJAL Course on Advanced Techniques for Synapse Biology IBRO | France | Full Air Fare Only |
| | Vishakha | Hooda | All Indian Institute of Medical Sciences, New Delhi | 10/15/2023 | 10/18/2023 | Cytokines 2023 11th Annual Meeting of The International Cytokine & Interferon Society (ICIS) | Greece | Regretted |
| 12270 | Yashvi | Mehta | Postgraduate Institute of Medical Education & Research, Chandigarh | 10/15/2023 | 10/19/2023 | XXVI World Congress of Neurology (WCN 2023) | Canada | Half Air Fare Only |
| 12271 | Amit | Kumar | Postgraduate Institute of Medical Education & Research, Chandigarh | 10/15/2023 | 10/19/2023 | WCN 2023 XXVI World Congress of Neurology | Canada | Half Air Fare Only |
| | Vaishali | Sharma | Postgraduate Institute of Medical Education & Research, Chandigarh | 10/15/2023 | 10/19/2023 | XXVI World Congress of Neurology (WCN 2023) | Canada | Regretted |
Postgraduate
Institute of
XXVI World
Congress of
Neetu
Choudhary
Medical
Neurology (WCN
Education &
2023)
10/15/2023 10/19/2023
Canada
Regretted
| 12273 | Vrushti Hemant Kumar | Kansara | Maliba Pharmacy College, Gujarat | 10/22/2023 | 10/25/2023 | AAPS Pharm Sci360 | USA |
|---|---|---|---|---|---|---|---|
| | Abishek | G | All India Institute of Medical Sciences, New Delhi | 10/8/2023 | 10/13/2023 | FEBS Special Meeting on Sphingolipid Biology: The dawn of a new era | Portugal |
| 12274 | Charu | Malhotra | All India Institute of Medical Sciences, New Delhi | 10/9/2023 | 10/12/2023 | American College of Emergency Physicians Scientific Assembly 2023 (ACEP-2023) | USA |
| 12275 | Debjyoti | Dhar | NIMHANS, Bangalore | 10/15/2023 | 10/19/2023 | XXVI World Congress of Neurology | Canada |
| 12276 | Thuppanattum adam Ananthasubra m | Sangeeth | NIMHANS, Bangalore | 10/15/2023 | 10/19/2023 | XXVI World Congress of Neurology | Canada |
| 12277 | David Raja | K | All India Institute of Medical Sciences, New Delhi | 10/1/2023 | 10/4/2023 | B Cells and Tertiary Lymphoid Structures: Emerging Targets in Cancer Therapeutics | Canada |
| 12278 | Soumalya | Chakraborty | NIPER, SAS Nagar | 10/22/2023 | 10/25/2023 | AAPS Pharms Sci 360 | USA |
| | Himanshu | Koundal | All India Institute of Medical Sciences, New Delhi | 10/10/2023 | 10/12/2023 | 15th World Stroke Congress | Canada |
| 12279 | Oly | Katari | NIPER, Punjab | 10/22/2023 | 10/25/2023 | 2023 AAPS PharmSci360 | USA |
| 12280 | Ankit Kumar | Sahu | All India Institute of Medical Sciences, New Delhi | 10/9/2023 | 10/12/2023 | American College of Emergency Physicians Scientific Assembly-2023 (ACEP) | USA |
| | Rohin | Dubbal | NIMHANS, Bengaluru | 10/10/2023 | 10/12/2023 | 15th World Stroke Congress | Canada |
| 12281 | Mahammad Samim | Mondal | National Institute of Mental Health & Neuro Sciences, Bengaluru | 10/15/2023 | 10/19/2023 | XXVI World Congress of Neurology (WCN2023) | Canada |
| 12282 | Priyal | Sharma | All India Institute of Medical Sciences, New Delhi | 10/14/2023 | 10/18/2023 | ASRM 2023 Scientific Congress and Expo: The Past Present and the Pipeline | USA |
Niserga
C U Shah College of Pharmacy,
81st FIP World
Congress of
Sawant
SNDT Women s
Pharmacy and
Duryodhan
University,
Pharmaceutical
9/23/2023 9/28/2023
Australia
Regretted
| 12283 | Jyoti | Sharma | All India Institute of Medical Sciences, New Delhi | 10/10/2023 | 10/12/2023 | World Stroke Congress (WSE 2023) | Canada |
|---|---|---|---|---|---|---|---|
| | Ankita | Maheshwari | All Indian Institute of Medical Sciences, New Delhi | 10/10/2023 | 10/12/2023 | 15th World Stoke Congress 2023 (WSE) | Canada |
| 12284 | Tanvi | Luthra | All India Institute of Medical Sciences, New Delhi | 10/11/2023 | 10/14/2023 | 55TH Congress of The International Society of Pediatric Oncology (SIOP 2023) | Canada |
| | Ihina | Tinna | Postgraduate Institute of Medical Education & Research, Chandigarh | 9/28/2023 | 10/1/2023 | 55th Annual Meeting of European Society of Paediatric Nephrology 2023 | Lithuania |
| 12285 | Jyotsna | Sharma | JIPMER, Puducherry | 10/9/2023 | 10/12/2023 | XXIV International Federation of Gynecologist and Obstetrician (FIGO) World Congress of Gynecology and Obstetrics 2023 | France |
| 12286 | Christine Marianne | Wilson | All India Institute of Medical Sciences, New Delhi | 10/11/2023 | 10/14/2023 | EMBO EMBL The Non-Coding Genome Symposium | Germany |
| | Rishabh Kumar | Chandela | AIIMS, Bhopal | 10/5/2023 | 10/8/2023 | 14th Annual Scientific Meeting of The Balkan Academy of Forensic Sciences | Turkey |
| | Divya | Bhushan | AIIMS, Bhopal | 10/5/2023 | 10/8/2023 | 14th Annual Scientific Meeting of The Balkan Academy of Forensic Sciences | Turkey |
| | Moirangthem | Sangita | AIIMS, Bhopal | 10/5/2023 | 10/8/2023 | 14th Annual Scientific Meeting Balkan Academy of Forensic Science (BAFS 2023) | Turkiye |
| 12287 | Anubhuti | Kawatra | M D University, Rohtak | 10/4/2033 | 10/6/2023 | European Biotechnology Congress | Slovenia |
Institute of Liver and Biliary
16th Asian Pan-
Pacific Congress for
Sciences, New
Pediatric
Delhi
Gastroenterology
| | Manindra | Nayak | AIIMS, Patna | 10/25/2023 | 10/27/2023 | ESSO-42 | Italy | Regretted |
|---|---|---|---|---|---|---|---|---|
| 12288 | Prathyusha | Godi | Sanjay Gandhi Postgraduate Institute of Medical Sciences, Lucknow | 9/27/2023 | 10/1/2023 | American Thyroid Association (ATA Conference 2023 | USA | Half Air Fare Only |
| | Suman | Roy | Institute of Physics, Bhubaneswar | 10/15/2023 | 10/18/2023 | 29th International Workshop on Oxide Electronics (iWOE 29) | Republic of Korea | Regretted |
| 12289 | Aradhana | Kumari | Central University of South Bihar, Gaya | 10/30/2023 | 11/3/2023 | 68th Annual Conference on Magnetism and Magnetic Materials 2023 | US | Full Air Fare Only |
| 12290 | Preeti | Sharma | Indian Institute of Technology, Delhi | 10/9/2023 | 10/12/2023 | Frontiers in Optics Laser Science (FIO LS 2023) | USA | Half Air Fare Only |
| | Sakshi | Rao | Indian Institute of Technology, Delhi | 10/9/2023 | 10/12/2023 | Frontiers in Optics + Laser Science (FIO LS 2023) | USA | Regretted |
| | Arpan | Arora | IIT Roorkee | 10/1/2023 | 10/4/2023 | Materials Science & Technology | USA | Regretted |
| | Kiran | | IIT Jodhpur, Jodhpur | 10/9/2023 | 10/13/2023 | 76th Annual Gaseous Electronics Conference | USA | Regretted |
| 12291 | Shivani | Sharma | Indian Institute of Technology, Delhi | 10/9/2023 | 10/12/2023 | Frontiers in Optics +Laser Science (Flo LS 2023) | USA | Half Air Fare Only |
| 12292 | Shameek | Mukherjee | IACS-Jadavpur University, Kolkata | 10/30/2023 | 11/3/2023 | Magnetism and Magnetic Materials (MMM-2023) | USA | Half Air Fare Only |
| 12293 | Devanshiba Devendrasinh | Zala | Pandit Deendayal Energy University, Gandhinagar | 10/11/2023 | 10/13/2023 | 46th International Semiconductor Conference (CAS) | Romania | Half Air Fare Only |
| 12294 | Kashmiri | Deka | Savitribai Phule Pune University, Pune | 10/30/2023 | 11/3/2023 | The 68th Annual Conference on Magnetism and Magnetic Materials | US | Half Air Fare Only |
| 12295 | Akanksha | Motla | University of Delhi, Delhi | 10/8/2023 | 10/13/2023 | FACSS Presents SCIX 2023 | USA | Half Air Fare Only |
| 12296 | Namita | Jain | IISER, Bhopal | 10/23/2023 | 10/25/2023 | 4TH International Conference on Advanced Polymer Science and Engineering | Spain | Full Air Fare Only |
| 12297 | Ankit | Kumar | Institute for Plasma Research, Gandhinagar | 10/16/2023 | 10/21/2023 | 29th Fusion Energy Conference (FEC2023) | UK | Half Air Fare Only |
|---|---|---|---|---|---|---|---|---|
| 12298 | Shubham | Kumar | NPL, DELHI | 10/29/2023 | 11/1/2023 | IEEE Sensors 2023 | Austria | Full Air Fare Only |
| 12299 | Anurag | Tiwari | Banaras Hindu University, Varanasi | 10/8/2023 | 10/12/2023 | 244th ECS Meeting | Sweden | Half Air Fare Only |
| 12300 | Raghvendra | Mishra | Banaras Hindu University, Varanasi | 10/8/2023 | 10/12/2023 | 244th ECS Meeting | Sweden | Half Air Fare Only |
| 12302 | Anchal | Rana | BML Munjal University, Haryana | 10/15/2023 | 10/18/2023 | International Workshop on Oxide Electronics (iWOE- 29) | South Korea | Half Air Fare Only |
| 12303 | Shikha | Rathi | IIT Roorkee | 10/22/2023 | 10/25/2023 | International School on Atomic and Molecular Data Evaluation and Curation (ISAMDEC) | Spain | Half Air Fare Only |
| 12304 | Soumya | Gupta | BARC, Mumbai | 10/23/2023 | 10/26/2023 | HEPRO VIII: High Energy Phenomena in Relativistic Outflows | France | Half Air Fare Only |
| 12305 | Karthik | Gopi | University of Madras, Chennai | 10/30/2023 | 11/3/2023 | International Conference MMM 2023 | USA | Half Air Fare Only |
| | Somnath Dadabhau | Kale | IISER Berhampur | 10/15/2023 | 10/18/2023 | 29th International Workshop on Oxide Electronics (iWOE29) | Republic of Korea | Regretted |
| 12306 | Swagat | Mohanty | Siksha O Anusandhan (Deemed to be) University, Bhubaneswar | 10/24/2023 | 10/25/2023 | World Congress on Medicinal Plants and Natural Products Research- (WCMEPLNAPRRE- 23) | UK | Half Air Fare Only |
नोट: संस्िुि म़ामलों को शीघ्र ही स्वीकृति पत्र भेजे ज़ाएंिे।
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Egyptian Academic Journal of Biological Sciences B. Zoology ISSN: 2090 – 0759
www.eajbsz.journals.ekb.eg
Physiological Adaptations and Behavioral Responses of Janitor Fish (Ancistrus sp. orange) to High Temperature
Julie S. Berame 1,2 , Noel F. Alfonso 1 1De La Salle University, Manila, Philippines 2Caraga State University, Butuan City, Philippines
E.Mail:firstname.lastname@example.org
______________________________________________________________________
ARTICLE INFO
ABSTRACT
Article History Received:10 /12/2018 Accepted:9/4/2019
_________________
Keywords:
Janitor fish (Ancistrus sp. orange); warming temperature; adaptation; behavioral responses; ventilation rate; ethogram
The study aims to determine the effect of high warming temperature on the behavioral responses of the Ancistrus sp. orange on the rates of ventilation, intake of food, and patterns of behavior at normal (21 0C to 26 0C) and high temperature (26 + 0C) in the present warming scenario. The non-experimental and experimental data were running in a One-Way ANOVA in order to determine the significant difference in the effect of temperatures, rates of ventilation, intake of food, and patterns of behavior. Statistical analysis was performed at 0.05 level of significance. Based on the findings of the study, it found out that Ancistrus sp. orange showed resistance in heat stress but is it projected to go through any physiological impairment when they exposed longer into an increasing temperature. Their food intake has no significant difference with a p-value of .594, but behavioral changes and ventilation rates were significantly affected with the increased high temperature with a p-value of .00).
INTRODUCTION
The janitor fish (Ancistrus sp. orange) is a decorative freshwater fish from Northern and Southern America that has been introduced to the aquatic habitats somewhere in America, Europe, and Asia (Fuller & Hill, 2002) like the Philippines. Their ever-increasing trade is one of the most significant passageways for aquatic invasion (Singh et al., 2013; Raghavan et al., 2013; Sandilyan, 2016; Muralidharan, 2017). Among of those ornamental fishes are the janitor fish of the family Loricariidae and genus Pterygoplichthys T.N. These fishes have established successful invasive populations throughout the world (Nico & Martin, 2001; Cha et al., 2006; Armando et al., 2007; Piazzini et al., 2010; Gibbs et al., 2013; Jones et al., 2013).
The Pterygoplichthys spp. has many collective names comprising armored catfishes, janitor fish, sailfin catfishes, plecos, glass cleaner catfishes, or sucker-mouth catfishes (Daniels, 2006; Knight, 2010; Singh et al., 2013). They have been documented from many water bodies and in many places where they become an invasive type of species for more than two decades (Meena et al., 2016; Rao & Sunchu, 2017).
Pterygoplichthys spp. inhabits anthropogenically modified aquatic habitats (Ortega et al., 2015 & Lopez et al., 2009). These fishes were able to endure varied fluctuations in flow systems of water (Welcomme & Vidthayanom, 2014; Nico et al., 2016), they resist hypoxia due to structural modifications in their gut that allow them to
Citation: Egypt. Acad. J. Biolog. Sci. (B. Zoology) Vol. 11(1)pp 117-126 (2019)
take breaths air (da Cruz et al., 2013). Their invasion as a non-native species was mainly determined with their capability to acclimate the physiochemical dynamics in their occupied territory (Kestrup & Ricciardi, 2014). Their janitorial skills, attracted by the number of aquarists due to their distinct appearance, strange behavior, routine characteristics, appealing among the aquarists (Rogers & Fletcher, 2012), and they grow fast that could be highly disruptive in small containers. As a result, they likely surpass the abilities of many hobbyists to contain them and are subject to release unintentionally that leads to environmentally unwise owners (Walsh et al. 2016).
As mentioned in the conceptual model of the environmental impacts of Pterygoplichthys spp., it identifies that there is a severe effect to different groups of organisms (receptors) if they become irresponsibly managed because they might be a model to use in assessing environmental warming, dealing resources, and planning future research (Scott, 2014). In a changing temperature nowadays, the tendency for rising temperatures may act like synergistic effects on water, which might be intensified when combined with effects (Portner et al., 2004). Surface temperature is rising at an unprecedented rate since 1979 with the approximately mean global temperature increased to 0.13 0 C per decade (IPCC, 2017). As experienced, warming temperature becomes more penetrating, more recurrent, and will last for a longer period in a tropical climate dynamics like the Philippines (IPCC, 2017).
Nowadays, many fishes are sensitive to warmer temperature than those they usually experience in nature for the past decades. The increase of even 1 0 C temperature may be able to have a rapid effect on the geographical distribution and mortality rate of some aquatic fishes (Kennedy et al., 2015). In fact, the rising of temperature is already affecting the abundance, distribution of species and compromising the entire ecosystem (Brierley & Kingsford, 2014).
Generally, fishes like Pterygoplichthys spp. fishes are ectothermic, meaning their body temperature relatively detects with the surrounding environmental temperature that result to their increased metabolic rates. Their characteristics in a warming temperature (Roessig, 2004) may be less severe in fishes; the peculiar characteristics of Pterygoplichthys spp. make them an interesting model for warming temperature researches (Perry et al., 2015).
In addition, there is already a growing interest that stresses on the impact of warming temperature on water organisms, but there is no report for this concern, except in the findings in the aquaculture techniques of fishes. With this, the fundamental of this studies points out that changing into warming temperature might affect to their physiological growth, feeding, behavior, reproduction, survival, and fish color (Foster & Vincent, 2015; Lin et al., 2009; Sheng et al., 2016).
So, in the present study, the researcher attempts to observe the effects of the increased thermal temperature on the rates of ventilation, feeding rates, and behavioral responses of Ancistrus sp. orange both in normal and high temperature for better understanding of the warming environment effect to the future expected conditions, which may support the development of new model in studying Ancistrus sp. orange on warming temperature scenarios (Trajano, 2014; Bessa & Trajano, 2013; Reis et al., 2016; Trajano & Bichuette, 2015) of fresh water organisms as well.
MATERIALS AND METHODS
Fish Collection and Storing Conditions:
Janitor fishes (Ancistrus sp. orange) were transported from an aquarium shop in October 2018. They were placed to the aquarium facilities in the laboratory and kept in normal temperature with 825 mL of water (see Fig. 1). Water parameters were normal temperature of 21 0 C to 26 0 C, the high temperature of 26 + 0 C, and pH of 7.4. The Ancistrus sp. orange fishes were fed with fillet balls once a day, except for Sundays.
The aquaria were cleaned after two days with 10% (82.5 mL) of water changes were made. The janitor fishes (Ancistrus sp. orange) fishes were acclimatized to adapt to water conditions. Afterwards, janitor fishes (Ancistrus sp. orange) were acclimatized to two different temperature set-ups: i) the normal temperature (21 0 C to 26 0 C) and ii) the projected temperature that they may endure in the future. At the end of the experiments, the janitor fishes (Ancistrus sp. orange) were released in the river without injuries.
Food Intake, Ventilation Rates and Behavioral Pattern:
Six janitor fishes (Ancistrus sp. orange) were placed individually in 825 mL in the glass bowl aquaria inside the laboratory. The 3 janitor fishes (Ancistrus sp. orange) were observed in normal temperature (21 0 C to 26 0 C) in the lab and the other 3 janitor fishes (Ancistrus sp. orange) were placed on a warming temperature (26 + 0 C) outside the lab. The janitor fishes (Ancistrus sp. orange) were fed 5 fillet balls per day.
Their feeding rates, ventilation rates, and activity patterns were determined with 2 different temperature setups (21 0 C to 26 0 C and 26 + 0 C). Acclimation to warming temperature was done through a 2-hour gradual increase in the water temperature.
Ventilation of gill rates was counted before feeding based on their opercular beats per minute using a tally counter device. For their food intake, it was counted based on leftovers the following day since they are nocturnal. Their behavioral patterns were also observed on their ethogram presented in Table 1.
Table 1. Ethogram of Ancistrus sp. orange pattern activities.
| Category | Behavioral Description |
|---|---|
| Sucker- | The Ancistrus sp. orange uses their suckermouth to hold into |
| mouthing | solid substrates/surface. |
| Swinging | The Ancistrus sp. orange sways its pelvic fin and bracing |
| | using their studded spines of their pectoral fins. |
| Feeding | The Ancistrus sp. orange scrapes / rasps food from different |
| | substrates/surface and swallows the food. |
| Inactivity | The Ancistrus sp. orange remains inactive most of the time in |
| | the glass floor / side. |
Statistical Analysis:
The statistical analysis used in the study was One-Way Analysis of variance (ANOVA) in order to determine the effect of temperature on food intake and ventilation rates of Ancistrus sp. orange. Qualitative analysis was also used in their behavioral patterns. The statistical analysis was performed at a significance level of 0.05 using SPSS version 20 software.
RESULTS AND DISCUSSION
It is shown in Table 2 the mass and some physic-parameters of the distilled water used in the controlled and uncontrolled groups of Ancistrus sp. orange. Based on the result, there was a mass increased in the controlled group of at least .3g within the period of the study for 2 Ancistrus sp. orange and 1 has a decreased of .1g. As documented, fish #2 in the controlled group failed to consume enough food fillets in the first 2 days as an apparent factor to consider for its mass decreased.
For the uncontrolled group, fish #1 has only survived until the end of the study with a mass decreased of .8g. The rest, they did not survive (Table 1). This decreased in mass may be considered these factors such as unadjusted to the new environment, sudden changes in pH, abrupt changes in water temperature, insecurity if they are not comfortable in their surroundings, lack of sufficient oxygen, exposed to sunlight or physical stress (AquaNooga, 2018).
In this study, distilled water was used because tap water (Silencing, 2018) is more acidic (pH of 5.8) compared to distilled water with a pH of 7. This pH is desirable to consider when it comes to this kind of study. The pH meter was used to determine the quality of the water. As shown in Table 1, there was a decrease in the water quality after 2 days with a mean of at least -1.45. This shows that water quality was deteriorating if exposed into this kind of water condition. With this, fishes will not survive because their home is very limited and it could be contaminated easily with impurities in the water.
Dissolved oxygen (DO) was tested with the DO meter. Based on literature, each organism has its own DO tolerance range. Reading suggests that if the temperature raised to 21 0 C, there would be 8.68 mg/L DO (Silencing, 2018) plus warm water holds less oxygen in water with the level below 1 mg/L are considered hypoxic and usually devoid of life. As presented in Table 1, there was a slight increase in water DO (-) of 4 fishes which is a desirable level for them to live or survive except for 2 fishes that had decreased in dissolved oxygen which they did not survive.
In addition, when water temperature increases, the dissolved oxygen (DO) level will decrease that can cause stress, less chance of getting oxygen, too low level of dissolved oxygen, or even death for many fishes in the water ecosystem (ScienceAnswers.com, 2018).
Table 2. Mass and physico-parameters of water used in the experiment.
Legends:
| Ancistrus sp. orange | Body weight | Water Quality (pH) |
|---|---|---|
| F1 (Ntemp) | + .3 g | - 1.47 |
| F2 (Ntemp) | - .1 g | - 1.48 |
| F3 (Ntemp) | + .3 g | - 1.57 |
| F1 (Htemp) | - .8 g | - 1.41 |
| F2 (Htemp) | * | - 1.45 |
| F3 (Htemp) | * | - 1.44 |
(Ntemp) Normal temperature, (Htemp) High
temperature, (+) increased, (-) decreased, *dead
Effects of Normal and High Temperature in Their Food Intake:
As seen in Fig.2 , the lowest temperature recorded in the controlled set-up of Ancistrus sp. orange was 22 0 C and the highest temperature was 33 0 C. As shown below, there were 2 fishes did not eat their food fillets in the early part of the assays (both normal and high temperature) but most of them consistently consumed their foods daily within the period of the study. Their food intake has not affected much with the temperature until the end of the observations. Ancistrus sp. orange consistently consumed their food fillets. In my claim, the first 2 days from the start of the assay, fish #2 has disturbed the new environment.
In contrast, like most fishes, Ancistrus sp. orange is ectothermic and their body temperature fluctuates with external temperature. In the experiment, 2 Ancistrus sp. orange fishes were affected that high water temperature has harmful effects on several features of Ancistrus sp. orange life in an artificial ecosystem. The increase of water warming temperature has slight changes in their food intake and activity patterns.
In addition, the lack of differences in their food intake and behavior in 2 experimental set-ups with varied water temperature scenarios may be explained by the referred ability of Ancistrus sp. orange to adapt to different temperature fluctuations as they endure in their ecosystem. So, both factors if combined might act to decline and affect fish survival (Portner & Knust, 2007).
Effects of Normal and High Temperature in Their Ventilation Rates:
The effect of warming water temperature was expected to accompany by an increase in their ventilation rates. As shown in Figure. 3, there was a significant increase in their rates of ventilation of 800.67 mean difference beats compared to
Fish #
normal water temperature. As indicated, the highest temperature recorded was 33 0 C and has reached to 365 beats (Fish #1) based in their opercular beats using a tally counter per minute after it acclimatized for 2 hours in a warming water temperature when exposed into the sunlight.
As observed, the data suggest that such temperature (26+ 0 C) is already beyond the temperature tolerance or critical level. This indicates that fitness and survival level will be life threatening of the aquatic species due to oxygen deficiency (Portner et al., 2016) and higher temperature results in less dissolved oxygen in the water. It demonstrates that Ancistrus sp. orange significantly affected by warming water temperature. Their opercular beats were became faster when exposed to a rising temperature of 26+ 0 C.
Based on the literatures, when water will become heated, like exposing into the sunlight or near to thermal sources, water temperature increases, then the dissolved oxygen level will decrease that can cause strain or even death for many fishes, most importantly for the survival of aquatic animal like fishes (ScienceAnswers.com, 2018). This specifies that both factors might thus act as synergistic stressors (combined effects) and be overwhelming to the cardiorespiratory processes that might suffer a decline in the efficiency to sustain muscular activity, growth at a critical point, and the survival of the fishes (Portner & Knust, 2017) even they are highly adaptable to different environments (Hoover et al., 2014).
Data Analysis of the Food Intake and Ventilation Rates in Normal and High Temperature:
Table 3 shows the analysis on the food intake and ventilation rates when exposed to normal and high water temperatures. As presented above, the food intake of Ancistrus sp. orange has no significant correlation to warming temperature. The pvalue of food intake is .594, which failed to reject the null hypothesis with the significant level of .05. Unexpectedly, their food intake remained almost unchanged with the increasing temperature except fish #2 which it presumed not totally adapted to the new environment.
Hence, their activity patterns were also expected to change in high temperature. The lack of differences in their food intake in various temperature scenarios may be explained by the referred ability of the fishes to adapt temperature fluctuations as they endure in their newly adopted habitat.
As observed, Ancistrus sp. orange were very behaved most of the time and based on literature, they are very active in nighttime as nocturnal species.
In contrast, the Ancistrus sp. orange ventilation rates were significantly affected by warming temperature. As expected, their ventilation rates (Table 2) has a pvalue of .00 less than the significant value of .05, which leads to rejecting the null hypothesis. As observed, their opercular beats relatively increased in the rising temperature of 26 + 0 C. Based on the record, the highest opercular beats recorded were 365 beats at 33 0 C temperature (Fig. 3) as well as their activity patterns. When temperature exceeded beyond the normal degree, Ancistrus sp. orange started moving when directly exposed into the sunlight, upraised and expand their pelvic fins, and swam up to the surface water to get oxygen.
In general, Ancistrus sp. orange showed to be sensitive to warming water temperature. Based on study, the abrupt decline in their thermal sensitivity when they exposed to upper 26 + 0 C suggests that such temperature is already above their tolerance level, which leads to compromise their fitness and survival (Portner et al., 2015) because warming temperature increases their oxygen demand that may result to less dissolved oxygen in water. In this situation, water quality becomes too low in oxygen leading the organisms to die (ScienceAnswers.com. 2018).
Moreover, it arose that warming temperature can be caused heat stress to water organisms like fishes and are projected to undergo physiological impairment and behavioral changes relative to their growth, survival, and environmental disturbance (Curtis & Vincent, 2016). Their limited environment will become harmful in a warming temperature scenario since their environment is so limited and they have no capacity for possible migrations in order to reproduce their species (Foster & Vincent, 2015).
Table.3 Results of One-Way ANOVA Analysis on the effect of high water temperature of Ancistrus sp. orange in relation to their food intake and ventilation rates.
| | | Sum of Squares | df | Mean Square | F | Sig. |
|---|---|---|---|---|---|---|
| Food Intake | Between Groups | 8.706 | 8 | 1.088 | .812 | .594 |
| | Within Groups | 108.583 | 81 | 1.341 | | |
| | Total | 117.289 | 89 | | | |
| Venti lation Rates | Between Groups | 98448.5 | 8 | 12306.06 | 8.284 | .000 |
| | Within Groups | 120322 | 81 | 1485.457 | | |
| | Total | 218770 | 89 | | | |
Conclusion
In conclusion, the researcher provides evidence that Ancistrus sp. orange was affected with heat stress and is likely to suffer physiological impairment and abrupt changes in their behaviors in the anticipated increase temperature. In addition, they might experience metabolic imbalance with likely significances for their endurance to warning temperature and may be enabled to ought certain level of adaptability and resilience to environmental disturbance but they may suffer and possibly may not survive. So, owners might be sensitive enough to consider their ecosystem because these fishes are charismatic to have the potential to become symbols of protection. Their unique aspect turns them into a flagship species for aquarists' conservation issues to understand their vulnerabilities and their responses to the future scenario for warming temperature.
Acknowledgment
The author expresses his appreciation to Dr. Noel F. Alfonso of De La Salle University for his expertise and excellent accommodation in Advanced Physiology Course
Declaration
The author declares that all works are authentic and this research paper has no competing interest exists.
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Ryerson University Digital Commons @ Ryerson
Psychology Publications and Research
1-1-2004
Perceptual significance of inharmonicity and spectral envelope in the piano bass range
Alexandre Galembo Royal Institute of Technology
Anders Askenfelt Royal Institute of Technology
Lola L. Cuddy Queen's University - Kingston, Ontario
Frank A. Russo University of Toronto
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Recommended Citation
Galembo, A., Askenfelt, A., Cuddy, L. L., & Russo, F. A. (2004). Perceptual significance of inharmonicity and spectral envelope in the piano bass range. Acta Acustica, 90, 528-536.
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Psychology
Perceptual relevance of inharmonicity and spectral envelope in the piano bass range
Alexander Galembo
Setchenov Institute of Evolutionary Physiology and Biochemistry, Russian Academy of Sciences, Thorez pr. 44, St. Petersburg, 194223 Russia.
Anders Askenfelt
Dept. of Speech, Music and Hearing, Royal Institute of Technology, SE-100 44 Stockholm, Sweden.
Lola L. Cuddy & Frank A. Russo
Dept. of Psychology, Queen's University, Kingston ON K7L 3N6, Canada.
Abstract
Professionals consider the differences in the timbre of bass tones between large grand pianos and small uprights as significant. By tradition this difference has been attributed mainly to lower inharmonicity in grand pianos, due to longer bass strings. In this study, the importance of the spectral envelope, representing the dynamic balance between high-frequency and lowfrequency energy in the spectrum, is contrasted against the importance of the level of inharmonicity. Results from two listening tests indicate that the inharmonicity is less important than the spectrum bandwidth in determining the timbre of piano bass tones.
1. INTRODUCTION
Even a well-made upright piano of high quality is not considered appropriate for concert performances. A large grand piano is deemed to surpass an upright in all respects. This is due to several factors only few of which are clearly acoustical [1]. With regard to timbre in the bass, a grand piano is said to have "a brighter and mellower timbre," "more powerful and projecting sound," while in comparison, bass tones of a small upright might be referred to as "muffled, dull and inexpressive" [2-4].
These perceived differences could be attributed to differences in the design. The most important differences in design pertaining to the favoured acoustical output of the concert grand piano are longer strings and a larger soundboard. Longer strings make it possible to keep the inharmonicity in the bass range lower. A larger soundboard will have lower mode frequencies in general, and a higher mode density. As a ball-park value, the lowest soundboard mode frequency of an upright would be around 100 Hz, and for a large grand some 30 - 40 Hz lower. The modes below, let's say 100 Hz, will give support for the fundamental and lower overtones in the two lowest octaves of the piano compass. The higher mode density would give a less irregular spectrum envelope for higher partials with less pronounced dips and valleys in the spectrum envelope.
By tradition, the effect of inharmonicity has been assumed the most important factor influencing tone quality in the bass range. After having conducted the first measurements on the inharmonicity in real pianos, Schuck & Young [5] hypothesized that the lower inharmonicity in the bass range (due to longer strings) explains why musicians prefer the tone quality of a grand piano over that of an upright. Later, Fletcher, Blackham and Stratton investigated the perception of synthesized piano tones, and claimed that the inharmonicity was highly important for the "peculiar quality known as piano quality, namely, the live-ness or warmth of a tone" [6].
Since Fletcher et al.'s statement, which seemed to suggest a strong perceptual basis for the hypothesis of Shuck and Young, it has became common to attribute the primary difference in perceived quality of bass tones of small vs. large pianos to the differences in string inharmonicity (see e.g. [7-8]). Further experiments with synthesis of piano tones [9-11] have strengthened this point, showing that the inharmonicity strongly influences the timbre of a multi-component tone.
In spite of many investigations on the physics of the string-soundboard interaction [12-20] there is still not enough experimental results available to assess the individual effects of string inharmonicity and soundboard properties on the timbral differences between small and large pianos. There is no easy way of separating the perceptual influence due to the effects of longer strings from the influence of a larger soundboard. In this study, two experiments are reported which give a starting point for further investigations of this important aspect of piano design.
1.1. String inharmonicity and number of partials vs. spectral bandwidth
The classical formula describing the stretching of the frequencies of the transverse modes is (see e.g. [21])
where
n
f
o
partial number fundamental frequency of a flexible string
f
1
n
frequency of partialn
B inharmonicity coefficient, set by the string material, dimensions, and tension (tuning)
An expression for the inharmonicity coefficient B, valid for plain strings and approximately correct for wrapped strings [8], is
where
E
Young's modulus
ρ
density of plain string materiel (core material of wrapped string)
d
string (core) diameter
L
speaking length
F
loading factor
L M
F
str
core
str
core
wr
core
/
=
=
+
=
µ
µ µ
µ µ
µ
core
,µ
wr
,µ
str
linear density of the core, wrapping and whole string
M
str
mass of speaking length of string
The simple relations between inharmonicity and string properties, in which the string length takes a prominent role, have inspired researchers to try to demonstrate the importance of inharmonicity on timbre by synthesizing piano-like tones for which only the inharmonicity coefficient B is varied [6, 9, 10]. Although such demonstrations appear quite convincing, they overlook one perceptually important parameter, which covaries with inharmonicity. That is the frequency range occupied by prominent partials in the spectrum, henceforth the spectral bandwidth [22].
In the bass section (about two lowest octaves) the inharmonicity coefficient B may differ a factor 5 between the same keys of an upright and grand piano [23]. The total variation range of B in this register has been reported as 60 - 160 . 10 -6 in a large grand, and 130 - 570 . 10 -6
in a small upright. The spectral bandwidths for two tones with such widely differing B´s but with the same number of partials will differ largely. For a low piano bass tone the number of prominent partials N in a range of -60 dB below the strongest partial may well be above 100 at high dynamic levels (see Fig. 1). Even in a 40-dB range below the strongest partial there will be as many as 70 – 80 partials. The spectrum of a bass tone with high inharmonicity (B ≈ 600 . 10 -6 ) and about 100 partials will extend to a frequency more than twice as high as for a harmonic tone, adding a full octave to the spectral bandwidth (see Fig. 2).
An increase of the spectral bandwidth changes the balance between high and low frequency energy and influences the brightness (sharpness) of the tone [24-27]. It seems possible that similar timbral differences could be obtained by just increasing the number of overtones without change of the inharmonicity coefficient. If so, the inharmonicity factor plays only a secondary role. To disambiguate the simultaneous influence of these two factors, we designed two experiments aimed at resolving the individual effects of inharmonicity and spectral bandwidth on timbre. Synthesized harmonic and inharmonic tones, as well as recorded real piano tones, were used.
2. EXPERIMENT 1: Synthesized tones
2.1. Synthesis
Twelve piano-like tones with nominal pitch E1 (fo = 41.2 Hz) which varied in spectral bandwidth and inharmonicity were synthesized. Four values of spectral bandwidth Wi (i = 1, 2,3,4), ranging from 2.5 to 1.4 kHz, were combined with three levels of inharmonicity Bk (k = 1,2,3) see Table 1. The bandwidths represented typical values in real pianos, as outlined in the following paragraphs. The magnitude of the three values of inharmonicity coefficient B represented: (1) a harmonic spectrum, B1 = 0; (2) an inharmonicity close to the minimal value for E1 measured in grand pianos, B2 = 60 . 10 -6 ; and (3) an inharmonicity close to the maximum values observed for E1 measured in poor upright pianos, B3 = 600 . 10 -6 [23]. The number of partials necessary to fill a spectral bandwidth Wi at inharmonicity level Bk was denoted Ni,k.. As the string inharmonicity stretches the partials according to Eq.(1), fewer partials are required for filling a fixed spectral bandwidth the higher the inharmonicity coefficient.
The widest bandwidth W1 (2513 Hz) corresponded to the spectrum of an E1-tone with about 60 prominent partials, which is representative of the conditions immediately after note onset. The narrowest bandwidth W4 (1442 Hz) corresponded to the spectrum after 1 – 3 s of decay. The intermediate steps, W2 (1978 Hz) and W3 (1648 Hz), were chosen in such a manner that it was possible to achieve them in two ways; (1) by changing the inharmonicity coefficient without changing number of partials, and (2) by changing the number of partials without significantly changing the inharmonicity coefficient. This overlap allowed a convenient illustration of the individual effects of W and B, respectively, on perceived differences in timbre in the listening test.
The first principle using a constant number of partials was applied as to make Ni,3 = Ni+1, 1 (marked in bold in Table 1). The harmonic tones W2,1 , W3,1, and W4,1 were thus generated with the same number of partials as the high-inharmonicity tone of the preceding larger bandwidth, using N = 48, 40 and 35, respectively. The second principle was used to generate the low-inharmonicity tones W2,2 and W3,2 using approximately the same B as for W1,2 and W4,2 (60, 68, 75, 52 . 10 -6 ; numbers in italics refer to W2,2 and W3,2), but with intermediate values of N (56, 45, 38, 34).
The specific numbers were calculated as follows. Suppose a tone with a harmonic spectrum (B = 0) containing N harmonics of the fundamental f1 o . Now we want to reduce the number of partials to Nx < N while keeping both the highest and the lowest partial frequencies - and consequently the spectral bandwidth - unchanged. This is achieved by selecting a Bx ≠ 0, and finding a proper lowering of the (unstretched) fundamental f1 o to a new value f 1x o . The new values are defined by
that gives
Equation (5) was solved numerically in order to obtain a solution with Bx close to the desired value while Nx being an integer. The resulting sets of B, N and f1 o for the 12 tones are given in Table 1.
Table 1. Spectral bandwidth W, inharmonicity coefficient B, number of partials N, and (unstretched) fundamental frequency f1 o for 12 synthesized piano-like tones. The value for f1 o is given as the deviation (in mHz) from the nominal fundamental frequency for E1 = 41.200 Hz. The tones in shaded cells (bold) represent cases where different bandwidths were generated by the same number of partials.
| | Bandwidth W 1 2513 Hz | | | Bandwidth W 2 1978 Hz | | | Bandwidth W 3 1648 Hz | | | | |
|---|---|---|---|---|---|---|---|---|---|---|---|
| K | W 1,1 1 | W 1,2 2 | W 1,3 3 | W 2,1 1 | W 2,2 2 | W 2,3 3 | W 3,1 1 | W 3,2 2 | W 3,3 3 | W 4,1 1 | W 4,2 2 |
| B x 10-6 | HARM 0 | LOW 60 | HIGH 267 | HARM 0 | LOW 68 | HIGH 275 | HARM 0 | LOW 75 | HIGH 250 | HARM 0 | LOW 52 |
| N | 61 | 56 | 48 | 48 | 45 | 40 | 40 | 38 | 35 | 35 | 34 |
| ∆f o x 10-3 1 rel 41.2 Hz | 0 | -1.0 | -5.5 | 0 | -1.4 | -5.7 | 0 | -1.5 | -5.2 | 0 | -1.1 |
Since N must be an integer, it is inevitable to have some freedom in the B values in order reach the four chosen spectral bandwidths. For this reason the B values vary slightly between the four W cases. However, the B2 values (60, 68, 75, and 52 . 10 -6 ) remain close to the limits (60 – 90 . 10 -6 ), which have been reported as typical for an E1 note in contemporary large grand pianos [23]. Similarly, the B3 values (267, 275, 250, and 286 . 10 -6 ) vary essentially within the range (200 – 280 . 10 -6 ) typical of the maximum inharmonicity for E1 in contemporary small uprights. By the adjustment of the B values it was possible to keep the spectral bandwidth constant for the three notes corresponding to each W case, the spread being less than 1 Hz.
The tones were generated by additive synthesis on a PC [28] according to the formula
where
A
gain
t
current time
n
partial number
N
number of partials
S(n) = 1-n/(N+1)
slope factor
G(n) = 0.3 + 0.7sin
2
(2πn/15)
spectral grouping factor
D(n) = e
-tn2/200
decay factor
f(n) = f
1
o
n(1+n
2
B)
0.5
frequency ofn-th partial
Φ (n,0) = random[0,2π] starting phase of the n-th partial
The synthesis parameters A(n), G(n), and D(n) were chosen as to mimic the spectral properties of real piano tones as closely as possibly (see Fig. 3). The slope factor S(n) gives a linear spectral slope from the fundamental up to the N-th partial. The grouping factor G(n) gives a "formant-like" structure related to the striking point of the hammer with 7 – 8 partials in each group, and the decay factor D(n) approximates the characteristic decay of piano tones with progressively faster decay of higher partials. The gain A was used for loudness equalization of the tones (see Sect. 2.2.4 and 3.2.4)
2.2. Listening test 1
2.2.1. Listeners.
Eight listeners from the Queen's University community were recruited for this test. Three of the listeners were involved in loudness equalization. The remaining five listeners were involved in rating timbral difference. Music training of listeners was assessed by a point system. One point was awarded for each year of private instruction and a half point was awarded for each year of group instruction. Listeners had a minimum of 5 points, a mean of 9.25 points (SE = 1.94), and typically had experience with 2 instruments and some continued activity in music beyond casual listening. Thus, listeners may be described as musically trained.
2.2.2. Stimuli.
The test tones were the 12 tones in Table 1 described above. The standard tone was the harmonic test tone with maximal spectral bandwidth (W1 = 2513 Hz; B1 = 0). Pairing each test tone with the standard tone created twelve tone-pairs. The duration of the test tones was 1.0 s. Tone-pairs had an inter-tone separation of 0.1 s.
2.2.3. Apparatus
A PC Pentium computer running dedicated listening test software controlled the stimulus presentation and collection of responses [29]. Tones were presented using a small computer loudspeaker (Creative CS100), specified to be within ± 3dB across 20 - 20 000 Hz. The listening tests were conducted in a small office room (2 x 3 m) with concrete walls. Consideration of phase response of the loudspeaker presentation has been addressed in [11].
2.2.4. Loudness equalization.
All tones were equalized for loudness based on the informal loudness scaling of one expert listener. The standard tone was presented with an intensity of 72 dB SPL as measured at the position of the listener. The listener was asked to iteratively adjust the amplitude of each test tone until it was equal in loudness with the standard tone. Two other listeners validated that the amplitude-adjusted test tones were equal in loudness.
2.2.5. Procedure.
The order of the test tone and standard tone within each pair was counterbalanced, allowing for 24 possible tone-pair combinations. The subjects' task was to rate the perceived timbral difference in each tone-pair between 0 and 1000, using a scroll bar. Each tone-pair combination was rated 5 times, giving 120 trials for each subject. The order of presentation was independently randomized for each subject.
2.3. Results.
Each subjects' test-tone ratings were collapsed across order of presentation and trials to obtain 12 timbral-difference scores. Fig. 4 is a plot of mean timbral-difference scores with reference to each test tone's spectral bandwidth (W1 - W4) and inharmonicity (B1 - B3). Examination of Figure 4 indicates that the effect of spectral bandwidth on perceived timbral difference is greater than the effect of inharmonicity.
Two vectors with 12 items each were used to represent the respective levels of each independent variable: spectral bandwidth (1,2,3,4) and inharmonicity (1,2,3). Correlation analyses using each subject's timbral difference scores as the dependent variable confirmed that the effect of spectral bandwidth on perceived timbral difference is greater than the effect of inharmonicity. Specifically, for each subject, the correlation between spectral bandwidth and timbral-difference scores was significant (mean r [10] = .97, p < .001), but the correlation between inharmonicity and timbral difference scores was not (mean r [10] = .07, p > .1). Moreover, when spectral bandwidth and inharmonicity were regressed on each subject's timbral-difference scores, inharmonicity was never able to account for explained variance beyond that which was accounted for by spectral bandwidth alone.
These findings lead us to conclude that spectral bandwidth, or the energy balance between high-frequency and low-frequency partials contributed to the perception of timbral difference to a greater extent than inharmonicity. Given that the tested levels of spectral bandwidth and inharmonicity span a range that is typical of real pianos, this conclusion has direct implications for perception of timbral differences in real piano tones.
In summary, Listening test 1 indicated that when inharmonicity "competes" with spectral bandwidth per se, spectral bandwidth has the most influence on perceived timbral difference.
3. Experiment 2: Real piano tones
3.1. Hybrid tone
To provide further support for the result of the previous listening test, experiments were conducted with a synthesized hybrid tone. Tones from a concert grand and a small upright piano, respectively, were used as prototypes for different parameters of the hybrid tone.
The purpose was to discriminate between the spectral envelope, including spectral bandwidth, and inharmonicity factors in the timbre of bass tones of small vs. large pianos. As the most distinct timbral difference was expected to be found in the extreme bass, the lowest tone on the piano was chosen for the experiments.
The hybrid tone had the pitch of A0 = 27.5 Hz and a duration of 1 s. The inharmonicity (B = 160 . 10 -6 ) was set according to measurements on a concert grand piano (Steinway & Sons, model D, 2.74 m), and the spectral envelope, including the evolution during the decay, imitated that of a small upright piano (Nordiska Pianofabriken, model Futura, 112 cm). It could be noted in passing that the inharmonicity of the upright piano (B = 560 . 10 -6 ) was three times higher than that of the Steinway grand.
The hybrid tone was then synthesized using the same principles as in Experiment 1 (see Eq. 7). The imitation of the spectral envelope of the upright piano and its evolution was based on careful Fourier analyses of the recorded tone. The parameters of the formula were varied from one group of partials to another in order to fit the frequency borders, envelope shape, and evolution with time [cf. 30] The difficulties in setting the parameters were primarily due to the fact that the frequencies of partials in the hybrid tone were completely different from those in the upright prototype, due to the exchanged inharmonicity coefficient. The final tuning of the parameters was to a large extent based on visual inspection of spectra and listening to the resulting tones.
The analysis via synthesis process of ended up by a somewhat simplified imitation of the spectral envelope of the upright tone shown in Fig. 5. The spectral bandwidth was closely reproduced, as well as the main peaks and widths of the "formant" groups in the spectrum. The decay process of the upright tone was reproduced by adjusting the peak values of the main formant groups and the bandwidth of the spectra at 3 time points during the 1-s decay. This gave a reasonable approximation of the evolution of the spectral envelope.
3.2. Listening test 2
3.2.1. Listeners.
Six listeners from the Queen's University community were recruited for this test. Three of the listeners were involved in the loudness equalization. The remaining three listeners were involved in rating timbral difference. Music training of listeners was assessed by the point system described in Listening Test 1. Listeners had a minimum of 5 points, a mean of 9.38 points (SE = 1.99), and typically had experience with two instruments and some continued activity in music beyond casual listening. Thus, listeners may be described as musically trained.
3.2.2. Stimuli.
There were three test tones: (1) an upright prototype tone (from the original recording of the Nordiska piano), (2) a grand prototype tone (from the original recording of the Steinway D), and (3) the hybrid tone. The duration of the test tones was 1.0 s. The hybrid tone was paired with each tone including itself resulting in 3 different tone pairs. Tone-pairs had an intertone duration of 0.1 s.
3.2.3. Apparatus
The apparatus was identical to that used in Listening test 1, except that stimuli presentation was over headphones (Sennheiser HD580), specified to be within ± 3dB across 16 20 000 Hz. Consideration of the phase response of headphone presentations has been addressed in [11].
3.2.4. Loudness equalization.
All tones were equalized for loudness based on the loudness scaling of three listeners. Given the mix of real and synthesized tones, the method used for loudness scaling was more formal for that used in Listening Test 1. Specifically, on any given trial, the listener was presented with the standard tone followed by a comparison tone, or a comparison tone followed by the standard tone (presentation order was counterbalanced). The listener was asked to make a 3alternative forced choice response (i.e., 1 st tone is louder, 2 nd tone is louder, or tones possess equal loudness). The A0 tone of the Nordiska upright piano served as the standard tone in all trials. Its sound level as measured at the surface of the headphone was 72 dB. Eleven comparison tones for each alternative (i.e. Steinway and Synthesized) were individually paired with the standard tone. Comparison tones varied in their intensity such that median intensity of comparison tones was equal to that of the standard tone. The selection of an equal-loudness tone (with regard to the standard) for each alternative timbre was made on the basis of the comparison tone that received the greatest proportion of equal-loudness responses.
3.2.5. Procedure
The order of tones within each tone-pair was counterbalanced, allowing for 6 possible tonepair combinations. The listeners' task was to scale the perceived timbral difference in each tone-pair combination between 0 and 1000, using a scroll bar [29]. Each tone-pair combination was rated on 5 separate occasions, giving 30 trials for each subject. The order of presentation was independently randomized for each of 3 subjects.
3.3. Results
Timbral difference ratings were collapsed across presentations. For each of the three listeners, the timbral difference between the hybrid tone and the upright piano tone was significantly lower than the timbral difference between the hybrid tone and the grand piano tone; t(5) values were –5.79, -7.90 and –4.98 (all p < .01). In Figure 6, the mean timbral difference between the hybrid tone and the upright tone (mean = 233.8, SD = 178.5) may be compared with the mean timbral difference between the hybrid tone and the grand piano tone (mean = 690.7, SD = 219.8).
The results of Listening test 2 clearly indicate that the timbral difference between the hybrid and the upright was less than the timbral difference between the hybrid and the grand – that is to say, the hybrid sounded closer to the upright. Given that the hybrid imitated the spectral bandwidth of the upright and the inharmonicity of the grand, we can conclude that spectral envelope influenced timbre more than inharmonicity.
Galembo et al
4. DISCUSSION
4.1. The importance of inharmonicity vs. spectral envelope
Poor tone quality in the bass of small pianos is a problem for piano manufacturers, who would be happy to improve the design. Given the present experimental results, we can conclude that it is not sufficient to design strings with lower inharmonicity in order to improve the sound quality in the bass section of small pianos. The spectral envelope parameters (set by the soundboard properties) and their evolution during the decay are of greater importance. The prominence of inharmonicity in determining the tone quality would thus be lower than generally assumed. This misconception is most probably due to the fact that in real pianos, inharmonicity and spectrum bandwidth covary.
As a matter of fact, the old studies by Schuck and Young [5] and Fletcher et al. [6] - from which the widespread notion of the unique role of inharmonicity as the key quality parameter of piano bass tones has developed - do not give reliable support for the dominance of inharmonicity over other piano design parameters. The Schuck and Young hypothesis was based on comparisons of the measured inharmonicity between several pianos of different size and quality. These pianos differed in inharmonicity, but probably in other respects as well.
Fletcher et al compared recorded and synthesized piano tones and made the classical statement that inharmonicity is necessary to give synthesized bass tones the characteristic timbral "warmth" of natural piano tones. FOOTNOTE 1 However, they did not conclude that inharmonicity is the main quality parameter, not even in the bass range. In more subtle discriminations between pianos other factors may be of a similar or higher importance.
When comparing inharmonic tones by timbre, it is important to remember that the inharmonicity coefficient is not the only - and probably even not the primary - measure of the perceptual effect of progressive stretching of partials in piano-like tones. Important factors are how many inharmonic partials are audible and their relative magnitudes. In this sense, the inharmonicity coefficient and spectral envelope factors interact.
For example, the inharmonicity coefficient of the short treble strings is much higher than that of the bass strings. However, treble tones contain only few overtones, located in a frequency range of low audibility. Therefore, the perceptual effect of the string inharmonicity in the treble range is negligible.
Another consequence of the interaction between inharmonicity coefficient and spectral envelope is related to the evolution of the piano tone. The inharmonicity coefficient does not change with time but the perceptual effect of the stretching of the partials is maximal in the initial portion of the tone. This is due to the progressively faster decay of higher partials which narrows the spectrum over time as illustrated in Fig. 3.
In all pitch ranges of the piano, the higher order partials deviate farther from the harmonic series, thus detracting more from the strength of the (nominal) pitch of the tone. Further, in bass tones the higher partials fall in a better audible frequency range than the fundamental and low order partials. The effect of inharmonicity coefficient on timbre can therefore be expected to be stronger in bass tones with wider spectra (cf. the large grand and the small upright piano in Fig. 5).
Some recent studies indirectly support our finding that that the timbral role of inharmonicity is overestimated. None of them gives, however, as strong evidence as the present study. Lee [31, 32] found in experiments on synthesis of piano-like tones that, with regard to tone quality, it was enough to reproduce the inharmonicity in the attack portion of the tone. He concluded that inharmonicity played an insignificant role for the timbre of the decaying part of the piano tone.
Rocchesso & Scalcon [33] tried to synthesize naturally sounding piano tones, supposing that for every pitch there exists a frequency above which the inharmonicity does not contribute to the naturalness of the timbre. In the bass, this border was found to rise from about 1700 Hz for C1 (corresponding to about the 51 th partial), to 3800 Hz for C3 (29 th partial). It must be mentioned, however, that this study, as well as those by Lee [31, 32], were restricted to auditory classification of instrument group ("piano" - "not piano"), which is not the same as ranking pianos by their tone quality.
Beauchamp, McAdams, and Meneguzzi [34], who analyzed acoustical factors determining the identification of musical instruments, pointed out that spectral irregularity is a more important factor of musical timbre than inharmonicity. Their study did, however, not deal specifically with the piano but other musical instruments, including the clarinet, flute, violin, harpsichord and marimba.
Although the results published by other researchers seem to be in general accordance with our finding that inharmonicity is a secondary factor in determining the difference in timbre between a large grand and small upright piano, we are far from concluding that inharmonicity is irrelevant for the quality of pianos. When basic quality conditions, including the spectral envelope among other things, are met, a difference in inharmonicity may be discriminating. As a parallel example, substituting a fine soundboard of tone wood by a veneer board may not be as noticeable in a small upright as in a large grand.
Some support for the importance of inharmonicity in achieving a high-quality piano tone could be gained from an unsuccessful attempt to use the hybrid-tone approach for synthesizing an acceptable imitation of a grand piano bass tone. Our idea was to combine the "good" spectral envelope of a concert grand piano tone with the "bad" inharmonicity of an upright. The resulting tones were, however, far from a successful imitation of the timbre of any of the two prototypes. Of course, this could be due to the shortcomings in our analysis and synthesis, in particular the level of details. However, one other possible explanation would be that, after all, the synthesis was accurate enough but never heard before - a piano tone with a preferred spectral envelope but high inharmonicity. When the spectral envelope does not give cues in the direction of a poor piano, the influence of inharmonicity may be more clearly exposed, and hence important.
4.2. Relations to piano design
The results reported in this study may be given an approximate interpretation in terms of piano design and technology, partly based on the first author's long experience as a piano design engineer. Table 2 shows the schematic dependence of the two investigated parameters of a piano bass tone (inharmonicity coefficient and spectral envelope) on some major piano design factors.
Table 2. Schematic overview of the influence of piano design factors on inharmonicity coefficient and spectral envelope. The two sizes of crosses suggest the relative importance.
| INSTRUMENT DESIGN FACTORS | INHARMONICITY COEFFICIENT |
|---|---|
| Instrument size | X |
| String material and design | X |
| Soundboard material and design | x |
| Hammer material and design | |
| Lids and case | |
The instrument size restricts both the string scale and soundboard dimensions, thus setting a lower limit for the string inharmonicity in the bass. Also the cut-off in sound radiation at lower frequencies is determined by size.
The string parameters (core and wrapping material and dimensions, the uniformity of the wrapping, etc.) and the string tension influence primarily the inharmonicity of the string modes. As regards the influence on the spectral envelope of the radiated tone, the string parameters seem to play only a minor role, partly explained by their rather limited range of variation in practice.
The soundboard design parameters, setting the mode frequencies and dampings, jointly form a primary factor in the evolution of the spectral envelope of the radiated sound. The design parameters include the shape, dimensions, and material of the soundboard, the way it couples to the strings (downbearing), and the way it is fastened along the perimeter. The soundboard parameters also influence the inharmonicity. This effect relates mainly to the lower partials in the bass range [8], shifting them from the frequencies predicted by the string inharmonicity formula [35]. The perceptual effect of this shift has not been studied so far.
The striking position of the hammer defines the formant-like grouping of the partials in the spectrum. This grouping is important when the partials are numerous (bass range), but not important when they are few (treble range). On the other hand, in the treble where; (1) the hammer−string contact duration exceeds half a period of the fundamental [36], (2) the hammer strikes the strings very close to the termination at the iron frame (capo d´astro bar), and (3) the soundboard is relatively stiff, the hammer parameters become a dominant factor in determining the spectrum envelope of the radiated tone [37].
The spectral envelope and its evolution strongly depend on the reverberation processes, which starts with the soundboard, a distributed radiator, and continue within the piano case, thus depending on design of the case and lid.
As seen in Table 2, the spectral envelope and its evaluation depend on all listed design factors, while the inharmonicity is influenced by only a few of them. This may give an indirect explanation to why spectral envelope is a stronger correlate to the perceived quality of pianos tone in discrimination tasks than inharmonicity.
5. Conclusions
In conclusion, the present study indicates that the low quality of bass tones of small pianos compared to the large pianos is determined more by the spectral envelope and its evolution, than by the time-invariant inharmonicity coefficient. In two listening tests, utilizing synthesized as well as real piano tones, it was clearly shown that the distinction between a bass tone of a small upright piano and that of a large grand piano can be attributed primarily to differences in spectral envelope. Inharmonicity played a secondary role only, despite a large variation range. Our results are at variance with a widespread conception based on old studies, emphasizing the importance of inharmonicity. Further support of our findings would need more experiments using high-fidelity piano synthesis.
Differences in the evolution of the spectral envelope would perceptually be related to the balance between low-frequency and high-frequency energy in spectrum, influencing the brightness (sharpness) of the tone. A possible candidate for quantifying the physical correlate of this perceptual effect would be the spectral centroid and its evolution during the decay of the piano tone. Spectral irregularity [38] is another envelope factor worth to investigate in further studies of the quality of piano tones.
Acknowledgements
This project was supported by a NATO Postdoctoral Science Fellowship awarded to the first author for visiting Queens´s University, Kingston, Canada, followed by a visiting professorship grant from the Wenner-Gren Foundations for working at the Royal Institute of Technology (KTH), Stockholm, Sweden. The authors are grateful to Sonya Dal Cin and Jung-Kyong Kim for running participants and data preparation.
References
Footnote 1: The design of the experiments in the frequently cited study by Fletcher et al [6] has been heavily criticized in retrospect, and several of the results seem questionable [9, 31].
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[6] H. Fletcher, E. D. Blackham, R. Stratton: Quality of piano tones. J. Acoust. Soc. Am. 34 (1962) 749-761.
[7] K. Exley: Tonal properties of the pianoforte in relation to bass bridge mechanical impedance. J. Sound and Vibr. 9 (1969) 420-437.
[8] H. A., Jr. Conklin: Design and tone in the mechanoacoustic piano. Part 3: Piano strings and scale design. J. Acoust. Soc. Am. 100 (1996) 1286-1298.
[9] A. H. Benade: Fundamentals of Musical Acoustics. Oxford University Press, New York, 1976.
[10] A. Reinholdt, E. Jansson, A. Askenfelt: Analysis and synthesis of piano tone. J. Acoust. Soc. Am. 81, Suppl. 1 (1987) 46.
[11] A. Galembo, A. Askenfelt, L. L. Cuddy, F. Russo: Effects of relative phases on pitch and timbre in the piano bass range. J. Acoust. Soc. Am. 110 (2001) 1649-1666.
[12] P. Bilhuber, C. Johnson: Influence of the soundboard on piano tone quality. J. Acoust. Soc. Am. 11 (1940) 311-320.
[13] D. W. Martin: Decay rates of piano tones. J. Acoust. Soc. Am. 19 (1947) 535-541.
[14] T. C. Hundley, H. Benioff, D. W. Martin: Factors contributing to the multiple rate of piano tone decay. J. Acoust. Soc. Am. 64 (1978) 1303-1309.
[15] K. Wogram: Acoustical research on pianos. Part I: Vibrational characteristics of the soundboard. Das Musikinstrument 24 (1981) 694-702, 776-82, 872-80.
[16] K. Wogram: The string and the soundboard. - in Five lectures on the Acoustics of the Piano. A. Askenfelt (ed.). Royal Swedish Academy of Music, 1990, 83-94.
[17] H. Suzuki, I. Nakamura: Acoustics of pianos. Applied Acoustics 30 (1990) 147-205.
[18] I. Nakamura: Characteristics of piano sound: Acoustical research on the piano. Part 4. J. Acoust. Soc. Jpn. (E) 17 (1996) 255-262.
[19] I. Bork: Grand piano and upright piano: Differences in sound and radiation. Proc. International Symposium on Musical Acoustics (ISMA'97), 19 – 22 August 1997, Edinburg, 1997, 79-84.
[20] N. Giordano: Sound production by a vibrating piano soundboard: Experiment. J. Acoust. Soc. Am. 104 (1998) 1648-1653.
[21] H. Fletcher: Normal vibration frequencies of a stiff piano string. J. Acoust. Soc. Amer. 36 (1964) 203-209.
[22] A. Galembo, L. L. Cuddy: String inharmonicity and the timbral quality of piano bass tones: Fletcher, Blackham, and Stratton (1962) revisited. Proc. 3 rd US Conference on Music Perception and Cognition, MIT, Cambridge (1997), p. 3.
[23] A. Galembo, A. Askenfelt: Representation of signals and estimation of spectral parameters by inharmonic comb filters with application to the piano. IEEE Transactions on Speech and Audio Processing 7 (1999) 197-203.
[24] W. H. Lichte: Attributes of complex tones. J. Exper. Psychol. 28 (1941) 455-480.
[25] G. v. Bismarck: Sharpness as an attribute of the timbre of steady sounds. Acustica 30 (1974) 159-172.
[26] E. Zwicker and H. Fastl: Psychoacoustics: Facts and Models. Springer-Verlag, New York, 1990.
[27] L. Demany, C. Semal: Pitch versus brightness of timbre: Detecting combined shifts in fundamental and formant Frequency. Music Perception 11 (1993) 219-142.
[28] SOUNDSWELL Signal Workstation, Hitech Development, Box 2058, SE-174 02 Sundbyberg, Sweden.
[29] SPRUCE Listening Test, Hitech Development, Box 2058, SE-174 02 Sundbyberg, Sweden.
[30] P. Kleczkowski: Group additive synthesis. Computer Music Journal 13 (1989) 12-20.
[31] J. R. Lee: Digital Sound-Synthesis Algorithms: A Tutorial Introduction and Comparison of Methods. PhD dissertation, University of California, San Diego, 1988.
[32] J. R Lee: Method and apparatus for producing an electronic representation of a musical sound using extended coerced harmonics. US Patent No. 5,466,882 (Cl. 84/603) Gulbransen, Inc. (1995).
[33] D. Rocchesso, F. Scalcon: Bandwidth of perceived inharmonicity for physical modeling of dispersive string. IEEE Transactions on Speech and Audio Processing 7 (1999) 597-601.
[34] S. McAdams, J. W. Beauchamp, S. Meneguzzi, S.: Discrimination of musical instrument sounds resynthesized with simplified spectrotemporal parameters J. Acoust. Soc. Am. 105 (1999) 882-897.
[35] Rimski-Korsakov, A., Diakonov, N. Musical Instruments: Methods of research and calculation. (in Russian) Rosgizmestprom Press, Moscow, 1952, 167.
[36] Askenfelt A. & Jansson E. From touch to string vibrations I: Timing in the grand piano action, J. Acoust. Soc. Am. 88 (1990) 52-62.
[37] A. Galembo, L. Ivanovskaia: Spectral time structure and noise sources in the high treble range of the piano (in Russian). Proc. 9th USSR Acoustical Conference, Moscow (1977) 3740.
[38] J. Krimphoff, S. McAdams, S. Winsberg: Caracterisation du timbre de sons complexes. II: Analyses acoustiques et quantification psychophysique. Journal de Physique, 4(C5) (1994) 625-628.
Figure legends
Fig.1. Initial spectrum of a grand piano bass tone (Steinway C, A0 = 27.5 Hz) recorded by a microphone at a distance of about 1 m. Spectrum shows more than 100 partials extending to 4-5 kHz. The spectrum envelope has a characteristic formant-like shape with groups of about eight partials between spectral minima, determined by the striking position of the hammer. The partials are progressively stretched due to string inharmonicity.
Fig. 2. Spectra of four synthesized inharmonic piano-like tones (A0 = 27.5 Hz) showing the effect on spectral bandwidth due to the stretching of the partials. With equal number of partials (N = 100) a tone with high inharmonicity (B = 600 . 10 -6 ) extends to a frequency about twice as high as the low-inharmonic tone (B = 60 . 10 -6 ) (left pair). In order to match the spectral bandwidths only 66 partials are required in the high-inharmonic tone (right pair).
Fig. 3. Spectra of a synthesized inharmonic tone (E1 = 41.2 Hz, B = 267·10 -6 ) with 48 partials (W1,3) showing the progressive decay of higher partials at three time points; at the onset (top), after 0.5 s (middle), and after 1.0 s (bottom)
Fig. 4. Mean scores of timbral difference ratings in Listening test 1. The effect of spectral bandwidth on timbral difference is far larger than the effect of inharmonicty.
Fig. 5. Initial spectra for the three A0 tones compared in Listening test 2. Small upright píano, Nordiska Pianofabriken, model Futura 112 cm (recording, B = 560 . 10 -6 ) (top), hybrid tone (synthesized, B = 160 . 10 -6 ) (middle), and concert grand piano, Steinway model D (recording, B = 160 . 10 -6 ) (bottom).
Fig. 6. Mean scores and standard deviations (bars) for timbral difference ratings in Listening test 2. The hybrid-upright tone pair (left) had the same spectral envelope, while the hybrid – grand tone pair (right) had the same inharmonicity.
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Keysight Technologies
Power Sensor Modules Optical Heads Return Loss Modules
Data Sheet
Optical power measurement modules
The Keysight Technologies, Inc. opti cal power measurement modules pro vide high performance functionality to the Keysight Lightwave Measurement platform. These modules can be used with the mainframes 8163B, 8164B or 8166B as well as the earlier 816xA models.
Power sensor modules
Provide a front panel optical input that accepts various 81000xI connec tor interfaces for popular fiber con nector types or bare fibers. Besides giving optical power in units of W or dBm or dB referred to a reference, calibrated for any wavelength in the available range, these advanced instruments provide high speed data logging of up to 20 k (100 k for the 81636B) values, triggered internally or externally. The min-max function keeps the maximum and minimum values continuously or over a chosen number of samples for simple deter mination of power variations. Averag ing times can be set from 10 s down to 100 µs (25 µs for the 81636B).
Optical heads
Provide a 5 mm diameter detector area and allow flexible placement of the power meter which is then connected to the 81618A or 81619A interface module in the mainframe. The functionality is the same as for the sensor modules and a choice of adapters allows input from popular connector types, bare fibers or open beams. The simple geometry and high quality detectors allows the heads to offer the highest accuracy measure ments. Special calibrations, especially to the 81624B provide metrology lab reference quality. The magnetic D-shaped adapters allow rapid removal and replacement on the head without twisting attached fibers.
Return loss modules
Use two power sensors and fiber cou plers to provide a direct measurement of the optical return loss. One sensor measures the optical power reflected back to the instrument while the other monitors the optical power output from the instrument. The ratio provides the return loss. These modules can use an external light source and can also be provided with internal Fabry-Perot lasers for very stable measurements. Full calibration functions are available and especially supported by a built-in application of the 8163B. Using remote program ming, these can also be configured to log up to 20 k values from each sensor, synchronized with a tunable laser attached to the external input for making wavelength dependent measurements.
As with the complete Lightwave Measurement platform, remote programming is available with SCPI commands and especially convenient using the 816x VXIPlug&Play driver. This driver especially simplifies power logging and coordinated measure ments with tunable lasers, especially with multiple power meters.
Selection guidance
– – 81635A: dual-channel sensor, lowest price
– – 81636B: fast power sensor,
– – 81634B: most accurate sensor, high sensitivity
– – 100 k points, 25 μs, high dynamic range
– – 81623B: Ge head, general purpose, also 850 nm specifications
– – 81630B: high power sensor
– – 81624B: InGaAs head, highest accuracy
– – 81628B: InGaAs head with integrating sphere, highest power and accuracy at high power
– – 81626B: InGaAs head, high power
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Specifications
Specification
Describes a guaranteed product performance that is valid under the specified conditions. Specifications are based on a coverage factor of 2 (unless otherwise stated), corre sponding to a level of confidence of > 95%.
Typical value
A characteristic, describes the prod uct performance that is usually met but not guaranteed.
Generally, specifications are valid after warm-up, after zeroing, in autorange mode (if not differently stated) and at the stated operating conditions and measurement settings.
Technical Specifications
Power sensor module specifications
Keysight 81635A
Keysight 81634B
High power sensor module specifications
Keysight 81630B
Fast power sensor module specifications
Keysight 81636B
5. Does not include noise
Optical head specifications
All optical heads have to be operated with the single (Keysight 81618A) or dual (Keysight 81619A) Interface Modules
1. Reference conditions:
angled connector ≤ 8°)
– – Linewidth of source ≥ 100 MHz
– – Power level 10 µW (-20 dBm), continuous wave (CW)
– – Parallel beam, 3 mm spot diameter on the center of the detector
– – Ambient temperature 23 °C ±5 °C
– – On day of calibration (add ±0.3% for aging over one year, add ±0.6% over two years)
– – Spectral width of source < 10 nm (FWHM)
– – Wavelength setting at power sensor corresponding to source wavelength ±0.4 nm
2. Operating Conditions:
– – Parallel beam, 3 mm spot diameter on the center of the detector or connec torized fiber with NA ≤ 0.2 (straight connector, options C01/C02 also with
– – For NA > 0.2 add 1%
– – Averaging time 1 s
– – Within one year after calibration, add 0.3% for second year
– – Spectral width of source < 10 nm (FWHM)
– – Wavelength setting at power sensor corresponding to source wavelength ±0.4 nm
3. All states of polarization at constant wave-length (1550 nm ±30 nm) and constant power, straight connector, T = 23 °C ±5 °C. For angled connector (8°) add ±0.01 dB typ.
4. Conditions: – – Wavelength 1550 nm ±30 nm, fixed state of polarization
– – Temperature 23 °C ±5 °C
– – Angled connector 8°
5. Does not include noise; for wave length < 1000 nm applies for –50 dBm to +10 dBm
6. Averaging time 1 s, T = 23 °C ±5 °C, ΔT ±1 °C, observation time 300 s
7. Conditions: Wavelengths 1550 nm ±30 nm Standard single mode fiber, angled connector min 8°
8. With D-shape adapter 81001xx return loss > 60 dB typical
9. For input power > 2 mW add ±0.004 dB/W (not for C01/C02); zeroing required
10. Specification valid for optical heads with S/N starting with "DE413…" (shipping began April 1, 2001)
81624B high performance and 81626B high power optical head specifications
All optical heads have to be operated with the single (Keysight 81618A) or dual (Keysight 81619A) Interface Modules
Reference Conditions:
1.
– –Zeroing required
(-20 dBm), continuous wave (CW)
connector min 8°
–– Power level 10 µW
– – Parallel beam, 3 mm spot diameter on the center of the detector
– – On day of calibration (add ±0.3% for aging over one year, add ±0.6% over two years) – – Spectral width of source ≤ 10 nm (FWHM)
– – Ambient temperature 23 °C ±5 °C
– – Wavelength setting at power sensor corre sponding to source wavelength ±0.4 nm
2. Operating Conditions:
– – Parallel beam, 3 mm spot diameter on the center of the detector or connectorized fiber with NA ≤ 0.2 (straight connector, options C01/C02 also with angled connector ≤ 8°)
–– For NA > 0.2 add 1%
–– Averaging time 1 s
– – Within one year after calibration, add 0.3% for second year
3. All states of polarization at constant wave-length (1550 nm ±30 nm) and constant power, straight connector, T = 23 °C ±5 °C. For angled connec tor (8°) add ±0.01 dB typ.
4. Conditions:
– – Wavelength 1550 nm ±30 nm, fixed state of polarization
– – Temperature 23 °C ±5 °C
–– Linewidth of source ≥ 100 MHz
–– Angled connector 8°
5. Does not include noise; zeroing required
6. Averaging time 1 s, T = 23 °C ±5 °C,
ΔT ±1 °C, observation time 300 s.
Wavelength range 1200 nm to 1630 nm
7. Conditions:
– – Wavelengths 1550 nm ±30 nm
– – Standard single mode fiber, angled
7
––
With D-shape adapter 81001xx return loss > 60 dB typical
8. For input power > +10 mW:
– – Add typ. ±0.0016 dB/mW, or in case of options C01/C02 for wavelength ≤ 1550 nm add ±0.0006 dB/mW (guaranteed) using adaptor Keysight 81000AF
– – In case of decreasing power, allow time for stabilization of the reading (about 5 s per dB change)
– – In case of decreasing power by more than 50 dB, allow recovery time of 3 minutes.
9. Max 30 °C above +20 dBm input power
High power optical head specifications
All optical heads have to be operated with the single (Keysight 81618A) or dual (Keysight 81619A) Interface Modules
1. Reference Conditions:
– – Power level 10 μW (-20 dBm),
4. Conditions:
continuous wave (CW)
– – Averaging time 1 s
– – Parallel beam, 3 mm, center of sphere input
– – Ambient temperature 23 °C ±5 °C
– – On day of calibration (add ±0.3% for aging over one year, add ±0.6% over two years)
– – Spectral width of source < 10 nm (FWHM)
– – Wavelength setting at power sensor must correspond to source wavelength ±0.4 nm
– – Humidity 50% ±10%
– – Wavelength 1550 nm ±30 nm, fixed state of polarization, constant power
– – Temperature 23 °C ±5 °C
2. Operating Conditions: – – Parallel beam, Ø3 mm, center of sphere input, or connectorized fiber with NA ≤ 0.2 (straight connector)
– – For NA > 0.2: add 1%
– – Within one year after calibration, add ±0.3% for second year
– – Operating temperature range as specified, humidity < 80% and noncondensing
– – Zeroing required
3. All states of polarization at constant wavelength (1550 nm ±30 nm) and constant power
– – Measurement time ≤ 3 min
5. Does not include noise; zeroing required
6. Averaging time 1 s, T = 23 °C ±5 °C, ΔT ±1°C, observation time 300 s, wavelength range 970 nm to 1630 nm, Thermal drift at 38 dBm, exposure time 30 min:
Recovery time 10 min: ≤ 30 nW
30 min: ≤ 10 nW
7. For optical power > 30 dBm the maximal operating temperature is limited to 35 °C
8. Wavelength must not be equal to any water absorption line
Return loss module specifications
All modules require angled contact (8°) at input and output connectors
1. Insertion Loss is in the range of 7 dB
2. Averaging time 1 s
– – calibration prior to measurement
– – constant temperature
– – broadband source: Keysight 83438A
– – FP Sources: Keysight 81650A, 81651A, 81654A with active Coherence Control
– – Reference Cable 81610CC used for total uncertainty
– – Length of measurement patch cord ≤ 2 m, angled connector in optimal optical conditions
3. Warm-up time 60 min, if previously not stored at the same temperature
Reference Cable Specification
To connect to Return Loss Modules the cable requires connector Interface 81000SI DIN47256/4108
1. Clean reference reflector in perfect optical condition (Do not use with contact-type connectors)
Return loss module specifications with internal source
(When used with external sources the specifications of Keysight 81610A return loss module apply) All modules require angled contact (8°) at input and output connectors
1. At 25 °C constant temperature, coherence control on, warm-up time after laser turn on > 5 min
2. Averaging time 1 s
– – calibration prior to measurement
– – constant temperature
– – coherence control on
– – warm-up time after laser turn on > 5 min
– – length of measurement patch cord ≤ 2 m
– – angled connector in optimal optical condition
– – Reference cable 81610CC used for total uncertainty
3. Use defaults settings (no user calibration necessary):
– – length of measurement patch cord ≤ 2 m
– – return loss of connectors ≥ 70 dB
4. For measurements performed immediately after calibration
5. Warm-up time 60 min, if previously not stored at the same temperature
Laser Safety Information
The above products are classified as Class 1 according to IEC 60825 1 (2001).
All laser sources comply with 21 CFR 1040.10 except for deviations pursuant to Laser Notice No. 50, dated 2001-July-26.
CLASS 1 LASER PRODUCT (IEC 60825-1 / 2001)
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Research Paper
Examining the Relationship Between the Dominant Eye and the Dominant Hand
Mohammad Almasi 1 , Ali Mirzajani 1* , Jamile Abolghasemi 2 , Saeed Rahmani 3
1. Department of Optometry, School of Rehabilitation Sciences, Iran University of Medical Sciences, Tehran, Iran.
3. Department of Optometry, School of Rehabilitation Sciences, Shahid Beheshti University of Medical Sciences, Tehran, Iran.
2. Department of Biostatistics, School of Health, Iran University of Medical Sciences, Tehran, Iran.
ABSTRACT
*This work has been published under CC BY-NC-SA 4.0 license.
Article info:
Received: 17 Jan 2023
Accepted: 20 Nov 2023
Available Online: 16 Dec 2023
Funding
The paper was extracted from the master's thesis of Mohammad Almasi, approved by Department of Optometry, School of Rehabilitation Sciences, Iran University of Medical Sciences.
Conflict of interest
The authors declared no conflict of interest.
Background and Objectives: This study aims to determine the relationship between hand dominance and ocular dominance (OD) using different test formats of handedness and ocular dominance.
Methods: Three OD test formats were administered to 74 healthy young adult subjects, hole-incard test for sighting dominance, near-point-of-convergence (NPC) test for motor dominance, and +1.50 to blur test for sensory dominance. All of these tests were performed while the best correction was in front of the subject's eyes. An interview for preferred dominance and a finger-tapping test for performance dominance were administered to determine the dominant hand.
Results: Right eye dominance was indicated in 66.2% with the hole-in-card test, 56.8% with the NPC test, and 51.4% of cases with the +1.50-to-blur test. Statistically, a significant nonrandom relationship was observed between the results of hole-in-card and NPC tests (P=0.000), hole-incard and +1.50-to-blur tests (P=0.003), and also between the results of NPC and +1.50-to-blur tests (P=0.003). In addition, it was found that in 52.7% of the cases, all three dimensions of eye dominance (sighting, sensory, and motor) are not in the same eye and do not have pure eye dominance. In examining the dominant hand, the majority of subjects were right-handed both in the preference (62 of 74 [83.8%]) and in the performance dimension (63 of 74 [85.1%]). Statistical analysis shows a significant nonrandom relationship between the pure dominant hand and the pure dominant eye (P=0.000). In addition, the pure dominant hand (0.813) and pure dominant eye (P=0.126) are independent of gender.
Conclusion: Determining the OD, similar to determining the hand dominance based on their different dimensions, can have different results. According to the results, in all dimensions of ocular and hand dominance, both the dominant eye and the dominant hand are more on the right side of people. Furthermore, the pure dominant eye and pure dominant hand are not independent of each other. Keywords: Dominance, Handedness, Ocular dominance (OD)
Use your device to scan and read the article online
Cite this article as Almasi A, Mirzajani A, Abolghasemi J, Rahmani S. Examining the Relationship Between the Dominant Eye and the Dominant Hand. Function and Disability Journal. 2023; 6:E233.1. http://dx.doi.org/10.32598/fdj.6.233.1
: http://dx.doi.org/10.32598/fdj.6.233.1
* Corresponding Author:
Address: Department of Optometry, School of Rehabilitation Sciences, Iran University of Medical Sciences, Tehran, Iran.
Ali Mirzajani, PhD.
Tel: +98 (21) 22228052
E-mail: firstname.lastname@example.org
What is "already known" in this topic:
Performance-based measurements are not predictors of preferred hand. Combining the questionnaires and performance test results can be the best predictor of the preferred hand. Thus, these results show that the use of several different methods can predict the dominant hand more accurately. Also, regarding eye dominance, different methods can be used to determine the dominant eye.
What this article adds:
According to the available facilities and the results of past studies, this study aims to obtain a more accurate and comprehensive laterality of them, considering all the dimensions of hand and eye dominance.
Introduction
lthough the human anatomy is symmetri- subjects with the +1.50 to blur test had right-eye dominance, which had a statistically significant difference.
cally arranged around a central vertical axis, most people use one side of their body with greater frequency, ease, and skill than the other [1] . It is also the case with the eyes. Porta first proposed ocular dominance (OD) in 1953 [2] . Ocular dominance refers to the tendency of the visual system to prefer the processing of input signals from one eye to the other eye [3] . The concept of ocular dominance has been studied for many years in optometry, ophthalmology, and psychology. Clinically, ocular dominance has been used for a variety of applications, including monovision contact lens wear, cataract surgery, sports performance, military marksmanship, and education and learning disorders [4] . Depending on the operational definition and specific measurements, ocular dominance could be classified into sighting, motor, and sensory dominance. Sighting dominance refers to the preferential use of one eye over the fellow eye in fixating on a target. In motor dominance, the dominant eye is less likely to lose fixation at the near point of convergence, and the state of the extraocular muscles with their innervational patterns may play a role in determining motor dominance. Sensory dominance occurs when the perception of a stimulus presented to one eye dominates over the other in retinal rivalry conditions [3] .
A
Qiu et al [5] showed that when OD was determined using the hole-in-the-card test, right OD was present in 75.7% of subjects, and left OD was present in 24.3%. The worth 4-dot (sensory) test indicated right OD in 40.7%, left OD in 39.3%, and 20.0% had undetermined ocular dominance. Another study [1] showed that using the hole-in-card test and +1.50 to blur (sensory) test, 71% of subjects with the hole-in-card test and 54% of
In this study, the relationship between hand-eye dominance is investigated. According to the definition, the dominant hand performs better, faster, and more accurately than the other [6]. Handedness is a multidimensional motor function that identifies the hand one prefers to use for a variety of unimanual tasks (i.e. preference) and the ability to perform more effectively with one hand (i.e. performance) [7]. Therefore, preference and performance dimensions should be considered in determining the handedness to choose it more accurately. Hand dominance is strong and pure when the preference and performance in one hand are significantly preferable to the other [8]. Based on studies [9, 10], cultural and biological factors may influence the dominant hand. In the early twentieth century, significant pressures were found to switch the writing hand from left to right to avoid the religious and social stigmas of being left-handed. It was believed that left-handed individuals were at a physical and psychological disadvantage compared to righthanders. In addition to forced hand switching, inherent environmental constraints exist that a left-handed individual must adapt to living in a world designed for righthanders. In addition to these pressures, due to the design of devices for right-handers, left-handers people have to adapt and get used to this type of design, which, in turn, can affect the accurate recognition of whether people are left-handed or right-handed [11]. As a result, environmental factors can affect the preference and performance dominance of the hand, and it is impossible to determine the dominant hand by performing one test that evaluates only one of the dimensions. Because a person may have left-hand dominance, and the preference is changed to the right hand due to parental compulsion, the left hand still performs better. Only a few studies have paid attention to the effect of these factors, which may affect the
Almasi A, et al. Relationship Between the Dominant Eye and Hand. Func Disabil J. 2022; 5:E233.1
results of studies. In past classifications, typically, hand dominance was determined unidimensionally (such as a person's self-report of their dominant hand). Recently, multidimensional hand dominance has been considered, as its one-dimensionality seemed ambiguous. According to the study conducted by Corey et al [12], if considered alone, performance-based measurements are not predictors of preferred hand. Combining the questionnaires and performance test results can be the best predictor of the preferred hand. Thus, these results show that the use of several different methods can predict the dominant hand more accurately. Also, regarding eye dominance, different methods can be used to determine the dominant eye. Therefore, investigating the effect of the method of determining the dominance in the eye and its relationship with the dominance of the hand can bring new results. Therefore, this study aims to obtain a more accurate and comprehensive laterality of them, considering all the dimensions of hand and eye dominance, according to the available facilities and the results of past studies.
Materials and Methods
This research was conducted by convenience sampling method in Qom City, Iran in 2022. People without physical defects in the upper limbs and with normal vision (at least visual acuity of 20/20 measured by the Snellen echart) between the ages of 17 and 35 years whom we got access to, were invited to participate in the study if they had the conditions to enter the research. In this study, information, such as a history of eye surgery, and history of eye trauma, was collected by asking questions in the form of an interview. The person's refractive error was obtained objectively by auto refractometer Topcon model AR 8000 and then subjectively with an end-point of maximum plus for better distance visual acuity. With the best correction, the subject's visual acuity was measured with a Snellen e-chart placed at 6 meters from the participant. The amount of eye deviation was measured first at a distance of 6 meters and then at a distance of 40 cm using an accommodative target with the alternate prism cover test. Stereopsis was measured with the Titmus Fly test. Sighting ocular dominance was determined with the hole-in-card test (to find out which eye was used for fixation), motor ocular dominance with the near-point-ofconvergence (NPC) test (to find which eye is less likely to lose fixation at the near point of convergence), and sensory ocular dominance with +1.50 to blur test (to find out which eye feels more blur by adding +1.50 sphere to the best optical correction).
ping test software, version 3.5 (Sybu Data) that can be installed on the mobile phone. In this method, the participant was asked to tap the index finger in the box specified in the software as fast as possible for ten s while his/her palm was on the table. This task was repeated three times for each hand and the average tap number was recorded. The hand with the higher average tap number was considered the dominant performance hand. Preference for hand dominance was also determined by asking several questions in the form of an interview, and the preferred hand for writing, throwing, using a spoon, brushing, and combing was questioned. Finally, according to the results of the tests, the dominant hand and dominant eye were determined and recorded.
Statistical analysis
All data were analyzed using SPSS software, version 27 (SPSS Inc., Chicago, IL). The chi-square test has been used to evaluate the relationship between variables. In all statistical tests, P<0.05 was considered significant.
Results
The subject group (74 people, mean age 22.7±2.3 years) included 36 men (48.6%) (mean age 22.9±2.3 years) and 38 women (51.4%) (mean age 22.6±2.3 years). Age distributions of the genders were not statistically significantly different (P=0.597).
Table 1 presents the OD outcomes recorded with the three dominance test formats across the study group. As can be seen, 66% (49 of 74) of individuals were identified as right-eye dominant using the sighting test, 51% (38 of 74) of persons were right-eye dominant with the sensory test, and 57% (42 of 74) of persons were righteye dominant with the motor test. Also, with the sighting test, all participants had clear ocular dominance, while 14 participants (18.91%) had undetermined OD with motor and sensory tests. This represents a statistically significantly different outcome between the sighting and motor tests (P=0.000), between sighting and sensory tests (P=0.003), and between motor and sensory tests (P=0.003).
To determine the performance dominance of the hand, the finger-tapping test was used. We used the finger-tap-
In examining the pure dominant eye, a significant change was observed (Table 2) so that only 35% (26 of 74) of subjects were pure right-eyed (all three sighting, motor, and sensory dominance were present in the right eye simultaneously), and 53% (39 of 74) of persons all three dimensions of OD were not present in one eye simultaneously, in other words, they did not have pure ocular dominance.
Almasi M, et al. Relationship Between the Dominant Eye and Hand. Func Disabil J. 2022; 5:E233.1
Table 1. Distribution of ocular dominance by test formats
Table 2. Distribution of pure ocular dominance
Table 3 presents the distribution of the pure dominant hand (in other words, both dimensions of performance dominance and preference dominance are in the same hand). When the pure dominant hand was analyzed, 80% (59 of 74) of subjects were right-handed.
Table 4 presents the results of the two hand dominance format tests. According to the results, most participants were right-handed both in the preference test (84%, 62 of 74) and in the performance test (85%, 63 of 74). Based on these results, a significant non-random relationship is observed between preference and performance tests of hand dominance (P=0.003).
Table 3. Distribution of pure handedness
Table 4. Distribution of handedness by test format
Almasi A, et al. Relationship Between the Dominant Eye and Hand. Func Disabil J. 2022; 5:E233.1
Table 5. Distribution of pure handedness and ocular dominance
| Pure Dominant Eye | Pure Dominant Hand | | | Fisher-exact Value |
|---|---|---|---|---|
| | Right | Left | Undetermined | |
Table 5 presents the frequency distribution and comparison of net dominant hand and eye, and based on that, out of a total of 59 people whose right hand was dominant, 23 people (39.0%) had the right eye, and 4 people (6.8%) had the left eye. Also, among the righthanded people, 32 people (54.2%) did not have a specific dominant eye; in other words, all 3 dimensions of eye dominance were not observed in one eye. Also, out of 4 people whose left hand was dominant, 1 person (0.25%) had the right eye, and 3 person (0.75%) had the left eye. Of the 11 people who did not have a clear dominant hand, none were right-eyed, but either their left eye was dominant (36.4%), or they did not have a clear eye dominance in the eye (63.6%). Based on statistical analysis, a significant non-random relationship is observed between pure dominant hand and eye dominance (P=0.000). It is worth noting that the pure dominant hand (0.813) and pure dominant eye (P=0.126) are independent of gender.
Discussion
Based on the results of this study, a non-random relationship is observed between the pure dominant eye and the pure dominant hand. In other words, the pure hand and the pure eye dominance are not independent. However, in a study conducted by Jagadamba [13], it was pointed out that no significant relationship is observed between the dominant hand and the eye. The relationship between sighting dominance and the preferred dominant hand has been investigated in that study. However, if the relationship between these two cases is considered according to the data in the present study, in that case, a significant non-random relationship is observed between sighting dominance and the preferred dominant hand (P=0.034). With simple definitions regarding the dominance of eye and hand, that is, if the dominant eye, observational eye, and the dominant hand, handwriting are considered, the relationship between the eye and the dominant hand becomes significant (P=0.040).
The current study found that when each of the different dimensions of eye dominance is considered alone, the frequency of right eyes is higher in all three dimensions. Dominant eye in few people is relatively undetermined, which can be found in various studies [1, 5, 13]. Nevertheless, the result is very different when all dimensions are considered together, and we define the dominant eye as having all 3 dimensions of eye dominance in that eye. It is observed that most people (52.7%) have all the dimensions of dominance not in one eye, and do not have a pure dominant eye. The results show a significant relationship between the results of all three tests used to determine eye dominance in this study. Now the question may arise that in clinical conditions when one-sided eye treatment is to be done, which of the dimensions of eye dominance is a better indicator of the dominant eye? Given that the human visual system is usually binocular, are tests that allow some degree of binocular vision to be maintained during testing desirable? Even in many people with the normal visual system in sensory and motor tests, no clear dominant eye is observed; clinical decision-making based on the results of these tests may not be a correct basis.
In the current study, the interview method was used to determine the preferred dominant hand, so it is possible that some people refused to give real answers and gave unrealistic answers. Also, the large number of experiments and tests caused the participant's fatigue and errors in the results of the tests. This study was conducted in the age range of 19-29 years. Therefore, it cannot be generalized to the whole of society.
Ethical Considerations
Compliance with ethical guidelines
The Ethics Committee of the Iran University of Medical Sciences approved this study (Code: IR.IUMS. REC.1400.329) .
Almasi A, et al. Relationship Between the Dominant Eye and Hand. Func Disabil J. 2022; 5:E233.1
Funding
The paper was extracted from the master' s thesis of the Mohammad Almasi, approved by Department of Optometry, School of Rehabilitation Sciences, Iran University of Medical Sciences.
Authors' contributions
Conceptualization: Saeed Rhmani, Ali Mirzajani and Mohammad Almasi; Methodology and writing the original draft: Mohammad Almasi and Ali Mirzajani; Investigation: Mohammad Almasi; Data analysis: Mohammad Almasi and Jamileh Abolghasemi; Review and editing: All authors; Supervision: Ali Mirzajani.
Conflict of interest
The authors declared no conflict of interest.
Acknowledgments
The authors appreciate the cooperation of all participants who have collaborated in this research.
References
[1] Pointer JS. Sighting versus sensory ocular dominance. J Optom. 2012; 5(2):52-5. [DOI:10.1016/j.optom.2012.03.001] [PMCID]
[2] Yuan L, Wan B, Bao Y. Association between ocular dominance and refraction in myopic subjects. Chinese J Ophthalmol. 2020; 56(9):693-8. [DO:10.3760/cma.j.cn112142-20200206-00050]
[3] Jiang F, Chen Z, Bi H, Ekure E, Su B, Wu H, et al. Association between ocular sensory dominance and refractive error asymmetry. PLoS One. 2015; 10(8):e0136222. [DOI:10.1371/journal. pone.0136222] [PMID] [PMCID]
[4] Dalton K, Guillon M, Naroo SA. Ocular dominance and handedness in golf putting. Optom Vis Sci. 2015; 92(10):968-75 [DOI:10.1097/ OPX.0000000000000690] [PMID]
[5] Qiu JK, Zhang Sh, Wang Z. Comparison of Worth 4-dot test and hole-in-the-card test for the detection of the dominant eye under habitual and best refractive correction. Hong Kong J Ophthalmol. 2006; 10(1):11-4. [Link]
[6] Xiaoli Guo, Yuanyuan Lyu, Bekrater-Bodmann R, Flor H, Tong Sh. Handedness change after dominant side amputation: Evaluation from a hand laterality judgment task. Annu Int Conf IEEE Eng Med Biol Soc. 2015; 2015:8002-5. [DOI:10.1109/EMBC.2015.7320249] [PMID]
[7] Scharoun SM, Bryden PJ. Is strength of handedness reliable over repeated testing? An examination of typical development and autism spectrum disorder. Front Psychol. 2015; 6:17. [DOI:10.3389/ fpsyg.2015.00017] [PMID] [PMCID]
Almasi A, et al. Relationship Between the Dominant Eye and Hand. Func Disabil J. 2022; 5:E233.1
[8] Rigal RA. Which handedness: Preference or performance? Percept Mot Skills. 1992; 75(3 Pt 1):851-66. [DOI:10.2466/ pms.19188.8.131.521] [PMID]
[9] Galobardes B, Bernstein MS, Morabia A. The association between switching hand preference and the declining prevalence of lefthandedness with age. Am J Public Health. 1999; 89(12):1873-5. [DOI:10.2105/AJPH.89.12.1873] [PMID] [PMCID]
[10] Porac C, Buller T. Overt attempts to change hand preference: A study of group and individual characteristics. Can J Psychol. 1990; 44(4):512-21. [DOI:10.1037/h0084268] [PMID]
[11] Adamo DE, Taufiq A. Establishing hand preference: Why does it matter? Hand (N Y). 2011; 6(3):295-303. [DOI:10.1007/s11552011-9324-x] [PMID] [PMCID]
[12] Corey DM, Hurley MM, Foundas AL. Right and left handedness defined: A multivariate approach using hand preference and hand performance measures. Neuropsychiatry Neuropsychol Behav Neurol. 2001; 14(3):144-52. [PMID]
[13] Aswathappa J, Kutty K, Annamalai N. Relationship between handedness and ocular dominance in healthy young adults – A study. Int J Pharm Biomed Res. 2011; 2(2):76-8. [Link]
مقاله پژوهشی
آیا افراد راستدست، راستچشم هستند؟
3 ، سعید رحمانی 2، جمیله ابوالقاسمی1 علی میرزاجانی * ، 1 محمد الماسی
.. گروه بینایی سنجی، دانشکده علوم توانبخشی، دانشگاه علوم پزشکی ایران، تهران، ایران1
.. گروه بینایی سنجی، دانشکده علوم توانبخشی، دانشگاه علوم پزشکی شهید بهشتی، تهران، ایران3
.. گروه آمار زیستی، دانشکده بهداشت، دانشگاه علوم پزشکی ایران، تهران، ایران2
1402 تیر26:تاریخ دریافت
. مقدمه این مطالعه با هدف تعیین رابطه بین دست غالب و چشم غالب با استفاده از ابعاد مختلف غالبیت دست و چشم انجام شد بهترتیبto blur 1/50+ وHole-in-card ، NPC نفر شرکت کردند. برای چشم غالب، از روشهای74 مواد و روشها در این پژوهش بهترتیب برایfinger-tapping برای تعیین چشم غالب مشاهدهای، حرکتی و حسی و برای تعیین دست غالب از مصاحبه و تست مشخص کردن دست غالب ترجیحی و عملکردی استفاده شد. تمامی روشهای تعیین چشم غالب در حالی انجام شد که بهترین اصالح .جلوی چشمهای شرکتکننده قرار داشت
1402 آبان29:تاریخ پذیرش
1402 |
آذر25
:تاریخ انتشار
نتیجهگیری تعیین غالبیت چشم، همانند تعیین غالبیت دست براساس ابعاد مختلف میتواند نتایج متفاوتی داشته باشد. براساس یافتههای مطالعه حاضر در تمام ابعاد، هم چشم غالب و هم دست غالب بیشتر در سمت راست افراد قرار دارد. همچنین، غالبیت چشم و دست .غالب خالص از هم مستقل نیستند
درصد51/4 درصد و با تست غالبیت حسی در56/8 درصد، با تست غالبیت حرکتی در66/2 یافتهها با تست غالبیت مشاهدهای در )، تستهای مشاهدهای و حسیP=0/000( از موارد، چشم راست غالب بود. ازنظر آماری میان نتایج تستهای مشاهدهای و حرکتی )، هماهنگی غیرتصادفی معناداری وجود دارد. بهعبارتدیگرP=0/003( ) و همچنین میان نتایج تستهای حرکتی و حسیP=0/003( بعد3 درصد از موارد هر52/7 ازنظرآماری نتایج تستهای غالبیت چشم از یکدیگر مستقل نیستند. عالوهبراین مشخص شد در مشاهدهای، حسی و حرکتی در یک چشم نیستند و غالبیت چشمی خالصی ندارند. در بررسی دست غالب، اکثر افراد شرکتکننده هم درصد)) راست دست بودند. براساس85/1( نفر74 نفر از63( درصد)) و هم در بعد عملکردی83/8( نفر74 نفر از62( در بعد ترجیحی ،). از سوی دیگرP=0/000( تحلیلهای آماری، میان دست غالب خالص و چشم غالب خالص همراهی غیرتصادفی معنادار وجود دارد .) با جنسیت مشاهده نشدP=0/126( ) و همچنین چشم غالب خالص813/0( ارتباط معناداری میان دست غالب خالص
،غالبیت، غالبیت چشم
:کلیدواژهها
غالبیت دست
Use your device to scan and read the article online
Cite this article as Almasi A, Mirzajani A, Abolghasemi J, Rahmani S. Examining the Relationship Between the Dominant Eye and the Dominant Hand. Function and Disability Journal. 2023; 6:E233.1. http://dx.doi.org/10.32598/fdj.6.233.1
: http://dx.doi.org/10.32598/fdj.6.233.1:
*
نویسنده مسئول
.دانشگاه علوم پزشکی ایران، دانشکده علوم توانبخشی، گروه بینایی سنجی
دکتر علی میرزاجانی
+98 (21) 22228052:تلفن
،تهران:نشانی
email@example.com
:رایانامه
|
Fema le
Genit al
Mutil ation
Information for Health-Care Professionals Working in Ireland
2ND EDITION
Updated and Revised June 2013
This document is designed to p your professional capacity. It is
used as a substitute for obtain ro
n
vide relevant and pertinent information for you within ot an exhaustive source of information and should not be
ing appropriate legal or medical advice, where necessary.
FGM
GYNAECOLOGICAL AND HEALTH ISSUES
PRINCIPAL AUTHORS
INTRODUCTION
AN OVERVIEW
PREVALENCE: GLOBAL, EUROPEAN AND IRISH STATISTICS
DEFINITION, TERMS AND GLOSSARY
THE ENCOUNTER/CONSULTATION
OBSTETRIC ISSUES
CONTE
NTS
PSYCHOLOGICAL ISSUES
01
02 03 04 07 10 12 14 17 19 22
FGM
Coordinator, Migrant Women's
PRINC
IPAL AUTHORS
Dr Andrea Scharfe Nugent, MB
Revised and Updated Se
Fanta Kaloma, co
nd Edition 2013 Authors
MB, BCh, BAO, LRCP
Seema Bansal,Global Experien
Ghada Karakoshi,
Megan Breckwoldt,
Chandra Mishra,
Siobán O'Brien Green, M. Soc.
Global Exp ce
s
er iences
Sc. (Social Policy)
Salome Mbugua,CEO, AkiDwA
Michelle O'Connor,
Edited by: Catherine Reilly
Carol O'Rourke,
Anita Pappas,
First Edition 2008 Autho
Hotham Whayeb,
Siobán O'Brien Green, M. Soc.
Nisa Zaib,MB, BS
Sudha Patel,
Siobán O'Brien Green, M. Soc. Coordinator, Migrant Women's Duke University, U ROYAL COLLEGE OF SUR
Lucy Deegan Leirião rs
Sc He
, BCh, BAO, FACOG
Course Director, Department o f O
bstetrics and Gynaecology
Kate Aboud,RGN, RM
Samjhana Basnet,MB, BS
Jane Cuthill,RGN, RM
Frances Finn,RGN, RM
Fiona Fox,MB, BCh, BAO, MICGP
02
MB, CHR
RGN, RM
MB, BS
COPY EDITOR
RGN, BNS, PG, HDip
MB, BS
MB, BS, DCh
Egbal Moheildin, MB, BCh
S. (Social Policy)
alth Services Project, AkiDwA
A
GEONS IN IRELAND, MSc WOMEN'S HEALTH
FGM INTRO
03
DUCTION
The first edition of this handbook was produced in 2008, as a result of successful collaboration between the Royal College of Surgeons in Ireland's MSc Women's Health Course Director and students and the Coordinator of the Migrant Women's Health Services Project in AkiDwA. This initial resource would not have been completed without the active participation and assistance of the then AkiDwA FGM Health Forum members (listed below), the board and staff of AkiDwA, the significant contribution from the RCSI, and the courageous women who have endured FGM and are seeking supports and services in Ireland. The original publication was funded by the then Office of the Minister for Integration. Since 2008 substantial work and progress on the issue of FGM has been realised in Ireland. The Revised and Updated Second Edition of this hand- book was produced by AkiDwA with support from the National Social Inclusion Office of the Health Service Executive. It is envisaged that this resource will be of help and useful to a range health care professionals.
In 2008 AkiDwA produced the first initial statistical extrapolation of the prevalence of FGM in Ireland. This was done by using Irish 2006 census data from the Central Statistics Office and synthesising it with global FGM prevalence data. A figure of 2,585 women living in Ireland who had undergone FGM was estimated. This figure was updated in 2010 and in 2013 after the 2011 census and there are currently estimated to be 3,780 women living in Ireland who have undergone FGM. The most recent data has shown that despite a decline in inward migration to Ireland the figure of the prevalence of FGM in Ireland continues to increase. After a decade of campaigning and lobbying, the Criminal Justice (Female Genital Mutilation) Act 2012 was signed into law in April 2012, and became effective in September 2012. The Act creates an innovative offence of removal from the State of a girl for the purpose of FGM. Punishment is up to 14 years imprisonment and/or a fine; for a summary conviction, the penalty is a fine of up to €5,000 and/or imprisonment for up to 12 months or both. Female Genital Mutilation (FGM) is now included in the new Irish National Maternity Healthcare Record under Risk Factors. This new Record will be used for all women booking for maternity care and includes for the first time at a national level, FGM as a risk factor for obstetric care. To date AkiDwA with the funding and support from the HSE has delivered awareness raising and training to over 3,000 service providers and health care professionals. AkiDwA continues to raise awareness on FGM at local, regional and national level through media, seminars, workshops, conferences and publications. In 2012, AkiDwA published an information leaflet for the public 'Female Genital Mutilation and the law in Ireland' and in February 2013 AkiDwA launched findings from a survey with General Practitioners on their understanding of FGM. The purpose of this survey was to ascertain knowledge of FGM amongst General Practitioners in Ireland. In 2013, AkiDwA, the Mediterranean Institute Mediterranean Institute of Gender Studies [M.I.G.S], based in Cyprus, in partnership with the Italian Association for Women in Development (AIDOS), AkiDwA in Ireland, and the Family Planning Association of Portugal (APF) developed the E-Learning toolkit, United to END FGM (UEFGM) 2008 AkiDwA FGM Health Forum members Meghan Doherty, Policy Officer, Irish Family Planning Association Sarah Duku, Resource and Information Coordinator, Cáirde Margaret Dunlea, Lecturer in Midwifery, School of Nursing and Midwifery, Trinity College Dublin Alessandra Fantini, Policy Officer, Women's Health Council Breda Gahan, Global HIV and AIDS Programme Advisor, Concern Worldwide Sinead Murphy, International Health Liaison Nurse, GUIDE Clinic, St. James' Hospital Siobán O'Brien Green, Coordinator, Migrant Women's Health Services Project, AkiDwA Angela O'Shea, Network Development Manager, Network of Women's Refuges and Support Services Andrea Scharfe Nugent, Course Director, MSc Women's Health, Royal College of Surgeons in Ireland Rebecca Seery, Client Support Worker, Dublin AIDS Alliance Alwiye Xuseyn, Financial Administrator, AkiDwA
04
FGM AN OV
Female genital mutilation (FGM) is defined as the partial or total removal of the external female genitalia, or any practice that purposely alters or injures the female genital organs for non-medical reasons. The practice is internationally recognised as a human rights violation of women and girls.
05
ERVIEW
Type I
Type II
Type III
Type IV
THE WORLD HEALTH ORGANIZATION'S CLASSIFICATION OF FGM (2007)
Partial or total removal of the clitoris and/or the prepuce
(clitoridectomy).
traditional birth attendant (TBA). The use of anaesthetics and antiseptics is uncommon. Instruments used
NBWomen may not be able to correctly self-identify the specific type of FGM that they have experienced.
Partial or total removal of the clitoris and the labia minora, with or without excision of the labia majora
(excision).
Narrowing of the vaginal orifice with creation of a covering seal by cutting and appositioning the labia minora and/or the labia majora, with or without excision of the clitoris
(infibulation).
*
WHEN IS FGM PERFORMED?
All other harmful procedures to the female genitalia for non-medical purposes, e.g. pricking, piercing,
*
The age at which girls undergo FGM varies by community. The most common age at which FGM is performed is between four and ten years, although this can vary from birth until pregnancy with first
child (primagravia).
incising, scraping and cauterisation.
*
WHO PERFORMS FGM?
communities, it is strongly believed that a girl is not marriageable if she has not undergone FGM.
Therefore, she may become a social outcast.
Typically, FGM is performed by an older woman in the community who has had no medical training or by a
The negative health complications associated with FGM are often poorly understood within practising to perform FGM include razor blades, knives, pieces of glass, scissors and scalpels. In some instances,
communities. If the correlation between FGM and certain complications was more clearly realised among several girls will be cut using the same instrument, heightening the risk of infections including HIV.
community members, particularly maternal morbidity/mortality and fistula formation, it is likely that FGM’s prevalence would decrease.
WHY IS FGM PERFORMED?
tradition
*
rite of passage into womanhood religion (although no religion includes FGM as a requirement)
preservation of virginity until marriage
* social acceptance, among peers as well as for marriage
* cultural/aesthetic reasons
The origins of FGM are largely unknown, but the practice predates contemporary world religions. Local
06
and cultural factors are likely to be some of the reasons for the development and continuation of the practice over time.
WHY DOES FGM CONTINUE?
The practice of FGM persists today for several reasons. In many instances, parents want their daughters to undergo FGM in order to avoid stigmatisation or social exclusion by the rest of the community. In practising
HEALTH CONSEQUENCES OF FGM
THE SHORT-TERM COMPLICATIONS
OF FGM CAN INCLUDE:
Infection and failure of the wound to heal
Decrease or loss of sexual sensation
Difficult and complicated childbirth
Dysmenorrhoea, difficulties in menstruation including
THE LONG-TERM COMPLICATIONS
OF FGM CAN INCLUDE:
for women who had undergone FGM [1]. The study involved 28,393 women at 28 obstetric centres in passing menses
six African countries (Burkina Faso, Ghana, Kenya, Nigeria, Senegal and Sudan). Deliveries are more likely to be complicated by Caesarean section, post-partum haemorrhage, episiotomy, an extended
Injury or trauma to adjoining areas, such a s the
Shock from severe pain and bleeding
Dyspareunia (painful intercourse)
Incontinence and difficulty urinating stay in maternity hospital, resuscitation of the infant, and inpatient perinatal death. Many nations around the world have passed specific legislation against the practice of FGM, including 24 African countries. European countries that have legislation applicable to FGM include, but are not limited to, Austria, Belgium, Spain and the UK. In some of the African countries that have passed anti-FGM legislation, there has been a trend toward the medicalisation of the practice instead of an overall decrease in prevalence. Several of the industrialised nations with anti-FGM legislation include the principle of extraterritoriality as a stipulation. That is, it is illegal to perform FGM on a resident of such a nation, even if it is done elsewhere. The Criminal Justice (Female Genital Mutilation) Act 2012 was signed into law on 2 April 2012. This law has been effective since 20 September. It is now a criminal offence for someone resident in Ireland to perform FGM. The maximum penalty under all sections of this new law is a fine or imprisonment for up to 14 years or both. While the principle of extraterritoriality is not included in the Act in order to conform to Constitutional and international law requirements, section 3 provides an innovative offence of removal for the State of a girl for the purpose of FGM. 07
WHAT LEGISLATION EXISTS AGAINST FGM?
Death
Haemorrhage urethra and anus
Surgical mishap
Pelvic inflammatory disease (PID) and infertility
FGM PREVA GLOBA
AND IR
The World Health Organization estimates that between 100 and 140 million women worldwide have undergone female genital mutilation (FGM) and 3 million girls are at risk of FGM in Africa annually. This equates to 6,000 women and girls undergoing FGM daily in the world. Prevalence often varies widely within countries, depending on regional and tribal cultural traditions.
08
LENCE:
L, EUROPEAN
ISH STATISTICS,
*
COUNTRY
PREVALENCE OF FGM IN PRACTISING COUNTRIES
| ESTIMATED PREVALENCE OF FGM IN GIRLS AND WOMEN AGED 15 – 49 YEARS (%) | YEAR |
|---|---|
| 17 | 2006 |
| 77 | 2006 |
| 1.4 | 2004 |
| 45 | 2006 |
| 36 | 2008 |
| 45 | 2006 |
| 5 | 2011 |
| 93.1 | 2006 |
| 97 | 2008 |
| 89 | 2006 |
| 80 | 2006 |
| 78.3 | 2005-6 |
| 5 | 2006 |
| 99 | 2006 |
| 44.5 | 2006 |
| 45 | 2006 |
| 32 | 2008-9 |
| 60 | 2007 |
| 92 | 2006 |
| 71 | 2007 |
| 5 | 2006 |
| 19 | 2008 |
| 28 | 2005 |
| 94 | 2006 |
| 97.9 | 2006 |
| 90 | 2000 |
| 18 | 2006 |
| 5.8 | 2006 |
| 0.6 | 2006 |
| 23 | 2003 |
ESTIMATED PREVALENCE OF FGM IN
GIRLS AND WOMEN AGED 15 – 49 YEARS (%) YEAR
SOURCE
Benin
Burkina Faso
Cameroon
Cote D'lvoire
Central Africa Republic
Chad Congo, Democratic Republic of
Djibouti
Egypt Eritrea
Ethiopia
17 77 1.4 45 36 45 5 93.1 97 89 80
WHO/DHS
WHO/MICS
WHO/DHS
WHO/MICS
WHO/MICS
WHO HARVARD
WHO/MICS
WHO/DHS
WHO/DHS
WHO/DHS
2006 2006 2004 2006 2008 2006 2011 2006 2008 2006 2006
practise FGM after moving to Europe as a way of upholding traditional customs. Despite legislative efforts to stop this practice, several studies have indicated that many girls living in Europe are still at risk for
undergoing the procedure.
A 2007 study by the UK organisation FORWARD estimated that nearly 66,000 women with FGM were residing
09 in England and Wales in 2001 [2]. The study speculated that this number would likely increase in the years thereafter. The study also found that nearly 21,000 girls in England and Wales aged eight and younger were at risk of FGM, and 11,000 of this cohort were likely to have already undergone some type of FGM.
Countries with FGM
prevalence of 90%
or above.
Approximately 80%
of total population in survey.
PREVALENCE OF FGM IN IRELAND
Ghana Guinea
Ivory Coast
| GLOBAL PREVALENCE | TOTAL NUMBER OF WOMEN FROM FGM- PRACTISING COUNTRIES AGED 15-44 AND RESIDENT IN IRELAND |
|---|---|
| 17 | 21 |
| 1.4 | 356 |
| 36 | 42 |
| 97 | 247 |
| 89 | 59 |
| 80 | 94 |
| 78.3 | 22 |
| 5 | 475 |
| 99 | 49 |
| 45 | 97 |
| 32 | 290 |
| 60 | 66 |
| 92 | 8 |
| 71 | 11 |
| 5 | 24 |
| 19 | 7,544 |
| 28 | 12 |
| 94 | 84 |
| 97.9 | 414 |
| 90 | 432 |
| 18 | 57 |
| 5.8 | 90 |
| 0.6 | 129 |
| 23 | 13 |
| | 10,636 |
The prevalence of FGM i n Ireland was estimated by obtaining census statistics (CSO) from 2011 and other relevant populatio n data on the number of women residing in Ireland, originally from FGMpracticing countries. Th ese statistics were then synthesised with global FGM prevalence data to ascertain an estimated total of 3,780 women between the ages of 15 and 44 residing in Ireland who have undergone FGM. D ata has shown that, despite a decline in inward migration to Ireland the figures of the prevalence of FGM in Ireland continue to increase. ESTIMATED PREVA LENCE OF FGM IN IRELAND (ENUMERATED BY 2011 CENSUS) TOTAL NUMBER OF WOMEN FROM FGM- PRACTISING COUNTRIES AGED 15-44 AND RESIDENT IN IRELAND G LOBAL P REVALENCE ESTIMATED NUMBER WITH FGM 21 356 42 247 59 94 22 475 49 97 290 66 8 11 24 7,544 12 5.3 4.9 15.12 239.59 52.51 75.2 17.36 18.05 46.84 43.65 78.59 38.42 1 7 1 .4 36 97 89 80 78.3 5 99 45 32 60 92 71 5 19 28
FGM-PRACTISING COUNTRY
Central Africa Republic
10
Benin
Cameroon
Egypt Eritrea
Ethiopia
Gambia
FGM DEFIN AND G
11
ITION, TERMS
LOSSARY
tal mutilation (FGM)
comprises all volving partial or total removal of
female genitalia, or other injury to the al
the external female genital organs for non-medical reasons. It is important to realise that the term 'female genital mutilation' is unlikely to be used by a woman to refer to her body or related health issues. She may use one of the following terms or refer to being 'closed', 'cut' or 'circumcised'. The appropriate use of terms or phrases is vital to encouraging communication between the woman and a health-care professional. Following on is a brief selection of terms commonly used to refer to FGM.
COUNTRY
Egypt
DRY SEX
Eritrea
Ethiopia
GISHIRI CUTS
Kenya
MEDICALISATION
Nigeria
Sierra Leone
Somalia
PHARAONIC
CIRCUMCISION
TERM (PHONETIC PRONUNCIATION) LANGUAGE
SIGNIFICANCE
Circumcision
Circumcision or cutting
Ritual Circumcision or cutting
Circumcision (male and female)
Circumcision (male and female)
Circumcision
Circumcision
Circumcision (male and female)
Arabic
Tigrenya
Harrari
Amharic
Swahili
Igbo Various
Somali Arabic
Sudan
Khitan
Mkhenshab
Absum
Megerez
Kutairi
Ibi ugwu
Bondo
Gudniin
Tahoor
TRADITIONAL AND REGIONAL TERMS FOR FGM
| TERM (PHONETIC PRONUNCIATION) | LANGUAGE |
|---|---|
| Khitan | Arabic |
| Mkhenshab | Tigrenya |
| Absum | Harrari |
| Megerez | Amharic |
| Kutairi | Swahili |
| Ibi ugwu | Igbo |
| Bondo | Various |
| Gudniin | Somali |
| Tahoor | Arabic |
For the World Health Organization's classification of FGM, please refer to: FGM – AN OVERVIEW
GLOSSARY
12
The medical procedure to open up the vaginal area of a woman who has undergone
The use of drying agents such as herbs, powders and other substances to dry and tighten the vagina prior to sexual intercourse; may constitute
A form ofFGM Type IV
health organisations.
Refers toFGM Type III.
FGM Type IV
that involves cutting the vagina..
Refers to trained health-care professionals performing FGM in public or private health-care facilities.
This practice has been strongly denounced by WHO, UNFPA and other international medical and
ANGURYA CUTS
DEINFIBULATION A form ofFGM Type IVthat involves scraping the tissue around the vaginal opening. FGM Type III.
FGM THE ENCOUNTER/
CONSU
LTATION
t
BE AWARE AND IN
all women
13
will be aware that they have been circumcised.
FORMED
is an accepted and expected part of local custom.
within certain communities. Health-care professionals need to be r of women who have undergone FGM now reside in Western countries.
in various settings/circumstances, e.g. GP, obstetric/gynaecological, ing, domestic violence and rape/sexual assault. Presentations may include:
infections, infertility, abscesses, vulval cysts, fistula formations, problems rauma, mood disorders, eating and behavioural disturbances, and sexual
In many countries, female genital mutilation (FGM) is an accepted and expected part of local custom. Incidence is almost 100 per cent within certain communities. Health-care professionals need to be aware that a significant number of women who have undergone FGM now reside in Western countries. Women and girls may present in various settings/circumstances, e.g. GP, obstetric/gynaecological, psychological, asylum-seeking, domestic violence and rape/sexual assault. Presentations may include: recurrent urinary tract/pelvic infections, infertility, abscesses, vulval cysts, fistula formations, problems in childbirth, psychological trauma, mood disorders, eating and behavioural disturbances, and sexual dysfunction [3]. In order to correctly identify and care for these women, health-care professionals need to be familiar with global areas of high FGM prevalence. ASSESS INDIVIDUAL NEEDS Don't assume that all women will be aware that they have been circumcised. They may have vivid, vague or no memories of the procedure [4]. They may have no understanding of the type of FGM that they have undergone, and may not be aware of any links to subsequent health complications. Spend time explaining how and why there may be a physical problem because of the circumcision. Explain all options available to the woman, however, bear in mind that individuals may not be in a position to make decisions there and then, as they may need to consult with family members. This may slow down the process and require further consultation(s). FGM is most commonly performed on girls aged between four and ten, but it is also carried out at other times, including: • shortly after birth • adolescence • at time of marriage • at time of first pregnancy.
BE SENSITIVE AND
It is important to be non own culture.
Although FGM is a hum a compulsory procedure
professionals need to be conscious of the political and cultural sensitivities insulted. All health-care
NON-JUDGEMENTAL
-judgemental about a woman's cultural beliefs, irrespective of one's an rights violation, in the societies in which it is practised, it may be viewed as
LANGUAGE AND C
. The term 'FGM' may make a circumcised woman feel degraded and even
OMMUNICATION
14 surrounding this subjec t, and in particular, the term 'FGM' [5]. Women may not volunte er information. Where appropriate, ask about circumcision as a routine part of taking patient history. Use simple language and images to facilitate understanding. Health-care professionals should not rely on familiar verbal and non-verbal c ues to form their medical opinions. Women may find it difficult to answer questions about though ts and feelings, and may not openly acknowledge or complain about pain and discomfort. Alternative m ethods can be used for gauging thoughts and feelings, e.g. symbols, diagrams, analogue scales and oth er creative methods [5]. If appropriate to the encounter/consultation, a health-care professional should ask the woman about FGM in simple, familiar language, in a sensitive and caring way, such as: · Have you been cut down below? · Have you been closed? · Have you been circumcised? · I understand that female circumcision is common in some African countries. Have you been cut down there? Do not appear surprised or shocked with the woman's response to any of these questions. It may be necessary to establish with the woman if she has undergone FGM through visual aids – firstly, to determine if she had the procedure, and secondly, to determine the type of FGM that she has undergone. A vulval examination may also be required, and should be performed by an appropriate health-care professional. For further assistance, please refer to: FGM – DEFINITION, TERMS AND GLOSSARY CONSENT AND PRIVACY All encounters should be confidential, respectful and mindful of the woman's dignity. In accordance with the customs of their cultures, many women may only be comfortable discussing this issue with another woman [6]. They may have vivid traumatic memories surrounding the event. Privacy and discretion should be strictly adhered to, and proper informed consent obtained before examination. Keep the number of health-care professionals to a minimum during examinations. Female health-care professionals are essential – if one is not available, a female chaperone is appropriate. Identify how to access interpreters in your service and use them effectively. Ensure that they can translate medical terminology. Female interpreters are, again, preferable. It is inappropriate to use family members as interpreters or chaperones. CHILDREN AND FGM Health-care professionals have a responsibility to protect children from FGM. Many women who have undergone FGM may have left their home countries to protect their own daughters from the practice. However, some women and their families may still support FGM, and if there are any girls in these families, health-care professionals need to be aware of child protection issues and the rights of these children. Under the Criminal Justice (Female Genital Mutilation) Act 2012 FGM is illegal, and identified as a form of child abuse in Children First: National Guidance for the Protection and Welfare of Children 2011. Furthermore, the Criminal Justice (Withholding of Information on Offences Against Children and Vulnerable Persons) Act 2012 declares that the failure to report such an offence is a criminal act.
FGM GYNAE AND H
COLOGICAL
EALTH ISSUES
15 The exact incidence of morbidity and mortality associated with female genital mutilation (FGM) is difficult to measure. Only a small percentage of complications ever come to the attention of health-care professionals. Reasons for this may be due to the unavailability and distance of health care, ignorance or fear of legal retribution. Since many women undergo FGM as infants, they may not remember any immediate adverse effects. Complications arising during childbirth or later in life may not be linked by women to the 'surgery' they underwent as children, especially if the FGM occurred prior to menarche. FGM-related complications may be considered normal and natural to women, especially among populations in which FGM is prevalent. Complications may occur with all types of FGM, but are most frequent with FGM Type III [7].
AGONISING PAIN
SHORT-TERM COMPLICATIONS OF FGM
Lack of access to first aid and immediate hospital access in acute situations.
Amputation of the clitoris involves cutting across the clitoral artery vessel, which has a strong vascular flow and high pressure. Haemorrhage may also occur due to sloughing of the clot over the artery,
usually because of infection. If bleeding is very severe and uncontrolled, it may lead to exsanguination.
* death
* HIV
and other blood-borne viruses (BBV)
Due to lack of anaes thesia or pain-relieving medication at the time of FGM procedure.
Develops on the dorsal nerve of the clitoris; can lead to genital hypersensitivity.
Fractures, dislocations or other injuries due to restraining a struggling child. Injury to adjacent
* septicaemia
* tetanus(also due to lack of tetanus toxoid injection)
* urinary tract infection
* wound infection
Women who have undergone FGM will need a thorough and sensitive medical history taken.
structures, such as the urethra, labia and Bartholin's gland.
recurrent vaginal and pelvic infections, therefore, avoid insertable contraceptive devices.
Women who have undergone contraindicate certain contraceptive methods. Hormonal contraceptive methods can be
recommended with careful explanation to the woman. The World Health Organization's
For more information, please refer to:
Difficulties in menstruation, including passing menses.
DEATH HAEMORRHAGE
INFECTION
(due to use of
CLITORAL
unsterilised/
NEUROMA
shared cutting instruments)
CONTRACEPTION
INJURY
DYSMENORRHOEA
16
FGM Type IIIwill have a reduced introital opening, which may
Medical Eligibility Criteria for Contraceptive Use should be used as a reference guide [8].
FGM – CONTRACEPTIVE TABLE
A vulval examination is necessary to determine the type of FGM that a woman has undergone, as some contraceptive methods are not indicated. Women with FGM are at increased risk of
ENDOMETRIOSIS
HAEMATOCOLPOS
INFECTION
LOCAL VULVAL
PROBLEMS
May result from bloc
Menstrual blood accumulates over many months in the vaginaa
the vaginal opening by scar tissue; appears as a bluish bulg ing membr
* HIV
and other blood-borne viruses (BBV)
due to use of unste
*
infertility due to tubal damage from infection
*
miscarriage from recurrent infections
*
recurrent pelvic and
urinary tract infections
*
aggravated atrophic symptoms after menopause
*
neuronal trauma/damage leading to insensate vulva
*
poor wound-healing due to infection, malnutrition, anaemia
*
retention cysts from damage to ducts
* ulceration,
skin breakdown and
bleeding due to recurrent tr
*
vulval and
dermoid abscesses ked menstrual flow.
17
nd uterus due to the closure of
r
a
ilise uma
a dne on v
/
sha re
a d
gina l examination.
cutti ng instruments
FGM
*
*
OBSTE
*
*
COMPLICATIONS
*
*
Risks can be higher with
m
ore extensive female genital mutilation (FGM)
[7].
FGMType IIIcausesadirect mechanical barrier to delivery.
*
FGMTypesI, II and IV canb
e presented with unintentional vulval and vaginal scarring and adhesion, narrowing a
nd obli
teration of the vaginal opening.
Ina deq
uate assessment may physically compromise mother and foetus.
Prolo
nged or
obstructedlabour, difficult antenatal and intrapartum vaginal assessment, proteinuria
*
during pregnancy due to contamination, catheterisation and retention of urine in labour.
*
Fe ar
of labour due to
sm all-size introitus and tender vulval scarring.
*
TRIC ISSUES
s
* Episiotom Moreper
ineal dam reluc
ta nt
t
* I
nfe ctio
n,h
MANA
The
ant ena
talperiod is
During thi ti
me, counse part
nerreg
ardi ng
theb
* Document FGM,i
f pre se
u
nd er risk factor
sa
nd ou
*
Counsel the woman and her partner about the consequences of FGM, propose a birth plan, and plan possible deinfibulation (in cases of
Developing a rapport between the obstetrical team and the woman is vital.
18
labour and sepsis.
t ehe optimum time to identify a woman who has undergone FGM.
ll s n in t t t gby skilled practitioners should take place with the woman and her
management to achieve a safe delivery and prevent future FGM.
, on the patient's National Maternity Healthcare Record (NMHCR)
line her Management Plan/Care Type on the NMHCR.
as they are at particular risk.
Usually, pregnant women with
FGM Type III
FGM Type III
).
Scheduling frequent antenatal visits allows the woman to become more familiar and open to the team as they make decisions regarding her care.
Recurrent urinary tract infections (UTIs) during pregnancy are a known risk factor for preterm
It is important to be vigilant about screening women with FGM for recurrent urinary tract infections, should undergo deinfibulation between 20 and 28
weeks, allowing the area to completely heal well before delivery.
The woman's birth plan should address analgesia and anaesthesia in labour.
Delayedl
ie abour,
sopm
h in aemor
r
and pe us
r
ag ine
eie ainly in second stage of labour.
th al
s hage, fis
GEMENT OF AN
t tears are the most common complication.
noted with FGM. Pain may lead to arrest of labour, i.e. the woman may be second stage of labour. Adequate pain relief is essential.
T
ula, maternal death, stillbirth and neonatal death.
ENATAL CARE
WOMEN PRESENTING LATE IN DELIVERY
Women may delay presenting to the maternity hospital for a number of reasons. An uncontrolled delivery may lead to extensive laceration and haemorrhage. Tears may involve the urethra and bladder anteriorly and the rectum posteriorly. If not managed correctly, there is a high risk of fistula formation in these cases. Fistula repair should take place in an operating theatre with adequate anaesthesia. Appropriate surgical management should then be applied, i.e. experienced surgeons should be consulted according to the injury. INTRAPARTUM CARE/WOMEN PRESENTING IN EARLY LABOUR • Use a sensitive, sympathetic, non-judgemental approach with the woman. • Develop a rapport. • If language is a barrier, obtain a female interpreter (non-family member). • Involve the woman's partner, if possible. • Explain FGM (its complications and reversibility) by drawing diagrams or anatomical models. • Make an anterior midline incision in the early stage(s) of labour. ANTERIOR MIDLINE INCISION (FORMERLY ANTERIOR EPISIOTOMY) When the introitus is aberrantly closed, such as in FGM Type III, it is difficult to assess cervical dilation. The scar can be opened anteriorly, and there is little bleeding from relatively avascular scar tissue. The incision should begin at the vaginal opening, extend anteriorly in the midline,
Keep clear documentation in maternity record for future pregnancies, including accurate
Make onward referral(s), if necessary, to urogynaecologic physiotherapy, especially in cases of
For child protection reasons, it is imperative to make referrals and get support from the social work team and public health nurse, particularly in cases where a daughter is born [11].
a routine antenatal visit; she will f women with FGM in a sensitive
atal hygiene.
Mutilation) Act 2012 in cases of rformed [10].
ners in order to understand the
NO HARM'
19 and not extend beyond the urethra, as it may cause excessive bleeding due to the rich blood supply in the clitoral region [9]. The edges of anterior incision should be sutured after labour (leaving the introitus open), unless suturing beforehand will control excessive bleeding. Do not reinfibulate. POST-NATAL CARE • The mother/woman with FGM does not fit into the category of require extra time for post-natal follow-up. • Health-care professionals should address the specific needs o and compassionate manner, with an emphasis on good post-n • Under WHO guidelines, the Criminal Justice (Female Genital FGM Type III, no re-infibulation of the vulval area should be pe Extensive counselling may be required for women and their part associated risks of reinfibulation, such as: • retention of lochia and sepsis • urinary tract infection and sepsis • poor healing, haemorrhage and infection • future obstetrical complications. REMEMBER: PRIMUM NON NOCERUM, 'FIRST DO • completion of National Maternity Healthcare Record (NMHCR). • FGM Type III. •
FGM PSYCH ISSUE
Research su female genit risk of develo problems [12 While resear ch i n this area is limited, one UK study describes th e p s ychological effects of FGM on 53 women [4]. It found that women who have had FGM Types I and I I are less likely to experience the serious adverse psyc hological effects of FGM, compared with those who ha ve had FGM Type III , which has been linked with p ost -traumatic stress disorder (PTSD) .
20
g
OLOGICAL
S
ge ].
sts that women who have undergone al mutilation (FGM)
pi
are at an increased ng psychological and emotional health
MENSTRUATION
PRE-MARRIAGE
FOLLOWING
MARRIAGE
PREGNANCY
AND CHILDBIRTH
WHILE RESEARCH IN THE AREA OF THE PSYCHOLOGICAL IMPLICATIONS OF
PSYCHOSEXUAL AND RELATIONSHIP ISSUES FOLLOWING FGM • Fear of deinfibulation and severe tearing of vagina during childbirth. Fear of post-delivery reinfibulation.
FGM IS LIMITED, INDIVIDUAL DISORDERS HAVE BEEN IDENTIFIED AS:
*
* anxiety
* depression
* low self-esteem
* fear of intimacy
*
relationship prob lems
*
emotional distur bance.
NB
It is important to be aware that not all women will experience adverse psychological effects as a
result of FGM.
KEY FGM-RELA
TED ANXIETY TIMES [4, 11, 13]
Women who have undergone FGM are more likely to experience psychosexual health problems than non-circumcised women, which can lead to long-term marriage and relationship problems [14].
These problems may affect both the woman and man in a couple.
Psychosexual health problems may include:
* lack of sexual desire
* decreased initiation of sexual activity with partner
Anxiety surrounding menstrual flow and pelvic pain.
* inability to reach orgasm.
Anticipation of wedding night and ensuing physical pain.
* • •
Fear of intimacy and pain related to sexual intercourse.
* • •
Fear of pain and anxiety surrounding gynaecological and obstetric procedures and delivery.
Fear of deinfibulation and severe tearing of vagina during childbirth.
* Fear of post-delivery reinfibulation.
21
body-image concerns low self-esteem
emotional problems.
feelings of indifference loneliness
depression
The psychological implications of FGM may include:
Post-traumatic stress d isorder (PTSD)
can be defined as 'the development of characteristic symptoms following exposure to an
extreme form of traumatic stress' [15].
Basic counselling skills include being aware of the following:
MANIFESTATION
The onset of symptoms
*
flashbacks – having triggered by obstetric/gynaecological procedures
* guilt or shame
* anxiety disorders
* depression
* unexplained physical symptoms, e.g. back pain, headaches.
TREATMENT
Determining factors in the development of PTSD are [4]:
* privacy and confidentiality
*
typology of FGM – gr eater risk with
FGM Type III
* patience
*
absence of commun ity support
* creating a trusting relationship
*
appraisal of the even t as negative
* remaining non-judgemental
*
absence of anaesthe tic
* understanding non-verbal cues from your client
*
age of the woman at time of circumcision; psychological problems are exacerbated if circumcision
* being empathetic and appreciative of what your client is going through.
takes place in an old er girl or when the girl is old enough to be fully aware of what is being done
to her [11].
TheNational Institute for Health and Clinical Excellence Guidelines (UK, 2005)
trauma-focused cognitive behavioural therapy. Appropriate referral(s) should also be encouraged [16].
22
recommends offering can be immediate or may be delayed by months or years, including:
repeated intrusive memories or nightmares of the event, which could be
FGM
6. V
1. World Health Organi za
tion.
Prospective Study inSixAf
REFER
7. Elchalal
2. D
ork en
oo, E. etal. A Statist
ical Study to Estimate the Prevalence of Female Genital Mutilation in
EnglandandWales. London: FORWARD, 2007.
13. Pranee, C. et al.
3. W
or ld
He alt
hOrganization.
Female Genital Mutilation: Teachers' Guide for Midwives of
Genderand Women's
Heal th, 2006.
ENCES
nd
4.
Female Genital Mutilation and Obstetric Outcome: WHO Collaborative
rican Countries. Geneva, 2006.
'Post-traumatic Stress Disorder and Memory Problems After Female
, American Journal of Psychiatry, 162:5 (May 2005), 1001-2.
Experiences from Pregnancy and Childbirth Related to Female Genital Mutilation
Among Eritrean Immigrant Women in Sweden', Midwifery, 24:2 (2006).
. Department
Female Genital Mutilation/Cutting: A Literature Review. Dublin, 2008.
Lockhat,H. Female Genital Mutilation: Treating the Tears
15. American Psychiatric Association.
5. Roy
. London: Middlesex University Press, 2004.
Diagnostic and Statistical Manual of Mental Disorders al
College of
Midwive s.
'Female Genital Mutilation'
16. National Institute for Health and Clinical Excellence.
incent,M. 'The
Mutil at
ed
Or chid’
, Midwives Magazine, March 2005.
,
U. et al.
'R
itu ali
Obstetric a Gyn
ae cological Survey, 52 (USA, 1997), 643-51.
8. World He al
thOrganization
9. World He al
thOrganization
10. World He al
thOrganization.
Geneva, 2008.
11. Momoh, C. (ed.) Female Genital Mutilation
23
The Treatment of PTSD in Adults and Children
, Position Paper, 21. London, 1998.
Post-traumatic Stress Disorder (PTSD):
. UK, 2005.
.
Washington, 1994.
stic Female Genital Mutilation: Current Status and Future Outlook'
.
12. Behrendt, A. and Moritz, S.
14. Women's Health Council.
. Medical Eligibility Criteria for Contraceptive Use
Female Genital Mutilation: A Student's Manual
Eliminating Female Genital Mutilation: An Interagency Statement
. Abingdon: Radcliffe, 2005.
'
Genital Mutilation'
, 3rd edn. 2004.. Geneva, 2001. ,
.
Effectiveness: 99%
Combined Oral Contraceptive Pill
Combined Contraceptive Patch (Evra)
FGM
Progesterone-Only Pill
Effectiveness: 96-99%
Intravaginal Combined Contraceptive Ring (Nuvaring)
CONTR
ACEPTIVE
Effectiveness: 99%
Effectiveness: 99%
Progestogen-Only Implant (Implanon)
CONTRACEPTIVE METHOD (HORMONAL)
FGM TYPE I FGM TYPE II + + CONTRACEPTIVE M
FGM TYPE III
FGM TYPE IV
+ + + –
TABLE
Effectiveness: 99%
Progestogen-Only Injectables (Depo-Provera)
Effectiveness: 99%
+
+
+ + + – +
ETHOD SUITABILITY IN THE PRESENCE OF FGM
| CONTRACEPTIVE METHOD (HORMONAL) | FGM TYPE I | FGM TYPE II | FGM TYPE III |
|---|---|---|---|
| Combined Oral Contraceptive Pill Effectiveness: 99% | + | + | + |
| Combined Contraceptive Patch (Evra) Effectiveness: 99% | + | + | + |
| Progesterone-Only Pill Effectiveness: 96-99% | + | + | + |
| Intravaginal Combined Contraceptive Ring (Nuvaring) Effectiveness: 99% | + | + | – |
| Progestogen-Only Implant (Implanon) Effectiveness: 99% | + | + | + |
| Progestogen-Only Injectables (Depo-Provera) Effectiveness: 99% | + | + | + |
| Levonorgestrel-Releasing Intrauterine System (Mirena) Effectiveness: 99% | + | + | – |
| CONTRACEPTIVE METHOD (NON-HORMONAL) | | | |
| Condoms (Male and Female) Effectiveness: 95-99% | + | + | – |
| Spermicides Effectiveness: 99% | + | + | – |
| Barrier Methods (Diaphragm, Cervical Cap) Effectiveness: 92-98% | + | + | – |
NB
24
Efficacy rates are based on correct and consistent use (with necessary training or instruction,
+
where appropriate) of the chosen contraceptive method.
+
+
FGM FURTHER INFORMATION
AND RESOURCES
WEBSITES
www.rcsi.ie
United Nations Population Fund www.unfpa.org
World Health Organization www.who.org
AkiDwA: African and Migrant Women's Network in Ireland www.akidwa.ie APF, AkiDwA, M.I.G.S. and AIDOS, E-learning toolkit on FGM www.uefgm.org/index.aspx European Institute for Gender Equality www.eige.europa.eu FORWARD: Foundation for Women's Health, Research and Development www.forwarduk.org.uk HSE National Counselling Service www.hse-ncs.ie Irish College of General Practitioners www.icgp.ie Irish Family Planning Association www.ifpa.ie Irish Statute Book www.irishstatutebook.ie/2012/en/act/pub/0011 National Institute for Health and Clinical Excellence www.nice.org.uk Royal College of Obstetricians and Gynaecologists www.rcog.org.uk Royal College of Surgeons in Ireland
BOOKS
Health Service Executive.
PUBLICATIONS
An Bord Altranais. Prac
APF, AkiDwA, M.I.G.S. a
British Medical Associa
Children, 2011.
Egide Dhala,Knowledge of General Practitioners in Ireland on Female Genital Mutilation
Department of Children and Youth Affairs.
Welfare of Children
Akinjobi, O.P. Herstory: Migration Stories of African Women in Ireland. Dublin: AkiDwA, 2006.
National Sexual Assault Treatment Unit (SATU) Guidelines Development Group.
Assault: National Guidelines on Referral and Clinical Examination in Ireland
Dirie, W. and Milborn, C. Desert Children. London: Time Warner Press, 2007.
Royal College of Obstetricians and Gynaecologists.
Lockhat, H.
Female Gen ital Mutilation: Treating the Tears
. London: Middlesex University Press, 2004.
(Green Top Guideline No. 53)
Momoh, C. (ed.) FemaleGenital Mutilation. Abingdon: Radcliffe, 2005.
Women's Health Council.
26
Female Genital Mutilation/cutting: A Literature Review, 2008
, 2009.
Female Genital Mutilation and its Management
Recent Rape/Sexual
, 2010.
Child Protection and Welfare Practice Handbook tice Standards for Midwives
nd AIDOS, tion.
, 2011.
, 2010.
E-learning toolkit on FGM, 2013 www.uefgm.org/index.aspx
Female Genital Mutilation: Caring for Patients and Safeguarding
, 2011.
, 2013.
Children First National Guidance for the Protection and
FGM
Western
MAP O
F AFRICA
Sahara
Gambia
Guinea-Bissau Mauritania
Senegal Guinea
Mali Burkina
Faso
Benin Niger
Chad
Sudan
Eritrea Djibouti
Morocco Algeria
Libya
Egypt
Tunisia
Map source: Afrol News
FGM TYPESOF FGM
FGM Type I:
Shaded areas refer to tissue remove d.
FGM Type II: Shaded areas refer to tissue removed.
FGM Type III
28
FGM Type IV: Example.
AkiDwA
Unit 2 Killarney Court
Upper Buckingham Street
Dublin 1
T: +353 (0)1 834 9851
E: email@example.com
W: www.akidwa.ie
|
Himmelfarb Health Sciences Library, The George Washington University Health Sciences Research Commons
Surgery Faculty Publications
Surgery
2018
Surgical Management of Symptomatic Intraluminal Duodenal Diverticulum in an Adolescent
Vivian Lam Saavedra
Timothy D. Kane George Washington University
Stefany Garrity
Follow this and additional works at: https://hsrc.himmelfarb.gwu.edu/smhs_surgery_facpubs
Part of the International Public Health Commons, and the Surgery Commons
APA Citation
Saavedra, V. L., Kane, T. D., & Garrity, S. (2018). Surgical Management of Symptomatic Intraluminal Duodenal Diverticulum in an Adolescent. Global Pediatric Health, 5 (). http://dx.doi.org/10.1177/2333794X18755240
This Journal Article is brought to you for free and open access by the Surgery at Health Sciences Research Commons. It has been accepted for inclusion in Surgery Faculty Publications by an authorized administrator of Health Sciences Research Commons. For more information, please contact email@example.com.
research-article
755240 2018
GPHXXX10.1177/2333794X18755240Global Pediatric HealthSaavedra et al
Surgical Management of Symptomatic Intraluminal Duodenal Diverticulum in an Adolescent
https://doi.org/10.1177/2333794X18755240 Global Pediatric Health Volume 5: 1–3 © The Author(s) 2018 Reprints and permissions: sagepub.com/journalsPermissions.nav DOI: 10.1177/2333794X18755240 journals.sagepub.com/home/gph
Vivian Lam Saavedra, MD 1,2 , Timothy Dennis Kane, MD, FACS 3,4 , and Stefany Honigbaum Garrity, MD 5,6
Case Report
Procedure
A 17-year-old female presented to clinic with several months of dull, typically postprandial left upper quadrant abdominal pain associated with bloating and nausea. The pain occurred near daily and self-resolved. She denied loss of appetite but had lost 5 pounds in the past 6 months. Bowel movements were soft and occurring every 1 to 3 days. Her past medical history was notable for history of prematurity at 33 weeks gestational age and history of appendectomy several years prior. Her mother passed away of alcohol-induced liver failure but there was no other family history of gastrointestinal disorders.
Physical examination at initial presentation demonstrated a well-developed, well-nourished girl in no acute distress. Vital signs were normal. The abdomen was soft and nondistended with pain present on palpation to the left of the umbilicus. Laboratory investigation showed normal complete blood count, comprehensive metabolic panel, C-reactive protein, erythrocyte sedimentation rate, celiac panel, and stool studies. An abdominal X-ray showed mild increased stool burden. A small intestine bacterial overgrowth (SIBO) breath test was borderline positive. The patient was treated for both presumed SIBO as well as constipation.
Three months later, the patient returned with no improvement in her previous symptom despite adherence to laxatives and SIBO treatment. She now also endorsed new symptoms of heartburn. She was started on a 2-week trial of proton pump inhibitor therapy without improvement. An upper endoscopy was then performed, which showed a large intraluminal duodenal diverticulum (Figures 1 and 2). Biopsies in the duodenum, stomach, and esophagus were normal. Computed tomography scan of the abdomen was done to evaluate for presence of other diverticulum and this confirmed just one exophytic diverticulum in the third portion of the duodenum (Figure 3).
The patient was sent for laparoscopic duodenal diverticulectomy. The patient was placed in a supine position for the operation. Four trocars were utilized: one 12-mm trocar in the umbilicus; two 5-mm trocars in the right upper abdomen; and one 5-mm trocar in the left midabdomen. The right colon and hepatic flexure of the transverse colon were mobilized to expose the duodenum. The diverticulum was located posteriorly emanating from the third portion of the duodenum. Once the duodenum was mobilized, the diverticulum was completely exposed and resected using an Endostapler (Ethicon, Cincinnati, OH). The operation lasted 100 minutes, and the patient was discharged home on postoperative day 1. In follow-up, her previously described symptoms had completely resolved. The final pathology revealed a 3 cm × 1.5 cm "small intestine lined structure" with focal mucous gland hyperplasia.
Discussion
Intraluminal duodenal diverticulum (IDD) is typically a diagnosis made in adulthood with the median age of diagnosis being between the ages of 30 and 39 years. 1 The diagnosis of IDD is rarely made in pediatrics despite being considered to be of congenital etiology, likely secondary to most cases being largely asymptomatic until
1Georgetown University, Washington, DC, USA 2Children's Hospital Los Angeles, CA, USA 3George Washington University, Washington, DC, USA 4Children's National Medical Center, Washington, DC, USA 5Pediatric Specialists of Virginia, Fairfax, VA, USA 6Inova Children's Hospital, Fairfax, VA, USA
Corresponding Author:
Stefany Honigbaum Garrity, Pediatric Specialists of Virginia, 3023 Hamaker Court, Fairfax, VA 22031, USA. Email: firstname.lastname@example.org
Figure 1.Endoscopic view of the duodenal diverticulum as indicated by black arrow.
Figure 2.Endoscopic view of the duodenal diverticulum as indicated by black arrow.
later in life. Pediatric literature on the subject is scarce, especially with regard to management.
IDD is thought to occur as a result of improper vacuolization and recanalization of the duodenum between the fourth and eighth weeks gestation. The resulting
Figure 3.Computed tomography (CT) scan of the abdomen showing single exophytic diverticulum in the third portion of the duodenum as indicated by black arrow.
mucosal web can expand into a diverticulum 3 to 4 times its original size because of a lack of innervation and peristaltic waves. 2,3 Therefore, it is thought that IDD begins initially as a congenital abnormality that develops over time into a larger mucosal insult as a result of intestinal peristalsis. 1 The distended diverticulum is thought to cause intermittent obstruction of the lumen, contributing to many of the common symptoms associated with this finding. 2,3
Despite its rarity in pediatrics, IDD is actually thought to be quite common in adults with a reported frequency as high as 22% at time of autopsy but with less than 10% of duodenal diverticula actually causing symptoms and 1% requiring definitive treatment. 4,5 When symptoms do occur, they are typically nonspecific symptoms of chronic epigastric pain, obstructive symptoms, nausea, vomiting, and gastrointestinal bleeding. 1
The first documented case in childhood was thought to be in 1968 with the child complaining of a cramping abdominal pain without emesis, which was likely related to intermittent obstruction given its resolution with symptomatic treatment. 6 Since then, very few additional symptomatic childhood cases of IDD have been reported in the literature. Other cases of symptomatic IDD were discovered under similar circumstances related to obstruction: (1) obstruction from ingestion of a foreign body in conjunction with a diverticulum 7 and (2) obstruction causing secondary acute pancreatitis. 8
No definitive management or treatment strategy has yet been established for IDD in children. Surgical repair is considered the definitive treatment for symptomatic IDD in adults given high recurrence with conservative treatment 9 and is therefore considered a reasonable treatment option in children. Of the previous case reports of pediatric IDD, 3 improved with surgical repair of the defect 7,8,10 whereas one improved with symptomatic treatment. 6 We presented above another pediatric case where surgical repair of IDD resulted in successful treatment of symptoms.
Author Contributions
VLS: Contributed to conception and design; contributed to analysis and interpretation; drafted the manuscript; gave final approval; agrees to be accountable for all aspects of work ensuring integrity and accuracy.
TDK: Contributed to acquisition and analysis; drafted the manuscript; gave final approval; agrees to be accountable for all aspects of work ensuring integrity and accuracy.
SHG: Contributed to conception; contributed to acquisition, analysis, and interpretation; critically revised the manuscript; gave final approval; agrees to be accountable for all aspects of work ensuring integrity and accuracy.
Declaration of Conflicting Interests
The author(s) declared no potential conflicts of interest with respect to the research, authorship, and/or publication of this article.
Funding
The author(s) received no financial support for the research, authorship, and/or publication of this article.
References
1. Meinke AK, Meighan DM, Meinke ME, Mirza N, Parris TM, Meinke RK. Intraluminal duodenal diverticula: collective review with report of a laparoscopic excision. J Laparoendosc Adv Surg Tech A. 2013;23:129-136.
2. Grande L, Latre ML, de Lacy AM, Pera M, et al. Intraluminal diverticulum of the duodenum: report of 3 cases and review of the literature. Dig Surg. 1988;5:47-52.
3. Huang FC, Chuang JH, Ko SF. Intraluminal duodenal diverticulum presenting as obstructive chronic pancreatitis. J Pediatr Gastroenterol Nutr. 1998;27:593-595.
4. Balkissoon J, Balkissoon B, Leffall LD Jr, Posey DA Jr. Massive upper gastrointestinal bleeding in a patient with a duodenal diverticulum: a case report and review of the literature. J Natl Med Assoc. 1992;84:365-367.
5. Psathakis D, Utschakowski A, Muller G, Broll R, Bruch HP. Clinical significance of duodenal diverticula. J Am Coll Surg. 1994;178:257-260.
6. Newman A, Nathan MH. Intraluminal diverticulum of the duodenum in a child. Am J Roentgenol Radium Ther Nucl Med. 1968;103:326-329.
7. Fujiwara T, Kino M, Takeoka K, Kobayashi Y, Hamada Y. Intraluminal duodenal diverticulum in a child: incidental onset possibly associated with the ingestion of a foreign body. Eur J Pediatr. 1999;158:108-110.
8. Massironi S, Penagini R, Bardella MT, Di Carlo V, Conte D, Quatrini M. An unusual endoscopic feature in the duodenum of a young girl with intraluminal duodenal diverticulum. Endoscopy. 2002;34:350.
9. Economides NG, McBurney RP, Hamilton FH 3rd. Intraluminal duodenal diverticulum in the adult. Ann Surg. 1977;185:147-152.
.
10. Jana M, Gupta AK. Intraluminal duodenal diverticulum causing upper GI obstruction. Indian J Pediatr 2016;83:908-909.
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Endorsement:
Principal Jenny Robinson
School council Elizabeth Bajada[date]
Section 1: The school's Improvement Priorities and Initiatives
Report here the goals identified in the current School Strategic Plan and tick the Improvement Initiative/s that your school will address in this Annual Im
Improvement Initiatives rationale:
Explain why the school, in consultation with the Senior Education Improvement Leader (SEIL), has selected the above Improvement Initiative/s as a focus for data, the progress against School Strategic Plan (SSP) goals and targets, and the diagnosis of issues requiring particular attention.
Kurunjang Primary school underwent a priority review in 2015
The critical findings around the terms of reference and the review identified leadership, teaching and learning; and an orderly learning environment as In 2016 these co-related with the FISO improvement priorities of Professional Leadership, Excellence in Teaching and Learning and Positive Climate fo Leadership Teams, Building Practice Excellence, Curriculum Planning and Assessment, and Setting Expectations and Promoting Inclusion.
Review of the first year of the School Strategic Plan by the Review Design Team with SEIL Anne Fox in September 2016 has identified the need to reta the school did not meet threshold performance standards in:
* Achievement
* Wellbeing
* Engagement
Achievement:
While NAPLAN results indicated that we did not meet our targets for Year 3 Reading, Writing and Numeracy and Year 5 Writing, we did exceed our targ NAPLAN results indicated a decline in the percentage of Year 3 students above the NMS in reading as compared to 2015 while Writing and Numeracy r improvement in all three areas with Numeracy and Reading having significant improvement as compared to 2015.
EdfY
thbhkfN
h h th t i
End of Year Fountas and Pinnell benchmark data indicated that:
Year F 100% of students were at or above expected level
Year 1 73% of students were at or above expected level
Year 2 68% of students were at or above expected level
Year 3 71% of students were at or above expected level
Year 4 80% of students were at or above expected level
Year 5 53% of students were at or above expected level
Year 6 30% of students were at or above expected level
Our target for the year for both Reading and Number was to have 70% of students at or above expected levels.
While this was achieved in Foundation – Year 4, we still have a significant number of students below expected level in Years 5 & 6.
Improving teacher practice and curriculum content knowledge to address the needs of our students in Year 6 next year will be a focus for planning at t
End of Year Fountas and Pinnell cohort data also indicated that:
66% of Foundation students had made 12 months' growth
60% of Year 1/2 students had made 12 months' growth
75% of year 3/4 students had made 12 months' growth
55% of Year 5/6 students had made 12 months' growth
Target was for all students to make 12 months' growth.
Staff Opinion survey indicated an improvement for:
Collective focus on student learning 71.3 to 79.42
Academic Emphasis 54 to 55.7
Guaranteed and Viable Curriculum 63.09 to 69.85
Engagement:
End of Year attendance data has shown a slight decrease from 20.95 to 19.78 as compared to 2015
Attendance including lateness for many students continues to be an issue. A focus on improving student attendance will be a priority in 2017.
Attitudes to School Data has shown:
Learning Confidence has dropped slightly from 3.81 to 3.79
Stimulating Learning has increased from 3.6 to 3.66
School Connectedness has improved from 3.84 to 3.99
Parent Opinion data indicated:
Connectedness to Peers is lower this year than in 2015 and has moved from 41.6 (percentile) to 4.8 (percentile)
Trust in Students and Parents has decreased from 58.78 to 57.78
Shielding and Buffering has decreased from 50.59 to 41.01
Wellbeing:
Attitudes to school data has shown:
Student distress has decreased slightly from 5.4 to 5.38
Student morale has decreased from 5.15 to 5.11
Classroom behaviour has declined from 2.59 to 2.4
Student Safety has improved from 3.92 to 4.06
Parent Opinion data has shown:
Student Safety is lower than in 2015 10.5 to 1.8
Classroom behaviour has dropped from 15.8 to 3.4 (percentile)
Transition has improved from 18.4 to 21.4
Staff Opinion data has shown that while Trust in Parents and Students has declined from 58.87 to 57.78, Shielding and Buffering has decreased signifi Unpacking the components of Shielding and Buffering to address staff concerns will be a focus in 2017.
Key improvement strategies (KIS)
List the Key improvement strategies that enable the implementation of each Improvement Initiative. This could include existing strategies already being imple data, evaluation of impact of prior efforts, measurement of progress against targets and the diagnosis of issues requiring particular attention. KIS may be spe
| Building Practice Excellence |
|---|
| Curriculum Planning and |
| Assessment |
on schedule and/or completed.
STRATEGIC PLAN GOALS
IMPROVEMENT INITIATIVE
To improve student outcomes in Literacy and Numeracy
Building Practice Excellence and Curriculum Planning and Assessment
Further develop the capacity of teachers to responsible]
Kim
6 months: Literacy consultant Brendan Leonard, coaching implement the agreed instructional practices in
for completion]
l
l l
Ensure a whole year 1/2 staff in reading instructional practises.
purposeful
| school’s instructional model. | | numeracy instructional practise. School based coach commencing EMU- Extending Mathematical Understanding. |
|---|---|---|
| | | 12 months: Coaching embedded in the PLT structure and evidence of shared and understood instructional practice in literacy and numeracy instruction. |
| Further incorporate Marzano’s instructional practices within the agreed explicit instruction of Literacy and Numeracy. e.g. Homework, co- operative learning. | Kim Barb | 6 months: Learning walks commence February 2017, twice termly with a focus on orderly environment and instructional practises. |
| | | 12 months: Instructional practices embedded in all classrooms as identified through planning and feedback from peer/leadership observation. |
| Develop knowledge across the leadership team in the development of rubrics around proficiency level (standards). | Kim | 6 months: Colin Sloper conducting whole school professional learning on proficiency scales starting in Term 2. Proficiency scales developed from development of essential learnings. |
| | | 12 months: Selected planning units have incorporated clarity around the proficiency level and associated rubrics. |
| Further implement Fountas and Pinnell Intervention F-6 (LLI- Levelled Literacy Intervention) and introduce Numeracy Intervention (EMU- Extending Mathematical Understanding). | Tom Kim | 6 months: Students involved in the intervention programs are monitored in terms of growth. |
| | | 12 months: Staff have developed a further understanding and capacity to analyse and reflect on student growth |
| | | 6 months: Key staff identified for AVID SIT team and action plan developed Professional Learning with SIT team with AVID Australia. |
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Build capacity of
Consistent implementation across the school of
KPS assessment schedule F-6 for developing beyond Enhancement.
6 months:
PLT leaders meeting minutes with greater l
l
teachers to analyse baseline data, setting goals and monitoring
consistency show focus on assessment and data.
Barb l
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| | | 12 months: Increased capacity for staff to use baseline data to differentiate learning according to individual needs. |
|---|---|---|
| Fountas and Pinnell and PAT consistently used across the school to identify and benchmark students and measure growth in Literacy and Numeracy. | Barb | 6 months: Implement Fountas and Pinnell end of Term 1 and 2. |
| | | 12 months: Implement Fountas and Pinnell end of term (Term 3 and 4) and PAT end of year (Term 4). |
| Continue to develop the capacity of PLTs to use triangulated data, both summative and formative to ensure greater alignment of data with Victorian Curriculum teacher judgements. | Kim | 6 months: KPS Assessment schedule implemented with fidelity. |
| | | 12 months: Greater alignment achieved between teacher Vic Curriculum data and other summative and formative data. |
| Monitor a visual display of student data in reading, writing, speaking and listening, and maths through data walls and electronic spread sheets. | Kim | 6 months: Electronic spread sheets are used as a basis for planning and monitoring student growth in reading and number. |
| | | 12 months: Data wall and electronic spread sheets are used as a basis for planning and monitoring student growth. |
| Further develop staff and team capacity to implement consistent and ongoing reporting to parents/carers using COMPASS. | Tom Wendy | 6 months: Staff meet regular and consistent timelines for reporting current and ongoing data to parents. |
| | | 12 months: Increase access to compass by parents to monitor online student learning. |
| Review parent/teacher interview process with emphasis on feedback to parents about what the child is learning and what the next step is in their learning. | Tom Wendy | 6 months: Parents have clear access to and understand student-learning goals. |
| | | 12 months: Introduce student led conferences. |
growth
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|---|---|---|
| | | to reduce absenteeism across the school using Data from Primary Welfare and Attendance Officers. |
| Teacher capacity to implement the established Essential Learnings is further developed and monitored at a whole staff level and within Professional Learning Teams. | Kim | 6 months: Essential Learnings are identified in reading, writing and number, and all staff have access to and use as an evaluation planning tool. |
| | | 12 months: Essential Learnings consistently used regularly in PLT’s as planning basis in Specialist and F-6. |
| All major units in maths, reading and writing are fully documented based on the cycle of using data to plan, differentiate and measure instructional effectiveness through measuring student growth. | Kim | 6 months: Units of work are completed in major units for Reading, Writing and Number. |
| | | 12 months: Leadership review all units of work. Units of work indicate differentiation is used success of work. |
| | | 6 months: Individual Learning Plans developed for all identified students at a group or individual level. |
[
previous summary page]
Attendance data shows indicators have increased to at least the state mean from 90% to 93%.
Student absences to decrease to at least the state mean from 19.6 days per student to 14 days per student.
Attitudes to School data shows indicators have increased to at least the state mean trending upwards from 1 st quartile
* Learning Confidence from 3.81 (State mean 2015 4.15)
* School Connectedness from 3.84 (State mean 2015 4.39)
* Stimulating Learning from 3.60 (State mean 2015 4.14)
* Student Distress from 5.52 to 5.70
* Classroom Behaviour 2.60 to 3.40
* Student Morale from 5.37 to 5.70
* Student Safety 3.92 to 4.32
Parent Opinion Survey data shows indicators for Student Engagement have increased to at least the 60 th percentile.
* Connectedness to Peers from 5.53 to 6.00
* Social Skills from 5.67 to 6.00
* Student Motivation from 5.52 to 6.00
* School Connectedness 5.68 to 6.00
* Classroom Behavior
* Student Safety from 4.27 to 5.50
from 3.47 to 4.50
* Transitions from 5.64 to 6.00
Staff Opinion Survey data shows indicators have increased to at least the state mean.
* Collective Efficacy from 367 to 532
* Trust in Students and Parents from 382 to 530
* Academic Emphasis from 354 to 534
* Shielding and Buffering from 407 to 526
* Shielding and Buffering from 407 to 526
* Trust in Students and Parents from 382 to 530
To increase the Percentage Endorsement for School Climate from 59% to 75%.
:
9.4 to
School Connectedne
: 1.8
Classroom Behaviou
21.4 to
Progres
Status l
here the here the
behaviour and measures of progress]
Education Model.
Challenging behaviour coach Paul Deakin to develop strategies/procedures for managing
student behaviour.
12 months:
Professional learning developed at whole school level and point of need for groups of teachers and
l l
the individual classroom teachers.
| Continue consultancy with Berry St and establish network Community of Practice with Melton West and Melton Secondary College. | Jen | 6 months: New staff undertake BSEM model. BSEM SIT attend Community of Practice. |
|---|---|---|
| | | 12 months: Professional learning developed at whole school and point of need for groups of teachers and the individual classroom teachers. |
| Fully implement classroom observations and feedback process including annual completion of SWPBS SET and TIC to monitor fidelity and progress. | Wendy | 6 months: Conduct TIC within SWPBS SIT team. |
| | | 12 months: All teachers to participate in learning walks with a focus on Positive Climate for learning and SWPBS strategies. |
| Refine strategies to enhance communication and engagement with parents and students, including clear expectations and consequences in relation to behaviour using school matrices, hierarchy and Berry St strategies. | Wendy | 6 months: Implementation of engagement and inclusion policy with whole school PDP goal. Whole school surveys developed to determine students connectedness to teachers, peers and school. |
| | | 12 months: Values, student expectations and the Student Engagement and Inclusion policy are consistently communicated to parents, teachers and students. |
| Development of whole school targeted professional learning and coaching plans to be designed by internal and external coaches. | Tom | 6 months: 2017 Professional Learning plan developed and coaching represented in Gantt chart. |
| | | 12 months: Professional Learning Plan implemented. |
| Development of partnerships with Sunshine Harvester, (SWPBS) around shared positive climate and excellence in teaching and learning. | SIT team | 6 months: SIT team to action, SWPBS facilitator develops a partnership with Sunshine Harvester SWPBS team leader. |
| | | 12 months: SWPBS Team to visit Sunshine Harvester. |
| | | 6 months: Forum held to introduce the school community to Student Engagement and Inclusion policy. |
learners,
agencies.
g p
p
agencies such as : Baptcare, DHHS, Allied health
12 months:
Develop partnership with Berry Street on students who l
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| Individual Learning Plans and Behaviour Improvement plans written and developed for the students identified through the data collection on COMPASS. | Deb | 6 months: Review of ILP and BIP documentation. |
|---|---|---|
| | | 12 months: ILPs and BIPs written and developed with the use of data collected from entries on compass (Chronicle). |
| Further develop staff and team capacity to utilise aspects of COMPASS including Daily News feed, chronicle entries for recording and analysing student data, increased specific based collections including attendance and class exits. | Wendy | 6 months: Professional Learning provided to all staff on the use and analysis of COMPASS Chronicle data. |
| | | 12 months: Staff capacity has increased on the use of Compass including ongoing reporting. |
| Audit and seek feedback from PLTs to refine the SEL curriculum focussing on the building resilience and respectful relationships programs. | Barb | 6 months: Introduce staff to the respectful relationships program and integrate with the building resilience program. |
| | | 12 months: SEL curriculum is implemented within the implementation of the engagement and inclusion policy and strategies . |
| Ensure school motto, mission, vision and values are integrated across the whole school. | Jen | 6 months: School Mission, Vision, Values and Motto are displayed throughout the school. |
| | | 12 months: Staff and students are using the school motto and agreed characteristics of a successful learner as part of their daily conversations. |
| Student leadership/Student voice plans developed and implemented across the school. | Barb | 6 months: Position of responsibility established for Leadership and Student Voice. |
| | | 12 months: Student leadership opportunities have been implemented across the school. |
| | | 6 months: Student Attitudes to School Survey implemented (Yr5/6), internal coach appointed. |
g
achieve them.
areas of need.
| | | 12 months: Learning goals developed for each student with an |
|---|---|---|
| | | emphasis on self-evaluation/feedback from teachers. |
| Continue the implementation of success forums. Leadership Team to ensure success is celebrated with staff and students. | Kim | 6 months: Regular staff communication of school successes including student achievement and PLC. |
| | | 12 months: All staff and students have the opportunity to have their achievements profiled and celebrated. |
| Ongoing implementation of the student absence policy and processes. | Kathleen | 6 months: Review process to include attendance officer. Whole school goal established within PDP. |
| | | 12 months: Average and actual student absences reduced. |
STRATEGIC PLAN TARGETS
12 MONTH TARGETS
[
By 2019 Finance
Yearly expenditure to remain within the SRP and Program Budget.
Program Budgets demonstrate equitable and strategic allocation.
Student achievement data indicates effective allocation of resources and expenditure.
3 yearly financial audit demonstrates government and legislative compliance.
Targeted funds within the SRP are linked to the AIP and Strategic Plan.
Resources are allocated yearly for external consultancy in Literacy and Numeracy.
School maintenance allocation is expended in line with Condition Assessment Report priorities.
Staff Opinion Survey data shows indicators have increased for Professional Learning to at least the state mean.
* Collective Participation from 379 to 526
* Feedback from 432 to 517
* Renewal of Knowledge and Skills from 421 to 531
Parent Opinion Survey data shows indicators have increased to at least the 60 th percentile.
* General Satisfaction from 5.71 (1 st quartile) to 6.20 (3 rd quartile)
* School Improvement from 5.53 (1 st quartile) to 6.00 (3 rd quartile)
Staff Opinion Survey
Increase Collective Participation: 70.75 to 80.56
Increase Renewal of Knowledge and Skills: 79.3 to 84.39
Parent Opinion Survey
IncreaseSchool Improvemen
Increase General Satisfaction
Increase Feedback: 61.13 to 73.40
Progres
Status l
| ACTIONS | WHO | WHEN | SUCCESS CRITERIA |
|---|---|---|---|
| [Drafting Notes report here what the school will do and how - including financial and human resources] | [Drafting Notes report here the person responsible] | [Drafting Notes report here the timeframe for completion] | 6 months: [Drafting Notes report here the tangible markers or indicators of success reflecting observable changes in practice, behaviour, and measures of progress] |
| | | | 12 months: |
| Through consultancy support continue to develop the capacity of PLT leaders. | jen | | 6 months: Principal Class, school coaches and PLT leaders meet regularly and plan each PLT meeting. |
| | | | 12 months: PLT leaders facilitate teams within PLC model based on Marzano’s high reliability. |
| | | | 6 months: Identify the agreed explicit instructional model |
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Refine Program budgeting process strengthening the evaluation component.
6 months:
Implement program budgeting process
12 months:
Documented self-evaluation of achievement of l
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|---|---|---|
| Ensure all staff role descriptions are aligned to the Strategic Plan and each member is clear about expectations, behaviours and accountabilities. | Jen | 6 months: Review of job descriptions and individual and collective accountabilities. |
| | | 12 months: The three-year Workforce Plan supports the strategic priorities. Consultancy support in both Literacy and Numeracy fully funded within workforce plan. Coaching positions for school based staff given time allowances. |
| Ensure further implementation of a rigorous performance and development cycle of staff, closely aligned to the strategic priorities and AIP strategies. Document explicit process for constructive feedback by reviewers. | Jen | 6 months: Implement online PDP process |
| | | 12 months: Documented Performance and Development Process including giving and receiving constructive feedback and links to Strategic Plan and AIP. |
| Leadership (APs and LTs) monitor, coach and support teachers in the implementation of essential learnings and wellbeing. | Kim | 6 months: Documented and modelled agreed processes. |
| | | 12 months: Increased Student Learning Outcomes and achievement of targets. |
| Monitor progress in achieving AIP and Strategic Plan targets. Identify areas that may require additional focus and support. | Jen | 6 months: Establishment of Gantt chart to outline coaching and mentoring throughout the school |
| | | 12 months: Reviewed external mentoring, consultancy and coaching support to achieve strategic priorities. |
| | | 6 months: 6 month AIP monitoring process completed. |
Jen
wide Improvement Initiatives
| | | wide Improvement Initiatives are bolded | | initiative or | | |
|---|---|---|---|---|---|---|
| | | | | dimension | | |
| | | | | in the AIP? | | |
| Excellence in teaching and | learning | Building practice excellence | Select | | Select status | |
| | | Curriculum planning and assessment | Select | | Select status | |
| | | Evidence-based high impact teaching strategies | Select | | Select status | |
| | | Evaluating impact on learning | Select | | | Select status |
| Professional | leadership | Building leadership teams | Select | | | Select status |
| | | Instructional and shared leadership | Select | | Select status | Select status |
| | | Strategic resource management | Select | | Select status | |
| | | Vision, values and culture | Select | | | Select status |
| Positive climate for | learning | Empowering students and building school pride | Select | | Select status | Select status |
| | | Setting expectations and promoting inclusion | Select | | Select status | |
| | | Health and wellbeing | Select | | | Select status |
| | | Intellectual engagement and self-awareness | Select | | Select status | Select status |
| | | Building communities | Select | | | Select status |
| | | Global citizenship | Select | | | Select status |
| | | Networks with schools, services and agencies | Select | | Select status | Select status |
initiative or
Reflective comments: [Drafting Note Please use this section to summarise your learnings from the self-evaluation process, including professional growth and key fin
Confidential cohorts analysis: [Drafting note This section is not for public distribution. Report here the extent to which cohorts of students within the school (includ students, etc.) are being supported and challenged, leading to an inclusive and stimulating environment for all students]
Next Steps:
|
Lead story ›
NEWS & NOTICES:
Nominate for USITT Awards
Outstanding Individuals Needed
Announcements
Read A Good Book Lately?
USITT Presents - Melding LEDs
OISTAT in Shanghai
The Last Word - Elite Training
NEWS FROM:
Around the Institute
Contributing Members
Sustaining Members
USITT's President
Executive Director
CONFERENCE & STAGE EXPO:
A Big Texas Welcome
Looking at Stage Expo 2014
Student Innovation Session Recap
FOR THE RECORD:
Leadership
Contributing Members
Sustaining Members
VIEW ISSUE AS A PDF »
CONTACT THE EDITOR »
Search the Archives
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SIGHTLINES ARCHIVE »
Nominations are now open for USITT's most prestigious awards for individuals and organizations, including the Joel E. Rubin Founders Award, Special Citations, and more »
Read a Good Book Lately?
USITT's Golden Pen Award showcases books that are stellar additions to any personal or professional library. Suggest the 2014 winner through the online nominations process. more »
USITT Presents: Melding LEDs
Blending LEDs with Traditional Fixtures with Ford Sellers of Chauvet Professional on June 3... more »
OISTAT Meets In Shanghai
Members from the Research and Performance Design Commissions gathered to share information and learn about changes within the organization. more »
USITT's President: Building Career Capital
How do we approach work, and how do we work together – and how USITT is part of the process. more »
USITT's Executive Director: Summer
Changing locations, or just changing how we look at venues can make summer a refreshing time of year for all of us... more »
A Big Texas Welcome
Fort Worth is already looking forward to hosting the 2014 USITT Annual Conference & Stage Expo, but there are a few things every attendee should know. more »
Stage Expo set to grow
Building on the successes of 2013 and the return of Sound Lab, Stage Expo 2014 is already looking at new exhibitors and opportunities. more »
Costume's Student Leadership Initiative
Five students participated in the 2013 session, with plans already in place for how the session will continue in 2014. more »
The Last Word — Elite Training
and the lights of the Las Vegas strip to end the day (the lights never
Sunrise over parched distant hills, intensive training during the day, dim)
more »
http://sightlines.usitt.org/archive/2013/06/[5/28/13 2:11:20 PM]
ANNOUNCEMENTS
Members Invited to Showtech
TCG Slates 2014 Conference in San Diego
FedEx Offers Free Package Design,Testing
OISTAT Headquarters Reaches Out with New Team
NEWS FROM: AROUND THE INSTITUTE
To Lead Cirque Company
Designs Exhibited in Austin, Texas
How to Stage a Production When the Audience Is Canoeing
NEWS FROM: CONTRIBUTING MEMBERS
ETC: Building Purchase Helps Expand Manufacturing
Stage Technologies: Elite Training Focuses on Automation
PLASA: Hoepker Joins PLASA Team
© United States Institute for Theatre Technology, Inc.
http://sightlines.usitt.org/archive/2013/06/[5/28/13 2:11:20 PM]
NEWS FROM: SUSTAINING MEMBERS
GLP German Lighting Products: Welcomes New Sustaining Member
Creative Conners, Inc.: Introduces Hoist
Alcons Audio : Expanding US Pro-Ribbon Partner Network
Meyer Sound: LFC Element Chosen for Cirque Show
TMB: Schnick Schnack Systems Gives The Voice an Accent
L-ACOUSTICS: Adds Controller to Product Series
Vectorworks, Inc.: Updates Spotlight Plot Handbook
Stagecraft Institute of Las Vegas: Summer Slots Filling Quickly
International Alliance of Theatrical Stage Employees: Union Reaches Agreement, Elects Trustee
Lead story ›
Volume LIII, Number 6
FRONT PAGE »
NEWS & NOTICES:
News & Notices
Nominate for USITT Awards
Nominate for Awards Online Now
Announcements
Read A Good Book Lately?
USITT Presents - Melding LEDs
OISTAT in Shanghai
The Last Word - Elite Training
NEWS FROM:
Around the Institute
Contributing Members
Sustaining Members
USITT's President
Executive Director
CONFERENCE & STAGE EXPO:
A Big Texas Welcome
Looking at Stage Expo 2014
Student Innovation Session Recap
FOR THE RECORD:
Leadership
Contributing Members
Sustaining Members
VIEW ISSUE AS A PDF »
CONTACT THE EDITOR »
Search the Archives
GO Go
SIGHTLINES ARCHIVE »
Michael Mehler Chair, USITT Awards & Resolutions Committee
Tom Young received the Dr. Joel E. Rubin Founders Award at the 2013 Annual Conference in Milwaukee, Wisconsin. The award was presented by President Lea AsbellSwanger.
Photo/Tom Thatcher
As of June 1, nominations may be submitted online for the five Special Achievement Awards: the USITT Award, the Joel E. Rubin Founders Award, the Thomas DeGaetani Award, the Honorary Lifetime Membership Award, and Special Citations.
Any USITT member may nominate an individual for one of these awards. Nominations will be accepted online from June 1 through July 1. The Awards & Resolutions Committee will review all completed nominations and recommend recipients to the Board of Directors for consideration at its mid-August meeting at which the Board will vote on the recommendations.
Questions about the nominations forms or process should be directed to Shannan Hoerger email@example.com, USITT Member Services Associate; Michael Mehler firstname.lastname@example.org, Chair of the Awards & Resolutions Committee, or any other member of the committee.
http://sightlines.usitt.org/archive/2013/06/NominateForUSITTAwards.asp[5/28/13 2:11:48 PM]
Next story ›
The USITT Award, the highest honor given by USITT, recognizes a lifetime of distinguished contribution to the performing arts or entertainment communities in any capacity. Recipients need not be members of nor have any connection to USITT.
The Thomas DeGaetani Award, named in honor of the first USITT president, honors an outstanding lifetime contribution to the performing arts or entertainment industry by an individual or a performing arts/entertainmentfocused organization living and/or working in a particular region of the country, generally near the location of the Annual Conference & Stage Expo. Traditionally a nomination for this award originates from regional representatives on the Conference Committee and members of the Regional Section.
The Joel E. Rubin Founder's Award is presented to a USITT member in recognition of outstanding and continued service to the Institute. This award is named in honor of Dr. Joel E. Rubin, a founder and the second president of the Institute.
The Honorary Lifetime Membership Award is bestowed to a small but very distinguished group of individuals who have been recognized for providing a significant period of years of continuous and extraordinary service to the Institute.
A Special Citation recognizes outstanding achievement in any area of the performing arts or entertainment industry by an individual or an organization. This recognition is used for an acknowledgement that does not seem to the nominator or the Committee on Awards and Resolutions to fall into one of the established award categories.
Click here to find more information about these awards and past recipients.
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Volume LIII, Number 6
© United States Institute for Theatre Technology, Inc.
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Next story ›
FRONT PAGE »
NEWS & NOTICES:
Nominate for USITT Awards
Announcements
Read A Good Book Lately?
USITT Presents - Melding LEDs
OISTAT in Shanghai
The Last Word - Elite Training
NEWS FROM:
Around the Institute
Contributing Members
Sustaining Members
USITT's President
Executive Director
CONFERENCE & STAGE EXPO:
A Big Texas Welcome
Looking at Stage Expo 2014
Student Innovation Session Recap
FOR THE RECORD:
Leadership
Contributing Members
Sustaining Members
VIEW ISSUE AS A PDF »
CONTACT THE EDITOR »
Search the Archives
GO Go
SIGHTLINES ARCHIVE »
News & Notices
Announcements
Members Invited to Showtech
TCG Slates 2014 Conference in San Diego
FedEx Offers Free Package Design,Testing
OISTAT Headquarters Reaches Out with New Team
Members Invited to Showtech
USITT will be exhibiting at Showtech 2013 from June 18 to 20 at the Exhibition Center in Berlin, Germany. President Lea Asbell-Swanger, Executive Director David Grindle, and Lauren Wilde, winner of the 2013 Kryolan Makeup Design Award will be on hand in Hall 4, Stand C44.
USITT members and guests are encouraged to click here and use code bkv7599a-d6hw-t6je for a free pass to participate.
Showtech is an international trade show and conference for theatre, film, and event professionals which includes both a trade show and programming. USITT will be part of the inaugural pavilion of international associations.
TCG Slates 2014 Conference in San Diego
San Diego, California, will be the site of Theatre Communications Group's (TCG) 24th Annual National Conference June 19 to 21, 2014. The TCG National Conference provides one of the largest forums for the national theatre community to assemble for artistic and intellectual exchange.
The San Diego-area TCG Member Theatres contributing to the planning for the Conference will include: Cygnet Theatre Company, Diversionary Theatre, Ion Theatre Company, La Jolla Playhouse, Lamb's Players, MOXIE Theatre, North Coast Repertory Theatre, The Old Globe, San Diego Junior Theatre, and San Diego Repertory Theatre.
FedEx Offers Free Package Design,Testing
FedEx provides free laboratory testing and package design services to its customers. Proper packaging protects theatrical equipment, lighting fixtures, and control systems; minimizes package weight; and helps goods arrive on time and http://sightlines.usitt.org/archive/2013/06/Announcements.asp[5/28/13 2:12:18 PM]
intact.
To submit package samples for testing, go to fedex.com/packaging and download the FedEx Packaging Test Application at the bottom of the page. When shipping packages or freight, take advantage of the free USITT Freight Savings Plan to reduce shipping costs. For more information, call Siriani at 1800-554-0005.
OISTAT Headquarters Reaches Out with New Team
OISTAT Headquarters welcomes new Executive Director Kathy Hong and staff members Wan-Jung Wei, Lulu Yeh, and Lucy Wang. With experience in entertainment and performing arts, Ms. Hong aims to embrace the diversity of cultures with openness and reach out to the community.
Ms. Wei, HQ's senior secretary, has a master's degree in arts and politics and comes from the United Nations headquarters in New York City. She now serves the OISTAT community with her outgoing personality and exceptional attention to global affairs. Ms. Yeh and Ms. Wang both graduated with MAs in arts management. Ms. Yeh has just returned to the arts field after a year of traveling in Australia and New Zealand. Trained in classical music, Ms. Wang's artistic brain has balanced nicely with her experiences in public relations and marketing for performing groups in the United States.
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Volume LIII, Number 6
http://sightlines.usitt.org/archive/2013/06/Announcements.asp[5/28/13 2:12:18 PM]
Next story ›
FRONT PAGE »
NEWS & NOTICES:
Nominate for USITT Awards
Announcements
Read A Good Book Lately?
USITT Presents - Melding LEDs
OISTAT in Shanghai
The Last Word - Elite Training
NEWS FROM:
Around the Institute
Contributing Members
Sustaining Members
USITT's President
Executive Director
CONFERENCE & STAGE EXPO:
A Big Texas Welcome
Looking at Stage Expo 2014
Student Innovation Session Recap
FOR THE RECORD:
Leadership
Contributing Members
Sustaining Members
VIEW ISSUE AS A PDF »
CONTACT THE EDITOR »
Search the Archives
GO Go
SIGHTLINES ARCHIVE »
Nominations for Golden Pen Open until August
News & Notices
Mike Monsos Chair, USITT Golden Pen Subcommittee
Identifying and honoring great additions to the reading list of designers and technicians is one of the goals of USITT's Golden Pen award. Nominations are now open for the 2014 Golden Pen Award. USITT members may nominate books through August 15 by clicking here.
This recognition, which can be given annually, honors outstanding publications in the field of design and production for the performing arts as well as the history and documentation of theatre and theatre design. Richard Pilbrow's A Theatre Project, was honored in 2013 allowing USITT to add to Mr. Pilbrow's many accolades and providing an opportunity to invite him to participate as an honored guest at the Annual Conference. The book is currently available through the USITT bookstore.
The Golden Pen winner should provide an outstanding example of scholarly research and critical thinking, presentation of the work and methodology of exceptional theatrical practitioners, or description of the methods, skills, and technology involved in creating works of theatre. The committee seeks books published in the last three years that have made a significant contribution
When Richard Pilbrow, winner of the 2013 Golden Pen Award, talked about his career at the Annual Conference in Milwaukee, those who attended were delighted with his anecdotes and insights.
Photo/Tom Thatcher to any aspect of theatre design and technology and are much too valuable a resource not to recognize.
Previous Golden Pen winners, such as Making the Scene: A History of Stage Design and Technology by Oscar Brockett, continue to provide inspiration. Other recent winners -- such as George Tsypin Opera Factory: Building in the Black http://sightlines.usitt.org/archive/2013/06/ReadAGoodBookLately.asp[5/28/13 2:12:47 PM]
Nominations for Golden Pen Open until August
Void by George Tyspin, and M. Tabacki: a Design Monograph by Gordana Popovic Vasic and Inng Subotic -- have been called "must-haves" for university library holdings as well as personal collections.
Each nominated book receives a thorough and thoughtful review by members of the Golden Pen Subcommittee who read, analyze, tabulate, and make a recommendation to the USITT Publications Committee. The full committee discusses and forwards the recommendation to the Awards & Resolutions Committee for action by the Board of Directors. Books that are chosen as Golden Pen winners are added to the USITT store, where members can purchase them at a discounted price. Authors as well as subjects of books are invited to attend the Annual Conference & Stage Expo. The 2014 event in Fort Worth, Texas in March.
For more information, contact either the National Office at email@example.com or Mike Monsos, Chair of the Golden Pen Subcommittee, at firstname.lastname@example.org.
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Volume LIII, Number 6
© United States Institute for Theatre Technology, Inc.
http://sightlines.usitt.org/archive/2013/06/ReadAGoodBookLately.asp[5/28/13 2:12:47 PM]
FRONT PAGE »
NEWS & NOTICES:
News & Notices
Nominate for USITT Awards
Announcements
Read A Good Book Lately?
USITT Presents - Melding LEDs
OISTAT in Shanghai
The Last Word - Elite Training
NEWS FROM:
Around the Institute
Contributing Members
Sustaining Members
USITT's President
Executive Director
CONFERENCE & STAGE EXPO:
A Big Texas Welcome
Looking at Stage Expo 2014
Student Innovation Session Recap
FOR THE RECORD:
Leadership
Contributing Members
Sustaining Members
VIEW ISSUE AS A PDF »
CONTACT THE EDITOR »
Search the Archives
GO Go
SIGHTLINES ARCHIVE »
Next story ›
Next USITT Presents June 3 in Florida
Janet Gramza Communications Associate
USITT's goal of bringing its members year-round training opportunities continues with the next session of USITT Presents, the new series of hands-on workshops with industry leaders across the country, deeply discounted for members.
USITT Presents: How to Blend LED with Traditional Fixtures is a daylong session by Chauvet Professional on June 3 at the University of Miami, Miami, Florida. Ford Sellers, senior product development manager for Chauvet Professional, will demonstrate how to transition and replace existing stage lighting with energy-saving LEDs. For more information or to register for the Chauvet training, visit www.usitt.org/chauvet.
The class covers LED basics, fixture types, theatre applications with Lekos,
strips, Fresnel lenses, and cycs; as well as design concepts and expert advice, plus three hours of hands-on practice with Chauvet tools. The cost – including lunch – is just $50 for USITT members and $25 for student/early career members. (Fees double for non-members.)
USITT kicked off USITT Presents early this year with two classes -- a Meyer sound mixing class in Nashville, Tennesee in February, and a two-day Studio Gear HOG 4 training in Milwaukee, Wisconsin leading up to USITT's Annual Conference & Stage Expo. Both classes sold out.
"We had eight spots for the Studio Gear training and 10 people showed up," said Stage Expo Manager Ron Procopio. "We set the Meyer training for 20 spots and 24 people showed up. Both Meyer Sound and Studio Gear have expressed interest in doing more training with us."
Other sessions in the planning stage include a class on projection with Panasonic August 19 in San Francisco, California and media server training with TMB August 19 in Los Angeles. USITT is working with other partner companies to provide more training in audio, lighting, video, and rigging.
http://sightlines.usitt.org/archive/2013/06/MeldingLEDs.asp[5/28/13 2:13:16 PM]
FRONT PAGE »
NEWS & NOTICES:
News & Notices
Nominate for USITT Awards
Announcements
Read A Good Book Lately?
USITT Presents - Melding LEDs
OISTAT in Shanghai
The Last Word - Elite Training
NEWS FROM:
Around the Institute
Contributing Members
Sustaining Members
USITT's President
Executive Director
CONFERENCE & STAGE EXPO:
A Big Texas Welcome
Looking at Stage Expo 2014
Student Innovation Session Recap
FOR THE RECORD:
Leadership
Contributing Members
Sustaining Members
VIEW ISSUE AS A PDF »
CONTACT THE EDITOR »
Search the Archives
GO Go
SIGHTLINES ARCHIVE »
Next story ›
OISTAT Commissions meet in Shanghai
Carl Walling USITT International Committee
Fausto Viana's presentation on Local Festival Costumes in Brazil
Photo/Carl Walling
OISTAT's Research and Performance Design Commissions held a joint meeting March 25 to 28 hosted by Shanghai Theatre Academy in Shanghai, China. Sixteen OISTAT members representing Brazil, Bulgaria, Denmark, Egypt, Finland, Great Britain, Hungary, Japan, Mexico, Netherlands, New Zealand, Sweden, Taiwan, and the United States traveled to Shanghai to join members from OISTAT China, as well as faculty and post-graduate students from Shanghai Theatre Academy.
During the symposium members of both commissions, along with scholars from China, presented their research. Presentations included Dr. Dorita Hannah's keynote "Critical Costume: Operating Between Local Encounters, Global Events http://sightlines.usitt.org/archive/2013/06/OISTATinShanghai.asp[5/28/13 2:13:43 PM]
and Our Daily Lives," Fausto Viana's presentation on local festival costumes in Brazil, Dr. Joslin McKinney's paper "Cultural Encounter and the Body of the Spectator," Henk van der Geest's presentation on cultural approaches to lighting practice, Ya Li's research titled "Earring Study in Yuan Dynasty of Ancient China," and Piroska.E.Kiss' presentation on a recent scenographic encounter during a production of Waiting for Godot in Haiti. During four days, 20 research presentations and workshops were shared.
OISTAT Headquarters updated the commissions about several updates that were recently made to the OISTAT website at commission meetings. The updates include recent revisions to the Performance Design Commission galleries and Research Commission archives. Currently, OISTAT Headquarters, along with OISTAT Commission Chairs, are developing the website with additional new galleries, databases, and networking tools.
During the Shanghai meetings, commission members discussed several website projects, which should increase the effectiveness of the new OISTAT website. The Research Commission updated its members on two ongoing projects: TESTing 2013 and a recommended publications database.
This September, the Research Commission will try out TESTing 2013 during World Stage Design 2013. TESTing 2013 will allow research practitioners an opportunity to experiment with performance design projects and explore theoretical models. The commission received 25; the peer-review jury will select 10 to 12 projects for final inclusion in World Stage Design 2013. Once selected, the TESTing 2013 research projects will transpire over five days, September 9 to 13. Presentations and lectures stemming from these projects will be open to WSD 2013 attendees.
In addition to the TESTing project, the Research Commission is developing a recommended theatre publications database which will include books,
Photo/Carl Walling book chapters, and essays recommended by OISTAT members. OISTAT will host the database on its website for public access.
The next business meeting for OISTAT's Performance Design Commission and OISTAT Research Commission will be during World Stage Design 2013 in Cardiff, Wales. Any USITT members attending are welcome to come to the meetings. For more information about OISTAT, go to www.oistat.org.
For more about USITT – International Committee and the Institute's international activities, visit the Facebook page USITT – International Activities.
http://sightlines.usitt.org/archive/2013/06/OISTATinShanghai.asp[5/28/13 2:13:43 PM]
Front Page ›
FRONT PAGE »
NEWS & NOTICES:
Nominate for USITT Awards
Announcements
Read A Good Book Lately?
USITT Presents - Melding LEDs
OISTAT in Shanghai
The Last Word - Elite Training
NEWS FROM:
Around the Institute
Contributing Members
Sustaining Members
USITT's President
Executive Director
CONFERENCE & STAGE EXPO:
A Big Texas Welcome
Looking at Stage Expo 2014
Student Innovation Session Recap
FOR THE RECORD:
Leadership
Contributing Members
Sustaining Members
VIEW ISSUE AS A PDF »
CONTACT THE EDITOR »
Search the Archives
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SIGHTLINES ARCHIVE »
The Last Word:
Snapshots of Elite Training
Cirque du Soleil Training Center & Silver Stage Wire Rope
Las Vegas, Nevada
Special thanks to Cirque du Soleil, Columbus McKinnon Entertainment Technology, Coolux, Meyer Sound, Silver State Wire Rope, and Stage Technologies.
Photos/Barbara E.R. Lucas
http://sightlines.usitt.org/archive/2013/06/TheLastWord.asp[5/28/13 2:14:13 PM]
Kim Scott, Ray Fortin, and David Grindle discuss the entertainment industry
Martin from Meyer Sound engages his students
Gemma Guy from Stage Technologies gets technical about automation
http://sightlines.usitt.org/archive/2013/06/TheLastWord.asp[5/28/13 2:14:13 PM]
The sad results of destructive testing at Silver State Wire Rope
http://sightlines.usitt.org/archive/2013/06/TheLastWord.asp[5/28/13 2:14:13 PM]
http://sightlines.usitt.org/archive/2013/06/TheLastWord.asp[5/28/13 2:14:13 PM]
Snapshots of Elite Training
http://sightlines.usitt.org/archive/2013/06/TheLastWord.asp[5/28/13 2:14:13 PM]
Next story ›
FRONT PAGE »
NEWS & NOTICES:
Nominate for USITT Awards
Announcements
Read A Good Book Lately?
USITT Presents - Melding LEDs
OISTAT in Shanghai
The Last Word - Elite Training
NEWS FROM:
Around the Institute
Contributing Members
Sustaining Members
USITT's President
Executive Director
CONFERENCE & STAGE EXPO:
A Big Texas Welcome
Looking at Stage Expo 2014
Student Innovation Session Recap
FOR THE RECORD:
Leadership
Contributing Members
Sustaining Members
VIEW ISSUE AS A PDF »
CONTACT THE EDITOR »
Search the Archives
GO Go
News From
Around the Institute
To Lead Cirque Company
Designs Exhibited in Austin, Texas
How to Stage a Production When the Audience Is Canoeing
To Lead Cirque Company
We wish Kim Scott great success in her new position with Cirque du Soleil. Kim, who serves on USITT's Board of Directors, is now company manager for Cirque du Soleil's Criss Angel BeLIEve, the most spectacular illusions from the magician of the century. The show is now open at the Luxor Hotel Casino in Las Vegas.
Designs Exhibited in Austin, Texas
Congratulations to Karen Maness on her recent solo exhibition - "to sea" - which ran in April and May at the West Austin Studio Tour #93 and at dwg, a landscape architecture firm in Austin, Texas.
Additional work by Karen, who is USITT's Scene Design Co-commissioner, can be found at www.karenmaness.com
How to Stage a Production When the Audience Is Canoeing
Sometimes we receive information about performances, but we never hear about how they turn out. Here's one recent example: just what did occur on May 18 when PlaceBase Productions and performers from the Upper Minnesota River Valley area staged a Paddling Theater Production on the Minnesota River as part of Minnesota River History Weekend and Minnesota State Water Trails 50th Anniversary?
SIGHTLINES ARCHIVE »
From their canoes, the audience was engaged with stories, songs, and characters from local river lore, presented both as live theatre and live-action radio drama in the original production: With the Future on the Line: Paddling Theater from Granite Falls to Yellow Medicine. Characters from throughout history emerged on the river's banks to lead the audience on an interactive journey into the past, bringing the stories of the Minnesota River Valley.
http://sightlines.usitt.org/archive/2013/06/AroundTheInstitute.asp[5/28/13 2:14:43 PM]
http://sightlines.usitt.org/archive/2013/06/AroundTheInstitute.asp[5/28/13 2:14:43 PM]
FRONT PAGE »
NEWS & NOTICES:
News From
Nominate for USITT Awards
Contributing Members
Announcements
Read A Good Book Lately?
USITT Presents - Melding LEDs
OISTAT in Shanghai
The Last Word - Elite Training
NEWS FROM:
Around the Institute
Contributing Members
Sustaining Members
USITT's President
Executive Director
CONFERENCE & STAGE EXPO:
A Big Texas Welcome
Looking at Stage Expo 2014
Student Innovation Session Recap
FOR THE RECORD:
Leadership
Contributing Members
Sustaining Members
VIEW ISSUE AS A PDF »
CONTACT THE EDITOR »
Search the Archives
GO
ETC: Building Purchase Helps Expand Manufacturing
Stage Technologies: Elite Training Focuses on Automation
PLASA: Hoepker Joins PLASA Team
ETC: Building Purchase Helps Expand Manufacturing
ETC (Electronic Theatre Controls, Inc.) expanded its manufacturing after buying a 350,000-square-foot building in Mazomanie, Wisconsin. ETC will move portions of its manufacturing and warehousing to the Mazomanie facility, while maintaining the company's headquarters in Middleton, Wisconsin.
ETC's Middleton headquarters is known for its innovative 'Town Square' themed environment. The Mazomanie building will also reflect the ETC aesthetic and corporate culture.
ETC has chosen architectural firm KEE Architecture, Madison, for the Mazomanie renovation. The builder will be Design Structures, Middleton. Construction is slated to begin in June, with portions of the facility opening in the fall. The building previously housed printing company Sunny Industries.
Stage Technologies: Elite Training Focuses on Automation
Stage Technologies again supplied a hands-on Automation course for the 2013 USITT Elite Training Weekend in Las Vegas, Nevada May 9 to 11. The Automation course covered an introduction to
automation, introduction to operating and programming the eChameleon software, and a hands-on look at Stage Technologies' winches and control systems.
Go
SIGHTLINES ARCHIVE »
The Elite Training Weekend, which takes place annually at the Cirque du Soleil training facility in Las Vegas, Nevada, includes classes in Automation, Rigging, Sound, and Projection for a limit of eight students each. Students, selected by application, spend days with trainers and evenings backstage at Cirque du http://sightlines.usitt.org/archive/2013/06/ContributingMembers.asp[5/28/13 2:15:12 PM]
Next story ›
Contributing Members
Soleil shows. Applicants are USITT student or early career members.
For more information visit www.stagetech.com or see photos from the USITT Elite Training Weekend at The Last Word.
PLASA: Hoepker Joins PLASA Team
Industry veteran Laura Hoepker joined PLASA as an events sales executive working with the North American team on the PLASA Focus NA regional events. She is a 19-year veteran of Electronic Theatre Controls where she oversaw ETC's trade shows and events.
Ms. Hoepker can be reached at email@example.com or 212-244-1505, ext. 608. Focus Austin will be held at the Palmer Events Center in downtown Austin, Texas September 10 to 11; and Focus Nashville will be held February 5 to 6 at the Municipal Civic Auditorium in Nashville, Tennesee. For more information, visit www.plasafocus.com.
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Volume LIII, Number 6
© United States Institute for Theatre Technology, Inc.
http://sightlines.usitt.org/archive/2013/06/ContributingMembers.asp[5/28/13 2:15:12 PM]
FRONT PAGE »
NEWS & NOTICES:
Nominate for USITT Awards
News From Sustaining Members
Announcements
Read A Good Book Lately?
USITT Presents - Melding LEDs
OISTAT in Shanghai
The Last Word - Elite Training
NEWS FROM:
Around the Institute
Contributing Members
Sustaining Members
USITT's President
Executive Director
CONFERENCE & STAGE EXPO:
A Big Texas Welcome
Looking at Stage Expo 2014
Student Innovation Session Recap
FOR THE RECORD:
Leadership
Contributing Members
Sustaining Members
VIEW ISSUE AS A PDF »
CONTACT THE EDITOR »
Search the Archives
GO Go
SIGHTLINES ARCHIVE »
GLPGerman Lighting Products: Welcomes New Sustaining Member
Creative Conners, Inc.: Introduces Hoist
Alcons Audio : Expanding US Pro-Ribbon Partner Network
Meyer Sound: LFC Element Chosen for Cirque Show
TMB: Schnick Schnack Systems Gives The Voice an Accent
L-ACOUSTICS: Adds Controller to Product Series
Vectorworks, Inc.: Updates Spotlight Plot Handbook
Stagecraft Institute of Las Vegas: Summer Slots Filling Quickly
International Alliance of Theatrical Stage Employees: Union Reaches Agreement, Elects Trustee
GLP German Lighting Products : Welcomes New Sustaining Member
The Institute welcomes GLP German Lighting Products as a new Sustaining member. Since 1995, GLP has provided innovative and quality professional lighting solutions. The company combined with entertainment software group CairosTechnologies AG in 2006. GLP provides lighting for many entertainment and architectural applications.
Creative Conners, Inc.: Introduces Hoist
Creative Conners, Inc., which recently upgraded its level of support to that of a USITT Sustaining member, has introduced the Spotline Hoist. Spotline is specifically designed for vertical lifting, and has integrated safety features including a redundant brake. It is capable of lifting 500 pounds at 36 inches per second.
For more on the company and its products, visit www.creativeconners.com.
http://sightlines.usitt.org/archive/2013/06/SustainingMembers.asp[5/28/13 2:15:42 PM]
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Alcons Audio: Expanding US Pro-Ribbon Partner Network
Alcons Audio welcomes Griffith Sales as an independent firm to support the company's ongoing growth in the United States. Griffith Sales will handle Georgia, Alabama, Mississippi, North Carolina, South Carolina, and Tennessee.
Alcons Audio offers a wide variety of systems and covers a number of critical vertical markets. For more information, visit www.alconsaudio.com and www.facebook.com/AlconsAudio.
Meyer Sound: LFC Element Chosen for Cirque Show
Since it began shipping last June, Meyer Sound's 1100-LFC low-frequency control element has been used in numerous applications; from supporting massive live concerts, to testing the human response, to extreme low frequencies in a Mythbusters experiment.
The element which won a PAR Excellence Award, was chosen for an upcoming Cirque du Soleil production.
For more information, call 510-486-1166, fax 510-486-8356, e-mail firstname.lastname@example.org or visit www.meyersound.com. Become a fan of Meyer Sound on Facebook: www.facebook.com/meyersoundlabs.
TMB: Schnick Schnack Systems Gives The Voice an Accent
When the chairs spin on NBC's The Voice, they are lighed by Schnick Schnack Systems's LED accent lighting. The company's products are exclusively distributed in North America by TMB.
Schnick Schnack Systems' camera-friendly, calibrated colors light the triangular podium on the front of each judge's chair. When a critical red decision button is pushed, the LEDs behind the Plexiglas podium change colors and the chair spins around.
http://sightlines.usitt.org/archive/2013/06/SustainingMembers.asp[5/28/13 2:15:42 PM]
Learn about other innovative products from TMB at www.tmb.com.
L-ACOUSTICS: Adds Controller to Product Series
L-ACOUSTICS recently added the LA4X amplified controller to its amplified controller series.
The LA4X is based on a four input by four output architecture combining the benefits of self-powered speaker packages with the flexibility of outboard DSP and amplification. It is a "green" amplified controller that relies on a universal switch mode power supply suitable for mains from 90V to 265V.
Vectorworks, Inc.: Updates Spotlight Plot Handbook
An updated edition of Light Plot Deconstructed for Vectorworks Spotlight, written by scenic and lighting designer Gregg Hillmar, is now available.The guide functions as a companion handbook to the software to help readers draft light plots more easily.
An image of the book cover can be downloaded from the company's Flickr page.
More information about this and other Vectorworks tutorials can be found on its Training Guides page.
Stagecraft Institute of Las Vegas: Summer Slots Filling Quickly http://sightlines.usitt.org/archive/2013/06/SustainingMembers.asp[5/28/13 2:15:42 PM]
Stagecraft Institute of Las Vegas still has slots available for its 2013 program.
Scheduled to begin June 10, weekly subjects include: Week 1 – CAD; Week 2 – Rigging; Week 2 – SFX; Week 3 – Automation (seven spots); Week 3 – Foam Arts (four spots); Week 4 – Audio; Week 4 – Make-up & Prosthetics (two spots); Week 5 – Lighting Tech (seven spots); Week 6 – Previsualization (three spots); and Weeks 7 and 8 – Movers & Digital Media (three spots).
Register at stagecraftinstitute.com.
International Alliance of Theatrical Stage Employees: Union Reaches Agreement, Elects Trustee
After a lengthy process spread over five months, the International Alliance of Theatrical Stage Employees (IATSE) International and The Broadway League/Disney Theatrical Productions have reached a tentative agreement for a new three-year contract. IATSE also elected Patricia White as an International trustee.
In addition to wage increases, a primary goal for IATSE negotiators was to address challenging travel conditions faced by workers on tours. Thus, the agreement includes premium pay for load-outs on multiple show days and for travel after a short-rest period, first time additional pay for make-up artists and hairstylists traveling on a seventh day, and first-time overage participation (i.e. bonus) for workers on successful tiered tours. The agreement includes significant employer contributions to the health and pension plans for workers on tiered tours and wage increases for workers in all categories. It also includes employer contributions to the IATSE Training Trust.
Ms. White has been an IATSE member since 1986 when she joined ACT as a wardrobe employee. She transferred into Theatrical Wardrobe Union Local 764 in1989, where she has served as a trustee and officer since 1995. She is currently the president of Local 764.
Ms. White is department director of education and training and works to promote the education of IATSE local leaders through the LEAP Program, union skills education at conventions, and IATSE staff training. She serves as a member of the ETCP Certification Council.
An international representative since 2007, she has worked with many locals of all types, but especially closely with wardrobe locals, to assist them in building stronger local unions and in representing the workers in negotiations with employers. She will join Thomas J. Cleary (Local 2) and C. Faye Harper (Local 834) as an IATSE International Trustee.
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FRONT PAGE »
NEWS & NOTICES:
Nominate for USITT Awards
Announcements
Read A Good Book Lately?
USITT Presents - Melding LEDs
OISTAT in Shanghai
The Last Word - Elite Training
NEWS FROM:
Around the Institute
Contributing Members
Sustaining Members
USITT's President
Executive Director
CONFERENCE & STAGE EXPO:
A Big Texas Welcome
Looking at Stage Expo 2014
Student Innovation Session Recap
FOR THE RECORD:
Leadership
Contributing Members
Sustaining Members
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CONTACT THE EDITOR »
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News From Lea Asbell-Swanger, USITT President
Building Career Capital
This is often the time of year that heralds the "summer reading list." I guess there's the hope that all those school children will make good use of their summer vacation by reading something. If a list of suggestions encourages and informs that behavior, then why not? I've always enjoyed reading – not always that which I was supposed to read, but I enjoyed a variety of genres. As my career took twists and turns, I would often go in search of reading materials as a source of professional development.
With the advent of the internet, there is no shortage of articles, blogs, and information about almost any topic. I subscribe to a few listserves and other collectives that provide access to concise articles, which my schedule can absorb. Recently, I read one entitled The 7 Ways Successful People Approach Their Work.
It turned out to be an article about a more involved book series due out in September that was the result of a research study about how people approach work. The researcher and book author, Laura Vanderkam, discovered that most successful people have similar habits. She compiled what she believes to be the top seven shared approaches and, unfortunately, none of them were new. In fact, they were essentially common sense habits that we all know, but most of us don't do consistently. It is possible to learn these habits, but unless they become one's routine it's like the difference between going on a diet and changing one's eating habits. The former will get you a short-term loss that's hard to maintain while the latter becomes a lifestyle.
There was one of the seven that Ms. Vanderkam valued more highly than the rest and that she called paying into your career capital account. She defines this account as "the sum total of your experiences, your knowledge, your skills, your relationships — and all these things enable you to get a new job if you need one, create new situations for yourself or other people, or even let you take a break without having it ruin your career." The pay in or building of career capital comes down to three basic options: improving existing skills, learning new ones, and building a loyal network.
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I believe that those of you who use your membership with USITT to its fullest are already doing all three of these things and probably aren't even conscious of the career capital you've created. The good news is that it has prepared you for the unforeseen that inevitably happens in every career. If you are a USITT member and you aren't availing yourself of all the things that USITT has to offer, http://sightlines.usitt.org/archive/2013/06/President.asp[5/28/13 2:16:11 PM]
Building Career Capital
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NEWS & NOTICES:
News From David Grindle, USITT Executive Director
Nominate for USITT Awards
Announcements
Read A Good Book Lately?
USITT Presents - Melding LEDs
OISTAT in Shanghai
The Last Word - Elite Training
NEWS FROM:
Around the Institute
Contributing Members
Sustaining Members
USITT's President
Executive Director
CONFERENCE & STAGE EXPO:
A Big Texas Welcome
Looking at Stage Expo 2014
Student Innovation Session Recap
FOR THE RECORD:
Leadership
Contributing Members
Sustaining Members
VIEW ISSUE AS A PDF »
CONTACT THE EDITOR »
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A Reflection on the Venues of Summer From the Executive Director Summertime!
It's been a long winter. Groundhogs across North America have been cursing their public spokes-rodent for the ill will we humans have been steering their way. People continually think, "Surely this will be the last snow storm!" I believe our friends in Minneapolis and Denver have given up that thought. But soon, soon we shall all forget this and begin complaining about heat and humidity.
Summertime brings summer theatre. For that we should all be thankful. Whether that theatre is outdoors, indoors, or indoors with sliding walls to let us think we are outdoors, summer venues hold memories for all of us.
I remember my very first opera at the Santa Fe Opera with the back wall out so the setting sun over the Sangre de Cristo Mountains provided the backdrop for Gustav Holst's Savitri. It is an esoteric first opera, and frankly, I remember the setting far more than I remember the music. That is to be expected when the venue has been designed as an experience that can equal the performance.
Think about the great venues we see in the United States and even around the world. The Elizabethan Theatre at Oregon Shakespeare Festival, the Barns at Wolf Trap, American Players Theatre, or Ravinia -- each has a history and excitement to it even without a performance. For that, we owe a "thank you" to the architect and now the theatre consultant.
So often we at USITT get caught up in the design and technology on stage, we forget to appreciate the
The back wall of the Santa Fe Opera stage can be opened to create a dramatic backdrop of hills and high desert, an http://sightlines.usitt.org/archive/2013/06/ExecutiveDirector.asp[5/28/13 2:16:40 PM]
design and technology that is the stage. Summer venues, for some reason, seem to highlight this for me. Perhaps it is the ability, especially in an "outdoor" venue, to incorporate the almost perfect setting even if nothing is on the stage.
Photo/Barbara E.R. Lucas landscape in a way that remains visible to the audience. But think about the additional challenges.
One of my favorite indoor venues, Sidney Harman Hall, has a fire station across the street. A couple of well-constructed sound doors properly placed and properly functioning mitigate the sound of the fire trucks leaving during a show. Summer venues don't get that luxury.
Before moving to the Paramount Theatre in downtown Charlottesville, Virginia, the Ashlawn-Highland Festival produced shows in an outdoor space on the grounds of Ashlawn-Highland, the historic home of James Monroe. That space was also home to a historic flock of peacocks – birds that can be noisy when the summer heat puts them in an amorous mood, which would happen during shows. A peacock strutting the dance of love will overpower a fire truck siren any day. So, in outdoor venues the beauty of nature can often be upset by the nature of nature.
On the other hand, the Santa Fe Opera, in its last renovation, became a model for water reclamation and reuse. Being in high mountain desert, every drop of water must be used wisely. From capturing winter snow melt to using grey water for landscaping, Santa Fe Opera is a wonder to behold and that is before you ever hear the glorious music. Getting a tour of the facility should be on people's theatre bucket lists, in my opinion.
In summer venues, both indoors and out, we should take the time to appreciate the work of the architect locating the facility for a certain wind pattern, or the consultant working to insure the water drains were properly insulated to avoid hearing every flush; While I should appreciate them in any facility, I think I appreciate them more in our summer venues.
Even in my current job, seeing a show is something I don't get to do nearly enough. But I try to make sure to get to an outdoor venue for a performance of some type. It is where our art form started all those many years ago.
Take the time and make the effort to see a show this summer. We get to be indoors plenty all year long. Enjoy nature and thank not just the people who perform, but those who create the venue. They have toiled to insure we could enjoy the place as much as the performance.
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Nominate for USITT Awards
Announcements
Read A Good Book Lately?
USITT Presents - Melding LEDs
OISTAT in Shanghai
The Last Word - Elite Training
NEWS FROM:
Around the Institute
Contributing Members
Sustaining Members
USITT's President
Executive Director
CONFERENCE & STAGE EXPO:
A Big Texas Welcome
Looking at Stage Expo 2014
Student Innovation Session Recap
FOR THE RECORD:
Leadership
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A Fort Worth Welcome
Conference & Stage Expo
Benjamin Shurr Fort Worth Promotions Committee
A Texas-sized star, made of autographed cowboy hats, is just one of the unique features of the Fort Worth Convention Center. The center will host many of USITT's 2014 Annual Conference events, and be the site of Stage Expo.
Photo/Barbara E.R. Lucas
Howdy, y'all!
There. It was said. Might as well get it out of the way. Texas and Fort Worth are honored and excited to welcome USITT to this wonderful place we call home for the 2014 Annual Conference & Stage Expo.
I have lived in the Dallas-Fort Worth (DFW) area for 11 years now and have come to love this place. I am originally from Ohio, so you can imagine the bit of culture shock I had upon arrival. I even made the joke as we crossed from http://sightlines.usitt.org/archive/2013/06/ABigTexasWelcome.asp[5/28/13 2:17:11 PM]
Arkansas into Texas, "Where do I exchange my money?"
I learned that you do not put beans in chili, "fixin to" and "y'all" are words (and I now use them regularly), not everyone wears a cowboy hat, a cold front means it's going to be in the 90s, and the University of Texas mascot is not an Aggie. (Learned that the hard way.) I also learned that you could not find a friendlier or politer group of people.
My first trip to Fort Worth absolutely floored me, and I was hooked instantly. There are not many cities that can take you from a slice of American history to one of the most critically acclaimed zoos in the world.
Art is reflected everywhere: performances at the Bass Performance Hall, major works at the Kimball Art Museum, and natural beauty at the Fort Worth Botanic Gardens. You can go to the world's largest honky tonk, take in some Red Dirt Music, and enjoy a cold Rahr Beer or just stroll around Sundance Square taking in all that you can. This is just the beginning of what you can do and see here.
We are extremely excited about hosting this event for ya'll that are fixin' to come. We will present monthly articles to help get you ready for your trip. As my friend and mentor, Don Childs, would say, "It's all about the experience." We're gonna give you an experience you will never forget. Welcome to Fort Worth!
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© United States Institute for Theatre Technology, Inc.
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FRONT PAGE »
NEWS & NOTICES:
Conference & Stage Expo
Nominate for USITT Awards
Announcements
Read A Good Book Lately?
USITT Presents - Melding LEDs
OISTAT in Shanghai
The Last Word - Elite Training
NEWS FROM:
Around the Institute
Contributing Members
Sustaining Members
USITT's President
Executive Director
CONFERENCE & STAGE EXPO:
A Big Texas Welcome
Looking at Stage Expo 2014
Student Innovation Session Recap
FOR THE RECORD:
Leadership
Contributing Members
Sustaining Members
VIEW ISSUE AS A PDF »
CONTACT THE EDITOR »
Search the Archives
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Stage Expo Plants the Seeds for a Strong 2014
Ron Procopio Stage Expo Manager
Sound Lab, which had its debut in 2012 in Long Beach, will be a vital part of the USITT Annual Conference in Fort Worth next March.
Photo/USITT Archives
USITT's Stage Expo took giant steps in Milwaukee. Manufacturers from all areas of the entertainment and production industries were represented. This was the result, in part, of a near world tour. Representatives from the National Office visited the Audio Engineering Society show, the National Association of Music Merchandizing show, the Sewing Dealers Trade Association show, LDI, PLASA PALM, and many cities promoting the growth of Stage Expo and USITT's networking and education opportunities.
As a result, the 2013 event grew 11 percent in size and scope. The goal of Stage Expo is to bring manufacturers and service providers in theatre and live entertainment production industries to the managers, designers, and technicians who use these products and services daily.
USITT representatives found some manufacturers were surprised to learn that http://sightlines.usitt.org/archive/2013/06/StageExpo2014.asp[5/28/13 2:17:41 PM]
Stage Expo Plants the Seeds for a Strong 2014
their products are being used in the entertainment industry. Sewing machine manufacturers were made aware of the various departments that utilize their machines. Safety product manufacturers were told the extent of use for their products.
The emergence of greater technology in media servers and projection technology has gathered much attention. More of these sorts of companies will become part of USITT in the coming years as the cost of some technologies decreases, and making some more affordable, smaller in size and stronger in reliability.
The 2014 will mark the return of Sound Lab. While USITT begins to focus on companies at Stage Expo, we are making room for a greater audio presence. Microphone, audio mixer, and speaker companies are being courted to participate in an expanded Sound Lab, which will have a close relationship both in proximity and programming in Fort Worth. Programming is underway and will excite those audiophiles in the USITT community.
USITT is an all- encompassing gathering of the theatre and live entertainment industries; and Stage Expo is the personification of this. The seeds we plant this spring will sprout with the best event ever in March 2014!
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Volume LIII, Number 6
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FRONT PAGE »
NEWS & NOTICES:
Conference & Stage Expo
Nominate for USITT Awards
Announcements
Read A Good Book Lately?
USITT Presents - Melding LEDs
OISTAT in Shanghai
The Last Word - Elite Training
NEWS FROM:
Around the Institute
Contributing Members
Sustaining Members
USITT's President
Executive Director
CONFERENCE & STAGE EXPO:
A Big Texas Welcome
Looking at Stage Expo 2014
Student Innovation Session Recap
FOR THE RECORD:
Leadership
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Sustaining Members
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CONTACT THE EDITOR »
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SLI: Rethinking the Classics, Paving the Way for the Future
Caroline Spitzer Costume Design & Technology Commission
Angela Armijo -Tips on Co-Designing Shakespeare with Contemporary Touches
Marking its third year in Milwaukee, Wisconsin, the Student Leadership Initiative (SLI) from the Costume Design & Technology Commission continues to highlight innovative approaches from students in the commission. After participating in Long Beach in 2012, I was thrilled to continue my involvement with SLI, returning as an alumna to help moderate the 2013 session.
Created as a way to meet the needs of an ever-growing student membership base, SLI serves as a forum for students to present their work to peers and professionals. These works get archived in the Costume Commission's digital web files. A portion of SLI is also dedicated to networking, forming connections among students and professionals that might not have otherwise been possible.
The forum has continued to have an increase in both submissions and attendance since its creation in 2011. SLI has acted as a great stepping-stone http://sightlines.usitt.org/archive/2013/06/StudentInnovationSessionRecap.asp[5/28/13 2:18:10 PM]
for students wishing to continue their involvement with USITT. With the continued support of the Costume Commission, great things are on the way for the Student Leadership Initiative.
Spanning a wide variety of topics, this year's presenters included:
Angela Armijo (BFA costume design/technology, University of Connecticut) presented Tips on Co-Designing Shakespeare with Contemporary Touches.
Derek Robertson (BFA, wig/ make-up design, St. Louis Community College) presented Clue: The Musical, Hair and Make-up Tricks.
Jillian Westplate (BA, specialization in technology, Indiana University South Bend) presented Forecast, A Budgeting Tool for Costumers, by Costumers.
Matt Caron (MFA directing, Minnesota State UniversityMankato) presented Photomanipulation in Costume Design.
Serena Berkes (BFA costume technology, Midwestern State University) presented Walk a Mile in Dionysus' Shoes.
Starting this fall Steven Stines will take over for Rafael Jaen, who started SLI. We will miss Rafael's enthusiasm and dedication, and we look forward to working with Steven. We are USITT; endless opportunities await!
Jillian Westplate - Forecast, A Budgeting Tool for Costomers, by Costumers
Matt Caron - Photomanipulation in Costume Design
Serena Berkes - Walk a Mile in Dionysus' Shoes
For more information e-mail email@example.com http://sightlines.usitt.org/archive/2013/06/StudentInnovationSessionRecap.asp[5/28/13 2:18:10 PM]
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For the Record:
NEWS & NOTICES:
Leadership
Nominate for USITT Awards
Announcements
Read A Good Book Lately?
USITT Presents - Melding LEDs
OISTAT in Shanghai
The Last Word - Elite Training
NEWS FROM:
Around the Institute
Contributing Members
Sustaining Members
USITT's President
Executive Director
CONFERENCE & STAGE EXPO:
A Big Texas Welcome
Looking at Stage Expo 2014
Student Innovation Session Recap
FOR THE RECORD:
Leadership
Contributing Members
Sustaining Members
VIEW ISSUE AS A PDF »
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USITT Leadership
Lea Asbell-Swanger, President
Sherry Wagner-Henry, Secretary
Daniel Culhane, Treasurer
David Krajec, Vice-President for Commissions
Mark Shanda, Vice-President for Communications
David W. Will, Vice-President for Conferences
Marketa Fantova, Vice-President for International Activities
Tom Hackman, Vice-President for Programming
Martha Marking, Vice-President for Members, Sections & Chapters
Daniel Denhart, Vice-President for Special Operations
Joe Aldridge, Immediate Past President
Directors
2010-2013
Emily Gill
R. Michael Gros
Rafael Jaen
Debra Garcia Lockwood
Jill Maurer
Stephanie Young
2011-2014
Jack Feivou
Jennifer L. Knott
Andi Lyons
Kevin Rigdon
Loren Schreiber
Joe Tilford
http://sightlines.usitt.org/archive/2013/06/ForTheRecordLeadership.asp[5/28/13 2:18:39 PM]
2012-2015
Kasey Allee-Forman
Bill Browning
Alessia Carpoca
Michael Mehler
Linda Pisano
Carolyn Satter
Sightlines Editorial Staff & National Office Staff
Barbara E.R. Lucas , Sightlines Editor, Director of Communication
David Grindle , Executive Director
Carol B. Carrigan , Director of Finance and Human Resources
Monica L. Merritt , Director of Member Services
Jim Lucas , Marketing Sales & Services Associate
Shannan Hoerger , Member Services Associate
Ron Procopio , Stage Expo Manager & Special Events Coordinator
Janet Gramza , Communications Associate
Volume LIII, Number 6
© United States Institute for Theatre Technology, Inc.
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FRONT PAGE »
For the Record:
NEWS & NOTICES:
Members
Nominate for USITT Awards
Announcements
Read A Good Book Lately?
USITT Presents - Melding LEDs
OISTAT in Shanghai
The Last Word - Elite Training
NEWS FROM:
Around the Institute
Contributing Members
Sustaining Members
USITT's President
Executive Director
CONFERENCE & STAGE EXPO:
A Big Texas Welcome
Looking at Stage Expo 2014
Student Innovation Session Recap
FOR THE RECORD:
Leadership
Contributing Members
Sustaining Members
VIEW ISSUE AS A PDF »
CONTACT THE EDITOR »
Search the Archives
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USITT gratefully recognizes the individuals and businesses in these special categories of membership:
Contributing Members »
Sustaining Members »
Contributing Members
American Harlequin Corporation
Apollo Design Technology, Inc.
Automatic Devices Company
Barbizon Lighting Company
CETA
Cirque du Soleil
City Theatrical, Inc.
J.R. Clancy, Inc.
Creative Handbook
Creative Stage Lighting Co., Inc.
d&b audiotechnik
Daktronics
Disney Parks Creative Entertainment
DTHG
Electronic Theatre Controls (ETC)
The ESTA Foundation/Behind the Scenes
Foy Inventerprises, Inc.
Frends Beauty Supply
Future Light
GAMPRODUCTS, INC.
H & H Specialties Inc.
InterAmerica Stage, Inc.
KM Fabrics, Inc.
http://sightlines.usitt.org/archive/2013/06/ForTheRecordMembers.asp[5/28/13 2:19:09 PM]
Kryolan Corporation
Live Design Magazine/LDI Show
MDG Fog Generators
Meyer Sound Laboratories, Inc.
Michigan Technological University
Musson Theatrical, Inc.
Norcostco, Inc.
Oasis Stage Werks
PLASA
PRG
Production Advantage, Inc.
Robert Juliat America
Rosco Laboratories, Inc.
Rose Brand Theatrical Fabrics, Fabrications & Supplies
SECOA
Stage Technologies
StageRight Corporation
StageSpot
Steeldeck Inc.
Sustainable Technologies Group
Syracuse Scenery & Stage Lighting Co., Inc.
Texas Scenic Company
Vincent Lighting Systems
Wenger Corporation
Yale School of Drama/Repertory Theatre
ZFX , Inc. – Flying Effects
Sustaining Members
A.C. Lighting Inc.
A.C.T. Lighting
ACME Corp. Production Resource
The University of Alabama
Alcons Audio USA
Altman Lighting, Inc.
Atlanta Rigging Systems
Auerbach Pollock Friedlander
A V Pro, Inc.
Backdrops Beautiful
http://sightlines.usitt.org/archive/2013/06/ForTheRecordMembers.asp[5/28/13 2:19:09 PM]
Backdrops Fantastic
Bellatex, Inc.
Ben Nye Makeup
BMI Supply
University of California — Irvine
California Institute of the Arts
Center Theatre Group
Chainmaster Buhentechnick GMBH
Chauvet
Checkers Industrial Products
Chicago Flyhouse Inc.
Chicago Spotlight, Inc.
Clarice Smith Performing Arts Center
Clear-Com Communication Systems
Clearwing Productions
Cobalt Studios
Columbus McKinnon Corp.
coolux International
Cooper Controls
Creative Conners, Inc.
Dazian Fabrics, LLC
Designlab Chicago
Doug Fleenor Design, Inc.
Dragon & Phoenix Software, Inc.
Emerson College Dept of Performing Arts
Entertainment Lighting Services
ENTTEC Americas, LLC
Feeling Structures
First Stage Milwaukee
Florida State University
Focal Press
Full Compass Systems, Ltd.
GALA Systems, Inc.
German Lighting Products
Gerriets International Inc.
Grand Stage Company, Inc.
Hall Associates Flying Effects
http://sightlines.usitt.org/archive/2013/06/ForTheRecordMembers.asp[5/28/13 2:19:09 PM]
Harkness Screens (USA) Ltd.
Herbert L. Camburn Associates
iWeiss Theatrical Solutions
IALD-International Association of Lighting Designers
InCord Ltd.
International Alliance of Theatrical Stage Employees
Irwin Seating Company
James Thomas Engineering
Johnson Systems Inc.
Kenmark, Inc.
Kirkegaard Associates
L-ACOUSTICS
LEE Filters
Lehigh Electric Products Co.
Leprecon
Leviton/NSI/Colortran
Lex Products Corp.
Limelight Productions, Inc.
Lite-Trol Service Company, Inc.
LVH Entertainment Systems
Lycian Stage Lighting
The MAGNUM Companies, Ltd.
Mainstage Theatrical Supply
Mega Systems
Mehron, Inc.
University of Minnesota – Twin Cities
University of Missouri-Kansas City
Mongol Global Tour Company, Inc.
MRD, Inc.
Mutual Hardware
Nemetschek Vectorworks
University of North Carolina at Greensboro
University of North Carolina School of the Arts
Northern Sound & Light, Inc.
Ontario Staging Limited
OSRAM SYLVANIA
Pathway Connectivity
http://sightlines.usitt.org/archive/2013/06/ForTheRecordMembers.asp[5/28/13 2:19:09 PM]
Penn State University
Period Corsets
Prolyte Products Group
Rational Acoustics, LLC
RC4 Wireless/Soundsculpture Inc.
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http://sightlines.usitt.org/archive/2013/06/ForTheRecordMembers.asp[5/28/13 2:19:09 PM]
http://sightlines.usitt.org/archive/2013/06/ForTheRecordMembers.asp[5/28/13 2:19:09 PM]
|
EP S Series Heavy-Duty, E Explosion P Proof Connectors f for H Hazardous E Environments
Distributed by:
Eastern Connector Specialty
Toll Free: 1-877-788-0888
Direct: 1-860-355-8100 firstname.lastname@example.org
Catalog Contents
Clements N National C Company
6650 S. Narragansett Avenue, Chicago, Illinois 60638
Toll Free: 800-966-0016
Phone: 708-594-5890 • Fax: 708-594-2481
www.cadillacproducts.com • www.clementsnational.com
EP (Explosion Proof) Series Products
The EP Series is ATEX certified for use in hazardous environments. Classified facilities such as petrochemical refineries, land and offshore drilling systems are just a few of the applications for this product series.
Product F Features:
* Hazardous area, environmental connector rated IP68
* For use in a zone 1-IIC environment
* Ex d IIA, IIB, IIC-T6, flame and dust proof
* Ratings, Ex d, and Ex de for panel mounting
* Globally recognized for use in explosive atmospheres
* Designed for the roughest industrial applications
* Large coupling sleeve, secured with captive set screws
* Strong machined aluminum construction
* Secure single lead threaded coupling system
* Durable, Scratch resistant black Hardcoat Plating
* Vast family of reversible inserts, for power, signal and mixed applications
* From 1 to 68 contact positions
* Contact sizes for 18, 16, 12, 10, 8, 4, 1/0, 4/0 AWG
* Shell sizes 6, 8, 10. Consult factory for other shell sizes
* Extensive array of hardware & strain relief options
* Custom cable assembly manufacture to support customer application specific designs
Market a applications:
* Offshore Oil Rigs
* Offshore Production Platforms
* Fuel Storage Areas
* Airport Fueling Pits
* Paint Spray Booths
* Paint Storage Areas
* Pharmaceutical Manufacturing Equipment
1 1
2 2
Part Number Code Logic
Certification: Intertek ITS08ATEX15968X • Ex d, Ex de, T6 • Protection Class IP68
Part Number Examples
EP15-4-1610-310PN
Shell size 10 In-line Receptacle with Basketweave Cable Grip, Cable O.D. 0.95", Insert #310 with Normal Key, Crimp Pin Contacts, 37 X 12 Awg
EP13-4-1610-310SN
Shell size 10 Plug with Basketweave Cable Grip, Cable O.D. 0.95", Insert #310 with Normal Key. Crimp Socket Contacts, 37 X 12 Awg
EP13-3-A06-327SN
Shell size 06 Plug with Ex d Gland Size A .3307"/8.4mm O.D. unarmored cable, Insert #327 with Normal Key. Crimp Socket Contacts 3 X 12 Awg
EP17-1-0006-327PN
Shell size 06 Panel Mount Receptacle for Potting, Insert #327 with Normal Key. Crimp Pin Contacts 3 X 12 Awg
Connector Component Overview
Strain Relief Basket
Environmental
Plug Cover
Environmental
Receptacle Cover
Receptacle Shell
In-line or Panelmount
Pin Insert
Subassembly
Plug Shell &
Coupling Nut
Socket Insert
Subassembly
Cable Adapter
Grommet
Washer
Cable Adapter for EEx d Gland
Potting Adapter
Mechanical
Clamp Nut
Gland Nut
EEx d Gland
Assembled Connector Part Number examples:
EP15-2
EP15-4
Black Hardcoated In-Line Receptacle with Environmental Cover & Mechanical Clamp
EP17-1
Black Hardcoated Panel Mount Receptacle for potting with Environmental Cover
Black Hardcoated In-Line Receptacle with Environmental Cover & Basket Weave Grip/Gland Nut
EP13-3 Black Hardcoated Plug with Environmental Cover
and ATEX Gland Nut
3 3
4 4
Explosion P Proof C Connector M Major C Components
The Cadillac EP Series is derived from the Clements CN Series, a UL and CSA certified ruggedized general purpose connector that has earned a reputation for performance and quality in the Industrial and Marine, Oil and Gas Markets. As an outgrowth and variant of Mil-C-5015 threaded connectors the CN Series provides a flexible design for the toughest connector applications. In keeping with the same performance as the CN Series, Clements has introduced the EP Series, offering increased performance and explosion protection in hazardous environments. Clements has certified this connector series for use in a Zone 1, Gas IIC and Dust 21 environments with IP68 environmental sealing characteristics and T6 temperature class.
The connector hardware is manufactured from a machined aluminum alloy with a durable hard anodized black finish. Alternate materials are available upon request by consulting the factory. The black hard anodized finish is scratch resistant and is available in the following shell styles; panel mount receptacle, fixed in-line receptacle, in-line receptacle and plug. The EP Series adds specially designed plug and receptacle shells with protected coupling nut and environmental dust covers for hazardous locations. The same rugged backshell hardware as offered in the CN Series is available; basketweave, mechanical clamp, standard gland nut (potting required) and Ex d approved cable glands. The EP Series backshell hardware offers extended length cable adapters to provide cable protection and ease of assembly of multiple cable terminations. Offered with customizable rubber cable grommets and washers to fit various cable OD's these components provide the added environmental sealing and performance required in hazardous applications. The plug connector coupling is designed for quick mating and unmating with a robust self-cleaning threaded design. Locking is provided on the plug coupling nut with two allen head set screws. The EP Series connector hardware is specially designed for optimum interface length and tolerances to ensure explosion protection as certified in hazardous environments.
Clements offers a versatile, reverse gender, field installable insert system. All inserts can be supplied with alternate polarization to prevent unwanted mateability. This feature is especially useful in applications utilizing multiple connectors of the same configuration. As on our CN Series a comprehensive range of inserts is available to suit wire sizes #18 awg to 4/0 awg in single or multiple or mixed configurations. Clements EP Series insert configurations are listed on pages 9 – 13. Three insert styles are offered; crimp, solder or pressure termination. Contacts are manufactured using high performance copper alloy with standard silver plating and optional gold plating available. Please refer to insert chart on page 9 to determine available insert style. While each of these styles provide a slightly different insert design, all insert types provide water, vapor, moisture and dust resistance. All three styles offer a rugged rigid front dielectric for pin and socket configurations. No matter which EP Series insert you select, the three termination styles offer versatility and serviceability without sacrificing performance.
Plug Assemblies
EP13-2 S Style P Plug w with M Mechanical C Clamp (must be potted)
L
EP13-3 S Style P Plug w with E Ex D D G Gland N Nut
* - L2 dimensions are determined by ATEX gland selection
EP13-4 S Style P Plug w with B Basketweave (must be potted)
5 5
6 6
In-Line Receptacle Assemblies
EP15-2 S Style I In-Line R Receptacle w with M Mechanical C Clamp (must be potted)
EP15-3 S Style I In-Line R Receptacle w with E Ex D D G Gland N Nut
EP15-4 S Style I In-Line R Receptacle w with B Basketweave (must be potted)
Panel Mount & Fixed In-Line Receptacle Assemblies
EP17-1 P Panel M Mount R Receptacle (must be potted)
EP17-2 F Fixed I In-Line R Receptacle w with M Mechanical C Clamp (must be potted)
EP17-3 F Fixed I In-Line R Receptacle w with E Ex d d G Gland N Nut
EP17-4 F Fixed I In-Line R Receptacle w with B Basketweave (must be potted)
7 7
8 8
Insert Configurations
Introduction
Plug and receptacle contact inserts are selected according to requirements for Service Voltage Rating, Number of Contacts, Wire Size and Ampere Rating. Pin or socket inserts are interchangeable in male and female barrels. The EP Line Insert Configuration Listing is used to identify various contact insert arrangements. For the engineer, it provides visual selection of the insert configuration needed to satisfy his requirements. For the end user, the list provides general information useful in the termination of plugs and receptacles. To aid the reader, the insert configurations are presented in numerical order, based on the number of contacts in each.
The male insert illustration shown below (and those on the following pages) is shown as it appears when viewed from the front. Contacts are shown by both physical position within the configuration and by contact number. The contact number corresponds to the contact position shown on the rear face of the insert illustrated as well as to both the front and rear faces of the mating insert. The symbol used to show contact location is indicative of contact size. For example, the contact symbol in this illustration represents a #8 contact. An explanation of contact symbols is presented on each page of the listing. Each drawing also provides data on normal and alternate key positions. Drawings are reduced from actual size of the insert configuration.
Note: Alternate keying or insert polarization is intended to resist improper intermating of plugs and receptacles of like shell sizes and like insert arrangements.
Alternate
Key Positions
Contact
Location
Numbers
Contact
Size Symbol
N N
Service Voltage Rating: A = 240V, B,D & E = 600V
Insert Configurations
| Insert Arrangement | Total Contacts | Crimp | Solder | Pressure | Service Rating | Contact Size Page | | | | | | | | |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| | | | | | | 18 | 16 | 12 | 10 | 8 | 4 | 1/0 | 4/0 | No. |
| CN-06-327 | 3 | X | | | D | | | 3 | | | | | | 10 |
| CN-06-349 | 3 | X | | | D | | | | 3 | | | | | 10 |
| CN-06-314 | 4 | X | | | D | | | | 4 | | | | | 10 |
| CN-06-316 | 4 | X | | | D | | | | 4 | | | | | 10 |
| CN-06-322 | 4 | X | | | D | | | | 4 | | | | | 10 |
| CN-06-22 | 4 | | | X | D | | | | 4 | | | | | - |
| CN-06-333 | 4 | X | | | D | | 4 | | | | | | | 10 |
| CN-08-328 | 4 | X | | | D | | | | | 4 | | | | 10 |
| CN-08-22 | 4 | | X | X | D | | | | | | 4 | | | 10 |
| CN-08-38 | 4 | | X | X | D | | | | | | 4 | | | 10 |
| CN-C10-40 | 4 | | X | X | D | | | | | | | 4 | | 11 |
| CN-C10-42 | 4 | | X | | D | | | | | | | 4 | | 11 |
| CN-C12-26 | 4 | | X | | D | | | | | | | | 4 | 12 |
| CN-C12-38 | 4 | | X | X | D | | | | | | | | 4 | 12 |
| CN-06-324 | 5 | X | | | D | | | 5 | | | | | | 10 |
| CN-06-353 | 5 | X | | | D | | | 5 | | | | | | 10 |
| CN-08-316 | 5 | X | | | D | | | | | 5 | | | | 10 |
| CN-08-375 | 5 | X | | | D | | | | | 5 | | | | 10 |
| CN-10-38 | 5 | | X | | D | | | | | | 5 | | | 11 |
| CN-10-84 | 5 | | X | | D | | | | | | 5 | | | 11 |
| CN-C12-49 | 5 | | | X | E | | | | | | | 5 | | 12 |
| CN-C12-72 | 6 | | X | | D | | | 3 | | | | | 3 | 12 |
| CN-06-310 | 7 | X | | | A | | | 7 | | | | | | 10 |
| CN-06-354 | 7 | X | | | A | | | 7 | | | | | | 10 |
| CN-06-348 | 7 | X | | | A | | 7 | | | | | | | 10 |
| CN-10-359 | 7 | X | | | D | | | | | 7 | | | | 11 |
| CN-C12-353 | 8 | X | | | A/B | | | 4 | | | | 4 | | 12 |
| CN-12-355 | 8 | X | | | D | | | | | | 4 | 4 | | 13 |
| CN-06-355 | 10 | X | | | A | | 10 | | | | | | | 10 |
| CN-06-334 | 10 | X | | | A | | 10 | | | | | | | 10 |
| CN-08-376 | 10 | X | | | D | | | 6 | 4 | | | | | 10 |
| CN-08-381 | 10 | X | | | D | | | 6 | 4 | | | | | 11 |
| CN-10-380 | 10 | X | | | D | | | 6 | | | 4 | | | 11 |
| CN-C12-375 | 10 | X | | | D | | | 6 | | | | 4 | | 13 |
| CN-10-375 | 12 | X | | | D | | | | 12 | | | | | 11 |
| CN-08-325 | 16 | X | | | D | | 16 | | | | | | | 11 |
| CN-08-312 | 19 | X | | | A | | | 19 | | | | | | 11 |
| CN-08-377 | 19 | X | | | A | | | 19 | | | | | | 11 |
| CN-08-355 | 19 | X | | | A | | 19 | | | | | | | 11 |
| CN-10-376 | 19 | X | | | D | | | 19 | | | | | | 11 |
| CN-10-388 | 19 | X | | | D | | | 19 | | | | | | 11 |
| CN-10-332 | 20 | X | | | A | | | 20 | | | | | | 12 |
| CN-10-387 | 20 | X | | | A | | | 20 | | | | | | 12 |
| CN-08-335 | 27 | X | | | A | | 24 | 3 | | | | | | 11 |
| CN-10-374 | 27 | X | | | D/A | | | 25 | | | 2 | | | 12 |
| CN-08-321 | 37 | X | | | A | | 37 | | | | | | | 11 |
| CN-10-350 | 37 | X | | | A | | | 37 | | | | | | 12 |
| CN-10-386 | 37 | X | | | A | | | 37 | | | | | | 12 |
| CN-12-371 | 37 | X | | | D | | 37 | | | | | | | 13 |
| CN-12-352 | 58 | X | | | A | | | 58 | | | | | | 13 |
| CN-12-384 | 58 | X | | | A | | | 58 | | | | | | 13 |
| CN-10-313 | 68 | X | | | A | | 68 | | | | | | | 12 |
9 9
10 10
Insert Configurations (Front view of male insert shown)
See page 9 for complete insert specifications.
Additional insert configurations are available upon request, consult the factory for more information.
Service Voltage Rating: A = 240V, B,D & E = 600V
DDC CO ON NT TA AC CT T T TE ER RM MI IN NA AT TI IO ON N
SO S L O D LDER ER PR PRE ESS S U SURE RE
Insert Configurations (Front view of male insert shown)
See page 9 for complete insert specifications.
Additional insert configurations are available upon request, consult the factory for more information.
Service Voltage Rating: A = 240V, B,D & E = 600V
11 11
12 12
Insert Configurations (Front view of male insert shown)
See page 9 for complete insert specifications.
Additional insert configurations are available upon request, consult the factory for more information.
CN-10-332
20 #12 Contacts
CN-10-387
20 #12 Contacts
CN-10-374
25 #12 & 2 #4 Contacts
CN-10-350 37 #12 Contacts
G GR RO OU UN ND D
Service Voltage Rating: A = 240V, B,D & E = 600V
C CO ON NT TA AC CT T T TE ER RM MI IN NA AT TI IO ON N
SO S L O D LDER ER PR PRE ESS S U SURE RE
Insert Configurations (Front view of male insert shown)
See page 9 for complete insert specifications.
Additional insert configurations are available upon request, consult the factory for more information.
CN-12-355 4 #4 & 4 #1/0 Contacts
G GR RO OU UN N
CN-12-371 37 #16 Contacts
D D
C C
Service Voltage Rating: A = 240V, B,D & E = 600V
MP MP
C CO ON N
S
T TA AC CT T T TE ER RM MI IN NA AT T
OL O D LDER ER PR PRE ESS S
I IO O
U U
N N
RE RE S
S
IIRR
13 13
Cable Grip Components
| Shell Size | Cable Dia. Dimension Min. Max | | Cable Dia. Code No.* | Oil Resistant Rubber Grommets Part No. | Steel Gland Washers Part No. | Basket Weave Grips Nominal Length Part No. Inches | |
|---|---|---|---|---|---|---|---|
| 06 | .062 | .125 | 02 | CN-6306-02C | CN-8006-4E | CN-5006-4E | 3 |
| | .125 | .250 | 04 | CN-6306-04C | CN-8006-4E | CN-5006-4E | 3 |
| | .250 | .375 | 06 | CN-6306-06C | CN-8006-8E | CN-5006-6E | 4 |
| | .375 | .500 | 08 | CN-6306-08C | CN-8006-8E | CN-5006-8E | 5 |
| | .500 | .625 | 10 | CN-6306-10C | CN-8006-12E | CN-5006-10E | 6 |
| | .625 | .750 | 12 | CN-6306-12C | CN-8006-12E | CN-5006-12E | 7 |
| | .750 | .875 | 14 | CN-6306-14C | CN-8006-15E | CN-5006-14E | 7 1⁄ 2 |
| | .875 | .937 | 15 | CN-6306-15C | CN-8006-15E | CN-5006-15E | 8 |
| 08 | .250 | .375 | 06 | CN-6308-06C | CN-8008-8E | CN-5008-6E | 4 |
| | .375 | .500 | 08 | CN-6308-08C | CN-8008-8E | CN-5008-8E | 5 |
| | .500 | .625 | 10 | CN-6308-10C | CN-8008-12E | CN-5008-10E | 6 |
| | .625 | .750 | 12 | CN-6308-12C | CN-8008-12E | CN-5008-12E | 7 |
| | .750 | .875 | 14 | CN-6308-14C | CN-8008-16E | CN-5008-14E | 7 1⁄ 2 |
| | .875 | 1.000 | 16 | CN-6308-16C | CN-8008-16E | CN-5008-16E | 8 1⁄ 2 |
| | 1.000 | 1.125 | 18 | CN-6308-18C | CN-8008-20E | CN-5008-18E | 9 |
| | 1.125 | 1.250 | 20 | CN-6308-20C | CN-8008-20E | CN-5008-20E | 10 |
| | 1.250 | 1.375 | 22 | CN-6308-22C | CN-8008-23E | CN-5008-22E | 10 1⁄ 2 |
| | 1.375 | 1.437 | 23 | CN-6308-23C | CN-8008-23E | CN-5008-23E | 10 1⁄ 2 |
| 10 & C10 | .500 | .625 | 10 | CN-6310-10C | CN-8010-12E | CN-5010-10E | 6 |
| | .625 | .750 | 12 | CN-6310-12C | CN-8010-12E | CN-5010-14E | 7 1⁄ 2 |
| | .750 | .875 | 14 | CN-6310-14C | CN-8010-16E | CN-5010-14E | 7 1⁄ 2 |
| | .875 | 1.000 | 16 | CN-6310-16C | CN-8010-16E | CN-5010-18E | 9 |
| | 1.000 | 1.125 | 18 | CN-6310-18C | CN-8010-20E | CN-5010-18E | 9 |
| | 1.125 | 1.250 | 20 | CN-6310-20C | CN-8010-20E | CN-5010-20E | 10 |
| | 1.250 | 1.375 | 22 | CN-6310-22C | CN-8010-24E | CN-5010-24E | 11 |
| | 1.375 | 1.500 | 24 | CN-6310-24C | CN-8010-24E | CN-5010-24E | 11 |
| | 1.500 | 1.625 | 26 | CN-6310-26C | CN-8010-28E | CN-5010-28E | 13 |
| | 1.625 | 1.750 | 28 | CN-6310-28C | CN-8010-28E | CN-5010-28E | 13 |
| | 1.750 | 1.875 | 30 | CN-6310-30C | CN-8010-31E | CN-5010-31E | 14 1⁄ 2 |
| | 1.875 | 1.937 | 31 | CN-6310-31C | CN-8010-31E | CN-5010-31E | 14 1⁄ 2 |
| 12 & C12 | .875 | 1.000 | 16 | CN-6312-16C | CN-8012-16E | CN-5012-16E | 8 1⁄ 2 |
| | 1.000 | 1.125 | 18 | CN-6312-18C | CN-8012-20E | CN-5012-20E | 10 |
| | 1.125 | 1.250 | 20 | CN-6312-20C | CN-8012-20E | CN-5012-20E | 10 |
| | 1.250 | 1.375 | 22 | CN-6312-22C | CN-8012-24E | CN-5012-24E | 11 |
| | 1.375 | 1.500 | 24 | CN-6312-24C | CN-8012-24E | CN-5012-24E | 11 |
| | 1.500 | 1.625 | 26 | CN-6312-26C | CN-8012-28E | CN-5012-28E | 13 |
| | 1.625 | 1.750 | 28 | CN-6312-28C | CN-8012-28E | CN-5012-28E | 13 |
| | 1.750 | 1.875 | 30 | CN-6312-30C | CN-8012-32E | CN-5012-32E | 15 |
| | 1.875 | 2.000 | 32 | CN-6312-32C | CN-8012-32E | CN-5012-32E | 15 |
| | 2.000 | 2.125 | 34 | CN-6312-34C | CN-8012-36E | CN-5012-36E | 16 |
| | 2.125 | 2.250 | 36 | CN-6312-36C | CN-8012-36E | CN-5012-36E | 16 |
| | 2.250 | 2.375 | 38 | CN-6312-38C | CN-8012-39E | CN-5012-39E | 17 1⁄ 2 |
| | 2.375 | 2.437 | 39 | CN-6312-39C | CN-8012-39E | CN-5012-39E | 17 1⁄ 2 |
14 14
Nominal
Length
Ex d Gland Size and Cable Types
Clements National offers a variety of explosion proof cable glands to support our EP Series Connectors. Various gland selections are available for Unarmored Cable, Armored and Sheathed Cable and Armored and Sheathed with Reduced Bore. All glands are certified for use in hazardous locations and feature elastomeric or compound barrier seals.
| Ex d Cable Gland | Unarmored Cable No deviation if | | Armored & Sheathed Cable - BS | | | | |
|---|---|---|---|---|---|---|---|
| Size Code | Unarmored Min. Max. | | UA Min. Max. | | Standard Min. Max. | | |
| A1 (16) | .1338 (3.4) | .3307 (8.4) | .1339 (3.4) | .3307 (8.4) | .3543 (9.0) | .5315 (13.5) | .2638 (6.7) |
| A2 (20s) | .2835 (7.2) | .4606 (11.7) | .2835 (7.2) | .4606 (11.7) | .4528 (11.5) | .6299 (16.0) | .3701 (9.4) |
| A (20) | .3700 (9.4) | .5512 (14.0) | .3700 (9.4) | .5512 (14.0) | .6102 (15.5) | .8307 (21.1) | .4724 (12.0) |
| B (25) | .5315 (13.5) | .7874 (20.0) | .5315 (13.5) | .7874 (20.0) | .7992 (20.3) | 1.079 (27.4) | .6614 (16.8) |
| C (32) | .7677 (19.5) | 1.035 (26.3) | .7677 (19.5) | 1.035 (26.3) | 1.051 (26.7) | 1.339 (34.0) | .9134 (23.2) |
| C2 (40) | .9055 (23.0) | 1.268 (32.2) | .9055 (23.0) | 1.268 (32.2) | 1.299 (33.0) | 1.598 (40.6) | 1.126 (28.6) |
| D (50s) | 1.106 (28.1) | 1.504 (38.2) | 1.106 (28.1) | 1.504 (38.2) | 1.551 (39.4) | 1.839 (46.7) | 1.370 (34.8) |
| D2 (50) | 1.303 (33.1) | 1.736 (44.1) | 1.303 (33.1) | 1.736 (44.1) | 1.799 (45.7) | 2.094 (53.2) | 1.618 (41.1) |
| E (63s) | 1.543 (39.2) | 1.972 (50.1) | 1.543 (39.2) | 1.969 (50.0) | 2.051 (52.1) | 2.343 (59.5) | 1.870 (47.5) |
Consult factory for other sizes and styles
Clements EX d Cable Glands are offered in different styles and functions to suit your specific cable application. It's always good practice to follow some basic gland selection guidelines:
* Determine cable overall diameter
* Determine type of cable; unarmored, armored or armored and sheathed
* Determine type of armor and thickness where applicable
* Determine inner cable bundle diameter if applicable
* Determine cable gland size
* Determine any access limitations or space restrictions
* Determine environmental conditions and level of protection
15 15
16 16
Contact Crimping and Insertion/Removal Tools
Full C Cycle C Crimp T Tool
TC-CN-M309
This tool is a full cycle crimp tool for crimping Clements crimp contact sizes #10 AWG through #16 AWG.
(to b be u used w with f following l locator d dies T TC-CN-XX-20L)
Locator D Dies f for T TC-CN-M309 C Crimp T Tool
TC-CN-10-20L
Locator die for #10 AWG pin/socket crimp contacts
TC-CN-12-20L
Locator die for #12 AWG pin/socket crimp contacts
TC-CN-16-20L
Locator die for #16 AWG pin/socket crimp contacts
Insertion T Tool f for P Pin/Socket C Crimp C Contacts
TI-10
Insertion tool for #10 AWG pin/socket crimp contact.
TI-12
Insertion tool for #12 AWG pin/socket crimp contact.
TI-16
Insertion tool for #16 AWG pin/socket crimp contact.
Removal T Tool f for P Pin C Crimp C Contacts
TEP-LG
Removal tool for #8, #10 and #12 AWG pin crimp contact.
TEP-SM
Removal tool for #16 AWG pin crimp contact.
Removal T Tool f for C Crimp S Socket C Contacts
TES-10
Removal tool for #10 socket crimp contact.
TES-12
Removal tool for #12 socket crimp contact.
TES-16
Removal tool for #16 socket crimp contact.
Note: To order complete insertion/removal tool kits per contact size use the following part numbers:
T TC CN N- -1 10 0(#10 AWG),T TC CN N- -1 12 2(#12 AWG),T TC CN N- -1 16 6(#16 AWG).
Consult the factory for availability of crimping tools for other wire size contacts.
General Assembly Instructions and Precautions
1. Read assembly instructions before actually starting to assemble connectors to identify the various component parts, and to check for any missing parts.
2. Cut cable jacket and sheathing squarely and to correct length, using wire strippers that have been approved for the operation. In preparing the individual wires in cables and harnesses for assembly, make allowances in length for reaching the outer most circle of contact cavities in the conductors. The insulation should be cut progressively longer as they extend out from the center of the cable or harness to assure sufficient length.
3. Follow the Contact Rating/Dimensions Table covering maximum cable stripping lengths for effective cable gland sealing. All conductors should be fit into contact wire wells correctly. A practice layout should be done so that an assembler can oversee what the finished termination will look like.
a. Crimping and terminating of conductors to contacts must be done carefully. Make certain that all wire strands are fully bottomed in contact wells by checking through inspection hole provided.
b. When contacts are to be soldered, avoid direct contact of soldering tools to inserts. An open flame or hot soldering tip can carbonize insulating materials and make them useless.
c. Soldering conductors to contacts must be done carefully and a non-conductive flux should be used to avoid corrosion or hygroscopic action. Do not use solder salts or acids, because they may affect the dielectric properties of insulation materials.
4. Before starting actual termination of wires, it is essential that cables and harnesses be laid out in a specific order in accordance with the wiring diagram. Proper layout will eliminate the need for twisting and crossover of conductors. If the wiring layout is not correct, the termination operation will be difficult or even impossible and the chances for making errors will be increased. Cable and harness assemblies having a spiral layout must also be matched carefully to the correct contacts in both the male and female inserts.
5. Some cables that will be used will have a "basket weave" type of armor under the outer jacket (sheath) and over the inner jacket. Since many regulatory entities require that the armor be grounded at least at the source end, it is beneficial to ground the armor via a spare contact within the connector. Follow the removal of sufficient amount of armor can be clipped away, but not all. An adequate amount should remain in order that a small cross-section conductor, short in length, be woven into the remaining armor weave and either soldered or covered with mastic impregnated heat shrink, creating an intimate bond to the armor. At the opposite end of the short piece of wire a contact should be crimped and inserted into the insert.
6. Use only correctly sized and provided Exd glands to assure resistance to moisture and other contaminates. Use only correct size sealing grommets to assure resistance to moisture and other contaminants. Make certain that the cable jacket is smooth where a grommet is to seal. Remove any grooves or ridges if present by sanding or scarfing.
7. Use only the proper crimping tools that have been set or calibrated with precision gages. See Crimping and Insertion/Removal Tools page.
8. Make certain that all contacts are the correct size before attempting to assemble in insert cavities. This point is particularly important when both power and control types of contacts are used in the same connector.
9. Be sure that ground contacts are correctly located.
10. Seat all contacts properly so that they will not be damaged or become disengaged during connector mating operation.
11. Use only the proper insertion tools and be sure that they are aligned axially when pushing contact into their fully seated position. See Crimping and Insertion/Removal Tools page.
12. When inserts have more cavities then the conductors, plug unused cavities with furnished contacts.
13. After all terminated contacts are inserted in their respective cavities and inspected, the cable adapter or insert clamp nut should be tightened with a wrench. This assembly operation should be done by placing the components in a vise with smooth-faced jaws and using a strap wrench.
14. When handling cables, use adequate support to prevent damage to the internal wires. Exd glands are intended for sealing purposes and should not be used as a cable grip.
15. If for any reason terminated conductors have to be removed from an insert because of any assembly error or change in circuitry, be sure to remove the cable clamp or insert clamp nut first before extracting the contact and reinserting it. This step is important because any attempt to remove the contacts when the resilient insulator components are compressed will result in damage.
16. If one of the connector poles is a ground wire, make sure that it is grounded properly before the connector actually is engaged.
17. When connectors using the same configuration are mounted close together, different or alternate key arrangements should be used to prevent mismatching and possible damage to the electrical system.
17 17
18 18
18. Always inspect all aspects of a connector before actual operation. It is recommended that normal DWV and IR tests be performed on assemblies before using.
19. Never try to straighten bent contacts. Straightening cannot be done properly and the plating on contacts very likely will be marred. This will result in a high resistance connection and will expose the base material to possible corrosion.
20. A careful review should be made of the mixing instructions that follow. Potting of the connector where required should be the very last step the assembler does prior to fastening down the grommet and nut on the cable adapter. 'Ringing' out of the contacts with their mate should be done prior to potting. Review the mixing instructions for potting compound carefully.
21. When potting connectors, be sure to apply potting only in mated condition to assure that contacts will align properly.
22. Each assembly operator should be his own inspector. Worn, damaged, or defective tools should be reported immediately to foreman and supervisors. Assembly operators should be indoctrinated with this attitude and made to understand the importance of always guarding quality. Assembly workmanship is a significant factor in assuring the quality of multiple contact connectors. Quality cannot be "inspected" into connectors; it must be "built-in" during each and every assembly operation
23. Do not attempt to remove inserts that are bonded or locked in place in their shells.
24. Be certain that all components or connectors are assembled. Each part performs a vital function and it would not be included if it wasn't useful.
25. The equipment may be used with flammable gases and vapors with apparatus group(s) IIA, IIB, & IIC and with temperature classes T6.
26. The equipment is only certified for use in ambient temperatures in the range -20°C to +40°C and should not be used outside this range.
INSTALLATION, I INSPECTION, M MAINTENANCE a and REPAIR
Installation s shall b be c carried o out b by s suitably-trained p personnel i in a accordance w with t the E European s standards a and local c code o of p practice.
It i is t the e end u user's r responsibility t to e ensure t that t the product, a as s specified a and c confirmed b by t the p product label, i is s suitable f for i its i intended a application.
Inspection a and m maintenance o of t this e equipment s shall b be carried o out b by s suitably t trained p personnel i in a accordance with t the E European s standards a and l local c code o of p practice.
Repair o of t this e equipment s shall b be c carried o out b by s suitably trained p personnel i in a accordance w with t the E European standards a and l local c code o of p practice.
The c certification o of t this e equipment r relies u upon t the following m materials u used i in i its c construction:
Connector Material: ASTM B211 or B221 6061-T6 Aluminum O-ring Seal Material: Buna Rubber and Neoprene with Durometer of 60 SHORE A
Potting Compound: 3M Scotchcast Resin4.
If the equipment is likely to come into contact with aggressive substances, then it is the responsibility of the user to take suitable precautions that prevent it from being adversely affected, thus ensuring that the type of protection provided by the equipment is not compromised.
Aggressive substances: e.g. acidic liquids or gases that may attack metals, or solvents that may affect polymeric materials.
Suitable precautions: e.g. regular checks as part of routine inspections should be established looking for corrosion and exposure to aggressive substances.
SPECIAL C CONDITIONS F FOR S SAFE U USE:
The "X" suffix to the certificate number relates to the following special conditions(s) for safe use:
1. For plugs and receptacles that use certified cable glands, the gland must have a temperature range at their point of mounting between -20°C to 85°C.
2. Cables fitted to the plugs and receptacles shall be suitable for continuous operating temperature of at least 90°C.
3. Plugs are not permitted to remain energized when not engaged to the receptacles as per EN 60079-0; clause 20.2 (See #4)
4. An explosion proof environmental cap must be fitted to the receptacles or plugs to be re-energized when they are not mated. (See #3)
5. If the connector does not incorporate an external earth/ground facility. It is the responsibility of the user or installer to ensure adequate internal earth/ground continuity by means of terminating ground wire to spare contact within the insert patterns for both plug and receptacles to allow for continuity.
6. The panel mount receptacles shall only be used where the temperature at the point of entry in service on the associated enclosure is between -20°C to 90°C.
Contact P Preparation I Instructions
Crimp Tools:
See Tool Page for choice of turret head and selection setting according to contact size, part number and wire gage size.
Setting Up and Operation: Consult Tool Manufacturer
Contact R Ratings/Dimensions
Wire Well Dimensions - All Min. in inches (mm)
* - Includes wire inspection holes.
** - Maximum conductor ampacities must be calculated according to the specific insert selected and NEC Paragraph 310.15 and Table 310.16 so not to exceed the T6, 85°C connector shell rating.
*** - Maximum ampacity shall be calculated using 75°C ampacity values, compensated by the bundling factor as well as adjustment to 40°C ambient. Conductor insulation used in these applications shall be greater than 85°C.
Design Considerations - Note that the establishment of electrical factors such as overload protection is left entirely in the designer's hands since he is in the best position to know what voltage, switching surges, transients, etc, can be expected in a particular circuit.
Connector A Assembly I Instructions
Assembling In-Line Plug and In-Line Receptacle Connectors
1. Slide the specified components onto the cable about 12", threaded end last.
a. When specified, slide the cable mechanical strain relief nut, grommet washer and grommet onto the cable.
b. When specified, slide the required Atex gland (threaded end last) onto the cable.
2. Slide the Cable Adapter onto the cable, up to the EX Gland, large diameter first.
3. Slide the Coupling nut onto the cable, up to the Cable Adapter, Grub Screw end first when required.
4. Group all conductors according to size to facilitate orderly termination.
5. Working on one conductor at a time, strip the insulation off per the wire stripping length given in Figure 1 and terminate a contact to it, using a properly adjusted crimp tool, following crimp instruction found in Contact Preparation Instructions. Repeat the process for each conductor. Populate the insert with contacts by poking each of the wired contacts into its respective insert cavity following an electrical schematic or the system you are wiring.
6. For Plug Assemblies, make sure the Grub Screws are fully retracted then slide the Coupling Nut up onto the plug shell until seated against it's mating shoulder.
7. Thread the Cable Adapter onto the plug shell, and hand tighten.
8. Thread the EX Gland onto the Cable adapter, and hand tighten.
9. Using a strap wrench, fully tighten the cable adapter onto the plug shell.
10a. For Ex Gland Assemblies: Position the cable correctly. Using a hex wrench, tighten the Ex Gland. The seal must grip the outer jacket of the cable when the cable gland is tightened. Tighten Back Nut (or Conduit Receptor) to Entry Body. Ensure seal makes full contact with cable sheath. Tighten an extra 1-1/2 turns (up to 2-1/2 turns for minimum cable).
10b. For mechanical and Basket Weave Assemblies: Follow potting instructions prior to installation of grommet and mechanical clamp or basket weave hardware.
Wire Preparation and Crimping:
Strip wire to required length. See Contact rating and dimensions table below . When using hot wire stripping do not wipe melted insulation material on wire strands; with mechanical strippers do not cut or nick strands.
19 19
20 20
Connector M Mating I Instructions:
CAUTION: Make sure power has been turned off from the connectors before mating and un-mating.
:
Mating:
1. Turn power off, then remove environmental covers from their respective connectors, make sure to retract the locking grub screws to prevent thread damage.
2. Mating, insert the plug into the receptacle by hand, then draw up the coupling nut by hand, using strap wrench fully tighten coupling nut to affect environmental seals. Tighten locking grub screws. Inspect work. Turn power on.
Unmating:
1. Turn power off, loosen locking grub screws, using strap wrench, loosen coupling nut fully. Remove plug from receptacle by hand.
2. Install respective environmental covers tighten with strap wrench and lock in place by using grub screws. Inspect work before turning power on.
Preparing a a B Bulkhead R Receptacle C Connector f for Enclosure M Mounting.
1. Slide the Bulkhead Adapter onto the cable, or conductor group; knurled end first.
2. Terminate each conductor with it's proper contact.
3. Populate the insert with contacts by poking each of the wired contacts into it's respective insert cavity, following an electrical schematic for the system you are wiring.
4. Slide the bulkhead adapter back down the conductors, and screw it onto the panel mount receptacle.
5. Use a strap wrench to tighten the bulkhead adapter until fully tightened to shoulder.
6. Referring to potting instructions, stand the assembly vertical, conductors pointing up, and fill the adapter with cement to a level 1/16" below the top of the adapter. After curing, this assembly is now permanently cemented, nonseparable and non-repairable, and can be mounted to the bulkhead.
7. It is best to fit the connector to the bulkhead at a time when the free end of the cable is not terminated to the electrical system. If this is not possible, then it is necessary to rotate the connector assembly counter-clockwise to wind the cable/conductors so that when the assembly is threaded into a bulkhead in the subsequent instruction, the cable/conductors regain their most natural position, once the connector is mounted to the bulkhead. (Rotations required to be determined by end-user).
8. Thread the receptacle assembly into the bulkhead until the seal touches down, then tighten it by the smallest fraction of a revolution to the first instance that the mounting holes line up with the threaded enclosure holes.
9. Position the protective covers' lanyard tab over one of the mounting holes and screw a fastener through it. Apply the remaining fasteners to the other three holes with torque suit¬able for screw size used.
10. Install the protective cover and tighten fully.
11. Secure both grub screws to prevent unauthorized removal.
Potting I Instructions
All cable adapters, other than ones suited for mating with an EX-certified gland, must be filled with encapsulate (potted). The material certified for use in filling this connector line is 3M Scotchcast Resin 4.
The user or installer shall consider the performance of these materials with regard to attack by aggressive substances that may be present in the hazardous area.
This material is a two-component casting system with a 1:1 volumetric mix ratio. Typical cure times at 70°F (21ºC) are 1-2 hours and at 50ºF (10ºC) 4-8 hrs.
The product is available in pre-measured "mix & dispense" packaging. Potting material should be warmed to at least 60°F (16ºC). Follow the instructions on the package for mixing and pouring.
More information is available by contacting the following authorized suppliers:
Eastern Connector Specialty Corp y
New Milford, CT 06776
566 Danbury Rd
Toll Free:
1-877-788-0888
Direct:
1-860-355-8100
Fax:
1-860-350-5411
E-mail:
email@example.com
www.easternconnector.com
Bulkhead A Adapter
Bulkhead adapters should be filled to a maximum of 1/16" below the top of the adapter. Care must be exercised so that the potting compound does not contaminate the bulkhead threads, or spill onto the outer surfaces of the receptacle flange.
In preparation for potting, the receptacle is to be mated to it's corresponding plug, so that all contacts are mated and in their optimal post-potted position. When potting, the receptacle flange should be rigidly fixtured in a horizontal position. This fixture must be capable of holding the mated connector pair in that position for a minimum of 2 hours at room temperature. The exiting conductor/cable should be fixtured inline above the connector pair, during the entire curing process.
Mixing/Potting I Instructions
1. C CAUTION: W Wear g goggles o or o other e eye p protection during a all o operations. D Do n not u use p potting m material t that is 2 2 y years b beyond t the m manufacturing d date m marked o on the p package.
3. Lay the bag on a flat surface. Choosing either end of the bag that is parallel to the burst seal, start coiling/rolling the bag so that the compound in that half of the bag is pushed up against the burst seal.
4. Squeeze and apply pressure to the rolled side of the bag so that the compound bursts through the burst seal and joins the compound on the other side of the bag. Unroll the bag.
5. Mix the entire contents of the bag, by alternately squeezing the bag, and working the bag across the edge of a table, to fully move the entire contents of the bag, back and forth, between chambers. Work the material in this manner, constantly, for a minimum of 4 minutes.
6. Once mixed, squeeze all the contents away from one corner of the bag. fully clearing that corner of the bag of all compound.
7. Make a 3/16" pouring spout by snipping off the bags cleared corner.
8. To minimize air entrapment, slowly pour the compound into the back end of the bulkhead adapter.
2. The potting compound is premeasured in "burst bag" packaging. This packaging consists of a single plastic bag that is compartmentalized into two chambers, each containing one part of the two part compound. The segregating feature is called a burst seal.
9. Set the bag containing the remaining compound aside, so that it may cure. After cure, the bag may be disposed of safely, along with common consumer refuse. CAUTION: As the remaining compound cures, the bag will become hot.
Labeling and Marking
This product complies with the following standards:
Information below must be attached to connectors with a non-removable label:
DO NOT SEPARATE WHEN ENERGIZED
Clements National, Chicago, IL 60638, USA
Explosion Proof Line
IIGD Ex d IIC T6 IP68 or IP68 IIGD Ex td A21 (for In-Line Plugs
and Receptacles)
IIGD Ex de IIC T6 IP68 or IP68 IIGD Ex td A21 (for Panel Mount
Receptacles filled with cement)
(Tamb = -20° C to + 40° C)
Part Number, Serial Number
Intertek ITES08ATEX15968X
EN 60079-0:2006 General requirements for electrical apparatus for explosive gas atmospheres.
EN 60079-1:2007 Electrical apparatus for explosive gas atmospheres - Part 1: Flameproof enclosures "d" (Plus Cor 1) (IEC 60079-1:2003)
EN 60079-7:2003 Electrical apparatus for explosive gas atmospheres - Part 7: Increased safety "e" (IEC 60079-7:2001)
EN 61241-0:2006 General requirements for electrical apparatus for use in the presence of combustible dust
EN 61241-1:2004 Electrical apparatus for use in the presence of combustible dust. Protection by enclosures "tD"
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LA SALLE COLLEGE
elagram
D
elagram
27 August 2010 Delagram 12
OPENING OF OUR NEW FACILITIES
IN THIS ISSUE
2 From the Senior Leadership Team FOLSC Counsellors Corner
3 Year 12s
4/5 Commitment to Excellence Art Exhibition Raffle Tickets All Parents & Students Student Representative Council
6 Sport
Click On
7 Local Parish Information
8 Calendar & Canteen Roster Week 7 & 8 Community News
5 La Salle Avenue MIDDLE SWAN WA 6056
PO Box 1674 MIDLAND WA 6936
(08) 9274 6266 ph
(08) 9274 4085 fax firstname.lastname@example.org
www.lasalle.wa.edu.au
St John Baptist de La Salle
STAFFING APPOINTMENTS
The recent opening of our new facilities was a wonderful celebration for our College. I would like to express my thanks to Monsignor Kevin Long, Rector of St Charles' Seminary, and Ron Dullard, Director of Catholic Education for their role in blessing and officially opening the Patricia Rodrigues Centre, the Fr Laurence Murphy SDS Senior Learning Centre and the Michael Ciccarelli Lecture Theatre. It is very special that Fr Laurence, Patricia and Michael and their families were able to join with us on this special occasion. I would like to acknowledge the great work of Michael Pepper, Sabrina Lynsdale, Shari Outram and her Canteen Staff, Alicia Keating and the SRC, and staff from the Arts Learning Area. Our student performers were outstanding!
DRAFT STRATEGIC PLAN
Our draft of our Strategic Plan 2011 - 2015 has been circulated among staff for their input. Parents will shortly have an opportunity to make comments on our plan. I would hope that the College Board will be able to endorse the final plan by the commencement of Term 4.
BOARDING 2011
Following the closure of Swanleigh Residential Facility, the Catholic Education Commission has approved the College's application to operate a limited boarding facility from 2011:
"Subject to financial viability, approval be given for a change of structure at La Salle College to operate a limited boarding facility from the commencement of 2011. The facility is to accommodate no more than 40 students. The boarding school body will comprise students from Balgo Hills in the East Kimberley and those with Aboriginal Scholarships from the Pilbara as well as those families who have traditional connections with Swanleigh and the College."
The Senior Leadership Team will now proceed to the implementation phase of this project. I will be writing to the parents of our boarders shortly to reassure them of our commitment to their sons and daughters and outline our plans for 2011.
The following staff members have been appointed to leadership positions in 2011:
Colleen Wheeler Learning Area Coordinator English and Languages
Shellie Rodriguez Learning Area Coordinator The Arts
Jaimee Dawson Learning Area Coordinator Health and Physical Education
Congratulations to Colleen, Shellie and Jaimee. I look forward to working with them into the future to provide the very best learning opportunities for our students.
YEAR 11 RETREATS
Our Year 11 students have been on their annual retreat this week. This has been an important time for our Year 11s as they have taken time out to consider their relations with God and each other.
HALL OF EXCELLENCE INDUCTION
On Friday 3 September eight new members will be inducted into the College's Hall of Excellence. This is an important occasion for the College to celebrate the outstanding achievements of our former students. Our current members of the Hall of Excellence will join with the Board and Senior Leadership Team to acknowledge our new inductees. Full details will appear in the next Delagram.
Mr Wayne Bull
Principal
Fortnightly newsletter
Mr Michael Pepper Assistant Principal
Ms Shannon Steven School Counsellor (Psychologist)
INTER-HOUSE DANCE COMPETITION PERTH CONCERT HALL 7:00pm Sunday 19 September
The Inter-House Dance Competition which is always a great night of entertainment for families and it is now just over three weeks away. Each of the seven Houses will be presenting their entry at the Perth Concert Hall commencing at 7:00pm on Sunday 19 September.
The event gives students the opportunity to express their creativity by telling a story through dance and music. All families of the College are encouraged to come and support your son/daughters House in this exciting event. Each entry is of a very high standard due to the dedication and hard work of the many talented students and staff in each House. The night will also include support acts by our very talented singers and musicians.
A ticket order form is included with this Delagram. Please book and pay for your tickets by Tuesday 14 September.
HOW TO UNDERSTAND YOUR TEENAGER PARENT INFORMATION EVENING WITH SPECIAL GUEST JADE LEWIS
Monday 6 September @ 7:00 pm
The Friends of La Salle College (FOLSC) have organised a parent information evening with Jade Lewis. Jade's informative talk will provide parents with strategies that could assist in discussing how to lead teenagers into a drug and alcohol problem free life.
This presentation links closely to the Health Education Course through the topic of Drug Education. The presentation has been organised for Monday 6 September starting at 7:00pm in the Nicolas Barre Auditorium, here at the College. Further details and a return reply slip are available in the letter distributed to students earlier this week.
Mark Musarra & Geoff Enkel (on behalf of FOLSC)
Mr Michael Pepper Assistant Principal
Many students struggle with their body clock and have difficulty in getting to sleep. Here are some tips to help ease the process and assist with getting as much sleep as possible.
Establish a regular routine before going to bed. This helps to let the brain and body know what is about to happen and brains/bodies respond well to such pre-sleep routines.
Use your bed for sleeping, don't do homework or watch TV in bed.
Have you done some light exercise today? Think about taking a walk in the afternoon.
Make sure your diet is good. Try to not eat too late or too early in the evening.
Go to bed and get up at the same time each day.
Avoid sleeping in too much on the weekend.
Avoid taking a nap during the day as much as possible or if you have to, make sure that it is less than half an hour. Have a power nap instead.
Drink less coffee and tea or other stimulants.
Darken or dim your lights at night to stimulate sleep.
Do some relaxation exercises before bed.
If you can't get to sleep after 30 minutes consistently, do something for 10-20 minutes outside your bedroom and then try again. Don't stress if you can't sleep. Don't think about how early you have to get up or the things you have to do tomorrow. Turn your brain off!
Think positive helpful thoughts about sleeping.
Ms Shannon Steven- School Counsellor (Psychologist)
Ms Beth Maas- School Counsellor (Social Worker)
Ms Marie Noble Academic Excellence Coordinator
Ms Belinda Sewell La Salle House Coordinator
Mr Stephen Cernoch Accounting Teacher
Ms Lindy Reger Applied Information Technology Teacher
PRACTICE MOCK EXAMINATIONS
In order to continue our support of all Year 12 students, and as mentioned at the Year 12 WACE Information evening held on Monday 26 July, La Salle College has organised practice 'Mock Exams' for Year 12 students.
Practice Mock Exams will be conducted under strict exam conditions for the following courses/units on the dates below:
Course: English 2C/D th Date: Sunday 29 August
Time: 1.00-4.10 pm
Venue: SLC
Course: English 3A/B
th
Date: Sunday 29 August
Time: 1.00-3.10 pm
Venue: SLC
Course: Mathematics 2C/D th Date: Sunday 5 September
Time: 1.00-4.10 pm
Venue: SLC
Course: Mathematics 3A/B
th
Date: Sunday 5 September
Time: 1.00-4.10 pm
Venue: SLC
Course: Mathematics 3C/D th Date: Sunday 5 September
Time: 1.00-4.10 pm
Venue: SLC
In addition to this schedule, all students studying English 3A/B were required to attend a compulsory 'Reading Comprehension' assessment on Wednesday 25 August after school from 3:30 - 4:40 pm in the SLC. This was compulsory for all year 12 English 3A/B students as it is part of their school assessment.
Students studying these courses have been strongly encouraged to attend on these dates as a preparation for their Semester 2 school exams and the WACE exams to be held in November.
For the Mathematics exams students are required to bring along their 2 A4 unfolded sheets of notes (notes on both sides) as well as their Classpad calculator. Should students require help or checking of notes please see Ms Noble or Ms Mohen.
All exams will be marked externally and feedback given to students prior to the end of term.
Ms Marie Noble
Academic Excellence Coordinator
LA SALLE HOUSE YEAR 12 FAREWELL
On behalf of La Salle House I would like to invite all parents of students in Year 12 to attend their House Farewell and Lunch.
Date:
Wednesday 8 September 2010
Time:
12:15 pm
Location:
Michael Ciccarelli Lecture Theatre
(Senior Learning Centre)
RSVP:
email@example.com
Ms Belinda Sewell
La Salle House Coordinator
THE CURTIN ACCOUNTING EXPERIENCE
Since 2002 La Salle College has offered keen Year 12 Accounting students the opportunity to participate in the Curtin Accounting Experience. This programme, run in partnership with international accounting firm Price Waterhouse Coopers, gives students the opportunity to learn practical aspects of accounting. The focus is on immersing students in real business situations. This year Jessica Gill travelled to Curtin University to attend a 3 hour evening seminar over an 11 week period. Jessica had three assessments to complete including a final examination. Jessica is to be congratulated on successfully completing the programme which results in her gaining credit for the first year Accounting unit at Curtin University.
On 24 August Jessica and her family attended the presentation ceremony and received a certificate for completing the Curtin Accounting Experience. An entertaining talk from programme patron Denis Horgan, founder of Leeuwin Estate Winery, gave an insight into how the Accounting profession can be a launch pad into the world of business.
Jessica has also been busy seeking out opportunities for next year. A number of Chartered Accounting firms offer traineeships to school leavers. This allows students to work part-time whilst studying for their university degree. Jessica is to be congratulated on achieving a traineeship for next year with BM&Y, a firm of Chartered Accountants based in Subiaco.
Well done Jessica on showing real dedication and initiative in getting a wonderful head start to your career in business.
Mr Stephen Cernoch Accounting Teacher
SHARED TEACHING EXPERIENCE
Collaborative teaching certainly benefited the Year 12 Applied Information Technology Stage 2 students at La Salle and Chisholm Colleges last week. Students were provided with an opportunity to attend a revision lecture for the upcoming school-based and WACE examinations. La Salle College students extend their sincere thanks to Mr Mike Burgermeister, Head of Business and Information Technology at Chisholm College, for his informative lecture on the topic of networking.
Ms Lindy Reger Applied Information Technology Teacher
Mr Alfiero Cardona Liturgy Coordinator
Ms Sabrina Lynsdale Executive Assistant (Marketing & Public Relations)
CYBER SAFETY TIP
before you post! Would you want your teacher or parent or employer to see what you have just written? Also consider your electronic foot print. What will come up about you when a potential employer 'googles' your name? THINK
FATHER'S DAY MASS FRIDAY 3 SEPTEMBER
It is our pleasure to invite you to a special Mass in the St John Baptist Chapel on Friday 3 September to celebrate Father's Day around the table of our Lord.
Fatherhood is a special gift. Jesus Himself asked his disciples to call God Abba or Father. We thus turn to Him to understand how to live this vocation and thank Him for blessing us and entrusting us with these beautiful children.
We will be celebrating Mass between 7:30 am - 8:00 am. We will then meet in the Nicolas Barre Auditorium foyer for a cup of tea/coffee and some pastries.
Please RSVP to Sabrina Lynsdale by phone or email by Tuesday 31 August. firstname.lastname@example.org
I look forward to seeing you.
Mr Alfiero Cardona Liturgy Coordinator
GIVE DAD THE FATHER'S DAY CARD HE WILL USE ALL YEAR!
Looking for a gift to last the whole year through? Buy Dad the new 2010/2011 Entertainment Book. The College has only 15 books remaining for immediate collection in time for Father's Day. Each Entertainment Book includes an Entertainment Gold Card that is valid for incredible offers from fine restaurants and hotels, and the book is filled with 25% to 50% off and 2 for 1 offers on almost everything else you can imagine…..family dining to sporting events, theatres to special attractions, travel and more! Please call or come to the College to purchase your book.
Ms Sabrina Lynsdale Executive Assistant (Marketing & Public Relations)
NAIDOC 2010
At our assembly on Wednesday 18 August, the College celebrated NAIDOC. NAIDOC originally stood for the National Aboriginal and Islander Day Observance Committee. Its origins can be traced to the emergence of Aboriginal groups in the 1920s. The groups sought to increase awareness in the wider community of the status and treatment of Indigenous Australians. Most Aboriginal people have a family connection to the stolen generations and this past wrong still lingers in their culture.
The NAIDOC theme was 'Unsung heroes- Closing the Gap by Leading Their Way' I think it's important that we remember the Aboriginal elders in our local community, the wider community and Australia wide. Elders are important people in maintaining the Aboriginal culture, particularly the dream time stories and legends and most importantly the language.
At La Salle we are lucky to have a number of different Aboriginal cultures present in our student body. We have students from Punmu, Port Headland, Newman, Broome, Cygnet Bay, Balgo Hills, Mulan and of course Perth with our local Nyoongar students. These students add an element of culture to La Salle which cannot be matched.
NAIDOC is about reconciliation; On 13 February 2008, the then newly elected Prime Minister, Kevin Rudd honoured his campaign promise to apologise to the Indigenous peoples of Australia. He particularly focussed on the stolen generations but also apologised for governments wrong doings in working with Aboriginal peoples of the past.
Mr Darren Perrett Christian ServiceLearning Coordinator & Aboriginal Student Coordinator
Ms Sabrina Lynsdale Executive Assistant (Marketing & Public Relations)
Ms Alicia Keating Student Representative Council Coordinator
At our last assembly we celebrated this special event in a combination of different performances. The Kulbari Dance Group performed three dances for our students, the Kangaroo dance, the Emu dance and the spirit dance. These fine young men represented their culture in a very traditional and impressive way. From the traditional dances of the past we then had a contemporary Aboriginal performance with a hip hop star in the making named Knowledge Bones. He grew up in the local Midland area and really captured the spirit of NAIDOC with his three song performances. Knowledge Bones has an album coming out soon so keep your eye out for it as he is definitely a star in the making! Knowledge Bones really astounded our school community with his rap skills but had a great presence on stage. Thanks to Knowledge Bones for sharing a part of his story with us as well as representing Aboriginal contemporary culture.
At the NAIDOC assembly we showed a video from . One of the videos on this website captures the essence that is NAIDOC. 'The apology' focuses on the main points from Kevin Rudd's speech and also captures parts of Indigenous culture. www.nomadtwoworlds.com
Later that afternoon, some of our Aboriginal students began work on a mural to celebrate the life of Mrs Madge Smith, our late Aboriginal Teacher Assistant who passed away unexpectedly early this year. The NAIDOC celebrations were dedicated to Madge who worked tirelessly to celebrate Aboriginal culture. Madge's particular strength came from her want for Aboriginal students to feel proud, shake the stigma of 'shame' and really feel a part of the Aboriginal culture. Two Aboriginal painters (Gloria and Maureen) came to help our students hone their artistic talent.
From the words in the song 'It's Time', -"It's time to look forward together; it's time to look forward"
Mr Darren Perrett Aboriginal Student Coordinator
TO
WELL DONE TRACEY!
Congratulations to Tracey Theseira for making the top 10 in the West Australian Young Writers' contest in the Years 9-10 Poetry section.
ART EXHIBITION RAFFLE TICKETS
All sold or unsold raffle tickets are to please be returned by Monday 30 August to Sabrina Lynsdale. Thank you very much for your support.
Ms Sabrina Lynsdale Executive Assistant (Marketing & Public Relations)
SRC FUNDRAISER KRISPY KREME DOUGHNUTS
Just a reminder to all families that Krispy Kreme Doughnut Orders need to be into the College Accounts Office by this Tuesday 31 August. The Order Form and Information is attached to the Delagram again or can be picked up from the College Front Office. The doughnuts will be available for pick up from the College on Thursday 9 September (Week 7). Please try to collect your order on this day so you have them at their freshest. There will also be doughnuts available for students to purchase on the Thursday at recess and lunch, however, they need to pre-order these this Monday or Tuesday for $2.50 each. Thank you to all families who have already supported this fundraiser.
Ms Alicia Keating
Student Representative Council Coordinator
Ms Belinda Sewell Physical Education Teacher
Ms Lindy Reger Integration of ICT Across the Curriculum Coordinator
YEAR 10 GIRLS NETBALL
Congratulations to the Year 10 Girls Netball Team who participated in the School Sports WA Netball Elimination Day on Friday 6 August 2010. After a lengthy delay to Fremantle Netball Association the team displayed great spirit despite numerous girls having illnesses. Chloe Smith and Kiri Gobald were unstoppable in goals and Tayla Nettleton was strong in defence and to the girl's credit they advanced to the quarter finals (the final 8 teams for the age group) to only be defeated narrowly.
A big thank you to Mrs Ange Smith for her passionate coaching, Mrs Gaye Quinlivan and Mrs Julie McDiarmid for their assistance with scoring and to all other parents who supported the girls. Thank you also to Kimberley Burton for umpiring all games on the day and Mr Ben Dyer for his organisation of the team.
Ms Belinda Sewell Physical Education Teacher
~ All students ~ social networking tips for sites such as Facebook.
Customise your privacy settings. Don't leave the default privacy settings. You can limit what people can see of your profile.
It's OK to limit your profile and just shows things like your profile picture, your name, and your basic info. Only show your wall, your interests and any images of you to close friends, not friends of friends.
It is a good idea not to make announcements of where you plan to go or who you plan to go with on your wall, or on any public wall. Cyber stalkers are a real threat online. If you announce to everyone what you intend to do, you really are not sure who knows where to find you in real life.
Don't accept Facebook invites to events. You should receive a personal invitation to events from the person face-to-face.
'Treat others as you would like to be treated.' Social networking is a social activity and not for antisocial behaviour. It should not be used to bully, harass, spread rumours, challenge fights or otherwise incite violence.
~ Junior Secondary students ~ check out the Discovery Education puzzle maker page at and videos to help you master the basics of math at . http://puzzlemaker.discoveryeducation.com/ http://school.discoveryeducation.com/homeworkhelp/homework_help_home.html
~ Senior Secondary students ~ check out the subject spotlight videos on transportation at Massachusetts Institute of Technology Watch Videos website at . http://watch.mit.edu/
~ Parents ~ to celebrate the city of Perth's 181st birthday, Landgate are releasing a series of early explorer maps that can be purchased using the PDF order form (found at the bottom of the page). Visit to view the prints currently available. http://www.landgate.wa.gov.au/corporate.nsf/web/Early+Exploration+Maps
Ms Lindy Reger Integration of ICT Across the Curriculum Coordinator
ST BRIGID'S CHURCH MIDLAND
Fr Joseph Angelo
Corner Great Eastern Highway and Morrison Road
Saturday Vigil
6:30 pm
Sunday
9:30 am and 6:00 pm
Children's Mass
9:30 am (Every second Sunday of the month)
Thursday Italian Mass
9:30 am
Reconciliation Saturday
11:00 am to 12 noon & 5:00 pm to 6:00 pm
ST MICHAEL'S CHURCH HERNE HILL
Fr Joseph Angelo
Great Northern Highway, Herne Hill
Sunday
8:00 am
Children's Mass
8:00 am (Every second Sunday of the month)
ST ANTHONY'S CHURCH - GREENMOUNT
Fr Adam Babinski
96 Innamincka Road
Saturday
6:00 pm
Sunday
7:30 am, 9:00 am, 6:00 pm
Polish Mass Sunday
10:30 am
Youth Mass
6:00 pm (First Sunday of the month)
Reconciliation Saturday
10:00 am to 10:30 pm & 5:15 pm to 5:45 pm & any time on request
GIDGEGANNUP COMMUNITY CHURCH GIDGEGANNUP
Fr Joseph Angelo
Toodyay Road
First Sunday of the month
9:30 am
GOOD SHEPHERD CHURCH - LOCKRIDGE Fr Francis Ly
Corner Morley Drive and Altone Road
Saturday Vigil
6:30 pm
Sunday
8:00 am & 9:30 am
Reconciliation Saturday
8:30 to 9:00 am & 5:00 pm to 6:00 pm
SACRED HEART CHURCH - MUNDARING
Fr Elver Delicano
18 Coolgardie Street
Saturday (Reconciliation)
9:00 am
Saturday
8:30 am
Saturday (Vigil)
6:00 pm
Sunday
9:15 am
OUR LADY OF GOOD COUNSEL CHIDLOW
Wilcox Street & Northam Road
Sunday (Rosary)
7:00 am
Sunday (Mass)
7:30 am
Reconciliation
7:00 am
rd
(3 Sunday of each month)
ST JOSEPH'S CHURCH - BASSENDEAN
Fr Jim Sheldon
19 Hamilton Street
Saturday Vigil
6:30 pm
Sunday
7:00 am & 9:00 am
ST FRANCIS OF ASSISI CHURCH MAIDA VALE
Corner of Hawtin & Lilian Roads
Saturday Vigil
6:30 pm
Sunday
8:00 am, 9:30 am & 6:00 pm
HOLY FAMILY CHURCH KALAMUNDA
Fr Paul Raj
2 Burt Street
Saturday Vigil
6:30 pm
Sunday
7:30 am & 9:00 am (Children's Mass)
Reconciliation Saturday
5:45 to 6:15 pm
Italian Mass
11:00 am (Last Sunday of the month)
Canteen volunteers are asked to please wear enclosed shoes for occupational health & safety reasons.
Thank you.
CALENDAR
Sun 29 August
Mon 30 August
Tues 31 August
Wed 1 Sep
WEEK 7 & 8
* Canteen Volunteers In italics & underlined
Thurs 2 Sep
WEEK 7
Sun 5 Sep
WEEK
8
SENIOR TOUCHING HEARTS ENDS
D Shortall
Mon 6 Sep
HOW TO UNDER STAND YOUR TEENAGER SPECIAL GUEST JADE LEWIS 7PM
Tues 7 Sep
YR 12 CFC PLAYGROUP INCURSION (2 PER)
YR 11 BIO FIELD TRIP
CARNEVALE
MUSIC SOIREE 7PM
Thurs 9 Sep
YR 11 GEO FIELD TRIP (ALL DAY)
YR 12 DRAMA MOCK PRAC EXAM
(ALL DAY)
M McKie
Fri 3 Sep
Sat 4 Sep
YR 10 VET ZOO EXCURSION
FATHERS' DAY MASS
Fri 10 Sep
ACC PARA ATHLETICS CARNIVAL
YR 12 DANCE MOCK PRAC EXAM
J Hatch
ACADEMIC AND BEHAVIOUR REVIEW FOR YRs 7-11
COMMUNITY
NEWS
SWAN VIEW SHOW - YOUTH INVOLVEMENT
PAINTING FOR BEGINNERS
Painting for beginners one day intensive workshop with Malini Parker in Shenton Park on Saturday or Sundays from 9:30 am to 3:30 pm. To find out more information or book a place call 0427 816 105, email email@example.com or visit Www.maliniparker.com
DARLINGTON ARTS FESTIVAL YOUTH ART EXHIBITION
Students aged 12-18 years are invited to enter the Darlington Arts Festival Youth Art Exhibition. Prizes of $100 will be awarded in a variety of categories including: painting, printmaking, textiles, photography, digital art, sculpture, woodwork, jewellery, drawing and best in show. Please note final categories may change depending on art submitted. This exhibition is professionally curated/designed and judged by professional artists, resulting in an exhibition that stands as one of the most prestigious Youth Art Awards in Western Australia. For more information or an entry form visit www.darlingtonartsfestival.org.au
The committee of the Swan View Show are asking for young people to become involved in the organisation and running of the show. To young people who may be interested in business or politics it may be particularly interesting. Monthly meetings are held on the third Wednesday of each month at 7:30 pm at the Brown Park Recreation Centre. If you would like to be involved or find out more information, contact Suzie B a t t i s t e s s a o n 0 4 3 1 4 6 2 0 2 9 o r firstname.lastname@example.org
GOVERNOR STIRLING SHS REUNION
Saturday 30 October @ 7:00 pm for students who were in Year 8 in 1981 to Year 12 in 1985. For more information please contact Kaylene Radalj on email@example.com or Michael Clune on 0419 930 783 or email firstname.lastname@example.org
CORPUS CHRISTI COLLEGE ART EXPO
Interested in Art? Visit the Corpus Christi College Art Expo on Monday 20 September @ 6:30 pm in the James Nestor Auditorium.
ACADEMIC TASK FORCE - WACE REVISION COURSES OCTOBER HOLIDAY PROGRAMME
Study skills and subject courses for Years 11 and 12 in venues both north and south of the river with small groups and expert teachers with individual help. For more information contact Dr Robert Hallam or Dr Pam Bagworth on 9317 4421.
YR 11 AIT ABC STUDIO TOUR (P2-5)
YRs 7, 8, 9 & 11 ITA COMMEDIA DELL'ARTE
SOLOMON HOUSE MASS
Angie & Lisa
Wed 8 Sep
MACKILLOP & LA SALLE HOUSE FAREWELL ASSEMBLIES
Sat 11 Sep
LITURGICAL GROUP TRAINING
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LaRouche announces his candidacy for the Democratic presidential nomination
Recent actions by Democratic National Chairman Charles T. Manatt and former Gov. W. Averell Harriman force me to place my name in nomination to become the 1984 presidential candidate of the Democratic Party. I state herewith the rea sons I am obliged to take this step, and also state the very special ground rules under which I will conduct my campaign for nomination.
On Sept. 20, 1983, Chairman Manatt and Governor Har riman in speeches at Georgetown University in Washington, D.C., announced that they, and all announced Democratic presidential candidates excepting Ruebin Askew, are com mitted to the Soviet-created and Soviet-steered Nuclear Freeze movement. Subsequently, Mr. Askew issued a statement clarifying his position, announcing that he is in sympathy with the Nuclear Freeze movement's propaganda efforts, but not necessarily willing to bind himself to each and every punctuation mark of existing Nuclear Freeze dogmas.
than those of 1931, and a Soviet commitment to force a thermonuclear showdown during the months immediately ahead. These are crises which require decisions by the Pres ident of the United States during 1983 and 1984, long before the November 1984 general election. President Ronald Rea gan is that President, and therefore every serious patriot will now dedicate his or her efforts to assisting this President to adopt the right decisions on time, and to support the President in those decisions if and when he makes them.
At the same time, I have been informed from the most reliable sources, that the Soviet government is presently com mitted to aiding Chairman Manatt and Governor Harriman in securing the nomination and election of one among these Nuclear Freeze candidates.
The patriotic Democrats of this country deserve a candi date of their own. It appears that presently I am the only available candidate likely to fill that requirement.
Therefore, I shall campaign for the Democratic Party's presidential nomination using my candidacy to spearhead the mobilization of a great mass movement of our citizens against the Soviet-supported and Soviet-influenced Manatt-Harri man leadership of the Democratic Party.
This nation of ours requires an economic mobilization echoing that which President Franklin Roosevelt set into motion during 1939-43. That mobilization must begin now not after January 1985. This mobilization must be centered around the development of strategic anti-missile defenses, in agreement with the new U.S. strategic doctrine announced by the President on March 23, 1983. This must be a "crash program," like that of the 1939-43 period, which produces the needed strategic defenses more rapidly than most would imagine possible, and which also spills over the benefit of these new technologies massively into the civilian economy.
We require over $300 billion for defense right now, and we require the massive expansion of our civilian economy which enables us to support such urgently needed defense expenditures. Every farm, every machine tool, every idled part of our industry, every unemployed person, available to be employed now in expanding our output, must be employed quickly-as we did during the 1939-43 period.
However, the immediate purPose of my campaign will not be to promise great and glorious deeds, beginning at the January 1985 next inauguration of the President. Our repub lic presently faces three of the gravest domestic and interna tional crises in our history: a worsening worldwide economic depression, an imminent international financial collapse worse
The President has indicated his sympathy for steps in this direction, but at the same time he is being pressured from various sources to hold back, the greatest pressure coming from forces in Congress and in the news media which back the Nuclear Freeze movement. If we are to do quickly what we must begin to do very quickly, we must demonstrate to the President and the Congress that a powerful bipartisan movement exists in this republic in support of necessary actions.
© 1983 EIR News Service Inc. All Rights Reserved. Reproduction in whole or in part without permission strictly prohibited.
The forces within the Democratic Party which do or would support such a bipartisan movement are being held back from effective courses of political action for lack of a rallying point around which to assemble themselves for concerted political action. I offer myself as that needed rallying-point.
That is the purpose of my candidacy, and that is the principle which shall govern my conduct as a candidate.
To that purpose, I herewith outline the ground rules by which I shall be governed in this campaign. I wish these ground rules clearly understood by the White House, the Congress, the Federal Election Commission, the leadership of the Democratic Party, and the citizens generally.
First, I shall continue to do what I am doing presently
My present functions are as follows.
I am presently contributing editor of an international newsweekly, the Executive Intelligence Review, an organi zation which is one of the important privately operated polit ical intelligence activities in the world on strategic issues, on economic and monetary policy, and in the fight against the Nazi International and against international terrorism. It is important to our republic and to our friends abroad, that I c o ntinue to meet those responsibilities.
I am also co-chairman of an international philosophical association modeled on the earlier academy movements of Plato, Gottfried Leibniz, and our own Dr. Benjamin Frank lin. The work of this association helps, among other things, to create new strategic options for the United States and its friends abroad. This is important, and my responsibilities on that account must continue to be fulfilled.
I am a member of the board of directors of a most useful scientific association, the Fusion Energy Foundation, an as sociation which has contributed significantly to promoting the kinds of technologies required for energy resources, for strategic needs, for advances in industry and agriculture, and in biological science.
I am an official of an international pro-life organization, the Club of Life, the only association openly challenging worldW I de Malthusian, pro-genocide associations such as the Club of Rome. This work, and my continuing fight against the international drug traffic, are integral to what I am mor ally, and represent activities of mine which must not be diminished.
It is my continuing joy to be a friend of nations abroad, and to enjoy special confidence from among many leading circles in those nations. I am perhaps much better liked in Mexico and South American nations than our State Depa r t ment. Governments and other leading circles in Israel, Arab nations, black African nations, and Asia, have placed trust in me as their true friend, as a voice which will speak up for their concerns and true interests within the United States. I must continue to meet those responsibilities of friendship in Western Europe, in Asia, in Africa, and in Ibero-America.
A Sept. 15 Capitol Hill rally by the National Democratic Committee calling for crash development of the President's pro posed anti-nuclear missile beam-weapon system.
Also, although I have rightly denounced the Soviet lead ership for its wrong policies and wrong things it does, and although the Soviet government views me as its intellectual Public Enemy Number One today, most leading circles in the Warsaw Pact nations know me to be honest, humane and fair, and governed by genuine commitment to the sovereignty of all nation-states and the well-being of their peoples. It is important that every candidate for high office in the United States clearly keep open the door to peaceful cooperation with those states. As harsh and ruthless as I may be obliged to be on strategic issues, I shall always keep that door open.
Second, I am a patriot first and Democrat second
There are some foolishly clever fellows around the Dem ocratic Party who gloat over the wish that President Reagan be turned into a "new Herbert Hoover" before the elections of November 1984, and who would do nothing to save our republic from worsening economic depression or financial collapse, lest an economic recovery contribute to the re election of the President. I despise such sentiments, and will have nothing to do with such wickedly sly practices.
For me, the special genius of the Democratic Party is that heritage of President Franklin Roosevelt which impels the Party to seek to bring togetliter as a unified force industrialists, farmers, labor, minorities, and professionals, in search of policies which are simultaneously in our vital national inter est, and which policies provide our nation the means to fulfill its responsibilities to each section of the electorate. This party, if it returns to that traditional commitment of "harmony
of interests" among various constituencies, can be a great force for good once again.
I am for the entrepreneurs of industry and agriculture. Let them prosper to the advantage of our nation and to the advan tage of every person seeking employment.
I am for labor. Let it be strong and skilled, and employed in such fashion that technology continuously advances its productive powers.
I am for the successful integration of all our so-called minorities to full rights and personal respect as citizens, en riched by good education and with access to every opportu nity to contribute good to present generations and posterity.
I am for the American System of political economy, on which our federal constitutional republic was founded, ac cording to the strict terms of Article 1 of our Constitution and the outlines provided by the administration of President George Washington, through Treasury Secretary Alexander Hamilton's reports to the Congress on the subjects of credit, banking, and manufactures. I am determined to restore that system and its policies to our national practice.
I am for the doctrine of foreign policy most efficiently articulated by Secretary of State John Quincy Adams in sup port for his drafting of the 1823 Monroe Doctrine. We of the United States require neither empire nor quasi-imperial spheres of influence. We require a community of principle for common advantage and common defense, among sover eign republics committed to those same principles upon which our own republic was founded. I am for the realization of such cooperation in our hemisphere, first of all, and for the extension of that same cooperation from the united forces of our hemisphere, to Africa, Asia, and Europe. This is no weakening of our strength, but is rather a mustering of the most powerful force of allied nation-states on this planet, an alliance of political equals equally jealous of common advan tages and common interests in that kind of world order.
I am for ridding our nation of the ruin and decay of our recent drift into what is called a "post-industrial society." I am for rebuilding our basic economic infrastructure: our water management, our production and distribution of adequate supplies of energy, and restoration of the collapsing infra structure of our urban centers. I am for ridding the world of hunger and misery, through use of what were once tradition ally American methods of promotion of technological prog ress in building infrastructure, agriculture, and industry. I am for the employment of at least half the total labor force of our own and other nations as skilled agricultural, transpor tation, and industrial operatives in producing the physical output upon which decent human existence depends. I am for employment of not less than 5 percent of the total labor force in producing the benefits of scientific and related re search and development, for both our own and other nations. I am for at least one qualified teacher for every 20 or fewer pupils in public education, and for a program of classical and pre-scientific education suited to develop fully the potentials of each new member of society. I am for ridding our nation of the spread of evils better left to the inglorious memory of Sodom and Gomorrah, for a society in which citizens may stroll freely during the evening, free of terror on the streets and secured against the pandemic of burglary and related crime invading our homes.
I am for any elected official or candidates who efficiently supports such policies, whatever his party affiliation, but I am determined to rebuild the Democratic Party as the party best qualified to represent those policies.
Third, I will make no deals
As a candidate, I will of course state my support for or opposition to proposed and existing policies, and will declare my support for any cause or policy openly. I will reject any secret deals of the sort which have become customary prac tice of candidates. It is a dirty business, and I will have none of it. I will not soil my honor with such agreements.
If my candidacy is sufficiently successful to warrant this, I will of course, assemble short lists of prospective candidates for appointments, and will do so to the included purpose of assembling a coalition of forces for the campaign and admin istration of government. There is presently no indication that such a point will be reached by the course of my candidacy's development. If such a point were to be reached, I would seek the kinds of agreements such decisions imply, but that will not be contrary in any way to the policies I publicly avow.
As for the office of President, I do not need the job, and have no compelling personal ambition for that position. I would be good for the nation were I President, but whether . that occurs or not is your choice, not mine. What is essential for me is my influence over the policies of our nation, my success in informing and mobilizing our citizenry to the effect of bringing such policies into effect-whoever might be Pres ident. I am wise enough to know that any pleasures of the flesh or status die in my grave with me; it is that of my work which lives after me for good of present and posterity which is my only true self-interest, the only true self-interest of any prudent individual person.
No post is worth corrupting myself to obtain, and no true benefit would accrue to me or to you by my permitting such corruption to occur.
Many of you know exactly what I am speaking of, and I need say no more on this subject.
Fourth, I have certain personal problems
. It would be foolish for me to campaign as most candidates campaign. Since late 1973, I have been repeatedly the target of serious assassination threats, and my wife has been three times the target of attempted assassination. We are both pres ently confronted with assassination threats which hover around a score of 8 on a scale of 10, high on lists of targeted public figures by known terrorist groups as well as occasionally
targets of professional assassins, in North America and in Europe. This risk is increased by high-level political target ing against me by the Soviet government, in Soviet publica tions, and by other channels. Although no direct Soviet as sassination threat is so far detected, political allies of the Soviet leadership in the West have increased their threat levels.
However, I believe that it is not necessary for me to expose myself-and my audiences-to unnecessary risk. My adversaries, including powerful circles in Swiss financial centers and the New York Council on Foreign Relations, as well as the international drug-traffickers, have made me one of the most prominent public figures of our time internation ally, as well as within the United States.
I am not unfamiliar with the use of the typewriter, nor tongue-tied before a microphone or TV camera. It is not dificult to arrange meetings with representatives of constitu ency organizations. You, the citizen, will have no difficulty in discovering where I stand on issues if you are concerned to discover my views first-hand in writing, through broadcast media, and through your representatives. Debates with spokesmen for opposing views can be arranged, if those spokesmen have the courage they have lacked in the past to face me in debate.
call me an "anti-Semite," which leading officials of the Anti Defamation League (ADL) are on record as saying they do not believe, and which only a mental case would believe. All of these lies and other numerous lies against me have been refuted a thousand times over, in any case, and you need only consider the source of these lies to brush them aside.
My enemies are the circles of McGeorge Bundy, Henry Kissinger, Soviet President Yuri Andropov, W. Averell Har riman' certain powerful bankers, and the Socialist and Nazi Internationals, as well as international drug traffickers, Colo nel Qaddafi, Ayatollah Khomeini, and the Malthusian lobby. Since most citizens dislike my enemies, the fact that those enemies hate me and lie about me can only be to my credit in your eyes and ears.
Where you need my presence, I shall come as soon as possible. Otherwise we shall be efficiently in communication with one another.
My principal job during this campaign will be to continue doing what I have been and am doing, and to provide you and the thousands of new candidates now beginning to run for local offices with a rallying-point around which to build a new political movement in this country .
As for the controversy itself, I have never known a public figure to have been so much the target of wild lies through major news media and other channels as I have been. Some
Let us work immediately to build a mass-rally in Wash ington D.C. to show President Ronald Reagan that massive bipartisan support exists for his new strategic doctrine, and for the 1939-43-style "crash program" needed to get this economy of ours moving again.
Order from your bookstore or: The New Benjamin Franklin House Publishing Company, Inc. Dept. E 304 W. 58th Street, 5th floor New York, N.Y. 10019
Send me sets of the 8 book LaRouche Strategic Studies Series, featuring LaRouche: Wil This Man Be come President? for $30.00 (includes postage).
Send me copies of LaRouche: Wil This Man Become President? at $4.95 per copy. (Add $1.50 postage and handling per book in the United States and abroad.)
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|
Umlungisi
Stakeholder Newsletter
June 2016
EDITOR'S NOTE
Greetings!
It gives me great pleasure to present the first edition of Umlungisi for the 2016-2017 reporting year. In this edition we report back to you, our most important stakeholder, on Legal Aid South Africa's key activities and initiatives in our continued quest to deliver legal services to the marginalised, qualifying and vulnerable sectors of our society. Through collaborating and in partnership with you, our valued stakeholder, we pursue our efforts to advance the course of human rights and the betterment of the lives of the indigent as outlined in our Constitution. This is quite a significant year, as the Constitution which we seek to protect and ensure all rights enshrined therein are protected, celebrates a milestone of two decades!
This Umlungisi follows our April special edition where we provided information on the newly appointed Legal Aid SA Board. Let us take a moment to remember our former CFO and legal aid administration system Project Manager Mr Kumaran Naidoo, who passed away on 12 April 2016. During his tenure with us from 2001-2004, he played a critical role in transforming Legal Aid SA into the successful and stable organisation it is today. His interventions enabled us to receive our first unqualified audit in 2001/2 consecutively, and paved the way for our sustained financial stability. This edition also comes after Deputy Chief Justice Judge Dikgang Moseneke retired from the Constitutional Court bench after 14 years of service. Legal Aid SA's CEO Ms Vidhu Vedalankar and the Board Chairperson Judge President Dunstan Mlambo added their voices in paying tribute to the man many respect for his wisdom and knowledge and for the leadership role he played in the justice system. We wish him a happy retirement.
We continue to work towards and count on your support to deliver on our mandate to enable access to justice to many more people and communities. Thank you for the pivotal role you play in ensuring that we succeed in ensuring that the indigent groups seamlessly access justice.
Malebogo Mahape-Marimo (Ms)
Communication Executive
VISION
A South Africa in which the rights enshrined in the Constitution are realized and upheld, and responsibilities are complied with to ensure equality, justice and quality of life for all.
MISSION
This year, June 16 marks 40 years since the tragic events of the 1976 Soweto Youth Uprising. In commemorating Youth Day 2016, Legal Aid SA reaffirmed its commitment to protecting the youth of this country, as entrenched in the Bill of Rights. At the beginning of Youth Month on 1 June 2016, which fell during Child Protection Week and on International Children's Day, the Centre for Child Law at the University of Pretoria and Legal Aid SA in conjunction with ProBono.org launched a booklet entitled 'Guidelines for Legal Representatives of Children in Civil M a t t e r s ' ( a c c e s s i b l e h e r e : http://www.pulp.up.ac.za/pdf/2016_04/2016_04.pdf).
To be a leader in the provision of accessible, sustainable, ethical, independent and quality legal services to the poor and vulnerable
VALUES
Passion for justice Ubuntu Integrity Accountability Service Excellence People-centred development
Website: www.legal-aid.co.za I Legal Aid Advice Line: 0800 110 110 I Ethics Hotline: 0800 153 728
LEGAL AID SA CELEBRATES CHILD PROTECTION WEEK LEGAL AID SA CELEBRATES CHILD PROTECTION WEEK
Child Protection Week is commemorated in South Africa annually to raise awareness of the rights of children as articulated in the Children's Act of 2005. This year Child Protection Week took place from 29 May – 5 June. Legal Aid South Africa took the opportunity to honour its commitment to protect and empower this vulnerable group in society. Legal Aid SA celebrated this event through a series of outreach programmes and stakeholder initiatives. National Office staff visited early childhood development centres in and around Ekurhuleni to educate young learners about their rights and responsibilities, under the theme: 'It's my Right, It's my Responsibility'.
The celebrations began at the Duduza Multi-Purpose Centre on 27 May, as Legal Aid SA partnered with the Department of Social Development for a fun-filled, educational day with 320 crèche children in attendance. Nosithembiso Nxitywa from the Benoni Justice Centre was on hand to educate the children about their rights and responsibilities and also highlight the role of Legal Aid SA in defending and protecting the rights of vulnerable groups.
LEGAL AID SA WINS 2016 INNOVATION LEAGUE AWARD
Legal Aid South Africa was awarded first place in the Innocentrix 2016 SA Innovation League Awards on 23 June. The organisation was commended for its innovative business practices and was recognised as a leader in contributing towards national prosperity and creating a better future for South Africa.
Legal Aid SA competed with the likes of Vodacom and Afrox, which placed second and third respectively. The Innovation League only considers Top Performing companies as candidates for this Award. In May, Legal Aid SA was named a 2016 Public Sector Leading Performer by Top Performing Companies. The organisation was also accredited as a Top Employer South Africa in 2016, an endorsement Legal Aid SA has received for seven consecutive years.
On 30-31 May, staff from the National Office and Tembisa Justice Centre visited the Little Achievers Day Care and Thabong Crèche and Preschool in Tembisa for more celebrations. Our Tembisa Justice Centre brand champion, Fikile Tshele, and Civil Principal Attorney Caroline Foord played an active role in creating fun-filled activities aimed at educating the children about their rights and responsibilities.
Finally, the National Office concluded the week at the Springs Rugby Stadium, again in partnership with the Department of Social Development, where hundreds of children gathered to celebrate 'It's my Right, It's my Responsibility.'
The organisation's Human Resources Executive, Amanda Clark, says "We are honoured to be recognised for our ongoing efforts in ensuring that innovation is embedded in our culture. Innovation continues to reinforce our resourcefulness in striving to provide the best possible service to our clients."
This Award affirms Legal Aid SA's commitment to providing access to justice to the poor and vulnerable, as set out in the Legal Aid South Africa Act (39 of 2014) and the Constitution of the Republic of South Africa. We are proud to be acknowledged as a high-performing, innovative public entity.
The Innovation League Awards are based upon stringent criteria, focusing on four key areas: Leadership and Ambition; Organisation and Collaboration; Implementation and Measurement, and People and Culture. The survey tool used to assess qualifying companies is internationally comparable, enhancing the validity of the results. Legal Aid SA scored exceptionally high in Leadership and Ambition, Organisation and Collaboration and People and Culture. This indicates significant improvement in the organisation's performance from the 2015 Awards, where we placed second and were commended for our high rating in terms of People and Culture. As the 2016 winner, Legal Aid SA was found to demonstrate sustained excellent performance in innovation at management level, with external stakeholders and within the organisation via employees.
HR Executive Amanda Clark with Innocentrix CEO Henra Mayer
Website: www.legal-aid.co.za I Legal Aid Advice Line: 0800 110 110 I Ethics Hotline: 0800 153 728 2
LEGAL AID SA WINS TOP PERFORMANCE AWARD
"If you have a dream and the know-how and the will to do something, nobody will keep you down," said Jannie Mouton, founder of leading financial services group PSG. He was addressing representatives of various top performing companies during a breakfast launch of the National Business Awards in Sandton, Johannesburg.
The awards were aimed at recognising both private and public sector companies that are making an effective contribution to South Africa. Mouton emphasised the importance of setting limitless goals and objectives when formulating strategies. The awards were aimed at recognising both private and public sector companies that are making an effective ff f contribution to South
Legal Aid South Africa was among few public sector companies to have been invited to an exclusive morning launch of the 15th edition of Top Performing Companies and Public Sector as well as the handing over of Top Performing certificates.
The organisation received an award for Outstanding Performance in the Public Sector, and was also the only law firm to receive this prestigious accolade in the National Business Awards 2016.
Media and Marketing Manager Godfrey Matsobe receiving the award on behalf of Legal Aid SA
NATIONAL OFFICE AND REGIONAL OFFICES PARTICIPATE IN CELL C'S TAKE A GIRL CHILD TO WORK DAY
The Cell C Take a Girl Child to Work Day is an initiative established by Cell C to introduce young girls from Grades 10 to 12 to the work environment and expose them to the career they are interested in. National Office and Regional Justice Centre employees once again supported Take a Girl Child to Work Day on 26 May this year to remind young girls to believe in their talents, to have self-confidence and to achieve greatness for themselves and their communities.
Participating Legal Aid South Africa offices also spoke to the girls about work opportunities available within the organisation, and empowered them with knowledge on the provision of legal aid to the most vulnerable groups, including women and children. They also discussed the different career paths to embark on in order to ensure a fit with the organisation's departments, especially the legal structure. Female Magistrates, Candidate Attorneys, Paralegals, Admin Managers, Supervisory Professional Assistants, Justice Centre Executives, Civil Legal Practitioners, Executive Personal Assistants and teachers were on hand to motivate and inspire the young girls.
The girls were taken to courts, where they observed a court case in action, and also visited holding cells of prisoners awaiting trial. Some were even taken into offices of different Departments to give them a first-hand experience of the workplace. They were also given a platform to ask questions of the successful women in the organisation. Legal Aid SA continues to solidify and actualise its corporate identity by delivering services and information to the vulnerable. The girls we hosted on 26 May are the future generation of Legal Aid SA citizens who will also work to make a difference. Congratulations to everyone who took part in the very successful Take a Girl Child to Work Day initiative!
Middelburg Justice Centre hosted girls from Sozama High School at Mhluzi Location.
Website: www.legal-aid.co.za I Legal Aid Advice Line: 0800 110 110 I Ethics Hotline: 0800 153 728
Website: www.legal-aid.co.za I Legal Aid Advice Line: 0800 110 110 I Ethics Hotline: 0800 153 7283
LEGAL AID SA WELCOMES NEW COMMUNICATION EXECUTIVE
Legal Aid SA would like to welcome the newly appointed Communication Executive, Ms Malebogo Mahape-Marimo, effective 20 June 2016. Malebogo is a seasoned public affairs strategist with over 18 years' experience in government, parastatals, development agencies and the private sector. Born and bred in Mabopane, Pretoria, Malebogo holds a BA Communication degree from the University of Fort Hare and a BA Honours degree from RAU (now the University of Johannesburg). She has also completed the University of Cambridge Sustainable Development Course, an Oxfam offered Sustainability Course and she is a Greenbelt Six Sigma.
Malebogo has worked in diverse business environments and communities, developing and executing communication, branding, marketing, stakeholder engagement, regulatory affairs and community development strategies to increase brand capital, brand visibility while also helping create socio-economically developed communities. Her vast experience also includes lecturing Communication Science and Journalism, she has worked as communication specialist for the Nelson Mandela Children's Fund, as Director Communication for the then Department of Minerals Energy, Manager Regulatory Affairs at British American Tobacco, as Group External Relations Manager for BHP Billiton and most recently as the Vice President Sustainability and Communication at AngloGold Ashanti South Africa Region.
Malebogo is a seasoned brand, stakeholder engagement, government relations, sustainable development, governance, reputation and media strategist. We believe that her extensive experience will add great value to the Legal Aid SA brand. We wish her all the best in her new role!
LEGAL AID SA PARTICIPATES IN WITS NGO FAIR LEGAL AID SA PARTICI PA P PATES IN WITS NGO AT A FAIR FA F
Legal Aid South Africa was amongst the 50 organisations that participated in the 6 th annual Wits University NGO Fair organised by the Wits Citizenship Community Outreach (WCCO) office. Legal Aid South Africa was amongst the 50 organisations that participated in the 6 th annual Wits University NGO Fair
The event afforded Legal Aid SA a great opportunity to affirm its status as Africa's largest legal institution as well as to promote our 2-year Candidate Attorney Graduate Programme, which recruits up to 600 Law graduates per year.
REGIONAL NEWS
IMBIZO AGAINST CAR HIJACKING, STOCK THEFT AND MOB JUSTICE
The Nkomazi Municipality in Tonga, Mpumalanga faces daily challenges of violence including car hijacking, stock theft and mob justice. The community called a gathering at Schomasdal Trust to unite against crime in the area. This came soon after a lawyer was beaten up earlier in the year for representing three men arrested for alleged ritual killings.
Tonga Paralegal Sibusiso Ripinga was invited to give a presentation about Legal Aid South Africa's services and to educate the community about the rule of law. The Mpumalanga Safety and Security MEC Mr Vusi Shongwe also attended the event and was accompanied by the Nkomazi Mayor Ms Thandi Khoza, the SAPS Provincial Commissioner, and the Acting SAPS National Commissioner.
Website: www.legal-aid.co.za I Legal Aid Advice Line: 0800 110 110 I Ethics Hotline: 0800 153 728 Website: www legal aid co za I Legal Aid Advice Line: 0800 110 110 I Ethics Hotline: 0800 153 728
Karuna Singh from WCCO was pleased with the turn out, particularly at the Legal Aid SA stall. "Today has been a pleasant outing and it is a pleasure to see all 50 NGOs come together at the Wits Library Lawns. It is also encouraging to see students coming in their masses to support the Legal Aid SA brand," she said.
The Fair proved to be a fruitful exercise as the Legal Aid SA stall attracted eager Law students who wanted to know more about potential career opportunities we offer.
LEGAL AID SA PLEASED WITH HISTORIC RULING ON SILICOSIS CLASS ACTION
On 13 May, the South Gauteng High Court approved that a class action suit go ahead against 32 gold mining companies in South Africa. This decision is historic, and allows for the largest ever class action lawsuit in the country, as well as on the continent, to proceed. Bongani Nkala and 55 Others v Harmony Gold Mining Company Ltd and 31 Others will begin to set a precedent for holding the gold mining industry accountable to the mineworkers they employed. These mineworkers have contracted silicosis and tuberculosis, and this class action will begin the process of determining the liability of mining companies for damages as a result of their exposure to silica dust.
Bongani Nkala and 55 Others are represented by Richard Spoor Attorneys, Abrahams Kiewitz Attorneys and the Legal Resources Centre (LRC). Legal Aid South Africa is pleased to be funding the LRC in this landmark matter. We have been funding silicosis litigation for the past ten years, also in conjunction with the LRC.
Previous litigation brought against Anglo American South Africa resulted in an out-of-court settlement for 19 individual former miners. This case was litigated by the LRC, Legal Aid SA and Leigh Day & Co. Solicitors of the UK. former miners. This case was litigated by the LRC, Legal Aid SA and Leigh D A
Our Chief Legal Executive, Patrick Hundermark, says: "This judgment further builds on the work done in prior silicosis litigation to ensure that a greater number of miners with silicosis can enforce their constitutional rights to compensation for unsafe working environments that they had to endure."
Such matters exemplify the work of Legal Aid SA, and highlights our mandate as set out in the Legal Aid South Africa Act (39 of 2014) and Section 34 of the Constitution, to provide access to justice for the poor and vulnerable.
We are proud to be assisting the affected mineworkers, as well as their families, in upholding their constitutional right to seek redress for being exposed to an unsafe work environment that was harmful to their health and well-being.
This miner and many others with silicosis can enforce their constitutional right to compensation for unsafe working environments
LEGAL AID SA IN CONVERSATION WITH JUSTICE YACOOB
LEGAL AID SA IN CONVERSATION WITH JUSTICE YACOOB
Legal Aid South Africa's efforts in making the Constitution a living document continue to be recognised. This was recently made evident with an invitation to an engagement session with former Constitutional Court Judge, Justice Zak Yacoob.
The session was organised by the University of KwaZulu-Natal, and saw over 40 delegates including academics, legal professionals, Law students and Justice Malcolm Wallis from the Supreme Court of Appeal in attendance.
The purpose of the session was to discuss legal issues pertaining to the Constitution. Legal Aid SA was represented by KwaZulu-Natal Regional Office Executive Vela Mdaka, who was accompanied by Board member Professor Yousuf Vawda. Justice Yacoob and Justice Wallis addressed the delegates, sharing their experiences and knowledge of the constitutional mandate.
"It was a value adding experience to be in conversation with senior legal eagles with enormous experience in the legal field. The conversation involved references to some decided cases as part of guiding, or illustration, of certain points as they came up in the discussion. Knowing that we have our own legal seminars, this experience brought about an idea to enhance our program by inviting senior legal experts to share their experience with us whilst also proving guidance. Further, we need to develop a culture of human rights protection among our practitioners so that we shape the approach and attitude to the justice system in order to benefit our clients in ensuring protection and realisation of their rights," said Mdaka.
Website: www.legal-aid.co.za I Legal Aid Advice Line: 0800 110 110 I Ethics Hotline: 0800 153 728
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Advice Line: 0800 110 110 I Ethics Hotline: 0800 153 728
TZANEEN JUSTICE CENTRE ATTENDS ANNUAL MEN'S INDABA
The Greater Tzaneen Municipality invited local stakeholders to participate in a Men's Indaba event held at the Fairview Hotel. Among the stakeholders invited were Families South Africa (FAMSA), the ANOVA Health Institute, the Victim Empowerment Centre, the Congress of South African Students (COSAS), GTM Disaster Management, the Department of Health (Van Velden Hospital), and Health for Men.
The purpose of the event was to encourage men to relay their views about different issues affecting men in society. The issues discussed involved the abuse of vulnerable groups and men being the main perpetrators of violence against women and children. The Mayor, Councillor Dikeledi Mmetle, said men need to be reminded about their roles in their families and their position in society.
Men in attendance were also encouraged to have regular medical check-ups, as well as have their blood group and blood pressure checked. Statistics show that 19 million men worldwide are diagnosed with cancer each year and most are suffering from cardiovascular diseases. "Men are dying of cancer and they are encouraged to do a medical check-up at least twice a year as testicular cancer is the most common form of cancer affecting men between the ages of 15-39. Men must also start living a healthy lifestyle by eating healthy food and stopping smoking and binge drinking," the Mayor said in her final remarks.
Legal Practitioner Justice Ramafala from the Tzaneen Justice Centre addressed the attendees about the rights of abused men and the issues of paternity DNA tests and child support which are often the cause of a rift between parents. Ramafala further explained the role and mandate of Legal Aid South Africa regarding legal issues that mostly affect men. further explained the role and mandate of Legal Aid South regarding legal issues that mostly affected men.
LEGAL AID SA - A CUSTODIAN OF CONSTITUTIONAL RIGHTS
The Committee on Constitutional and Human Rights Education held a workshop in Lusikisiki, Eastern Cape on 3 June 2016. The event was led by the Department of Justice and Constitutional Development and was aimed at increasing constitutional and human rights knowledge for vulnerable communities, in order to enable them to enhance their livelihood. Deputy Minister of Justice and Constitutional Development, Mr John Jeffery, was the keynote speaker at the event.
Legal Aid South Africa was represented by Mthatha Justice Centre Executive Nolitha Jali. She detailed the services rendered by the organisation, emphasising the significant role Legal Aid SA has played in the country since the promulgation of the Constitution. She further highlighted some of the social justice judgments that have showcased Legal Aid SA as a champion for the poor and vulnerable.
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Deputy Minister of Justice and Constitutional Development, Mr John Jeffery
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Website: www.legal-aid.co.za I Legal Aid Advice Line: 0800 110 110 I Ethics Hotline: 0800 153 728 6
Website: www.legal-aid.co.za I Legal Aid Advice Line: 0800 110 110 I Ethics Hotline: 0800 153 728
LEGAL AID SA INSPIRES UFS LAW STUDENTS AT CAREER FAIR
LEGAL AID SA INSPIRES UFS LAW STUDENTS AT CAREER FAIR
Legal Aid South Africa was among the companies that inspired Law students at the annual University of the Free State (UFS) Career Fair, held at the institution's main campus in Bloemfontein. The Faculty of Law, in collaboration with the University's Career Development Office successfully hosted the Annual Career Fair which afforded potential employers the opportunity to exhibit their career opportunities to Law students. At the opening of the event, the students were allowed to visit various exhibition stands and enquire about career opportunities.
A considerable number of students wanted to know more about Legal Aid SA, its mandate and services. Those that were interested in working for the organisation asked where we advertise our posts and which platforms they can use to apply for such positions. The Free State & North West Regional Office team, comprised of Botshabelo Justice Centre Executive Cuma Siyo, Acting Human Resources Manager Sinazo Mzayifani, Human Resources Officer Daniel Oageng and Regional Communications Practitioner Thabo Koole, adeptly provided all the answers. Most of the students who visited Legal Aid SA's stand also enquired about the extent to which the organisation covers civil and criminal matters.
Botshabelo JCE Cuma Siyo pictured detailing the career opportunities FSNW Regional Office HR Officer Daniel Oageng pictured addressing Botshabelo Justice Centre Executive Cuma Siyo and Daniel Oageng of the Free State and North West Regional Office speaking to students during the UFS annual career fair
available at Legal Aid SA to students during the UFS annual Career Fair pertinent issues with students at the UFS annual Career Fair
LEGAL AID SA TAKES THE LEAD IN ALIGNING PRACTITIONER POSITIONS TO THE LEGAL PRACTICE ACT
The days of the PA are over. But what exactly is a PA? In South Africa, the words 'Professional Assistant' were used for a number of years, to refer to an attorney who worked in a law firm, but had no equity stake in the firm, in other words, a salaried lawyer. While the name was well understood in legal circles, to the general public, it found itself in the unenviable position of sharing the same abbreviated name with 'Personal Assistant', an unrelated occupation.
Criminal Court Practitioners
| Old Title | New Title |
|---|---|
| District Court PA | Legal Practitioner – DC |
| Regional Court PA | Legal Practitioner – RC |
PA has gradually fallen into disuse and was in recent years, replaced by 'Associate", in most law firms. Legal Aid SA, the largest employer of lawyers in South Africa with just over 1 600 legal professionals in its employ, has decided to change the position names of its practitioners, to align them with the position names introduced by the Legal Practice Act 28 of 2014. In terms of the LP Act, all legal practitioners will be known as 'Legal Practitioner' regardless of whether they are attorneys or advocates. The blurring of the lines of distinction between the professions is particularly important to Legal Aid SA as we employ both attorneys and advocates as practitioners. Adopting the name 'Legal Practitioner' will therefore help us finally lay to rest distinctions that existed only in theory, but not in practice in our organisation.
Criminal Court Managers
Civil Practitioners
Civil Managers
The only distinction that will be made between legal practitioners will only be with regard to the type of work performed by the practitioner e.g., criminal or civil, as well as the court serviced by the practitioner. The old position names as well as their replacements are shown here. Position titles that are not going to change are not shown.
| Old Title | New Title |
|---|---|
| Civil Supervisory Professional Assistant | Supervisory Legal Practitioner – Civil |
Website: www.legal-aid.co.za I Legal Aid Advice Line: 0800 110 110 I Ethics Hotline: 0800 153 728
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CEFAM
Centre d’études Franco-Américain de Management
Lyon & USA
We take you further
Success Stories
Karine CHAUX Directrice
Intégrer une école de management ? Rêver d'une carrière à l'international ? Devenir bilingue en anglais ? Qu'est-ce qu'une école de management internationale ? …Que de questions et d'interrogations lorsque l'on est encore lycéen, aux portes de son orientation professionnelle.
À travers la première édition de ce « Success stories portfolio » le CEFAM souhaite vous présenter en toute transparence et authenticité, des exemples de témoignages concrets et précis des acteurs de l'école : professeurs, étudiants, alumni, professionnels… Autant de témoignages qui vous donneront les meilleures raisons pour rejoindre le CEFAM et ainsi vous aider à accomplir vos rêves !
« There are no secrets to success. It is the result of preparation, hard work, and learning from failure.» Colin Powell
Sommaire
Hélène KAYSER
Directrice Pédagogique
L'expérience Céfamienne, c'est pouvoir gérer son parcours académique et adapter son programme de cours en fonction de ses besoins.
En tant que Directrice des Études, j'accompagne les étudiants dans leur cursus académique et je les conseille au mieux dans leur choix tout au long de leur parcours, y compris en ce qui concerne leur choix de spécialité et d'université en fin de parcours. Je reste également en contact avec les étudiants pendant leur séjour aux USA.
Avec un système académique modulaire, notre formation permet, par sa grande flexibilité, d'évoluer dans un environnement positif et bienveillant.
Il est ainsi possible pour nos étudiants, de travailler en même temps qu'ils étudient ou de pouvoir également se consacrer à d'autres activités, qu'elles soient associatives ou sportives.
Student
Ayelén Camila Delgado
Hi! My name is Ayelén Camila Delgado, I am from Argentina, and I am a sophomore at CEFAM. I found this university when I was in Sergy doing a student exchange to learn French. An alumnus from CEFAM did a presentation and he caught my attention. From the first moment, CEFAM seemed to me to be a very interesting and enriching university, which would open many doors to different places over the world. As a teenager, I had my doubts concerning which university to choose, and where to go, where I would find the best place to train as a professional.
I chose CEFAM as my new home. I made this decision for three reasons. First, CEFAM is a
Apart from studying, we also have a very active student life. This helped me integrate into the Cefamily and meet the students of other years through its different activities that are organized by the Bureau des Étudiants and the Bureau des Arts. This is what I like most about CEFAM, a school that accompanies you in daily student life. At CEFAM, it is not just studying and getting a diploma, but it is also meeting new people. The organizations at CEFAM motivate students to participate in different events, such as parties, sale of roses, galas, and others in order to discover the wonderful people who are part of this big and special family. However, there is another factor that makes my student multicultural university where I can discover the whole world in one place. This is because the students come from all four corners of the world, and we can share our cultures and learn more about them. I believe this is very
"I chose CEFAM as my new home."
important because it teaches us to be empathic, tolerant, respectful, and open-minded. Second, CEFAM gives me the opportunity to practice many languages at the same time, due to the courses being taught in English, my daily life in Lyon is in French, and I can speak Spanish with some students to help them to increase their Spanish level. And the last reason, is that CEFAM gives me the opportunity to have a double diploma, which will open many doors in the business world. Having a double diploma does not mean just going to class and doing homework. This diploma means EXPERIENCE in the labor world thanks to the internships; KNOWLEDGE because in addition to courses we also learn from the current events around the world; and OUR OWN REWARD, which is the work we do every day to be able to achieve our dreams.
life very good, and that is the city of Lyon. This city is perfect for students because of the variety of activities it offers. Students enjoy the beautiful and peaceful parks, where they spend time with their friends or just read a book to relax.
Also, they can enjoy the wonderful views of Lyon in their free time. Furthermore, Lyon offers lively nights to meet many students from other schools and nationalities. Thanks to that, I could meet many Latino students, who make me feel at home.
I can say that CEFAM is a unique school. The teachers are always at our side to help and motivate us to move forward. They are professionals, and they are always willing to share their experiences in order to enrich our knowledge. The teachers and the administration are the support of the students, and that is why there is the concept of Cefamily. CEFAM offers a family to the people who are far from their home like me and a variety of good opportunities. CEFAM is the beginning of a new stage in our lives.
Piyush Maurya
Hello, I am Piyush Maurya, I am a junior year student in CEFAM. I come from India and it has been an amazing experience for me here in CEFAM in France.
The first year for me was quite challenging, in regards with making friends, coping with the cultural shift and just in general to settle down. CEFAM is an international school which has many students like me from different nationalities. It is normal for any international student to take some time to settle down in a foreign country and making friends is also not easy.
I came up with founding an association for international students in CEFAM. The initial idea of the association is to help international students and make them feel comfortable with the French culture and help them
"CEFAM is an international school which has many students like me from different nationalities."
In order to bring all the international students together in CEFAM and make cultural exchanges and activities run smoothly, make friends. CEFAM ISA (International Students Association) is the first association for international students in the history of CEFAM.
Being the President of the association, it has made my life more interesting here in CEFAM and I hope I will be able to help other students in every way possible.
I hope that the association grows from this point and reaches great milestones in the years to come.
Gaetan GUIMBRETIERE
To be honest, like a lot of people, I firstly choose Cefam because of the United States.
to their students. Anybody could feel at ease in this type of environment.
I've been attracted by the big flag, so easily recognizable at the student fair… but thinking about it in more detail, Cefam goes so much further than offering a possibility to go to the US.
This school embraces every value that I could look for: open-mindedness, diversity and excellence. Cefam is one of the
"This school embraces every values that I could look for: open-mindedness, diversity and excellence."
rare schools where professors and the administration are really friendly and close
Cefam also allows us to discover different cultures as people from all around the world come to study here.
Being a Cefam student not only opened my mind but also developed myself as an individual.
More than a great school, Cefam is a family, and once part of it, it lasts forever.
Maïwenn PENSU
CEFAM really is all about building students up. Whatever grades you used to have, wherever you are coming from, whatever your level of English is, there is real opportunity for success. We are taught to work for ourselves and to build our professional future beyond what we could have imagined.
There is no one who is destined to fail, everyone has a chance to make things work for good.
The academic team pulls us not to just good enough, but right up to excellence. We have amazing opportunities in this school. The double-diploma is an incredibly huge asset for our future, and the certainty that we will be bilinguals and flexible attention that is given to each individual student on different levels.
Outside of the academic sphere, we are given awesome opportunities. We can join any club or society, we can volunteer and partner
"CEFAM is a small educational structure and that is exactly what makes it so easy for us students to succeed."
(at the very least!) by the end of the journey makes us so much more valuable when looking for jobs or Masters.
CEFAM is a small educational structure and that is exactly what makes it so easy for us students to succeed. There is real personalized up with charities. There is so many events going on throughout the year to connect and build longterm relationships.
The sharing of culture is particularly impressive in the school. I have friends from all the way as far as Russia, or Mexico! We are so different, and the fact we have to work together is making us so much more able to work in an international environment in the future. Business is all about relationships all over the world, and the CEFAMily really does offer us the ability to build these relationships on solid ground.
I believe everything is a lesson, whether one teaches or is taught, and that is made SO evident at CEFAM.
Charlène BARDON
Hello, I am Charlène, I am a junior at CEFAM (3rd-year student). I began CEFAM with the foundation program, the additional semester to review and improve my English. This program helped me to develop my English very quickly because we are only 5 in class. The atmosphere was very friendly and family-like, as we are all in the same situation and in a small community. The ties with the other students are very strong and everyone helps everyone in need.
After my first semester in the foundation program, I integrated the "traditional" program. With my other foundation program classmates, we could now easily follow all of our courses that are in English. Without this semester, we wouldn't be able to understand any of our classes. I passed all of my classes on the first try.
management and the expectations of this sector and market.
For my last year at CEFAM, I started marketing,
"I began CEFAM with the foundation program, the additional semester to review and improve my English. This program helped me to develop my English very quickly because we are only 5 in class."
I finished my second year with a 3-month internship at the Pullman hotel in Baku, in Azerbaijan. I learned a lot about hotel sociology, finance, and international law… complementing my past courses like math, statistics, and economy. I will finish my last year with the amazing opportunity of gaining experience in the field that I want, which is hotel management, with a new internship. However, this time with a 6-month internship.
Finally, this will give me the information and experience required to choose my major in the partner schools in the United States. For now, I believe I will go to Siena University in Albany. I am waiting to figure out the major I will choose.
Overall for me, CEFAM is not just my school it is also my friends and my family thanks to all the support I have from the administration, staff and classmates.
Study in the US
Joseph Rey Temple University
Temple's campus is amazing. If you are looking for an American campus where you will enjoy the city at the same time, Temple is what you need.
Indeed, the campus is very close to the city center of Philadelphia, the home of Rocky. In the campus everything is put in place to satisfy any student request, from shopping to eating to working out.
I have been involved in the rugby team of Temple since the beginning of the year and I have to say that everything is perfect. Every practice is done under a covered field which protects us from the cold
the swimming pool is always open and welcomes you to dive in like a dolphin.
Getting more serious, the classes of Fox Business School (the Temple Business School)
"If you are looking for an American campus and enjoying the city at the same time, Temple is what you need."
and the heat of the summer. Several fitness rooms are available all around the campus, and if you need to recover from a hard day, are full equipped and you will never lack anything. From coffee shop to remarkable places to work, the building is here to make you achieve your goals and your objectives. But this is not my favorite spot to study. Where you are going to see me a lot is the new Charles Library where the top floor will offer you amazing sunsets to let you dream and focus on the way you are going to graduate.
I hope you to see at Temple University and be an Owl.
Iris Carpentier Siena College
My name is Iris I was a CEFAM student for three years. Now I am at Siena College.
I started in September and I am part of a lot of associations (black students association, Asian students, tennis club, Irish dance team, gaming club…). There are a lot of associations that students can go to really feel that they belong. I have made a lot of friends. It is really fun and I've met a lot of international students that I would have never met otherwise.
We study together and have fun every week-end.
My advice for CEFAM students is that you have been waiting three years to go in America. It has been in your mind, in your life everyday
"It is really intense in terms of studying but it is also really discovering the American life."
I am studying finance at Siena and I am thinking about taking the CFA.
It is really intense in terms of studying but it is also really insightful into discovering American life. I am in a townhouse with three American girls.
and now this is the chance to choose your school. You have so many great choices and Siena is one of them. You just need to know what kind of American experience you want here. Do you want a small-town American school that you've seen on tv? One where you spend all of your time on campus? Or do you prefer the citylife, where you divide your time between the campus and what the city has to offer? The choices are all great, so just find what works best for you!
Nicolas KAYSER Pace University
When I was young, I had the opportunity to attend an American Commencement Ceremony. To be more specific, it was the 2009 Siena Graduation Ceremony. This event spiked in me the desire to study in an American university in order to experience a different education system from the familiar French one.
Knowing that I wanted to work in a Finance or an Accounting related job, and knowing well about CEFAM, I chose to attend this school for my post high school education.
Therefore, after obtaining my high school diploma, I was welcomed to CEFAM. In this school, I met wonderful friends, and professors who pushed me to always go further and learn even more than I thought I was able to - a special thanks to Mary Bouchelet, my finance & accounting professor. They all changed my life and made
accounting firms) in the "Cross-Border Fund services", which is a specific service in Luxembourg.
After my internship, it was time to leave France for the U.S. and more precisely for Siena College. Siena is a green campus like the ones you can see in the American movies. Professors and people there were particularly kind and willing to help as much as they could to make
"Accounting related job, and knowing well about CEFAM, I chose to attend this school for my post high school education."
me growup. As we say at CEFAM, "we are part of the CEFAMILY!".
During my three years at CEFAM, I was able to complete a six-month internship at Deloitte Luxembourg (one of the world's Big Four us feel at home. Moreover, Siena inculcated in us noble values for living in community. Thanks to my foundation classes, the rigor, and discipline taught at CEFAM, I was able to achieve a great GPA at Siena College. CEFAM prepared me well to face the high education level required there.
After spending 9 months at Siena, I finally graduated with honors in May 2019; exactly ten years after attending my first Siena
Commencement Ceremony.
Thanks to Siena and CEFAM, I am now enrolled in a MSc in accounting at Pace University, where I have new objectives and dreams for the future.
Quentin DEMENJOUD
Northeastern University
J'ai découvert le Cefam lors d'un salon. J'ai vite été attiré par le double diplôme francoaméricain.
J'ai eu la chance de décrocher ma co-op chez Goldman Sachs à Seattle ce qui me permet
J'ai décidé de finir mon cursus à Northeastern University à Boston en raison de sa renommée croissante et de son programme en co-op. À la différence des autres universités partenaires, le programme dure 2 ans et inclut 3 semestres de cours et 1 semestre de co-op.
« J'ai vite été attiré par le double diplôme francoaméricain. »
de découvrir une nouvelle ville mais aussi d'avoir une nouvelle expérience en finance.
Northeastern est une université de presque 20,000 étudiants en plein centre de Boston, très internationale et riche en expérience.
Nathan De Oliveira
Rider University
Being a student at Rider University is amazing opportunity and unique experience for me. The school location is perfect, between New York and Philadelphia in New Jersey, where many companies settle(d) their headquarters.
Basketball courts, video games, pool tables and table tennis are also available for students to use until midnight.
The student to faculty ratio is fairly small and the University has numerous partnerships with some of the most famous companies in the country with Internships and Co-ops available at Amazon, Johnson and Johnson, KPMG, PWC, Procter Gamble, Barclay, Bank of America, US Bank, Goldman Sachs, etc.
Rider also has a system of "personal advisors" who are teachers in charge of your Major's program that advise and guide you on your future professional decision and job opportunities.
The campus also has a Pub to watch soccer and football games, a dining hall, frat and sorority houses to party and a swimming pool.
Life on campus is very entertaining. There is
"Being a student at Rider University is amazing opportunity and unique experience for me."
Rider also organizes many job fairs on-campus and I already attended 2 in one month, which allowed to be interviewed for a Job in a Logistics company this Summer.
The Campus is huge and there are many activities to do such as Work out in the campus Gym located in the Recreation Center.
a true feeling of belonging amongst the different residence halls and it's hard to get bored when there are more than a hundred clubs on campus (culture, international students, sports, e-sports, movie, politics, etc.).
Classes are exciting and extremely interesting thanks to the outstanding teachers working at Rider, a lot of them having a rich and deep business background behind them. I found myself many good friends, internationals (Spain, Nepal, Pakistan, Canada) and Americans thanks to the positive and welcoming attitude of everyone here.
To sum-up, Rider has revealed itself for now to be an excellent choice for my last (or not) year as a student and my up'coming professional ones.
Cécilia Turquin Coordinatrice des programmes internationaux
Mon rôle consiste à mettre en place des programmes pour les étudiants étrangers qui souhaitent venir étudier au CEFAM durant un semestre ou pour une période plus courte, et de gérer l'administration et la coordination de leur séjour (prise en charge des candidatures, accompagnement pour le visa, accueil à leur arrivée à l'aéroport et à la résidence étudiante…).
Nous leur proposons également des visites culturelles, leur permettant de découvrir la culture française sous différentes formes : une journée à Annecy, visite d'un vignoble et d'une moutarderie à Beaune, dégustation de fromages…
Mon rôle ne s'arrêtant pas là, je travaille également pour la pédagogie sur différentes missions, notamment sur la mise en place d'emploi du temps et dans l'administration de la vie associative étudiante.
Les différents aspects de mon poste me permettent d'avoir une vision globale et d'être en contact régulier avec les professeurs et les étudiants ce que j'apprécie énormément.
Study Abroad
''
I really enjoyed the time I spent in Lyon. I love CEFAM and the city. CEFAM has some very good professors and you (Aurele) :-) also helped us a lot when we stayed in Lyon and travelled to Paris. It's a fantastic experience for me. If I have a chance to study abroad, I will absolutely choose CEFAM again.
Xianchao Liu, Valparaiso University
A memorable journey, a fantastic way of learning.
All three professors were excellent! Although we were there for a short time, I have a greater understanding and appreciation for the unique culture.
Britney M., Valparaiso University
Xiao Yan, Valparaiso University
I really enjoyed visiting the museums and participating in city tours. The food selection was excellent.
Faculty members were excellent and demonstrated great knowledge in their respective fields.
Jin M., Valparaiso University
Good way to explore other cultures.
Gustavo G., Valparaiso University
The CEFAM team did a wonderful job and our time there was well structured. I appreciate all of the insight that we gained about Lyon. Student from Rider University
CEFAM leader Aurele did a great job ensuring that we went to a diverse group of companies and cultural visits so that we got to see more than just businesses. The cultural visits to the hospital and mustard factory were my favorite. Thank you for doing such a good job organizing our time in Lyon.
Student from Rider University
Paul R., Valparaiso University
Testimonials Temple University Rome
We felt so at ease knowing what capable hands we were in from the moment we stepped off the plane to the moment we left. The program you set up for us was informative, entertaining, educational, delicious and fun - a difficult balance to strike! Our students left the city with valuable insights of the city's catchy marketing strategies, as well as an appreciation of the French wine industry and the struggles an individual vintner has in making a profitable business, the importance of top quality food and a positive impression of France beyond Paris.
''
Caitlyn Hurley, Associate Dean at Temple University Rome
The perfect sized city filled with student life. From popular landmarks, restaurants, and bars, there are student discounts anywhere, just ask. And you can get to anyplace by metro and city bike which is the most reliable and affordable transportation system I have encountered.
Stephon S. from Loyola University
CEFAM, I had a great time this semester. Thanks so much for the opportunity!
Andrew, Northeastern University
Thank you so for a great semester, we will really miss CEFAM and Lyon.
Basma, Northeastern University
Thank you so much for all the trips and activities! You made all of the Americans feel so at home!
Lauren, Northeastern University
Loved it! Student from Northeastern University
I had the most amazing experience in Lyon studying with CEFAM. The professors were very knowledgeable in their fields and I leaned a lot in just 7 weeks. The CEFAM faculty were very welcoming and helped ease the transition into a new culture. The knowledge I learned both in and out of the classroom is invaluable and I am so glad I was able to have this experience.
Nicole Bonner, Northeastern University
''
The company visits were fascinating and enjoyable. I learned a lot about French Business and different business functions in general.
I very much enjoyed the program.
Student from Northeastern University
Student from Northeastern University
People who welcomed us were very friendly and willing to share their experience with us. Great program!
Student from Northeastern University
About the company visits, it was very informative and interesting to see how corporates operate in different environmental settings.
Student from Northeastern University
The visits were interesting especially because they were all very different. Interesting to see French Business culture.
Student from Northeastern University
The company visits provided an interesting dynamic to the trip and that made it more unique and gave an additional sense of purpose to the trip.
Student from Northeastern University
They were very interesting and gave a great insight into not only their respective types of business but also the French Business approach. The variety of companies was very good.
Student from Northeastern University
I thought the corporate visits were very interesting. I liked how we got to visit completely different companies. It was very insightful and we were provided with a lot of information of every company, also tied in with what we learned in class.
Student from Northeastern University
Great program. Great opportunity to learn more about real companies, enhancing practicality of the program.
Very informative and a lot of fun. Great to learn about French culture and experience business here. Student from Northeastern University
Student from Northeastern University
It was fun, interesting and I had never done something like that.
The activities were a lot of fun and I will always remember them.
Student from Northeastern University
Student from Northeastern University
I thought the activities were excellent, with the time available the different trips gave a nice variety of aspects and experiences in a foreign country
Student from Northeastern University
I thought all of the activities were interesting and well-planned. I felt each one helped open my eyes to a different aspect of life in France.
Student from Northeastern University
I experienced things I would not have been able to do on my own.
Student from Northeastern University
‘‘
It was excellent! Very appreciated everything that was organized for us.
Student from Northeastern University
Pascaline COMAS
Student Life Department
If I was going to describe how it feels working at CEFAM, I would say, without hesitation, bright / alive with an insatiable source of energy.
When I came to CEFAM I found not just a school or a working place. What I found at CEFAM was a vibrant place with passionate people: passionate teachers, passionate staff and passionate students.
CEFAM students are passionate about their projects, passionate about learning, passionate about discovering the world. We often speak about the "Cefamily" and I couldn't find a better way to describe the atmosphere of the school.
We work a lot with the students on social media, lectures in high schools, communication projects and events. The link between the communication department and the students gives them the opportunity to be part of all the school communication projects and even create their own.
We are helping our students as much as we can in the development of their business and personal skills.
I am always astonished by our students' determination, involvement, fresh minds and ideas. This effervescence is unique. We are learning every day from our students as I hope they learn from us.
Student Life in CEFAM
Salomé Dunoyer
First, I'll introduce myself, my name is Salome and I am a first-year student at Cefam.
In addition to all the advantages that our school offers from an academic point of view, Cefam is also made up of many associations.
Firstly, I am part of the Cefamous Club. We aim to promote the school in different places such as trade shows or high schools.
I am also part of the students' office; it is here that we organize different evenings. This allows us to get to know each other better between all the promotions.
Recently, the "Breakfast" project was born. The purpose of this event is to improve communication between our dean, Karine, and the students of the various classes. The concept is simple: once or twice a month we organize a beneficial and interesting for both students and Karine. It is a real success and that is why the story of the "Breakfasts" has only just begun.
On a personal level, it has allowed me to be involved in my school because I am proud to have the opportunity to be a Cefam student. This project has brought me a lot of positive
"Recently, the "Breakfast" project was born. The purpose of this event is to improve communication between our dean, Karine, and the students of the various classes."
breakfast between the dean and students. A new group of students is invited to each new session. We can describe this "Breakfast" as a moment of exchange and sharing for everyone. Céfamiens can ask questions to the dean and discuss various topics. This is things from a personal point of view. First, it allowed me to improve my organizational skills because every breakfast is different. It is necessary to take into account imperatives such as schedules. We have to find a time when the dean is available but also the students.
I like having responsibilities because I contribute in my own way to the well-being of students. I advise all future Céfamiens to get involved in an association because it is fantastic! This allows us to have experience in several areas, which can be highlighted in an interview for example.
I hope that the future Céfamiens will be as happy as I am at Cefam!
Remember: work hard and play hard!
Paul Voto
Tout d'abord, pour savoir d'où vient mon implication au CEFAM, il faut savoir ce que cela représente pour moi.
Dès lors que j'ai intégré le CEFAM, cette ambiance familiale à l'Américaine m'a tout de suite plu, et les cours 100% en anglais aussi.
De plus, il faut savoir que le fait d'avoir un double diplôme est un vrai atout de nos jours sur le marché de l'emploi, ainsi que la pédagogie américaine des professeurs qui nous accompagnent dans ce processus.
Tout cela fait que l'on se sent bien ici car on aime ce que l'on fait. Et c'est donc pour cela que la motivation et l'implication viennent naturellement lorsqu'il s'agit d'organiser des gros évènements tels que la Networking. Car ces
De plus, c'est un moyen pour le futur étudiant de voir ce qui l'attend en communiquant avec nous, en nous posant diverses questions sur notre expérience, ce qui nous fait plaisir aussi.
L'identité du CEFAM est aussi portée par les élèves, et c'est le cas de le dire car avec un autre élève de première année Timothée Viltard, nous avons décidé de créer le CEFAM Store. Il s'agira donc de proposer à court terme une ligne de vêtement à l'effigie de l'école, et sur le long terme d'ouvrir une boutique E-shop online proposant une gamme de vêtements avec des goodies.
Avec ce projet, nous voulons rendre les étudiants fiers de leur école car elle fait en quelque sorte partie d'eux en jouant un rôle crucial dans leurs vies professionnelles
« L'identité du CEFAM est aussi portée par les élèves, et c'est le cas de le dire car avec un autre élève de première année Timothée Viltard, nous avons décidé de créer le CEFAM Store. »
évènements sont organisés pour nous les élèves, donc participer à l'organisation est naturelle.
Concernant la mise en place des journées concours, tout est fait pour que l'étudiant passe une bonne journée malgré le stress, car on est passé par là aussi et ce n'est pas facile.
mais aussi sociales.
De plus, étant une école de commerce FrancoAméricaine, nous nous devions de lancer ce projet pour renforcer le côté corporate de l'école comme l'incarne à la perfection toutes les universités Américaines.
Singa GUEI
During my freshman year at CEFAM, I noticed that no event was organized linked to arts and culture. I am very passionate about the arts, especially music and cinema.
During the whole year, I thought about what could have been done in order to promote arts and culture. Thus, the following year, I created the BDA which means "Bureau des Arts" in French and "Art Office" in English to promote and organize artistic events in the school.
In the beginning, I was very concerned about whether students would interested in it because the school was not used to those and a fashion show. Our first year was a big success, and we were very grateful for that because we were able to gather people who may not have had a strong interest in arts at first. As the president of the BDA and the founder, a lot of responsibilities come with this position; however, all members are
"As the president of the BDA and the founder, a lot of responsibilities come with this position."
kinds of events. However, many of them contacted me to join the association which became the actual creation of the BDA.
With the work of everyone, we organized cinema sessions, role plays, a karaoke party, very involved in the association and thanks to a strong team spirit we are able to rely on each other. This year, I want members to be even more involved in the association by giving them more responsibilities regarding their interests with the BDA. To do so, we will favor a larger more inclusive structure for the organization.
By doing so, I am looking for the BDA to remain a strong association in CEFAM during the following years because the association cannot rely on one person, but a team. If the BDA can still exist in five or ten years, I will consider it a Success Story.
Arthur SOUSTELLE
When I was in my last year of high school, I knew I wanted to work in Business, but I didn't know how I would learn it. I only knew I wanted to integrate a Business school into my education. A colleague of my mother showed us CEFAM. Therefore, I went to the website; I saw CEFAM
organized the 48h (CEFAM's open house) to discover the school and the atmosphere of the school. So, I decided to go on and see it with my own eyes.
they were here to talk with us, to meet new people, just like me in a sense.
During my 48h, I decided to sit the entry exam for CEFAM right after. So instead of 48h I did 72h. For the last night, I spent it at Marina's, in the
"At CEFAM, I found a family: the CEFAMILY."
During my 48h, I met so many amazing people, who all became my friends. In the beginning, I was quiet, but after one day of observation, I realized one thing: Students were not there to force me to integrate into the school;
student's home, which remains one of my most beautiful encounters. This year, when I arrived at CEFAM, I decided to participate in the 48h but this time I was on the other side, as a host and I have no regrets.
This experience is still one of the best.
When I discovered the school, I did not just find where I wanted to study. At CEFAM, I found a family: the CEFAMILY.
Mathilde Taborda
One unique role that a student can wish for is the title of "President of the BDE" (student life
The main difficulty that I faced in this role was my time management. I needed to manage association). This role is essential in a school as it means working with students as a leader and as an administration reference. This title is also very personal; everyone will act differently if they have the opportunity to become one. At Cefam it is very important for me to represent the culture of the school as it is mostly inspired by our international diversity!
It feels great to have responsibilities, to work as a team and to manage a budget, especially when students are expecting a
"I need to manage my time between my classes, my job, the association and my personal life. People do not always realize the responsibilities that come within the title…"
lot from you at the end of the year for the annual gala.
my time between my classes, my job, the association and my personal life. People do not always realize the responsibilities that come within the title… I became more patient, more rigorous and an active listener! It was great to have regular contact with professionals as it helped me to develop some skills – such as communication – for my future career development. Most importantly, being implicated in the school is essential for every student and when I officially became president it was the greatest recognition I could ask for. Go Gamma Phi!
Erin MONAGHAN Directrice du Corps Professoral
As Director of Faculty, I am responsible for managing our team of professors. This includes overseeing their professional development, helping them manage their relationship with the student body, and advising them on various pedagogical topics such as classroom management and learning styles.
We also have an active ERASMUS+ program, in which we send our professors to teach in our partner schools and receive professors from these institutions as guests lecturers.
This program gives our students access to experts from all around the world, and it allows our professors to enhance their teaching skills.
We have partner in the United States, Azerbaijan, Bhutan, Ghana, Kazakhstan, and Russia.
Professors
Chris Zanda Introduction to Financial Accounting,
Introduction to Managerial Finance, Intermediate Managerial Finance
Chris is an Illinois native who holds a B.S. and an MBA in Finance, the former from Illinois State University and the latter from DePaul University.
The thing you enjoy most about working at CEFAM is…
I enjoy watching the students' progress. When they first come to CEFAM their level of English is basic and they are often timid; but, when they leave they are confident, dynamic & ready to conquer the business world!
How have you been able to bring your professional experience to your classes?
I discuss how the "real world" works using financial analysis, financial planning, auditing and sometimes professional careers/relationships.
Accounting and financial principles are great but reality needs to be mixed into the equation so students will be well prepared for their business careers. And remember "Excel is your friend!"
What do you think makes CEFAM different from other business schools?
The relationships, the administration, teachers & students know each other well and everyone is friendly and accessible. CEFAM is a very positive environment that feeds on watching students grow: not many schools offer "office hours" to help students progress!
George Chryssomalis
Market Research and International Business
George holds an MBA in International Business from McGill University. He has recently retired from Sanofi Pasteur where he held several senior positions, including Vice President of New Product Marketing and European Marketing Director.
What do you think makes Cefam different…?
What do I enjoy most…?
A couple of things stand out for me. The faculty has extensive professional experience which we build into and transmit during our classes. This way, students benefit from both theory and practical application of what they are studying. What makes this even more interesting is what I call "professor-student proximity". Classes are the right size which allows for more interaction between students & professors and we all keep office hours to work with students individually. All this makes for a constructive and enriching learning experience.
The atmosphere and sense of community that runs across the students, the professors and the administration. Cefam's goal is to prepare and support students in their quest to be effective young professionals in a North American & international business setting and it's nice to part of that collective dynamic.
Jennifer Orth-Veillon
American Literature, Intellectual Heritage and Public Speaking
Jennifer A. Orth-Veillon holds a Ph.D. in Comparative Literature from Emory University. She specializes in the literature of war and the experience of the American veteran. She has led writing workshops for veterans on university campuses and has taught over twenty courses on different modes and mediums for war veteran memoirs. In her teaching, writing, and research, she seeks to understand the complexity of war through its shifting place in cultural memory and history. She is also the curator and editor of the Official United States World War One Centennial Commission' "WWrite Blog: Exploring the Influence of WWI on Contemporary Writing and Scholarship."
What is your favorite class to teach?
I love my American Literature class, ENG 230, because I get a chance to introduce students to the fascinating world of America's best short stories, plays, poems, essays, and novels. The survey approach allows the students to get a little taste of the incredible variety that the constantly-expanding American canon offers. I think all students find at least one author they get excited about. The most interesting part is watching students make connections between the literature and issues they are studying in their other class like history, economics, art history, and finance. They get to see that literature has not only shaped American artistic culture; it has also shaped American thought and ideals, which applies to every discipline we study here at CEFAM.
Have you been able to bring any professional experience to your classes?
I have always been a teacher of literature and communication. I am also a professional nonfiction and fiction writer. I've written two Master's Degrees, one doctoral thesis, a novel, many essays, and short stories – in English, my native language, and in French, my second language.
I think I really understand the complexities and, yes, even the joys of writing in general and, more specifically, writing in another language. I think my experience as a writer allows me to empathize with them and to better communicate that writing is a long process that takes work. No one writes a prize-winning essay the first time around. Good writing requires lots of revision, many drafts, and, sometimes, starting over. It's painful, but I know that students are very proud of well-written work in the end. It's worth it!
What do you enjoy most about working at CEFAM?
I really enjoy the relationships I have been able to develop with my colleagues and the students. We are small, but we are dedicated and competent! I feel that my fellow professors sincerely desire success for their students and are willing to work hard with them to achieve it. It's a positive, nurturing professional atmosphere, which is something that I haven't found teaching in other universities. In turn, the students also want to work hard to achieve good things. I like to see all of the smiles around the campus.
Public Speaking,
Julie Bosc
Principles of Management and Organizational Policy
Julie is a French native who became a citizen of the world at a young age, growing up in the Gulf region and South East Asia and attending international schools. She holds a Bachelor in applied foreign languages and Marketing/Communication, and an MBA with a focus on marketing. She has almost 10 years of professional experience in marketing and management.
What do you think makes CEFAM different from other business schools?
What is your favorite class to teach?
CEFAM has a unique identity. The American culture highly influences the pedagogical approach, which is student-centered and benevolent.
The environment is positive with great communication between teachers, students and the administration team.
How have you been able to bring your professional experience to your classes?
I managed an international team for many years as a Marketing and Business Development Director. I use this experience to give my students a realistic approach to management and prepare them in the best possible way for their imminent entry into the professional world.
My favorite class to teach is organizational behavior. I find the subject fascinating and the notions learned in class are useful for both their future professional and personal life. Organizational behavior helps students understand how to manage individuals efficiently, but it also encourages them to introspect and better understand themselves as individuals.
What do you enjoy most about working at CEFAM?
There are many things I enjoy about working at CEFAM, it's hard to pick one!
* I appreciate the organization and the relationship with the administrative team and the faculty.
* The students are internationally oriented, driven and well behaved. They learn fast and it is the greatest satisfaction to watch them evolve and grow.
* The international environment at CEFAM reminds me of my own studies I enjoyed so much, so I guess I feel at home!
Raluca Mărginaș
English Composition I & II
Raluca's research and teaching experience is anchored in literature, language, and pop culture. More precisely, a Ph.D. in Comparative Literature, an M.A in History of Images-History of Ideas, and a B.A in Romanian-English Literary and Linguistic Studies from Babeș-Bolyai University. She was interested to find out when academic theory, comments, rigorous methods and ideas matter in the real world so her studies went further in developing skills and competencies through formal and non-formal learning and in applying them in cultural mediation programs.
The thing you enjoy most about working at CEFAM is…
How have you been able to bring your professional experience to your classes?
* The international context in which students exercise their flexibility and their world views for life-long learning.
* The collaboration among teachers.
* The curiosity of first year students.
* Their willingness to participate in cultural enhancement, personal development and foreign language proficiency.
Consistently with the perspectives of formal and non-formal methodology, my objective is to benefit students educationally, linguistically and culturally, under the English Composition umbrella. That is, to immerse them in the entire process, the renegotiated space where they are able to create together a well-crafted essay.
Working with a group's dynamics I focus on creating a shared identity and sense of belonging by bringing students from diverse linguistic and cultural backgrounds while advancing awareness and literary knowledge.
Diane Sklar Business Computer Applications
Diane holds an MBA from New York University in Computer Applications and Information Systems and a BA in English Literature and Art History from the State University of New York at Albany. She has specialized in implementing crime detection analytics and case management projects in Anti-Money Laundering and Fraud.
What do you think makes CEFAM different from other business schools?
How have you been able to bring your professional experience to your classes?
CEFAM has a rich technology Platform. The campus has many classrooms that are equipped with as many as 30 computer workstations so that each student can work individually on computer projects, or work in teams as necessary. Software products are available in French and English so that international students can use the interface they are most comfortable with. Recently, a new building opened and it's great to be able to teach in a sparkling new facility.
My mission is to teach students how to use basic business software to be as efficient as possible. In the business world we say time is money. I give students techniques that will give them a boost in productivity, like organizing their email inbox, maintaining their calendars, using common keyboard shortcuts and using Excel to do all kinds of calculations on large volumes of data. With these skills in their toolbox, students can hit the ground running in their first internships and first paid positions.
Germain LAMBERT Head of Corporate Relations
How to describe what I do as the Head of Corporate Relations in a nutshell?
If I were to summarize it very succinctly, I would say that my goal is to help students to evolve from being Freshmen to professionals.
I am constantly working closely with professionals to understand their needs and make sure our students are ready to face the "after-graduation-world".
In order to do that, my team and I organize a dozen workshops a year to prepare them for the job market.
These workshops include, CV writing, job interview simulations, personal branding, professional and personal development amongst others.
Finally, they will have to do two internships while they are with us: the first one at the end of the first year and the second between the second and third year. These work experiences are really what drive our students to become true professionals.
Once they leave CEFAM and they graduate, they all become part of the big CEFAM Alumni family.
This network represents 1 300 Alumni spread across 70 countries and Cefamiens can rely on it to discuss their own professional projects.
It is very special to be able to work with students for the three years they spend in Lyon and then be able to see what they become after they leave us.
It is truly rewarding to witness the relationships between Cefamiens and the school lasting for so long.
Internships
Amélie ROUGERON
London Chamber of Commerce London, United Kingdom
I applied to the London Chamber of Commerce, with the support of Caroline Delacroix, who is responsible for relations with companies at CEFAM. The deposition and the study of my resume were followed by a telephone interview during summer 2017 in the City of London.
The company is the biggest issuer in the UK. It provides services to more than 2500 of its network members like events offers, legal advice, HR, exports, doc delivery and promotion members' business.
I had to update CRM, to do administrative tasks, organize meetings, member sponsoring a new member) in order to maximize the membership.
I really enjoyed being in a friendly working environment with an open minded and available team. I was quickly considered as an employee
"I was quickly considered as an employee and have participated in prestigious events."
and analyze competitors. And also, I had to manage the ambassador program (an old and have participated in prestigious events. London is a tremendous city!
It's been a global and complete experience. I learnt to be professional (language, dress code, time management…) The total immersion made me learn quickly, I improved my English… to give yourself at 2000%, because we can meet great people who can help us for future job research, and live the experience abroad fully.
Elsa GUILLON
Soletanche Bachy Auckland, Nouvelle-Zélande
J'ai réalisé mon stage de 6 mois en finance à Auckland (Nouvelle-Zélande), au sein de Soletanche Bachy, branche de Vinci Construction.
Surfer les soirs de semaine, découvrir les paysages mythiques de films, ou encore dormir à la belle étoile ont été les points clés de mon expérience.
Cette expérience représentait pour moi de nombreux challenges et j'en suis définitivement sortie grandie.
J'étais en charge du suivi de l'avancement des coûts liés aux différents projets. J'ai également élaboré des programmes de budgétisation ainsi que les résultats des comptes afin de procéder à un audit.
Pour moi, ce fût comme vivre au paradis et je
« Ce stage m'a permis d'appliquer les nombreuses connaissances acquises au CEFAM.»
Ce stage m'a permis d'appliquer au monde réel les nombreuses connaissances en comptabilité et finance acquises au CEFAM.
n'hésiterais pas une seule seconde à repartir dès demain.
Bien que mon expérience fût extrêmement enrichissante dans tous les domaines, la qualité de vie néo-zélandaise m'a permis de voir le monde autrement.
En d'autres mots, décrocher ce stage et vivre au rythme de ce merveilleux pays fût la meilleure des expériences.
Arthur NAULIN
Assistant Commercial / Sales Assistant Live! by GL Events
J'ai trouvé mon stage chez GL Events en cherchant sur Indeed et sur l'espace entreprise du CEFAM. J'ai d'abord eu une conversation téléphonique qui m'a permis d'obtenir un entretien avec mon futur maître de stage. Celui-ci m'a rappelé le soir-même et le lundi suivant je commençais mon stage au sein du leader mondial de l'événementiel. En 2018, GL Events a dépassé le milliard d'Euros de chiffre d'affaires.
participer à l'événement sur place. Je me suis vu confier d'importantes responsabilités montrant la confiance que m'accordait l'agence.
GL Events comprend 3 pôles d'expertises :
* GL Events Venues qui gère un réseau de 40 sites d'événementiel en France et dans le monde ;
* GL Events Exhibition qui est le pôle dédié à l'Organisation de salons professionnels et grand public en France et à l'International ;
* GL Events Live qui a pour vocation d'accompagner les entreprises annonceurs, les institutions et collectivités, ainsi que les organisateurs d'événements dans
J'ai également participé à la commercialisation de l'événement EVS32 (Electric Vehicle Symposium & Exhibition) qui aura lieu dans le Hall 6 de Eurexpo Lyon du 19 au 22 mai 2019. Il s'agit d'un événement international sur la mobilité électrique. Cet événement rassemblera la grande famille des mobilités non carbonées, des voitures électriques aux trottinettes électriques, en passant par les fabricants de batteries et de bornes de recharge, tous seront
« Cela m'a permis d'acquérir de nouvelles compétences professionnelles. »
la stratégie, la conception et la mise en œuvre de leurs événements.
Ma mission consistait à vendre ou à aider à vendre des stands, des mètres carrés, lors de congrès et salons organisés par l'agence. J'ai eu la responsabilité de trouver un partenariat en lien avec le Golf pour le congrès de la SFAR (Société Française d'Anesthésie et de Réanimation). Ce congrès permet à l'agence de réaliser un chiffre d'affaires de 2 290 000 €. Cet événement a eu lieu au Palais des Congrès, porte Maillot, de Paris du 27 au 29 septembre 2018. J'ai également eu l'opportunité de présents lors de la 32 e édition de l'EVS. L'événement s'organise alternativement entre l'Europe, l'Asie et l'Amérique du Nord. Ce symposium est organisé avec l'AVERE et l'AVERE France et en collaboration avec la WEVA (World Electric Vehicle Association).
Ce stage fut très enrichissant professionnellement car cela m'a permis d'acquérir de nouvelles compétences professionnelles comme l'autonomie, la confiance en moi, et le phoning qui sont très importants dans le poste de commercial événementiel. Il fut également enrichissant personnellement car j'ai eu la chance de travailler au sein d'une équipe soudée qui a su me faire partager leurs expériences professionnelles et m'intégrer comme un membre de l'équipe commerciale. Mon stage s'étant terminé le 20 décembre, l'équipe d'EVS32 tient quand même à me faire participer à l'événement qui se tiendra au mois de mai 2019.
Nathan DE OLIVEIRA
Birmingham, United-Kingdom
KIMAL PLC
At the end of my second year, I was looking for a fulfilling experience abroad, targeting English speaking countries. Looking at potential offers in the UK via LinkedIn and www.internship-uk.com, I was delighted when I got in touch with Kimal's Marketing Manager, Ruth Clarke, who accepted my application.
and websites into French and took part in meetings with managers and directors to learn more about how to run a business. I also had the opportunity to shadow Sales Representatives several times through their meetings and business reviews with nurses and consultants in Hospitals.
Kimal is a family owned company and profit making organization distributing Specialized Procedure Packs and Vascular Access devices mainly across the UK, Europe and the Middle-East.
Founded in 1964 by George and Diana Press, the company is now managed by their son Alan whose passion for the medical sector and innovation has been widely spread among all the employees.
This internship was useful both on a profes-
"Learning from experts and people committed to their work was a great chance for me."
I spent most of my time in the Marketing Department while working also with people from operations, finance and sales. My role was to assist the Marketing team in developing Kimal's brand image worldwide, learning about the sales representative job and acquiring knowledge about the medical sector and how to run a company. I translated applications sional and personal level. I had the chance to live in England for 6 months, learning a lot about the country's culture and people. The working environment was pleasant and serious. People were very professional and dedicated to their work while visitors coming into the company or my department could notice the family aspect of the company and the positive mind-set of every employee. On
a personal level, I managed to forge longlasting relationships with several co-workers with whom I am still in contact with and tripled my LinkedIn contact list. Looking back, learning from experts and people committed to their work was a great opportunity for me and will be useful for the rest of my professional career.
Lara BARSKI
Eventerprise Cap, Afrique du Sud
J'ai travaillé 6 mois en tant que stagiaire en finance dans la startup Eventerprise au Cap en Afrique du Sud.
Eventerprise est une plateforme internet (SaaS) connectant professionnels de l'événementiel et clients cherchant à organiser un événement.
Rattachée au département finance, mes principales missions regroupaient gestion comptable, trésorerie, analyse du marché, recherche d'investisseurs ainsi que gestion du portefeuille d'investisseur.
J'ai également effectué des missions en marketing, communication, gestion du personnel, design...
l'entreprise et de travailler avec des personnes de tous horizons. J'ai travaillé sur des missions exceptionnelles comme la candidature et victoire de la co-fondatrice de Eventerprise aux Stevie Awards for Women in Business pour laquelle je me suis rendue à New York.
J'ai acquis beaucoup de connaissances
« Mon conseil pour un futur Céfamien serait de tester l'environnement startup. »
Mon stage a été un réel succès puisque l'univers startup m'a permis d'avoir un poste polyvalent dans un environnement dynamique et en constante évolution. J'ai aussi beaucoup apprécié le fait d'être considérée comme les autres employés, d'avoir une voix au sein de techniques et interpersonnelles qui me permettront d'aborder sereinement mon entrée dans le monde du travail.
Mon conseil pour un futur Céfamien serait de tester l'environnement startup puisqu'en général, il permet d'avoir une vision assez globale des différents milieux professionnels et d'avoir de réelles responsabilités.
Les entrepreneurs n'ont pas de temps à perdre avec des stages d'observation. Je conseille également à tous de ne pas avoir peur de partir dans des pays moins développés comme l'Afrique du Sud, qui sont des pays incroyables et pleins de surprises.
Clara DANTIN
Sierra Marketing Sydney, Australie
J'ai effectué mon stage de six mois chez Sierra Marketing, une agence marketing à Sydney en Australie.
Dès le début, j'ai été très bien accueillie par l'équipe et me suis adaptée à ma nouvelle vie australienne très facilement.
En tant qu'assistante marketing, mes principales missions étaient la gestion des réseaux sociaux de clients, la création d'infographies, l'utilisation et la mise à jour de CRMs ainsi que l'écriture d'articles publiés sur les sites internet de clients.
et extrêmement enrichissants tant au niveau personnel que professionnel. J'ai aussi eu l'opportunité de travailler et de créer des liens solides avec des clients provenant de pleins de secteurs d'activité différents.
En plus d'une excellente expérience profes-
« Je suis maintenant certaine que je veux poursuivre une carrière dans le domaine du marketing.»
J'ai également contribué à l'organisation d'un évènement regroupant plus de 250 invités dans un endroit mythique de Sydney.
Grâce à la confiance que m'ont très vite accordés mes collègues et supérieurs, j'ai eu la chance de travailler sur des projets uniques sionnelle, vivre au rythme de Sydney m'a permis de grandir et d'apprendre dans de nombreux domaines.
La qualité de vie australienne et le multiculturalisme qui caractérise la ville ont réellement été sources de motivation pour moi.
Cette opportunité m'a également guidé quant à mon futur choix de métier.
Grâce à mon travail chez Sierra Marketing, je suis maintenant certaine que je veux poursuivre une carrière dans le domaine du marketing et potentiellement créer ma propre entreprise dans ce secteur.
Internship Tutors
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Overall, Melvin has done in his time this far at PwC. He has adapted quickly, which has meant that he can easily work with different teams as and when the need arises. He is encouraged to work on his development areas and continues to demonstrate his strengths.
Kwame AGYEI, PWC, Ghana
Chloé a fait preuve dès son arrivée d'une grande capacité d'adaptation : intégration rapide dans les différentes équipes, familiarisation avec les dynamiques / « langage » du business et flexibilité dans la gestion des tâches. Elle a démontré par ailleurs une forte maturité professionnelle dans l'organisation de son travail ainsi qu'au travers de sa communication. Chloé est toujours souriante et désirante d'apporter son aide.
She definitly added value for us with her communicative skills.
Maurice DON, TRIGLOBAL, Netherlands
Anthony MOMMER, GE MEDICAL SYSTEMS, France
Fabuleux ! Nous avons passé un très agréable moment avec Jonathan. Il a su parfaitement s'intégrer et prendre une place à part entière.
Pierre-Yves LAMBELLIN, EURO INFORMATION, France
We are happy Louise could support our team. She's creative and fast. And very willing to work. It was a great initiative and brave of her to come to Holland for this internship. I am sure she learned a lot both at work and outside of work. She is still young, she will learn more about independent assignments and pro active work and communications. It was difficult to work on all projects because of the language gap, but she managed it well. I wish her all the best.
Caroline Tjan, Kuehne + Nagel, Netherlands
Timothée a effectué un excellent stage. Il a évolué dans le secteur du consulting en sûreté et en sécurité, domaine professionnel très particulier qu'il ne connaissait pas du tout. Timothée a su immédiatement dépasser cette difficulté en s'imprégnant de nos outils marketing et en montrant un intérêt réel pour ce métier. Timothée a très rapidement pris en compte les taches qui lui ont été confiées et le résultat final de ce qu'il a produit est au bien au-delà de ce que nous espérions obtenir. Nous disposons désormais d'outils prêts à être utilisés et essentiels pour notre département vente et marketing.
Alban STEPHANT, RESTRATA, Dubaï
Salome is a lovely member of staff, one of the youngest we have had. She has picked up everything quickly and her command of English is good too. She works on her own initiative and asks questions when needed. A very polite young lady.
Chetna KHATRI, CHILDCARE INTERNATIONAL, United Kingdom
In 12 years welcoming interns into our company, I have never given a perfect score. Clara truly broke the mould. Her adaptability, eagerness and capacity to learn and learn fast, as well as her attitude, marketing knowledge and communication skills are second to none. Clara is a strong team player. She contributed a lot to our business and she will be missed.
Marion DI BENEDETTO,
SIERRA MARKETING, Australia
Alexandre a rapidement trouvé sa place dans notre agence, grâce à des valeurs essentielles dans le monde professionnel et des qualités recherchées en banque. Il a révélé des aptitudes commerciales et une aisance dans son expression, qui lui ouvrent de bonnes perspectives.
Christophe MARDELLE, BANQUE PALATINE, France
Not much more to say… She was almost pefect.
Carlos ATIENZA LAMBA, YELLOW NEST HOSTEL, Spain
Nathan a été un excellent stagiaire qui a su s'intégrer comme un vrai membre de l'équipe et en un temps record. Il a fait preuve d'une curiosité et d'une rapidité d'application qui nous a permis d'avancer très rapidement dans son apprentissage. Il a été disponible et facilitant dans notre quotidien sans jamais oublier qu'il était là pour apprendre avant tout. Il mérie cette note.
Clotaire ROYER, MERCEDES BENZCONCESSIONNAIRE, France
Overall, I have been extremely impressed with Anaïs' performance since joining the team. She has taken on activities with real positivity and enthusiasm and has performed over and above my expectation for her level. Anais has become an asset to the team and her knowledge of the financial systems, but also of Excel/IT in general, has brought big efficiencies to the Central Finance team and our processes.
Bethany HODGSON, NBC UNIVERSAL, United Kingdom
Thomas displayed strong commitment, while working on different assignments throughout his internship to date - he communicates very well to supervisors and does not hesitate to ask questions and speak up if something is not clear. He manages his time very well, informing his superiors if something is nearly done in order to not sit around idly waiting for new tasks. His time management is very good and he understands well when something is explained to him, so there is no need to repeat tasks and subjects again. He is progressing very well and is displaying a keen interest in the work he is doing. Gareth VAN GENSEN, DELOITTE, Luxembourg
Jerome has been one of the best interns we've had here. He took on his basic tasks, excelled at them, and went on to improve processes, train other interns and improve the way the whole department worked. I would definitely recommend Jerome to any entry level positions at NBC.
Harold OFOSU AMAAH, NBC UNIVERSAL, United Kingdom
What a great individual and what a great experience for us all l believe! Broken Bow Ranch is a better place because of Camille. She impacte the business as well as the individual employees in a very positive way.
Gay Leigh BINGHAM, BROKEN BOW RANCH, USA
Alumni
Cécile GALOSELVA (1995)
Lauréate d'Or dans la catégorie Femme Chef d'Entreprise pour les Trophées « Les Femmes de l'économie » Auvergne-Rhône-Alpes & Genevois en 2017
Après un BTS Commerce International, j'ai rejoint en septembre 1993 le CEFAM en admission parallèle, un an à Lyon puis un an à ODU, Norfolk, Va pour décrocher un bachelor en marketing et management.
J'ai choisi d'étudier au CEFAM car je voulais devenir bilingue et spécialisée dans le marketing. À ce moment-là, le CEFAM était la seule école qui proposait un double diplôme en partenariat avec 3 universités américaines.
Ce dont je me souviens le plus c'est l'atmosphère multiculturelle, l'aventure de pouvoir étudier à l'étranger et l'excitation de découvrir un nouveau mode de vie.
Mon stage m'a aussi beaucoup aidé à progresser car j'ai pu apprendre à travailler sur les réseaux, le fait d'apprendre sur le tas m'a également beaucoup aidé. Cela m'a également appris à construire un CV.
Après avoir été diplômée, j'ai travaillé un an aux USA (dans la vente) grâce à un visa d'un an.
internet pour QUINTESS, qui me sponsorisa pour faire le MBA de la Saïd Business School à Oxford en 2001. Sur place, j'ai travaillé 2 ans dans l'édition en tant que Directrice de la stratégie d'expansion en Europe, puis j'ai découvert le monde de l'entrepreneuriat social et rejoint ETHICAL PROPERTY pendant 6 ans.
Je suis rentrée en France fin 2010 pour adapter le modèle à la France avec www.etic.co.
« Ce dont je me souviens le plus c'est l'atmosphère multiculturelle, l'aventure de pouvoir étudier à l'étranger et l'excitation de découvrir un nouveau mode de vie. »
Puis je suis revenue en France, je suis resté 5 ans à Paris dans 2 petites sociétés, d'abord en tant que responsable marketing d'une TPE dans le secteur des loisirs puis en tant que responsable des grands comptes dans le domaine de la fidélisation en pleine bulle
Je suis maintenant la directrice générale fondatrice d'une entreprise sociale, www.etic.co, qui crée des espaces d'éco-activités pour les ONG et qui a un réel impact sur les entreprises. Aujourd'hui, les 18 salariés d'ETIC exploitent 8 espaces de travail mutualisés (tiers-lieux éco-conçus) dans 6 villes de France hébergeant les bureaux et des commerces de plus de 250 organisations engagées pour une société plus juste, plus équitable et avec le respect de l'environnement.
Le Trophée Cheffe d'Entreprise à beaucoup motivé les équipes d'ETIC et je suis très fière d'avoir pu partager ces moments avec eux.
La reconnaissance fait beaucoup de bien et permet de redoubler d'efforts pour naviguer avec les hauts et les bas de l'aventure entrepreneuriale !
Benjamin BOUIN (2017)
Controleur de gestion junior chez Cofidis Slovaquie
J'ai intégré le CEFAM car c'est une école à taille humaine tournée vers l'international avec des cours 100% en anglais.
Le VIE a été un choix d'orientation professionnelle car les entreprises qui recrutent des VIE savent que les postulants n'ont pas une grande
L'école nous offre l'opportunité d'obtenir un double diplôme, ce qui est aussi quelque chose de très important afin d'avoir une meilleure reconnaissance à l'international.
J'ai obtenu mon diplôme en mai 2017. En juillet 2017, j'ai directement intégré Cofidis Slovaquie pour commencer mon VIE d'un an et demi, lequel j'ai souhaité prolonger de 6 mois.
Le VIE (Volontariat International en Entreprise), est un contrat français ouvert à tous les européens de moins de 28 ans qui souhaitent réaliser une mission de maximum 2 ans dans une entreprise française à l'étranger.
« Je recommande aux Cefamiens de se tourner vers le VIE ou le VIA (selon les missions proposées) pour qu'ils puissent continuer de se former à l'international mais aussi de découvrir de nouvelles cultures. »
Le salaire est fixé par l'État et réajusté trimestriellement soit à la hausse, soit à la baisse selon le pays d'expatriation.
expérience professionnelle, ce qui permet d'être formé convenablement, de travailler à l'étranger et d'avoir un pied dans l'entreprise. Il y a la possibilité de négocier un contrat local par la suite, de rentrer en France travailler pour ladite entreprise ou tout simplement de chercher un emploi dans une nouvelle boite, le fait est qu'après le VIE, il y a une belle ligne sur le CV.
Je recommande aux Cefamiens de se tourner vers le VIE ou le VIA (selon les missions proposées) pour qu'ils puissent continuer de se former à l'international mais aussi de découvrir de nouvelles cultures, de se faire un réseau à l'international mais surtout de montrer à l'entreprise pour laquelle ils travaillent qu'ils sont réellement mobiles. De plus, si l'expatriation n'est au final pas leur choix ça leur permettra d'avoir un pied dans une entreprise internationale française.
Anthony MARQUES (2010)
Senior Energy and Power Option Trader chez CEZ République Tchèque
J'ai choisi le CEFAM car je ne rentrais pas forcément dans le moule des études à la française, c'est-à-dire, passer le bac, rentrer en Prépa, puis ensuite aller en École francofrançaise pour enfin travailler dans une entreprise franco-française, cela ne me correspondait pas du tout.
Je me suis donc posé la question : « comment je peux retomber sur mes pieds tout en contournant un peu ce schéma ? ».
Ensuite pour mon stage de 6 mois, je suis allé au Luxembourg chez Citi Group. Moi qui commençais à me dire que je souhaitais m'orienter dans la finance, je voulais une sorte de confirmation dans les faits et ça a été assez révélateur. Je me suis dit que j'avais bien aimé les gens, la mentalité, ce que ça permettait de faire, les perspectives, la notion du boulot. Donc ce stage m'a conforté dans ce choix.
Faire des études aux USA me donnait envie depuis tout petit donc j'ai voulu allier les deux, tenter le coup de poker et voyons si ça marche au CEFAM pour moi.
Le fait que l'on puisse faire un stage de 3 mois puis de 6 mois au CEFAM a définitivement compté dans mon choix. J'estime que c'est la base, que le théorique peut emmener jusqu'à un certain point mais qu'il y a des limites et qu'il est important d'apprendre sur le terrain pour faire face à
Donc outre le fait de sortir de la théorie, mes stages m'ont permis de valider mes choix. En effet, j'ai eu de la chance, j'avais des tâches assez complexes, j'étais assistant du Head
« Outre le fait de sortir de la théorie, mes stages m'ont permis de valider mes choix. »
des problématiques de la vie de tous les jours dans le travail. Pour moi, c'est dans ce que l'on rencontre dans nos expériences professionnelles que l'on se forme.
Concernant les stages, celui de 3 mois, a été la première fois que j'ai habité à l'étranger, c'était à Londres. Au bout de 10 minutes en entreprise, je me suis demandé si je parlais la même langue mais c'était assez intéressant et formateur. C'est aussi comme cela que l'on se pousse, que l'on se met au niveau. C'était divisé en 6 semaines en marketing et 6 semaines en comptabilité, ce qui m'a permis de voir ce qui me plaisait et de faire le tri. Pour moi, c'était ça l'utilité et l'intérêt des stages.
of Sales. Donc c'était très riche et complet. Il y a aussi des stages un peu moins intéressants sur le plan technique, mais au moins, ces stages permettent de rencontrer du monde et d'échanger des expériences. Cela m'a donné des perspectives : je suis trader à l'heure actuelle, j'ai rencontré quelqu'un qui était un ancien trader et qui m'a dit qu'il vivait les meilleures années de sa vie dans ce poste. C'est pourquoi je me suis orienté dans cette voie.
Voulant un job qui est ultra technique, je me suis dit que gagner une année en technicité ne ferait pas de mal. Donc j'avais pris des cours assez avancés en Maths et en Finance à Northeastern auxquels j'avais le droit grâce à mon GPA. Et ensuite je me suis dit que j'allais postuler dans certains des meilleurs Masters en Finance au monde. J'ai pris l'IE à Madrid, et j'ai donc fait un an de finance en Espagne, avec 35 cours de finances différents et assez complexes, sur tous les sujets. Ça m'a permis de gagner la technicité que j'espérais, les premiers jobs restent assez techniques, et c'est ce que je voulais faire. Ça m'a donc apporté des choses très utiles comme les maths avancées ou encore la programmation informatique.
Suite à cette expérience, j'ai décidé de suivre ma copine à Londres. Donc, j'ai fait un stage dans une boite de Private Equity de fusionacquisition et d'investissement. À la fin des 3 mois de stage, ils m'ont offert un job que j'ai refusé car j'avais reçu une offre de stage dans un Edge Fond pour être assistant trader et gestionnaire de portefeuilles.
Lors de ce stage, je me suis occupé de tout automatiser au sein de leur entreprise, et de programmer tout leur système de calcul. Suite à cela, ils m'ont aussi proposé un job avec une rémunération qui était dans les plus hautes de ma tranche d'âge, donc j'ai sauté sur l'opportunité. J'ai donc bossé chez eux pendant 3 ans au total.
Ensuite j'ai travaillé à Dubaï, c'était dans la continuité logique de ce que j'avais déjà développé, donc ça me plaisait. Il s'avère que dans les faits, cela a été tout l'opposé, c'est une expérience qui s'est plutôt mal passée (problème culturel, problème de gestion catastrophique, division entre occidentaux et indiens, pertes d'argent). De ce fait, j'ai quitté l'entreprise mi-2017 et je suis revenu en France pour chercher du boulot. Je viens tout juste de trouver un travail de senior trader dans le pétrole à Prague.
J'ai réussi à trouver ce poste à Prague grâce à beaucoup de travail de fond sur le développement du Network. J'avais déjà un bon réseau professionnel, je l'ai rendu excellent. Je me suis fait connaitre et j'ai connu tous ceux qui pouvaient m'apporter quelque chose. J'ai également fait un énorme travail sur les recruteurs : plus de 115 recruteurs contactés. Un de ces recruteurs m'a contacté et à partir de là, ça a été un processus long de plus de 3 mois entre le contact initial et la signature de l'offre.
Si vous êtes à la recherche d'un premier emploi il ne faut pas se leurrer, que ce soit pour un premier emploi ou pas, tout se fait par chasseurs de têtes et connections professionnelles. Celui qui espère avoir un retour en postulant sur un site internet, a très peu de chance d'aller de A à Z dans le processus de recrutement. Pour les postes les plus prestigieux, ils se trouvent tous par réseaux.
Mon conseil : il ne faut pas perdre espoir car cela va être sûrement beaucoup plus long que ce qui avait été envisagé au début. Il ne faut rien laisser au hasard non plus, il y a plein de choses qu'on ne peut pas contrôler mais on peut contrôler ne serait-ce que le fait de ne pas faire de fautes sur un CV.
Adeline GARDAN (2018)
Visa OPT d'un an New York
Après avoir été au Pair pendant deux ans près de New York City, j'ai décidé de reprendre mes études dans une école de commerce Franco-Américaine.
et de me rendre compte que je pouvais mettre en pratique mes cours de Marketing et Management pour cette expérience.
Pour moi, il était évident de continuer à pratiquer mon anglais et de le perfectionner au quotidien autant par écrit qu'oralement.
Pendant mes 3 ans aux CEFAM j'ai eu l'opportunité de faire deux stages.
J'ai effectué mon premier stage de 3 mois chez Bo Concept, une franchise d'ameublement d'intérieur. Durant ce stage, j'étais « Marketing intern » pour les cinq magasins de New York City. Une expérience, qui avec du recul m'a beaucoup appris sur le mode de travail américain.
Pour mon deuxième stage, je suis partie à Barcelone pendant 6 mois chez Alliance Laundry Systems en tant que « Trade Show and PR intern ». Ce stage m'a appris à travailler au sein d'équipes aux nationalités diverses
Pour ma dernière année aux USA, mon choix était déjà décidé depuis mon premier jour. Pace University était l'école dans laquelle je me voyais faire ma dernière année d'école de
« Je recommande le CEFAM à tous les étudiants qui souhaitent vivre une expérience qui ne ressemble en rien au système scolaire Français. »
commerce. Après avoir passé un an à Pace University, je sais maintenant que mon choix était le bon. J'ai eu la chance de vivre à NYC et d'étudier sur un campus Américain pendant 9 mois.
Le CEFAM m'a permis d'avoir cette chance incroyable d'avoir un double diplôme Français et Américain. Je recommande le CEFAM à tous les étudiants qui souhaitent vivre une expérience qui ne ressemble en rien au système scolaire Français.
Grâce au CEFAM j'ai eu la chance de grandir et d'évoluer entourée de professeurs et d'amis qui auront marqué ma vie pour toujours. En choisissant le CEFAM, je choisis la différence.
Alban PELLEGRIN (2011)
Consultant Pôle commerces et entreprises Lyon, France
Le cursus proposé par le CEFAM m'a tout de suite plu. Plusieurs choses ont retenu mon attention je dois dire. Tout d'abord, l'opportunité d'obtenir un double diplôme à la fin de mes études. Un titre de niveau 7 (bac +5) reconnu par l'État Français ainsi qu'un BBA Américain. Ensuite le CEFAM propose l'intégralité de ses cours en anglais et pour moi c'était et c'est toujours un point fort. Enfin, j'ai pu trouver un style d'enseignement vraiment différent du système plus classique que l'on retrouve dans les autres écoles de commerce.
que ça allait être quatre fois plus impressionnant que tout ce que j'avais pu voir à la télé. J'en garde des souvenirs impérissables.
Avant d'intégrer le CEFAM, ce que j'ai fait pour vraiment m'imprégner au maximum de la culture anglo-saxonne, eut été de partir 2 ans à Londres. Ce séjour en Angleterre n'est pas obligatoire, mais m'a permis d'apprécier les choses sous un angle nouveau.
Au CEFAM, 2 stages, au minimum, nous sont proposés, un stage de trois mois et un de six.
Ensuite, j'ai participé à Koh Lanta et quelle expérience ! Là-bas, tout est plus fort, plus intense ! Je prends souvent l'exemple du chat dont on doit multiplier son âge par 7 pour s'approcher de « l'âge humain ». Une journée sur Koh Lanta, c'est pareil, tout est 7 fois plus ! Essayer de passer une journée en dormant seulement que quelques heures, avec des inconnus et tout ça sans téléphone, ces 24 heures vont vous sembler extrêmement longues.
« En faisant ce choix, je voulais vivre la vie d'étudiant à l'américaine à fond. »
J'ai décidé de jouer la carte internationale à fond et j'ai décidé de partir 3 mois en Argentine pour travailler pour une ONG. Ce fut une expérience incroyable que je recommande vivement à chaque étudiant.
Mon deuxième stage fut effectué dans un endroit qui m'était un peu plus familier, en effet, étant Lyonnais de souche, je fus accepté à l'OL (l'Olympique Lyonnais).
Pour ma quatrième année, quand vint le temps de choisir mon université Américaine, je rejoins celle de Rider à Lawrenceville, située entre New York et Philadelphie. En faisant ce choix, je voulais vivre la vie d'étudiant à l'américaine à fond. J'étais loin de m'imaginer
Malgré le manque de sommeil, de nourriture et la promiscuité non-stop, j'ai adoré. Ce fut une aventure humaine incroyable qui forge le caractère. Sur l'île on forge des amitiés très fortes qui durent toute la vie ! Cette expérience hors du commun nous change de façon profonde. On apprend énormément sur soi et
ça nous aide à avancer. On se rend compte de la force du mental et que lorsque l'on est à bout de souffle, le mental permet de repousser ses limites et de voir le verre à moitié plein, toujours.
À travers les épreuves, on apprend à croire en soi toujours plus et surtout, surtout on comprend que sans les autres, on ne peut tout simplement pas avancer.
C'est sur ce dernier message que j'aimerai vraiment conclure en disant que oui, je rejoins Sartre, « l'enfer, c'est les autres » mais que sans un travail collectif, on ne peut rien accomplir.
Nathalie NGUYEN (2001)
Executive Director chez Morgan Stanley New York
As I was looking for the next steps after my Baccalaureat, I knew that I didn't want to go to a French university and really liked the option of doing half of my study in France and the rest in the US or London. At the time, there were only a handful of Business schools that offered this kind of program and CEFAM was one of them. In the end, I chose CEFAM for its program, location (Lyon was closer to Marseille than Paris) and its partnerships with the US colleges.
I have very fond memories of the CEFAM. From making life-long friends (one of them was my bridesmaid) to the wonderful teachers! The program was intense and some classes were tougher than others but the camaraderie and the investments that the professors had in us was a wonderful experience. CEFAM prepared us very well to the US university and my transition to Temple University was seamless.
Management and Insurance, and Finance and ultimately became a Property & Casualty underwriter for a small family company after graduation.
I only stayed in the Insurance industry for a year post graduation. I had an opportunity to
"I am now an Executive Director at Morgan Stanley, specializing in Liquidity and Funding, where I oversee my team for all audits over Corporate Treasury and Liquidity Risk Department."
My internship in the US provided me with my first experience in corporate America. I worked for 2 major insurance/brokerage companies and got to learn a lot of about underwriting risks. I graduated from Temple University with a double major in Risk join one of the Big 4 accounting firms (EY) and they offer to send me back to school for a Master of Science in Accountancy at the University of Virginia. While at EY, I specialized in Financial services, more specifically the Banking Capital Market, and worked as an external auditor for one of the largest global bank, as well as very large hedge funds. I stayed with EY for 13 years and left it as a Senior Manager to join Morgan Stanley, internal audit department.
I am now an Executive Director at Morgan Stanley, specializing in Liquidity and Funding, where I oversee my team for all audits over Corporate Treasury and
Liquidity Risk Department. As a 3rd line of defense, I'm making sure that Morgan Stanley is in line with internal standards and regulations and I frequently meet with regulators (FRB, FDIC and OCC) to present and discuss our findings.
Cyrill Rothermundt (1993)
Head of EMEA Professional Services chez SmartStream Londres, Royaume-Uni
I lived abroad for most of my education apart from the last 3 years running up to the BAC spent in France. I wanted to go traveling again, and after spending a year studying nuclear physics I realised that Finance/ Business was probably better suited to me and my aspirations.
I remember teachers setting you up for success and treating you like adults. They cared and were always accessible to give you a helping by a VSNE there for 18 with a further 3+ years as an employee. I had the calling of being more of an entrepreneur so I joined a startup to run the operations for Europe and Asia out of London. We sold the business in 2005 and I stayed there until 2010. I then tried my hand at consulting and freelancing which suited my personal situation at the time but with the uncertainty of Brexit and an exciting challenge with my current employer I rejoined the permanent fold.
hand and guidance. They were also involved in the day to day life of the student lives and activities.
I spent four months in India as a care taker in a coal mine for a team of French technicians, operating on a 3 shift basis, 6 days a week. At the time I had to miss the first three weeks of my second year, but the benefits offered such an experience
"This is a high intensity role but the challenge and the lack of routine makes it very exciting."
that outweighed the missed classes and Jean Michel/David Russell authorised the absence. I did miss the induction of the newbies but it was a sacrifice well worth it. This internship thaught me resilience, patience and more importantly opened my eyes to the harsh realities some people face on a daily basis.
I have had may roles around the Financial services industry. I started at BNP Paribas in New York as an intern for six months followed
I am currently the Head of Professional Services (EMEA) for SmartStream Technologies. We offer world class software solutions to our customers mainly in the financial services sector. I am responsible for the teams/ consultants implementing the software at our clients. My team is called upon for bespoke customisations, implementation projects, business change… One of my main drivers is to ensure that delivery does not become a sales problem. My team's focus is to provide the best service to our customers so that they can become our advocates for new projects either at the same client or somewhere else. This is a high intensity role but the challenge and the lack of routine makes it very exciting. I can safely say that for the past twelve months I have not had two days alike… Onward and upwards!
Sylvain Mestrallet (2011)
Head of Financial Planning & Aanalysis chez GE Paris, France
I first heard about CEFAM in a career fair in Lyon. I was initially there with my father to look at engineering schools. This was a turning point as I was still undecided in terms of what I wanted to do after high-school and was already considering moving away from my engineering background to study in a business school.
Finally, the year I spent in Philadelphia was a highlight. Living in a top city in the US and studying in a large university was always something I had wanted to do. This experience would have been a lot different without the support we received from the CEFAM administration team. They helped for a smooth transition and remained available throughout the year.
What I learned about the program at CEFAM convinced me this was the right thing to do. I was also particularly excited about evolving in a fully international environment and the opportunity to get the double degree in the US for the last year.
First, I remember the people I have met there and the relationships we built. The students, professors and the administrative crew were all extremally supportive from day 1 which really helped me adapt to this new environment.
The classes were a lot more interactive than I was used to in the traditional French system. I found them quite inspiring, even if I remember feeling a bit over-
My first internship was more than 10 years ago. Hard to believe. Those experiences were key steps in my career journey.
"I was also particularly excited about evolving in a fully international environment and the opportunity to get the double degree in the US for the last year."
whelmed at first with all the classes entirely taught in English. The finance and economics classes quickly became my favorites ones. First, because I identified myself to the analytical and outcome driven approach, but I also loved the competitive spirit across the class and throughout the group projects. In addition, I felt that my (average) English level at the time was not as much a barrier in those classes as it was in other ones. This motivated me to outperform!
The internship search was more challenging and took more time than I expected in the first place. I already knew at the time that I wanted to work in finance, but I had a limited network in this field. I'm grateful for the relationship I built with professors and friends at CEFAM. They were not only an unbelievable support system but also were critical to put me in contact with the right people and help prepare for interviews (thanks Mary, Nico, Will, Sophie and Ornela!).
The internship and entry level roles were also a great confirmation that Finance was a good fit. I was able to learn the roots of corporate finance and gained a lot of self-confidence in the process as I realized I could deal with fast-paced environments and deliver on expectations.
For all current and future CEFAM students, there is some advice that I wish I had received at the time that I believe could be applicable to you:
* Time off is the essence when applying for internships (preparation really matters!). Start early and be proactive. Don't hesitate to contact alumni or profiles aligned with your interests to ask them questions and understand what it took them to get there.
* Don't settle for the minimum. Try to understand well your manager's expectations and deliver on them early to build trust and accountability (focus on quick wins). The most interesting projects or opportunities are usually offered to people who already demonstrated they can take on more and are not afraid of challenges. Be that person! Finally, spending time to get to know people around you (even if they are not from your department / area of comfort) pays off significantly as it helps you build lasting relationships and better understand the big picture. Ask them what they do and whether you can sit with them for a day.
* Give first before taking. People are a lot more likely to invest on you if they feel you are committed to help them when the time comes (better if you already helped them). Some tasks seem less attractive on paper but make a big difference for your colleagues. Look around, put your ego aside and help!
* Perception is reality. First impressions count! There are simple things you can do to influence how people around you will view you and your work. In most cases, this
has nothing to do with how much you know about a topic or how many years of experience you have. Here are some examples: maintaining a high say-do ratio, showing up on time, always being prepared, taking responsibilities for what you did well / not so well. Start embedding those into your personal and professional routine and they will pay off in the long term!
After a few months in London at NBC Universal, I joined the Finance Graduate program at General Electric. This was a great foundation to learn multiple sides of the Financial Analyst role while changing teams and countries four times in two years (France, Germany, Italy and Algeria).
Then, I joined the Corporate Staff for three years which was a global team of associates rotating across countries (mostly between the US and Europe) and conducting internal advisory and audit engagements. This was a very accelerated learning experience. For the first time, I had the chance to lead very diverse teams on transformation projects or balance sheet audits. This experience was fast-paced and challenging but also extremely rewarding. I had to constantly adapt to new situations and learn about new businesses in record time and provide recommendations to the respective CFOs and CEOs.
Jean-Michel PERRENOT Président et co-fondateur du CEFAM
Le CEFAM a été créé en 1986 à Lyon.
Le projet consistait et consiste toujours, à préparer des étudiants dans un programme post-bac aux métiers du management et du développement international en partenariat académique avec des universités américaines réputées et reconnues, accréditées par l'AACSB. Il s'agit d'un parcours en 4 ans d'études et de stages en France puis aux États-Unis, débouchant sur l'obtention du diplôme du CEFAM – de niveau 7 – et simultanément du diplôme (Bachelor of Business Administration) de l'Université dans laquelle l'étudiant termine son parcours.
Le partenariat académique consiste à enseigner un programme de cours à Lyon correspondant aux contenus définis avec les universités partenaires par des professeurs anglo-saxons de haut niveau ; les notes obtenues en France sont « transférées » par les universités américaines comme si les cours avaient été suivis dans leurs cursus pour ne faire aux États-Unis que la dernière année d'études.
NB, il ne s'agit pas d'un programme de cours conçu pour les étudiants du CEFAM mais du programme usuel que suivent tous les étudiants de la business school de l'Université.
C'est une des fiertés du CEFAM d'avoir constitué un corps professoral international répondant aux critères académiques des partenaires américains. Ils savent mettre en œuvre une pédagogie active basée sur les principes des « classes inversées », véritable stimulant pour les étudiants en même temps que c'est un grand changement pour eux comme une préparation indispensable et efficace à leur parfaite intégration dans leurs cours aux États-Unis.
Au-delà de l'enseignement des techniques de management, la dimension interculturelle est déterminante de même que la maitrise des « soft skills », compétences transverses et comportementales qui apparaissent toujours plus comme des éléments distinctifs aux regard des entreprises.
Le partenariat avec des institutions réputées aux États-Unis ne visait pas à transformer de jeunes français en « américains » mais de donner par l'immersion dans les cours et la vie sur le campus américain lors de la « senior year » (4ème année) aux États-Unis une ouverture d'esprit, une prise d'autonomie et de responsabilités appréciées pour le premier emploi par les entreprises. Sans parler bien sûr de l'excellente maitrise de l'anglais que confère un tel parcours.
CEFAM
Centre d’études Franco-Américain de Management
Lyon & USA
CEFAM / Campus HEP LYON - RENÉ CASSIN
47, rue Sergent Michel Berthet 69009 LYON - France
Tél : +33 (0)4 72 85 73 63
Fax : +33 (0)4 72 85 72 13
firstname.lastname@example.org www.cefam.fr
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