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Volunteering is:
The commitment of time and energy for the benefit of society and the community, the environment or individuals outside ones immediate family. It is undertaken freely and by choice, without concern for financial gain.
The principles of volunteering further define it as:
■ A vibrant expression of active citizenship and community involvement.
■ Driven by its outcomes and impacts.
■ A means of adding value to the work of an organisation or group.
■ Never a substitute for paid employment.
■ Based in grass roots community participation yet incorporates the business community and government.
■ A unifying theme which creates cross sectoral partnerships.
■ A tool for the promotion of inclusion and part of the wider equality agenda.
■ A dynamic force for change which has positive effects on the volunteer individuals, organisations and communities.
■ A tool for empowering people and communities to fulfill their potential and contribute to social change.
INTRODUCTION
This publication was not born from a single vision but is the combination of many ideas from people from different backgrounds and viewpoints.
Diversity in volunteering means diversity in terms of the people involved and diversity in the opportunities available. Volunteering should be an inclusive process in which people from diverse backgrounds and with diverse skills can participate, regardless of race, gender, religion, disability, sexual orientation etc.
The aim of this booklet is to encourage organisations to reflect on diversity in volunteering, on the barriers to diversity in volunteering and what it means to be a diverse organisation. The guidance can be embraced by organisations of all shapes and sizes.
Common Questions and Concerns about Diversity in Volunteering
Below are some common questions and concerns about diversity and volunteering. The answers are designed to quickly allay any fears or reservations you might have. As you read through them pick the one, or combination, most relevant to your organisation and go to the section indicated. Alternatively you might decide to start at section one and work your way through. The choice is yours!
What exactly is meant by diversity in volunteering?
Go to section 1
What is a diverse organisation?
Go to section 2
We would love to be more diverse but there isn't much variety in our area. All the people are alike and our volunteers reflect this. It will be difficult for us to meet targets and encourage different types of people – because there are none!
Go to section 3
We have an equal opportunities policy. Do we need to do more?
Go to section 4
Our volunteers just get on with their work, we don't have any polices relating to volunteers, never mind a diversity strategy!
Go to section 5
Our volunteers are fine as they are. I don't want to go upsetting the apple cart and risk losing volunteers. What's in it for our organisation?
Go to section 6
Talking about diversity is all very well but what can we actually do about it?
Go to section 7
We have very limited resources. There is no way we can afford ramps or material printed in different languages. Is there anything we can do?
Go to section 8
Are there other organisations that can help us?
Go to section 9
What is diversity in volunteering?
Diversity in volunteering means two things:
■ A varied body of volunteers, and
■ A varied selection of roles that volunteers can carry out.
These two aspects of diversity in volunteering are inter- linked. Different kinds of people are attracted to different activities and so it follows that if you offer a diverse range of volunteering roles they should attract a diverse range of volunteers.
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"Diversity not only assumes that all individuals are unique i.e. different, but that difference is indeed value-added."
Santiago Rodriguez, Diversity and volunteerism, Journal of Volunteer Administration, Spring 1997
"Volunteers are more likely to be female, married and in full time work."
Volunteering in Northern Ireland,
Volunteer Development Agency, 2001
2 What is a diverse organisation?
A diverse organisation is one which:
■ Views individuals as unique.
■ Is welcoming to everyone.
Recognises that people with different experiences and ■ outlooks on life bring fresh ideas and new perceptions.
■ Listens to its stakeholders and adopts policies and practices which harness the energies of its diverse body of volunteers.
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■ Views diversity as a positive attribute which helps make the organisation's work more relevant and accessible to all kinds of people as well as valuing diversity as an end in itself.
■ Is innovative and creative.
■ Involves volunteers at all levels, carrying out all kinds of roles.
3 3 What is the range of people we are talking about? When we talk about an organisation, which is diverse, we mean one that represents the community that it is in. It is not about setting targets or trying to be all things to all people. Y ou must be realistic about what can be achieved but at the same time think creatively about what diversity means. Think about diversity in terms of making everyone feel welcome, in particular consider how your volunteer team could have a mix in terms of:
■ age
■ socio-ecomonic class
■ employment status
■ religion (remember that there are more than two religions in Northern Ireland)
■ educational attainment
■ ethnicity
■ gender
■ sexual orientation
■ political opinion
■ whether a volunteer has dependents
■ marital status
■ disability (keep in mind that some disabilities are hidden).
Also keep in mind that everyone is a combination of several of the categories above.
Diversity in Volunteering
Case Study - Diversity of People
A local community development association, in a Protestant area of Belfast, was working on a strategic plan for the next five years. When it came to examining how representative their volunteers were, the group restated their commitment to equal opportunities, but emphasized that their mission was to serve their local community, which was 100% Protestant. The group had good links with the community association in the nearby Catholic estate, but it was unrealistic to expect them to recruit Catholics as volunteers.
The consultant working with them on the strategic plan pointed out that being diverse and representative is not just about religion. To be truly representative and diverse the group should look at the different kinds of people within their own community.
Once they started to think about it was hard to stop. For example, they pointed out that there were people with disabilities in their community, yet they had no disabled volunteers. They discovered that although there were a lot of lone parents in the area, none of them were volunteers. The group decided to target these two under represented groups but realised that they did not have the expertise to discover why these people were not coming forward as volunteers.
They decided to ask a few people with disabilities and lone parents in the area what would encourage them to get involved. One lone parent pointed out that she was bored sitting at home and would love to get out and about. However, she could not afford childcare. The group did not yet have the resources to reimburse this expense, but they pointed out they ran a crèche in the mornings for local parents to try and raise some funds. They decided that the children of volunteers could attend the crèche free of charge while their parents are volunteering.
Volunteer Now 2005
A disabled person in the area said he was interested in getting involved in the management of the group. However he said that he would have trouble getting into the groups offices to attend meetings and this put him off volunteering. The group admitted that the premises were not ideal. They were currently looking for funding to help improve access but in the immediate future they decided to hold committee meetings on the ground floor, rather than in the meeting room upstairs, where they had been meeting for the last ten years.
4 4
Is diversity the same as equal opportunities?
An equal opportunities policy is one important part of encouraging and managing diversity in your organisation. In many cases equal opportunities is about 'righting a wrong'. It recognises that certain groups have been discriminated against or disadvantaged and aims to redress the imbalance. This is essential and extremely valuable.
Diversity is more strategic. It is about making sure that everyone is welcome and facilitated, not just the groups of people that you can identify as under-represented or that are identified in legislation. Equal opportunities usually focuses on specific groups of people e.g. targeting recruitment at women, while diversity is about facilitating each individual to become involved, what ever their needs. The difference lies in the motivation and focus of the two.
5 5
How can we get started?
Different organisations are at various levels of development with regard to volunteering. If you currently do not have a volunteer policy or have never thought out procedures for effectively managing your volunteers, this is an obvious starting point. Research has shown that if volunteers are managed well, they are more likely to stay and enjoy their volunteering. Effectively managing your volunteers' means developing appropriate polices and procedures, e.g. a recruitment policy or procedures for support and supervision. You can build diversity into your policies and procedures. If you are doing this for the first time then you can ensure that diversity is a key factor of your volunteer strategy. The Volunteer Development Agency provides information and advice to assist organisations develop polices and procedures for the effective management of volunteers. For contact details see the Where can we go for help? section at the end of this document. If you already have policies and procedures for managing volunteers then they can be reviewed in light of what you learn from thinking about diversity.
Why should organisations encourage diversity among their volunteers?
By encouraging diversity in volunteering your organisation will:
■ Benefit from new ideas and fresh approaches generated by people from different backgrounds and experiences.
■ Help ensure that your work is relevant to and impacts on all kinds of people in society.
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■ Present a more welcoming face to volunteers, client groups and the general public.
■ Help promote the inclusion of groups who may feel they are on the margins of society in Northern Ireland.
■ Have more volunteers.
■ Be better equipped to respond to the needs of your community or service users.
■ Attract new clients or service users.
In an article in the personel magazine Human Resources, Geraldine Brown explains, "Since being with your own kind makes you feel safe, while being with those who are different makes you feel uncomfortable, there is a natural tendency in organisations for managers to recruit clones. This is hardly good for business; if everyone thinks the same, you won't get new ideas. Similarly, recruiting people because their face fits is hardly the best way of finding new talent."
Case Study - Diversity of Roles
A charity shop in Dungannon had a reliable group of five female volunteers. All the women were around the same age and had become firm friends over the years. The local volunteer bureau contacted the Volunteer Organiser of the charity and told them they had been contacted by a young fashion and design student who was interested in volunteering in a charity shop. The student had indicated that he had a keen eye for design and wanted to practise his talents and contribute to a worthwhile cause at the same time. The Volunteer Organiser at first thought that a young male would not really be the ideal person to volunteer in their shop. She was conscious that all the current volunteers were very happy with arrangements and the organisation did not want to risk losing a good team of volunteers. However the Volunteer Organiser agreed to speak to the volunteers and assess the situation. The shop volunteers did seem a little reluctant to change at first so the Volunteer Organiser asked if there were any particular roles they could think of which would utilise the students' skills.
They suggested that the shop windows could be a little more exciting. It was agreed that the new volunteer should be given the role of looking after and creating visual displays, leaving the other volunteers to get on with their usual roles of pricing goods and dealing with customers. When the new volunteer began his role his energy and enthusiasm rejuvenated the group of volunteers. As a result of the new window displays, the sales in the shop rose by £200 in the first week. The Volunteer Organiser admitted that introducing a new type of volunteer and finding an appropriate role did require more effort on her part, but it was well worth it!
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What will encouraging diversity involve?
Starting to consider diversity in volunteering in your organisation will mean you will have to take action in three areas:
Reflection and Research
This is about examining how your organisation currently stands with regard to diversity.
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Policy and Practice
This is about what you do and how you do it – the practical arrangements of how you operate
8 Image and Information This is about the image you project and how you communicate information about your organisation to your volunteers, staff members, clients, user groups and the general public. 8 Action Points Below there is a list of a number of practical things that you can do to begin looking at diversity in volunteering.
All of these things will have an impact on the diversity of the volunteers you attract and the roles they play. Some of these things may not be relevant to every organisation so you will need to decide which things you do first.
■ Survey a number of key people in your organisation, in particular volunteers and find out how they think you are doing with regard to diversity, do they think your organisation is representative of wider society? What kinds of people are currently under represented in your organisation? Are you doing anything, which they feel, is discriminatory or makes it difficult for different kinds of people to volunteer with you? What can you change or do better?
■ Audit your volunteers, including your management committee. Find out what kind of people volunteer with you already and identify what groups of people are missing. Ask your volunteers if there is anything you could do to assist them in their volunteering e.g. written information in large print or on audiotape.
■ Draw up an equal opportunities policy as part of your organisation's overall volunteer policy.
■ Examine your recruitment policy. Do you always advertise in the same places or rely on existing volunteers to recruit new people by telling people they know?
Case Study - Diversity in Communications
A large children's charity was finding it increasingly difficult to recruit new volunteers. When reviewing their recruitment processes, the Volunteer Manager looked closely at how they advertised volunteer vacancies. The organisation was registered with the local volunteer bureau, it advertised in the local library, doctor's surgery
and sometimes in local newspapers. While the organisation felt this was fairly comprehensive, it was obvious that there was a large section of the public they were not reaching.
The Volunteer Manager decided to try putting posters in a series of new places. She began to advertise in the local drop-in centre for people with disabilities and the offices of a group set up to support gay men. She contacted the local umbrella group for people from minority ethnic communities and advertised in the newsletter of the local rural network. When the time came for the organisation's bi-annual recruitment road show they set up information stalls in local centres, clubs for people with disabilities and attended a session of the local support group for lone parents. The dates and times of other road shows were advertised in the gay press as well as in the usual places. The Volunteer Manager found that the number of people interested in volunteering increased.
■ Review the practical arrangements you make with your volunteers. For example:
* When arranging meetings or activities consider the time and venue, disability access, child friendly arrangements, is the food suitable?
* Do you reimburse volunteer's out of pocket expenses?
* Are you flexible about how much time volunteers are required to give, can you tailor this to suit each volunteer?
* Do you create an open and inclusive atmosphere in your organisation or are you prone to 'cliques', which might make it hard for new people to join in?
■ Ensure that all staff members and volunteers are aware of your organisation's equal opportunities policy and receive training on its implementation
■ Look at the kinds of roles volunteers carry out in your organisation. Is there any new role you could create that could attract new volunteers? Try to find something different, which will attract different types of volunteers.
■ Think about how you will meet the needs of new volunteers. For example if you provide written information and a volunteer requires this on audiotape how will you facilitate this? Getting the mechanisms in place will mean that you will have a clear idea about what is possible and how to react when a request is made. Make sure that all members of staff know what is available and are aware of the correct procedures.
■ Audiotape is a particularly good way of communicating information. It makes it immediately accessible for people who have visual impairments and since the spoken word is often easier to understand than written, tapes are also useful for people who do not use English as their first language. Y ou could contact the Blind Centre for Northern Ireland for more information on how to develop information on audiotape.
■ Convene a diversity working group to look at your current policy and practice. Draw up a strategy for increasing diversity in your organisation and oversee the implementation of the strategy.
Diversity in Action
Joined in Equity, Diversity and Interdependence (JEDI) is an initiative which brings together the various parts of the Northern Ireland youth sector, in a partnership to promote change and development.
Equity – a commitment to fairness including the redressing of any identified undesirable or inequitable balance.
Diversity – encouraging respect for and expression of the range of identities represented by young people in Northern Ireland and those who work with them in the youth sector.
Diversity in Volunteering
Interdependence – recognizing and exploring ways in which our individual paths are intertwined. Building relationships and trust.
The joint aims of the initiative are;
■ To imbed the inter-related principles of equity, diversity and interdependence into the ethos, policies and programmes of the organisations which make up the youth sector.
■ To develop a coherent strategy for community relations, youth work and education for citizenship within the Northern Ireland youth sector.
For further information visit the JEDI web site at www.jedini.com
■ Look at the make up of your management committee or governing body and consider increasing the diversity.
■ Be aware of diversity when developing written materials. Be careful of the language you use and the images you present.
■ Offer your written information and publicity material in a variety of formats eg a large print version or audio tape.
■ Think clearly and carefully about the impact that your diversity strategy will have on your existing volunteers. People are apprehensive about change and volunteers may feel threatened or in some way undermined. Aim to involve existing volunteers in the development of the strategy and provide them with full information on its implementation and how it will effect them. Consider what action you will take if volunteers resist the implementation of the strategy.
■ Monitor why volunteers leave your organisation. Is it for personal reasons? Do they have needs which are not being met? Does your organisation have a policy or
practice, which makes it difficult for them to continue to volunteer with you?
This list of action points is by no means exhaustive and not all of the actions will be relevant to your organisation. It is up to you to work out what is appropriate for you and act accordingly.
For information on all areas of involving volunteers contact:
9 9 Where can we get help? Some of the organisations listed below have been involved in this publication. Y ou can contact them for advice. However this list is not exhaustive and there are many more organisations who have expertise in the areas of diversity and inclusion.
Volunteer Now 129 Ormeau Road, Belfast, BT7 1SH Tel 028 9023 2020 Email firstname.lastname@example.org Web www.volunteernow.co.uk
For information on involving people from black and minority ethnic communities contact:
Multi-CulturalResourceCentre
12 Upper Crescent, BelfastBT7 1NT
Tel 02890244639
Email email@example.com
Web www.mcrc.co.uk
For information on involving young people and the voluntary youth sector contact:
Y outhNet The Warehouse 7 James Street South, Belfast BT2 8DN Tel 028 9033 1880 Email firstname.lastname@example.org Web www.youthnetni.org.uk
For information on disability issues contact:
Disability Action NI Portside Business Park, 189 Airport Road West, Belfast BT3 9ED Tel 028 9049 1011 Email email@example.com Web www.disabilityaction.org
For information on older people and volunteering contact:
Age NI 3 Lower Crescent, Belfast BT7 1NR Tel 028 9024 5729 Email firstname.lastname@example.org Web www.ageuk.org.uk
For information on sexual orientation contact:
Coalition on Sexual Orientation (COSO) Third Floor, 33 Church Lane, Belfast Tel 028 9031 9030 Email email@example.com Web www.coso.org.uk
Useful publications:
Volunteer Now has produced a comprehensive set of five workbooks outlining best practice for the involvement of volunteers. Entitled As Good As They Give, the books are aimed at the individual or team responsible for managing volunteers. The books can be used as a learning resource or as a basis for group training sessions. To view these publications and many others visit www.volunteernow.co.uk.
The Royal National Institute for the Blind has produced excellent guidelines to help organisations produce written material in accessible formats. To order a copy of See It Right contact:
RNIB
224 Great Portland Street, London W1W 5AA Tel 020 7388 1266 or Web www.rnib.org.uk
Information is also available from the Blind Centre for Northern Ireland, contact:
Blind Centre for Northern Ireland 70 North Road, Belfast BT5 5NJ Tel 028 90654366 Email firstname.lastname@example.org Web www.bcni.co.uk
Skill - The National Bureau for Students with Disabilities have produced two documents which are useful in helping organisations to create volunteering opportunities for people with disabilities. To order a copy of Disability Equality in Volunteering and/or Into Volunteering – positive experiences of disabled people contact Skill:
Chapter House
18-20 Crucifix Lane, LONDON SE1 3JW
Voice/text: 020 7450 0620
Web www.skill.org.uk
The Coalition on Sexual Orientation (COSO) has produced a booklet called Equality and Sexual Orientation: a guide to involving and consulting lesbian, gay, bi-sexual and trans communities. For a copy contact :
COSO
Third Floor,33 Church Lane,BELFAST
Tel 028 90319030
Email email@example.com
Web www.coso.org.uk
DIVERSITY IN VOLUNTEERING
DIVE
129 Ormeau Road
Belfast BT7 1SH
Tel: 028 9023 2020
Fax: 028 9023 7570
Email: firstname.lastname@example.org
Web: www.volunteernow.co.uk
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GLOBAL MARKET UPDATE
The Final Countdown
With just a week to go, all eyes are now on the US Presidential election. Polls continue show a Bidenlead by a wide margin on the national level. According to the New York Times, the second Presidential Debate did not really move the dial for either of the candidates. But, let's not forget that there are other relevant topics on the horizon for investors, such as the negotiations between the Democrats and Republicans to construct and pass a new round of economic relief bill.
This week, the leaders of the Communist Party in China will meet to map out the next phase of economic developments. By the end of the convention, the Party will draw up and pass the 14th five-year plan, which may gravitate around technological innovation, economic self-reliance and a cleaner environment. The Party will also set goals for the next 15 years, as President Xi wishes to make progress on China becoming a global lead in technology and other strategic industries.
DUE TO TECHNICAL DIFFICULTIES, THIS WEEK'S EQUITY MARKET MOVERS AND MARKET DATA CANNOT BE DISPLAYED. WE THANK YOU FOR YOUR UNDERSTANDING.
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UNITED STATES
Stock markets in the US went through a choppy week. Broad stock indices delivered mixed returns by the end of Friday (the S&P 500 declined 0.5% and the Nasdaq Composite decreased 1%), as IT stocks faltered. Investors continue to assess the size, composition and time of a new round of economic relief bill to be passed as well as the US Presidential polls as election day is now dead ahead.
EUROPE
Investor sentiment in European stock markets were influenced by several factors during the week, such as the introduction of new mobility restrictions across EU member states, some downbeat macro data releases in core Euro Area economies and Brexit negotiations. Overall, the amount of uncertainty present weighed on investor sentiment and kept a lid on stock indices. In this environment, the German DAX declined 1% in USD, whilst the Spanish benchmark rose 1.7% in USD by the end of the week.
Retail sales in Poland rose 2.5% YoY in September, lifting off from the 0.5% YoY pace seen in August. Annual sales of food, pharmaceuticals and cars considerably improved in September.
The Russian central bank left the policy rate stable at 4.25%. According to the communique released by the Monetary Policy Council, there is a fairly high chance that the key rate will be cut in the coming months provided inflationary developments allow.
ASIA PACIFIC
The Philippine stock index delivered a stellar return of 10.5% in USD during the week after weeks of sluggish performance. Local investor sentiment was boosted by the fact that the economy continues to re-open and President Duterte keeps pushing to speed up the approval of the 2021 budget by Congress. Furthermore, the Pakistani benchmark (+4.2% in USD) and the Vietnamese country index (+1.9% in USD) delivered strong returns as well.
According to the latest minutes of India's central bank (RBI), the Monetary Policy Council left the door open for further rate cuts and easing measures in the near term. Members in the minutes hinted that when CPI inflation moderates, interest rates are likely to be lowered, again.
The current account remained in surplus in Pakistan for the third consecutive month in September, amounting to USD 73mn. A year ago, Pakistan's current account was in deep deficit (USD 278mn). The improvement is primarily attributed to a sharp rise in remittances (+31.3% YoY in September).
Vietnam's Prime Minister said that real GDP growth could end up in the range between 2 and 3% in 2020 followed by a pronounced acceleration to 6% in 2021. In order to mitigate to the impact of the crisis on the Vietnamese economy, the Finance Ministry allowed the fiscal deficit to widen relative to the original target of 3.4%. Budget deficit will be 5.0-5.6% of GDP in 2020, according to the Finance Minister. As a result of the wider-than-planned fiscal gap, the gross public debt ratio will rise to around 57-58%. In the longer term, the Prime Minister foresees average real GDP growth around 6.5-7% in the period between 2021-25. To sustain such a high pace of growth the government would raise the amount spent on public – infrastructure – investments to VND 2,750tn for the 202125 period, from VND 2000 between 2016-20.
The Philippine Finance Minister, Mr. Dominguez stated that GDP could contract by 6% in full-year 2020 followed by a 'strong' rebound in 2021. Authorities have attempting to re-open the country, especially the capital and surrounding regions, which have been under – partial – lockdown for almost eight months. As a step towards this direction, mobility restrictions were relaxed during the week allowing non-essential and reducing curfew hours.
Industrial production rose 10.7% YoY in September, accelerating from 3.6% YoY in the previous month. The improvement was primarily driven by a pick-up in manufacturing activity (+11.3% YoY in September), as production of both consumer and investment goods strengthened.
The Malay king rejected PM Muhyiddin Yassin's request to declare a state of emergency. The budget bill for 2021 is set to be discussed on the 6th November, which could be follow by a no confidence vote it is not passed. A state of emergency would have meant that the vote on the budget would not have been required.
LATIN AMERICA
Investor sentiment was positive in Latin American stock markets during the week. The Chilean stock market had an exceptional week, as the stock index rose 7.1% in USD by the end of Friday. The relevant Brazilian stock index rose 3.4% in USD.
In Chile, an overwhelming majority voted in a referendum to draft a new constitution to replace the current document dating back to Augusto Pinochet's dictatorship. With 87% of votes counted, a 78.2% backed a fresh charter, a key demand of protesters who took to the streets last year. Negotiations and debates will now begin before a final vote on a new charter in about two years' time.
Opposition lawmakers in Peru initiated an impeachment process against President Vizcarra, again. This time 27 MPs supported the motion. The matter is already on Con- alquity.com
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gress' agenda for deliberation, and it will take at least 52 votes for proceedings to start.
Retail sales volume in Mexico rose 2.5% MoM in August.
The pace of sequential gains lost some of its momentum, as the monthly rate of growth was 5.5% in July. The 2.5% MoM growth translates into a 10.8% decline in annual terms. Deputy Finance Minister Yorio said that the economy could have bottomed out in May and June, but it will take 2-3 years to return to pre-crisis level.
Economic activity in Colombia declined 10.6% YoY in August, sinking from 9.5% YoY seen in the previous month. The worsening of overall economic activity was primarily due to the increased mobility restrictions in Bogota and Medellin.
AFRICA
The South African TOP 40 index (+1.9% in USD) and the Moroccan country index (+1.8% in USD) delivered positive returns by the end of Friday, outperforming many of their regional peers.
The Moroccan government plans to introduce a 'social solidarity' tax to raise MAD 5bn, which would contribute to the reduction of the budget deficit in 2021, from 7.5% to 6.5% of GDP. The government also announced the extension of lockdown measures in the city of Casablanca for 14 more days, lasting until 9th November, to limit the spread of the coronavirus. This is the third time the government has extended lockdown measures in Casablanca, including a night curfew between 10pm and 5am. In a separate event, authorities released the latest inflation statistics. Consumer price inflation was 1.4% YoY in September, rising from 0.9% YoY in August. The rise of food price inflation (to 2.9% YoY) contributed to the steep bounce in the headline gauge. At the end of the week, credit rating agency Fitch downgraded Morocco's credit rating to BB+ with stable outlook. As a result, Morocco is regarded as a non-investment grade country by Fitch due to the fiscal hardships brought about by the coronavirus pandemic. As opposed to Fitch, S&P assigns a BBB- (investment grade) rating and Moody's assigns a Baa1 (investment grade) rating to Moroccan debt.
THE WEEK A HEAD
| UNITED STATES | DATE | CONSENSUS |
|---|---|---|
| Annualised GDP growth (3Q20) | Thu/29 | 32.0% |
| Eurozone: ECB deposit rate | Thu/29 | -0.50% |
|---|---|---|
| Poland: CPI inflation (Oct) YoY | Fri/30 | 3.2% |
| ASIA PACIFIC | DATE |
|---|---|
| South Korea: GDP growth (3Q20) YoY | Mon/26 |
| Taiwan: GDP growth (3Q20) YoY | Fri/30 |
INDIA: POLICY RATE DECISION
| LATIN AMERICA | DATE |
|---|---|
| Brazil: key policy rate | Wed/28 |
| Mexico: GDP growth (3Q20) YoY | Fri/30 |
| AFRICA | DATE |
|---|---|
| South Africa: CPI inflation (Sep) YoY | Wed/28 |
PLEASE CONTINUE FOR MARKET DATA
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EUROPE
Benoit Ribaud +44 207 5577 862 firstname.lastname@example.org
UK
Susannah Preston +44 207 5577 877 email@example.com
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International
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International Journal of Management and Business Studies ISSN 2167-0439 Vol. 10 (2), pp. 001-006, February, 2020. Available online at www.internationalscholarsjournals.org © International Scholars Journals
Author(s) retain the copyright of this article.
Full Length Research Paper
Appling new hybrid model to evaluate dynamic relationship in high-tech Industries
Yi-Hsien Wang
Department of Banking and Finance, Chinese Culture University, No.55, Hwa-Kang Road, Yang-MingShan, Taipei, Taiwan 11114, Republic of China. E-mail: email@example.com.
Accepted 19 May, 2019
Investigating dynamic relationship among stock markets has received considerable attention by both academics and practitioners. Hence, this study presents new integrated model, Grey-VAR Model, to modify Granger causality test procedure that can investigate dynamic relationships of high-tech industries. These results provide evidences that there exist the short-term equilibrium relationship of high-tech industries and the investors can alter portfolio allocation.
Key words: VAR, grey model, dynamic relationship, impulse response.
INTRODUCTION
"Economic Integration" has grown among continental European countries, beginning with regional economies prior to 1948. Globalization not only promotes worldwide economies, but also forms regional economic alliances. Most world commerce consists of regional organizations, with different levels of economic development among Asian regional economies. Newly industrializing countries face economic growth and development challenges with local economies now transitioning to participate in the global economy. Asian markets now face worldwide competition and must communicate and work together to survive and succeed (Brown et al., 2009; Hsu, 2009; Wang et al., 2010). Moreover, Asian stock markets need to actively construct a regional economic alliance organization. Interrelationships among the four most powerful nations: the United States, Russia, China, and Japan, are generally stable and improving, yet there is still no complete harmony. Improved relations and the economic alliance between the United States and Japan remains the most important factor in the Asia-Pacific region. Following the Second World War, the United States became a superpower. The U.S. has the most advanced technology and economy in the world and has traditionally been a dominant economic influence in the Asia-Pacific region (Kim and Mathur, 2008; Chen et al., 2010). It continues to play a very important role in the region's affairs, especially in the evolving economies of both Japan and Taiwan. Japan is the major trade partner of U.S. Japan is the second largest economic power in the Asia-Pacific region and also greatly affects AsiaPacific security. Japanese interdependent economic relations with Asian-Pacific region, especially the U.S., are so close that it cannot be economically separated from them (Sohn, 2002; Swartz, 2006; Burdekin and Whited, 2009; Chen et al., 2010).
Previous studies have pointed out that dynamic interrelationship with a significant transmission effect exists between these most international stock market. Results revealed that the United States and Japan are the two most powerful influences in each of these seven regional stock markets (Granger, 1969; Chan et al., 1992; Arshanpalli and Doukas, 1993; Chung and Liu, 1994; Choudhry, 1996; Chan et al., 1997; Ghosh et al., 1999; Jang and Wonsik, 2002; Hung, 2009; Mandaci and Torun, 2010). Specific research that investigates the "lead-lag" relationship between Japanese and Taiwanese high-tech industries that has resulted from exposure to U.S. high-tech industrial stocks in the financial markets did not exist prior to this study.
By employing conventional and advanced time-series techniques, this work investigates the dynamic short-term causal relationships and long-term equilibrium relationships among the stock prices of the United States, Japan, and Taiwan. Lead–lag relations and data concerning long-term co-movement among the three variables may provide an excellent asset allocation reference for multinational enterprises and international investors (Johansen, 1988; Neih and Chang, 2003). This paper is organized as follows: Section 2 presents the methodology. Next, section 3 describes the preliminary analysis and presents empirical evidence. Finally, section 4 discusses the results and presents conclusions.
METHODOLOGY
Unit root tests
To accomplish the goal of avoiding "spurious regression", the series must be carefully examined for "stationarity". Since non-stationary regressors invalidate many standard empirical results, a "unit-root" test was developed by econometrists for examining time series stationarity (Granger, 1988). The ADF models are used in the following forms:
(3)
The null hypothesis for the ADF test is: H0: φ = 0, with the alternative H1: −2 < φ < 0. Suitable lag length must be predesignated to avoid biased estimation if lag length has not been rigorously determined. The Akaike's information criterion (AIC) was used to determine the optimal lag number.
Co-integration tests
This long-run equilibrium relationship is referred to in the literature as co-integration. Applying the idea of Johansen methodologies, a p-dimensional VAR model is constructed with Gaussian errors, which can be described by its first-differenced error-correction form as:
where Yt is the vector of the national stock series studied; ε t is i.i.d. N(0, σ ), a white noise process; i = − I+A1+A2+ L +Ai for i=1, 2, . . ., k-1; and Π =I − A1 − A2 − L − Ak. The Π matrix provides information about the long-run relationship among elements of Yt, and the rank of the Π matrix is the number of linearly independent and stationary linear combinations of stock price indexes studied. Thus, testing for co-integration involves testing for the rank of the Π matrix, r, by examining whether the eigenvalues of Π are significantly different from zero.
Granger-Causality test
Granger causality is applied to examine whether one-way causality or feedback (bi-directional) exists between variables. A VAR model was used in the non-stationary case and no co-integration was found among the variables; otherwise, Granger (1988) proposed that if a co-integrating vector exists among variables, the Vector Error Correction Model (VECM) should be used. The two series, Yt and Zt, are considered, with the Granger causality test in the following form:
Where, Xt and Yt are stationary random processes intended to capture other relevant information not contained. The lag lengths, n and m, were decided by AIC in our study. The series Yt fails to
θ
ˆ
cause Xt if 0 (j) = 0 (j = 1, 2, 3, m1); and the series Xt fails to ˆ Granger cause Yt if θ 1 (i) = 0 (i = 1, 2, 3, n1). However, the error term is the unexplainable random component and is different from the explanatory variables, and thus εt indicates the total unexpected information at time t conditional on the set of past information. Unpredictable random and nonlinear effects always exist regardless of how well-specified an econometric model may be. These effects are also absorbed into the error term. Therefore, εt implies the unexpected change and may indicate different information of unclear conditions, thus εt is an uncertain time sequence (Dickey and Fuller, 1979). Grey Systems involve the analysis, handling and inter-pretation of indeterminate or uncertain information sequences, and aim to tackle a model that involves partially known parameters or information (Wang and Lin, 2008). The time sequence involving fully known information thus can be described as a "White" sequence, whereas an entirely unknown time sequence can be described as "Black" sequence. Meanwhile, a time sequence containing a mix of "uncertain information sequences" is termed a "Grey" sequence. The Grey theory primarily focuses on "uncertain information sequences" such as unexpected shock of stock return, and transforms uncertain and irregular sequences to further understand the sequence through Grey Prediction (Lin et al., 2008). Additionally, Grey Modeling (GM (1,1)) is employed to reduce the stochastic and nonlinearity of the error term sequence, and then to forecast the parameter estimates to further adjust the transformation of the error term sequence. Recently, related researches have used GM(1,1) on the economic and financial applications is expanding rapidly (Deng, 1982, 1990; Wang et al., 2009).
In this paper, we combine new integrated VAR model with the GM(1,1) to improve a natural framework to test the Granger Causality of high-tech industries. In general, the error terms sequence, εt , contains a mix of known and unknown information based on the set of past information at time t. GM(1,1)-VAR model offers a range of techniques for dealing with "grey" information sequence and therefore potentially assists the prediction of VAR model in an uncertainty time sequence. Consequently, this paper adopts the characteristics of GM(1,1) to modify the error terms and propose the GM(1,1)- VAR model. The procedures of error terms sequence's modification are as follows:
2. Shift the original error terms sequence by adding the minimum value of the original sequence to meet the non-negative condition and the new sequence X ( 0 ) is given by
3. To obtain the first-order cumulative sum sequence X (1) from X ( 0 ) through once of AGO procedure (Accumulated Generating Operation).
Where, the generating series for the cumulative summation will be modes from one accumulative addition, reverse addition is required to recover the predicted sequence. From ˆ (0) ˆ (1) ˆ (1) ( I ) , one can obtain Equation (16), which X ( I 1) X ( I 1) − X is the dynamic situation of future values generated by the GM(1,1).
Finally, forecasted original error at time t+1 is given by
4. If the original error terms series
(1)
In this paper, we modify the error terms by GM(1,1) in VAR model can be estimated the result by the Granger causality test procedure.
the generating series would then have an apparent trend with
X
( 0 )
lacks any apparent trend,
X
an absolute value increasing one-by-one. This provides a basis for establishing a calculus model using differential equations. When the differential equation model is of order one and includes just one variable, the model is referred as to as GM(1,1). The general form of GM(1,1) has the following form:
In Equation (11), is the development coefficient and is the grey control parameter. From the time response function of the first derivative, the general solution to Equation (12) is:
According to the definition of differential equation:
If I 1 , then Equation. (14) can be written as:
Then the original differential equation can be described by:
where Z (1) (I) is the background value, and Z (1) (I) δX (1) (I) (1 − δ ) X (1) (I − 1), I ≥ 2. δ denotes a horizontal adjustment coefficient, and 0 δ 1. Parameters a and b in Equation (15) can be obtained from
A −1
A
B′B
B′Y
ˆ
B,
where
Y
.
5. Putting a and b obtained from the grey differential equation back ˆ (1) X ( 0 ) (1)X (1) (1) . Since into the general equation with X the prediction model is not constructed with original sequence but
Impulse response function and variance decomposition
Recent studies apply impulse response functions (IRF) and variance decomposition (VDC). An IRF traces a market response to an innovation within the market (Nieh and Lee, 2001; Wang, 2009). The IRF is given in the following expression:
where
t is a 3
1 vector of disturbances and is also a 3
1
vector of constants. The
are 3×3 matrices with =I
3 and
θ i
θ 0
elements of θ i are the "impact multipliers", which examine the interaction among the United States, Japanese, and Taiwanese stock markets over the entire path. IRFs show the expected responses of market j to a typical change in market k.
The (VDC) measures the market forecast error variance percentage occurring as a result of a shock to its own and other endogenous variables in the VAR. The variance-covariance matrix of the k-step ahead, forecast errors with its decomposition given by the following expression:
where Yt is the vector moving Autoregression (VMA) representation
∞
decomposition.
EMPIRICAL RESULTS
This study was conducted based upon data compiled from the NASDAQ Index, the Nikkei 225 Index and the TAIEX Index which was collected from the Taiwan Economic Journal (TEJ) database during 2004-2008. This study explored the interactive behavior of the stock markets, and revealed obviously dynamic short-term phenomenon that caused short-term trading by investors.
Table 1. Unit root test.
Note: 1 st difference signifies the symbols for the ADF 1 st difference test statistic.
Table 2. Co-integration rank test.
Table 3. Granger causality test.
Notes: 1. ***, ** and * denote significance at the 1, 5 and 10% levels, respectively. 2. The null hypothesis, H0 , is for "no causal relation". 3. GC means Granger cause.
In the course of the study, inconsistent trading date data were removed from stock indices as trading and nontrading days were inconsistent among the sample stock markets. Table 1 presents the results of ADF test that the stock price series from these three stock markets cannot reject the unit root test as non-stationary. The table indicates whether stock price indices reject the nonstationary unit root test in the first difference and appear stable. Various co-integration estimation methods applied captured the long-run equilibrium relationship among stock price series. They proposed two test statistics for testing the number of co-integrating vectors (or the rank of Π), namely the Trace (Tr) and maximum eigenvalue (Lmax) statistics. Trace (Tr) statistics were used in this paper. Results presented in Table 2 show that Trace (Tr) statistics propose no co-integration vector existing among the three variables. The result shows that it is unable to refuse the r = 0 hypothesis under the VAR model 1% significance, showing no co-integrated vectors among the stock price indices of Taiwan, the United States, and Japan during this test period.
Granger-causality test results are presented in Table 3 that the United States stock market has a one-way relationship influencing Japan and Taiwan, while the Japanese stock market has a simultaneous one-way relationship with Taiwan. Significant bi-directional causality is not found among the United States, Japan and Taiwan stock indices. Results indicate the United States stock market influences both Japanese and Taiwanese stock markets, and the Japanese market influences markets in Taiwan. This findings show that Japan does not influence Taiwan nearly as much as do markets in the United States. Since the estimated coefficients of a VAR are difficult to interpret, the IRF and VDC system must both be considered in order to draw valid conclusions. The interactive impact reciprocal explanation according to impulse response functions and forecast error variance decomposition among the United States, Japan and Taiwan is finally analyzed. The United States, Japan and Taiwan are arranged in proper sequential order. Internal competitiveness manifested within Taiwanese, U.S. and Japanese stock markets drive impulse response functions. The United States stock market is however, obviously more independent and powerful than the others. Moreover, the Japanese market is significantly influenced by U.S. stock market, and insignificantly related to Taiwanese market.
The decomposition forecast error variance on the other hand, can be observed in an endogenous variable into percentage volatility of its own and those of other
Table 4. The forecast error variance decomposition.
Notes: 1. The values of the forecast error variance decomposition in an endogenous variable into percentage shocks to its own and other endogenous variables in the VAR. 2. Each number is in a percentage value.
endogenous VAR variables (Table 4). These results provide information about the relative importance (exogenous ordering) of each random innovation to the variables. Analytic results of the decomposition forecast error variance showed that the U.S. stock market has the highest self-explained power with the influence of Japanese and Taiwanese stock markets regarded as secondary, and Taiwanese stock market has a lower selfexplained power and is easily influenced by U.S. and Japanese stock markets. Moreover, Japanese stock market variance is more highly affected by U.S. stock market variance than it is by variables within the Taiwanese stock market, indicating a relatively strong stock market relation between Japan and the U.S. Finally, the influence of the Taiwanese stock market is minimal, and its effect upon U.S. and Japanese stock markets is relatively low.
These results are inconsistent with Worthington et al. (2003) and Wang et al. (2010). In knowledge-based economy, U.S. and foreign countries such as Japan and Germany have collected patent royalties paid by foreign companies in the high-tech industries, respectively. The international trading market has gradually increased. The impact of patents or technology licensing is comparable to that of commercial activities; the underlying technology supports an active marketplace. Patent royalties are a major source of corporate income, so corporations must remain vigilant in avoiding patent infringement and the attendant losses of royalty payments.
to analysis the hi-tech industrial stock market. Hi-Tech industrial interdependence is among the United States, Japan and Taiwan that was determined by utilizing the electronic sector stock index. As the US stock market is the current leading research benchmark, it most powerfully explains its own volatility by variance decompositions in our research. According to the Granger causality test, Japanese stock market also influentially affects Taiwan. The United States developed rapidly in the early twentieth century, with its influence extending throughout the entire Pacific, and its presence in Asia-Pacific affairs is still important today. United States and Japan are two of these major trading partners; the electronics industry plays a critical role in Taiwanese economy. Therefore it may be more appropriate to consider the electronics industry when investigating financial relationships between these three stock markets.
Conclusion
In this study, time series methodologies were employed
According to research institution IDC, Taiwan has become the third largest manufacturer of electronics products for personal computers, and the world's fourth largest supplier for the high-technology industry. Hence, following the international high-tech countries like the United States and Japan have already been focused on the consumer electronic products, Taiwan will have assembled a complete core electronics industry supply chain (Lin et al., 2008). However, at present, Taiwanese capital and information of high-technology industrial to be highly concentrated, short product cycle and turnover is very fast; therefore, the industry competition is more drastic than other industries. Hence, with the integration trend of high-technology industries, Government had to adjust the industrial structure of high-tech industry and operational model to enhance Taiwanese economic system, capital market structure and competitive advantage of nations.
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Distribution of convenience provision in London Borough of Richmond upon Thames: Identifying gaps in provision
Produced by Policy & Research Section Development & Streetscene
Published April 2007
contact: email@example.com
Index to Maps & Appendices:
Analysis of spatial distribution of convenience provision in London Borough of Richmond upon Thames.
Introduction
Planning Policy Statement 6 (PPS 6) 1 indicates that local planning authorities should develop a hierarchy and network of centres in their boroughs. One of its objectives is to ensure that communities have access to a range of main town centre uses and that importantly, deficiencies in provision are remedied. People's everyday needs should be met locally.
The principle of providing local facilities for residents to meet their top-up shopping needs within easy walking distance is a long-established objective of retail planning policy in the borough. Successive UDPs have designated key and secondary frontages (as defined in Appendix B of the adopted UDP First Review - See Appendix 1 of this document). These policies are complementary and aim to ensure that an appropriate level of retail is retained. In key shopping frontages no loss of retail floorspace is normally allowed. The effectiveness of this policy is monitored in the UDP/LDF Annual Monitoring Reports 2 . In secondary shopping frontages an appropriate level of diversification is permitted. Policy TC 7 is designed to protect isolated shops or shops which are in small groups serving residential areas more than 400 metres away from a shopping centre. More than 400 metres is considered to be unsatisfactory for the less mobile, the elderly and people with young children, and has therefore been chosen as an appropriate distance for the mapping exercise. Thus, these policies in particular have the effect of protecting local shopping facilities. The full text of these policies are included in Appendix 2.
Purpose of research:
It is a primarily GIS-based exercise to map the distribution of retail facilities in the borough and assess gaps in provision. This document forms part of the evidence base for the production of the LDF.
Stage 1: Mapping existing provision
The Planning Department's Geographical Information System (GIS) was used to map the location of mixed use area boundaries (in this instance used as a proxy for town centre boundaries) and designated shopping frontages. A 400 metre buffer was drawn around mixed use areas (or designated frontages where mixed use areas did not exist).
The location of out-of-centre superstores were also plotted (J Sainsbury at St Clares, Hampton and at Manor Road, Richmond) and also Tesco at Isleworth. Although located in London Borough of Hounslow the latter has a catchment area for local shopping which overlaps with residents living in the borough. 400 metre buffers were also applied to these superstores. Tesco Express formats currently operating within the borough fall within the mixed use areas of local centres (or near to boundary) or are within designated frontages.
A limitation to the exercise is that 400 metre buffers provide an "as the crow flies" measurement only and real distances between residents homes and shopping facilities would need to be modelled as part of a much more sophisticated exercise. Despite this limitation the exercise still provides a useful spatial analysis to assist in LDF policy formulation.
Isolated convenience shops 3 were also plotted where known. Data provided by the Business Rates department, local knowledge and the internet were used to identify isolated shops not
1 ODPM (DCLG), Planning Policy Statement 6: Planning for Town Centres, 2005
http://www.richmond.gov.uk/local_development_framework/ldf_udp_annual_monitoring_report.htm
2
3 An assessment of the type of goods for sale was made as part of the Town Centre Land Use Survey (see below). For example if the premises were primarily a newsagent selling a very limited range of food it would not be included. However, no assessment of affordability of goods was undertaken.
covered by the Council's Town Centre Land Use Survey 2006 4 which concentrates on premises in designated frontages.
The results of this initial mapping exercise are shown in Map 1 which shows where convenience retail is located. Map 2 shows the 400 metre buffers around designated frontages/mixed use areas and out of centre superstores. Map 3 shows only those built up (primarily residential) areas 5 which are 400 metres away from retail provision, and Map 4 shows the same pattern as in Map 3 also including the pattern of retail provision for information.
Stage 2: Analysis of spatial pattern:
The exercise has revealed that on the whole there is good coverage throughout the borough and there are relatively few areas which are not within 400 metres from top-up shopping facilities. Small areas which are less well-served include:
* south and west of East Sheen district centre
* west of Castelnau
* parts of Ham & Petersham
* north of Hampton Wick/ east and west of Kingston Road
* east of Strawberry Vale (although served in part by an isolated store)
* west of Hampton Hill & around the catchment area of Hampton Nursery Lands generally
* around the periphery of Whitton district centre's 400 metre buffer particularly east and south including to the south west of Heathside centre, Powder Mill Lane.
The exercise suggests that there are a number of smaller centres which have a particularly important role in meeting local need including:
* centres in Ham & Petersham
* Hampton Nursery Lands (J Sainsbury neighbourhood store)
* Powder Mill Lane & Kneller Road, Whitton
* Hospital Bridge Road, Twickenham
* Castelnau (including nearby Tesco Express)
* Friars Stile Road, Richmond
* St Margarets Rd, Twickenham
* Kingston Road, & Hampton Wick Teddington
However, generally speaking there are few centres whose catchment areas overlap significantly with other centres/ superstores.
Stage 3: Effect of other factors
3.1 Areas of relative deprivation.
The ODPM's (DCLG) Index of Multiple Deprivation 2004 (IMD 2004) was constructed by combining seven "domain" scores, using the following weights: income (22.5%), employment (22.5%), health deprivation and disability (13.5%), education, skills and training (13.5%), barriers to housing & services (9.3%), crime (9.3%) and living environment (9.3%). The IMD 2004 is at Super Output Area 6 (SOA) level. There are no Lower Layer SOAs in the borough
4 The Council undertakes an annual Town Centre Land Use Survey in order to assess land use change in the Borough's town and local centres which is an important indicator of their overall health. The Survey is usually undertaken in the Summer months (although in 2006 was undertaken in the Spring to allow for this & other LDF research to be progressed) . It is a result of observation in the field – recording of the ground floor occupier and is therefore a snapshot survey. It covers all designated shopping frontages in the borough, including non-designated frontages in existing centres as well as groups of shops which are not designated. It does not include isolated shops.
5 Areas of open space or large primarily commercial sites are excluded. This exercise performed using local knowledge.
6 Super Output Areas (Lower Layer) are combinations of Output Areas which are the smallest geographical area used in the 2001 Census. For more information please refer to http://www.communities.gov.uk/index.asp?id=1128440
in either the top 10% or top 25% most deprived in the country 7 . However, although not "deprived" in a national sense, some areas in the borough are relatively deprived compared to others and pockets of deprivation occur. This index is not updated annually. Updates are not anticipated until end 2007. Figure 1 illustrates the data for the borough. Those with the darkest shading are relatively the most deprived compared to the others.
These most deprived SOAs were plotted against the areas identified as being gaps in provision. Map 5 reveals that most of these areas are not synonymous with gaps in provision, with the exception of the SOA in North Barnes and one in Hampton North ward. Although these areas are not considered deprived compared to other areas in the country the analysis allows the Council to be mindful of the needs of more deprived communities in the borough and points to the significance of Hampton Nursery Lands and Castelnau centres in meeting need. Tackling disadvantages is one of the key objectives of the Community Plan (2007).
3.2 Major housing completions & commitments
Areas where significant housing developments have recently been constructed/ are under construction or are anticipated 8 have been digitised and added to the analysis. See Map 6. Tables 1 & 2 indicate where major housing development has either been completed in the last decade or is anticipated. Amongst the completions, only one site, Land North of Mill Farm Business Park is more than 400 metres from existing facilities. This is a wholly affordable housing site. Some local centres are well-placed to serve new housing developments (see Table 1).
Commitments are included where schemes are under construction, where planning permission has been granted or received (when a proposal site) or is a housing site (or a mixed use site including a significant housing development) allocated in the 2005 adopted Review UDP. Four anticipated sites are wholly or partly more than 400 metres from existing
PPS 6 identifies deprived areas as those falling within the 10% most deprived SOAs 7
8 Other sites may well come forward in due course. However, at the time the exercise was undertaken sites for which a planning application had not been received, or were not allocated in the UDP were not included.
provision 9 . They are identified on Map 6. However, none are at great distance from existing facilities, most being a few metres beyond the 400 metre buffer. Policy TC 7 allows for the provision of retail facilities in large housing developments if required.
Platts Eyot, Richmond College and The Stoop do not appear to be in a gap in provision because the area was excluded as they were not primarily in residential use. These developments would therefore introduce significant residential in these areas. 9
| served by | East Twickenham | Teddington | Hampton Village | East Twickenham | Castelnau | Castelnau | Teddington | Kingston Road/ Hampton Wick | Hampton Wick | | Marks & Spencer, Kew Retail Park |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Completion date | 30-Sep-96 | 02-Dec-98 | 30-Jun-98 | 23-Dec-98 | 31-Jul-99 | 30-Nov-00 | 31-Aug-02 | 03-Sep-04 | 14-Dec-04 | 30-Nov-05 | 28-Feb-06 |
| Units (gross) | 121 | 122 | 64 | 132 | 321 | 250 | 118 | 188 | 58 | 75 | 536 |
| Site | ex-Ice Rink Phase 1, Clevedon Rd, East Twickenham | Teddington Wharf, 28 Twickenham Rd, Teddington | Hampton Filter Beds, Station Rd, Hampton | ex-Ice Rink Phase 2 | Barn Elms ex-water works, off Merthyr Terrace, Barnes | Harrods Depository, off Merthyr Terrace, Barnes | NPL, Teddington | Langdon Park (ex-Normansfield) | Harcros, Old Bridge Street, Hampton Wick | Land north of Mill Farm Business Park | Kew Sewage Treatment Works |
| Application no. | 89/0182 | 95/2770 | 96/3294 | 95/4051 | 94/0608 | 95/3548 | 97/2314 | 02/2019 | 99/2065 | 00/3562 | 03/2557 |
| served by | Kingston Road | St Margarets Rd (*very limited provision) | | partly by Marks & Spencer Kew | | Hampton Village | partly by Whitton Rd | Twickenham/ Whitton Rd | Kingston Road/ Hampton Wick |
|---|---|---|---|---|---|---|---|---|---|
| status | appeal granted | under construction | under construction | under construction | planning permission being determined. | no application received | no application received | no application received | no application received |
| Decision date | 30/05/2006 | 29/10/2003 | 28/01/2005 | 28/01/2005 | 73 applied for | n/a | n/a | n/a | n/a |
| Units (gross) | 198 | 171 | 67 | 192 | not known | not known | not known | not known | not known |
| Site | 4 Sandy Lane, Hampton Wick | Richmond Lock (ex-Brunel University) off St Margarets Rd | The Stoop, off Chertsey Rd, Twickenham | Kew Riverside (St George's Scheme), Strand Drive, Kew | Platts Eyot, Hampton. UDP Proposal H15 | Hampton Water Treatment Works, Upper Sunbury Rd. UDP Proposal H1 | Richmond College, Egerton Rd, Twickenham, UDP Proposal T29 | Post Office Sorting Office, London Rd, Twickenham, UDP Proposal T3 | Normansfield, Kingston Rd. UDP Proposal D1 (Listed Building & Environs) |
| Application no. | 05/2113 | 02/3734 | 04/1149 | 98/1283 | 05/0270 | | | | |
3.3 Public Transport Accessibility Levels (PTALs) 10
Clearly Richmond & Twickenham, the two largest centres in the borough, also have the highest accessibility levels (see Map 7), and indeed the former being where the majority of new retail development is proposed. The least accessible areas are the major open spaces of Richmond Park, Bushy Park (dissected by the A308), Kew Gardens, Ham Lands, and the London Wetland Centre, Barnes.
There are very few areas where PTAL level 0 (the least accessible) corresponds with a gap in provision. The exceptions are: to the south of East Sheen district centre where the area is bounded by Richmond Park, a small overlap in Teddington where the area is bounded by the River Thames to the east, a very small area to the west of Harlequins, Twickenham. Since these areas are small and in 2 of the 3 cases there are geographical or topological reasons contributing to the lack of accessibility, it is not considered that an alternative policy approach is proposed.
4. Implications for Policy
4.1 Implications for the proposed town centre hierarchy
PPS 6 indicates that authorities may need to promote centres in the hierarchy to address deficiencies or designate new centres where necessary. The exercise has shown that there is no overwhelming need to do this, but rather to protect shopping in existing centres. It has revealed which centres have a particularly important role, where they serve a discrete catchment area for local shopping and/ or are likely to serve additional population resulting from housing growth, such as Hampton Nursery Lands, Castelnau and Whitton (albeit with competition for food shopping from Tesco at Isleworth). The role of the centres has been taken into account when determining where centres are placed in the proposed town centre hierarchy set out in the Core Policy on town centres and in the related research (see Footnote 14). Whilst a number of factors were used to determine the position of each centre in this hierarchy, not least its size, function and diversity of use, whether a centre serves a distinct local community can influence its position in terms of need to maintain and possibly enhance facilities.
PPS 6 states that there should not be an over-concentration of growth in higher level centres. Whilst the Retail Capacity Study (2006) produced by consultants GVA Grimley suggests that much of the additional capacity is likely to be in the east and particularly in Richmond town centre, this does not constitute an over-concentration. Although Richmond is the principal town centre it is not of a scale which means that it dominates shopping patterns to the detriment of other areas. It is particularly true in London that shopping patterns are not constrained by borough boundaries and a significant amount of comparison goods shopping is carried out in Kingston by borough residents.
4.2 Implications for defining shopping frontages
The exercise has also informed the forthcoming assessment of designated shopping frontages, the subject of a separate study, which drew on this and other research to assess whether designated shopping frontages (in March 2005 First Review UDP) were appropriate to be carried forward to the LDF. This research will be published in due course. Proposed designations will be included in the Site Allocations Development Plan Document. See the Local Development Scheme available on the Council's website for details of timetabling.
5. Future improvements to the exercise
As mentioned above a much more sophisticated approach could be undertaken which would require modelling of actual distances to be travelled taking into the existing street pattern and potential barriers such as crossing busy roads and the truncation of catchments by the River
10 Defined as the extent and ease of access by public transport, or where it can reasonably be used as a proxy, as the degree of access to the public transport network.
Thames and other topographical features. However, this would require a considerable resource commitment.
A future exercise could overlay other variables, for example, car availability. This is a census variable which could assist in identifying areas where residents are less likely to have access to a car for shopping and therefore likely to be more reliant on local facilities. The 2001 Census provides a detailed geographical coverage and is a very reliable data source, although there are limitations. Whilst some households may have access to a car, it may not be available for shopping, nor in a compact London Borough with relatively good public transport is car ownership a necessary choice for all.
This exercise is a fairly simple quantitative exercise. A more qualitative approach to gain insights into people's everyday experience of food access problems would reveal a fuller picture 11 . Account would be taken of the Mayor's Food Strategy 2006 in taking this work forward 12 .
The results of the exercise could be linked to other data, for example that collected by the Primary Care Trust, or mapping of distance to recreational areas to provide a more sophisticated analysis of issues relating to food poverty and obesity.
6. Related Research
London Borough of Richmond upon Thames Retail Study & Appendices, GVA Grimley (March 2006) 13
Analysis of Town and Local Centres 2006/7 (Incorporating Health Checks for main town centres), LBRuT, published 2007 14
11 See page 24 of The Food Commission & Sustain's "How London's planners can improve access to healthy and affordable food.
13 http://www.richmond.gov.uk//local_development_framework/local_development_framework_research/retail_study_march_200 6.htm
12 GLA, Mayor's Food Strategy for London (2006)
14 http://www.richmond.gov.uk//local_development_framework/local_development_framework_research.htm
Appendix 1: List of designated key & secondary shopping frontages (Adopted Review March 2005)
KEY
SECONDARY
Upper Ham Road
| HAMPTON HILL High Street Nos.50-64 (even) Nos.169-183 (odd) | High Street Nos. 73-83;101-111;131-143 Nos. 185-201; 203-217(odd) Nos. 10-48; 118a-118e Nos. 120-122 (even) |
|---|---|
| HAMPTON NURSERY LANDS Tangley Park Road Nos.26-30 (consecutive) | |
| HAMPTON VILLAGE Milton Road Nos.70-76 (even) Station Road Nos.70-82 (even) Nos.92-100 (even) Station Approach Nos.1-3 (consecutive) Wensleydale Road Nos.1-13 (odd) Priory Road Nos.33-41 (odd) | Milton Road Nos.78-82 (even) Ashley Road Nos.27-37 (odd) Station Approach Nos.4-9 Oldfield Road Nos.55-63 (odd) Percy Road No. 31 |
| HAMPTON WICK High Street Nos.32-58 (even) | |
| HEATHSIDE Powder Mill Lane Nos.222-226 (even) Nos.221-247 (odd) | Hanworth Road Nos.646-670 (even) |
| HOSPITAL BRIDGE ROAD Staines Road Nos.326-336 (even) | |
| KEW GARDENS STATION Station Approach Nos.1-9 (consecutive) Station Parade Nos.1-17 (odd) Nos.2-18 (even) | North Road Nos.102-109 (consecutive) Royal Parade Nos.1-9 (consecutive) |
| KEW GREEN Mortlake Terrace Nos.1-9 (consecutive) | |
| KEW ROAD | Kew Road Nos.101-145 (odd) Nos.84-112 (even) |
KEY
Kingston Road
SECONDARY
Kingston Road
Nos.149-161 (odd)
g:\p&r\data&research\local retail need\analysis of spatial distribution.doc
Nos.210-216 (even)
KEY
SECONDARY
| ST MARGARETS Crown Road Nos.2-24 (even) St. Margarets Road Nos.125-155 (odd) Nos.109-119 (odd) | Amyand Park Road Nos.208, 210 Crown Road Nos.26-32(even) Nos.35-43 (odd) Nos.34-48 (even) St Margarets Road No.123 Station Kiosks Nos.116-126A (even) Nos.157-165 (odd) |
|---|---|
| ST MARGARETS ROAD | St Margarets Road Nos.379-391 (odd) |
| SANDYCOMBE ROAD Sandycombe Road Nos.293-303 (odd) | Sandycombe Road Nos.296-308 (even) |
| SHEEN ROAD Sheen Road Nos.106-124 (even) | Sheen Road Nos.80-94 |
| STANLEY ROAD Stanley Road Nos.176-184 (even) Nos.91-121 (odd) | Stanley Road Nos. 186-192 (even) Nos.139-147 (odd) |
| STRAWBERRY HILL Tower Road Nos.50-56 (even) | |
KEY
SECONDARY
Nos.70-74 (even)
| TEDDINGTON Broad Street Nos 17-67 (odd) Nos.8-72 (even) High Street Nos.73-121 (odd) Nos.19-67 (odd) | Broad Street Nos.11-15 (odd) Nos.2-6 (even) Church Road Nos.1-13 (odd) Nos.6-16 (even) High Street Nos.6-42 (even) Nos.70-86 (even) Nos.100-160 (even) The Causeway Nos.2-28 (even) Nos.3-13 (odd) Station Road No.1 |
|---|---|
| TWICKENHAM GREEN Staines Road Nos.8-38a (even) | |
| TWICKENHAM Church Street Nos.9-28 (consecutive) Nos.31-58 (consecutive) Heath Road Nos.2-44 (even) King Street Nos.1-39 (odd) Nos.2-62 (even) London Road Nos.1-9 (odd) Nos.2-50 (even) York Street Nos.1-19 (odd) No. 2 | Heath Road Nos.46-164 (even) Nos.1-85 (odd) Nos.149-157 (odd) King Street Nos.41-59 (odd) London Road Nos.11-65 (odd) York Street Nos.4-18 (even) |
| WALDEGRAVE ROAD Waldegrave Road Nos.150-158 (even) Nos.197-207 (odd) | Waldegrave Road No.189-195 (odd) |
| WHITE HART LANE White Hart Lane Nos. 36-78 (even) Nos.147-153 (odd) | The Broadway Nos. 1-10 (consecutive) White Hart Lane Nos. 1-7 (odd) |
Appendix 2: Key retail policies (2005 March UDP)
TC 5 KEY SHOPPING FRONTAGES
11.37 Planning permission will not normally be granted for changes of use or for redevelopment of shops that would result in any net loss of shopping floorspace within parts of centres which are identified as key shopping frontages on the proposals map and listed in Appendix B. In those key frontages which the Council considers would benefit from further consolidation, encouragement will be given to changes of ground floor premises to shop uses .
11.38 The Council has identified key shopping frontages from which further non-shop uses will normally be excluded and where the re-introduction of shop uses will be sought if the Council considers this would benefit the frontage. The aim is to maintain and strengthen existing shopping centres which advances the Council's overall strategy to provide for less mobile residents and reduce the need to travel, particularly by car. In the larger centres the intention is to protect the retail integrity of the centre and maintain a compact and convenient retail core, a choice and variety of shops, and the visual interest, vitality, attractiveness and continuity of the shopping frontage. In the case of Richmond town centre and the district centres, to also ensure that where redevelopment opportunities arise in the core shopping area to provide larger units, that these are secured for retail use as there are very limited opportunities to provide new retail floorspace in these centres. In the smaller centres, the intention is to maintain a range of basic shops to meet day-to-day, emergency, and in certain cases, main food shopping needs. Much of the Borough's shopping provision falls within conservation areas which have significant numbers of listed buildings. Protection of retail can help to preserve and enhance the character and appearance of conservation areas and the architectural and historic integrity of listed buildings. In designating key frontages consideration has been given to a range of factors including the demand for shop premises, existing uses, servicing and access arrangements, and environmental factors.
11.39 Whilst normally resisting service uses in key frontages it is important to accommodate the growing demand for service uses which serve residents and can often contribute to the attractiveness and viability of the town centre. In most centres secondary frontages have been identified to provide for those service uses (see policy TC 6). In protecting the function of all smaller centres the Council will, where it has control, resist the change of use of shops selling convenience goods and providing other essential goods and services such as chemists, post offices and hardware shops, where it believes hardship or inconvenience would result.
11.40 The Council has recently carried out a review of designated shopping frontages. Although the Borough's centres compare favourably with the national average, some centres are beginning to show signs of stress including a deterioration in their condition and in an increase in long term vacancies. This has resulted from changes in the way we shop and in particular in the rise in popularity of supermarket shopping. It is important to protect the shopping function of centres but not to encourage stagnation and decline. In some centres the amount of secondary frontage has been reduced, and key frontage has been redefined as secondary frontage, allowing greater flexibility for change of use in order to stimulate investment and promote the efficient use of town centres by allowing them to develop in other ways.
TC 6 CHANGE OF USE IN SECONDARY FRONTAGES
11.41 In parts of centres identified as secondary shopping frontages on the proposals map and in Appendix B the Council will restrict the numbers, types and locations of changes of use of shops and other uses in order to protect the shopping function and character of the centre. Uses which may be permitted are those which, in the opinion of the Council, complement retailing and attract people to the centre by providing services directly to large numbers of people, or rely on a window display for their operation and which will not adversely affect the amenities of nearby residents.
11.42 The Council recognises the need to accommodate the growing demand for financial and professional services and food and drink outlets, and certain other non-retail uses, which serve residents and often contribute to the attractiveness and viability of the centre. Examples are restaurants, cafés, wine bars, snack bars, libraries, launderettes, betting offices, offices that provide counter services direct to the public such as banks, building societies, estate agencies, employment agencies, copy bureaux and community facilities which need to be visible and serve a passing clientele e.g. advice bureaux. Not all the uses would be appropriate in secondary locations and before granting planning permission for any non-shop use the Council would need to be satisfied that the use:
(a) is complementary to the shopping function and provides a direct service to the public;
(b) will not result in an over-concentration of such uses in the area; and
(c) will not detract from the residential amenities of the area; and
(d) will not unacceptably add to traffic and parking problems in the area; and
(e) will not have a detrimental visual impact on the shop-front; and
(f) will not create an unbroken run of three or more non-shop units.
11.43 In appropriate cases the Council will require the provision of a window display. Planning guidance has been prepared on the treatment of shop-fronts and signs (see policies BLT 20, BLT 21 and supplementary planning guidance). Criteria (d) and (e) will be particularly important in judging proposals for "take-aways", restaurants and wine bars (see policy CCE 18). Proposals for car showrooms are dealt with under policy TC 10.
TC 7 ISOLATED SHOPS AND SMALL GROUPS OF SHOPS SERVING LOCAL NEEDS
11.44 Planning permission will not normally be granted for the change of use or redevelopment for other uses of isolated shops or of shops in small groups which serve residential areas more than 400m away from a shopping centre. In large housing developments in areas which the Council considers are deficient in local shopping the provision of shops may be required as part of the development.
11.45 The maintenance of shops for day-to-day needs within reasonable walking distance is of considerable importance to those households who do not have the use of a car for shopping and to those unable to travel far from home. They are valued by others for emergency and top-up shopping. The Council has designated key and secondary frontages across the Borough, but there are still some residents who live over 400m from a designated frontage. This is clearly unsatisfactory for elderly or less mobile shoppers, or people with young children, as it would require carrying shopping a considerable distance. Therefore the Council will resist the loss of isolated shops and small groups of shops which serve these areas. Where closure does occur and the Council is convinced that reasonable attempts to let the shop for retailing have failed, it will be concerned to ensure that the new use is compatible with surrounding uses. Growth needed to serve new housing should normally take place in existing shopping centres (policies TC 2 and TC 3) but where there is no shopping centre within reasonable walking distance new shops may be required as part of a new housing development.
ap 2: 400 metre buffers around designated frontages, ap 2: 400 metre buffers around designated frontages,
ap 4: Built up areas more than 400 ms from retail provision
The Local Development Framework for the London Borough of Richmond upon Thames is prepared by the Policy Section of the Environment Directorate
Policy Section
Environment Directorate
London Borough of Richmond upon Thames
Civic Centre
44 York Street
Twickenham
Middlesex TW1 3BZ
Telephone 020 8891 7322
Fax 020 8891 7768
Email firstname.lastname@example.org
Website www.richmond.gov.uk
|
INTRODUCTION
It is very important to realize how we perceive the environment, how we understand the background and meaning of events, and that we certainly have the ability to imagine new steps and new possibilities. “Spiritual intelligence is
the strongest predictor our cognitive achievements, as well as our school and academic performance" (Musek &
Maravič, 2004, p. 5).Spiritual intelligence defines as the adaptive use of spiritual information to solve individual problems and the process of accepting the goals (Emmons , 2000). Emmons also said that spiritual
intelligence can be described as an intellect giving meaning and value to problem solving and through which life and actions can be applied to a context that is deeper in term of meaning and it can be assessed that way of life is
more efficient, effective, and meaningful than different ways (Sohrabi, 2008). Many studies have been done about spirituality in job environment recently. Researches admit that encouraging spirituality in working environment can
lead to advantages such as increased sense of self-accomplishment, increased creativity, honesty, increased organizational commitment, improved staff behavior such as increased job satisfaction, and decreased workplace
leaving motives, increased job consciousness, more motivation, and finally higher performance and higher efficiency and decrease job burnout (Ghobaribanab et al. ,2007) . Thus, teachers must have high spiritual
intelligence which will be the highest guidance to them to do their functions as educators with the highest regards
267
1
*
Ravie Mirshahi
1
, Ghasem Barani *
Department of English Language Teaching, Aliabad Katoul Branch, Islamic Azad University, Aliabad Katoul, Iran
ABSTRACT
Corresponding author's email: email@example.com
Spiritual intelligence appears to be an important part in our life as well as work environment which is one of the major reason for the success of the educational organizations and finally for the professional life of the teacher
and the role of teachers in society and work. Also, teaching in today's society is very stressful and hard. Work- related stress can cause teacher burnout, dissatisfaction and which is a significant problem in education today.
Job burnout is a factor that impact on teacher function in workplace .burnout in the workplace has a direct effect on teachers’ job satisfaction and in success on teaching. In addition, this, in turn, may affect the health,
happiness and function of the teachers in class (Wood & McCarthy 2002). Bakker and Schaufeli (2000) found that teachers’ burnout is likely when teachers are susceptible to emotions of others and when teachers talk about
work and student problem .Burnout in teaching is a matter that has received considerable attention in researches and is responsible for the loss of many teachers from the profession (Friedman, 1995) . A study on burnout
among teachers can be important because of its two-sided impact on the performance of teachers in schools.
Ghorbani (2004)stated Job burnout is a danger that threats mental health of workforce. Loose of efficient human labor for any organization is danger. To this goal, the present paper tries to investigate the role spiritual
intelligence in job satisfaction among teachers.
KEY WORDS:
267 A Review on the role of Spiritual Intelligence in Job Burnout among Ravie Mirshahi 1 , Ghasem Barani 1* 1Department of English Language Teaching, Aliabad Katoul Branch, Islamic Azad University, Aliabad Katoul, Iran *Corresponding author's email: *firstname.lastname@example.org spiritual intelligence; job burnout; teachers INTRODUCTION
Teachers
International Journal of Modern Language Teaching and Learning 1 1* *
and as noble as possible. This is because a teacher is regarded as someone very high in society. Moreover, to encourage spirituality to grow in workplace, it is important to make teachers’ spiritual intelligence (Bowel 2004).
Noble (2001) believed that spiritual intelligence mixes the qualities of flexibility and emotional resilience, which play a role in psychological health and behavior. A study on burnout among teachers can be important because of its
two sided impact on the performance of educational institutions. It can affect the teachers as well as students of the institution in which they work. Burnout can also affect the economic performance of the institution by the loss of
teaching time and increased cost of replacing teachers (Wilson, 2001). However, a person having high spiritual score experiences less stress that may further have some positive consequences at schools.
DEFINITION OFSPIRITUAL INTELLIGENCE
The term of spiritual intelligence was firstly proposed by Stevens in 1996 and later expanded by
Emmons in 1999. Emmons (2000) defines it as the adaptive use of spiritual information to solve everyday problems and the process of achieving the goals. In other research, spiritual intelligence is defined as a set of
mental capacities, which contribute to the understanding, integration, and adaptive application of the nonmaterial and transcendent aspects of person’s existence, leading to outcomes as deep existential reflection, enhancement of
meaning, recognition of the transcendent personal, and mastery of spiritual states (King, 2008). Also, spiritual intelligence is a controversial concept that attempts to bridge the rational to the divine. It is defined as the innate
ability to access spiritual resources to solve problems and improve one's daily life (Amram, 2007).
DEFINITION OF JOB BURNOUT:
Freudenberger (1975), a mental health coordinator, was one of the first to writeabout burnout and identified one sign of burnout as a feeling of exhaustion and fatigue. He described burnout of a dedicated and committed worker as
resulting from taking on "too much, for too long, and too intensely" (p. 74). Topping (1998) stated job burnout is an arrangement in which individuals consider the amount, level, cast, worth, quality of success of the products or
outcomes of learning of peers of similar status. job burnout is described as an emotional action to some factors that is stressors such as role ambiguity, absence of autonomy and absence of rewards or work overload.(
Shropshire& J. Kadlec , 2012). Maslach, Jackson and Leiter (1996), some of the well-known researchers of burnout, stated burnout as a combination of three components: Emotional exhaustion, personal accomplishment, and
depersonalization. "Emotional exhaustion" is the emotional lassitude an individual experiences when they are fatigued and frustrated. “Personal accomplishment” is the person’s self-evaluation of his or her own work. The final
component, "depersonalization," is when individuals have a tendency to isolate themselves from others.
LITERATURE REVIEW
SPIRITUAL INTELLIGENCE
Spiritual intelligence concept consists of a kind of adaptability and problem solving behavior, which involves the highest levels of growth in different cognitive, ethical, and interpersonal fields and aids the individual to coordinate
with their surrounding phenomena and obtaining internal and external integration. Spiritual intelligence gives individuals a general insight on life and all of their experiences and events and enables them to configure and re-
describe their experiences and deepen their recognition (Esmaili, 2014).
According to Abdullah's study of 2012, spiritual intelligence integrates all the dimensions of human life and helps them to live a meaningful life. Spiritual intelligence is the ability to find purpose and value in our lives
and job, connecting our actions and lives to a wider and richer meaning giving context (Alex & Ajawani, 2011). In a
2011 research, Suan Chin et al. stated, "spiritual intelligence is the set of abilities that people use to apply, manifest and embody spiritual resources, values and qualities in methods that improve their daily functioning ". Furthermore,
spirituality can be viewed as a form of intelligence because it enables people to solve problems and achieve their goals (Hosseini et al., 2010).
Sisk (2008) stated that spiritual intelligence, by using a multisensory approach to access one's inner knowledge to solve problems, could be an integrating theme to create global awareness among teachers and students. High
consciousness, wholeness and inner directedness as components of spiritual intelligence considered important for the workplace. On the role of spiritual intelligence, Amram & Dryer (2007) mentioned that spirituality has an effect
268:
International Journal of Modern Language Teaching and Learning
on career decision-making. Studies are indicator of that having spiritual intelligence in individuals will increase their resiliency to disease and are effective in decreasing mental symptoms, problems regarding the health, anxiety.
Emmons (2000) draws a definition of intelligence and argues that spirituality can be showed as a form of intelligence because it predicts function and adaptation and offers capability that enables people to solve problems
and attain goals.
At the same time, on other study by Zohar and Marshall (2000) who describe spiritual intelligence as intelligence which individuals solve problems of meaning and value, place their reactions and live their life meaningfully.Zohar
and Marshall (2000) believed that spiritual intelligence is an innate talent, which we use it for solving intellectual problem, and put the life in a wide state of richness and meaning. They defined the characteristics of developed
spiritual intelligence as follow:
1. A higher degree of self- awareness
2. Having the capacity of flexibility
3. Having the capacity of dealing with pains and its development
4. Tend to ask questions of why or how, and search for key answers
5. Getting inspire of the imaginations and values.
6. The tendency to see the links between different things (being holistic)
7. Unwillingness to injure
8. Getting away from the context that facilitates unconventional activity (quotes Esmili et al.,2014).
health and social axis (Schaufeli, 2004).
(Maslach, 2001).
JOB BURNOUT
In the mid-1970s, the United States began the first inquiries about the feelings and of people, which identify, showed and record the burnout. Early research focused on health professionals. Investigations initiated by the observation
that after a while individual "emptied" of emotions and lose motivation and dedication. Then, there were the first describtion of the job burnout. The first period of investigations of the burnout had two main directions: the mental
Originally, burnout was identified by Freudenberger's (1974) with in an article entitled Staff Burnout as a particular psychological condition in which people suffer mental exhaustion, experience a lack of personal
accomplishment, and tend to depersonalize others. He described burnout as "the extinction of motivation or incentive, especially when one's devotion to a cause or relationship fails to produce the desired results" (in Scott,
2006). Maslach et al. (1996) updated this definition stating that burnout is "a syndrome of emotional exhaustion, depersonalization, and reduced personal accomplishment that can occur among individuals who work with other
people in some capacity".
Subsequently, Maslach (2001) defined burnout as job related and "a prolonged response to chronic emotional and interpersonal stressors on the job”. Emotional exhaustion can occur when, “people resources are depleted and people
feel that they are no able to give themselves at a psychological level in working" (Maslach et al., 1996). Masclach and Jackson (1986) identified three burnout dimensions: -emotional exhaustion, feelings of being emotionally over
extended and exhausted by one's job, depersonalization, an unfeeling of impersonal response toward students; and a recrease sense of personal accomplishment, a loss of personal self-efficacy. The most common definition of job
burnout is physical, emotional, and mental exhaustion that results from long-term working in intolerable situation
Burnout' has been defined as a reaction to demanding events (Snyder, 1991). In addition, as an experience that places tough choices in front of the individual (Kahn et al., 1964), as an environmental character which poses a risk
to the person (Caplan et al., 1975) and as an apprehension by the individual that he/she might not be able to deliver results as expected out of him/her Luthans, 1966; 1971). In particular, within a work environment, occupational
stress refers to "any affect-laden negative experience that is caused by an imbalance between job demands and the
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International Journal of Modern Language Teaching and Learning
response capability of the workers. When job demands are too high to cope with, stress reactions are likely to occur"
(Schaufeli & Enzmann, 1998).
Job burnout is a syndrome of excessive emotional exhaustion, which occurs after involving and commitment to job and individual for long years (Shropshire & Kadlec, 2012). Moreover, Gudwin et al. (2010) described job
burnout as an emotional reaction to some stressors such as role ambiguity and the absence of rewards or work overload. In an another definition of job burnout, a teacher’s “idealism and excitement” in their preliminary years of
teaching can be a precursor for the condition of burn-out. Researchers have found that burnout is most often connected with situations in which employees feel overworked; underappreciated; confused about expectations and
priorities; concerned about job security; overcommitted with responsibilities; and resentful about duties that are not commensurate with pay (Scott,2010). Job burnout is literally defined as loosing mental faculties that sometimes
along with depression and originates from mental pressures (Scott, 2010).
In other words, job burnout is physical, emotional, and mental feeling followed by term exposure to hard working situation. Job burnout is a state in which individuals’ power, willingness, and desire to job will be decreased (Farber,
1983). Job burnout is defined as loosing mental faculties that sometimes along with depression and originates from mental pressures (Poorafkari, 2001). Job burnout is a syndrome of excessive emotional exhaustion, which occurs
after involving and commitment to work and people for long years (Sarason, 1991). In other words, job burnout is physical, emotional, and mental fatigue followed by long-term exposure to hard working situation. This syndrome is
a state in which individuals' power and willingness and desire to work will be decreased (Pearson. & Moomaw,
2005).
PREVIOUS STUDIES ON SPIRITUAL INTELLIGENCE AND JOB BURNOUT
Shorabadi (2015) stated that there is a significant negative Correlation between the spiritual intelligence and occupational burnout in the staff of Imam Reza hospital. In addition, it indicated Systems’ managers could identify
and improve the components of spiritual intelligence of their staff through various approaches such as improving the training systems as well as providing the contexts in which the spiritual intelligence of their staff can be developed.
The spiritual intelligence has a significant effect on job burnout. Regarding the results, spirituality can lead to a decrease in employees’ burnout if it can be improved ( Shorabadi, 2015).
In a research Tabarsa et al ,( 2014 ) investigated the relationship between Spiritual Intelligence and Burn out of
Information Technology staffs. Four dimensions of spiritual intelligence by King (2008), namely, aspects of critical existential thinking, personal meaning production, transcendental awareness, and conscious state expansion are
being studied in this study. Structural equation modeling analysis of survey data from a group of 131 information
Technology personnel revealed that Spiritual Intelligence has a strong direct effect on job Burn Out.
Marzabadi et al. (2013) studied the relationship between organizational spirituality and spiritual intelligence with job burnout among a military university staffs. The research population included all the personnel working in a military
university in Tehran, Iran. The inclusion criteria were for the personnel to be officially employed, to have at least
Diploma, and to have 1 to 25 years of experience. The population included 4,100 male and female respondents from among whom 352 personnel were selected This research showed There was a significant negative correlation
between job stress and organizational spirituality. There was no significant difference between male and female participants in organizational spirituality. In addition, education could not cause any significant difference in
organizational spirituality. However, experience could cause a significant difference among groups in their organizational spirituality except for the 2 groups of 4-7 and 8-15 years of experience.
Kumar (2014) studied Influence of Spirituality on Burnout and Job Satisfaction in Oman. The study was based on a survey conducted on expatriate lecturers working in a college of technology in Oman. The sample was drawn
randomly from the list of academic staff available on the official website of the selected college. Findings of the research indicated that increase in total burnout, and its two factors namely emotional exhaustion and reduced
personal accomplishment reduced job satisfaction. However, the third factor of burnout, i.e., 'depersonalization' had positive association with job satisfaction. High spirituality results in high job satisfaction and low burnout;
moreover, it affected all the three factors of burnout negatively. Findings did not record moderating effect of spirituality on the relationship between burnout and job satisfaction.
270
International Journal of Modern Language Teaching and Learning
job-burnout among teachers.
of practicing spirituality in place of work.
significant job.
Conflict of Interest
The authors declare no conflict of interest.
Tasharrofi et al.(2013) reviewed the relationship between spiritual intelligence, resilience and spiritual well-being with occupational burnout among nurses in 2012. This study was a descriptive-correlation type of study. The
statistical community of the study included the whole nurses working in Shafa Yahyaiyan Hospital, Tehran children and Tehran heart center.. There was found a significant positive relationship between the spiritual intelligence and
dimensions of burnout and the existentialism well-being and also, there is a positive relationship between the spiritual intelligence, resilience, spiritual well-being welfare and its two dimensions of the religious well-being and
the existentialism well-being with the personal function but this relationship is negative with thepersonality metamorphosis. In addition, there is a negative relationship between the spiritual intelligence, resilience, spiritual
well-being and its one of dimension with occupational burnout.
Refahi et al. (2014) described Evaluation of Spiritual Intelligence and Some Demographic Variables Associated with Job Burnout in Police Staff. This descriptive study – correlation has been done on the 350 personnel of police
staff in Sistan-o Baluchestan. They were selected by convenience sampling method. For gathering information,
Spiritual Intelligence questionnaire and Mazlash job Burnout questionnaire (1981) with three main areas (emotional exhaustion, depersonalization, a feeling of personal accomplishment) were used. The results showed Having high
level of spiritual intelligence could improve job burnout so this fact suggests to managers to have an eye concern about education and improving spiritual intelligence in staff.
Abadi et al.( 2014) explored the relationship between spiritual intelligence and job burnout among female teachers.
To collect data in this study, standard questionnaires: a) a standard questionnaire to measure spiritual intelligence by
Abdollahzade (2009); b) a standard questionnaire to measure job burnout by Maslach(1997). The sample was drawn randomly among teachers. The result indicates that there is positive relationship between spiritual intelligence and
Rani et al. (2013) studied the relationship among spiritual intelligence and reducing job stress, the study was accomplished with lecturers of University of East Coast of Malaysia. This study exposed that when employees
practice spiritual activities or they are in place of work in their own way then they experiences profound sensations and overcome the stress, dissatisfaction and peer problems. This attitude builds up a better organizational
performance. Their results showed that there are five indicators (appropriate spirituality activities in workplace, work attitudes, employee comprehension of spirituality in work place, employee’s practices and stress management)
Tabarsa and Jalaei (2015) studied the relationship between spiritual intelligence and burnout and mental health staffs of rural cooperatives organization of Golestan province. This study was an applied research and descriptive
correlational survey.. The findings showed that a positive correlation between spiritual intelligence and mental health and there is a significant and negative correlation between spiritual intelligence and depression and there is a
The results indicate that spiritual intelligence plays an important role in work environment. Most of researchers believe that spiritual intelligence is the most important intelligence and have the power to change our life, society,
world, work environment, and our history. People with higher spiritual intelligence have wider view of life. Wide view means a vast picture of life, which results in more extended picture of objectives and statue in the world. In
addition, in today's global, dynamic and competitive work, environment professionals experience high demand for work performance under limited time. Individuals work in extended hours, ignoring the fact that such overload can
cause exhaustion, fatigue and in subsequent stages stress and burnout. These factors will further lead to poor performance, and low level of job satisfaction. Creativity and innovation at workplace require peaceful mind and
satisfaction with what one does, burnout constrains this. As spirituality reduces burnout, it can be utilized to overcome the negative effects of workload and demanding conditions.
271 CONCLUSION
International Journal of Modern Language Teaching and Learning
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Experiences of Living with Visual Impairment: Matching Income with Needs
This publication summarises findings from research commissioned by Thomas Pocklington Trust to investigate the experiences of visually impaired people who are living on a low income and how they meet their needs. The research was conducted by Katherine Hill, Claire Shepherd and Donald Hirsch from the Centre for Research in Social Policy, Loughborough University.
Summary findings
* Working age visually impaired people can find it hard to access or sustain employment that could help them meet their material, social and disability‑related needs. Support in and into work can help, but some feel the odds are stacked against them.
* State benefits are therefore vital, whether contributory or means‑tested support or extra cost benefits, but they can be difficult to access, stressful to claim and fall short of meeting the cost of a minimum living standard for visually impaired people.
* Pension age visually impaired people are at most risk of not meeting the income required for a minimum living standard if they have a low pension and are not receiving extra cost benefits such as Attendance Allowance. Registration can trigger benefits assessment and other support but there is uncertainty about the registration process among pension age people.
* Visually impaired people on low incomes prioritise their basic material needs, but also consider it important to be able to afford social participation and avoid the risk of isolation. This involves covering the extra costs of transport and human support, which are more restricted when budgets are limited.
* Visually impaired people can miss out on access to technology and other aids that could support them in performing daily tasks and maintaining independence – due to the cost, limited knowledge about what is available or support in using it.
Research Findings No. 58 / June 2018
Published by Thomas Pocklington Trust
Research Findings 58
* Human support can make a vital difference to visually impaired people's lives, but access to it is variable. Self‑funded paid support and local authority funded social care tends to cover practical needs and essential trips out. Informal help is more likely to support socialising outside the home but depends on the strength of networks and feelings about asking for help.
* Organisations and services provide important practical, financial and social support for visually impaired people, but the extent of provision and knowledge about what is available is varied, and there are concerns about cuts.
* Living on a low income can involve insecurity for visually impaired people around work, changes to benefits, support and services. This is compounded if they are unable to put money aside for when things go wrong or for future extra needs. Public policy needs to provide greater security and continuity, but in times of austerity it can create uncertainty and anxiety about provision of services and benefit reassessment.
* Ways of helping lower income visually impaired people should include providing good information about what benefits, services and support is available, plus help and training in the use of assistive technologies. Timely information and support when people become visually impaired would be helpful, when the challenges can be the greatest but knowledge of what is available the lowest, particularly for those experiencing sight loss in pension age.
Background
In light of changes to disability benefits and concerns about cuts to services and support, this research explores the implications of living on a low income for visually impaired people in the UK. The research followed on from a series of studies looking at Minimum Income Standards for visually impaired people (MIS VI) – what they require for a minimum acceptable standard of living that meets basic material needs, allows participation in society and covers the additional cost of disability. This new research, comprising interviews with visually impaired people on low incomes, provides an insight into the reality of their lives, how they meet their needs and draw on different resources. It was preceded by analysis comparing the incomes of visually impaired people receiving benefits and the National Living Wage to MIS VI requirements.
"Visually impaired people on low incomes prioritise their basic material needs, but also consider it important to be able to afford social participation and avoid the risk of isolation."
Research aims and method
The aim of this study was to describe the experiences of visually impaired single people who are living on an income around or below the MIS VI thresholds. It explores the extent to which people can meet material and social needs, as well as those directly arising from sight loss, how they prioritise and make decisions about spending, and what other factors can help or make it more difficult to meet these needs.
The research comprised in‑depth qualitative interviews with 26 participants living in different areas of England. Participants were single people living independently, split between working age (WA) (18‑64) and pension age (PA) (65+), sight impaired (SI) and severely sight impaired (SSI), whose incomes were below or close to the MIS VI level.
Findings
Factors affecting income
Low disposable income (in relation to the MIS VI level) can be influenced by low gross income from earnings, pensions and benefits, and by high housing costs.
For working age people, the most serious shortfalls occurred for those falling below benefit 'safety net' levels. Having to pay a mortgage or having high rents not fully covered by Housing Benefit could also cause low disposable income.
It was rarer for pension age people to fall very far short of their income needs. Pensioners at most risk are those with a low pension but not receiving means‑tested top‑ups such as Pension Credit or extra cost benefits such as Attendance Allowance. The latter are particularly important to those receiving Pension Credit, which attracts supplements for those on extra‑cost benefits.
Work and earnings
In most but not all cases, any earnings brought participants nearer to the MIS VI level than those without work, an important issue given that only one in four working age visually impaired people are in work. The contribution of earnings to visually impaired people's incomes was impacted by:
* Negative experiences of looking for work: Constant rejection was 'disheartening', and eventually seen as a waste of time and effort. Visual impairment was felt by some to stack the odds against them.
* Experiencing a sudden or drastic change in income: Having to stop or change work when sight deteriorated can create a major shock to finances.
* Factors that can help to find or sustain employmen t: This includes in‑work support from Access to Work; having a supportive employer; help from VI organisations; volunteering; and Permitted Work within out‑of‑work benefits.
Access to benefits
The crucial issue for visually impaired people of being able to claim appropriate benefits successfully was influenced by:
* Accessibility: Communications about benefits were commonly sent in inaccessible standard print which could lead to missed appointments and relying on others to read letters and complete forms.
* Presenting disability on an application: Claimants disliked having to unpick their daily actions, think about their 'worst possible scenario' and focus on what visual impairment meant that they could not do.
* The assessment process: Some working age participants had encountered difficulties with accessing venues and found the assessment and appeal process stressful. The prospect of reassessment caused worry and uncertainty.
* The importance of registering as sight impaired or severely sight impaired: This could bring financial, practical and social advantages as it triggered visits from social services, benefits advice and needs assessments leading to benefit receipt, low vision aids and access to VI networks. However, there was uncertainty about the process among pension age participants: not all were registered, and those who were had experienced varied routes to becoming so.
How people meet their needs
Basic material needs
Material necessities including housing costs, utility bills, basic clothing and basic food needs were generally met and prioritised by participants. Compromises were sometimes made, occasionally having to 'stretch' a food shop at the end of the month or sharing accommodation to keep housing costs down. Other costs were also sometimes viewed as important non‑negotiable living costs such as extra insurance payments for home emergency services where people did not have anyone on hand to call on, or additional premiums for more expensive household items, mobile phones, or medical costs to limit high unexpected expenses.
Maintaining social participation
Socialising was cited by many of the participants as the next priority after bills and food. Several noted the risk of isolation, especially when living alone – getting out and meeting other people had a positive impact on wellbeing, helped limit seclusion and allowed people to discuss shared experiences and gain useful information.
"If I had to prioritise it I would say that I will always make sure that my bills are paid first, probably it would be socialising would be my next big expenditure and important to me because without that I wouldn't cope at all so for me to be able to get out you know … emotional wellbeing is really an important thing." (WA, SSI).
Participants were involved in a wide range of activities; however, many felt they did not go out as much as they would like to – both for practical and financial reasons. Social participation can incur additional costs related to visual impairment such as paying for transport, treating a friend as reciprocation for practical help, and for some, spending more on maintaining their appearance where they cannot see to do this themselves. Some participants had to restrict spending on socialising in order to prioritise their limited budget on basic needs, and most said that if their finances improved then social activities including holidays would be an area where they would spend more money.
A further aspect of social participation is volunteering. Participants discussed the wide range of volunteering roles they performed. These developed people's skills, boosted confidence, provided purpose and satisfaction in helping others, but importantly this highlights the contribution visually impaired people make to organisations, local communities and society.
Transport and location – taxis, access to public transport and local facilities
Transport is closely linked to social participation. Taxis can be an important, but costly, means of getting out to socialise, shop or attend appointments – especially for some participants with little or no sight and those unable to access public transport or lifts from family or friends.
Higher costs were associated with living in a rural area or location without major amenities and limited bus services. Where people did not have informal support for lifts or sufficient Personal Assistant (PA) time they either had to pay for a taxi to get to a supermarket or shop locally with higher costs. Trips to towns to access better facilities or attend a group or activity could involve long bus journeys, which can be particularly difficult for older
people with visual impairment and limited mobility. The cost of a taxi for long journeys could inhibit people travelling, which risks social isolation and limits opportunities to attend VI groups, meet other visually impaired people and gain useful information.
In urban locations, taxis were also sometimes necessary, where people felt unsafe walking to a bus stop which involved crossing a road or no pavement and where there were limited evening services to suburbs. In areas where disabled people received subsidised taxi journeys, they were widely used and less cost incurred.
Spending on taxis was an area subject to restriction, deliberation and cutting back if money was short. Participants, especially those of working age, felt that if they had more money in their budget they would use taxis more often, which could enhance their social life and allow more flexible and spontaneous travel.
Accessing and using technology and specialist equipment
Technology and specialist equipment provided participants with important support to maintain independence and help with daily tasks. Software, video magnifiers, CCTV or scanner reader devices enabled people to read their own mail rather than rely on others. The multi‑functionality and accessibility features of smart phones were valued and additional apps could lessen the need for separate devices. For some participants they were vital – from getting around alone to dealing with problems in the home – meaning managing without one was hard to imagine.
Some participants had received expensive equipment second hand or free via VI organisations. However, the cost of some specialist items or technology limits accessing, or replacing and updating equipment, such as computer software or a laptop with the specification required to run software. This restricts access to the internet, having to make do with limited functioning equipment, or carry out tasks on a smartphone instead of a computer and can mean extra 'hassle', relying on others, or using credit. The price of devices or software could be off‑putting for people wanting to try them out, and act as a barrier to accessing technology or getting online.
"I have been needing to for months now but because [the laptop] is just really, really slow and keeps crashing but it is just building money up for it…. it is quite essential so at the minute I am just doing everything on my phone so like replying to emails and stuff like that, I will just do it on that because I just can't be bothered waiting all of that time on the laptop." (WA, SSI)
Being unable to access the internet can exclude people as more services go online and not using online options can mean missing out on cheap deals or offers and incurring extra costs for services.
Knowledge of specialist equipment and technology – what is available and how to access it – was lacking for some participants, particularly those of pension age (the majority of people with sight loss) who could be missing out on beneficial devices. There were also felt to be gaps in accessing IT training and a need for more local face to face provision to help people make the best use of technology.
Money for contingencies and savings
Participants expressed the need to have some leeway in their budget to enable saving to cover unexpected and longer‑term costs. Being without savings or flexibility in a budget could cause difficulty where unable to afford to buy or replace necessary high cost items, and also insecurity around the financial implications of future deterioration in sight or general health and changes to disability benefits or social care support.
Access to support that makes a difference
The experience of living with sight loss on a low income is profoundly affected not just by money but also by support from people and organisations.
Human support
Various forms of human support provided help with day to day tasks around the home, getting out and maintaining independence.
* Some participants, particularly those with little or no sight, received local authority funded social care. This provided formal support, at no cost or a contribution, that would have been hard or impossible to afford otherwise. For those without regular informal support this resource was crucial.
"I wouldn't eat properly, forms wouldn't get done and I wouldn't be able to get some of the things that I am entitled to or the place would be in a bit of a mess, so … I hate to think you know." (WA, SSI)
Social care generally covered daily living tasks. Some participants had to 'cram' tasks into their set hours and wait between visits if they could not pay for more support. They would have appreciated more time to support social activities, however were conscious that it was assessed annually and there were fears that it could be cut.
* Informal support from family, friends and neighbours can be instrumental in meeting everyday needs and reduce the necessity to pay for formal support. It provided practical help – more than the basics, social opportunities including holidays, emotional support and the security of having someone to depend on. However, availability of informal support varied. Those without it were more dependent on social care, paying for help or just lacked that 'extra bit of help'. Reciprocation was important in accepting informal help to show appreciation and redress the balance, as people did not want to feel indebted to others. Informal support is not a given, as family relationships can be complex, subject to instability and changing dynamics.
* The greatest costs for support fell on participants who self‑funded paid help. Paid‑for services were most often used by pension age participants and working age participants with no useable sight and varied from help with cleaning or gardening to having a PA. Key issues were flexibility in the tasks undertaken and time provided and finding the 'right' person. Finding the money to fund paid‑for help from stretched budgets was not always possible, and this was an area some participants would have liked to spend more money on if they had it.
For those without access to (sufficient) local authority funded or self‑funded support and who do not have regular informal support, needs could be compromised or unmet. In particular, this could limit access to social activities outside the home and allow tasks within the home, such as dealing with paperwork or household repairs, to accumulate or mean having to get by without help.
Support from services and organisations
National and local visual impairment (VI) charities and services, other third sector organisations and statutory services could make a practical, financial and social difference to visually impaired people, through:
* Items and equipment including free basic low vision aids. For older people this was often linked to registration and helpful in the early stages of sight loss when they did not know what is available. A few working age severely sight impaired participants had been supplied with expensive vital equipment that they would not have been able to afford otherwise.
* Training and support ranging from employment skills, IT, braille to cooking skills. Mobility training was important for severely sight impaired participants, though this was an unmet need for some older people who had become sight impaired.
"For those without access to (sufficient) local authority funded or self‑funded support and who do not have regular informal support, needs could be compromised or unmet."
* Information and advocacy, in particular helping with benefit claims and appeals.
* Support getting out through the provision of guide dogs, local guiding services or partner schemes.
* Activities and groups providing opportunities to socialise and share information with others in similar situations. Social groups were particularly valued by pension age participants and an important contact with VI organisations. Working age participants were more likely to be involved in VI activities or sports, but provision varied and some noted a lack of social opportunities for their age group.
Knowledge about what is available is crucial to accessing services and is influenced by: length of time of visual impairment; extent of involvement with VI organisations, social groups or other services; registration; and confidence around asking for help. While being involved in one thing could lead to another, participants noted a need for better information sharing.
Cuts or changes to services such as warden cover and charges, library, chiropody and VI provision had affected some participants and there was concern that reduced funding would impact on services in the future.
Access to mainstream services can make a difference with getting the best out of the income people have available. It is important that companies communicate in accessible formats and have accessible websites to support financial independence, which wasn't always the case. While internet banking and billing could be helpful, those who do not use technology should not be penalised or charged more for communication.
Health and interaction with visual impairment
Participants in this study had a range of health conditions, including diabetes, and for those of pension age, arthritis, mobility and hearing difficulties. Health conditions alongside visual impairment can make a difference to people's needs and costs.
* Limited mobility can make it harder to use public transport, meaning an increased use of taxis or relying on lifts.
* Where hearing is also impaired it cannot be used to help cope with visual impairment – affecting use of audio, social interactions and confidence if unable to hear or see traffic.
* Other health conditions can involve frequent appointments, specific food and dietary requirements, or spending on private treatments or insurance.
* Mental health can be affected by the emotional impact of the loss of or deterioration in vision, loss of work and income, and dealing with the benefit system.
Conclusions and recommendations
The participants in this study prioritised meeting core material needs, although for those on the lowest incomes this could involve compromises. Social participation was extremely important, but for some this need was not met if they had to restrict spending on activities or the resources that could be a means to socialise.
The findings highlight that a range of resources can make a difference to how well visually impaired people are able to meet their needs. Income is very important, but is not the only factor. Access to human support, whether from friends and family or paid for with or without help from the state, services such as those from VI organisations, and appropriate technology can also play a valuable role.
Potential barriers that can impede meeting needs include: poor health; poor access to local facilities and public transport; and lacking knowledge of how to claim benefits, how to become registered with the local authority as visually impaired, where to find services and support or what technology may help. Some people face greater needs when they become visually impaired, especially in the early stages of sight loss.
Nonetheless, income remains crucial in accessing basic material needs, addressing the extra costs of disability and oiling the wheels of social participation. It enables reciprocation for the help that friends give you or to take taxis where needed. Having enough income helps visually impaired people to maintain independence and agency, and provides security or a buffer to protect them when things go wrong and cover the high cost of equipment or technology.
Visually impaired people can have personal concerns about the future, related to further sight deterioration, general health and work. Added to this are worries about the future in the context of austerity. This includes concerns about government support, particularly reassessment of disability and means‑tested benefits, social care, and funding cuts to services including VI provision. Living under the shadow of potential changes to vital benefits and support can be a cause of anxiety, adding further uncertainty to visually impaired people's lives.
"I just think that the more cuts and the more scrutiny that they do, it could all fall down, it would only take, you know when they do a reassessment of the PIP or the ESA for me to fall through that
"Living under the shadow of potential changes to vital benefits and support can be a cause of anxiety, adding further uncertainty to visually impaired people's lives."
hole and I could be losing everything … I get zero council tax … if they said they couldn't cover that you know what I mean? And let's say they put up my care contribution, and my PIP changed to a lower rate, I can just see me falling through this hole and through the cracks. And that is my fear, you sit here worrying. You have got enough problems with your sight problem and how much of a struggle it is and what help you can get and the health and then they are trying to chop your legs off at the same time." (WA, SSI)
Key policy messages emerging from this study:
* Many visually impaired people, particularly those on working age benefits, need more adequate and secure sources of income than offered by the present system to help cope with the uncertainties of deteriorating sight and to build up savings that allow the purchase of expensive equipment when needed. Constant changes in the benefits system bring precarity rather than stability and can be the source of considerable stress.
* Ways of helping lower income visually impaired people should include providing good information about what benefits, services and support is available, advice and advocacy when things go wrong, help and training in the use of assistive technologies and less stressful pathways to claiming the benefits to which they are entitled.
* People need information and support when they first become visually impaired, when the challenges can be the greatest but knowledge of what is available the lowest. Crucial support comes from being well linked in to VI networks, which can be triggered by registration and its follow‑up. Access to VI groups before registration can also be valuable. This research suggests that there is a gap in support, especially for pension age people who become visually impaired, and a need to give timely assistance to those trying to cope with the early stages of sight loss. A more joined up system for providing such support would be a good start in improving the sight loss pathway and life in general for people at a critical time.
Authors and terms
Katherine Hill, Claire Shepherd and Donald Hirsch – Centre for Research in Social Policy, Loughborough University.
In this publication, the terms 'visual impairment' and 'sight loss' are used interchangeably and refer to people who are eligible for certification as either sight impaired or severely sight impaired.
"there is a gap in support, especially for pension age people who become visually impaired, and a need to give timely assistance to those trying to cope with the early stages of sight loss."
How to obtain further information
This paper is a summary of the full report entitled: 'Experiences of living with visual impairment: matching income with needs' which is available at www.crsp.ac.uk/publications or www.pocklington‑trust.org.uk.
Free accessible formats of the full report or this Research Findings document are available on request from Thomas Pocklington Trust:
Telephone: 020 8995 0880
Email: research@pocklington‑trust.org.uk
Web: http://www.pocklington‑trust.org.uk/contact/
About Thomas Pocklington Trust
Thomas Pocklington Trust is a national charity dedicated to delivering positive change for people with sight loss.
Research is central to Pocklington's work. The research we fund supports independent living and identifies barriers and opportunities in areas such as employment, housing and technology.
We work in partnership and share our knowledge widely to enable change. We provide evidence, key information and guidance for policymakers, service planners, professionals and people with sight loss.
Pocklington Hub Tavistock House South Tavistock Square London WC1H 9LG
Tel: 020 8995 0880
Email: research@pocklington‑trust.org.uk
Published by Thomas Pocklington Trust Registered Charity No. 1113729 Company Registered No. 5359336
9 781906 464806
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Estimation of probe position for portable 3D vision coordinate measuring system
LIU Shugui, TANG Shaliang and DONG Yinghua
92 Weijin Rd., Naikai District, Tianjin University, Tianjin 300072, P.R. China State Key Laboratory of Precision Measuring Technology and Instruments , Tianjin University firstname.lastname@example.org, TEL: +86-13612103881, FAX: +86-22-2740-4778
KEYWORDS : Probe tip position, Standard cone, Least square fitting, Auto recognition
In this paper, a new approach to the position estimation of the probe tip which is fixed on a portable light pen is proposed. The light pen whose probe tip can be changed is employed in a 3D vision coordinate measuring system. More than 100 images of the light pen with different postures are collected, while its probe tip is constantly kept in a standard conical hole. By computing the rotation and translation matrixes in accordance with the properties of object and image, the probe tip position is obtained by the least square fitting method. The accuracy of the mathematical model and the effectiveness of the algorithm are proved. This approach can assist the auto recognition of the probe tip being installed.
Manuscript received: January XX, 2011 / Accepted: January XX, 2011
1. Introduction
3D coordinate measuring machines are widely used in industries such as machine manufacturing, automobiles and aviation for the advantages of wide measuring range, high accuracy etc[1]. However, the current coordinate measuring machines cannot meet the needs of quickly measuring huge parts in the field.
In recent years, various types of portable 3D vision coordinate measuring systems have been developed [2] [3]. For example, T-Pro made by Lecia, ProCam made by Accurex, solo/duo made by Metronor and Actiris made by Acticm. All these systems own the advantages of light and flexible, because is only the image of control points, not the image of the probe tip, needed to determine the coordinates of the point been measured. Moreover, the measuring precision is not affected by the quality, such as rigidity and curvature, of the surface being measured.
Under certain circumstances, especially when measuring large work piece with small holes, hidden points or corners, different probes are needed to complete the measuring process. During such process, the CCD camera and the work piece cannot be moved. And there is always no other proper machines to calibrate the position of the probe tip at present. If inaccurate information of the probe is adopted, the result of the measurement would be totally wrong. In this paper, a new approach to give the estimation of the probe tip's position when the probe is changed to meet the measuring requirement is introduced. This approach can also assist the auto recognition of the probe in use.
2. System Setup and Process
The portable 3D vision coordinate measuring system consists of a light pen, a CCD camera, and a computer, as shown in Figure 1.
v
On the light pen, there are 10 LEDs, whose distances between each other are already known. LEDs are on with pressing the trigger switch and give signals to the CCD camera to take images of the light pen. The probe can be changed to make the measurement more convenient.
When measuring, the probe tip is brought into contact with the point being measured. Receiving the signal given by the trigger switch, an image of the light pen with 10 LEDs on is taken by CCD
camera and transferred to the computer. The software system installed in the computer then processes the image to obtain the coordinates of the center of the 10 LEDs on the image plane, which are used as the input to calculate the output of the system, the coordinates of the probe tip center in the world coordinate system (the coordinates of the point being measured). The measuring process is shown in Fig.2.
Fig.2 System measuring process
Detection Point
Coordinates
Software Process System
Image Acqusition Board
CCD Camera
3. Mathematical Model for the Probe Position
3.1 Introduction of the coordinate systems used
In order to build the mathematical model for the probe tip position, 3 coordinate systems are introduced[4], as shown in Fig. 1.
a) The light pen coordinate system 1 o xyz : using the plane of the light pen as plane xz . y Axis is defined according to the righthanded system. The probe tip position we have to get is the very coordinates of the probe tip center under 1 o xyz .
b) The camera coordinate system 2 o uvw : using the perspective center as the origin of coordinates. The axis from the perspective center pointing to the crossing point of the optic axis and the image plane is defined as the w axis. u and v axis are parallel to the horizontal and vertical directions of the pixels of the CCD camera, respectively. The relationship between 2 o uvw and 1 o xyz can be described by the rotation matrix R and the translational matrix T :
c) The world coordinate system ' ' ' 3 o x y z : in order to make the problem less complex, the world coordinate system is defined the same as the camera coordinate system 2 o uvw .
3.2 Computation of the probe tip position
Build the portable 3D vision coordinate measuring system and bring the probe tip into contact with the standard cone which is fixed on a vibration isolation table in front of the CCD camera. Adjust the position of the CCD camera and fix the camera on a vibration isolation table to ensure that the control points (LEDs) of the light pen appear fully in the field of view when the rotation range of the light pen is large. Then, as shown in Fig.3, keep the probe tip on the standard cone while swinging the light pen smoothly. Then many images of the light pen with various orientations can be taken. Insist that the ideal coordinates of the probe tip center under 1 o xyz and 2 o uvw are , , T x y z and , , T u v w respectively. As the light pen is a rigid body, , , T x y z can be thought to be a constant. Because the position of the CCD camera is changeless, , , T u v w can also be considered as a constant.
Insist that the measured coordinates of the probe tip center with image i under 2 o uvw is , , T i i i u v w , according to equation (1), the following equation can be obtained:
Newton iteration method[5].
The deviation of the measured coordinate of the probe tip center under 2 o uvw from the ideal one can be presented as follows:
Based on the least squares method, only when the sum of the square of the deviations above reaches the minimum can we make certain of the probe tip position. Then the objective function of this optimization problem could be given as follows:
where the optimization variable X represents 6 variables: , , , , , x y z u v w .
To deal with (4), general inverse method for least square solution of nonlinear multivariable equations is employed.
4. Design of the algorithm
4.1 General inverse method for least square solution to the system of nonlinear equations
Insisting that the system of nonlinear equations is:
then the Jacobi matrix of the system of nonlinear equations is:
The iterative formula for the least square solution to the system of nonlinear equations is:
where ( ) k X D is the least square solution to the system of linear equations ( ) ( ) ( ) k k k A X F D = . ( ) k A is the Jacobi matrix of ( ) k X ; ( ) k F is the value of the left side of the function after k times of iteration and could be presented as follows:
f
( ) k
i
=
where
n
(
( , , , , ,),
1,2, ,
( ) ( ) ( ) ( ) ( ) ( )
kkkkk
k
i
f x
yzuvw
i
n
=
a
k
(k
i
was the value which enable the one-variable function
+1)
)
f
å
about a reaching the minimum value.
i 1 =
4.2 The initial parameters of the iterative algorithm
2
The initial parameters must given are , , T x y z and , , T u v w , the ideal coordinates of the probe tip center under 1 o xyz and 2 o uvw , respectively. Proper initial parameters can reduce the run time of the iterative algorithm. From equation (2), insisting that , , T i i i u v w , and the coordinates of the probe tip center been measured are exactly the same with , , T u v w , the following equation can be obtained:
Equation (9) can be transformed into:
From equation (9), it is apparently that there are 6 variables. As with only 2 images, 6 equations can be got, the smallest number of images to obtain the initial parameters is 2. If there are more than
the initial parameters can be computed. In order to make the initial parameters more proper, all the images already gotten are used to form over determined linear equations, the solution of which are set as initial parameters of the iterative algorithm.
4.3 Calculation steps
Step 1: Take images and compute the corresponding R and T . Step 2: Designate and calculate of the 6 initial values of the optimization variable X . The set of the initial value of the iterative time is 0 k = .
Step 3: Compute the function value ( ) k F and the Jacobi matrix ( ) k A .
Step 4: Based on the rational extremum principle, find the point k which makes the function ( 1) 2 1 ( ) n k i i f + = å about a reaching the minimum value.
Step 5: Update the optimization variable X , which means doing iterative calculation of
X
( 1)
( )
( )
k
k
k
+
k
=
X -aDX.
Step 6: Estimate the convergence by the increment of ( ) | | k k X a D . When the increment of ( ) | | k k X a D is small enough, end the iterative calculation. Otherwise, let 1 k k = + and jump to the step 2.
Step 7: The position , , T x y z obtained with step 6 is the very probe tip position under the light pen coordinate system 1 o xyz
5. Experiment and result
An experiment on comparison of measuring the probe tip position with the method mentioned above and an accurate method is carried out. A high-precision probe tip position called measured probe tip position (MPTP) can be obtained with a three coordinate machine. The coordinates of the probe tip center under 2 o uvw were computed and stored in the computer. In our experiment, 176 images are collected with CCD camera. With the mathematical model and the algorithm presented in section 3 and 4, the probe tip position what is called estimated probe tip position (EPTP) is calculated. The MPTP with a three coordinates machine is 75.084, 23.801, 115.737 T , while the EPTP we get using the above method is 75.303, 23.783, 115.290 T . By comparing the difference between the two probe positions, it is obvious that the method presented is effective and useful.
Another experiment is measuring a point of the standard cone with the two method mentioned above. Fix the CCD camera and the standard cone and measure the point of the standard cone for 10 times with the MPTP and the EPTP, respectively. The value of the standard deviation of the measurements, which are shown in Table 1, can be considered as an indication of the measurement precision. The standard deviation calculated proves that the precision of the estimated position is as high as the one of measured position.
Table. 1 The standard deviation of the 10 measurements of the same point (unit: mm)
| Axis Mode | X | Y |
|---|---|---|
| With MPTP | 0.06 | 0.052 |
| With EPTP | 0.047 | 0.06 |
6. Conclusions
In this paper, the mathematical model for the estimation of the probe tip position of the portable 3D vision coordinate measuring system is presented. The algorithm for the solution of the mathematical model is validated to be effective with our experiments. The measuring precision of the system can reach to the same level as with the measured probe tip position using a three coordinate machine. So the whole measuring system can be applied in industry manufacturing with its obvious advantages of convenient, flexible, fast and high accuracy. More experiments including repeatability tests calibration of different probes with various shapes and real measuring experiments are going to be put into practice.
REFERENCES
1. J. A. Bosch, "Coordinate Measuring Machines and Systems." Marcel Dekker Inc., New York, USA, 1995
2. LIU Shu-gui, PENG Kai, HUANG Feng-shan, "A portable 3D vision coordinate measurement system using a light pen." Key Engineering Materials, v 295-296, p 331-336, 2005
3. LIU Shu-gui, PENG Kai, ZHANG HF, HUANG Feng-shan,, "The study of dual 3D coordinate vision measurement system using a special probe." Proceedings of SPIE - The International Society for Optical Engineering, v6357 II, Sixth International Symposium on Instrumentation and Control Technology: Signal Analysis, Measurement Theory, Photo-Electronic Technology, and Artificial Intelligence, p 63574H , 2006
4. LIU Shu-gui, HUANG Feng-shan, PENG Kai, "The modeling of portable 3D vision coordinate measuring system." Proceedings of SPIE - The International Society for Optical Engineering, Optical Design and Testing II , v 5638, PART 2, p 835-842, 2005
5. PENG Kai, ZHANG Xue-fei, LIU Shu-gui, HUANG Feng-shan, "The Research of Vision Coordinates Measurement System Using N-Point Probe," Journal of Transduction Technology, vol.20(7), p1635-1638, 2007 (in Chinese)
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International Veteran Volleyball Association (IVVA) - Rules, terms & conditions
IVVA World Indoor Veteran Championship 2023
IVVA World Beach Veteran Tournament 2023
All teams need the endorsement of the IVVA Representative in order to make the registration.
1) PLAYERS
Players have to be in the age of his/her category or reach it during the year of the tournament to be allowed to play with his/her team on the tournament.
Player is allowed to play simultaneously in two categories at the same tournament for which he is age appropriate. (example: Mr. Novak is 47 years old, and he is having birthday in the same year of the Tournament he is allowed to play in the two categories- 40-47 and 48-55. This player is obligated to pay registration fee for all teams he plays the tournament for.
Players able to play are those:
a) of appropriate age or whose birthday takes place within the current calendar year
b) proving their age with an ID before the start of the tournament,
c) registered in the Team Roster of their team before the start of the tournament,
d) who have paid their registration fee,
e) who have signed a waiver of responsibilities.
Each team chooses one person of their rooster as a team delegate that represents them and communicate with IVVA representatives in any matter all throughout the tournament. The name of the team delegate shall be submitted with a registration before the tournament begins.
During the registration the team delegate shall submit the I.D. of all the players to the Organizing Committee and the released waivers signed by each participant. The registration cards will be given when these terms are fulfilled.
The roster shall not be modified or enlarged in any way after the start of the tournament.
2) REGISTRATION
Indoor - Registration price is 90 EURO/person. One team can have a minimum of 7 and a maximum of 14 members. The registration fee includes:
Beach - Registration price is 90 EURO/person. One team can have a minimum of 2 and a maximum of 3 members. The registration fee includes:
* Guarantee of at least six (6) games played
* Registration watter proof bag' including: T-shirt IVVA, water battle, newsletter of the tournament, key tag IVVA, discount coupons)
* Welcome drink in Social party
* Unlimited amount of drinking water during games throughout the tournament
* The opening ceremony + the closing ceremony
We offer a discount of the registration fee in the amount of app. 80 EUR for the teams that pay for their registration fees by the 31 st of December 2022. Registrations will be accepted until the 15 th of September 2023. In case of cancellation of the team ́s participation in the tournament by the 30 th of January 2023 we give back 85% of the paid registration fee. If the team cancels their participation in the tournament by the 28 th of February we give back 50% of the paid registration fee. With cancellation after the 1 st of May, no money is paid back to the team.
Because of of Coronavirus/Covid19, The Organization may be forced to cancel the tournament at any time due to any changes in the Health & Safety guidelines recommended or enforced by the local governments or International law at the time.
If this happens then please note:
* You will receive a full refund of your team registration fee
* You will receive a full refund of the official tournament hotel packages
3) PLAYING JERSEYS
At the time of registration, each team delegate shall inform the colors of the two sets of the mandatory play jerseys, one light and one dark. The delegate shall inform to the score table the roster of the maximum 14 players plus coaching and medical staff and jersey numbers thirty minutes before each game.
The team on the left side of the schedule shall use light jerseys. The team on the right side of the schedule shall use dark jerseys.
Jerseys may show the team name, inscriptions and/or advertising. There will not be allowed discriminator images or inscriptions morally unaccepted.
4) GAMES SYSTEM OF IVVA INDOOR
Games shall be played in two (2) sets played to 25 points without distinction of two points. In case of the sets tie, there shall be one (1) additional deciding set played to 15 points without distinction of two points.
All the games shall have the following score:
a) Three points (3) for winning the match 2:0;
b) Two points (2) for winning the match 2:1;
c) One point (1) for losing the match 1:2.
d) Forfeit 0:2 on sets and 0:25 on points against the accused team that is declared in default or incomplete and/or:
* in the case of suspension of a game due to any reason once started or prior its start, it shall not be rescheduled, while the Disciplinary Board shall decide the
corresponding sanctions and their result. Once the tournament starts and with the game schedule already settled, there shall not be any changes in dates or games, nor any reschedule for any reason.
* Every game played shall not be played again for any reason, abiding by the IVVA Disciplinary Board decision as regards sanctions and results. All scheduled games shall be played.
Teams are declared IN DEFAULT if they refuse to play after being summoned or if they do not appear on the playing court on time without justifiable reason. The waiting time is 15 minutes at maximum.
Teams are declared INCOMPLETE if they don't have enough players to start or continue the game. The team that is declared to be incomplete in the set or in the match, forfeits the set or the match and keeps points and sets achieved during the game.
In the event of a points tie between two, three or more teams, the standings shall be defined as follows:
* Between two teams, the winner of the mutual game qualifies,
* Among three or more teams, qualification will be decided based on the score of each team:
a) Qualification will be decided based on the difference between the number of won and lost sets of each team.
b) If the tie remains, qualification will be decided based on the difference between the number of won and lost balls of each team.
Any playing rule not expressly modified herein, shall be governed by the rules and regulations of the International Federation of Volleyball - FIVB.
Before the match, the 1 st referee carries out a toss to decide upon the first service and the sides of the court in the first set. The toss is taken in the presence of the two team captains. The winner of the toss chooses EITHER the right to serve or to receive the service OR the side of the court. The loser takes the remaining choice.
Teams will be entitled to a 6-10 minute warm up period together at the net. If either captain requests separate (consecutive) official warm-ups at the net, the teams are allowed 3-5 minutes each. The team that has the first service takes the first turn at the net.
There shall be an obligatory 3 minute rest between each set. Each team may request a maximum of two time-outs and (12) twelve substitutions per set. All requested time-outs last for 30 seconds.
5) GAMES SYSTEM OF IVVA BEACH (FIVB)
Tuesday 3
rd
Fase 1 Women 50+ Men 40 – 49 and Men 60 +
15:30 Meeting for all beach teams
16:00 Strart of the IVVA Beach Tournament
All games shall be played in one (1) set played to 21 points with distinction of two points
Wednesday 4 th Fase 1 Women 34 49 and Men 50-59
15:30 Meeting for all beach teams
16:00 Strart of the IVVA Beach Tournament
All games shall be played in one (1) set played to 21 points with distinction of two points.
Thursday 5 th Fase 2 Gold/Silver and Semifinals Women 50+ Men 40 – 49 and Men 60 +
15:00 IVVA Beach Tournament
All games shall be played in one (1) set played to 21 points with distinction of two points.
18:00 Semifinals
In Semifinals and Finals are played Two (2) sets to 21 points with distinction of two points.
In the case of a tie is played one set to 15 with a differences of 2 points.
Friday 6 th Gold/Silver and Semifinals Women 34 49 and Men 50-59
15:00 IVVA Beach Tournament
All games shall be played in one (1) set played to 21 points with distinction of two points.
18:00 Semifinals
In Semifinals and Finals are played Two (2) sets to 21 points with distinction of two points.
In the case of a tie is played one set to 15 with a differences of 2 points.
Saturday 7
th
Bronze medal matches in each category
15:00
Gold
Silver
| Court 1 | Women 34-49 | Court 6 |
|---|---|---|
| Court 2 | Women 50+ | Court 7 |
| Court 3 | Men 40 – 49 | Court 8 |
| Court 4 | Men 50 - 60 | Court 9 |
| Courts 5 | Men 60+ | Courts 10 |
All games shall be played in one (1) set played to 21 points with distinction of two points.
Saturday 7 th Finals in each category 16:00
Gold
Silver
| 16:00 Court 1 | Women 50+ | 16:00 Court 6 |
|---|---|---|
| 17:00 Court 1 | Women 34-49 | 17:00 Court 6 |
| 18:00 Court 1 | Men 40 – 49 | 16:00 Court 7 |
| 16 :00 Court 2 | Men 60+ | 17 :00 Court 7 |
| 17:00 Court 2 | Men 50 - 60 | 17:00 Court 8 |
All games shall be played in Two (2) sets to 21 points with distinction of two points. In the case of a tie is played one set to 15 with a differences of 2 points.
.
Rules:
* Side exchanges every 7 points in case you have a team of 3 players
* Fingers will not apply when the ball is rolling onto the opponents side
* During the IVVA Beach Veteran Tournament 2023 it is obligatory to play in T-shirts or jersey
* Team captains are required to confirm and sign the final results after the match
* All categories are are plaied in central courts in IVVA Beach Zona ciudad banca
* Teams are declared IN DEFAULT if they refuse to play after being summoned or if they do not appear on the playing court on time without justifiable reason. The waiting time is 15 minutes at maximum.
* Teams are declared INCOMPLETE if they don't have enough players to start or continue the game. The team that is declared to be incomplete in the set or in the match, forfeits the set or the match and keeps points and sets achieved during the game.
* Fase 2 will be decided based on the difference between the number of won and lost sets of each team in case of tie.
* If the tie remains, qualification will be decided based on the difference between the number of won and lost balls of each team.
* Before the match, team captain or the 1 st referee carries out a toss to decide upon the first service and the sides of the court in the first set. The toss is taken in the presence of the two team captains. The winner of the toss chooses EITHER the right to serve or to receive the service OR the side of the court. The loser takes the remaining choice.
* Teams will be entitled to a 5 minutes warm up period together at the net. If either captain requests separate (consecutive) official warm-ups at the net, the teams are allowed 3-5 minutes each. The team that has the first service takes the first turn at the net.
Technical meeting: On Tuesday 3.10.2023 at 15.30 technical meeting for all teams before IVVA Beach Veteran Volleyball Tournament 2023 on the Courts Ciudad Blanca
6) PROCEDURE AND PENALTY RULES
All the irregularities and infractions made in the tournament will be punished with the sanctions, suspension or ejection herein settled by the IVVA Disciplinary Board.
A. DISCIPLINARY BOARD OF THE TOURNAMENT
According to the rules herein the IVVA Disciplinary Board is the body empowered to study, evaluate and punish the irregularities and infringements committed since the beginning until the end of the IVVA tournaments in line with the standards of this Code:
* the IVVA Regulations,
* the prove of the facts in each case,
* the interpretation of the IVVA Disciplinary Board in the way of the objective high
critic.
The IVVA Disciplinary Board will consist of four (4) members.
* The IVVA President
* first Member
* second Member
* substitute Member
The appointment of these members and their position will be made fifteen to thirty days prior to the tournament by The IVVA President.
Each case for the IVVA Disciplinary Board will be resolved in First Instance by one of the Judges of the Board in the following order:
1. the President,
2. in case of absence or impossibility, the First Member,
3. in case of absence or impossibility of both of them, the Second Member, 4. in case of absence or impossibility of all above, the substitute Member.
The IVVA Disciplinary Board will work since the first day of the tournament until two (2) hours after the last game of the championship or until it is decided by the Board.
Each resolution will be dictated by the IVVA Disciplinary Board within four (4) hours from the fact or the end of the game and it will be notified immediately by its publication in the news billboard and in the website of the IVVA at www.ivva.eu.
The Board can call any people or parts to be interrogated or can ask for any prove in order to make an objective resolution.
B. REPORTS
In the case of any infringement to the present Code, a report shall be submitted in the IVVA Organizing Committee office by the following individuals:
* the referees of games and/or
* the IVVA representatives.
The reports and disqualifications without report, will be daily sent by the Technical Coordinator to the IVVA Disciplinary Board for their treatment.
The reports shall be made by the referees in the score sheet with explanation of the facts in Spanish or English.
The reports should be presented in the IVVA Organizing Committee office within two (2) hours from the fact or the end of the game.
In the case of suspension of a game by the referees, they shall explain in the report the extreme reasons causing their decision.
C. CLAIMS AND COMPLAINS
The claims related to infringements herein mentioned may be reported in writing by who is considered offended or harmed by the violated norm. Team's delegates or captains are the only ones legitimized for reporting complaints related to the team.
The claim must be presented in writing and accompanied with the caution deposit payment of 50 EUR in order to take the claim into account. The caution deposit is non-returnable in any case. The claims shall be presented within two (2) hours after the event or the end of the game at the IVVA Organizing Committee office written in Spanish or English.
Once the IVVA Disciplinary Board receives a report, a claim or a complaint it will be designated one of the Judges in First Instance for processing and resulting. The notfulfillment of any requirements in time or form of a report, a claim or a complaint will void the plea.
D. TEMPORARY SUSPENSION AND EJECTION
Any player, coach or assistant, who is duly notified by the referees, or disqualified from a match, shall automatically accomplish the suspension for the next game of the playing schedule. This is in addition to any sanction applied by the IVVA Disciplinary Board.
Any aggression will be forwarded with the ejection from the tournament.
The suspension for being disqualified from a match, may be redeemed with the payment of a 50 EUR only once in the championship. The fine must be paid at the IVVA Organizing Committee office and the IVVA Disciplinary Board will verify there is not a referee report and this is the first sanction; In that case it will allow playing the suspended next game.
During the championship, the automatic sanctions, the Board decisions, the reports, claims and the complaints will be displayed on the news billboard at the Information Center and on the IVVA website. The notification will be automatic.
THE ORGANIZATION HAVE THE RIGHT TO CHANGE OR JOIN UP THE CATEGORIES TO ENSURE THE SMOOTH RUNNING OF THE COMPETITION
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October 24, 2008
CIRCULAR LETTER TO ALL MEMBER COMPANIES
Re: Workers Compensation Insurance
Item B-1409-Revisions to Basic Manual for Workers Compensation and Employers Liability Insurance
The North Carolina Rate Bureau has adopted and the North Carolina Commissioner of Insurance has approved the adoption of changes to NCCI's Basic Manual for Workers Compensation and Employers Liability Insurance. The approval is effective October 21, 2008, and will impact all new and renewal business written on or after April 1, 2011 in class codes for specific industries.
The two industries impacted are shown in the table below:
| Title | Fact Sheet | Exhibit |
|---|---|---|
| Bakery, Cookies, & Crackers | 1 | 1 |
| Two – Year Transition Program ,Rules, and Examples | | 1 |
| Food Sundry | 2 | 2 |
The attached exhibits explain in more detail the changes.
Contact the Information Center at 919-582-1056 or via email at email@example.com, if you require additional information.
Sincerely,
Sue Taylor
Director of Insurance Operations
ST:dg
WC-08-20
ITEM B1409—REVISIONS TO BASIC MANUAL CLASSIFICATIONS AND APPENDIX E CLASSIFICATIONS BY HAZARD GROUP
EXHIBIT 1—FACT SHEET
BAKERY, COOKIES, & CRACKERS
PROPOSAL
The focus of the proposed changes for this industry is to combine operations into classifications that reflect exposures common to those operations.
NCCI recommends the following national treatment for classifications:
1. Revise the phraseology of Code 2003—Bakery& Drivers, Route Supervisors to Bakery— Salespersons & Drivers. This will clarify the application of salespersons or drivers who stock the shelves at their customer's location when they deliver product.
The phraseology note of Code 2003 will also be revised to clarify the treatment of a bakery with a retail store operation versus a retail store operation where no baking is done on the premises.
2. Discontinue Code 2001—Cracker Mfg. and reassign the exposure to Code 2003—Bakery— Salespersons & Drivers.
3. Revise the phraseology of Code 2002—Macaroni Mfg. to Pasta or Noodle Mfg.
4. Discontinue the crossreference phraseology for Code 2003—Doughnut Mfg. & Drivers and include it in the phraseology note of Code 2003.
Hawaii Specific:
NCCI recommends that Hawaii discontinue their state special crossreference for Code 2003—Cookie Bakery & Drivers and adopt the new national treatment of Code 2003.
Maine Specific:
NCCI recommends that Maine discontinue their state special crossreference for Code 2003—Bakery & Drivers, Route Supervisors and Code 9083—Doughnut Shop—Retail and adopt the new national treatment of Code 2003. This will result in no change in application.
Montana Specific:
NCCI recommends that Montana not adopt the national treatment and retain their state special phraseologies of Code 2003—Bakery Wholesale & Drivers and Code 2004—Bakery Retail—All Operations. The note for Code 2004 is being amended for consistency to correctly spell the word doughnut.
At the time of this filing, no experience has been reported for national Code 2001—Cracker Mfg. in Montana. Since Code 2001 is being discontinued, any experience that may develop prior to the effective date of this filing will be allocated to Montana state special Code 2003—Bakery Wholesale & Drivers or Code 2004—Bakery Retail—All Operations.
Oregon Specific:
NCCI recommends that Oregon discontinue their state special crossreferences for Code 2003—Bakery & Drivers, Route Supervisors, Code 8017—Bakeries—Retail Store Sales, and Code 9079—Specialty Baked Goods Shops & Drivers and adopt the new national treatment of Code 2003. This will not result in any change in application or assignment from the current application. Bakeries with restaurant operations will continue to be assigned to Code 9079 in Oregon.
ITEM B1409—REVISIONS TO BASIC MANUAL CLASSIFICATIONS AND APPENDIX E CLASSIFICATIONS BY HAZARD GROUP
EXHIBIT 1—FACT SHEET (CONT'D)
Virginia Specific:
NCCI recommends that Virginia update the Scope descriptions for Code 2016, Code 2095, Code 9082, and Code 9083 to reflect the changes being made.
BACKGROUND AND BASIS FOR CHANGE
There are three distinct types of products produced by bakeries. They are baked goods with one, a short shelf life, two, a longer shelf life, and three, those made to be frozen prior to distribution.
Examples of goods with a short shelf life of several weeks include bread, cake, rolls, bread stuffing or crumbs, unfrozen sweet yeast goods (doughnuts, sweet rolls, and coffee cake), soft cakes, pies, and pastries. Examples of bakery goods with a longer shelf life of several months include cookies, crackers, toaster pastries, ice cream cones or cups, and pretzels. Frozen bakery items have an extended shelf life. Frozen bakery items include frozen baked goods, cookies and crackers, raw uncooked breads, cookie dough, frozen pies, sweet yeast goods, soft cakes, and pastries.
There are common steps in the production of any baked good. Both dry and frozen ingredients are mixed to produce the dough. The dough is individually formed and shaped for each item to be baked. Fillings may be added to pies in this stage. Hand tools such as cookie cutters, knives, rolling pins, etc. may be used, and/or the dough can be placed into pans, muffin tins, etc.
The formed dough is then stored in one of three places: It is refrigerated temporarily while waiting for space in the oven to be baked, frozen for use at a later time, or stored in a warm moist area where yeast products are allowed to rise prior to baking. All products are baked with the exception of doughnuts, which are deep fried. Most baked items are allowed to cool after being baked and then packaged for shipment.
The processes used to manufacture tortillas are similar to those used for baking bread. Both involve mixing dough, forming, shaping, baking, cooling and packaging. To make flour tortillas, the dough is mixed, extruded to the correct size, allowed to rise for a short period, flattened, quickly baked, sorted, and packaged. The process to make corn tortillas is slightly different, starting with the mixing of the dough. The cornbased dough is cooked prior to extrusion and does not need to rise. It is quickly baked, cooled, sorted, and packaged. The majority of the operations are wholesale, but some are retail as well.
Pasta also has three distinct types of products: fresh gourmet type, dry and packaged, and frozen. The fresh gourmet type has a short shelf life. Both dry and packaged and frozen have extended shelf lives. Bakery products and pasta products have similarities in categories of products produced and their shelf lives. Pasta manufacturers make a variety of products that include spaghetti, macaroni, vermicelli, and noodle products.
The largest portion of pasta sales comes from the dry and packaged portion with the frozen pasta segment being the fastest growing. Most of the pasta is made from water and special semolina flour that is milled from Durum wheat. Other ingredients, coloring, fillings, and flavorings, may be added to the mix to make a wide range of pasta, which comes in many shapes and sizes. Noodles differ from the other pasta products in that eggs are added to the mixture in their production.
Large wholesale commercial bakeries are highly mechanized with considerable hand packaging operations and delivery of their products on a large scale to wholesale customers. Retail bakery operations tend to be more handson in the manufacturing process, less mechanized, and they have a walkin customer base.
B1409
ITEM B1409—REVISIONS TO BASIC MANUAL CLASSIFICATIONS AND APPENDIX E CLASSIFICATIONS BY HAZARD GROUP
EXHIBIT 1—FACT SHEET (CONT'D)
IMPACT
This item proposes that Code 2001—Cracker Mfg. be discontinued and its experience combined into newly defined national Code 2003. A review has been conducted using the latest approved loss cost or rate filing experience to determine the need for a loss cost or rate transition program. Based on the result of this review, a twoyear transition is being proposed. Using a transition will help minimize the impact to both individual risk premium charges and overall statewide premium.
The other changes to this industry primarily consists of the consolidation of cross–references into the actual classification wording and this consolidation is not expected to result in a reclassification of risk payroll or change in loss costs, rates, or premium.
Hawaii Specific:
It is proposed that Hawaii eliminate the state special wording currently existing for Code 2003 and adopt the national proposal. The elimination of the state special phraseology is not expected to result in additional changes in premium beyond the national proposal to combine Code 2001 into Code 2003.
Maine Specific:
It is proposed that Maine eliminate the state special wording currently existing for Code 2003 and Code 9083 and adopt the national phraseology for both codes. The elimination of the state special phraseologies is not expected to result in additional changes in premium beyond the national proposal to combine Code 2001 into Code 2003.
Montana Specific:
It is proposed that Montana eliminate national Code 2001—Cracker Mfg. There is no proposal to change the current existing state special wording for Code 2003 or Code 2004. Due to the lack of data in Code 2001 in Montana, this proposal will have no impact on individual risks or statewide premium.
Oregon Specific:
It is proposed that Oregon adopt the national treatment by eliminating the state special crossreference phraseologies regarding this industry that are currently included in Codes 2003, 8017, and 9079. The elimination of the state special phraseologies are not expected to result in a reassignment of payroll or in a premium change beyond that stated in the national proposal in regard to combining Code 2001 into Code 2003.
Virginia Specific:
NCCI recommends that Virginia update the Scope descriptions for Code 2016, Code 2095, Code 9082, and Code 9083. These changes are not anticipated to result in any reclassification of risk payroll or result in a change in loss cost, rate, or premium.
No transition program proposal is being made in Virginia for the recommendation to discontinue and combine Code 2001 into newly defined Code 2003.
B1409
ITEM B1409—REVISIONS TO BASIC MANUAL CLASSIFICATIONS AND APPENDIX E CLASSIFICATIONS BY HAZARD GROUP
EXHIBIT 1—FACT SHEET (CONT'D)
IMPLEMENTATION
This item is applicable to new and renewal voluntary and assigned risk policies, and will become effective concurrently with each state's approved rate/loss cost filing for the 2011 filing cycle. For example, this item will be effective January 1, 2011 for approved rate/loss cost filings that have a January 1, 2011 effective date. Similarly, this item will be effective July 1, 2011 for approved rate/loss cost filings that have a July 1, 2011 effective date.
This fact sheet includes a twoyear transition program. The following pages include the actual transition program rules along with an example of the transition program calculations. The rules give additional detail to the initiation and final implementation dates associated with this transition program.
ITEM B1409—REVISIONS TO BASIC MANUAL CLASSIFICATIONS AND APPENDIX E CLASSIFICATIONS BY HAZARD GROUP
EXHIBIT 1—NATIONAL CLASSIFICATIONS BASIC MANUAL—2001 EDITION BAKERY, COOKIES, & CRACKERS CLASSIFICATIONS
CURRENT NATIONAL PHRASEOLOGY TO REMAIN EFFECTIVE UNTIL THE COMPLETION DATE OF THE TRANSITION PROGRAM * OF THIS ITEM
2003 BAKERY & DRIVERS, ROUTE SUPERVISORS
TO BE IMPLEMENTED ON THE COMPLETION DATE OF THE TRANSITION PROGRAM FOR EACH STATE
2003 BAKERY—SALESPERSONS & DRIVERS,——R —O —U —T —E ——S —U —P —E —R —V —I—S —O —R —S —
Code 2003 is assigned to the manufacture of three categories of bakery items: baked goods, cookies and crackers, and cooked or uncooked frozen items. Baked goods include, but are not limited to, bread, bagels, cake, sweet yeast goods (doughnuts and sweet rolls), pies, pizza dough, and tortillas (corn or flour). Cookies and crackers include, but are not limited to toaster pastries, ice cream cones, wafers, matzoth, and soft pretzels. Cooked or uncooked frozen bakery items include, but are not limited to frozen pies, sweet yeast goods, bread, cookie or pizza dough, and pastries.
If an insured qualifies for Code 2003 and Code 8017, or Code 2003 and a restaurant class, a division of payroll for employees exposed to both baking and store or baking and restaurant operations is permitted, provided that conditions described in Basic Manual are met. If a bakery operates a store that sells baked goods for onpremises consumption or both on and offpremises consumption, that store is classified to the appropriate restaurant code. The assignment of a restaurant class under these circumstances is not dependent on the percentage of goods consumed on or away from the premises. If a bakery operates a store that sells baked goods exclusively for offpremises consumption, that store is assigned to Code 8017.
Retail bakery and doughnut stores (no baking done on premises) that sell baked goods exclusively for off premises consumption will be separately rated to Code 8017. Retail bakery and doughnut stores that additionally prepare food or have onpremises consumption must be separately rated to the appropriate restaurant code.
Additional food preparation done by a retail bakery and doughnut stores (no baking done on premises) to enhance their products for breakfast, lunch, or dinner must be separately rated to the appropriate restaurant code. Examples of enhancements to bakery products include but are not limited to the addition of eggs, lunchmeats, bacon, lettuce, etc. Providing beverages (includes, but not limited to coffee, tea, fountain sodas, milk, prepackaged drinks, etc.) or prepackaged self serve condiments (includes, but not limited to butter, cream cheese, jams, spreads, etc.) to customers is not considered an enhancement.
* For all applicable states, the two year transition program will be initiated concurrent with each state's approved rate/loss cost filing effective date for 2011 filing cycle. Refer to the state chart in the implementation section of the Memorandum.
B1409
ITEM B1409—REVISIONS TO BASIC MANUAL CLASSIFICATIONS AND APPENDIX E CLASSIFICATIONS BY HAZARD GROUP
EXHIBIT 1—NATIONAL CLASSIFICATIONS BASIC MANUAL—2001 EDITION BAKERY, COOKIES, & CRACKERS CLASSIFICATIONS
CURRENT NATIONAL PHRASEOLOGY TO REMAIN EFFECTIVE UNTIL THE COMPLETION DATE OF THE TRANSITION PROGRAM * OF THIS ITEM
2001 CRACKER MFG.
TO BE IMPLEMENTED ON THE COMPLETION DATE OF THE TRANSITION PROGRAM FOR EACH STATE
2—0—0—1— C —R —A —C —K —E —R ——M —F —G —.—
* For all applicable states, the two year transition program will be initiated concurrent with each state's approved rate/loss cost filing effective date for 2011 filing cycle. Refer to the state chart in the implementation section of the Memorandum.
B1409 PAGE 7
ITEM B1409—REVISIONS TO BASIC MANUAL CLASSIFICATIONS AND APPENDIX E CLASSIFICATIONS BY HAZARD GROUP
EXHIBIT 1—NATIONAL CLASSIFICATIONS BASIC MANUAL—2001 EDITION BAKERY, COOKIES, & CRACKERS CLASSIFICATIONS
2002 M —A —C —A —R —O —N —I——M —F —G —.—
B1409
PAGE 8
ITEM B1409—REVISIONS TO BASIC MANUAL CLASSIFICATIONS AND APPENDIX E CLASSIFICATIONS BY HAZARD GROUP
EXHIBIT 1—NATIONAL CLASSIFICATIONS BASIC MANUAL—2001 EDITION BAKERY, COOKIES, & CRACKERS CLASSIFICATIONS
2002 PASTA OR NOODLE MFG.
Code 2002 includes, but is not limited to, spaghetti, macaroni, noodles, and other pasta products whose main ingredients are water and flour. Other ingredients, coloring, fillings, and flavorings may be added to the mix to make a wide range of pasta that comes in many shapes and sizes. Noodles differ from the other pasta products in that eggs are added to the mixture in their production.
B1409
ITEM B1409—REVISIONS TO BASIC MANUAL CLASSIFICATIONS AND APPENDIX E CLASSIFICATIONS BY HAZARD GROUP
EXHIBIT 1—NATIONAL CLASSIFICATIONS BASIC MANUAL—2001 EDITION BAKERY, COOKIES, & CRACKERS CLASSIFICATIONS
CURRENT NATIONAL PHRASEOLOGY TO REMAIN EFFECTIVE UNTIL THE COMPLETION DATE OF THE TRANSITION PROGRAM * OF THIS ITEM
DOUGHNUT
2003 9083
Mfg. & Drivers
Shop—Retail. Applies to shops engaged in the preparation and sale of doughnuts, coffee, or other items for consumption on or away from the premises. If the shop does not qualify as Code 9083—Restaurant: Fast Food, classify as Code 9082—Restaurant NOC.
TO BE IMPLEMENTED ON THE COMPLETION DATE OF THE TRANSITION PROGRAM FOR EACH STATE
D —O —U —G —H —N —U —T —
2003 9083
M —f—g —.——& ——D —r—i—v—e—r—s—
DOUGHNUT Shop—Retail. Applies to shops engaged in the preparation and sale of doughnuts, coffee, or other items for consumption on or away from the premises. If the shop does not qualify as Code 9083—Restaurant: Fast Food, classify as Code 9082—Restaurant NOC.
* For all applicable states, the two year transition program will be initiated concurrent with each state's approved rate/loss cost filing effective date for 2011 filing cycle. Refer to the state chart in the implementation section of the Memorandum.
ITEM B1409—REVISIONS TO BASIC MANUAL CLASSIFICATIONS AND APPENDIX E CLASSIFICATIONS BY HAZARD GROUP
EXHIBIT 1—BAKERY, COOKIES, & CRACKERS
TWOYEAR TRANSITION PROGRAM RULES
(Applies in: AK, AL, AR, AZ, CO, CT, DC, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MO, MS, MT, NC, NE, NH, NM, NV, OK, OR, RI, SC, SD, TN, UT, VT, WV)
The following are the rules of the twoyear transition program implementing the rates/loss costs and rating values for Codes 2001 and 2003. NCCI will administer this program through each state's specific rate/loss cost classification experience filing revision process.
The state rate/loss cost filing revision where this transition program will initiate will be the first filing made with an effective date on or after the state approved effective date of this item filing. If a state rate/loss cost revision filing is made prior to the approval of this item, then that state's experience filing revision will not reflect the first year transition values. Instead the first year transition will be made to coincide with the next experience filing revision after the item approval is made and whose proposed effective date is on or after the approved item's effective date.
The following outlines the steps needed to implement the rates/loss costs and rating values for Codes 2001 and 2003 within each of the classification rate/loss cost filings. An example of the twoyear transition program calculation, including the weight value calculation, is shown in subsequent pages of this exhibit.
A. Risks will continue to be classified to either Code 2001 or 2003 as appropriate until the elimination of Code 2001 in the second state rate/loss cost annual experience filing revision from which this transition program was initiated.
B. As part of the first NCCI state rate/loss cost experience filing revision where this transition program is initiated, the payrollweighted rate/loss cost of Codes 2001 and 2003 will be calculated using the latest available year's payroll and the standard calculated rate/loss cost of the two individual codes. If the payrollweighted rate/loss cost is within the swing limits determined for Codes 2001 and 2003, then each of these codes will take on the rate/loss cost of the payrollweighted rate/loss cost. Rating values will be determined by the same payroll weighting.
If the payrollweighted rate/loss cost is outside of the filing's swing limits for any of the codes, then the rate/loss cost for each of the codes will be determined by a methodology weighting together (1) the payroll weighted rate/loss cost and (2) the standard calculated rate/loss cost for each code. The ratio used in this methodology will be first determined by calculating the maximum weighting value given to the payroll weighted rate/loss cost in order to keep the rates for Codes 2001 and 2003 within the swing limits of the filing. However, a 50% minimum weighting value must be used, regardless of the swing limits to execute the transition program within two years. Rating values will be calculated in a similar manner.
C. As part of the second NCCI state rate/loss cost classification experience filing revision, Code 2001 will be eliminated. All insured operations previously assigned to Code 2001 will then be assigned to Code 2003. The rate/loss cost for newly defined Code 2003 will be the payroll weighted rate/loss cost of Code 2001 and Code 2003 using this filing's latest available year of payroll and the standard calculated rate/loss cost of the two individual codes. Rating values will be determined by the same payroll weighting.
ITEM B1409—REVISIONS TO BASIC MANUAL CLASSIFICATIONS AND APPENDIX E CLASSIFICATIONS BY HAZARD GROUP
EXHIBIT 1—BAKERY, COOKIES, & CRACKERS
EXAMPLE OF TWOYEAR TRANSITION PROGRAM CALCULATION
(Applies in: AK, AL, AR, AZ, CO, CT, DC, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MO, MS, MT, NC, NE, NH, NM, NV, OK, OR, RI, SC, SD, TN, UT, VT, WV)
Note: The rates/loss costs used in the following example are for illustration purposes only and are not the actual rates/loss costs in use, nor do they represent expected actual rates/loss costs for the codes indicated.
In the following example, the "PayrollWeighted Rate/Loss Cost" for each year can be calculated by using the "NCCI Initially Calculated Rate/Loss Cost" and the payroll for the latest available year.
The following assumptions are made for this example:
| | Code XXX1 | Code XXX2 |
|---|---|---|
| Payroll $ | 400,000 | 700,000 |
| Rate/Loss Cost | 21.00 | 10.50 |
The "PayrollWeighted Rate/Loss Cost" is calculated as follows:
Additionally, the swing limits are assumed to be plus or minus 25%. Please note: The weight value used represents the largest possible value keeping the rate/loss cost changes within the swing limits. The weight value below is subject to a minimum of 0.50 for the first year and 1.00 for the second year without regard to swing limits in order to transition the rates/loss costs within two years.
| | Weight Value | Class Code | PayrollWeighted Rate/Loss Cost | | NCCI Initially Calculated Rate/Loss Cost | |
|---|---|---|---|---|---|---|
| Filing Effective in First Year | 0.57* | XXX1 | (0.57 x 12.48) | + | (0.43 x 21.00) | = |
| | | XXX2 | (0.57 x 12.48) | + | (0.43 x 10.50) | = |
| | | XXX3 | (0.57 x 12.48) | + | (0.43 x 11.81) | = |
| Filing Effective in Second Year | 1.00 | XXX1 | (1.00 x 12.48) | + | (0.00 x 19.78) | = |
| | | XXX2 | (1.00 x 12.48) | + | (0.00 x 12.25) | = |
| | | XXX3 | (1.00 x 12.48) | + | (0.00 x 11.57) | = |
* See "Example of TwoYear Weight Value Calculation" for more details.
ITEM B1409—REVISIONS TO BASIC MANUAL CLASSIFICATIONS AND APPENDIX E CLASSIFICATIONS BY HAZARD GROUP
EXHIBIT 1—BAKERY, COOKIES, & CRACKERS (CONT'D)
EXAMPLE OF TWOYEAR TRANSITION PROGRAM EXPECTED LOSS RATE (ELR)
(Applies in: AK, AL, AR, AZ, CO, CT, DC, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MO, MS, MT, NC, NE, NH, NM, NV, OK, OR, RI, SC, SD, TN, UT, VT, WV)
Note: The ELRs in the following example are for illustration purposes only and are not the actual ELRs in use, nor do they represent expected actual ELRs for the codes indicated.
In the following example, the "PayrollWeighted ELR" for each year can be calculated by using the "NCCI Initially Calculated ELR" and the payroll for the latest available year.
The following assumptions are made for this example:
| | Code XXX1 | Code XXX2 | Code XXX3 |
|---|---|---|---|
| Payroll $ | 400,000 | 700,000 | 3,000,000 |
| ELR | 7.00 | 3.50 | 3.94 |
The "PayrollWeighted ELR" is calculated as follows:
Additionally, the swing limits are assumed to be plus or minus 25%. Please note: The weight value used represents the largest possible value keeping the rate/loss cost changes within the swing limits. The weight value below is subject to a minimum of 0.50 for the first year and 1.00 for the second year without regard to swing limits in order to transition the rates/loss costs within two years.
| | Weight Value | Class Code | PayrollWeighted ELR | | NCCI Initially Calculated ELR | |
|---|---|---|---|---|---|---|
| Filing Effective in First Year | 0.57* | XXX1 | (0.57 x 4.16) | + | (0.43 x 7.00) | = |
| | | XXX2 | (0.57 x 4.16) | + | (0.43 x 3.50) | = |
| | | XXX3 | (0.57 x 4.16) | + | (0.43 x 3.94) | = |
| Filing Effective in Second Year | 1.00 | XXX1 | (1.00 x 4.16) | + | (0.00 x 6.59) | = |
| | | XXX2 | (1.00 x 4.16) | + | (0.00 x 4.08) | = |
| | | XXX3 | (1.00 x 4.16) | + | (0.00 x 3.86) | = |
* See "Example of TwoYear Weight Value Calculation" for more details.
ITEM B1409—REVISIONS TO BASIC MANUAL CLASSIFICATIONS AND APPENDIX E CLASSIFICATIONS BY HAZARD GROUP
EXHIBIT 1—BAKERY, COOKIES, & CRACKERS (CONT'D)
EXAMPLE OF TWOYEAR TRANSITION PROGRAM D RATIOS
(Applies in: AK, AL, AR, AZ, CO, CT, DC, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MO, MS, MT, NC, NE, NH, NM, NV, OK, OR, RI, SC, SD, TN, UT, VT, WV)
Note: The D ratios in the following example are for illustration purposes only and are not the actual D ratios in use, nor do they represent expected actual D ratios for the indicated.
In the following example, the "PayrollWeighted D Ratios" for each year can be calculated by using the "NCCI Initially Calculated D Ratios" and the payroll for the latest available year.
The following assumptions are made for this example:
| | Code XXX1 | Code XXX2 |
|---|---|---|
| Payroll $ | 400,000 | 700,000 |
| D Ratios | 0.23 | 0.20 |
The "PayrollWeighted D Ratio" is calculated as follows:
Additionally, the swing limits are assumed to be plus or minus 25%. Please note: The weight value used represents the largest possible value keeping the rate/loss cost changes within the swing limits. The weight value below is subject to a minimum of 0.50 for the first year and 1.00 for the second year without regard to swing limits in order to transition the rates/loss costs within two years.
| | Weight Value | Class Code | PayrollWeighted D Ratio | | NCCI Initially Calculated D Ratio | |
|---|---|---|---|---|---|---|
| Filing Effective in First Year | .57* | XXX1 | (0.57 x 0.23) | + | (0.43 x 0.23) | = |
| | | XXX2 | (0.57 x 0.23) | + | (0.43 x 0.20) | = |
| | | XXX3 | (0.57 x 0.23) | + | (0.43 x 0.24) | = |
| Filing Effective in Second Year | 1.00 | XXX1 | (1.00 x 0.23) | + | (0.00 x 0.22) | = |
| | | XXX2 | (1.00 x 0.23) | + | (0.00 x 0.22) | = |
| | | XXX3 | (1.00 x 0.23) | + | (0.00 x 0.24) | = |
* See "Example of TwoYear Weight Value Calculation" for more details.
ITEM B1409—REVISIONS TO BASIC MANUAL CLASSIFICATIONS AND APPENDIX E CLASSIFICATIONS BY HAZARD GROUP
EXHIBIT 1—BAKERY, COOKIES, & CRACKERS (CONT'D)
EXAMPLE OF TWOYEAR WEIGHT VALUE CALCULATION
(Applies in: AK, AL, AR, AZ, CO, CT, DC, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MO, MS, MT, NC, NE, NH, NM, NV, OK, OR, RI, SC, SD, TN, UT, VT, WV)
In the following example, the rates/loss costs are calculated for each class code by utilizing successively higher weight values until the largest weight value is found that keeps the rates/loss costs within swing limits. However, depending on which year of the transition the filing is effective, this weight value is subject to minimums without regard to swing limits. These minimums are 0.50 for the first year and 1.00 for the second year. For the purposes of illustration, the codes are represented as XXX1, XXX2, and XXX3.
Note: The Weight Value Calculation in the following example are for illustration purposes only and are not the actual Weight Value Calculation in use, nor do they represent expected actual Weight Value Calculation for the codes indicated.
The following assumptions are made for this example:
1. The swing limits are plus or minus 25%
2. The rates/loss costs are as follows:
| | Rate/Loss Cost for Code XXX1 | Rate/Loss Cost for Code XXX2 |
|---|---|---|
| Current Approved Filing | 21.49 | 11.32 |
| First Transition Year | 16.14 | 11.63 |
| Year 1 | Code XXX1 | | Code XXX2 | | |
|---|---|---|---|---|---|
| Weight Value | Calculated Rate/Loss Cost Given Weight Value | Rate/Loss Cost Change % | Calculated Rate/Loss Cost Given Weight Value | Rate/Loss Cost Change % | Calculated Rate/Loss Cost Given Weight Value |
| 0.50 | 16.74 | –22.1% | 11.49 | 1.5% | 12.15 |
| 0.51 | 16.65 | –22.5% | 11.51 | 1.7% | 12.15 |
| 0.52 | 16.57 | –22.9% | 11.53 | 1.9% | 12.16 |
| 0.53 | 16.48 | –23.3% | 11.55 | 2.0% | 12.17 |
| 0.54 | 16.40 | –23.7% | 11.57 | 2.2% | 12.17 |
| 0.55 | 16.31 | –24.1% | 11.59 | 2.4% | 12.18 |
| 0.56 | 16.23 | –24.5% | 11.61 | 2.6% | 12.19 |
| 0.57 | 16.14 | –24.9% | 11.63 | 2.7% | 12.19 |
| 0.58 | 16.06 | –25.3% | 11.65 | 2.9% | 12.20 |
| 0.59 | 15.97 | –25.7% | 11.67 | 3.1% | 12.21 |
| 0.60 | 15.89 | –26.1% | 11.69 | 3.3% | 12.21 |
| 0.61 | 15.80 | –26.5% | 11.71 | 3.4% | 12.22 |
| continues | | | | | |
ITEM B1409—REVISIONS TO BASIC MANUAL CLASSIFICATIONS AND APPENDIX E CLASSIFICATIONS BY HAZARD GROUP
EXHIBIT 2—FACT SHEET
FOOD SUNDRY
PROPOSAL
The focus of the proposed changes for this industry is to consolidate crossreference phraseologies of Code 6504 and to introduce a new classification for Potato Chip, Popcorn & Snack Chip Mfg. NOC.
NCCI recommends the following national treatment for classifications:
1. Revise the phraseology of Code 6504—Food Sundries Mfg. NOC to Food Products Mfg. NOC.
2. Discontinue the following crossreferences and include them in the phraseology note of Code 6504.
3. Discontinue crossreference phraseologies Potato Chip Mfg. and Popcorn Mfg. from Code 6504 and reassign exposure to newly created Code 6503—Potato Chip, Popcorn & Snack Chip Mfg. NOC.
Baking Powder Mfg.
Mayonnaise Mfg.
Coconut Shredding Or Drying
Nut Cleaning Or Shelling
Coffee Cleaning, Roasting, Or Grinding
Peanut Butter Mfg.
Flour Mixing And Blending—No Milling
Spice Mills
Malted Milk Mfg.—From Powdered Milk, Sugar, Malt,
Cocoa
Yeast Mfg.
Hawaii Specific:
NCCI recommends Hawaii discontinue their state special cross—references for Code 6504—Miso Mfg. and Code 6504—Poi Mfg. The phraseology note of Code 6504 will be revised to include these products.
Oklahoma Specific:
NCCI recommends that Oklahoma not adopt the national treatment but instead revise Oklahoma state special Code 6513—Food Sundries Mfg. NOC & Salespersons, Drivers to clarify the assignment of manufactured products
NCCI recommends that Oklahoma adopt new national Code 6503—Potato Chip, Popcorn & Snack Chip Mfg. NOC in addition to state special Code 6513.
Oregon Specific:
NCCI recommends that Oregon discontinue state special crossreference for Code 6504—Food Sundries Mfg. NOC and adopt the national treatment.
Virginia Specific:
NCCI recommends that Virginia update the Scope descriptions for Code 2016, Code 2095, Code 9082, and Code 9083.
BACKGROUND AND BASIS FOR CHANGE
Within Code 6504—Food Sundries Mfg. NOC there is a wide range of manufacturing techniques that include the wet mixing of products, dry grinding of products, cooking of products, chemical blending of imitation products, dehydrating, manufacture of pizza dough, foam packing peanuts made from potato starch, and packaging of sandwiches for sale on a wholesale basis as a sample of included items. Other products that are included in this classification are artificial sweeteners that are made from a chemical process or flaked sugar, tortilla and corn chips, and salsa manufacturing. Depending on the production method, this may
ITEM B1409—REVISIONS TO BASIC MANUAL CLASSIFICATIONS AND APPENDIX E CLASSIFICATIONS BY HAZARD GROUP
EXHIBIT 2—FACT SHEET (CONT'D)
include a dry mixing or milling process, or a wet mixing or blending process that can be baked, cooked, fried, or crushed, and packaged as needed.
The range of products in this classification has increased beyond simple preparation. Code 6504 was once the simple preparation or packaging of already manufactured items. This NOC exception (code of last resort) is now the rule and no longer the exception. It is the first choice in assigning insureds in the food sundries business for both human and animals instead of the code of last resort.
There are several characteristics that these products share in common. Most of these products are produced in highly automated plants that are set up to produce each of the products in large bulk quantity. There are extensive packaging operations that are equally automated with items prepared and sold in bulk to wholesale customers who use these products as ingredients in other products or as retail consumersized packaging that can be purchased in supermarkets or food stores.
IMPACT
This item proposes to establish new national Code 6503—Potato Chip & Other Snack Chip Mfg. & Drivers. It is also proposed that the initial loss cost or rate and experience rating values be that of Code 6504 until Code 6503 establishes sufficient experience to determine its own loss cost or rate. It is expected that most experience generated for the new code will come from Code 6504. This proposal is, therefore, not expected to cause a significant change in statewide or individual risk premium. The new class code's loss cost or rate will eventually reflect the new phraseology wording and underlying experience of all risks with payroll and loss experience assigned to that classification.
The other changes in phraseology for Code 6504, which primarily consist of consolidating multiple crossreference wording into the actual code phraseology, are for clarification only and are not expected to result in a change in statewide or individual risk premium.
Hawaii Specific:
This item proposes that Hawaii discontinue the state special phraseology "Miso Mfg." and "Poi Mfg." in Code 6504 and adopt the national treatment. The new national phraseology of Code 6504 will specifically reference the manufacturing of these products. This should not cause a change in individual risk or statewide premium.
Oklahoma Specific:
This item proposes that Oklahoma not adopt national Code 6504 and instead continue to use Oklahoma state special Code 6513. The recommended changes to phraseology for Code 6513 are for clarification only and are not expected to result in a change in statewide or individual risk premium.
The proposal does recommend that Oklahoma adopt the new national Code 6503. The initial loss cost or rate and experience rating values for Code 6503 will be that of Oklahoma state special Code 6513 until Code 6503 establishes sufficient experience to determine its own loss cost or rate. It is expected that most experience generated for the new code will come from Code 6513. This is, therefore, not expected to cause a significant change in statewide or individual risk premium.
Oregon Specific:
It is proposed that Oregon adopt the national treatment by eliminating state special reference phraseology currently applicable to Code 6504. The elimination of the state special phraseology is not expected to result in a change in individual risk or statewide premium.
Virginia Specific:
NCCI recommends that Virginia update the Scope descriptions for Code 2016, Code 2095, Code 9082, and Code 9083. These changes are not anticipated to result in any reclassification of risk payroll or result in a change in loss cost, rate, or premium.
B1409
ITEM B1409—REVISIONS TO BASIC MANUAL CLASSIFICATIONS AND APPENDIX E CLASSIFICATIONS BY HAZARD GROUP
EXHIBIT 2—FACT SHEET (CONT'D)
IMPLEMENTATION
This item is applicable to new and renewal voluntary and assigned risk policies, and will become effective concurrently with each state's approved rate/loss cost filing for the 2011 filing cycle. For example, this item will be effective January 1, 2011 for approved rate/loss cost filings that have a January 1, 2011 effective date. Similarly, this item will be effective July 1, 2011 for approved rate/loss cost filings that have a July 1, 2011 effective date.
B1409
ITEM B1409—REVISIONS TO BASIC MANUAL CLASSIFICATIONS AND APPENDIX E CLASSIFICATIONS BY HAZARD GROUP
EXHIBIT 2—NATIONAL CLASSIFICATIONS BASIC MANUAL—2001 EDITION FOOD SUNDRY CLASSIFICATIONS
6504 FOOD PRODUCTS S —U —N —D —R —I—E —S ——MFG. NOC
N —o— — c—e—r—e—a—l—All milling must be separately rated. Includes, but is not limited to, cleaning, grinding, sorting,or mixing o—f—coffee, sugars, c—o—n—f—e—c—t—i—o—n—s—,—pastry flours, spices, or nuts. — ; baking powder manufacturing; coconut shredding or drying; coffee cleaning, roasting, or grinding; flour mixing and blending (no milling); malted milk manufacturing (from powdered milk, sugar, malt, cocoa); mayonnaise manufacturing; nut cleaning or shelling; peanut butter manufacturing; spice mills; and yeast manufacturing. Miso and poi manufacturing are also included.
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ITEM B1409—REVISIONS TO BASIC MANUAL CLASSIFICATIONS AND APPENDIX E CLASSIFICATIONS BY HAZARD GROUP
EXHIBIT 2—NATIONAL CLASSIFICATIONS BASIC MANUAL—2001 EDITION FOOD SUNDRY CLASSIFICATIONS
6504 B —A —K —I—N —G ——P —O —W —D —E —R ——M —F —G —.—
.M —f—g—.— — o—f— — i—n—g—r—e—d—i—e—n—t—s— — t—o— — b—e— — s—e—p—a—r—a—t—e—l—y— — r—a—t—e—d—.— — A —s—s—i—g—n— — t—o— — t—h—e— — a—p—p—r—o—p—r—i—a—t—e— — c—h—e—m —i—c—a—l— — C —o—d—e— — 4—8—2—8— — o—r— C —o—d—e— — 4—8—2—9—.— — C —a—n— — m —f—g—.— — t—o— — b—e— — s—e—p—a—r—a—t—e—l—y— — r—a—t—e—d— — a—s— — C —o—d—e— — 3—2—2—0—
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ITEM B1409—REVISIONS TO BASIC MANUAL CLASSIFICATIONS AND APPENDIX E CLASSIFICATIONS BY HAZARD GROUP
EXHIBIT 2—NATIONAL CLASSIFICATIONS BASIC MANUAL—2001 EDITION FOOD SUNDRY CLASSIFICATIONS
6504 C —O —C —O —N —U —T ——S —H —R —E —D —D —I—N —G ——O —R ——D —R —Y —I—N —G —
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ITEM B1409—REVISIONS TO BASIC MANUAL CLASSIFICATIONS AND APPENDIX E CLASSIFICATIONS BY HAZARD GROUP
EXHIBIT 2—NATIONAL CLASSIFICATIONS BASIC MANUAL—2001 EDITION FOOD SUNDRY CLASSIFICATIONS
C —O —F —F —E —E —
6504 C —l—e—a—n —i—n —g —,——R —o —a—s—t—i—n —g —,——o —r——G —r—i—n —d —i—n —g —
5192
S —e—r—v—i—c—e——C —o —m —p —a—n —i—e—s——A —l—l——O —p —e—r—a—t—i—o —n —s——& ——S —a—l—e—s—p —e—r—s—o —n —s—,——D —r—i—v—e—r—s—.— A —p—p—l—i—e—s— — t—o— — t—h—e— — s—a—l—e— — a—n—d—
d—e—l—i—v—e—r—y— — o—f— — c—o—f—f—e—e—,— — t—e—a—,— — h—o—t— — c—h—o—c—o—l—a—t—e— — m —i—x—e—s—,— — d—e—h—y—d—r—a—t—e—d— — s—o—u—p—s—,— — e—t—c—.— — t—o— — b—u—s—i—n—e—s—s— — e—s—t—a—b—l—i—s—h—m —e—n—t—s—
a—n—d— — t—h—e— — i—n—s—t—a—l—l—a—t—i—o—n—,—
s—h—o—p— — a—n—d— —
— s—e—r—v—i—c—e— — o—r— — r—e—p—a—i—r—
o—u—t—s—i—d—e— —
— o—f— —
c—o—f—f—e—e—m o—p—e—r—a—t—i—o—n—s—.—
— C
—a—k—e—r—s—
—a—t—e—r—i—n—g—
—
— a—n—d—
o—p—e—r—a—t—i—o—n—s— — t—o— —
— s—i—m —i—l—a—r— —
e—q—u—i—p—m b—e—
—
—e—n—t—.—
s—e—p—a—r—a—t—e—l—y— —
— I—n—c—l—u—d—e—s—
r—a—t—e—d—.—
— s—t—o—r—a—g—e—,—
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ITEM B1409—REVISIONS TO BASIC MANUAL CLASSIFICATIONS AND APPENDIX E CLASSIFICATIONS BY HAZARD GROUP
EXHIBIT 2—NATIONAL CLASSIFICATIONS BASIC MANUAL—2001 EDITION FOOD SUNDRY CLASSIFICATIONS
5192 COFFEE SERVICE COMPANIES—ALL OPERATIONS & SALESPERSONS, DRIVERS
Applies to the sale and delivery of coffee, tea, hot chocolate mixes, dehydrated soups, etc. to business establishments and the installation, service or repair of coffeemakers and similar equipment. Includes storage, shop, and outside operations. Catering operations to be separately rated.
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ITEM B1409—REVISIONS TO BASIC MANUAL CLASSIFICATIONS AND APPENDIX E CLASSIFICATIONS BY HAZARD GROUP
EXHIBIT 2—NATIONAL CLASSIFICATIONS BASIC MANUAL—2001 EDITION FOOD SUNDRY CLASSIFICATIONS
6504 F —L —O —U —R ——M —I—X —I—N —G ——A —N —D ——B —L —E —N —D —I—N —G ——N —O ——M —I—L —L —I—N —G —
ITEM B1409—REVISIONS TO BASIC MANUAL CLASSIFICATIONS AND APPENDIX E CLASSIFICATIONS BY HAZARD GROUP
EXHIBIT 2—NATIONAL CLASSIFICATIONS BASIC MANUAL—2001 EDITION FOOD SUNDRY CLASSIFICATIONS
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ITEM B1409—REVISIONS TO BASIC MANUAL CLASSIFICATIONS AND APPENDIX E CLASSIFICATIONS BY HAZARD GROUP
EXHIBIT 2—NATIONAL CLASSIFICATIONS BASIC MANUAL—2001 EDITION FOOD SUNDRY CLASSIFICATIONS
6504 M —A —Y —O —N —N —A —I—S —E ——M —F —G —.—
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ITEM B1409—REVISIONS TO BASIC MANUAL CLASSIFICATIONS AND APPENDIX E CLASSIFICATIONS BY HAZARD GROUP
EXHIBIT 2—NATIONAL CLASSIFICATIONS BASIC MANUAL—2001 EDITION FOOD SUNDRY CLASSIFICATIONS
6504 N —U —T ——C —L —E —A —N —I—N —G ——O —R ——S —H —E —L —L —I—N —G —
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ITEM B1409—REVISIONS TO BASIC MANUAL CLASSIFICATIONS AND APPENDIX E CLASSIFICATIONS BY HAZARD GROUP
EXHIBIT 2—NATIONAL CLASSIFICATIONS BASIC MANUAL—2001 EDITION FOOD SUNDRY CLASSIFICATIONS
6504 P —E —A —N —U —T ——B —U —T —T —E —R ——M —F —G —.—
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ITEM B1409—REVISIONS TO BASIC MANUAL CLASSIFICATIONS AND APPENDIX E CLASSIFICATIONS BY HAZARD GROUP
EXHIBIT 2—NATIONAL CLASSIFICATIONS BASIC MANUAL—2001 EDITION FOOD SUNDRY CLASSIFICATIONS
6504 S —P —I—C —E ——M —I—L —L —S —
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ITEM B1409—REVISIONS TO BASIC MANUAL CLASSIFICATIONS AND APPENDIX E CLASSIFICATIONS BY HAZARD GROUP
EXHIBIT 2—NATIONAL CLASSIFICATIONS BASIC MANUAL—2001 EDITION FOOD SUNDRY CLASSIFICATIONS
6504 Y —E —A —S —T ——M —F —G —.—
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ITEM B1409—REVISIONS TO BASIC MANUAL CLASSIFICATIONS AND APPENDIX E CLASSIFICATIONS BY HAZARD GROUP
EXHIBIT 2—NATIONAL CLASSIFICATIONS BASIC MANUAL—2001 EDITION FOOD SUNDRY CLASSIFICATIONS
6503 POTATO CHIP, POPCORN & SNACK CHIP MFG. NOC
All milling must be separately rated.
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ITEM B1409—REVISIONS TO BASIC MANUAL CLASSIFICATIONS AND APPENDIX E CLASSIFICATIONS BY HAZARD GROUP
EXHIBIT 2—NATIONAL CLASSIFICATIONS BASIC MANUAL—2001 EDITION FOOD SUNDRY CLASSIFICATIONS
6504 P —O —P —C —O —R —N ——M —F —G —.—
B1409
ITEM B1409—REVISIONS TO BASIC MANUAL CLASSIFICATIONS AND APPENDIX E CLASSIFICATIONS BY HAZARD GROUP
EXHIBIT 2—NATIONAL CLASSIFICATIONS BASIC MANUAL—2001 EDITION FOOD SUNDRY CLASSIFICATIONS
6504 P —O —T —A —T —O ——C —H —I—P ——M —F —G —.—
ITEM B1409—REVISIONS TO BASIC MANUAL CLASSIFICATIONS AND APPENDIX E CLASSIFICATIONS BY HAZARD GROUP
EXHIBIT 3
BASIC MANUAL—2001 EDITION APPENDIX E
CLASSIFICATIONS BY HAZARD GROUP
TABLE OF CLASSIFICATIONS BY HAZARD GROUP
† Upon approval of this item, each state will have its statespecific effective date indicated.
* Carriers that elect to use NCCI's four hazard groups must make a filing in each state to adopt the four hazard groups referenced in this item.
|
SATURDAY 06 JULY 2013
Camerata Köln - Mary Utiger (violin), Rainer Zipperling (cello); Sabine Bauer (harpsichord)
SAT 01:00 Through the Night (b033q0nx)
Lutoslawski Weekend
Episode 1
Witold Lutoslawski weekend 1/2.
Music by Witold Lutoslawski and Krzysztof Penderecki performed by the Polish Radio Symphony Orchestra in Warsaw in 2 commemorative conerts recorded earlyier this year, and including contributions from the BBC Symphony Orchestra conducted by Edward gardner. With Jonathan Swain.
1:01 AM
Lutoslawski, Witold [1913-1994]
Variations on a Theme of Paganini (1978)
Louis Lortie (piano), BBC Symphony Orchestra, Edward Gardner (conductor)
1:10 AM
Lutoslawski, Witold [1913-1994]
Concerto for cello and orchestra;
Miklós Perényi (cello), Polish Radio Symphony Orchestra, Lukasz Borowicz (conductor)
1:34 AM
Lutoslawski, Witold [1913-1994]
Sacher Variation
Miklós Perényi (cello)
1:39 AM
Lutoslawski, Witold [1913-1994]
Tryptyk slaski (Silesian Triptych) (1951)
Lucy Crowe (soprano), BBC Symphony Orchestra, Edward
Gardner (conductor)
1:48 AM
Lutoslawski, Witold [1913-1994]
Splize, spij (Sleep, sleep) (1951)
Lucy Crowe (soprano), BBC Symphony Orchestra, Edward
Gardner (conductor)
1:51 AM
Penderecki, Krzysztof [b. 1933]
Piano Concerto 'Resurrection'
Florian Uhlig (piano), Polish Radio Symphony Orchestra, Lukasz
Borowicz (conductor)
2:29 AM
Bach, Johann Christoph Friedrich (1732-1795)
Ino - solo cantata for soprano and orchestra
Barbara Schlick (soprano), Das Kleine Konzert, Hermann Max (conductor)
3:01 AM
Mendelssohn, Felix (1809-1847)
Octet for strings in E flat (Op.20)
Leonidas Kavakos, Per Kristian Skalstad, Frode Larsen & Tor Johan Böen (violins), Lars Anders Tomter & Catherine Bullock (violas), Öystein Sonstad & Ernst Simon Glaser (cellos)
3:33 AM
Respighi, Ottorino (1879-1936)
Concerto in modo misolidio for piano and orchestra (concerto in
the Mixolydian mode)
Olli Mustonen (piano), Norwegian Radio Orchestra, Markus
Lehtinen (conductor)
4:09 AM
Telemann, Georg Philipp (1681-1767)
Sonata for violin & basso continuo in A major - from Essercizii Musici
4:19 AM
Tallis, Thomas (c.1505-1585)
Gloria - from Mass Puer natus est nobis for 7 voices
BBC Singers, Stephen Cleobury (conductor)
4:29 AM
Haydn, Joseph (1732-1809)
Sonata for Piano in G major (H.
Niklas Sivelöv (piano)
4:40 AM
Bach, Johann Christian (1735-1782)
Quintet in F major for flute, oboe, violin, viola and continuo
(Op.11 No.3)
Les Adieux: Wilbert Hazelzet (flute), Hans Peter Westerman (oboe), Mary Utiger (violin), Hajo Bäss (viola), Christina Kyprianides (cello), Andreas Staier (fortepiano)
4:50 AM
Dvorák, Antonín (1841-1904)
Carnival overture (Op.92)
Slovenian Radio and Television Symphony Orchestra, Samo Hubad (conductor)
5:01 AM
Heinichen, Johann David (1683-1729)
Concerto for flute, bassoon, cello, double bass and harpsichord Vladislav Brunner (flute), Jozef Martinkovic (bassoon), Juraj Alexander (cello), Juraj Schoffer (double bass), Milo? Starosta (harpsichord)
5:11 AM
Chopin, Frédéric (1810-1849)
Ballade No.4 in F minor (Op.52)
Seung-Hee Hyun (female) (piano)
5:22 AM
Brahms, Johannes (1833-1897)
3 Songs for chorus (Op.42) (Abendständchen; Vineta; Darthulas
Grabesgesang)
Danish National Radio Choir, Stefan Parkman (conductor)
5:32 AM
Debussy, Claude (1862-1916)
Sonata for cello and piano in D minor
Zara Nelsova (cello), Grant Johannesen (piano)
5:43 AM
Traditional, arranged by Petrinjak, Darko
6 Renaissance Dances
Zagreb Guitar Trio: Darko Petrinjak, Istvan Romer, Goran Listes (guitars)
5:54 AM
Sibelius, Jean (1865-1957)
Tapiola - symphonic poem, Op. 112 (1926)
BBC Scottish Symphony Orchestra, Ilan Volkov (conductor)
6:10 AM
Mozart, Wolfgang Amadeus (1756-1791)
10 Variations in G on the aria 'Unser dummer Pöbel meint' from the opera 'La rencontre imprévue' by Christoph Willibald Gluck
(K. 455)
Shai Wosner (piano) BBC NGA 2007-2009
6:23 AM
Purcell, Henry (1659-1695)
The Duke of Gloucester's trumpet suite
Crispian Steele-Perkins (trumpet), The King's Consort, Robert King (director)
16.27) (1774-76)
6:34 AM
Weber, Carl Maria von (1786-1826) Quintet for clarinet and strings in B flat major (Op.34) James Campbell (clarinet), Orford String Quartet.
that as she takes music, theatre and dance out into deprived communities, the need for new modes of expression amongst the Egyptian people is stronger than ever.
SAT 07:00 Breakfast (b036hz8q)
Saturday - Martin Handley
Martin Handley presents Radio 3's classical breakfast show.
SAT 09:00 CD Review (b036hz8s)
Building a Library: Beethoven: Piano Sonata No 32
CD Review with Andrew McGregor, including:
9.30amBuilding a Library
David Owen Norris surveys recordings of Beethoven's last piano sonata, No. 32 in C minor, Op. 111 and makes a personal recommendation
10.40am
Catherine Bott joins Andrew to discuss a box-set tracing the history of Archiv, the pioneering early music label
11.45am
Disc of the Week Mahler: Symphony No.8 Christine Brewer, soprano Camilla Nylund, soprano Maria Espada, soprano Stephanie Blythe, mezzo-soprano Mihoko Fujimura, alto Robert Dean Smith, tenor Tommi Hakala, baritone Stefan Kocán, bass Netherlands Radio Choir State Choir 'Latvija' Bavarian Radio Choir National Boys Choir National Children's Choir Royal Concertgebouw Orchestra Mariss Jansons, conductor.
SAT 12:15 Music Matters (b036hz8v) Egypt
Suzy Klein travelled to Cairo to meet musicians and cultural activists, and find out how Egypt is forging a new cultural identity in 2013. Recorded in a climate of upheaval and protest that has resulted with the deposition of President Mohammed Morsi, Suzy hears how Egyptian cultural identity spans 7000 years of history and includes Pharaonic, Arabic, Coptic and Western Classical music, and that musicians today are taking to the street to defend this plurality of cultural expression.
In 1871 Giuseppe Verdi's grand opera Aida was given its world premiere at the newly built Cairo Opera House. In June 2013, on the stage of the new opera house, singers and musicians appeared in full dress once more for a performance of Aida, but this time holding protest placards against interference from the sixth culture minister to be appointed in two years. Suzy speaks to Nayer Nagui, conductor of the Cairo Opera Orchestra, and journalist Ati Metwaly and asks whether the protests within the arts mirror wider unrest across the country, and what role the arts have in protecting cultural diversity in a country of 80 million people. She also takes the artists' concerns to the now deposed Minister for Culture Alaa Abdel Aziz, and asks for a direct response to their allegations.
Cultural activist Basma El Husseiny, who runs Culture Resource, a non-governmental arts body, tells Suzy how the fine arts in Egypt have traditionally been associated with ruling elites and
One of the most significant religious minorities in Egypt today are the Coptic Christians. Founded in the 1st century AD, the Copts have preserved their music over 20 centuries as an oral tradition. Since the advent of recording technology the Insitute of Coptic Studies in Cairo has been working to catalogue and record this tradition, and now it has been digitised. Dr Michael Ghattas tells Suzy how the music of the Copts can be traced back to Pharaonic times, and why Egypt's Coptic community worry for their future in Egypt today.
With a tradition dating back to at least the 14th Century, the Egyptian oud is one of the lynchpins of Arabic classical music. In a suburban flat surrounded by 78rpm gramophone records, archivist and oud player Mustafa Said explains to Suzy how, since the 1950s Arabic classical music has looked to the West for ways to innovate and why he believes it is now crucial that musicians draw inspiration from the classical repertoire of an older era and use this music to find a new way to look forward.
Finally, in a small music studio in downtown Cairo, Suzy meets 22 year old composer Bahaa El Ansary, and musician and curator Mahmoud Refat. Refat's "100 Copies" label and venue has been a key player in the experimental music scene in Egypt over the last 10 years, and he talks frankly about how, since 2011, musicians in Egypt are pigeonholed as 'revolutionary' by Western media, to the detriment of the vibrant music scene that has long existed in Egypt.
SAT 13:00 The Early Music Show (b008xhwh)
A Day in the Life of Louis XIV
Lucie Skeaping recreates a possible day in the life of King Louis XIV. Upon waking in his sumptuous bedchamber, the king follows a busy schedule before entertaining guests at supper and retiring late in the evening. At every part of the day, musicians were on hand to entertain him, to soothe him or to trumpet his arrival. Olivier Baumont - harpsichordist and expert on French Baroque music - guides Lucie through the palace of Versailles to illustrate some of the music the king may have heard.
SAT 14:00 Saturday Classics (b036hzcr)
Roderick Williams
The singer Roderick Williams presents a very personal selection of his favourite classical music. Included in this autobiographical journey are works by Britten, Finzi, Puccini, Bach, Mahler, Webern and Spike Milligan.
SAT 16:00 Opera on 3 (b036hzct)
Wagner 200 - Rienzi
Wagner 200. John Shea presents the final Opera on 3 of the season, a BBC archive recording from 1976 of Wagner's third opera Rienzi, the Last of the Tribunes in the 1842 version with additional music orchestrated from sketches.
Rienzi is a grand opera in 5 acts owing a great deal to the examples of the genre by Meyerbeer and Halévy. The original performance material for Rienzi was destroyed during the Dresden bombings of 1945 as was the score which was apparently given to Hitler as a present and lost in the destruction of his bunker in Berlin. Consequently performances since then, which have been few and far between, have been reconstructions. In the mid 1970s Edward Downes and others worked on the most complete version ever heard which was later published in the Wagner Edition. Wagner scholar John
Deathridge tells John Shea about the preparation of the material for this studio recording and there's also a Radio 3 Opera Guide about Rienzi which can be downloaded for free after the broadcast.
Rienzi is set in Rome in the middle ages and the central figure is Cola di Rienzi, who leads the populace against the power for the nobles.
Wagner based it on the novel by the English writer Henry Bulwer-Lytton published in 1835. He completed it in 1840 and it was first performed in Dresden in 1842 when despite its length it was a considerable success and led to Wagner becoming Kapellmeister at the Dresden Opera the following year. However because of its scale Wagner subsequently made cuts and throughout the 19th century it was often performed in Germany and other parts of Europe and even reached America. Wagner later disowned the work and like his two earlier operas it has never been staged at the Bayreuth Festival, the Wagner festival still run by his descendants.
Rienzi.....John Mitchinson (tenor)
Irene.....Lois McDonall (soprano)
Stefano Colonna.....Michael Langdon (bass)
Adriano.....Lorna Haywood (soprano)
Paolo Orsini.....Raimund Herincx (baritone)
Raimondo.....David Ward (bass)
Baroncelli.....Adrian De Peter (tenor)
Cecco del Vecchio.....Paul Herald (bass)
Messenger of Peace.....Elizabeth Gale (soprano)
Herald.....Brian Cookson (tenor)
BBC Northern Symphony Orchestra
BBC Northern Singers
Conducted by Edward Downes.
SAT 22:00 Between the Ears (b036hzcw)
A Song of Bricks and Mortar
Nina Perry's composed feature A Song of Bricks and Mortar explores composition, the creative process and the art of making. It takes its inspiration from this quote by Benjamin Britten:
"Composing is like driving down a foggy road toward a house. Slowly you see more details of the house - the colour of the slates and bricks, the shape of the windows. The notes are the bricks and the mortar of the house."
Via a compositional road trip, artists in the process of creating and making give insight into their own personal creative process, and what drives them to create. Like a play within a play or a documentary that documents itself - this feature dips its toe into the infinite and timeless nature of artistic creativity as an integral part of being human.
The fear of new beginnings, the pleasure of being in flow, moments of illumination, and of being lost; the artists' relationship with the environment and their own interior landscapes are revealed by Sculptor Helaine Blumenfeld, Art Student Imran Perretta, Composer Cheryl Frances-Hoad, Choreographer and Artistic Director of Rambert Dance Company, Mark Baldwin; and a group of people with Dementia and memory problems at a Creative Arts Session run by the Arts development company Verd de gris.
Their insights are woven together with a metaphorical motorbike journey performed by violinist Oli Langford and a soundscape of specially composed music.
First broadcast 06/07/2013.
SAT 22:30 Hear and Now (b036hzcy)
Ivan Hewett presents music by Arne Gieshoff, Alasdair Nicolson, including two world premiere performances from Andrew Simpson, and Stuart MacRae, played by the BBC Scottish Symphony Orchestra conducted by Richard Baker.
SUNDAY 07 JULY 2013
SUN 00:00 Geoffrey Smith's Jazz (b036j06k)
Because summer should be a time for fun, Geoffrey Smith's Jazz entertains the humorous and curious, from a sanctified Louis Armstrong to Iain Ballamy channelling Erik Satie to Don Ellis in a feline frenzy - just for starters.
SUN 01:00 Through the Night (b036j06m)
Lutoslawski Weekend
Episode 2
Witold Lutoslawski weekend 2/2.
Music by Witold Lutoslawski performed by the Polish Radio Symphony Orchestra in Warsaw in 2 commemorative concerts recorded earlier this year, and including contributions from the BBC Symphony Orchestra conducted by Edward gardner. Also includes Gorecki's 2nd String Quartet performed by the Royal String Quartet. With Jonathan Swain.
1:01 AM
Lutoslawski, Witold [1913-1994]
Little Suite (vers. for orchestra)
Polish Radio Symphony Orchestra, Lukasz Borowicz (conductor)
1:11 AM
Lutoslawski, Witold [1913-1994]
Concerto for orchestra
National Polish Radio Symphony Orchestra, Alexander Liebreich (conductor)
1:40 AM
Lutoslawski, Witold [1913-1994] Chantefleurs et Chantefables - Song Cycle for Soprano and Orchestra. To Paul Sacher. (1990) Lucy Crowe (soprano), BBC Scottish Symphony Orchestra, Edward Gardner (conductor)
2:00 AM
Gorecki, Henryk Mikolaj [1933-2010]
String Quartet No. 2 Op. 64 ('Quasi una fantasia')
Royal String Quartet
2:32 AM
Lutoslawski, Witold [1913-1994]
Symphony No. 4
National Polish Radio Symphony Orchestra, Alexander Liebreich (conductor)
2:55 AM
Lutoslawski, Witold [1913-1994]
Lacrimosa (1937)
Lucy Crowe (soprano), BBC Symphony Orchestra, Edward
Gardner (conductor)
3:01 AM
Mozart, Wolfgang Amadeus (1756-1791)
Clarinet Quintet in A major (K.581)
Kimball Sykes (clarinet), Pinchas Zukerman (violin), Donnie
Deacon (violin), Jane Logan (viola), Amanda Forsyth (cello)
3:35 AM
Schumann, Robert (1810-1856)
4:06 AM
Mathias, William [1934-1992]
A May magnificat for double chorus (Op.79 No.2)
BBC Singers, Stephen Cleobury (conductor)
4:16 AM
Mendelssohn, Felix [1809-1847]
Song without Words (Op. 109)
Miklós Perényi (cello), Zoltán Kocsis (piano)
4:21 AM
Handel, Georg Frideric [1685-1759]
Sonata in B flat HWV 377
Bolette Roed (recorder), Allan Rasmussen (harpsichord)
4:27 AM
Byrd, William (c.1543-1623)
Susanna fair
Emma Kirkby (soprano), The Rose Consort of Viols
4:30 AM
Byrd, William (c.1543-1623)
In Fields abroad
Emma Kirkby (soprano), The Rose Consort of Viols: John Bryan, Alison Crum, Sarah Groser, Roy Marks, Peter Wendland (viols)
4:36 AM
Debussy, Claude [1862-1918]
Prologue from Sonata for cello and piano in D minor
Antonio Meneses (cello), Menahem Pressler (piano)
4:41AM
Mortelmans, Lodewijk (1868-1952)
Lyrisch gedicht voor klein orkest
Vlaams Radio Orkest , Bjarte Engeset (conductor)
4:54 AM
Tchaikovsky, Pyotr Il'yich (1840-1893)
3 Piano pieces
Niklas Sivelöv (piano)
5:01 AM
Balakirev, Mily Alexeyevich (1837-1910)
Overture on Russian Themes
Slovak Radio Symphony Orchestra, Ondrej Lenard (conductor)
5:10 AM
Beethoven, Ludwig van (1770-1827)
Five Scottish and Irish Folksongs (WoO.152/20)
Stephen Powell (tenor soloist in No.1), Lorraine Reinhardt (soprano soloist in No.3), Linda Lee Thomas (piano), Gwen
Thompson (violin), Eugene Osadchy (cello), Vancouver
Chamber Choir, Jon Washburn (conductor)
5:24 AM
Vaughan Williams, Ralph (1872-1958)
Norfolk Rhapsody No.1 in E minor
Melbourne Symphony Orchestra, Sir Bernard Heinze
(conductor)
5:35 AM
Traditional C.17th [Provence]
2 Traditional 17th century Provençal songs: Ai! La Bono Fourtuno & Bressarello
Zefiro Torna: Cécile Kempenaers & Els Van Laethem (vocals), Liam Fennelly (fiddle), Jowan Merckx (recorder), Frédéric Malempré (percussion), Jurgen De Bruyn (lute & director)
5:40AM
Anonymous (18th century), Naples
Quando nascette Ninno (Neapolitan shepherd's song)
Radio 3 Listings for 6 – 12 July 2013
Symphony No.3 in E flat major 'Rhenish' (Op.97) (1850) Trondheim Symphony Orchestra, Eivind Aadland (conductor)
Zefiro Torna
5:44 AM
Kodály, Zoltán (1882-1967)
Mátrai Kepek (Mátra Pictures) for choir
Danish National Radio Choir, Stefan Parkman (conductor)
5:55 AM
Trad. Hungarian
18th Century Dances
Csaba Nagy (solo recorder), Camerata Hungarica, László Czidra (conductor)
6:01 AM
Kreisler, Fritz (1875-1962)
La Gitana (after an 18th century Arabo-Spanish Gypsy song)
Tobias Ringborg (violin), Anders Kilström (piano)
6:04 AM
Bartók, Béla (1881-1945), arranged by Székely, Zoltán
(1903-2001)
Romanian folk dances (Sz.56)
Vineta Sareika (violin), Ventis Zilberts (piano)
6:10 AM
Ranta, Sulho (1901-1960)
Finnish Folk Dances - suite for orchestra (Op.51)
Finnish Radio Symphony Orchestra, Jukka-Pekka Saraste
(conductor)
6:19 AM
Grainger, Percy (1882-1961)
Danish Folk-Music Suite
Claire Clements (piano), Melbourne Symphony Orchestra,
Geoffrey Simon (conductor)
6:39 AM
Martinu, Bohuslav [1890-1959]
3 Czech dances for piano
Anastasia Vorotnaya (piano)
6:48 AM
Traditional, arr. Dinev, Petar [1889-1980]
Two Folk Songs from South-Western Bulgaria
Bulgarian National Radio Mixed Chorus, Mihail Milkov
(conductor)
6:54 AM
Anon (arr. Harry Freedman)
Two Canadian Folksongs - (1) I Went to the Market (2) Petit
Hirondelle Phoenix Chamber Choir, Ramona Luengen (conductor).
SUN 07:00 Breakfast (b036j06p)
Sunday - Martin Handley
Martin Handley presents Radio 3's classical breakfast show.
SUN 09:00 Sunday Morning (b036j06r)
Dances around Europe
Rob Cowan's Sunday morning selection of music takes in dances from many parts of Europe, with arrangements of traditional pieces and compositions by Brahms, Marchand, Parry, Praetorius and Skalkottas.
He also looks at a range of different treatments of the Introduction and Allegro form, including pieces by Bliss, Chopin, Elgar and Ravel. Rob rounds things off with Telemann's cantata in memory of a canary who loved the arts.
SUN 12:00 Private Passions (b036j06t)
Introit: Quia vidisti me (Hassler)
Ruth Rogers
Ruth Rogers has become one of our most celebrated cooks and best-selling food writers since she and her friend the late Rose Gray opened a modest cafe in West London more than twenty five years ago. Their modest ambition was to make the River Cafe the best Italian restaurant in the world. Since then Ruth Rogers has been instrumental in changing the way we think about Italian food in Britain.
Ruth reveals how her musical passions bring together her love of Italy, food, family, and the human voice. Her choices of music include the joyous ode to wine from Don Giovanni; a contemporary opera chosen for her husband, the architect Richard Rogers; a moving piano tribute to her late son; and a Bob Dylan song which recalls the time, growing up in Woodstock, when she turned down his invitation to watch him rehearse.
SUN 13:00 The Early Music Show (b036j06w)
Live at the 2013 York Early Music Festival
Catherine Bott presents a live programme from the 2013 York Early Music Festival outlining some of this year's festival highlights. Performances include music from harpsichordist Fabio Bonizzoni, lutenist Thomas Dunford, the Rose Consort of Viols and soprano Bethany Seymour.
SUN 14:00 Sunday Concert (b036j06y)
BBC NOW - Dvorak, Beethoven, Brahms
From Brangwyn Hall, Swansea
Presented by Nicola Heywood Thomas
Dvorak's Othello is the last of a set of three overtures that he entitled Nature, Life and Love. Though the composer clearly intended it to illustrate specific moments in the Shakespeare play from which it derives its name, in fact it is just as easy to hear as a piece of abstract music, the composer's ear for orchestral sonorities everywhere apparent.
The winner of the 2010 BBC Young Musician, pianist Lara Melda, joins the BBC National Orchestra of Wales in Beethoven's dramatic C minor Concerto.
Brahms' final symphony caused him more than a little selfdoubt, especially in the wake of the serene Third Symphony. His misgivings were to some extent borne out by the initial reaction, one commentator observing that it was akin to 'being thrashed by two terribly clever men'. This symphony broke the mould in many respects, not least in the way that the finale is based on the archaic form of the passacaglia, but it soon became a staple of the repertoire and today is regarded as among the greatest of Brahms's achievements.
Dvorak: Overture 'Othello' Beethoven: Piano Concerto No.3 in C minor Brahms: Symphony No.4 in E minor
Lara Melda (piano) BBC National Orchestra of Wales Christoph Konig (conductor).
SUN 16:00 Choral Evensong (b033p7xz)
The Cathedral and Abbey Church of St Alban
Live from The Cathedral and Abbey Church of St Alban on the Feast of St Thomas the Apostle
Responses: Ayleward
Psalm 139 (Russell, Martin)
First Lesson: Job 42 vv1-6
Office Hymn: Glory to Thee, O Lord (Harewood)
Canticles: St Paul's Service (Howells)
Second Lesson: 1 Peter 1 vv3-12
Anthem: Lobet den Herrn, BWV 230 (JS Bach)
Final Hymn: Blessed Thomas doubt no longer (Regent Square)
Organ Voluntary: Toccata in F, BuxWV 156 (Buxtehude)
Andrew Lucas (Master of the Music) Tom Winpenny (Assistant Master of the Music).
SUN 17:00 Choir and Organ (b036j070)
Ruth Padel
Poet and author, Ruth Padel looks at the importance of words in choral music, and asks: what is the 'voice' of a choir, and who is it speaking for?
SUN 18:30 Words and Music (b015mzx2)
The Word Girl
From Mary to Matilda, Lydia to Laura, and Oriana all the way to a boy named Sue, the weekly sequence of music and verse makes play with the words we use to name the female sex. Readings include verse by Petrarch, Lorca, DH Lawrence, John Clare and Elizabeth Barrett-Browning - plus the odd limerick.
First broadcast in October 2011.
SUN 19:45 Sunday Feature (b036j072)
Significant Others - Jewish Life in Poland
Episode 1
Writer Eva Hoffman examines the rich history and impact of a thousand years of Jewish presence in Poland and Polish attempts, since 1989, to re-connect to a people and history inextricable from their own. It is a story largely overshadowed by 6 years of annihilation on Polish soil by the occupying Nazis. Today we remember the loss. Poland as a graveyard.These two programmes explore vastly different worlds before and after destruction.
This spring an impressive new museum telling the history of Jewish presence in Poland opened in Warsaw, once home to the largest Jewish population in Europe, now home to a few thousand Jewish souls. Chmielnik is a small town a few hours drive from Krakow. Once its population was 85% Jewish, now there are no Jews left in this former shtetl. Yet this June an elaborately restored synagogue and interactive new museum of the shtetl was unveiled, but who is it for? Perhaps for Poles anxious to reclaim a Jewish history that they increasingly now see as their own? For Israeli and other Jewish tourists who consider Poland usually as the end point of Jewish life rather than a place that has shaped Ashenazi Jewish identity around the world.
This summer Krakow hosts its 23rd festival of Jewish culture festival in a city whose Jewish community numbers only in the 100's. Israeli funk bands, skateboarding Hassidic rabbis and workshops on anything from food to the most complex historical and religious issues run throughout. More people will attend than there are Polish Jews. The maxim now is' Small presence, big impact.
For post Communist Poland re-connecting with their Jewish story, their Significant Others, has become a multi layered and sometimes startling process of rediscovery.
The centuries that come before the 'wolfhound' 20th, are the story Eva Hoffman focuses on in the first programme. The rise of a Jewish civilization in the East that would go on to create a vast body of literature, culture and thought and whose fortunes were inextricably tied with the emerging story of Polish identity and nationhood.
Jewish settlement, usually at the invitation of Polish nobility, was crucial to developing the vast lands. This was no small community of persecuted migrants but a people as at home in the lands of what would become the Polish Lithuanian Commonwealth as those of Polish, Ukrainian, Lithuanian and German origin. Here scholarship flourished in cities like Krakow whilst Jewish life flourished in 'shtetls', the unique phenomenon of almost entirely Jewish towns and villages later celebrated or denigrated in the great Yiddish literature of the late 19th and early 20th Century. All bound by faith, communal structures including the remarkable Council of the Four Lands and the transnational language of Yiddish.
By the middle of the 16th century, about 80% of world Jewry lived on Polish lands. During this 'Golden Age', the word "Polin" - the Jewish name for Poland - could be interpreted to mean "Here though shall rest in exile" - in other words, that Poland was a second promised land. But for how long?
Reader: Henry Goodman
Producer: Mark Burman
First broadcast July 2014.
SUN 20:30 Drama on 3 (b00lk6vj)
The Idylls of the King
Alfred Lord Tennyson's epic poem The Idylls of the King, narrated by Tim Pigott-Smith and adapted by Michael Symmons Roberts
Narrator/Tennyson ..... Tim Pigott-Smith
Arthur ..... Jonathan Keeble
Lancelot ..... Simon Harrison
Guinevere ..... Kathryn Hunt
Lord Astolat/Bedivere ..... Malcolm Raeburn
Leodogran/Churl ..... Terence Mann
Lavaine/Tristram ..... Tom Ferguson
Dagonet ..... Russell Dixon
Elaine ..... Elen Rhys
Music by Paul Cargill
Directed in Manchester by Susan Roberts
First broadcast in July 2009.
SUN 22:30 World Routes (b036j089)
2013
07/07/2013
Lucy Duran is in Azerbaijan for the final time for this year's World Routes Academy. The scheme's apprentice Fidan Hajiyeva and her teacher, the celebrated singer Gochaq Askarov travel to Sheki, or the Switzerland of Azerbaijan as it's known, as well the ancient capital and cultural power-house Samxi. Producer James Parkin.
In January 2013 UK-based, 17 year Fidan Hajiyeva old became the youngest member of the World Routes Academy. Launched in 2010, the BBC Radio 3 World Routes Academy aims to support and inspire young world music artists by bringing them together with an internationally renowned artist in the same field and belonging to the same tradition.
In Previous years, the scheme has worked with musicians from
Iraq, Southern India, and Colombia.
SUN 23:30 Jazz Line-Up (b036j08c)
Glasgow International Jazz Festival 2013
Claire Martin with performances from the 2013 Glasgow International Jazz Festival featuring the high-energy sounds of the Nova Scotia Jazz Band and the internationally acclaimed Venezuelan pianist Leo Blanco, performing a solo piano set.
MONDAY 08 JULY 2013
MON 00:30 Through the Night (b036j0lk)
Jonathan Swain presents a concert of music by Jose de Nebra and Scarlatti with Maria Espada & Al Ayre Español.
12:31AM
Nebra, Jose de [1702-1768]
Llegad, llegad, creyentes, cantata
Maria Espada (soprano), Al Ayre Español, Eduardo López Banzo (harpsichord & director)
12:41 AM
Scarlatti, Domenico [1685-1757]
Sonata in C
Eduardo López Banzo (harpsichord)
12:49
AM
Nebra, Jose de [1702-1768]
Que contrario, Señor, cantata
Maria Espada (soprano), Al Ayre Español, Eduardo López Banzo
(harpsichord & director)
1:05AM
Nebra, Jose de [1702-1768]
Alienta fervorosa
Maria Espada (soprano), Al Ayre Español, Eduardo López Banzo (harpsichord & director)
1:20 AM
Scarlatti, Domenico [1685-1757]
Sonata in D minor Fugue (K.41); Presto (K. 18)
Eduardo López Banzo (harpsichord)
1:29 AM
Nebra, Jose de [1702-1768]
Entre cándidos
Maria Espada (soprano), Al Ayre Español, Eduardo López Banzo (harpsichord & director)
1:45 AM
Nebra, Jose de [1702-1768]
Que, contrario Señor
Maria Espada (soprano), Al Ayre Español, Eduardo López Banzo (harpsichord & director)
1:50 AM
Beethoven, Ludwig van [1770 -1827]
Concerto for piano and orchestra no.5 (Op.73) in E flat major,
'Emperor'
Makoto Ueno (m) (piano), Stavanger Symphony Orchestra, Steven Sloane (conductor)
2:31 AM
Franck, César (1822-1890)
Piano Quintet in F minor, Op.34
Imre Rohmann (piano), Bartók Quartet
3:05AM
Ravel, Maurice (1875-1937)
Miroirs (Noctuelles; Oiseaux tristes; Une barque sur l'Ocean;
Alborada del gracioso; La vallée des cloches) Martina Filjak (piano)
Svendsen, Johan (1840-1911) Julia Fischer (violin), Bergen Philharmonic Orchestra,
3:38 AM
Romance for violin and orchestra in G major (Op.26) Christopher Warren-Green (conductor)
Heinichen, Johann David (1683-1729)
Concerto for flute, bassoon, cello, double bass and harpsichord Vladislav Brunner (flute), Jozef Martinkovic (bassoon), Juraj Alexander (cello), Juraj Schoffer (double bass), Milo? Starosta (harpsichord)
3:48 AM
Suriani Germani, Alberta (b.19??)
Partita
Branka Janjanin-Magdalenic (harp)
3:58 AM
Langgaard, Rued (1883-1952)
3 Rose Gardens Songs (1919): 'Surely I may kiss you'; 'Behind
the wall'; 'Tired'
Danish National Radio Choir, Kaare Hansen (conductor)
4:09 AM
Enescu, George (1881-1955)
Konzertstück in F for viola and piano
Gyözö Máté (viola), Balázs Szokolay (piano)
4:18 AM
Bach, Johann Sebastian (1685-1750)
Brandenburg Concerto No.2 in F (BWV.1047)
Ars Barocca - Ivona Nedeva (flute), Kalin Panayotov (oboe, oboe d'amore), Zefira Valova (violin), Miroslav Petkov (trumpet), Ivan Iliev (violin), Gergana Deliiska (violin), Valentin Toshev (viola), Vejen Rezashki (bassoon), Miroslav Stoyanov (cello), Tzvetelina Dimcheva (cembalo, organ)
4:31 AM
Manfredini, Francesco (1684-1762)
Symphony No.10 in E minor
Slovak Chamber Orchestra, Bohdan Warchal (leader)
4:40 AM
Bernhard, Christoph (1628-1692)
Missa 'Durch Adams Fall'
Henriette Schellenberg (soprano), Laverne G'Froerer (mezzo- soprano), Keith Boldt (tenor), George Roberts (baritone),
Vancouver Chamber Choir, Jon Washburn (conductor)
4:50 AM
Mendelssohn, Felix (1809-1847)
Prelude and Fugue in E minor (Op.35 No.1) (1832)
Sylviane Deferne (piano)
4:59 AM
Rossini, Gioachino [1792-1868]
Overture to Il Barbiere di Siviglia
Slovenian Radio and Television Symphony Orchestra, Günter Pichler (conductor)
5:07 AM
Cable, Howard (b. 1920)
The Banks of Newfoundland
Hannaford Street Silver Band; Stephen Chenette (conductor)
5:15 AM
Wolf, Hugo (1860-1903)
Italian Serenade for string quartet
Ljubljana String Quartet
5:24 AM
Schumann, Robert (1810-1856)
Theme and variations on the Name 'Abegg' (Op.1)
Seung-Hee Hyun (female) (piano)
5:32 AM
5:41 AM
Mozart, Wolfgang Amadeus (1756-1791) Concerto in E flat for 2 pianos and orchestra (K365) Jon Parker and James Kimura Parker (pianos), CBC Radio Orchestra, conductor Mario Bernardi
6:06 AM
Dvorák, Antonín (1841-1904)
Serenade in D minor (Op.44)
I Solisti del Vento, Etienne Siebens (conductor).
MON 06:30 Breakfast (b036j0ln)
Monday - Sara Mohr-Pietsch
Sara Mohr-Pietsch presents Radio 3's classical breakfast show.
MON 09:00 Essential Classics (b036j0ls)
Monday - Rob Cowan
Rob's guest this week is the author David Mitchell, whose first novel, Ghostwritten (1999), won the John Llewellyn Rhys Prize and was shortlisted for the Guardian First Book Award. His two subsequent novels were both shortlisted for the Man Booker Prize: number9dream (2001); and Cloud Atlas (2004), which was made into a film starring Tom Hanks and Halle Berry. In 2003, he was selected as one of Granta's Best of Young British Novelists, and four years later he was listed among Time magazine's 100 Most Influential People in The World. As well as novels, David has also written opera libretti: Wake, based on the 2000 Enschede fireworks disaster with music by Klaas de Vries, was performed by the Dutch National Reisopera in 2010. Most recently, he worked with the Dutch composer and video director Michel van der Aa on the opera Sunken Garden, premiered earlier this year by English National Opera.
On Friday this week on Radio 3 we begin a new feature for the 2013 Proms: 'Proms Artist Recommends'. Each day an artist performing in this year's season recommends a musical work, and on Essential Classics across the Proms season we'll play one of those pieces at around 10am.
9am
A selection of music, including the Essential CD of the Week: The Last Night of the Proms, GUILD.
9.30-10.30am
A daily brainteaser, and performances by our Artist of the Week, Otto Klemperer.
10.30am
Rob's guest this week is the author David Mitchell, whose first novel, Ghostwritten (1999), won the John Llewellyn Rhys Prize and was shortlisted for the Guardian First Book Award. His two subsequent novels were both shortlisted for the Man Booker Prize: number9dream (2001); and Cloud Atlas (2004), which was made into a film starring Tom Hanks and Halle Berry. In 2003, he was selected as one of Granta's Best of Young British Novelists, and four years later he was listed among Time magazine's 100 Most Influential People in The World. As well as novels, David has also written opera libretti: Wake, based on the 2000 Enschede fireworks disaster with music by Klaas de Vries, was performed by the Dutch National Reisopera in 2010. Most recently, he worked with the Dutch composer and video director Michel van der Aa on the opera Sunken Garden, premiered earlier this year by English National Opera.
11am
Beethoven: Piano Sonata in C minor, Op. 111 The Building a Library recommendation from last Saturday's CD Review.
MON 12:00 Composer of the Week (b01cvp2v)
(every day) with the orchestra of which he's Chief Conductor, the Berliner Philharmoniker (Berlin Philharmonic), but also with the Vienna Philharmonic and Bavarian Radio Symphony Orchestras. Music from Haydn to Ligeti, via the likes of Beethoven, Schumann, Dvorak, Sibelius and one of this year's centenary composers, Witold Lutoslawski.
Luigi Boccherini (1743-1805)
Boccherini's Early Life
He could number among his patrons the King of Spain, and the heir to the Prussian Throne, and he composed around one hundred string quartets, and at least as many quintets, amongst other works - this week Donald Macleod looks at the life and music of Luigi Boccherini. Although Boccherini was originally born in the Tuscan city of Lucca, he spent the majority of his life as a working musician in Spain, after a brief spell in Paris. His extensive output is largely now forgotten, but one work in particular, the Minuet from his fifth String Quartet opus 11, is one of the most used entry points by film and TV producers today, creating a sense of eighteenth century elegance and period. Boccherini is also credited with forming the first ever string quartet, yet despite his popularity during much of his lifetime, Boccherini lived at the end of his life in virtual poverty, seeing his wife and daughters die one after another, before his own death possibly from tuberculosis.
Luigi Boccherini came from a humble background, with his father performing as a double bassist in their home city of Lucca. Luigi quickly made a name for himself not only as a cellist, but also as a composer for the cello, including works such as his sixth Cello Sonata, in C major. The young Luigi was soon sent off to Rome for further musical training, where he came into contact with much of the sacred choral music taking place there. Boccherini would go on to compose many sacred choral works of his own, such as the Kyrie in B flat, from his own setting of the Mass.
Boccherini junior was now making quite a name for himself as a virtuoso player of the cello, and along with his father, embarked on a tour performing in Venice, Trieste and Vienna. By the time of their second engagement in Vienna, Boccherini was composing and publishing his first significant works, which caused quite a stir. His first set of trios made a huge impression on the older composer Gluck. His published opus 2 quartets also had a huge impact, including the fifth String Quartet in E major.
MON 13:00 Radio 3 Lunchtime Concert (b036j24r)
Wigmore Hall: Tai Murray
Two former Radio 3 New Generation Artists, violinist Tai Murray and pianist Ashley Wass join forces for a programme live from Wigmore Hall in London. Szymanowski's colourful and expressive Myths are followed by Schumann's passionate Second Violin Sonata.
Presented by Fiona Talkington.
Szymanowski: Myths
Schumann: Violin Sonata No 2 in D minor Op 121
Tai Murray (violin)
Ashley Wass (piano).
MON 14:00 Afternoon Concert (b036j24t)
Simon Rattle and Friends
Episode 1
Louise Fryer presents a week featuring recent concerts conducted around central Europe by Sir Simon Rattle - mainly
On Tuesday you can also hear some Berlin Philharmonic players moonlighting on their summer holiday in the remarkable Lucerne Festival Orchestra, conducted by Rattle's Berlin predecessor, Claudio Abbado.
And our Thursday Opera Matinee continues Radio 3's cycle of all of Verdi's operas, as part of the Verdi 200 bicentenary celebrations: this week it's a rarely-heard early piece, Alzira, a tale of blood, thunder and star-crossed from sixteenth-century Peru under the Spanish Empire.
Vaughan Williams: Fantasia on a Theme by Thomas Tallis Berlin Philharmonic,
Conductor Simon Rattle
2.15pm
Dvorak: Biblical Songs
Magdalena Kozená (mezzo-soprano)
2.35pm
Beethoven: Symphony No. 6 in F major (Pastoral)
Berlin Philharmonic,
Conductor Simon Rattle
3.25pm
Ravel:
Daphnis et Chloé 2
Berlin Philharmonic
Conductor Simon Rattle
3.45pm
Lutoslawski: Symphony No. 3
Berlin Philharmonic,
Conductor Simon Rattle.
MON 16:30 In Tune (b036j24w)
Jung Soo Yun, Joseph Middleton, Roger Kneebone
Suzy Klein is joined by the South Korean tenor Jung Soo Yun, hailed by Opera Now as one of its Rising Stars. He is in London for a recital at the Wigmore Hall and is joined by the pianist Joseph Middleton to perform live in the In Tune studio.
Plus Professor Roger Kneebone from Imperial College enlightens Suzy on parallels between the worlds of music and surgery.
Acclaimed British pianist Peter Hill performs live in the studio, ahead of his new recording of Bach's Well-Tempered Clavier. He talks to Suzy about the enduring appeal Bach holds for pianists.
@BBCInTune firstname.lastname@example.org.
MON 18:30 Composer of the Week (b01cvp2v)
[Repeat of broadcast at 12:00 today]
MON 19:30 Radio 3 Live in Concert (b036j24y)
BBC Singers - 20th-Century English Music
Live from St Paul's, Knightsbridge
Presented by Martin Handley
The BBC Singers conducted by Paul Brough perform 20th century music for choir and organ by English composers including Howells, Walton, Britten and Lennox Berkeley.
Herbert Howells - Te Deum (Collegium regale)
Howells - Take him, earth, for cherishing
Howells - Psalm Prelude Set 2 No. 3 (Sing unto him a new song)
Lennox Berkeley - A Festival anthem Op. 21'2
8.10: Interval
8.30:
Benjamin Britten - Festival Te Deum (in E)
William Walton - Cantico del sole
Walton arr Herbert Murrill - Crown Imperial - coronation march (organ solo)
Walton - The Twelve
The BBC Singers
Richard Pearce (organ)
Paul Brough (conductor)
Martin Handley introduces 20th music for chorus and organ by English composers, in a programme that highlights striking a cappella works from Walton and Howells, interspersed with organ voluntaries performed by Richard Pearce at St Paul's Knightsbridge.
Celebration and commemoration are the themes that run through this concert with pieces written for coronations and festivals, including Howell's intensely moving "Take him, earth, for cherishing" written upon the death of President J.F. Kennedy who was assasinated 50 years ago in 1963.
MON 22:00 Night Waves (b036j250)
Jane Campion, Clive James
Matthew Sweet talks to the Academy Award-winning director of The Piano, Jane Campion, about her new TV suspense drama series,Top of the Lake, set amidst the remote landscape of her native New Zealand. She explains why she has returned to television now and what surprised her most about a behind the scenes documentary made on set.
Australian born poet and broadcaster Clive James is best known for his irreverent TV chat shows and autobiographical memoirs. His output has been curtailed in recent years due to serious illness but he has just published a new translation of Dante's Divine Comedy, something he has wanted to accomplish since first reading the epic poem as a student in 1964. He explains why this project was so important and what he's learnt through being forced to stop and reflect on his life.
MON 22:45 The Essay (b01bsbyz)
On Directing
Roger Michell
In the first essay of the series, Roger Michell reflects on the mix of emotion he feels on the first day of any production, and beckons us to follow as he travels to the location of his 2012 film Hyde Park on Hudson.
A James Cameron film. A Rupert Goold production. The director has become an acclaimed and authoritative figure - even a star in his own right - but the job itself remains the subject of speculation: what does a director actually do? And what is the mysterious 'process' that sees them from idea to first night? In this Essay series, five innovative practitioners of stage and screen reveal the daily grind of a craft which, despite books and interviews on the subject, remains opaque.
Roger Michell's career has spanned theatre, television and film. Earlier in his career, he worked at the Royal Court and the RSC, where he eventually became a resident director. He continues to divide his time between theatre and film, and recent stage productions include Rope (The Almeida) and Tribes (Royal Court). For BBC television he directed The Buddha of Suburbia (1993) and Persuasian (1995). Some of his films include Notting Hill (1999), Changing Lanes (2002), The Mother (2003), Enduring Love (2004), Venus (2006) and Morning Glory (2010), as well as Hyde Park on Hudson (2012).
The series is produced by Sasha Yevtushenko.
First broadcast in February 2012.
MON 23:00 Jazz on 3 (b01ppwxk)
Anthony Braxton's Falling River Music
Prolific composer and multi-instrumentalist Anthony Braxton performs with his Falling River Music quartet, at a 400-year-old former pig barn in Austria!
Braxton - a pioneer of avant-garde and improvised music - is well known for challenging traditional compositional methods with approaches such as graphic scores and instructions left open to the performers' interpretation. Falling River Music is the composer's latest system, and Braxton - performing on alto and soprano saxophones - is joined by three stars from the younger generation of New York's experimental scene: cornettist Taylor Ho Bynum, saxophonist Ingrid Laubrock and guitarist Mary Halvorson. Jazz on 3 trekked all the way to the tiny Austrian town of Ulrichsberg to record a stunning gig, in addition to which Braxton and his group explain the visual references and directions they use to create the music.
First broadcast in January 2013
Presenter: Jez Nelson
Producers: Peggy Sutton & Phil Smith.
TUESDAY 09 JULY 2013
TUE 00:30 Through the Night (b036j2t7)
Jonathan Swain presents a concert given by the Freiburg Baroque Orchestra and soprano Carolyn Sampson based on the mythical figure of Ariadne.
12:31AM
Handel, Georg Frideric [1685-1759] Overture and arias from Arianna in Crete, HWV.32 Carolyn Sampson (soprano), Freiburg Baroque Orchestra, Gottfried von der Goltz (conductor)
12:41 AM
Marcello, Benedetto [1686-1739]
Arias from Arianna (c.1727)
Carolyn Sampson (soprano), Freiburg Baroque Orchestra,
Gottfried von der Goltz (conductor)
1:02 AM
Locatelli, Pietro Antonio [1695-1764]
Concerto grosso (Op.7 No.6) in E flat major, 'Il pianto d'Arianna'
Freiburg Baroque Orchestra, Gottfried von der Goltz (conductor)
1:18AM
Galuppi, Baldassare [1706-1785]
Concerto for 2 Flutes and Orchestra in D minor Freiburg Baroque Orchestra, Gottfried von der Goltz (conductor)
1:33 AM
Handel, Georg Frideric [1685-1759]
Turbato il mar si vede (Arianna in Creta, HWV.32)
Carolyn Sampson (soprano), Freiburg Baroque Orchestra,
Gottfried von der Goltz (conductor)
1:38 AM
Porpora, Nicola [1686-1768]
Arias from Arianna in Nasso
Carolyn Sampson (soprano), Freiburg Baroque Orchestra,
Gottfried von der Goltz (conductor)
1:48 AM
Mozart, Wolfgang Amadeus [1756-1791]
Symphony No.38 (K.504) in D major "Prague"
Freiburger Barockorchester; René Jacobs (conductor)
2:18 AM
Dvorák, Antonín (1841-1904)
Prague Waltzes (Prazske valciky) (B.99)
Slovak Radio Symphony Orchestra Bratislava, Stefan Róbl (conductor)
2:26 AM
Dvorák, Antonín (1841-1904)
No.3 Allegro appassionato - from 4 Romantic pieces for violin and piano (Op.75)
Young-Zun Kim (violin), Joon-Cha Kim (piano)
2:31 AM
Elgar, Edward (1857-1934)
Cockaigne Overture
Zagreb Philharmonic Orchestra, conductor Pinchas Steinberg
2:46 AM
Haydn, Joseph (1732-1809)
Divertimento in C major (Hob.IV No.1) (London Trio No.1)
Carol Wincenc (flute), Philip Setzer (violin), Carter Brey (cello)
2:55 AM
Vaughan Williams, Ralph (1872-1958)
A London Symphony
BBC Symphony Orchestra, Leonard Slatkin (conductor)
3:41AM
Purcell, Henry [1659-1695]
Chacony a 4 for strings (Z.730) in G minor
Psophos Quartet (BBC New generation Artists 2005-07)
3:49 AM
Dohnányi, Ernõ (1877-1960)
Variations on a Nursery Song (Op.25)
Arthur Ozolins (piano), Toronto Symphony, Mario Bernardi (conductor)
4:13 AM
Dolf, Tumasch (1889-1963)
Allas steilas (To the stars)
Cantus Firmus Surselva, Clau Scherrer (conductor)
4:17 AM
Mussorgsky, Modest (1839-1881) [1839-1881]
A Night on the bare mountain, ed. Rimsky-Korsakov
Oslo Philharmonic Orchestra, Vladimir Jurowski (conductor)
4:31 AM
Mozart, Wolfgang Amadeus (1756-1791)
Abendempfindung (K.523) for voice and piano
Elly Ameling (soprano), Jörg Demus (piano)
4:37AM
Grieg, Edvard (1843-1907)
Two Lyric Pieces: Evening in the Mountains (Op.68 No.4); At the cradle (Op.68 No.5)
CBC Vancouver Orchestra, Mario Bernardi (conductor)
4:45 AM
Strauss, Richard (1864-1949)
Der Abend (Op.34 No.1) for 16 part choir
Danish National Radio Choir, Stefan Parkman (conductor)
4:55 AM
Haydn, Joseph (1732-1809)
Symphony No.8 in G major 'Le Soir' Hob 1:8
Norwegian Radio Orchestra, Rolf Gupta (conductor)
5:19 AM
Poulenc, Francis (1899-1963)
Un Soir de neige - cantata for 6 voices
BBC Singers, Yan Pascal Tortelier (conductor)
5:26 AM
Kodály, Zoltán (1882-1967)
Summer evening
Hungarian Radio Orchestra, György Lehel (conductor)
5:45 AM
Petersson, Per Gunnar (b.1954) [b.1954]
Aftonland (Evening Land) for choir, solo horn and solo
Soren Hermansson (horn), Jutland Chamber Choir, Mogens Dahl
(director)
5:59 AM
Lisinski, Vatroslav (1819-1854)
Vecer (Evening) - Symphonic Idyll
Croatian Radio Television Symphony Orchestra, Niksha Bareza (conductor)
6:07 AM
Sibelius, Jean (1865-1957)
Höstkväll (Op.38 No.1) for voice and orchestra
Soile Isokoski (soprano), Finnish Radio Symphony Orchestra,
Jukka-Pekka Saraste (conductor)
6:12 AM
Schubert, Franz (1797-1828)
Jägers Abendlied (D.368) (Op.3 No.4) (The huntsman's evening song)
Christoph Prégardien (tenor), Andreas Staier (fortepiano)
6:15 AM
Mozart, Wolfgang Amadeus (1756-1791)
Serenade in G major (K.525), 'Eine Kleine Nachtmusik'
BBC National Orchestra of Wales, Grant Llewellyn (Conductor).
TUE 06:30 Breakfast (b036j2w1)
Tuesday - Sara Mohr-Pietsch
Sara Mohr-Pietsch presents Radio 3's classical breakfast show.
TUE 09:00 Essential Classics (b036j2zl)
Tuesday - Rob Cowan
9am
A selection of music, including the Essential CD of the Week: The Last Night of the Proms, GUILD.
9.30-10.30am
A daily brainteaser, and performances by our Artist of the Week, Otto Klemperer.
10.30am
Rob?s guest this week is the author David Mitchell, whose first
novel, Ghostwritten (1999), won the John Llewellyn Rhys Prize and was shortlisted for the Guardian First Book Award. His two subsequent novels were both shortlisted for the Man Booker Prize: number9dream (2001); and Cloud Atlas (2004), which was made into a film starring Tom Hanks and Halle Berry. In 2003, he was selected as one of Granta's Best of Young British Novelists, and four years later he was listed among Time magazine's 100 Most Influential People in The World. As well as novels, David has also written opera libretti: Wake, based on the 2000 Enschede fireworks disaster with music by Klaas de Vries, was performed by the Dutch National Reisopera in 2010. Most recently, he worked with the Dutch composer and video director Michel van der Aa on the opera Sunken Garden, premiered earlier this year by English National Opera.
11am
Essential Choice ? A Great Proms Performance
Tchaikovsky: Nutcracker Suite, Op. 71a
BBC Symphony Orchestra
Malcolm Sargent (conductor).
TUE 12:00 Composer of the Week (b01cvpxh)
Luigi Boccherini (1743-1805)
Boccherini is Successful in Paris
He could number among his patrons the King of Spain, and the heir to the Prussian throne, and he composed around one hundred string quartets, and at least as many quintets, amongst other works - this week Donald Macleod looks at the life and music of Luigi Boccherini.
Boccherini on tour with his father in Vienna, was soon longing to return for his native city of Lucca. However upon their return, Luigi was soon disillusioned and wished to leave again, wanting to pursue his musical career elsewhere. Still keeping his contractual ties with Lucca, Boccherini toured Pavia and Cremona with his father. It was around this time that he composed his successful opus two set of quartets, including the second String Quartet in B flat major.
Back in Lucca, Boccherini had certain obligations to the city fathers there, and was commissioned to compose for various civic occasions, along with his contractual arrangements to regularly perform. One work Boccherini composed during this period, which may have been commissioned by his city employers, was his oratorio Gioas, or King of Judah.
Soon afterwards, Boccherini's father died. Young Luigi accompanied by his friend Manfredi, was able to spread his wings without his family in tow, and they made their way to Paris. This was good timing, as some of Boccherini's works had just been published there. It was during this period in Paris when Boccherini relied upon the patronage of Baron de Bagge, that through this aristocrats music library, Boccherini was likely to have come into contact with the ideas of orchestral woodwind writing. We can hear Boccherini's own writing for orchestra, including woodwind instruments in his Symphony opus 7 in C major.
TUE 13:00 Radio 3 Lunchtime Concert (b036j3s2)
Royal Northern College of Music/Wigmore Hall
Episode 1
This week's Lunchtime Concerts come from the Royal Northern College of Music in Manchester and from London's Wigmore Hall, with performances by pianists François-Frédéric Guy, Imogen Cooper and Paul Lewis, and baritone Christopher Maltman with pianist Joseph Middleton.
Today's broadcast features songs by Haydn and Britten, Beethoven's much loved "Moonlight" Sonata and Schubert's
"Allegro" in A minor for two pianos.
Haydn: Sailor's song
Haydn: She never told her love
Haydn: Fidelit
Christopher Maltman (baritone) / Joseph Middleton (piano)
Beethoven: Piano Sonata in C sharp minor, Op.27'2 'Moonlight' François-Frédéric Guy (piano)
Schubert: Allegro in A minor, D.947 'Lebensstürme' Paul Lewis and Imogen Cooper (piano)
Britten: The Ploughboy
Britten: The Salley Gardens
Britten: Sweet Polly Oliver
Britten: The Foggy Foggy Dew
Christopher Maltman (baritone) / Joseph Middleton (piano).
TUE 14:00 Afternoon Concert (b036j5n7)
Simon Rattle and Friends
Episode 2
Today's performances by the week's featured conductor and orchestra, the top pairing of Simon Rattle and his Berlin Philharmonic, are complemented by a concert conducted at last year's Lucerne Festival by Rattle's equally distinguished predecessor in Berlin, Claudio Abbado. Abbado and his acclaimed Lucerne Festival Orchestra play a Beethovenian hymn to freedom - Egmont - and Mozart's final great masterpiece, his Requiem. Rattle conducts his Berliners in Haydn and Ravel and lets his hair down in Dvorak. Presented by Louise Fryer.
Beethoven: Egmont - complete incidental music
Juliane Banse (soprano),
Bruno Ganz (narrator),
Lucerne Festival Orchestra,
Conductor Claudio Abbado.
2.30pm
Mozart, ed. Franz Beyer and Robert Levin: Requiem
Anna Prohaska (soprano),
Sara Mingardo (contralto),
Maximilian Schmitt (tenor),
René Pape (bass),
Bavarian Radio Chorus,
Swedish Radio Chorus,
Lucerne Festival Orchestra,
Conductor Claudio Abbado.
3.25pm
Haydn: Symphony no. 95 in C minor
3.45pm
Dvorak: Carnival Overture
3.55pm
Debussy Jeux, poème dansé pour orchestre.
TUE 16:30 In Tune (b036j5n9)
Nelson Goerner, Dame Felicity Lott, Kuniko Kato, the Amaryllis Consort
Suzy Klein presents, with live music and guests and the latest arts news.
Acclaimed British pianist Peter Hill performs live in the studio, ahead of his new recording of Bach's Well-Tempered Clavier. He talks to Suzy about the enduring appeal Bach holds for pianists.
@BBCInTune
email@example.com.
TUE 18:30 Composer of the Week (b01cvpxh)
[Repeat of broadcast at 12:00 today]
TUE 19:30 Radio 3 Live in Concert (b036j5yj)
Louis Schwizgebel - Mozart, Couperin, Ravel, Liszt, Holliger challenge is to create environments that offer the rich and varied experience of our best loved cities. To discuss how to make our evolving cities more habitable, Philip is joined by Richard Sennett, Professor of Sociology at LSE, Amanda Levete, founder of ALA Architects and Gerard Evenden, Senior Partner at Foster and Partners.
Live from the Clothworkers' Centenary Concert Hall in Leeds
Presented by Tom Redmond
Pianist Louis Schwizgebel plays music by Mozart, Couperin, Liszt, Holliger and Ravel.
Mozart: Piano Sonata in D major, K.311
Couperin: Les barricades mystérieuses
Ravel: Le tombeau de Couperin
c. 8.20
Music Interval
c.8.40
Liszt: Vallée d'Obermann
Heinz Holliger: "Elis"
Ravel: Gaspard de la nuit
Louis Schwizgebel (piano)
Young Swiss pianist Louis Schwizgebel returns to the Clothworkers' Centenary Concert Hall in Leeds following his success at last year's Leeds International Piano Competition, to play a recital of music by Mozart, Couperin, Holliger, Liszt and Ravel.
The programme includes one of Mozart's early piano sonatas alongside one of Francois Couperin's 1717 works for harpsichord and Ravel's tribute to the great composer - "Le Tombeau de Couperin".
The second half begins with Liszt's Vallée d'Obermann from his Années de pèlerinage (Years of pilgrimage) 1st year, Switzerland, and one of Heinz Holliger's best-known piano works "Elis". The concert ends with one of the great tours-deforce of 20th century piano music - Ravel's incredible "Gaspard de la nuit".
TUE 22:00 Night Waves (b036s1c0)
Egypt's democracy, Diana Quick, Laura Knight, Technology & Cities
The situation in Egypt is developing quickly. But as the army deposes an elected president, seemingly in support of popular protestors in the streets, it's difficult to see where the sympathies of democrats should lie. Philip is joined by the historian Tom Holland and the political scientist Salwa Ismail to try to make sense of the revolution unfolding in front of us.
Actress Diana Quick reflects on playing Eva, a charming but controlling German-Jewish émigré in Richard Greenberg's play The American Plan, and discusses the way she's perceived and the type of roles she gets offered since coming to fame as Lady Julia Flyte in Brideshead Revisited back in 1981.
Laura Knight was one of the most popular artists of the twentieth century and the first woman to be elected to the Royal Academy. Best known for her work during the Second World War as well as her series of paintings at the ballet and the circus, she resolutely rejected modernism. There's been a revival of interest in her work recently and the National Portrait Gallery is mounting an exhibition of her work. James Malpas joins Philip to review it.
More than half of the world's population now live in cities and the percentage will continue to rise. As architects and planners attempt to cater for ever-growing urban populations, the
Produced by Luke Mulhall.
TUE 22:45 The Essay (b01bw8hv)
On Directing
Emma Rice
In the second of five essays, the theatre director Emma Rice explores the role of the director as storyteller, and elaborates on the undertaking that transforms a text into a fully-fledged production.
Emma Rice is the Joint Artistic Director of Kneehigh Theatre. For Kneehigh, she has directed for The Red Shoes (2002 Theatrical Management Association [TMA] Theatre Award for Best Director); The Wooden Frock (2004 TMA Theatre Award nomination for Best Touring Production); The Bacchae (2005 TMA Theatre Award for Best Touring Production); Tristan & Yseult (2006 TMA Theatre Award nomination for Best Touring Production); Cymbeline (in association with the Royal Shakespeare Company for The Complete Works festival); A Matter of Life and Death (Royal National Theatre production in association with Kneehigh Theatre); Rapunzel (in association with Battersea Arts Centre); Brief Encounter (tour and West End; Studio 54, Broadway); and Don John (in association with the Royal Shakespeare Company and Bristol Old Vic). She was nominated for the 2009 Olivier Award for Best Director for Brief Encounter.
Emma's latest work includes Oedipussy for Spymonkey; Steptoe & Son; the West End production of Umbrellas of Cherbourg; Wah! Wah! Girls for World Stages in association with Sadler's Wells and Theatre Royal Stratford East; and, in spring 2013, The Empress at the RSC.
The series is produced by Sasha Yevtushenko.
First broadcast in February 2012.
TUE 23:00 Late Junction (b036j5st)
Tuesday - Nick Luscombe
Nick Luscombe features new music from the Craig Taborn Trio, 70s singer-songwriter Michael Franks, Malian ngoni virtuoso Bassekou Kouyaté (pictured) and a specially recorded track written and performed by Radio 3's New Generation Artist, the clarinettist Mark Simpson.
WEDNESDAY 10 JULY 2013
WED 00:30 Through the Night (b036j2t9)
Yuri Temirkanov conducts the Verbier Festival Orchestra in a programme of Lyadov, Rachmaninov & Tchaikovsky with pianist Yuja Wang. Jonathan Swain presents.
12:31 AM
Lyadov, Anatoly Konstantinovich [1855-1914] Kikimora - symphonic poem (Op.63) Verbier Festival Orchestra, Yuri Temirkanov (conductor)
12:39 AM
Rachmaninov, Sergey [1873-1943] Concerto for piano and orchestra no. 2 (Op.18) in C minor
1:12 AM
Tchaikovsky, Peter Ilyich [1840-1893]
Swan lake - ballet (Op.20) - Excerpts ; Act 1, no.2; Waltz ; Act 2, no.13/4; Allegro moderato; Act 2, no.14; Scene ; Act 3, no.20; Hungarian dance (Csardas); Act 3, no.21; Spanish dance; Act 3, no.22; Neapolitan dance ; Act 3, no.23; Mazurka ; Act 4, no.29; Final scene
Verbier Festival Orchestra, Yuri Temirkanov (conductor)
1:47 AM
Franck, Cesar [1822-1890]
Sonata for violin and piano (M.8) in A major
Alina Ibragimova (violin), Cédric Tiberghien (piano)
2:14 AM
Bach, Johann Sebastian (1685-1750)
Concerto in D minor for 2 violins, strings and basso continuo
(BWV.1043)
Nicolas Mazzoleni and Lidewij van der Voort (violins), European Union Baroque Orchestra, Roy Goodman (director)
2:31 AM
Elgar, Edward (1857-1934)
Variations on an original theme (Enigma) (Op.36)
New Zealand Symphony Orchestra, Sir Neville Marriner
(conductor)
3:00 AM
Kodaly, Zoltan [1882-1967]
Missa brevis (... tempore belli)
Alice Komároni (soprano), Ágnes Tumpekné Kuti (soprano),
Pécsi Kamarakórus (Soloists: Anikó Kopjár, Éva Nagy, Tímea
Tillai, János Szerekován, Jószef Moldvay), István Ella (organ),
Aurél Tillai (conductor)
3:34 AM
Bax, Arnold (1883-1953)
Legend for viola and piano
Steven Dann (viola), Bruce Vogt (piano)
3:44 AM
Durante, Francesco (1684-1755)
Concerto per quartetto for strings no.6 in A major
Concerto Köln
3:54 AM
Gallot, Jacques (1620-ca.1698)
Pièces de Lute in F minor
Konrad Junghänel (lute)
4:05 AM
Weber, Carl Maria von (1786-1826)
Clarinet Concertino in E flat major (Op.26)
Hannes Altrov (clarinet), Estonian National Symphony
Orchestra, Paul Mägi (conductor)
4:16 AM
Anon (arr. Goff Richards)
Bailèro
Phoenix Chamber Choir, Ramona Luengen (conductor)
4:19 AM
Milhaud, Darius (1892-1974), arr. Timothy Kain
Scaramouche (Vif; Modéré, Brasileira)
Guitar Trek: Timothy Kain, Carolyn Kidd, Mark Norton, Peter
Constant (guitars)
4:31 AM
Rathaus, Karol (1895-1954)
Prelude and Gigue in A major for orchestra (Op.44)
Polish Radio National Symphony Orchestra in Katowice, Joel
Radio 3 Listings for 6 – 12 July 2013
Yuja Wang (piano), Verbier Festival Orchestra, Yuri Temirkanov (conductor)
Stuben (conductor)
4:39 AM
Albeniz, Isaac [1860-1909]
El Corpus en Sevilla from 'Iberia' (Book 1)
Plamena Mangova (piano)
4:48 AM
Bach, Johann Sebastian (1685-1750)
Motet: 'Komm, Jesu, komm!' (BWV.229)
Danish National Radio Choir, Stefan Parkman (conductor)
4:57AM
Haydn, Joseph (1732-1809) or possibly Pleyel, Ignace
(1757-1831) arr. Perry, Harold
Divertimento (Feldpartita) (H. 2.46
quintet
Bulgarian Academic Wind Quintet
5:07 AM
Castelnuovo Tedesco, Mario (1895-1968)
Capriccio Diabolico for guitar (Op.85)
Goran Listes (guitar)
5:16 AM
Schubert, Franz [1797-1828]
3 Songs - Liebesbotschaft, Heidenroslein & Litanei auf das Fest Bryn Terfel (bass-baritone), Malcolm Martineau (piano)
5:26 AM
Tartini, Giuseppe (1692-1770)
Concerto for violin and strings in D minor (D.45)
Carlo Parazzoli (violin), I Cameristi Italiani
5:41 AM
Berwald, Franz (1796-1868)
Piano Trio No.1 in E flat
Terés Löf (piano), Roger Olsson (violin), Hanna Thorell (cello)
6:01 AM
Mozart, Wolfgang Amadeus (1756-1791)
Quartet for strings (K.421) in D minor
Biava Quartet (USA) - Austin Hartman (violin), Hyunsu Ko
(violin), Mary Persin (viola), Jacob Braun (cello).
WED 06:30 Breakfast (b036j2w3)
Wednesday - Sara Mohr-Pietsch
Sara Mohr-Pietsch presents Radio 3's classical breakfast show.
WED 09:00 Essential Classics (b036j2zn)
Wednesday - Rob Cowan
9am
A selection of music, including the Essential CD of the Week: The Last Night of the Proms, GUILD.
9.30-10.30am
A daily brainteaser, and performances by our Artist of the Week, Otto Klemperer.
10.30am
Rob?s guest this week is the author David Mitchell, whose first novel, Ghostwritten (1999), won the John Llewellyn Rhys Prize and was shortlisted for the Guardian First Book Award. His two subsequent novels were both shortlisted for the Man Booker Prize: number9dream (2001); and Cloud Atlas (2004), which was made into a film starring Tom Hanks and Halle Berry. In 2003, he was selected as one of Granta's Best of Young British Novelists, and four years later he was listed among Time magazine's 100 Most Influential People in The World. As well as novels, David has also written opera libretti: Wake, based on
) in B flat major arr. for wind
the 2000 Enschede fireworks disaster with music by Klaas de Vries, was performed by the Dutch National Reisopera in 2010. Most recently, he worked with the Dutch composer and video director Michel van der Aa on the opera Sunken Garden, premiered earlier this year by English National Opera.
11am
Essential Choice ? A Great Proms Performance Liszt: Piano Concerto No. 2 in A John Ogden (piano) BBC Symphony Orchestra Colin Davis (conductor).
WED 12:00 Composer of the Week (b01cvq1m)
Luigi Boccherini (1743-1805)
Boccherini Finds a Princely Patron in Spain
He could number among his patrons the King of Spain, and the heir to the Prussian throne, and he composed around one hundred string quartets, and at least as many quintets, amongst other works - this week Donald Macleod looks at the life and music of Luigi Boccherini.
Whilst in Paris, Boccherini was approached by the Spanish Ambassador, who proposed that Boccherini and his friend the violinist Manfredi, might like to visit Madrid, and that the two young men would receive a rapturous welcome from the heir to the Spanish throne. Both Boccherini and Manfredi travelled to Spain, but their welcome was not what they had hoped it would be. In a bid to ingratiate himself with the Spanish Prince, Boccherini dedicated his Opus 6 trios to him, including the fifth Trio in G minor. This didn't get the Prince's attention.
Another Royal patron did however materialise, and this was the King's brother, Don Luis, whom Boccherini would go on to work for, for many years. Boccherini would compose many works dedicated to his royal patron, including sextets, quintets, and a set of symphonies, which included the third Symphony in C major opus 12. These works steadily began to establish Boccherini's reputation in Spain and further afield, in particular his set of quintets opus 11. The sixth of this set, nicknamed The Aviary, depicts Boccherini's patron's passion for exotic birds.
Don Luis would soon fall out of favour with his family and the royal court, over his marriage to a lady of non-royal blood. This soon meant that Don Luis's court would have to move far from Madrid. This isolation would influence the works Boccherini went on to compose, given the limited number of musicians to hand. However, with a visit to Arenas of a famous singer, Boccherini was able compose his first setting of the Stabat Mater.
WED 13:00 Radio 3 Lunchtime Concert (b036j3s4)
Royal Northern College of Music/Wigmore Hall
Episode 2
This week's Lunchtime Concerts come from the Royal Northern College of Music in Manchester and from London's Wigmore Hall, with performances by pianists François-Frédéric Guy, Imogen Cooper & Paul Lewis, and baritone Christopher Maltman with pianist Joseph Middleton.
Today's broadcast features Vaughan Williams' cycle - "Songs of Travel", alongside Beethoven's much loved "Pastoral" Piano Sonata.
Vaughan Williams: Songs of Travel
Christopher Maltman (baritone) / Joseph Middleton (piano)
Beethoven: Piano Sonata in D, Op.28 'Pastoral' François-Frédéric Guy (piano).
WED 14:00 Afternoon Concert (b036j5nc)
Simon Rattle and Friends
Episode 3
Today Louise Fryer presents Simon Rattle conducting not his own Berlin Philharmonic, but probably Germany's second-best orchestra, the Bavarian Radio Symphony Orchestra. Symphonies by Haydn and Schumann frame the concert, and they're joined by the Canadian soprano Barbara Hannigan in stunning pieces by Sibelius and Ligeti.
Haydn: Symphony No. 91 in E flat major Bavarian Radio Symphony Orchestra, Conductor Simon Rattle.
2.20pm
Sibelius: Luonnotar Ligeti: Mysteries of the Macabre Barbara Hannigan (soprano), Bavarian Radio Symphony Orchestra, Conductor Simon Rattle.
2.40pm
Schumann: Symphony no. 2 in C major Bavarian Radio Symphony Orchestra, Conductor Simon Rattle.
WED 15:30 Choral Evensong (b036j6sh)
From the Parish Church of St Malachy, Hillsborough, Northern Ireland
From the Parish Church of St Malachy, Hillsborough, Northern Ireland with the choir of Gonville and Caius College, Cambridge, marking the 400th anniversary of the birth of Bishop Jeremy Taylor.
Introit: God is our hope and strength (Blow)
Responses: Reading
Office Hymn: Teach me, my God and King (Song 20)
Psalm 40 (Turner)
First Lesson: 1 Kings 3 vv5-15
Canticles: Turner in A
Second Lesson: Titus 2 vv7-8, vv11-15
Anthems: O holy and ever-blessed Spirit (Joel Rust) (first
performance) & Job's Curse (Purcell)
Final Hymn: Ride on triumphantly (Farley Castle)
Voluntary for Double Organ (Anonymous, 17th century)
Geoffrey Webber (Director of Music)
Nick Lee and Liam Crangle (Organ Scholars).
WED 16:30 In Tune (b036j5nf)
Cordelia Williams, Murray Gold, Bampton Opera
Suzy Klein presents, with live music and guests and the latest arts news.
There's live music from young pianist Cordelia Williams as she marks the release of her new album and singers from Bampton Classical Opera give a sneak preview of their upcoming production of Mozart's La Finta Semplice. Plus composer Murray Gold pops by the studio as he looks ahead to the Doctor Who Prom at the Royal Albert Hall.
@BBCInTune firstname.lastname@example.org.
WED 18:30 Composer of the Week (b01cvq1m)
[Repeat of broadcast at 12:00 today]
WED 19:30 Radio 3 Live in Concert (b036j8d5)
Bartlett Sher
Cheltenham Music Festival 2013 - Tallis Scholars
Live from the Cheltenham Music Festival at Tewkesbury Abbey.
The Tallis Scholars, directed by Peter Phillips, perform music by Tallis, Palestrina, Allegri and Eric Whitacre
The Tallis Scholars Peter Phillips (director)
Tallis: Loquebantur variis linguis Palestrina: Missa Papae Marcelli
8.10 INTERVAL
Allegri: Miserere
Whitacre: Sainte-Chapelle
Part: Nunc Dimittis
Tallis: Miserere
Byrd: Tribue Domine
Continuing their celebrations marking their 40th birthday, the Tallis Scholars perform at the Cheltenham Music Festival. Director Peter Phillips has chosen works that have become favourite landmarks of the early music repertoire for him and his ensemble over the last four decades, along with pieces by two of the most famous and popular composers in contemporary choral music: Arvo Part, and Eric Whitacre. The programme includes a complete performance of Palestrina's Mass for Pope Marcellus II, Allegri's famous Miserere and music by the ensemble's namesake, Thomas Tallis. They also perform Eric Whitacre's Sainte-Chapelle, premiered earlier this year and composed especially for the Tallis Scholars on their 40th anniversary.
WED 22:00 Free Thinking (b036j5qp)
Free Thinking in Summer 2013
York Festival of Ideas
BBC Radio 3's annual Free Thinking festival of ideas continues its summer tour as it takes up residency at leading summer events across the country.
Rana Mitter chairs a debate from the York Festival of Ideas on whether we can afford ethical business.
As austerity bites into family finances and public services, cheap goods seem ever more attractive, even vital. But is there a price to pay in fairness, and to the environment? York has a long history of making ethical business ideals a reality, but can those ideas be carried forward into the era of austerity?
The panel includes The Guardian's Lucy Siegle, Adrian Wooldridge of The Economist, founder of Ethical Superstore Andy Redfern and economist Virginie Perotin.
The event is chaired by Night Waves presenter Rana Mitter and was recorded earlier this month at the York Festival of Ideas as part of BBC Radio 3's Free Thinking in the Summer
Free Thinking is visiting four festivals throughout the summer including HowTheLightGetsIn at Hay, the Institut Français Philosophy Night in London, York Festival of Ideas and the Chalke Valley History Festival in Wiltshire. These events are being broadcast in July and lead the way towards Free Thinking's annual weekend of debate at the Sage, Gateshead in October 2013.
WED 22:45 The Essay (b01bw9zc)
On Directing
Tony Award-winning director Bartlett Sher explores how a director must search for the play's 'inward sound' when creating theatre.
Bartlett Sher has been nominated four times for the Tony Award, winning it in 2009 for the Broadway revival of South Pacific. Sher was previously the Artistic Director at the Intiman Playhouse in Seattle and is now Resident Director at the Lincoln Centre in New York. His recent work in the UK includes the ENO production of Nico Muhly's opera Two Boys.
The series is produced by Sasha Yevtushenko.
First broadcast in February 2012.
WED 23:00 Late Junction (b036j5sw)
Wednesday - Nick Luscombe
The sound of Kenya Luo meets London's club scene with a new track from the Owiny Sigoma Band, 'The World's Foremost Steel Guitarist' Buddy Emmons (pictured), plus a recently reissued collection of training music written over 30 years ago for East German Olympians. With Nick Luscombe.
THURSDAY 11 JULY 2013
THU 00:30 Through the Night (b036j2tc)
Jonathan Swain presents a recital by pianist Yulianna Avdeeva winner of the 2010 Chopin International Piano Competition - in a programme of Chopin, Liszt, Wagner, Tchaikovsky & Paderewski.
12:31 AM
Chopin, Fryderyk [1810-1849]
2 Nocturnes for piano (Op.62);
Yulianna Avdeeva (piano)
12:43 AM
Chopin, Fryderyk [1810-1849] Scherzo for piano no. 1 (Op.20) in B minor Yulianna Avdeeva (piano)
12:54 AM
Chopin, Fryderyk [1810-1849]
4 Mazurkas for piano (Op.33)
Yulianna Avdeeva (piano)
1:05 AM
Chopin, Fryderyk [1810-1849]
Polonaise-fantasy for piano (Op.61) in A flat major
Yulianna Avdeeva (piano)
1:18 AM
Liszt, Franz [1811-1886] La Lugubre gondola for piano (S.200) Yulianna Avdeeva (piano)
1:27 AM
Liszt, Franz [1811-1886]
Nuages gris for piano (S.199)
Yulianna Avdeeva (piano)
1:30 AM
Liszt, Franz [1811-1886]
Bagatelle without tonality for piano (S.216a)
Yulianna Avdeeva (piano)
1:33
AM
19 Hungarian rhapsodies for piano (S.244);
4:31 AM
Yulianna Avdeeva (piano)
1:36 AM
Wagner, Richard [1813-1883] (composer); Liszt, Franz
[1811-1886] (arranger)
Overture to Tannhauser S.442
Yulianna Avdeeva (piano)
1:52 AM
Tchaikovsky, Peter Ilyich [1840-1893]
Meditation (Op. 72'5)
Yulianna Avdeeva (piano)
1:56AM
Paderewski, Ignacy Jan [1860-1941]
Humoresques de concert - book 2 for piano (Op.14'4-6)
"moderne"
Yulianna Avdeeva (piano)
2:00 AM
Chopin, Fryderyk [1810-1849]
4 Mazurkas for piano (Op.67)
Yulianna Avdeeva (piano)
2:04 AM
Zemlinsky, Alexander von (1871-1942)
Trio in D minor for clairinet, cello and piano (Op.3)
Trio Luwigana
2:31 AM
Tchaikovsky, Pyotr Il'yich (1840-1893)
Serenade in C major for strings (Op.48)
Danish Radio Concert Orchestra, Hannu Koivula (conductor)
3:03 AM
Weber, Carl Maria von (1786-1826)
Missa sancta No.1 in E flat major, (J.224) 'Freischutzmesse' for soli, chorus & orchestra
Norwegian Soloist Choir, Norwegian Radio Orchestra, Grete
Pedersen Helgerød (conductor)
3:37 AM
Fesch, Willem de (1687-c.1757)
Concerto for violin and orchestra in C minor (Op.5 No.5)
Manfred Kraemer (violin), Musica ad Rhenum
3:47 AM
Nardelli, Mario (1927-1993)
Three pieces for guitar (1979) (Prelude; Meditation; Dance)
Mario Nardelli (guitar)
3:57 AM
Goossens, (Aynsley) Eugene (1893-1962)
Fantasy for nine wind instruments (Op.36) (1924)
Janet Webb (flute), Guy Henderson (oboe), Lawrence Dobell &
Christopher Tingay (clarinets), John Cran & Fiona McNamara (bassoons), Robert Johnson & Clarence Mellor (horns), Daniel
Mendelow (trumpet)
4:07 AM
Purcell, Henry [1659-1695]
Chacony a 4 for strings (Z.730) in G minor
Psophos Quartet (BBC New generation Artists 2005-07)
4:15 AM
Anon (arr. Goff Richards)
Bailèro
Phoenix Chamber Choir, Ramona Luengen (conductor)
4:18 AM
Vivaldi, Antonio (1678-1741)
Concerto for 2 violins, 2 cellos & orchestra (RV.564) in D major Europa Galante, Fabio Biondi (violin/director)
Schubert, Franz (1797-1828), orchestrated. Anton Webern (1883-1945)
6 Deutsche for piano (D.820)
Luxembourg Philharmonic Orchestra, Justin Brown (conductor)
4:40 AM
Handel, Georg Friedrich (1685-1759)
Alceste: Gentle Morpheus, son of night
Emma Kirkby (soprano), Academy of Ancient Music, Andrew Manze (director)
4:49AM
Bach, Johann Sebastian (1685-1750)
Keyboard Concerto in F minor (BWV1056)
Angela Hewitt (piano), Norwegian Chamber Orchestra
5:00 AM
Mozart, Wolfgang Amadeus [1756-1791]
Sonata for violin and keyboard (K.303) in C major
Tai Murray (violin), Shai Wosner (piano)
5:10 AM
Abel, Carl Friedrich (1723-1787)
Sonata No.6 in G major for transverse flute and harpsichord
(Op.6 No.6)
Karl Kaiser (transverse flute), Susanne Kaiser (harpsichord)
5:21 AM
Vaughan Williams, Ralph (1872-1958)
Norfolk Rhapsody No.1 in E minor
Melbourne Symphony Orchestra, Sir Bernard Heinze
(conductor)
5:32 AM
Harrison, Lou (1917-2003)
Harp Suite (arr. for guitar) (Serenade for Frank Wigglesworth;
Avalokiteshvara; Music for Bill and Me; Jahla; Sonata in
Ishartum; Beverly's Troubadour Piece; A Waltz for Evelyn
Hinrichsen)
David Tanenbaum (guitar), William Winant (tuned water bowls, finger cymbals and sistra), Scott Evans (tuned water bowls and drums), Joel Davel (drums)
5:47 AM
Bach, Carl Philipp Emanuel (composer) (1714-1788);
Trio sonata for flute, violin and continuo (Wq.161'2) in B flat major
Les Coucous Bénévoles
6:05 AM
Wieniawski, Henryk (1835-1880)
Concerto for violin and orchestra No.2 in D minor (Op.22)
Bartlomiej Niziol (violin), Sinfonia Varsovia, Grzegorz Nowak
(conductor).
THU 06:30 Breakfast (b036j2w5)
Thursday - Sara Mohr-Pietsch
Sara Mohr-Pietsch presents Radio 3's classical breakfast show.
THU 09:00 Essential Classics (b036j2zq)
Thursday - Rob Cowan
9am
A selection of music, including the Essential CD of the Week: The Last Night of the Proms, GUILD.
9.30-10.30am
A daily brainteaser, and performances by our Artist of the Week, Otto Klemperer.
10.30am
tour-de-force "Grand Duo" for two pianos.
Rob?s guest this week is the author David Mitchell, whose first novel, Ghostwritten (1999), won the John Llewellyn Rhys Prize and was shortlisted for the Guardian First Book Award. His two subsequent novels were both shortlisted for the Man Booker Prize: number9dream (2001); and Cloud Atlas (2004), which was made into a film starring Tom Hanks and Halle Berry. In 2003, he was selected as one of Granta's Best of Young British Novelists, and four years later he was listed among Time magazine's 100 Most Influential People in The World. As well as novels, David has also written opera libretti: Wake, based on the 2000 Enschede fireworks disaster with music by Klaas de Vries, was performed by the Dutch National Reisopera in 2010. Most recently, he worked with the Dutch composer and video director Michel van der Aa on the opera Sunken Garden, premiered earlier this year by English National Opera.
11am
Essential Choice ? A Great Proms Performance Vaughan Williams: Symphony No. 6 in E minor BBC Symphony Orchestra Adrian Boult (conductor).
THU 12:00 Composer of the Week (b01cwq76)
Luigi Boccherini (1743-1805)
Boccherini is Desperate to Find a New Patron
He could number among his patrons the King of Spain, and the heir to the Prussian throne, and he composed around one hundred string quartets, and at least as many quintets, amongst other works - this week Donald Macleod looks at the life and music of Luigi Boccherini.
Around 1773, a talented flute player seems to have joined the staff of the Spanish Infante, Don Luis. This allowed Boccherini greater scope for composing new works, including the first Flute Quintet in E flat major, from Boccherini's opus 19 set. However with Don Luis and his court banished to Arenas, Boccherini was finding opportunities to compose quite limited.
Around a decade later, the Ambassador to Prussia visited the Spanish Court in Madrid, where he was honoured by a performance of six of Boccherini's string quartets. The Ambassador sent a copy of the music to Frederick the Great's nephew, Frederick William, who soon sent the composer a gold box containing a letter saying how much he had enjoyed his music. One of the quartets the Ambassador might have heard, was the sixth String Quartet in A major, from the opus 32 set.
In the 1780's Boccherini suffered a double blow with not only the death of his wife, but also the death of his patron Don Luis. King Carlos III granted Boccherini an annual pension, and also a place in the instrumental Royal Chapel in Madrid, although he was excused from fulfilling his duties due to his frequent spittings of blood. The following year Boccherini received an honorary appointment with the Crown Prince of Prussia, and in return the composer sent a number of works every year, possibly including a set of concert arias, such as Misera, dove son!
THU 13:00 Radio 3 Lunchtime Concert (b036j3s6)
Royal Northern College of Music/Wigmore Hall
Episode 3
This week's Lunchtime Concerts come from the Royal Northern College of Music in Manchester and from London's Wigmore Hall, with performances by pianists François-Frédéric Guy, Imogen Copper and Paul Lewis, and baritone Christopher Maltman with pianist Joseph Middleton
Today's broadcast features songs by Mozart and Schubert's
Mozart: Das Veilchen, K.476
Mozart: An Chloe, K.524
Mozart: Sehnsucht nach dem Frühlinge, K.596
Mozart: Abendempfindung an Laura, K.523
Christopher Maltman (baritone) / Joseph Middleton (piano)
Schubert Sonata for Piano Duet in C, D.812 'Grand Duo' Paul Lewis and Imogen Cooper (pianos).
THU 14:00 Afternoon Concert (b036j5nh)
Thursday Opera Matinee
Verdi - Alzira
Thursday Opera Matinee - Verdi 200, with Louise Fryer.
Radio 3's celebrations of Verdi's bicentenary continue with his rarely-heard early opera Alzira, starring Ileana Cotrubas, Francisco Araiza and Renato Bruson. It's a would-be tale of blood and thunder in sixteenth-century Peru, with the Incas fighting against Spanish imperial domination - but surprisingly, both sides keep releasing rather than killing each other. Maybe that's why it's never been popular... The Inca princess Alzira is caught at the centre of the conflict, as the Inca leader Zamoro (whom she loves) fights the Spanish Governor Gusmano (whom she doesn't) for her favours. Who will she end up with? Tune in at 2 o'clock to find out.
Plus, after the opera, Louise Fryer presents a Sibelius Symphony performed by this week's featured performers: Simon Rattle and the orchestra of which he's Chief Conductor, the Berlin Philharmonic.
Verdi: Alzira Alzira, Inca princess ..... Ileana Cotrubas (soprano) Zamoro, Inca leader ..... Francisco Araiza (tenor) Gusmano, Spanish Governor of Peru ... Renato Bruson (baritone) Alvaro, Gusmano's father ... Jan-Hendrik Rootering (bass) Ovando, Spanish Duke ... Donald George (tenor) Ataliba, Alzira's father ..... Daniel Bonilla (tenor) Zuma, her maid ... Sofia Lis (mezzo-soprano) Otumbo, Inca warrior ... Alexandru Ionita (tenor) Bavarian Radio Chorus, Munich Radio Orchestra, Conductor Lamberto Gardelli.
3.35pm
Sibelius: Symphony no. 4 in A minor Berlin Philharmonic, Conductor Simon Rattle.
THU 16:30 In Tune (b036j5nk)
Sergei Polunin, Stephen Hough, Alistair McGowan, City of London Festival
Suzy Klein presents with live music and guests and the latest arts news.
Ahead of his performance as soloist at the First Night of the Proms, Suzy talks to the always fascinating pianist Stephen Hough. Despite enjoying invitations from all the world's finest orchestras and boasting a hectic recording schedule, he is also a devoted writer and an exhibited painter - Suzy finds out how he fits it all in.
@BBCInTune
email@example.com.
THU 18:30 Composer of the Week (b01cwq76)
First broadccast in February 2012.
[Repeat of broadcast at 12:00 today]
THU 19:30 BBC Proms (b036j8fy) 2013
Proms Preview
On the eve of the 2013 BBC Proms Petroc Trelawny previews the season live from the Royal Albert Hall - two months of many of the world's greatest artists, composers, orchestras and ensembles across 92 concerts including four Last Night celebrations around the UK.
THU 22:00 Night Waves (b036j8g0)
Boris Johnson, The Masque of Anarchy, John Gallagher, Happy Holidays?
Boris Johnson
In an interview recorded earlier this month at the Daily Mail Chalke Valley History Festival, the Mayor of London discusses leadership ambitions, what Cicero has to teach us about politics, and why a politician should sometimes dare to be dull.
The Masque of Anarchy
Sarah Frankcom tells Anne why she and Maxine Peake are reviving Shelley's poetic account of the Peterloo Massacre of 1819 for this year's Manchester International Festival.
John Gallagher
New Generation Thinker John Gallagher guides the listener on a romp through 16th century phrasebooks for travellers.
Happy Holidays?
Writer Tim Lott and critic Kate Muir discuss depictions of holidays gone wrong in film, from Rosselini's Voyage to Italy, to Joanna Hogg's Archipelago, to July Delpy's Before Midnight, and ask, just how easy is it to sympathise with the misery of the rich?
THU 22:45 The Essay (b01bwbfp)
On Directing
Josie Rourke
Josie Rourke, the Artistic Director of the Donmar Warehouse, reminds us that working in theatre isn't always plain sailing. In her essay, she looks at what happens when disaster strikes and things go wrong. It's in these situations that a director is truly tested.
Josie Rourke trained with directors Peter Gill, Michael Grandage, Nicholas Hytner, Phyllida Lloyd and Sam Mendes. Before coming to the Bush she worked for five years as a freelance director and was the Associate Director of Sheffield Theatres and Trainee Associate Director at the Royal Court. At the Royal Court she directed Loyal Women by Gary Mitchell. She was the tour director of The Vagina Monologues by Eve Ensler. For the Royal Shakespeare Company she directed Believe What You Will and King John.
Rourke was the Artistic Director of the Bush Theatre between 2007 and 2011, where she also directed many of its hits including Nick Payne's If There Is I Haven't Found It Yet. In 2011, Rourke directed a production of Much Ado About Nothing at Wyndham's Theatre, starring David Tennant and Catherine Tate. She became Artistic Director of the Donmar Warehouse in January 2012 and her first production as director was George Farquhar's The Recruiting Officer.
The series is produced by Sasha Yevtushenko.
THU 23:00 Late Junction (b036j5sy)
Late Junction Sessions
John Tilbury and Derek Bailey
Late Junction Collaborative Session: Pianist John Tilbury fulfilled a long held ambition to collaborate with his friend, the avantgarde guitarist Derek Bailey who died in 2005. With the permission of Bailey's widow Karen, John Tilbury selected unreleased gems from Derek's archive and brought them along to Maida Vale where he created three tracks for prepared and unprepared piano. Presented by Nick Luscombe.
FRIDAY 12 JULY 2013
FRI 00:30 Through the Night (b036j2tf)
Jonathan Swain presents the European Union Baroque Orchestra in Concert. With soprano Maria Keohane performing Handel.
12:31 AM
Handel, Georg Frideric [1685-1759]
Ah! che troppo inequali, Italian cantata no.26 for soprano, 2
violins, viola and continuo HWV 230
Maria Keohane (soprano) European Union Baroque Orchestra,
Lars Ulrik Mortensen (conductor)
12:41 AM
Handel, Georg Frideric [1685-1759] Concerto Grosso in F major, op. 6 no. 2, HWV 320 European Union Baroque Orchestra, Lars Ulrik Mortensen (conductor)
12:54 AM
attrib Handel, Georg Frideric [1685-1759] more likely composed by Ferrandini, Giovanni Battista [c.1710-1791]
Il Pianto di Maria, cantata, HWV 234
Maria Keohane (soprano) European Union Baroque Orchestra,
Lars Ulrik Mortensen (conductor)
1:19 AM
Torelli, Giuseppe [1658-1725]
Sonata in D for Trumpet, Strings and Basso Continuo
Sebastien Philpott (trumpet) European Union Baroque
Orchestra, Lars Ulrik Mortensen (conductor)
1:27 AM
Bach, Johann Sebastian [1685-1750] Brandenburg concerto no. 3 in G major BWV.1048 European Union Baroque Orchestra, Lars Ulrik Mortensen (conductor)
1:38 AM
Bach, Johann Sebastian [1685-1750]
Cantata no. 51 BWV.51 (Jauchzet Gott in allen Landen)
Maria Keohane (soprano), Sebastien Philpott (trumpet)
European Union Baroque Orchestra, Lars Ulrik Mortensen
(conductor)
1:55 AM
Handel, Georg Frideric [1685-1759]
Tu, del ciel ministro eletto (Bellezza's aria) 'Il Trionfo del Tempo e del Disinganno', HWV 46a
Maria Keohane (soprano) European Union Baroque Orchestra,
Lars Ulrik Mortensen (conductor)
2:01 AM
Reicha, Anton (1770-1836)
Oboe Quintet in F major (Op.107)
Les Adieux
2:31 AM
Mozart, Wolfgang Amadeus (1756-1791) Concerto for piano and orchestra no.17 (K.453) in G major Leif Ove Andsnes (piano), Norwegian Chamber Orchestra, Terje Tønnesen (conductor)
3:00 AM
Berio, Luciano (1925-2003)
Folk Songs (1964) for mezzo-soprano and 7 players
3:23 AM
Chausson, Ernest [1855-1899]
Poeme, Op.25 (version for violin, string quartet and piano) Philippe Graffin (violin), Jorgen Larsen (piano), Skampa Quartet
3:39AM
Milhaud, Darius (1892-1974)
Le Globe-trotter, Op.358
CBC Vancouver Orchestra, Mario Bernardi (conductor)
3:57 AM
Merula, Tarquino [1594/5-1665]
Ciaccona for 2 Violins and basso continuo (Op.12)
Il Giardino Armonico
4:02 AM
Kunzen, Friedrich (1761-1817)
Overture to the play 'Husitterne' (The Hussites)
Danish Radio Concert Orchestra, Peter Marschik (conductor)
4:10 AM
Foulds, John [1880-1939]
An Arabian Night (1936-7)
Cynthia Fleming (violin), Katharine Wood (cello) BBC Concert
Orchestra, Ronald Corp (conductor)
4:16 AM
Bach, Carl Philipp Emanuel (1714-1788) Flute Sonata in G major (Wq.133/H.564), 'Hamburger Sonata' Wilbert Hazelzet (flute), Andreas Staier (fortepiano)
4:24 AM
Dvorák, Antonín (1841-1904)
Bacchanalia, No.10 from Poetické nálady (Poetic tone pictures)
(Op.85)
Slovak Radio Symphony Orchestra, Bratislava; Róbert
Stankovský (conductor)
4:31 AM
Brahms, Johannes (1833-1897)
Academic Festival Overture (Op.80)
Hungarian Radio Symphony Orchestra, Tamás Vásáry
(conductor)
4:41 AM
Scott, Cyril (1879-1970)
Lotus Land (Op.47 No.1)
Cristina Ortiz (piano)
4:46 AM
Françaix, Jean (1912-1997) Serenade for small orchestra Canadian Chamber Ensemble, Raffi Armenian (conductor)
4:56 AM
Gautier d'Espinal (c.1215-c.1272)
Puis que en moi a recouvré seignorie
Ensemble Lucidarium: Annemieke Cantor (voice) (with instrumental introduction played by Francis Biggi)
5:02AM
Sculthorpe, Peter [1929-]
Radio 3 Listings for 6 – 12 July 2013
Beautiful Fresh Flower (Chinese melody)
Melbourne Symphony Orchestra, Geoffrey Simon (conductor)
5:05 AM
Mozart, Wolfgang Amadeus (1756-1791)
Quartet for strings in C major, K.465 'Dissonance'
Quatuor Ysaÿe: Guillaume Sutre & Luc-Marie Aguera (violins),
Miguel da Silva (viola), Yovan Markovitch (cello)
5:35 AM
Elgar, Edward (1857-1934)
Concerto for cello and orchestra in E minor (Op.85)
Pieter Wispelwey (cello), National Polish Radio Symphony
Orchestra, Gabriel Chmura (conductor)
6:04 AM
Schumann, Robert (1810-1856)
Fantasiestücke (Op.12)
Kevin Kenner (piano).
FRI 06:30 Breakfast (b036j2w7)
Friday - Sara Mohr-Pietsch
Sara Mohr-Pietsch presents Radio 3's classical breakfast show.
FRI 09:00 Essential Classics (b036j2zs)
Friday - Rob Cowan
9am
A selection of music, including the Essential CD of the Week: The Last Night of the Proms, GUILD, and at 9.30 our daily brainteaser.
10am
A new feature for the 2013 Proms Season: 'Proms Artist Recommends'.
An artist performing later today in the BBC Proms recommends three musical works, and on Essential Classics we'll play one of those pieces around 10am.
10.30am
Rob's guest this week is the author David Mitchell, whose first novel, Ghostwritten (1999), won the John Llewellyn Rhys Prize and was shortlisted for the Guardian First Book Award. His two subsequent novels were both shortlisted for the Man Booker Prize: number9dream (2001); and Cloud Atlas (2004), which was made into a film starring Tom Hanks and Halle Berry. In 2003, he was selected as one of Granta's Best of Young British Novelists, and four years later he was listed among Time magazine's 100 Most Influential People in The World. As well as novels, David has also written opera libretti: Wake, based on the 2000 Enschede fireworks disaster with music by Klaas de Vries, was performed by the Dutch National Reisopera in 2010. Most recently, he worked with the Dutch composer and video director Michel van der Aa on the opera Sunken Garden, premiered earlier this year by English National Opera.
11am
Essential Choice - A Great Proms Performance
Purcell: Abdelazar Suite
BBC Symphony Orchestra
Malcolm Arnold (conductor).
FRI 12:00 Composer of the Week (b01cwq8w)
Luigi Boccherini (1743-1805)
Boccherini Falls Into Poverty
He could number among his patrons the King of Spain, and the heir to the Prussian throne, and he composed around one hundred string quartets, and at least as many quintets,
amongst other works - this week Donald Macleod looks at the life and music of Luigi Boccherini.
Bernarda Fink (contralto),
Topi Lehtipuu (tenor),
Andrew Staples (tenor),
Florian Boesch (bass),
Arnold Schoenberg Chorus,
Vienna Philharmonic,
Conductor Simon Rattle.
3.45pm
Beethoven: Symphony no. 7 in A major
Berlin Philharmonic,
Conductor Simon Rattle.
FRI 16:30 In Tune (b036j5np)
Live from the Royal College of Music
Suzy Klein presents a special edition live from the BBC Proms 2013, in front of an audience at the Royal College of Music in London.
With the First Night just hours away, Suzy and guests will be discussing all the big talking points from this year's Proms.
Pianist Kathryn Stott celebrates British light music this season, and the London Community Gospel Choir raise the Royal College roof ahead of the first Gospel Prom.
Email: firstname.lastname@example.org
Twitter: @BBCInTune.
FRI 18:30 Composer of the Week (b01cwq8w)
[Repeat of broadcast at 12:00 today]
FRI 19:30 BBC Proms (b036jm00)
Prom 01
Prom 1 (part 1): Julian Anderson, Britten, Rachmaninov, Lutoslawski, Vaughan Williams
The BBC Symphony Orchestra and Sakari Oramo live at the First Night of the BBC Proms, including music by Britten, Rachmaninov and Vaughan Williams
Live from the Royal Albert Hall, London Presented by Petroc Trelawny
Julian Anderson: Harmony (BBC commission: world premiere) Britten: Four Sea Interludes from 'Peter Grimes' Rachmaninov: Rhapsody on a Theme of Paganini Lutoslawski: Variations on a Theme by Paganini
8.30pmInterval
8.50pm
Vaughan Williams: A Sea Symphony
Sally Matthews (soprano) Roderick Williams (baritone) Stephen Hough (piano) BBC Proms Youth Choir BBC Symphony Chorus BBC Symphony Orchestra Sakari Oramo (conductor)
The 2013 Proms begins with a surge of natural energy in seainspired works by Britten and Vaughan Williams, the latter combining the 300-strong forces of the Proms Youth Choir and the BBC Symphony Chorus. Julian Anderson's new commission sets some lines concerning nature and time by the 19thcentury mystical writer Richard Jefferies. Stephen Hough performs one of the best-loved works in the repertory, kicking
Boccherini towards the end of his life, now found himself in quite a predicament. King Carlos III of Spain had now died, and his son, the new King Carlos IV, was less disposed towards Boccherini due to an earlier disagreement. Boccherini had to look for patronage elsewhere, and was subsequently forced to sell a number of his works to the Parisian publishing house Pleyel, for not much money. However, commissions still did occasionally come in, such as from the Marquis of Benavente, who wanted Boccherini to arrange a number of his already composed works to include guitar. One such work, which also included castanets, was the Guitar Quintet in B flat major.
Towards the end of Boccherini's life, with his Benavente patrons having left for Vienna, and the composer being forced to sell more of his works for little money to his Parisian publisher, Boccherini started to turn more towards choral writing, such as the responsory Domine ad adjuvandum. Other patrons were to come and ago, including Lucien Bonaparte, who commissioned Boccherini to compose a number of works. The opus 57 piano quintets, Boccherini dedicated to the French nation.
In 1805 Boccherini died, probably due to the tuberculosis which had troubled him for most of his life. He was buried in Madrid, but later in 1927 his remains were taken back to his birthplace of Lucca for reburial. Just before he died, he was working on one last String Quartet, in D major, of which only one movement now survives in full.
FRI 13:00 Radio 3 Lunchtime Concert (b036j3s8)
Royal Northern College of Music/Wigmore Hall
Episode 4
This week's Lunchtime Concerts come from the Royal Northern College of Music in Manchester and from London's Wigmore Hall, with performances by pianists François-Frédéric Guy, Imogen Cooper and Paul Lewis, and baritone Christopher Maltman with pianist Joseph Middleton.
Today's broadcast features some of Brahms's Hungarian Dances for 2 pianos alongside Beethoven's much loved "Hammerklavier" Sonata.
Brahms: Three Hungarian Dances for piano duet Paul Lewis and Imogen Cooper (piano)
Beethoven: Piano Sonata in B flat, Op.106 'Hammerklavier' François-Frédéric Guy (piano).
FRI 14:00 Afternoon Concert (b036j5nm)
Simon Rattle and Friends
Episode 4
Jonathan Swain rounds off his week featuring Simon Rattle and great central European orchestras with him conducting the Vienna Philharmonic as well as his own Berlin Philharmonic. There's Schumann's large-scale cantata 'Paradise and the Peri' from Vienna, and Beethoven's Seventh Symphony to end the week from Berlin.
Ligeti: Atmospheres
Wagner: Prelude to Act 1 of Lohengrin
Berlin Philharmonic,
Conductor Simon Rattle.
2.15pm
Schumann: Das Paradies und die Peri
Annette Dasch (soprano),
Susan Gritton (soprano),
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Radio 3 Listings for 6 – 12 July 2013
off a season in which the piano concerto will loom large. And 100 years after his birth, Polish composer Witold Lutoslawski is celebrated alongside the music of his compatriots, beginning tonight with one of his most popular pieces.
Mike Figgis
This Prom will be repeated on Monday 15th July at 2pm.
FRI 20:30 Twenty Minutes (b036v857)
The Trials of the Chorus Master
This Prom has five different choruses, which is pretty remarkable even for the Proms.
In this interval feature we gather together three of the chorus masters of tonight's concert to talk about the art of the chorus master.
This is a job which requires going along to many rehearsals on wet Tuesday nights and putting up with some terrible attendances and unmusical politics. Then, after all the hard work, when the choir is drilled to perfection, in comes the star conductor and takes the glory. Is it tricky? We ask them.
Producer Geoff Ballinger.
FRI 20:50 BBC Proms (b036jm02)
Prom 01
Prom 1 (part 2): Julian Anderson, Britten, Rachmaninov, Lutoslawski, Vaughan Williams
The BBC Symphony Orchestra and Sakari Oramo live at the First Night of the BBC Proms, including music by Britten, Rachmaninov and Vaughan Williams
Live from the Royal Albert Hall, London Presented by Petroc Trelawny
Julian Anderson: Harmony (BBC commission: world premiere) Britten: Four Sea Interludes from 'Peter Grimes' Rachmaninov: Rhapsody on a Theme of Paganini Lutoslawski: Variations on a Theme by Paganini
8.30pm Interval
8.50pm
Vaughan Williams: A Sea Symphony
Sally Matthews (soprano) Roderick Williams (baritone) Stephen Hough (piano) BBC Proms Youth Choir BBC Symphony Chorus BBC Symphony Orchestra Sakari Oramo (conductor)
The 2013 Proms begins with a surge of natural energy in seainspired works by Britten and Vaughan Williams, the latter combining the 300-strong forces of the Proms Youth Choir and the BBC Symphony Chorus. Julian Anderson's new commission sets some lines concerning nature and time by the 19thcentury mystical writer Richard Jefferies. Stephen Hough performs one of the best-loved works in the repertory, kicking off a season in which the piano concerto will loom large. And 100 years after his birth, Polish composer Witold Lutoslawski is celebrated alongside the music of his compatriots, beginning tonight with one of his most popular pieces.
This Prom will be repeated on Monday 15th July at 2pm.
FRI 22:45 The Essay (b01bwbkm)
On Directing
In the final essay of this series, Mike Figgis reflects on the lessons he learned while working on big studio films in Hollywood and on how those experiences shaped his own approach to directing.
Mike Figgis is an Academy Award nominated film director, writer, and composer. His films include, Suspension of Disbelief (2013), Love Live Long (2008), Cold Creek Manor (2003), Hotel (2001), Miss Julie (1999), One Night Stand (1997), Leaving Las Vegas (1995), The Browning Version (1994), Internal Affairs (1990) and Stormy Monday (1988).
The series is produced by Sasha Yevtushenko.
First broadcast in February 2012.
FRI 23:00 World on 3 (b036j5t0)
Cedric Watson at the 2013 Shetland Folk Festival
Mary Ann Kennedy with tracks from across the globe, plus Louisiana creole singer Cedric Watson in concert at the Shetland Folk Festival.
Singer, fiddle player and accordionist Cedric Watson warms up the British Legion Hall in Lerwick, Shetland with the warm sunshine of French-American creole culture. His new album 'Le Soleil est Levé' demonstrates his love for traditional styles which he refreshes with his own new songs.
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LCK awards EPCCF contract for the 1Mtpa urea plant to South Korean engineering and construction company, DL E&C.
Leigh Creek Energy Limited (LCK) is an ASX listed energy company focussed on developing its Leigh Creek Energy Project (LCEP) that is targeting the production of syngas by in situ gasification of coal which it will then convert to urea to be sold as fertiliser.
LCK awards EPCCF contract to DL E&C
LCK has awarded the Engineering, Procurement, Construction, Commissioning and Financing (EPCCF) contract to listed engineering, procurement and construction contractor, DL E&C. The contract is for development of the full commercial stage of the Leigh Creek Energy Project (LCEP), consisting of a 1mtpa zero carbon urea production facility in South Australia with a target of reaching final investment decision (FID) by late 2022.
A letter of support from a major South Korean bank has been issued to provide debt finance for up to 70% (or approximately A$1.5b) of the Stage 2 project cost.
Concurrently, LCK will be looking to secure an offtake agreement for the urea production. We would assume a minimum contracted level would be a tonnage that covered the operating and financing costs, which will be dependent on urea pricing at the time.
Spot FOB Middle East urea prices are currently ~US$479/t or ~A$640/t (12 month forward US$446/t). The pre-feasibility study had urea pricing at ~A$380/t in Year 1 lifting to ~A$716/t in Year 10.
Capital raising
In mid–June LCK raised $18m by issuing 100m shares at $0.18, (~$16.9m post raising costs). The 100m shares each had an unlisted option attached, exercisable at $0.28 within the next three years. 10m additional options (same terms) were issued to the placement broker.
Valuation
LCK is in the early stages of project execution and thus has a number of milestones to meet before first urea is sold into the market in 2025. Given we have assumed a 70% debt funding of the Stage 2 project capex, LCK will require additional equity funding between now and a fully commissioned plant.
Our base case valuation assumes LCK sells down ~40% of the LCEP equity at a 25% discount to our FY26 project equity value to minimise equity issuance between now and FY26.
We have adjusted our valuation reflecting the 100m new shares issued at $0.18 and the 110m options forecast to exercise at $0.28. On this basis we value LCK at A$1.28 (previously $1.44) in FY26.
We discount back the FY26 valuation at our forecast cost of equity to give a A$0.51 (previously $0.57) valuation today.
Leigh Creek Energy Limited (LCK) is an ASX listed energy company focussed on developing its Leigh Creek Energy Project (LCEP), located 550km north of the capital city of Adelaide in the state of South Australia. LCEP is targeting the production of syngas by in situ gasification of coal which it will then convert to urea to be sold as fertiliser.
https://www.lcke.com.au/
LCK Share Price (A$)
Source: FactSet
David Fraser email@example.com
Financial data table
Source: Company data, MST Access
Investment Thesis:
LCK is an ASX listed energy company focussed on developing the Leigh Creek Energy Project (LCEP), located 550km north of Adelaide in South Australia. LCEP is targeting the production of syngas by in situ gasification (ISG) of underground coal which it will then convert to urea to be sold as fertiliser.
Please find our initiation on LCK on the MST Access website:
https://www.mstaccess.com.au/research-notes/
Global demand for urea
The world's population is expected to increase by 2 billion people in the next 30 years, from 7.7 billion to 9.7 billion. With a growing population comes an increase in demand for agricultural produce with farmers needing to produce more, using less land and less water. Every time a crop is harvested, vital nutrients are removed from the soil. Applying urea is one of the most common way to replace these nutrients. Commercial fertilisers increase yields by 30 to 50% in crops such as wheat, barley and rice.
Urea is one of the most popular fertilisers as it has a high nitrogen content (one tonne of urea contains 460 kg of nitrogen), is easy to transport and apply and is quickly absorbed by plants.
In Australia 20,000 farmers apply urea to more than 11 million hectares of land annually consuming approximately 2 Mtpa. Of the 2 million tonnes of urea used in Australia each year, 95% is imported from the Middle East and Asia.
How will LCK meet the global demand for urea?
Leigh Creek Energy's (LCK) flagship project is the Leigh Creek Energy Project (LCEP). It is proposed the LCEP will initially produce 1 Mtpa of urea (with the potential to increase to 2 Mtpa) from a dedicated facility at a low cash cost using syngas sourced from its wholly owned resources.
LCEP plans to send granular urea by rail and sea to domestic markets. Excess urea outside of the main demand seasons in Australia will be exported overseas.
LCK competitive advantages
We believe LCEP urea will be globally competitive because:
* LCEP will be a low-cost producer - LCEP operating costs will be very competitive as it forecasts it can produce syngas (mixture of methane (CH4), hydrogen (H2), cabin monoxide (CO) and carbon dioxide (CO2)) on site for as little as A$1 per gigajoule, putting the project in the lowest cost quartile of global urea producers.
* The inputs for urea production are on site - Urea operations are proposed to be vertically integrated as gas and electricity will be produced on site. This eliminates commodity and supply risks associated with buying gas and power for urea production
* LCEP will have a reliable supply of syngas - Syngas has been successfully produced at LCEP using in-situ gasification (ISG) during the project's pre-commercial demonstration phase. Leigh Creek geology is ideally suited for ISG due to the nature of the coal resource and the local geology.
* It has 30+ years of gas reserves - Exploration and production permits have 1,153 PJ of 2P gas reserves based on 31% of the project's coal resources of 301.2 Mt coal. The reserves are sufficient to operate a 1Mtpa urea plant for 30 years plus.
* LCEP has access to infrastructure - The Leigh Creek site has access to existing road and rail infrastructure for transport to domestic and export markets. LCK believe that LCEP urea will be competitive in the wholesale Australian market as it will be cheaper, faster to market and less risky for urea traders than importing it from the Middle East and Asia. LCEP plans to export a proportion of its urea to take advantage of both the autumn-winter Australian season and the spring-summer Asian market. Ports accessible from Leigh Creek are central to the main Australian urea markets.
Forecast near term activities
The timelines show LCK's commercial development milestones for its upstream and downstream developments.
During the March quarter 2021, the Final Investment Decision (FID) was approved for Stage 1 of the LCEP.
The announcement that LCK has awarded the Engineering, Procurement, Construction, Commissioning and Financing (EPCCF) contract to engineering, procurement and construction contractor, DL E&C Co has progressed Stage 2 with a target of reaching final investment decision (FID) by late 2022.
Figure 1 – LCEP proposed timeline comprises two key development workstream stages
Source: Company
Source: Company
Stage 1 - Initial syngas production and small-scale power generation
During the March quarter 2021, the Final Investment Decision (FID) was approved for Stage 1 of the LCEP.
Stage 1 comprises drilling further wells, generating syngas and installing a small power plant to use the gas. Once the Stage 1 wells have been drilled, the gasifiers will be initiated and developed to produce syngas. The syngas will be fed into the small power plant and the electricity generated will be used to power electric driven compressors and the balance will be monetised by selling into the grid or directly to an end user. This process will avoid using diesel generators and flaring ramp up gas which will minimise CO2 generation and reduce operating costs.
Following FID approval, the Company commenced its EPCM work program and procurement of long lead time items, such as electricity generators casing and compressors. As part of Stage 1 work programs, drilling services have been awarded to inGauge Energy, an Australian onshore drilling and completions project company.
Source: Company
The scope of inGauge's engagement includes:
* Investigating options for well design and integrity measures based on the LCK gasifiers design
* Procurement (tender scope, specifications, recommendation and assistance) of drilling contractors
* Managing approval requirements in conjunction with LCK
* On site drill operations management
Prudentia has been awarded the engineering and design contract and will manage selection, engineering, construction and commissioning of above ground facilities.
The scope of Prudentia's engagement includes:
* Technology selection, engineering and design development
* Development and tracking of project controls including schedule and budget
* Development of documents, specifications, and drawings for use with procurement and construction activities
* Development of scope of work packages and management of procurement activities
* Construction and commissioning support
LCK has an established relationship with inGauge and Prudentia, as both companies worked on the 2018 precommercial demonstration project.
As part of Stage 1, LCK has prepared the Environmental Impact Report (EIR) and Statement of Environmental Objectives (SEO) for the Leigh Creek Energy Project Stage 1 Commercial Development on Petroleum Production Licence 269.
EIR submission: https://www.lcke.com.au/Portals/87/Content/Documents/2020/LCKE-EIR-Stg-1-Comcl-Develpmnt20201222.pdf
SEO submission: https://www.lcke.com.au/Portals/87/Content/Documents/2020/LCKE-SEO-Stg-1-Comcl-Develpmnt20201222.pdf
LCK has formally submitted the reports for assessment to the South Australian Department of Energy and Mining (DEM).
Stage 2 – Large scale syngas and urea production
LCK has awarded the Engineering, Procurement, Construction, Commissioning and Financing (EPCCF) contract to engineering, procurement and construction contractor, DL E&C. The contract is for development of the full commercial stage of the Leigh Creek Energy Project (LCEP), consisting of a 1mtpa zero carbon urea production facility in South Australia with a target of reaching final investment decision (FID) by late 2022.
A letter of support from a major South Korean bank has been issued to provide debt finance for up to 70% (or approximately A$1.5b) of the Stage 2 project cost.
Concurrently, LCK will be looking to secure an offtake agreement for the urea production.
DL E&C is a leading global engineering, procurement and construction contractor with deep technical expertise and corporate capability.
DL E&C has successfully completed more than 600 projects of construction, civil engineering, and chemical plant projects in 35 countries worldwide
Key terms of the contract
DL E&C will manage the LCEP Bankable Feasibility Study (BFS) and Front End Engineering & Design (FEED) stages, ahead of the Final Investment Decision (FID).
Once FID is achieved and all relevant key engineering data and project execution documents are finalised with LCK, DL E&C will then perform the engineering, procurement construction and commissioning of the urea production facilities.
Under the contract the turnkey price of the EPCCF will be approximately 70% (or approximately A$1.5b) debt funded, the major portion of which will be funded by South Korean banks but with the potential for involvement of other multinational banks.
Investors will keen to understand when the final financing is agreed
* what the level of gearing (could it be greater than 70%), and
* the timing of the equity component.
The finance will be provided subject to usual commercial terms and is dependent on a positive FID. The remaining 30% will be funded by a mixture of debt and equity.
Next Steps
DL E&C will make an immediate start on the BFS. The FEED will then follow with a target FID in late 2022.
We estimate that for a scope of work like this, the engineering company will typically be paid ~1.5% - 2.0% of the forecast project cost. Based on a forecast LCEP construction capital expenditure number of A$2.25b, this equates to A$34m – A$45m.
This would likely be split:
* 15% on signing (A$5m – A$7m), FY22
* 25% on signing of final investment decision (A$9m – A$11m), FY23, and
* the balance (A$21m – A$27m) on project construction completion, FY25.
Funding requirements over the next 24 months, FY22 & FY23
Corporate overheads
Cash corporate overheads, exploration and evaluation costs have been running at ~A$1.5m - A$2.0m per quarter over the last couple of years, so circa A$8.0m per annum. Given new hires and a step up in work associated with Stage 1 and Stage 2 progression we have assumed corporate costs will move up to ~A$10m in the medium term, so A$20m over FY22 and FY23.
Stage 1 development
We forecast ~A$15m will be required to fund the drilling and construction of the initial gasifier chambers ($6.5m), additional seismic ($1.0m), and associated production plant and the purchase of a small power plant ($6m) to demonstrate project proof of concept.
Stage 2 development
We forecast up to ~A$15 - A$20m will be required to fund the first two milestone payments for the Stage 2 feasibility study to be carried out by DL E&C in FY22 and FY23.
FY22 & FY23 cash spend
Thus, we forecast LCK's cash spend over the next two years will be ~A$50m - A$55m (not including any Stage 2 construction work).
Equity funding
Energy Exploration Capital Partners placement
LCK completed a $6.5m capital raise ($6m post fees) by way of a placement to Energy Exploration Capital Partners (EECP) in January 2021. EECP has granted LCK an unilateral option to place an additional $13m of shares to EECP to raise and additional $12m net of fees.
Mid-June equity placement
In mid–June LCK raised $18m by issuing 100m shares at $0.18, (~$16.9m post raising costs). The 100m shares each had an unlisted option attached, exercisable at $0.28 within the next three years. 10m additional options (same terms) were issued to the placement broker.
Following both recent capital raises we forecast LCK will have ~$20m of cash at FY21 year end.
Forecast requirements
Thus, based on our forecasts and LCK's existing cash position we forecast the company will need additional equity of ~A$20m ~ A$25m, assuming the EECP option is exercised, or ~A$30m ~ A$35m if the EECP option is not exercised.
Our forecasts assume ~$40m of equity issuance over the next two years (previously $60m).
Leigh Creek Energy Valuation
The LCK valuation is dependent on the LCEP valuation (see initiation) and more importantly how the project is funded.
Our LCEP valuation is unchanged from our initiation where we forecast an equity value for 100% of the project at A$2,524m.
Capital structure
LCK currently has 827.5m shares on issue (712.6 m at initiation) and ~177m options outstanding (76.9m at initiation) (See Appendix 1).
LCK completed a ~$6.5m capital raise ($6m post fees) by way of a placement to Energy Exploration Capital Partners (EECP) in January 2021. Under the terms of the placement EECP can choose the timing of the issuance. (See Appendix 2 for more detail on terms of the raise).
To date EECP has been issued 35m shares at $0.14 ($4.9m) so has $1.1m of shares from the first placement to be issued.
EECP has granted LCK an unilateral option to place an additional two tranches of shares to EECP for A$12m. See Appendix 2.
Equity funding required and LCK valuation
LCK is in the very early stages of project execution and thus has a number of milestones to meet before first urea is sold into the market in 2025.
Given we have assumed a 70% debt funding of project capex LCK will require additional equity funding between now and a fully commissioned plant.
Options include equity capital raises and /or partnering and a sell down of the project to fund LCK's share of the required equity contribution.
On the basis that LCK funded 100% of the project by itself, we estimate funding required between now and FY26 is ~$800m.
We forecast funding requirements through to first production in 2025 of:
* Fees payable to DL & EC (up to ~A$45m) for the Feasibility study, FEED and EPCC work and financing arrangement (we estimate these at 1.5% - 2.0% of construction cost of ~ A$2.25b),
* Stage 1 funding of ~A$15m,
* Stage 2 LCEP equity requirements of ~A$675m,
* and corporate working capital costs of ~ A$35m – A$40m. NB: From FY26 onwards we assume the corporate overhead is part of the LCEP project operating costs.
We believe raising ~A$775m of new equity between now and the LCEP commissioning in 2025 may be difficult for LCK to do on its own.
What if LCK sold down a stake in the LCEP
Our view is that it would be more attractive for existing LCK equity holders for LCK to sell down a stake in the LCEP to fund LCK's equity contribution.
Our base case valuation assumes LCK sells down ~40% of the LCEP equity at a 25% discount to our FY26 project equity value to minimise the equity funding required by existing LCK equity holders.
On this basis we value LCK at A$1.28 in FY26 or A$0.51 today (discounted back at our assumed cost of equity (Ke) of 20%.
Figure 4 – MST Forecast LCK Valuation with a 40% sell down of LCEP
Source: Company, MST Access
We have run an analysis to demonstrate LCK valuation sensitivity to the percentage of LCEP sold down and the price the required equity is raised at.
Clearly, if the LCK price lifts, the number of shares issued to raise the forecast equity requirements over FY22 and FY23 will be lower. Additionally, the higher the price the stock trades at, a greater number of options will exercise raising additional cash and thus limiting the funding required over the next two years; i.e. If all the current outstanding options exercised, LCK would issue an additional 177m shares and raise ~A$45m.
Figure 5 – MST Forecast Spot LCK Valuation at different LCEP % sell down and FY22&23 equity raise prices (A$)
| Project sell down discount to project equity value $0.51 15% 20% 25% 30% 35% | |
|---|---|
| 0.15 & price FY22 0.20 raising 0.25 Assumed 0.30 FY23 0.35 0.40 | 0.55 0.53 0.51 0.49 0.46 0.59 0.57 0.55 0.52 0.49 0.62 0.60 0.58 0.55 0.52 0.64 0.62 0.60 0.57 0.53 0.66 0.64 0.61 0.58 0.55 0.67 0.65 0.62 0.59 0.56 |
Source: Company, MST Access
Risks to our forecasts and valuation
Key risks to our financial forecasts and valuation include:
* Capital cost of the project and project delays.
* Regulatory approvals.
* Technical success and urea production rate being achieved.
* Company and project funding.
* Competition from new and existing players.
* Global urea pricing.
* Foreign exchange rates impacting urea pricing and A$ sales.
* Raw feed costs – successful operation of gasifiers and syngas composition.
* Risk of adverse events, product quality or other safety issues.
* Key management personnel and employees.
* General economic conditions impacting on urea demand.
Page 10
Appendix 1 – Capital structure and outstanding options
We have assumed for valuation purposes LCK trades at our valuation before FY26 so all the options exercise and A$45m of cash is raised.
Figure 6 – Leigh Creek Energy Capital Structure
Source: Company
Page 11
Appendix 2 – Energy Exploration Capital Partners (EECP) Equity terms
LCK will issue placement shares in relation to all or part of each of the second and third investments on the EECP's request, within 24 months of the date of the corresponding investment. The number of shares issued by LCK will be determined by applying the Purchase Price (as set out below) to the subscription amount prepaid by the Investor.
The Purchase Price will be the average of the five-day volume-weighted average prices selected by EECP during the 20 consecutive trading days immediately prior to the date of EECP's notice to issue shares, less a 10% discount (or a 13% discount if the Placement Shares are issued after 4 January 2022) (rounded down to the next one tenth of a cent, or if the share price exceeds $0.20, the next half a cent).
The purchase price will not be the subject of a cap. LCK has put strict protections in place regarding EECP's activities, such as trading restrictions and anti-shorting provisions. In addition, EECP is incentivised to see LCK's share price grow through being an option holder (with the options being issued at a substantial premium (see below)).
LCK will have the right to refuse an issuance of shares in relation to EECP's request for issuance and instead to repay the subscription amount by making a payment to EECP equal to the number of shares that would have otherwise been issued by the greater of the purchase price and the market value of the placement shares at that time. Notwithstanding LCK's exercise of its option to receive the Second Investment and/or the Third Investment, EECP will not be obligated to provide the additional funding if the market price of LCK's shares is below $0.085 (in relation to the Second Investment) or $0.14 (in relation to the Third Investment) and does not recover to above that level within two months after the Investor providing LCK with notice thereof.
LCK made an initial issuance of 6.75m placement shares to EECP at the time of the funding of the first placement, towards the ultimate number of placement shares to be issued. Alternatively, in lieu of applying these shares towards the aggregate number of the placement shares to be issued by LCK, EECP may make a further payment to LCK equal to the value of these shares determined using the purchase price at the time of the payment.
If LCK proceeds with the Second Investment and the Third Investment, net proceeds from the Second Investment and the Third Investment will not exceed 8% of LCK's market capitalisation (each), without EECP's consent.
Neither EECP nor LCK has any obligation in relation to the Second Investment or the Third Investment unless LCK exercises its option to put these investments to EECP.
In order to exercise its option in relation to each of the Second Investment and the Third Investment, LCK must have sufficient placement capacity to receive the investment at the time it exercises its option to receive the investment, obligating EECP to provide the funding relating to that investment. LCK will determine whether to exercise the option in relation to the Second Investment or the Third Investment, or both, prior to the deadline for its exercise, in its sole discretion.
LCK has agreed to issue 4,029,851 shares in satisfaction of a fee payable to the Investor and to grant 9.8 million options exercisable at $0.236 (representing a 140% premium over the prevailing market price) to the Investor.
Disclaimers
MST Access is a registered business name of MST Financial Services Pty Ltd (ACN 617 475 180 "MST Financial") which is a limited liability company incorporated in Australia on 10 April 2017 and holds an Australian Financial Services Licence (Number: 500 557). This research is issued in Australia through MST Access which is the research division of MST Financial. The research and any access to it, is intended only for "wholesale clients" within the meaning of the Corporations Act 2001 of Australia. Any advice given by MST Access is general advice only and does not take into account your personal circumstances, needs or objectives. You should, before acting on this advice, consider the appropriateness of the advice, having regard to your objectives, financial situation and needs. If our advice relates to the acquisition, or possible acquisition, of a particular financial product you should read any relevant Product Disclosure Statement or like instrument.
This report has been commissioned by Leigh Creek Energy Limited and prepared and issued by David Fraser of MST Access in consideration of a fee payable by Leigh Creek Energy Limited. MST Access receives fees from the company referred to in this document, for research services and other financial services or advice we may provide to that company. The analyst has received assistance from the company in preparing this document. The company has provided the analyst with communication with senior management and information on the company and industry. As part of due diligence, the analyst has independently and critically reviewed the assistance and information provided by the company to form the opinions expressed in the report. Diligent care has been taken by the analyst to maintain an honest and fair objectivity in writing this report and making the recommendation. Where MST Access has been commissioned to prepare Content and receives fees for its preparation, please note that NO part of the fee, compensation or employee remuneration paid will either directly or indirectly impact the Content provided.
Accuracy of content: All information used in the publication of this report has been compiled from publicly available sources that are believed to be reliable, however we do not guarantee the accuracy or completeness of this report and have not sought for this information to be independently verified. Opinions contained in this report represent those of MST Access at the time of publication. Forward-looking information or statements in this report contain information that is based on assumptions, forecasts of future results, estimates of amounts not yet determinable, and therefore involve known and unknown risks, uncertainties and other factors which may cause the actual results, performance or achievements of their subject matter to be materially different from current expectations.
Exclusion of Liability: To the fullest extent allowed by law, MST Access shall not be liable for any direct, indirect or consequential losses, loss of profits, damages, costs or expenses incurred or suffered by you arising out or in connection with the access to, use of or reliance on any information contained on this note. No guarantees or warranties regarding accuracy, completeness or fitness for purpose are provided by MST Access, and under no circumstances will any of MST Financial's officers, representatives, associates or agents be liable for any loss or damage, whether direct, incidental or consequential, caused by reliance on or use of the content.
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PRINCIPLES ON RESPONSIBLE SHARING OF TRUTHFUL AND NON-MISLEADING INFORMATION ABOUT MEDICINES WITH HEALTH CARE PROFESSIONALS AND PAYERS
INTRODUCTION
In the era of data-driven medicine, where all parties seek more, not less, information about the safety, effectiveness, and value of treatments, fostering informed communications among all stakeholders is critical. Today, the wealth of information about medicines is more comprehensive and complex than ever before. Scientific knowledge and new findings go far beyond data sets produced from clinical trials, often are outside the scope of the parameters established by Food and Drug Administration (FDA) regulations, and often outdate the FDAapproved labeling. In addition to information in the approved labeling for medicines, biopharmaceutical companies continually generate and collect important data and analyses that can benefit patient care and enhance the efficiency of our health care system.
To exercise sound medical judgment in treating patients, health care professionals must understand the full range of treatment options, including both established and emerging information about available medications. Biopharmaceutical companies are uniquely positioned to help health care professionals achieve the best outcomes for patients, because companies can provide timely, accurate, and comprehensive information about both approved and unapproved uses of the medications they research, develop, and bring to patients. PhRMA, BIO and their members believe that the availability of a wider range of truthful and non-misleading information can help health care professionals and payers make better informed medical decisions for their patients, which in turn will benefit patients.
In order to support the best use of scientific information for patient care, PhRMA and BIO endorse these Principles on Responsible Sharing of Truthful and Non-Misleading Information About Medicines with Health Care Professionals and Payers. These Principles are intended to form the basis for defining new and clear regulatory standards governing responsible, truthful and non-misleading communications to inform health care professionals about the safe and effective use of medicines. The Principles pertain primarily to data and information outside of FDAapproved labeling, and are intended to establish responsible, science-based parameters for accurate and trusted information sharing.
KEY CONCEPTS OF THE PRINCIPLES INCLUDE OUR MEMBERS':
* Commitment to Science-based Communication. Communications should be based on analyses using scientifically- and statisticallysound methodologies. There are many types of data and analyses that are scientifically- and statistically-sound, and thus can support truthful and non-misleading communication about medicines. These include analyses that can improve patient care based on pharmacoeconomics, usage based on real world evidence, and post hoc analyses that focus on specific sub-populations.
* Commitment to Provide Appropriate Context about Data. Communications should clearly disclose appropriate contextual information about the data presented, including information about limitations of the data and the analyses conducted to prevent health care professionals and payers from reaching inaccurate conclusions or forming misimpressions about the efficacy or safety of a medicine.
* Commitment to Accurate Representation of Data. Limitations on communications should be based principally on ensuring that data are represented accurately, which includes disclosing limitations of the data and the scientific and analytical methodologies used. Communications and underlying information can be truthful and non-misleading without regard to the identity of the speaker.
Finally, robust scientific discourse is critical to scientific progress and advances in public health. Current law fosters scientific discourse and debate in various settings, such as scientific presentations or other scientific communications during major medical association conferences and publication of peer-reviewed scientific and medical journal articles. These forms of scientific communications fall outside of the FDA's oversight, and the Principles described here do not apply to them.
PRINCIPLES:
1. Commitment to Accurate, Science-Based Communications
Biopharmaceutical companies should communicate accurate information based on established medical and scientific methodologies. Companies should not share information unless it is based on scientifically- and statistically-sound methodologies.
SCENARIO 5 IN APPENDIX B ILLUSTRATES THIS PRINCIPLE.
2. FDA-Approved Labeling is a Primary Source in Sharing Information with Health Care Professionals About Medicines
Communications about a medicine are truthful and non-misleading if they accurately and fairly describe information contained in its FDAapproved labeling. Companies should continue to use the FDA-approved labeling as a primary source in communicating to health care professionals about approved medicines. In communicating information from the FDA-approved labeling, companies must fairly describe both the efficacy and the safety profile of the medication, including important risks.
SCENARIO 14 IN APPENDIX B ILLUSTRATES THIS PRINCIPLE.
3. Companies Should Provide Scientific Substantiation if Shared Information is Not Contained in FDA-Approved Labeling
Health care professionals rely on a wide range of data from a variety of sources to inform patient care. There are many types of data and analyses that are scientifically- and statistically-sound, and thus can support truthful and non-misleading communication about medicines. When communicating evidence based on clinical research other than in the form of adequate and well-controlled trials, companies should disclose sufficient information for the audience to understand the specific research and any limitations. It is particularly important for a company to portray accurately the applicable methodologies and data, which can include limitations in the study methodology and/or statistical results.
To help ensure that physicians and other trained health care professionals can appropriately weigh data that are not contained in the FDAapproved labeling for a drug, companies should make appropriate disclosures, including the following:
* The design and implementation of the study (including the patient populations included and excluded, the total number of patients evaluated, the length of the study, the primary and key secondary endpoints, and whether the study met those endpoints);
* Significant limits on the study methodology (e.g., whether and how the study methodology may be subject to potential sources of bias or other weaknesses);
* The statistical analysis plan;
* Limitations of the statistical results (e.g., the statistical significance of the data and whether the results can be generalized); and
* Other relevant evidence that is necessary to an informed medical judgment, including peer-reviewed contrary evidence.
Companies should disclose information as part of the oral or written communication sufficient to ensure that the communication is not misleading, and may direct health care professionals to a website or other source for more comprehensive information. 1
SCENARIOS 1 AND 2 IN APPENDIX B ILLUSTRATE THIS PRINCIPLE.
4. Additional Science-based Information from Sources Other Than FDA-Approved Labeling Helps Health Care Professionals and Payers Make Informed Decisions for Patients
PhRMA, BIO and their members believe that the availability of a wider range of truthful and non-misleading information can help health care professionals and payers make better informed medical decisions for their patients, which in turn will benefit patients. Sources for such additional information include:
1 Such information may be password-protected to ensure that it may be accessed only by health care professionals.
* Data from randomized, controlled clinical trials;
* Pharmacoeconomic information;
* Post hoc analyses of clinical trial results, including sub-population analyses;
* Observational data and real world evidence; and
* Physician treatment guidelines 2
PhRMA, BIO and their members can and should be able to communicate truthful and non-misleading information from these additional sources in a responsible manner. To ensure that health care professionals are able to make informed judgments based on the information provided, it may be necessary for the company to include a variety of disclosures and disclaimers. Therefore, when communicating information not in the FDA-approved labeling, companies should include contextual information that allows health care professionals fully and fairly to assess the significance of, and any limitations upon, the evidence presented. 3 The contextual information provided by a company to ensure that a communication is truthful and non-misleading will vary based on several factors, including:
* The complexity of the information presented;
* The underlying scientific research supporting it;
* The existence of other research reaching different results; and
* The sophistication of the audience;
SCENARIOS 1-4 AND 7 IN APPENDIX B ILLUSTRATE THIS PRINCIPLE.
5. Communications Should Be Tailored to the Sophistication of the Intended Audience
To communicate information in a truthful and non-misleading manner, biopharmaceutical companies should carefully consider the level of sophistication of the intended audience. For example, the training and experience regarding the subject addressed in the communication may vary among different types of health care professionals (e.g. ranging from general practitioners to health care professionals who work for payers and routinely review pharmacoeconomic analyses). Companies can and should determine the sophistication of the health care professionals who receive the companies' communications. Companies can and should tailor their communications based on that determination, providing more detailed contextual information for audiences that require additional background to evaluate the relevance and significance of the information presented.
SCENARIO 10 IN APPENDIX B ILLUSTRATES THIS PRINCIPLE.
6. Science-based Information About Alternative Uses of Medicines Can Improve Health Care Decision-Making
There exists a wealth of important information about the approved uses of medicines. In addition, respected third-parties, such as national medical associations and compendia services, often publish compendia or treatment guidelines that recommend or describe uses of medicines to treat patients outside the FDA-approved labeling. Recognizing the public health value of such alternative uses of approved medicines, public and private insurers often reimburse for them, and an estimated 21 percent of prescriptions by health care professionals are for alternative uses of approved medicines.
Biopharmaceutical companies are expected to collect the most comprehensive and up-to-date clinical information about their medicines— including information on alternative uses beyond the approved indication or dosing. Because this information can help health care professionals make informed decisions about the best treatments for their patients, companies should be able to communicate about such medically accepted alternative uses in a truthful and non-misleading manner.
2 Several of these sources of information are described in greater detail in Appendix A.
3 Biopharmaceutical companies should not be hesitant to publish new scientific developments; however, publication should not be a prerequisite to truthful and non-misleading communications about such new developments.
Furthermore, companies must be able to participate fairly in the medical and policy discourse about the appropriate use of their medicines – even if communications include information outside of the FDA-approved labeling. This is especially true when other stakeholders conduct research about a company's product and communicate about it publicly. In such instances, the company should be able to respond in a truthful and non-misleading manner.
As with any other type of information not included in FDA-approved labeling, company communications about alternative uses of medicines should disclose sufficient information to permit health care providers to assess the significance of, and limitations on, the evidence supporting such alternative uses. When communicating about alternative uses of medicines to appropriately sophisticated audiences, companies should disclose, among other things:
* The regulatory status of the medicine (e.g., FDA-approved, FDA-approved for another use, not FDA-approved);
* The underlying scientific research supporting such alternative uses (e.g., one or more adequate and well-controlled clinical trials, scientifically-sound post hoc analyses of clinical trial results (including sub-population analysis), open label extensions of clinical trials, registration studies, real-world evidence, etc.);
* Limitations on study methodologies and resulting data; and
* The relevant evidence that is necessary to an informed medical judgment, including peer-reviewed contrary evidence.
Companies should include these disclosures with the oral or written communications.
SCENARIOS 6, 7, AND 8 IN APPENDIX B ILLUSTRATE THIS PRINCIPLE.
7. Communicating with Payers About New Medicines and New Uses of Approved Medicines Facilitates Patient Access Upon Approval
Prompt access to new medicines, or to approved medicines with new indications, can be critical to patient care. This is particularly true when the new medicine or new indication is a breakthrough in treating a life-threatening disease or where the new drug is safer or more effective than existing treatment. Therefore, biopharmaceutical companies should be able to communicate certain information to insurance providers, pharmacy benefit managers and government health care programs, so they may consider whether to reimburse for the medicine and account for the potential cost of the new medicine. For example, a company should be able to describe the company's research and development pipeline, the status of any FDA applications, the anticipated use(s) of the company's pipeline products, relevant data from the clinical trials, applicable treatment guidelines, and pharmacoeconomic information. Any such description should make clear that the FDA has not yet approved the drug, the particular use, or the information being conveyed.
SCENARIOS 9, 10 , AND 11 IN APPENDIX B ILLUSTRATE THIS PRINCIPLE.
8. Real-World Evidence Based on Patient Experience and Pharmacoeconomic Information Can Improve Understanding of Health Outcomes and Costs
Many health care organizations, including insurance providers, managed care organizations, pharmacy benefit managers, government health care programs, hospital systems, accountable care organizations, and integrated delivery networks make decisions on health care delivery across large populations. These organizations possess patient data relating to real-world uses of approved medicines, conduct their own research on such data, and may wish to collaborate with biopharmaceutical companies to determine the overall impact of medicines in specific patient populations. Real-world evidence—evidence derived from data gathered from actual patient experiences— can help improve our understanding of disease and health. 4 For example, modeling long-term endpoints and effects on different populations can help payers and health systems understand expected benefits for patients.
So long as the research methods are sound and well-described, companies should be able to communicate truthful and non-misleading
4 See Robert M. Califf & Rachel Sherman, What We Mean When We Talk About Data (Dec. 10, 2015), available at http://blogs.fda.gov/fdavoice/index. php/2015/12/what-we-mean-when-we-talk-about-data/?source=govdelivery&utm_medium=email&utm_source=govdelivery.
information about analyses of real world data with payers and health systems. These organizations are very sophisticated about such analyses and can evaluate the significance and limitations of the results.
SCENARIO 12 IN APPENDIX B ILLUSTRATES THIS PRINCIPLE.
9. Commitment to Share Information Published in Scientific or Medical Journals
FDA has recognized that sharing reprints of peer-reviewed scientific or medical journal articles reporting clinical research about alternative uses of approved drugs serves important public health and policy goals. FDA therefore has issued recommendations concerning "Good Reprints Practices" permitting dissemination of peer-reviewed reprints to health care professionals. PhRMA, BIO and its members support FDA's continued focus on providing concrete guidance regarding the types of disclosures and other steps manufacturers should take to disseminate information about unapproved uses without risking regulatory or even criminal enforcement. Nevertheless, certain of FDA's recommended practices would restrict truthful and non-misleading communication with health care professionals and ultimately risk delaying the provision of timely, educational, and accurate information to health care professionals about certain unapproved uses, many of which are medically accepted and indeed even the standard of care for certain diseases. For example, biopharmaceutical companies should be able to share journal articles about research that they sponsor about their own medications as well as reprints of research sponsored by others.
The same public health and policy justifications set forth in the Good Reprint Practices also apply to oral or written summaries of such reprints. Therefore, in addition to disseminating reprints, company representatives should be able to describe information presented in such reprints. To help ensure that physicians and other trained health care professionals can appropriately weigh such oral or written summaries of data contained in a medical or scientific reprint, companies should include appropriate disclosures, including the following:
* Accurate and balanced information about the approved product labeling (including the indication, limitations of use, efficacy and safety data described therein);
* The type of research that is the subject of the reprint (including the study design, method of analysis, and appropriate, contextspecific disclosures regarding the limitations with retrospective meta-analysis);
* The results reported in the reprint, including the statistical significance and confidence intervals of each result;
* Information about the source of funding for the reprint; and
* Other relevant evidence that is necessary to an informed medical judgment, including peer-reviewed contrary evidence.
SCENARIO 13 IN APPENDIX B ILLUSTRATES THIS PRINCIPLE.
5 The company should disclose the trial design and analytical methodology used in the study, including any limitations of the methodology. The company should not simply direct the health care professional to the reprint for a description of the study design and analytical methodology.
APPENDIX A
TYPES OF INFORMATION ABOUT MEDICINES
In addition to information contained in the FDA-approved labeling for medicines, biopharmaceutical companies continually generate and collect the following types of information about medicines. Responsible sharing of information, including the following categories, can improve patient care and the efficiency of the health care system:
* Data from randomized, controlled clinical trials – Scientifically rigorous and FDA-regulated clinical studies, including Phase I - IV clinical trials, evaluate pre-specified endpoints under a clearly defined analysis plan. Clinical trials are among the most reliable tools in evaluating the safety and effectiveness of medicines. The results often are independently peer-reviewed and published; however, only a fraction of the data from these studies is contained in the FDA-approved labeling.
* Post hoc analyses, including sub-population data – Randomized controlled clinical trials and observational studies often collect information on the safety and effectiveness of medicines in subpopulations, including specific gender and ethnic cohorts. The analysis of these data often occurs after the conclusion of the trial, as the subpopulation data may not have been pre-specified endpoints or part of the original plan of analysis. If the trial has met its primary endpoint, this specific sub-population information can help health care professionals develop treatment strategies based on more precise safety and efficacy data for a particular cohort of patients.
* Observational data and real-world evidence – A growing amount of information is gathered from claims data, electronic medical records, or patient registries that can provide specific and up-to-date information about the actual use of approved medicines. Observational data, comparative effectiveness research, and other real-world evidence can help clinicians understand how medicines perform across a diverse patient population outside of controlled trials. Such data may reflect prescribing patterns in different clinical practice settings, alternative doses, and differing durations of treatment, as well as comparisons between two or more therapies.
* Pharmacoeconomic information – Health care economic data demonstrating the value of medicines can be obtained from clinical trials, observational studies, reviews of medical record databases, or other predictive modeling techniques. This information can include analyses of outcomes from patient population data sets, cost-effectiveness models, and budget models. Such information can help improve the efficiency of patient care and of the health care system, as well as better inform payers regarding the budget implications of coverage decisions.
EXAMPLES OF RESPONSIBLE SHARING OF TRUTHFUL AND NON-MISLEADING INFORMATION IN VARIOUS COMMUNICATION SETTINGS
The following hypothetical scenarios are meant to illustrate how companies may apply the Principles described in this document under new regulatory standards governing responsible information sharing with health care professionals. These scenarios demonstrate that responsible sharing of truthful and non-misleading information is highly fact-specific.
Scenario 1:
After receiving approval for a drug indicated for the reduction of chemotherapy-induced nausea, a biopharmaceutical company conducts a Phase IV randomized, controlled clinical trial using pre-specified clinical endpoints to evaluate the average duration of efficacy for the approved course of therapy. This is a new efficacy measure, not included in the FDA-approved labeling. The study meets its primary and secondary endpoints. FDA has not expressed views on the study, and the company has not sought to include the new data in the labeling. No randomized, controlled studies conflict with this study. To communicate the results of this trial to prescribing physicians in a truthful and non-misleading manner, the company should disclose, among other things, (a) the study design (including the number of patients in each study arm, the inclusion and exclusion criteria, the prespecified primary and key secondary endpoints, and whether the study met those endpoints) and the statistical significance and confidence interval of the results on the key endpoints; (b) pertinent safety results; (c) that the information is based on only one randomized, controlled trial; and (d) that the study is not included in the product's package insert and that FDA did not consider it in approving the product. The company should summarize these disclosures in the oral or written communications, and can refer the health care professional to a website for more comprehensive information about the study. This scenario implicates Principles 3 and 4.
Scenario 2:
Scenario 3:
After receiving approval for a drug's use in adult patients, a biopharmaceutical company submits a supplemental NDA for an additional use in children. The company conducts a randomized, controlled clinical trial on the second use, and the study meets the pre-specified endpoints. FDA acknowledges that the clinical trial demonstrated the safety and efficacy of the drug in the tested population, but there will be a delay with an update to the approved labeling addressing these additional data. Another study conducted by independent investigators presents contrary evidence about the efficacy of the drug in children. To communicate the results of the trial it conducted to prescribing physicians in a truthful and non-misleading manner before the FDA approves updated labeling, the company should disclose, among other things: (a) the study design, number of patients studied, and key exclusion criteria; (b) the results of the pre-specified primary and key secondary endpoints (including p values and confidence intervals); (c) pertinent safety results; (d) the existence of only one randomized, controlled trial supporting the information; (e) the lack of any reference to the study in the labeling; (f) regulatory status; and (g) other evidence that is necessary to an informed medical judgment, including peer-reviewed contrary evidence (including p values and confidence intervals). The company should summarize these disclosures in the oral or written communications, and can refer the health care professional to a website for more comprehensive information about the study. This scenario implicates Principles 3 and 4.
A drug for treating allergic rhinitis receives FDA approval based on a composite efficacy endpoint that measured patients' total symptom improvement over six individual symptoms. The three pivotal clinical studies that formed the basis for approval measured efficacy in the individual symptoms as tertiary endpoints. The efficacy results for four of the six individual symptoms were statistically significant. Because the studies did not designate individual symptom scores as secondary endpoints, FDA does not permit the manufacturer to include these data in the labeling, but has not otherwise expressed views on these results. To communicate this information to prescribing physicians in a truthful and non-misleading manner, the company should disclose, among other things: (a) the number of patients studied, as well as the p values and confidence intervals for all six of the symptoms evaluated; (b) the omission of individual symptom efficacy as a primary or secondary end point of the study;
(c) the prospective definition of and pre-specified analysis plan for these tertiary endpoints; (d) the inclusion or absence of a prospectively planned adjustment to control for false positives or other forms of potential bias; (e) any other risk of potential bias regarding this data; (f) pertinent safety results; and (g) FDA's decision not to include this data in the product labeling and the reasons why. The company should summarize these disclosures in the oral or written communications, and can refer the health care professional to a website for more comprehensive information about the study. This scenario implicates Principle 4.
Scenario 4:
A biopharmaceutical company manufactures a drug approved for treating symptoms of Parkinson's disease in adults. The company conducts a methodologically sound, post hoc analysis of data from the pivotal clinical trials to measure the effect of the medication on the individual symptom of pain. Pain was among the symptoms measured as part of a composite primary endpoint; however, the studies did not pre-specify individual symptom scores as a secondary or tertiary endpoint. No published studies present contradictory evidence. To communicate the results of this post hoc analysis to prescribing physicians in a truthful and non-misleading manner, the company should disclose, among other things: (a) the omission of the effect of the drug on pain as a pre-specified primary, secondary or exploratory endpoint; (b) the post hoc nature of the analysis, and its consequent failure to meet FDA's standard for an adequate and well-controlled study; (c) the pre-specified primary endpoint(s) and the results; (d) the methodology for the post hoc analysis, including (i) whether the post hoc analysis was designed to test a pre-specified endpoint in accordance with a pre-specified analysis plan, and (ii) how the study controlled for confounding factors; (e) the results of the post hoc analysis, including the statistical significance and confidence intervals; (f) pertinent safety results shown in the post hoc analysis; (g) any other risks of bias not already specified with a retrospective data analysis; and (h) the post hoc analysis is not included in the product's labeling and FDA did not consider this analysis in approving the product. The company should summarize these disclosures in the oral or written communications, and can refer the health care professional to a website for more comprehensive information about the study. This scenario implicates Principle 4.
A biopharmaceutical company conducts an open-label study in a population of 12 patients to evaluate the safety and efficacy of one of its oncology drugs for its approved indication. The study does not meet its primary safety end-point. Although the study meets one of several secondary efficacy endpoints, the result is not statistically significant. Because information about the one successful secondary endpoint is not based on scientifically- or statistically-sound methodologies, the company should not communicate this information outside of recognized contexts of scientific discourse and debate, which are outside of the scope of these Principles. This scenario implicates Principle 1. Scenario 5:
Scenario 6:
A biopharmaceutical company obtains FDA approval of a drug for treating lung cancer. The company conducts an adequate and well-controlled clinical trial for the product to determine whether it is a safe and effective treatment for pancreatic cancer. The clinical trial includes 100 patients. Of those 100 patients, half are tested with the company's product and the other half are tested with the standard of care product. In the standard of care arm, 50% of the patients achieve survival rates of more than one year, and the other 50% survive between six months and one year. In the testing arm of the study, 80% of patients achieve survival rates of more than one year and 20% of the patients survive for more than six months. Additionally, some patients in the testing arm develop liver and kidney failure, while none of the patients in the standard of care arm suffers those side effects. To communicate the results of this trial to a clinical practice guideline committee in a truthful and non-misleading manner, the company should disclose all of the above statistical information about safety and include appropriate descriptions and limitations of the study. This scenario implicates Principle 6.
At a medical conference, a biopharmaceutical company hosts a product theater to describe new scientific research relating to one of the company's products. The new research includes information from post hoc analyses of sub-population data collected under the randomized, controlled clinical trials that formed the basis for the product's approval. This sub-population analysis was not a pre-specified endpoint of the trials. Neither the company nor any independent investigators have conducted randomized, controlled clinical studies evaluating the efficacy and safety of the drug on this sub-population. The FDA has not reviewed or expressed an opinion about the company's new research. To communicate this information at the product theater Scenario 7:
in a truthful and non-misleading manner, the company should disclose, among other things: (a) the omission of the subpopulation analysis as a pre-specified primary, secondary or exploratory end-point; (b) the post hoc nature of the analysis and its consequent failure to meet FDA's standard for adequate and well-controlled research; (c) the pre-specified endpoint(s) and the results of the study in the overall study population; (d) the methodology for the sub-population post hoc analysis (including how the study controls for confounding factors); (e) all the results of the post hoc analysis (including p values and confidence intervals); (f) any risk of various types of bias not already described; (g) pertinent safety results shown in the post hoc analysis; (h) any warnings and precautions in the product labeling that specifically apply to this sub-population; and (i) the absence of any FDA review of or opinion about this new research. The company should summarize these disclosures in the oral or written communications, and can refer the health care professional to a website for more comprehensive information about the study. This scenario implicates Principles 4 and 6.
A biopharmaceutical company sponsored a phase 3 trial to expand the indication of one of its approved drugs to include rheumatoid arthritis (RA). Members of the company attend a physician medical association rheumatology conference. A principal investigator for the clinical trial sponsored by the company makes a podium presentation at the conference summarizing the results of the trial, and scientific staff of the company discuss the results with conference attendees. The scientific discourse described here is not subject to these Principles and should not be regulated by the FDA. Scenario 8:
Scenario 9:
In collaboration with a large health insurer, a biopharmaceutical company has evaluated the rate of hospitalizations for patients who use the company's cardiovascular drug for its indicated use, compared with the rate of hospitalizations for patients who use a competitor's drug, based on real-world evidence from the insurer's electronic medical records for over 200,000 adult patients nationwide. The data demonstrate that both the company's drug and the competitor's drug significantly reduced the rate of hospitalizations in patients ages 50-65. However, the competitor's drug demonstrated a higher rate of hospitalizations in this population. After communicating accurate and balanced information about use of the company's product in accordance with the approved labeling, to communicate this real-world data to additional payers in a truthful and non-misleading manner, the company should disclose, among other things: (a) the observational nature of this study, based on a review of the insurer's member data; (b) the study methodology and method(s) of statistical analysis; (c) any significant limitations of the data or the databases used; (d) the results of the study for both the manufacturer's drug and the competitor drug; (e) any pertinent safety results of this observational study; and (f) any risk of bias not otherwise described above. The company should summarize these disclosures in the oral or written communications, and can refer payers to a website for more comprehensive information about the observational study. This scenario implicates Principles 7 and 8.
Scenario 10:
A biopharmaceutical company contacts a major health plan and requests an opportunity to present information regarding its oncology product pipeline. The company's slide presentation includes a timeline showing agents that are in Phase 3, Phase 2, and Phase 1 of development, with a one-page description of each study, including the study design and primary and secondary end points. The presentation is for the pharmacy and therapeutics committee of the health plan ("P&T Committee"), whose members include physicians and doctors of pharmacy. This is a highly sophisticated audience. The respective descriptions of the studies include results of primary and secondary endpoints and statistical significance but do not make statements that any of the drugs has been determined to be safe or effective. To communicate top-level pipeline information to the this audience in a truthful and non-misleading manner, the company should disclose, among other things: (a) the lack of FDA approval; (b) the possibility that FDA will not approve some agents in the pipeline; and (c) any material safety risks identified in the clinical studies conducted to date. This scenario implicates Principles 5 and 7.
A biopharmaceutical company has submitted to FDA its NDA for an investigational oncology drug and expects approval within nine months. The company has scheduled meetings with the P&T committees of several pharmacy benefit managers and health plans to inform them that the product likely will be available within the year and to request that they consider placing it on their formularies promptly upon approval. To communicate information about the anticipated product indication, any limitations of Scenario 11:
Scenario 12:
use, and the safety and efficacy data submitted to FDA as part of the application for approval in a truthful and non-misleading manner, the company should disclose, among other things: (a) the current status of the NDA; (b) the type of research that supports the safety and efficacy for the use of the product under consideration by FDA (with appropriate, context-specific disclosures regarding the specific research); (c) any FDA opinion on the sufficiency of the evidence; and (d) other relevant evidence that is necessary to an informed medical judgment, including any peer-reviewed contrary evidence. The company should make these disclosures as part of the oral or written communication. This scenario implicates Principle 7.
A biopharmaceutical company contracts with a payer to acquire de-identified patient population data in exchange for a fair market value payment. The company then conducts a sub-group analysis on that data set. The company's analysis shows a correlation between the manufacturer's product and progression-free survival in African American patients. To communicate information about this sub-group analysis to the payer who provided the data, as well as to other payers, in a truthful and non-misleading manner, the company should disclose, among other things: (a) the study's reliance on a retrospective review of real-world evidence; (b) the observational nature of the study and the absence of a control group, resulting in the study's failure to meet FDA's standard for adequate and well-controlled research; (c) the absence of any FDA evaluation of the results; (d) the methodology for the sub-population post hoc analysis (including how the study controls for confounding factors); (e) any risk of various types of bias not already described; (f) pertinent safety results of this analysis; and (g) any warnings and precautions in the product labeling that specifically apply to this sub-population. The company should summarize these disclosures in the oral or written communications, and can refer the health care professional to a website for more comprehensive information about the study. This scenario implicates Principle 8
Scenario 13:
Independent investigators have conducted a retrospective, meta-analysis regarding the safety and tolerability of a biopharmaceutical company's drug based on results from various randomized clinical trials conducted world-wide. The results of this meta-analysis are published in a peer-reviewed journal in accordance with all of the criteria set forth above. The company has reviewed the reprint and believes the analytical methodologies used by the investigators are scientifically sound. The company could distribute reprints of this journal article to health care professionals. In addition, to communicate information about the content of the reprint during sales representative calls to health care professionals in a truthful and non-misleading manner, the company should disclose, among other things: (a) accurate and balanced information about the approved product labeling (including the indication, limitations of use, efficacy and safety data described therein); (b) the type of research that is the subject of the reprint (including the study design, method of analysis, and appropriate, context-specific disclosures regarding the limitations with retrospective meta-analysis); (c) the results reported in the reprint, including the statistical significance and confidence intervals of each result; and (d) other relevant evidence that is necessary to an informed medical judgment, including peer-reviewed contrary evidence. The company should summarize these disclosures in the oral or written communications, and can refer the health care professional to a website for more comprehensive information about the study. This scenario implicates Principle 9.
A biopharmaceutical company obtains FDA approval for a drug to treat cystic fibrosis. The Phase III pivotal study data are incorporated in the approved labeling and demonstrate statistically significant improvement in lung function. The data also show serious adverse events in 10% of the patients, including liver and kidney failure. The company can communicate the labeled data on improvement of lung function in discussions with health care professional, as well as in written materials, but also must include the information about safety risks in all such discussions and materials. All communications about the product should fairly balance the efficacy information with the risk information. This scenario implicates Principle 2. Scenario 14:
A large pharmacy benefit manager ("PBM") releases the results of comparative effectiveness research ("CER") that was based on a meta-analysis of various other studies that had previously been performed by payer-affiliated groups. The CER analysis supports using treatment options other than a biopharmaceutical company's product. The affected company has conducted its own health care economic analyses and outcomes research. The data from the company's research strongly refute the PBM's Scenario 15:
CER. The company should be able to respond to the PBM's public statements about the company's drug with information from the company's research. To communicate such information in a truthful and non-misleading manner, the company should disclose, among other things: (a) the study methodology and method(s) of statistical analysis; (b) any significant limitations of the data or the databases used; (c) the results of the study for the manufacturer's drug and any competitor drugs (if applicable); (d) pertinent safety results of this analysis; and (e) any risk of bias not otherwise described above. The company should summarize these disclosures in the oral or written communications, and can refer health care professionals to a website for more comprehensive information about the company's research. This scenario implicates Principle 4.
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http://dsps.lbcc.edu
Liberal Arts Campus (LAC)
4901 East Carson Street Long Beach, CA 90808
Pacific Coast Campus (PCC)
1 1305 East Pacific Coast Highway Long Beach, CA 90805
(562) 938-4558 voice (562) 938-4457 fax
(562) 938-3921 voice (562) 938-3272 fax
Mission
Disabled Students Programs and Services (DSPS) is dedicated to providing equal access to educational opportunities for eligible students with disabilities. DSPS is committed to providing quality support services to ensure every qualified student with a disability is afforded the opportunity to optimize her/his ability to succeed at Long Beach City College.
Services Provided to Eligible Students
Disabled Students Programs & Services (DSPS) provides the following services to qualified students who can benefit from instruction provided by Long Beach City College with specific educational support services and accommodations. The support services and accommodations must be directly related to the educational limitations presented by the disability and the educational program of the student.
Counseling
* Specialized Counseling
* Specialized Individual or Small Group Orientation
Directly Classroom Related
* Interpreter (manual/oral)
* Note taking Assistance
* Captioning in Real-time
* Test Taking Accommodations
* Specialized Tutoring Support
* Transcription Services (Braille/non-Braille)
Other Services
* Adaptive Computer Lab (High Tech Center)
* Reader Services
* Alternate Media
* Accessible Parking
* Registration Assistance
* Adaptive Equipment and Resources
* Learning Disability Assessment
* Liaison with Campus and Community Agencies
Student Rights
According to the California Code of Regulations (Title V), the Rehabilitation Act of 1973 (Section 504), and The Americans With Disabilities Act of 1990 (ADA), students with disabilities have certain rights.
* To not be denied access due to a disability.
* To receive reasonable accommodations that provides equal opportunity.
*
* To not be counseled toward "more restrictive career objectives".
To have access to auxiliary aids and/or assistive technology.
* To receive assistance from DSPS in removing any physical, academic, or attitudinal barriers.
* A qualified student with a verified disability has the right to receive reasonable academic accommodations based upon the educational limitations presented by a disability in order to have equal access to all of the activities, programs, and services provided by the College. The College faculty and staff shall not automatically reject an accommodation unless other effective, more feasible ones exist, or the identified accommodations have been determined to lower academic standards or otherwise fundamentally alter the nature of the program in question.
* To not be discriminated against due to a disability or receive any retaliatory discrimination.
* Students shall not be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity at the College.
* Receiving DSPS support services/accommodations or DSPS instruction shall not preclude a student from participating in any other course, program or activity offered by the college for which they are qualified.
* All records maintained by DSPS personnel pertaining to a student's disabilities shall be protected from disclosure and shall be subject to the Family Educational Rights and Privacy Act requirements for handling of student records. However, consent to release of information is not required as long as the disclosure is to other school officials (including instructors) within the College whom the College has determined to have legitimate educational interests. If a student wishes to file a formal complaint regarding discrimination on the basis of disability, you should contact the ADA/504 Coordinator (562 938-4512). Students may also contact the US Department of Education Office for Civil Rights.
DSPS Student Responsibilities
DSPS receives special funding to provide services to students with disabilities and is required to meet state and federal regulations. To help us comply with these regulations, students receiving DSPS services have the following responsibilities:
* to provide DSPS with the necessary documentation of a disability;
* to meet with a DSPS specialist to complete a Student Educational Contract;
* to request services in a timely fashion;
* to demonstrate measurable progress toward the goals in your Student Educational Contract;
* to return any equipment on loan from DSPS at the end of each semester (if the equipment is not returned, you will be held responsible for replacement costs) and to ensure that it is returned in good working order;
* to notify DSPS in advance of any absences from class or appointments if you are using readers, interpreters, tutors, and/or other assistants (failure to notify DSPS may result in the loss of services);
* to provide for her/his personal independent living needs or other personal disability related needs;
* to abide by the Student Code of Conduct and the Academic Honesty policy; and
* to adhere to DSPS policies for accommodations.
Student Code of Conduct at Long Beach City College
Students are responsible for abiding by the information contained in the Long Beach City College Catalog and by the Student Code of Conduct. Violations of the Student Code of Contact should be directed to Rosio Mendoza, Interim Director of Student Discipline and Student Life (562) 938-4226.
http://www.lbcc.edu/StudentAffairs/standards.cfm
Academic Honesty at Long Beach City College
The established procedure for responding to suspected incidents of academic dishonesty or other student disciplinary issues are listed in LBCC Administrative Regulation 4018 Academic Honesty.
Faculty Rights
* Classroom Behavior. All Long Beach City College students must adhere to the Long Beach City College Code of Conduct regardless of the presence of a disability. Infractions of this code should be directed to the Interim Director of Student Discipline and Student Life. If the student has been identified as a student with a disability, this information should be provided to the Director to facilitate collaboration with DSPS.
* Recording Lectures. The faculty member may request a written agreement before allowing the student to tape record the class.
* Challenging Accommodations. A faculty member has the right to challenge an accommodation request if s/he believes the accommodation is not appropriate for the class. If the accommodation would result in a fundamental alteration of the program, the institution is being asked to address a personal need, or the accommodation would impose an undue financial or administrative burden on the institution then the college may deny a request for a specific accommodation. District Policy and Administrative Regulations 4002.2 addresses the process for "Review of Requests for Academic Adjustments and Auxiliary Aids.
Faculty Responsibilities
* Shared Responsibility. As an employee of Long Beach City College, which has compliance obligations under federal laws, the faculty member shares the responsibility to provide reasonable accommodations for students with disabilities. The faculty member is a partner in helping to meet the needs of the qualified student with a disability and participates in the development of accommodations for their students.
* Confidentiality. Students with disabilities are protected under Family Education Rights and Privacy Act (FERPA) and the civil rights laws. At no time should the faculty make any statements or implications that the student is any different from the general student population.
Examples:
o Do not ask the student to come to the classroom and then leave with a test in hand.
o Do not discuss the student's needs or accommodations other than in a private place, i.e. is there a volunteer to take notes for Johnny because he has learning disability.
o Do not place the student in any obvious place to take an exam because you want to be close to them in case they have a question.
o Do not make comparisons between students with disabilities and other students.
Teaching Students with Disabilities
Students bring a unique set of strengths and experiences to college, and students with disabilities are no exception. While many learn in different ways, their differences do not imply inferior capacities. There is no need to dilute curriculum or to reduce course requirements for the disabled student. However, special accommodations may be needed, as well as modifications in the way information is presented and in methods of testing and evaluation. Faculty will be aided in these efforts by drawing upon the student's own prior learning experiences, using available college and department resources, and collaborating with the campus Disabled Student Programs & Services (DSPS).
Specific suggestions for teaching disabled students can be discussed with the DSPS Counselors, however the following general considerations may be helpful.
Identifying the Disabled Student
Determining that a student has a disability may not always be a simple process. Visible disabilities are noticeable through casual observation: an immediately recognizable physical impairment, for example, or the use of a cane, a wheelchair or crutches.
Other students may have hidden disabilities, such as hearing, legal blindness, cardiac conditions, learning disabilities, cancer, diabetes, kidney disease, and psychiatric or seizure disorders, which are not readily apparent.
Finally, there are students with multiple disabilities, which are caused by such primary conditions as muscular dystrophy, cerebral palsy or multiple sclerosis. Depending on the nature and progression of the illness or injury, it may be accompanied by a secondary impairment in mobility, vision, speech, or coordination which may, in fact, pose greater difficulties.
Some disabled students will identify themselves as such by contacting DSPS and their instructors before or early in the semester. Others, especially those with "hidden" disabilities, may not because of shame, their distaste for pity, or their fear of disbelief either about the legitimacy of their problem or the need for accommodation. Such students, in the absence of instructional adjustment, may run into trouble in their college work. In a panic
they may self identify just before an examination and expect instant attention to their needs.
The faculty member should make an announcement at the beginning of the term inviting students with disabilities to schedule appointments. If you suspect that a student has a disability, discuss the question with the student. You may find such an approach awkward, at least initially, but the end result will be extremely beneficial if the student's condition is made known at the very outset.
Partners for Success and Universal Design in Learning
DSPS strongly encourages faculty to employ teaching techniques which embrace the concept of "Universal Design in Learning." This concept originated in the world of architecture as it may apply to the creation of disability-friendly accessible features in building construction. Universal Design "is the design of products and environments to be usable by all people, to the greatest extent possible, without the need for adaptation or specialized design." Just as a wheelchair ramp provides basic access to a wheelchair user, it is also beneficial to the able-bodied instructor with a rolling cart or the traveler with a rolling suitcase. The same principals apply in the teaching and learning environment. Sample strategies include:
1. Class climate. Adopt practices that reflect high values with respect to both diversity and inclusiveness. Example: Put a statement on your syllabus inviting students to meet with you to discuss disability-related accommodations and other special learning needs.
3. UD benefits students with disabilities but also benefits others. For example, captioning course videos, which provides access to deaf students, is also a benefit to students for whom English is a second language, to some students with learning disabilities, and to those watching the tape in a noisy environment. Delivering content in redundant ways can improve instruction for students with a variety of learning styles and cultural backgrounds. Letting all students have access to your class notes and assignments on a web site benefits students with disabilities and everyone else. Planning ahead saves time in the long run.
2. Delivery methods. Use multiple, accessible instructional methods that are accessible to all learners. Example: Use multiple modes to deliver content; when possible allow students to choose from multiple options for learning; and motivate and engage students; consider lectures, collaborative learning options, hands-on activities, Internet-based communications, educational software, field work, and so forth.
Taken from "Universal Design of Instruction (UDI): Definition, Principles, Guidelines, and Examples ," Sheryl Burgstahler, Ph.D. Do-It, University of Washington
To the extent manageable, students with a disability bear the primary responsibility, not only for identifying their disabilities, but for making necessary adjustments to the learning environment. For testing arrangements and the use of department resources, the cooperation of the faculty member is vital.
Faculty-Student Relationships
Dialogue between the student and instructor is essential early in the term, and follow-up meetings are recommended. Faculty should not feel apprehensive about discussing the student's disabling condition as it relates to the course. There is no reason to avoid using terms that refer to the disability, such as "blind," and "see," or "walk." However, care should be taken to avoid generalizing a particular limitation to other aspects of a student's functioning. The disabled student will probably have had some experience with the kind of initial uneasiness you may bring to the relationship. The student's own suggestions, based on experience with the disability and with school work, are invaluable in accommodating disabilities in college.
Classroom Adjustments
A wide range of students with disabilities may be served in the classroom by making book lists available prior to the beginning of the term, by thoughtful seating arrangements, by speaking directly toward the class, and by writing key lecture points and assignments on the board.
Teaching Students with Specific Disabilities
* Vision Disabilities
* Learning Disabilities
* Communication Disabilities
* Acquired Brain Injuries
* Psychological Disabilities
* Developmentally Delayed Learners
* Mobility Disabilities
* Hearing Disabilities – see Appendix B
* Other Physical Disabilities
Practical suggestions on how to work with students with disabilities, possible accommodations, and definitions of the disabilities may be found at our interactive web application DARE to Care- http://dare.lbcc.edu/. Complete the training and receive Flex Credit.
Resources for Teachers
Alternate Media
DSPS provides alternate media for class handouts, quizzes, tests, textbooks, and videotapes for students with verified disabilities including vision impairments, dyslexia, deafness, and some other disabilities.
Alternate formats include:
* taped text
* Braille
* large print
* tactile diagrams
* closed captioned media
* electronic text or E-Text (such as Microsoft Word, Adobe PDF, Kurzweil KES, or text files).
Alternate Media simply refers to changing the way information is presented. A print document can be read aloud into a tape recorder. A video tape can have closed captions added. A textbook can be scanned into a computer, proof read, and formatted as a MS Word document. These three methods all change the format of the information, but they do not change the information itself.
Academic Accommodations and Alternate Media Syllabi Statements
DSPS recommends that instructors include the following two statements on their syllabi. The same statements are included in each semester's course schedule, the college catalog, and (beginning next academic year) on the student's printed class schedule as a footer.
Academic Accommodations: Students have the right to request reasonable modifications to college requirements, services, facilities or programs if their documented disability imposes an educational limitation or impedes access to such requirements, services, facilities or programs. A student with a disability who requests a modification, accommodation, or adjustment is responsible for identifying himself/herself to the instructor and, if desired, to the Disabled Student Programs and Services (DSPS) office. Students who consult or request assistance from DSPS regarding specific modifications, accommodations, adjustments or use of auxiliary aids will be required to meet timelines and procedural requirements established by the DSPS office.
Alternate Media: Students with a print disability--a visual limitation or reading difficulty that limits access to traditional print materials--may request printed materials in alternate media. Examples of alternate media formats include electronic format (e.g., PDF or Word file), Braille, tactile graphics, audio format, and large print. Students can make alternate media requests through the Office of Disabled Student Programs and Services.
Note-Taking
Students who cannot take notes or have difficulty taking notes adequately would be helped by allowing them to tape-record lectures, by assisting them in borrowing classmates' notes, assisting in the recruitment of a peer notetaker or by making an outline of lecture materials available to them.
Depending on the disability, a student may require the administration of examinations orally, the use of readers and/or scribes, extension of time for exams, a modification of the test formats or other adjustments. Similar considerations for out-of-class assignments may be warranted in some cases. The objective of such special considerations should always be to accommodate the student's learning differences, not to water down scholastic requirements. The same standards should be applied to disabled students as to all other students in the evaluation and assigning grades.
Test Taking Accommodations
DSPS provides alternative testing for students who have difficulty taking tests. Class tests are taken in DSPS in a distraction-reduced setting. Accommodations may include extra time, a reader, a scribe, use of a computer, enlarged print, use of assistive and/or other accommodations as determined by and authorized by a DSPS Counselor.
See Test Taking Guidelines – below
Accessible Web Pages
Why create accessible web pages?
* Because it's the right thing to do.
* Because it's the law, Section 508, Section 504, ADA, ...
* So all our students, parents, prospective students, faculty, staff, and administration can access all of our web pages.
Accessibility Guidelines
* Visit our Web Accessibility Guidelines
http://itdc.lbcc.edu/accessibility.html
Online Training
* This website has excellent training on web site accessibility.
Web Accessibility for Section 508
Resources and Special Interests
Wounded Warriors – Services for Veterans with disabilities
Many of the veterans returning from overseas are returning with battlefield injuries including posttraumatic stress disorder (PTSD), concussive brain injuries, and other disabilities. Improved awareness and access to services for our returning veterans is an important priority in all of our programs.
http://www.behavioralhealth.army.mil/ptsd/index.html
Students with Aspberger's Syndrome and Autism Spectrum Disorders
Students with Aspberger's Syndrome and Autism Spectrum Disorders is an emerging new group of students coming to college. The rapidly increasing numbers of students with this diagnosis in the high schools will be having a great impact upon DSPS services now and in the future.
http://www.autism-society.org/about-autism/aspergers-syndrome/
College 2 Career – Long Beach (C2C)
A partnership between DSPS and the Harbor Regional Center has established a new residential program for high functioning students with Aspberger's Syndrome and other autism spectrum disabilities. This partnership involves the use of educational coaches and other services above and beyond the limits of what DSPS can provide. Working in partnership with DSPS, C2C students are enrolled in regular college courses in pursuit of an Associate Degree, Career Certificate, or transfer to a four-year university.
http://www.harborrc.org/sitemanager/assets/pdfs/1205_7F2ED7B32F8B16D257844319A1 840432.pdf
Growth and Opportunity Project (GO Project)
The GO Project is a U.S. Department of Education TRiO funded Student Support Services program designed to increase the number of college students with a disability who graduate with their Associate's Degree and/or transfer to the university. This program offers a number of support services and activities designed to increase the number of students with disabilities who graduate and/or transfer to the university.
http://dsps.lbcc.edu/resources.cfm
DO-IT, University of Washington
This is an excellent resource for strategies and examples in the implementation of the principles of Universal Design in learning and general disability awareness training.
http://www.washington.edu/doit/
http://www.washington.edu/doit/Video/index.php
DARE to Care
Practical suggestions on how to work with students with disabilities, possible accommodations, and definitions of the disabilities may be found at our interactive web application DARE to Care- http://dare.lbcc.edu/. Complete each module of the training program and receive Flex Credit.
Portions of this handbook were adapted from the following:
California Community College's Chancellor's Office
Fullerton College
California State University, Long Beach,Disabled Student Services' Faculty Handbook
Ohlone College,
, Faculty and Staff Resource Guide for Students with Disabilities
Cuesta College, Faculty Handbook
Interpreting Services, Center for Deaf Studies and Special Services
Rochester Institute of Technology,
DO-IT, University of Washington
Faculty Tipsheet
& PPPP
L
ONG BEACH CITY COLLEGE
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DISABLED STUDENTS PROGRAMS AND SERVICES
OLICIES
PPPP
ROCEDURES
TESTING ACCOMMODATIONS
The policies and procedures for all students using testing accommodations through Disabled Students Programs and Services (DSPS) are as follows:
FIRST STEP: Each time you have an exam you need proctored through Disabled Students Programs and Services, you must complete a Request for Testing Accommodations form. Fill out the part that says "To be completed by the STUDENT" then take the form to your instructor and have him/her fill out the part labeled ''To be completed by the INSTRUCTOR" and sign the bottom. Return the form to DSPS one week prior to the date you want to take the exam. We will not be able to give you the exam with less than three working days notice.
RESPONSIBILITY: It is the student's responsibility to make sure the Request for Testing Accommodations form is filled out completely and returned on time to DSPS before taking the exam. DSPS will not accept your request form if it is incomplete.
SERVICES: Please make sure you indicate on the form any special services you are requesting for the exam. Remember, the services must be disability-related and approved by a DSPS counselor. Only services that have been approved by a counselor will be provided during the exam.
EXTRA TIME: For students who receive extended time only on their exams, time and a half is generally what is provided. In some cases, double time is allowed. A counselor's approval must be obtained before double time can be provided. Double time is the maximum allowed for students who are receiving extra time only. Additional assistance is NOT provided to students receiving extra time only.
APPROPRIATE BEHAVIOR: Students may not ask test proctors for help figuring out answers to exam questions. Students who do so will be given a verbal warning the first time. If the problem continues, the student will have to meet with a DSPS counselor. In addition, students may not leave during the exam to attend class or take a break, etc. All exams must be started and completed in the same session. It is the student's responsibility to schedule the exam during designated testing hours which do not interfere with other activities, such as class.
RESCHEDULING: Once you have signed up to take an exam in our office, you may reschedule that test ONLY if the instructor has given written or verbal permission to DSPS to do so. Tests should only be rescheduled due to illness or disability-related issues. All tests will be returned to the instructor three days from the original test date, unless otherwise specified by the instructor. An exam may be rescheduled one time only, with a maximum of two rescheduled exams per class.
TARDINESS AND NO SHOWS: The test proctor will wait no more than 20 minutes for students who show up late. The amount of time you are late will be taken off the amount of time you have to complete the exam. After 20 minutes you will be marked as a "no show" and your test will be returned immediately to the instructor. If you no show three times during the semester, you must attend a mandatory meeting with a DSPS counselor and the support service coordinator to determine if your testing privileges will be stopped for that semester.
Working with Deaf & Hard of Hearing Students
Tips For Working with Deaf Students
Deaf and Hard-of-Hearing students will usually require seating at the front of the classroom, near to and facing the instructor, to make optimum use of visual cues.
Please repeat questions from others in the classroom before answering because it is often difficult for the interpreter or real time captioner to hear the questions from the front of the room.
Expect the same from culturally Deaf Students as you would from Hard-of-Hearing or Hearing students. They all need to be able to handle the same course load.
If you intend to show movies, slides, or video, be aware that media, as per Federal Law, must be captioned or subtitled; if you have any concerns as to whether your media has captioning please contact DSPS office ASAP, (562) 9384918.
Due to slight "lag time" interpreters have when interpreting from English to ASL, give the Deaf Student(s) enough time to respond to questions asked in class, before continuing on your lectures.
Remember, when working with an interpreter or real time captioner, speak directly to the Deaf person.
Emphasize important information such as assignment or schedule changes by writing details on the board.
Use as many visual aids as much as possible. Write page numbers, assignments, and other important information on the board.
Speak clearly and naturally. Write and/or spell out difficult or new vocabulary. This is helpful for the student as well as the interpreter or real time captioner.
Deaf students are just like any other students—they like to be included in class discussions and feel equal to their peers.
If requested, assist in finding another student in class to take notes; the deaf student may miss parts of the lecture if he/she is trying to watch the interpreter and write notes simultaneously.
The interpreter or real time captioner is there to interpret/caption EVERYTHING that is said in class. Please do not ask the interpreter or real time captioner to censor any information.
Things to Remember When Working with an Interpreter or Real Time Captioner
The interpreter or real time captioner's primary responsibility is to facilitate communication. Instructors should refrain from asking the interpreter or real time captioner to function as a teacher's aide, to participate in class activities, or to perform other tasks. Doing so may interfere with the quality of communication provided, compromise the role of the interpreter or real time captioner, and prevent full communication access for students who are deaf.
Familiarity with the subject matter will enhance the quality of the interpreted message. If possible meet with the interpreter or real time captioner before class to share outlines, texts, agenda, technical vocabulary, class syllabus, and any other pertinent information.
In class, the interpreter or real time captioner will position themselves in direct line with you, the student, and any visual aids.
Interpreters process information cognitively before interpreting. The interpreted message therefore, will follow at a pace generally one or two sentences behind the communicator. Speak naturally at a reasonable pace to help facilitate an effective interpretive process.
Ask students to raise their hand, be recognized, and then ask questions or give comments. This will allow the interpreter or real time captioner to finish interpreting/captioning for the current speaker and gives the Deaf or Hard-of-Hearing student equal opportunity to participate in class. Also, encourage the students to wait until the teacher recognizes them before speaking or signing. The interpreter or real time captioner can only convey one message at a time.
Avoid talking while student are focused on written class work. Deaf students require time to process visual aids and materials before returning their attention to the interpreted message.
Use "I" and "you" when communicating with deaf students through an interpreter or real time captioner. Look directly at the student with whom you are communicating, not the interpreter or real time captioner. Use of third-party phrases such as, "Ask her" or "Tell him" can compromise the relationship between the instructor and student.
Plan some strategic breaks so that both student and interpreter or real time captioner can have a mental and physical break for the rigors of the situation. Receiving information visually without breaks can be tiring and cause eye fatigue. Additionally, simultaneous interpreting/captioning requires the processing of new information while the information that was just communicated by the speaker is being delivered. For
classes longer than one hour in which only one interpreter or real time captioner is available, a mid-class break is essential.
If you intend to show movies, slides, or video, be aware that media, by Federal Law, must be captioned or subtitled. If you have any concerns as to whether your media has captioning please contact DSPS office ASAP. (562) 938-4918
If the deaf student is not present when class begins, the interpreter or real time captioner will wait for a few minutes for late arrival. The interpreter or real time captioner may be needed at another assignment and may leave if no deaf student is present after 10-15 minutes.
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Science Arts & Métiers (SAM)
is an open access repository that collects the work of Arts et Métiers Institute of Technology researchers and makes it freely available over the web where possible.
This is an author-deposited version published in: https://sam.ensam.eu Handle ID: .http://hdl.handle.net/10985/11137
To cite this version :
Dimitrios TSALIS, George CHATZIGEORGIOU, Nicolas CHARALAMBAKIS - Multi-Step Homogenization of Thermoelastic Multi-Scale Tubes with Wavy Layers - 2016
MULTI-STEP HOMOGENIZATION OF THERMOELASTIC MULTI-SCALE TUBES WITH WAVY LAYERS
3
D. Tsalis 1 , George Chatzigeorgiou 2 and Nicolas Charalambakis
1,3
Department of Civil Engineering
Aristotle University of Thessaloniki
Thessaloniki, 54124, Greece e-mail: firstname.lastname@example.org,
LEM3-UMR 7239 Centre National de Recherche Scientifique (CNRS)
Arts et Metiers ParisTech Metz-Lorraine
Metz, 57078, France
Keywords: Multi-step, multi-scale homogenization. Generalized periodicity. Thermoelasticity. Cell problem. Effective properties.
ABSTRACT
In this paper we present a multi-step homogenization scheme of a tube made of numerous wavy cylindrical layers exhibiting periodicity with respect to both the radial and the angular direction. The proposed homogenization is a combination of successive semi-analytical, cell-problem-based, homogenization steps and a possible, micromechanics-based, homogenization in the interior of every layer. Every step of cell-problem based homogenization gives analytical expressions for the homogenized stiffness, thermal expansion and thermal conductivity.
1. INTRODUCTION
Shell structures are present in nature and in engineered systems ([1],[2],[3],[7]). More specifically, in the latter case they can have the form of laminate shell composites, of multilayer thermosensitive tubes, of carbonnanotube-polymer nanocomposites, of fuzzy fibers based on multi-walled carbon nanotubes. Multi-functionality, guaranteeing desirable electronic, optical, magnetic properties, is an important property of multiscale composites having a bio-inspired microstructure constructed from the finer to the coarser scale.
On the other hand, waviness is a designed or accidental property of wavy layer materials, being intensively studied during the last decade for its strengthening or weakening effect in thin metallic and ceramic multilayers or for its magnetic and optoelectronic effect in high-speed technology, or for its isolating effect in the space laser and anti-missile programs ([4], [5],[6],[8]).
In [9], the combination of the above two microstructure geometries, i.e. shell composite structure and waviness, is considered and the homogenization of multilayer wavy tubes made of elastic materials with highly contrasted mechanical and thermal properties is proposed. In this communication we will present the principal lines of this method, as well as a numerical example of a bimetallic star-shaped composite.
2. PRINCIPAL LINES OF THE PROPOSED METHOD
The homogenization scheme is based on a multiscale method presented in [9]. This method is designed to furnish the effective thermoelastic properties of a star-shaped tube made of numerous thin elastic wavy layers (see fig. 1).
The structure exhibits periodicity with respect to the radial and the angular direction, but in two, highly different, scales: the microstructure is much more fine with respect to the radial direction than with respect to the angular direction. This allows for applying a two-step homogenization, consisting from a first step with respect to the radial direction, giving a heterogeneous material with angular periodicity, and from a second step with respect to the angular direction, giving the effective properties. In both steps, the method gives analytical forms of the corresponding cell equations, micro-displacement gradients and homogenized thermo-elastic coefficients.
Τhe heterogeneous problem, characterized by heterogeneous parameters dependent on a small tending to zero, is described in polar coordinates by the equilibrium equations
L
0
j zj
z
f
rz
r
,
(3)
the energy equation
the constitutive equations
and the strain-displacement relations
supplemented by Cauchy, Dirichlet or mixed boundary conditions, where i u , ij , ij , T , Q , q , denote the displacement vector, the stress tensor, the strain tensor, the temperature, the radiation and the heat flux, respectively, while ijkl C , ij , ij denote the elasticity tensor, the thermal expansion tensor and the thermal conductivity tensor, respectively. Moreover, the operators in (1), (2), (3) are defined by
All thermomechanical functions, unknown and given, are assumed to depend on the macrocoordinates r , and additionally, in a periodic way, on a generalized periodicity surface , dependent on (for the definition of generalized periodicity in multilayer materials see [8]). In [9] a two-step homogenization scheme is presented, based on the assumption of different scales described above.
2.1 Homogenization with respect to the radial periodicity ρ1
In the first step of homogenization, a function is expressed a function , , r of the polar coordinates , r and bar, where bar is given by
Then, is assumed of the form
where all i are periodic with respect to . By replacing in the equilibrium equation and in the energy equation one obtains from the condition of zero coefficients for 2 and 1 the cell problem
where 1 mn l N , 0 1 l N , 1 m W are the unknown fluctuating functions, periodic in and satisfying the continuity conditions
and where 1 i L are given by
The solution of the cell problem is of the form
1,2,3,4,5,6 a , where the analytical form of all coefficients ( 1 1 A , 1 2 A , 1 3 A , 1 1 B , 1 2 B , 1 3 B , 1 1 D , 1 2 D , 1 0 F , 1 1 F , 1 2 F , 1 3 F , 1 1 , 1 2 , 1 3 , 1 1 , 1 2 , 1 3 , 1 1 , 1 2 , 1 3 ) are given in [9]. The above coefficients depend on the thermomechanical properties of the constituents and their volume fractions and on the gradient of the wavy walls.
The above solutions allow one to define the homogenized coefficients resulting from the first step of homogenization,
21
1 22 2 23 3
CCCLN
where , 1 6 a b , , , , l m r z and f denotes the mean value of f over the unit cell. The above coefficients are used as input data for the second step of homogenization.
2.2 Second step of homogenization with respect to the angular direction
The second step of homogenization with respect to the angular direction, in which all functions are assumed to depend on and , where , leads to a second one-dimensional cell problem
11th HSTAM International Congress on Mechanics
Athens, 27 – 30 May, 2016, Greece
where 2 mn i N , 0 2 i N , 2 m W are the unknown fluctuating functions periodic in satisfying the continuity conditions
The solution of the equations of the cell problem is of the form
N
2
2
1
2
eff
3
4
3
2
P C
2
1 eff
,
(41)
2 44
P C
N
0 2
2
2
3
3
2
D
2
,
(44)
1
D
1,2,3,4,5,6 a , where the analytical form of all coefficients ( 2 1 A , 2 2 A , 2 3 A , 2 1 B , 2 2 B , 2 3 B , 2 1 D , 2 2 D , 2 1 , 2 2 , 2 3 , 2 1 , 2 2 , 2 3 , 2 1 , 2 2 , 2 3 ) are given in [9].
2.3 Effective properties
The solutions of the second cell problem are used to define the effective properties of the star-shaped composite. More specifically, one obtains the effective elasticity tensor
for , 1,2,3,4,5,6 a b , the effective thermal expansion tensor
for , 1,2,3,4,5,6 a b and the effective thermal conductivity tensor
for , 1,2,3,4,5,6 a b .
3. NUMERICAL EXAMPLE
We consider a bimetallic star-shaped shell composite having multilayered sinusoidal walls with parametric equation
for 1,2,...
k
,
1
2
m
,where
1
k
is the number of sectors of the cross-section, made of two alternative
elastic isotropic materials having the properties shown in tables 1-4.
Table 1. Thermomechanical properties of constituents and volume fraction.
| Property | Material 1 (Steel) |
|---|---|
| Young Modulus (GPa) | 206.742 |
| Poisson Ratio | 0.3 |
| Thermal expansion coefficient (1/K) | 1.2265e-05 |
| Coefficient of heat conductivity (W/nk) | 65.106 |
Table 2. Symmetric stiffness tensor coefficients of the two constituents (in Voigt notation and in GPa)
| Mechanical Properties | Material 1 (Steel) |
|---|---|
| C , C ,C 11 22 33 | 278.307 |
| C , C ,C 12 13 23 | 119.274 |
| C , C ,C 44 55 66 | 79.516 |
| C , C ,C 14 15 16 | 0 |
| C , C ,C 24 25 26 | 0 |
| C , C ,C 34 35 36 | 0 |
Table 3. Symmetric thermal expansion tensor (in 1/K) of the two constituents
Table 4. Symmetric thermal expansion tensor (in 1/K) of the two constituents
| Properties | Material 1 (Steel) |
|---|---|
| k ,k ,k rr θθ zz | 65.106 |
The gradients of the generalized periodicity functions for the two steps are given by
In fig. 2, 3 and 4 we see the variation with respect to the angular direction of the coefficients of stiffness matrix, thermal expansion and thermal conductivity, respectively, deduced from the first step of homogenization. The homogenized coefficients correspond to a monoclinic material. We verify that large gradient of the wavy layers enhances shear strength in all planes (fig.2(c)) and tensile strength along the angular direction (fig.2(a)). On the other hand, it reduces the tensile strength along the radial direction. At points where the gradient of the layer is zero (points 4 and 10), all coefficients are equal to the corresponding coefficients in [8], while the homogenized coefficients 1 , 3 and 6 take their maximum and 2 its minimum value. At points where the gradient of the layer takes its maximum value (points 1, 7 and 13) the opposite holds. In addition, the homogenized value α6 from the first step of homogenization is oscillating around zero (fig. 3(d)). Analogous observations are deduced from fig. 4.
Figure 4. Variation of coefficients of the thermal conductivity tensor (in W/mK) from the 1 st step of homogenization in inner layer: (a) rr , (b) and (c) r . In addition kzz=136.302 W/mK and 0 .
In table 5, the effective stiffness matrix, resulting from the 2 nd step of homogenization, is shown. We verify that the overall behavior is orthotropic. From these values, we compute the effective Young moduli 118.778 rr E and 116.497 E and the effective shear modulus 23.103 r G , showing an important strengthening 15.6% of the shear resistance with respect to the wavyless tube, while the hoop resistance is reduced considerably (16.5%). In table 6, the effective thermal expansion tensor is shown, exhibiting a waviness-induced reduction 15% of the radial effective expansion accompanied by an enhancement 20% of the angular expansion. The inverse effect is observed in the effective conductivity behavior shown in table 7: the radial conductivity coefficient is enhanced 19%, while the angular conductivity coefficient is reduced 23% compared to the tube with circular layers.
Table 5. Effective symmetric stiffness matrix (in GPa).
Table 6. Effective thermal expansion tensor (in 1/K) in inner layer.
Table 7. Effective thermal conductivity tensor (in W/mK) in inner layer.
4. CONCLUSIONS
The principal goal of this paper is to evaluate the waviness effect to the overall thermomechanical behavior of the star-shaped tube for any wavy form of the layers. Under the assumption of a microstructural two-scale periodicity, the two-dimensional cell problem needing a FEM-based computational homogenization is reduced to two one-dimensional cell problems, giving exact analytical expressions for the effective thermomechanical parameters. The related numerical results for a bimetallic tube with sinusoidal layers show that waviness affects in an anisotropic way considerably this behavior, by enhancing the shear resistance, the radial conductivity and the angular expansion and by reducing the hoop stress capacity, the radial expansion and the angular conductivity.
REFERENCES
[1] Cavalcante, M., Marques, S., Pindera, M., 2009. Transient thermomechanical analysis of a layered cylinder by the parametric finite-volume theory. Journal of Thermal Stresses 32, 112-134.
[2] Chatzigeorgiou, G., Charalambakis, N., Murat, F., 2008. Homogenization problems of a hollow cylinder made of elastic materials with discontinuous properties. International Journal of Solids and Structures 45, 51655180.
[3] Chatzigeorgiou, G., Efendiev, Y., Charalambakis, N., Lagoudas, D., 2012.Effective thermoelastic properties of composites with periodicity in cylindrical coordinates. International Journal of Solids and Structures 49, 25902603.
[4] Grenestedt, J., Hutapea, P., 2002. Using waviness to reduce thermal warpage in printed circuits boards. Applied Plysics Letters 81(21), 4079-4081.
[5] Khatam, H., Pindera, M., 2009b. Thermoelastic modui of periodic multilayers with wavy architectures. Composites: Part B 40, 50-64.
[6] Kugler, D., Moon, T., 2002. Identi_cation of the most signi_cant processing parameters on the development of _ber waviness in thin laminates. Journal of Composite Materials 36(12), 1451-1479.
[7] Lakes, R., 2005. Materials with structural hierarchy. Nature 361, 511-515.
[8] Tsalis, D., Chatzigeorgiou, G., Charalambakis, N., 2012. Homogenization of structures with generalized
periodicity. Composites: Part B 43, 2495-2512.
[9] Tsalis, D., Chatzigeorgiou, G., Charalambakis, N.,2016, Effective behavior of thermo-elastic tubes with wavy layers. Composites: Part B, (submitted).
|
A Superconducting Gravity Gradiometer Tool for Exploration
J. M. Lumley* 1 , J. P. White 1 , G. Barnes 1 , D Huang 1 , H. J. Paik 2 1ARKeX Ltd., 2 University of Maryland
Summary
Superconducting gravity gradiometry has long been recognised as a technique offering key advantages over competitive techniques with respect to obtaining gravity or gravity gradient data. Superconductivity and low temperatures confer low noise, negligible scale factor drift and mechanical stability. Additionally, a Superconducting Gravity Gradiometer (SGG) incorporates superconducting circuits which can be balanced such that its responses to gravity gradients are largely independent of all linear and angular accelerations applied to the instrument. This "balance" relies on the ability to set and maintain persistent currents in the various superconducting loops. What makes the SGG so attractive an instrument for both satellite and airborne operation is the complete absence of drift in these currents once they have been set. This means that the scale factors remain perfectly stable in time and can thus be balanced precisely, with excellent null stability.
The European Space Agency (ESA) recognised these advantages of the SGG and have continually supported the development of a satellite version of an SGG with Oxford Instruments. We shall report both numerical analysis and experimental results of our work on the ESA SGG. We shall also report on the design and analysis of the SGG we are proposing as an exploration tool. Our analysis indicates that it will be possible to build and operate an SGG in an airborne environment to achieve the accuracy required. This device will measure all linear and angular accelerations to which the SGG is subjected, as is the case for our spaceborne SGG. These outputs are used to correct the measured gravity gradient data. When used in conjunction with accurate GPS data, the acceleration outputs will be useful in their own right to directly measure the long-wavelength components of the gravity field over the region of interest.
1.
Introduction
The principle that gravity gradiometry is potentially extremely useful for exploration has been established since the beginning of the 20 th century when von Eotvos developed the first practical instrument. Although his torsion balance instrument was extremely sensitive, it was very slow, so the technique was largely abandoned even though it was successful in "finding" billions of barrels of oil. It is clear that an airborne gravity gradiometer with similar sensitivity to the original von Eotvos tool would be extremely powerful for exploration purposes.
This paper describes the superconducting gravity gradiometer tool proposed for airborne operation. First the paper summarises some basic gravity theory followed by a brief resume of the theory of 2-D Fourier transformations. The errors present in any measurement of gravity gradient are then discussed which include alignment and scale factor errors inherent in any in-line gravity gradiometer and tilt and centrifugal acceleration errors. Sections, 6-12 then discuss the Exploration Superconducting Gravity Gradiometer tool (SGG) proposed for airborne surveys - its basic principles, its alignment circuitry, its intrinsic noise, its mathematical analysis and its basic design.
2.Theory – Gravity and Gravity Gradiometry
The gravity field from an extended body is most easily understood in terms of its gravity scalar potential at , r Φ( ) r
where r ρ ( ') 668 10 G is the density of material at position and r' 11 2 2 6 Nm kg − − = × . is the gravitational constant. Gravity and gravity gradients are easily calculated from the scalar potential and in cartesian coordinates
Gravity gradient is used to describe how a particular component of gravity varies with position, e.g.
The gravity gradient tensor, Γ , is as follows
It is a symmetric tensor, since the order of differentiation of a scalar quantity is irrelevant and, because gravity is a central force obeying Laplace's equation in free space, the sum of the diagonal components is zero for an inertial frame of reference. Thus there are only five independent components of the gravity gradient tensor.
For a spherical body of mass M whose density is a function of radius only, along the radial direction, in spherical polars,
where refers to distance from centre of object. Other components can easily be calculated and other co-ordinate systems can be used, the main point to note here is that gravity gradient has a more rapid variation with position than does gravity so it falls away quicker from its maximum value near a mass anomaly. This ultimately translates to gravity gradient providing better estimation of edge location than does gravity. r
3. Theory – Fourier Transforms and Gravity Surveys
The gravitational scalar potential is the primary quantity and, once determined, all gravitational quantities follow. Below it is shown how, using 2-D Fourier transformations, it is possible to deduce the scalar potential at all positions outside the surface of the earth by measuring any derivative of the scalar potential over a large surface above the earth. Once this is done, all quantities can be forward calculated and this removes the difficulty of not being able to transform gravity gradients between frames of reference if all components are not known. In the following, all quantities are deduced/measured over an x y − plane at height . 0 z
The 2-D Fourier transform of the scalar potential 0 ( , , ) x y z Φ is
The inverse transform of (2.1) recovers the scalar potential
Thus, once the Fourier transform of the scalar potential is known over this plane, the scalar potential can be deduced.
Next consider the Fourier transformation of x g x ∂Φ = ∂
Fourier transform manipulations or integration by parts yields
Inspection of (2.4) and (2.1) reveals
Thus a particular component of the Fourier transform of the gravity field is simply related to the same component of the Fourier transform of the scalar potential. Once this is known, it is then straightforward to invert this transformation to recover the scalar potential as follows.
The interpretation of (2.6) is that it is possible to deduce the scalar potential over a particular surface by from a measurement of one of the horizontal components of gravity over the surface.
Next consider xy y x ∂∂Φ Γ = ∂ ∂ whose Fourier transform is
As above, manipulation yields
The scalar potential can be derived by inversion as before
These deceptively simple relations, (2.6) and (2.9), indicate that, if any of x y xx xy yy g g Γ Γ Γ , , , , is measured over a plane, the scalar potential can be deduced over that plane and hence all its derivatives wrt x,y can be forward calculated.
The treatment can be continued for any x,y derivative of the scalar potential and in general, (2.5) and (2.8) become
Thus, any of the x,y derivatives on the survey plane can be used to calculate ( ) 0 , , x y z Φ . Of course, once the scalar potential is known over the plane, any of its spatial derivatives can be forward calculated directly. 0 z
In order to use any of the z derivatives of the scalar potential, further analysis is needed. In the case of gravity gradients, the Fourier transform of Laplace's equation requires
which, following similar treatment to that above yields
The other derivatives are a little more difficult to deduce and the treatment is beyond the scope of this paper z 1. However, the final result is similar to (2.10), viz.
The completely general expression combines (2.10) & (2.13)
Thus, any derivative of the scalar potential can be measured over the plane and its 2-D Fourier transform is simply related to the Fourier transform of the scalar potential. By inverse transformation the scalar potential can be deduced. 0 z
That is, all derivatives of the scalar potential on the 0 , , x y z plane can be obtained from the Fourier transformation of the scalar potential or of any of its derivatives.
With this, it is clearly possible to deduce the scalar potential at any point outside the surface of the earth (where Laplace's equation is valid) by a Taylor series expansion, and this is called upwards continuation. There is indeed a Green's identity which highlights this directly 2 .
where S' is the surface on which the scalar potential and its derivative with respect to the outward normal is known.
In the following sections, gravity gradiometers are described in general terms and the proposed exploration SGG is described in detail. For a fuller treatment of the issues relating to the SGG the reader is referred to Chan and Paik 3 .
4.In-line Gravity Gradiometer, Basic Theory, Errors
The general schematic for an in-line gravity gradiometer is shown in Figure 1 where the two proof masses, have sensitive axes for detection . The displacement of the proof mass centres of gravity is represented by 1 2 m m , 1 2 n n ˆ ˆ , ˆ , , l l l which are the vector, the unit vector and the base line of the instrument.
In general, such a gravity gradiometer measures xx Γ as
where 1 2 1 2 f f σ σ , , , represent the specific force at and the scale factors of each accelerometer. The specific force is
In order to discuss alignment and scale factor errors in the system the following notation is used.
For the pair of accelerometers, these represent the average orientation of their sensitive axes, the non parallelism of their sensitive axes, the offset in their centres of gravity and the difference in their scale factors. In general, these will all be time dependent.
In the event that the gravity gradiometer is placed in an environment where there is zero gravity gradient, i.e. 1 2 g g = , the apparent gravity gradient "measured" by the instrument is
where f f t t α , ( ), ( ) are respectively, the average total acceleration (including platform motion), the time dependent part of the total acceleration, and the angular accelerations.
Inspection of (3.4) shows that the total acceleration vector in the direction of the sense axis (static plus platform) couples into the measureed gravity gradient via scale factor errors (noise, drift and difference). Further, the linear and angular accelerations about orthogonal degrees of freedom couple in via the alignment errors. For a gravity gradiometer to work in a hostile airborne environment, these errors have to be either eliminated by design/setup or measured and removed in software, and usually a combination of both.
5.Centrifugal Acceleration and Tilt Errors
The above treatment did not consider the non inertial nature of the measurement frame of reference of the gravity gradiometer. For an instrument moving with an instantaneous angular rate and total linear acceleration , both with respect to an inertial frame of reference, the equation of motion for each proof mass with respect to the platform is given by ( ) t Ω ( ) a t 3,4
where starred quantities are evaluated in the platform frame of reference. In order to obtain the desired derivative of the scalar potential, the correction terms are difficult to obtain with the desired accuracy. The best that can be obtained, including use of state of the art stabilised platform and GPS/INS systems to deduce platform accelerations, , is to deduce gravity to an ( ) a t accuracy
(
over ca. 10
0.5mg ≈
1/ 2
5/ mgal Hz
≈
al
0s
period, i.e. ca.
wavelength).
5 10km −
Gravity gradient in the platform frame of reference is obtained by differentiating (4.1) to yield
where ij Γ is the true gravity gradient signal from the earth,
* ( ) k k t t α ∂Ω = ∂ is the angular acceleration of the platform with respect to an inertial frame, j δ Ω is the relative angular acceleration between platform and SGG sensor and ijk ε is the Levi-Civita symbol which is zero if any two indices are the same, 1 if order is ( , ) xyz yzx zxy or –1 if order is ( , ) xzy yxz zyx .
Equation (4.2) indicates a number of important points. First, the last term is usually very small and can be deduced from a knowledge of measured angular acceleration, this being obtained either from the stabilised platform or from the instrument itself, as discussed later in this paper. Second, the angular acceleration is usually much larger than any off diagonal gravity gradient term so as measured is almost pure angular acceleration. Third, any diagonal component of gravity gradient, * ij Γ * ii Γ , does not explicitly contain an angular acceleration term. Finally, any single off diagonal component explicitly contains angular accelerations but these can be removed by adding * , ji * ij Γ Γ to yield
By subtracting the two components rather than adding them, it is possible to measure the angular acceleration and remove any small corruption due to off diagonal gravity gradient
The full tensor gradiometer version of our proposed exploration tool performs such a measurement.
To correct for the terms shown in (4.3) the angular rate has to be measured, either by integration of the output of an angular acceleration superconducting circuit or by use of the GPS/INS system. In general it is also desirable to stabilise the platform since the biggest angular rate terms in (4.3) relate to the angular motions of the aircraft.
The other major angular error term is due to tilt of gradiometer from its nominally aligned axes. This gives rise to a measured gravity gradient in the "wrong" orientation. The true and measured gravity gradients are related via rotation matrices
where is the rotation matrix from what is believed to be the true frame to the actual measurement frame of reference. Again, R
the terms involved in this can be measured or estimated and used to correct the gravity gradient.
All the terms in this section will benefit from the use of a stabilised platform. Indeed, if the requirement is for the errors these terms introduce to be below system noise then this sets stringent requirements on the stabilised platform and indeed upon the aircraft's own control and stabilisation scheme.
All other major errors relate to the operation of the gravity gradiometer, how it is set up, how it works and the cryogenic environment in which it needs to work.
There has been much debate over the relative merit of measuring gravity or gravity gradient. Section 3 on Fourier analysis proves that it doesn't matter which is chosen so the issue is always about the instrument which delivers the best signal to noise for the parameter to be measured. Because of the different spatial dependences of gravity and gravity gradient, a measure of gravity gradient will always be superior to one of gravity for short wavelength features or shallow objects. In fact, (1.5) gives a convenient way of looking at this because it shows that there will be a unique distance/depth at which a spherically symmetric source can give nominated values of gravity and gravity gradient.
By choosing 1 as the target sensitivity for gravity gradient and as the target sensitivity of the best airborne gravity tool (both per root Hz), we find that the distance/depth, of such a source is given simply as E 5mgal 0 d
Simple substitution shows that the proposed SGG tool will always provide cleaner data than will a state of the art airborne gravity tool for sources with depths less than . 0 100 d k = m
6.The Superconducting Accelerometer - Principles
The principles of the superconducting accelerometer and the SGG have already been established by Chan and Paik 3 so only the most important concepts will be presented here.
The main superconducting features utilised in the SGG are the Meissner effect and flux quantisation, the latter giving the low Tc SGG its inherent phenomenal stability. The SGG requires magnetic flux in all superconducting loops to be absolutely stable and the ability to pass large currents (>10Amps) through coils, wires and joints. Failure to be able to do this renders the SGG noisy at best or inoperable at worst. This is the reason for using low temperature superconductors and wires. High temperature superconductors are just not suited for this application as none of the required technologies are mature enough. In any event, the higher temperature of operation will make the system intrinsically noisier.
Low temperatures also confer mechanical stability of all construction materials used in the SGG. At 4.2K the thermal expansion coefficient is reduced to ca. of its room 9 10 −
temperature value. Cryogenic environments a lso extremely stable with 1/ 2 50 / re a K Hz μ being easily achieved. Analysis readily shows ise generates changes in the length of the gradiometer and this looks like a gravity gradient noise. However, for the low temperatures of operation and for the temperature stability proposed for the exploration SGG, this noise can be shown to be less than the intrinsic SGG noise. that thermal no he principle of the superconducting accelerometer is b T est described by first considering the inductance of a coil placed close to a superconductor. Meissner first demonstrated that, a superconductor expels all magnetic field up to a material dependent critical field. If current is passed through a coil outside a superconductor, a superconducting surface current is generated which, at every point inside the superconductor, produces a field equal and opposite to that produced by the external coil. This surface current interacts with the current in the coil producing a repulsive force between the coil and the superconductor. For simple geometries, it is easy to show that both the field outside the superconductor and the force between the superconductor and coil are as if there is an image coil within the superconductor. This image coil is exactly the same distance behind the superconducting surface as the real coil is in front of it and this image coil carries exactly the same current but with opposite sign. This is illustrated in Figure 2 for a flat spiral "pancake" coil.
ightforward to is also stra calculate the inductance of this It image coil which is, in fact the mutual inductance between the coil and the surface current or the coil and its image. Note first that, for a flat pancake coil in this geometry, the coil-image coil model proves that the magnetic field is confined to the region between the coil and the superconductor (note that there is no field in superconductor). This field is simply
e wher n = turns/m and i is the current in the coil. The total energy in this system is simply the field energy per unit volume times the volume between coil and seuperconductor.
om which it is clear that the inductance of the coil is fr
his is the first crucial result and shows that, to first order, the T inductance of the pancake coil is proportional to its separation from the superconductor. If the coil moves relative to the superconductor, its inductance will change. The first non linear term is easily understood since the field will start falling off from its maximum value at a distance x : from the edges of the coil. Thus the effective coil area is r ed from its purely geometric value by an area proportional to the perimeter of the coil multiplied by its separation from the superconductor. educ bove it was demonstrated that there is a repulsive force on a A "proof mass" when a current is passed through a coil in its vicinity and this force is always present when the current flows. This force follows from the energy (5.3)
he stiffness of this magnetic spring is determined by coil non T linearities. Note also that the sign of the current is irrelevant, it is its magnitude which determines the force.
he next step in understanding the SGG is to consider what T happens when the pancake coil-proof mass system is placed within a closed superconducting loop as illustrated in Figure 3.
Figure 3 Superconducting accelerometer schematic
I
m
is a truly remarkable property of superconductors that the e It magnetic flux in a superconducting loop, once set, is impossible to change. The flux "set" in the loop is that flux which was in the loop as the superconductor passed through its transition temperature. The "set" flux is absolutely stable and has no noise on it. This is the crucial issue for operation of the superconducting accelerometer. In reality this flux is quantised but the unit, 15 0 2.07 10 Wb − Φ = × , is so small that in practical terms it doesn't SGG – in operation, the SGG there contain 11 0 10 Φ ; in many loops. affect operation of th henever the proof mass moves, in response to an acceleration W or change in gravity, the coil inductance changes and the circulating current must change to preserve the original flux in the loop. This new current exerts a different force, given by
(5.4) and the system stiffness is now dominated by this effect. The change in current is detected by a SQUID, a highly sensitive superconducting magnetic flux detector with resolution 6 1/ 2 3 10 / 0 Hz − ≈× Φ . The SQUID is a null detector and will on s in flux which are transformer coupled from the loop. ly respond to change his is the superconducting accelerometer. From the simple T description given above, it is immediately obvious how important it is that flux quantisation works and that the SQUID is a null detector of unparallelled sensitivity. When the flux transfer calculation is done properly, it transpires that the noise level of the SGG effectively detects flux/current changes of 13 10 − : of their dc values.
The Superconducting Gravity Gradiometer 7.
eter is The schematic for a superconducting gravity gradiom shown in Figure 4 below where the SGG is assumed to be sensitive to gravity changes in the vertical direction. To understand the operation of the SGG requires understanding of the principles of the superconducting accelerometer with additional ingredients determined by fact that there are two masses and two loops.
irst consider that the SGG is subjected to a common gravity or F acceleration such that both proof masses move the same distance in the same direction, assumed downwards. This causes the inductances of both pancake coils to decrease. Flux quantisation for each superconducting loop therefore requires both 1 2 , I I to increase. Since these two currents flow in oppos ections through the inductor coupling to the SQUID, the changes tend to cancel one another. The system is "balanced" when the changes cancel one another completely. The SQUID does not then see a common mode gravity signal. ite dir ote that the current through the outer loop is the average of N 1 2 , I I so, with both currents increasing, there is a measurable t change around this loop. This current can be measured by coupling to another SQUID loop using the additonal transformer as indicated in curren Figure 5 below.
Next consider what happens if there is a differential gravity applied to the SGG with the top proof mass moving upwards and the bottom proof mass moving down. This causes 1 I to decrease and 2 I to increase. There is therefore a net current flowing through the central arm of the SGG. When the SGG is balanced, the two current changes are equal in magnitude. This circuit therefore detects gravity gradient through its central arm. In the outer loop these current changes flow in different directions so there is no change in the average of 1 2 , I I so such changes would not couple to a SQUID detecting common mode motion as in Figure 5.
All circuits in the SGG are generically identical to those presented in Figure 4 and Figure 5 and have the same general properties related to flux quantisation and balance. The other property they have relates to current flow through central and outer arms of the SGG. These are always related to orthogonal degrees of freedom, either differential mode and common mode, as described here, angular acceleration and transverse linear acceleration and so on.
It has been shown above, that the stability conferred on all SGG circuits by flux quantisation means that the scale factors between applied acceleration and current output remains absolutely constant. Because the gravity gradient function is performed within such circuits in this "current-differencing" SGG, the balance remains stable absolutely stable and the DM output is a true measure of the gravity gradient.
Of course, it is essential that mechanical stability of components through temperature fluctuations does not cause apparent gravity gradients. Fortunately this is an extremely small effect at low temperatures and, by choosing the right materials and a quiet cryogenic environment, the errors produced by this process will be smaller than the intrinsic noise of the SGG.
8.An SGG exploration tool
The basic concepts of an SGG have been elaborated above. The general circuit used in the exploration tool proposed is of the type shown in Figure 6, which is the differential mode detection circuit. Here coils interact with opposite faces of the proof masses and in most circuits the currents in the outer loops are coupled to additional SQUIDs as shown in Figure 5.
In general, the explanation of the workings of these circuits is similar is all cases. All that is needed is knowledge of the coil parameters and on what proof mass faces the coils interact. In this system there are no mechanical springs interacting with the proof mass, only magnetic ones. The proof masses are levitated against gravity by passing large currents through the necessary coils and the magnetic springs are formed by the use of closed superconducting loops with large circulating currents. Large currents are needed because, for operation in the airborne environment, it is necessary to stiffen the SGG as much as possible against all accelerations applied through the platform. Other coils interact with virtually all surfaces of the proof masses and these coils are integrated into circuits to perform the required functions.
The exploration SGG tool proposed here is designed to utilise the differential mode circuit to measure the gravity gradient signal but additionally to measure all linear and angular accelerations. These are needed, as seen in the simple error analysis above, because all major motion induced errors are related to these accelerations including the angular terms which can be obtained by integration of the angular acceleration outputs of the instrument. In general, even with the alignment technique discussed next, there will be residual errors which cannot be balanced out in hardware so it is necessary to measure the motions and use software analysis to correct the data to the final required precision.
9.Alignment circuit for the SGG
It was noted earlier that a perfectly aligned gradiometer will not couple to linear or angular accelerations in orthogonal degrees of freedom. In order to achieve this, the proposed tool includes patented alignment circuits to align the sensitive axes of the proof masses as illustrated in Figure 7. Without loss of generality, consider the , , x y z orientations as being out of the page, to the right in the plane of the page and up. The origin is at the centre of gravity of the SGG.
The alignment circuit of Figure 7 is used to rotate each proof mass about its centre of gravity. First, biasing currents, 1 2 I I ≅ are "set" in the loops around each proof mass. These biasing currents thus flow "down" past top right and bottom left sides of each proof mass and "up" past the bottom right and top left of each proof mass.
The proof masses and coils are drawn in the approximate geometric position which they will occupy. That is, for each proof mass the coils act in pairs, one pair acting on top right and bottom left of the proof mass and the other pair acting on the top left and bottom right. If the currents are unequal through the two pairs, there will be a net torque on the proof mass and it will rotate about a line though its centre of gravity parallel to the x axis.
Consider the result of a clockwise current injected into the outer loop. At the junction indicated at the top of proof mass 1, this current will divide, approximately equally. One half will add to the current going "down" past top right and bottom left of proof mass 1 and the other half will subtract from the current coming "up" past the bottom right and top left of proof mass 1. Proof mass 1 will thereby experience a net torque which will cause it to rotate counter-clockwise. This clockwise outer loop current will clearly have the same effect for proof mass 2.
That is, a current through the outer loop of this circuit causes each proof mass to rotate about its own centre of gravity about a line parallel with the x axis and with the same sense. So, if the proof mass axes are offset but parallel, a current through the outer loop will bring them into colinearity with respect to the x z − plane.
A current injected into the central arm of the circuit divides equally and returns through the arms of the outer loop. An argument similar to that given above shows that such a current causes each proof mass to rotate about its centre of gravity, as before, but this time they rotate in opposite senses. Thus, if the proof masses are non parallel, then a current set through the inner loop returning via the two arms of the outer loop will cause the proof mass axes to become parallel.
Thus by setting the currents in the alignment circuit of Figure 7 as described, the proof mass sensitive axes can be made colinear in the x z − plane.
A similar circuit to that of Figure 7 allows the two sense axes to be brought into colinearity in the plane. y z −
This scheme, therefore, has the ability to actively align the two proof mass sense axes and make them completely colinear.
This alignment scheme is based around the same generic superconducting circuitry used for the detection circuits so has the same flux quantisation benefits. The alignment errors are stable for this instrument and the above description indicates how they can be minimised. It is anticipated that this scheme will allow "hardware" set rejection for linear accelerations to be improved from a mechanical assembly alignment 3 10 − to 7 10 − leaving software to reject another two to three orders of magnitude to achieve the required rejection. For angular accelerations, the total rejection required is a couple of orders of magnitude less.
Initial results from such a scheme are shown in Figure 8 which shows the variation of the proof mass alignment with the current stored in one of the alignment circuits. It can clearly be seen that the alignment scheme works.
10. Mathematics of the SGG
The theory of the SGG is relatively straightforward in principle but becomes extremely complicated when carried through to second and third order terms in the equations. The ultimate goal of the mathematics is to show that it is indeed possible to set the instrument up so that, irrespective of the accelerations to which it might be subjected, these accelerations do not couple into the differential mode. A simple linear theory has been developed by Chan and Paik 3 . Here the basic mathematical procedure is
described indicating how all non linear terms can be handled. It is straightforward to show that the SGG can always be perfectly balanced to first order but it is the second and third order terms which give rise to problems.
There are two fundamental equations to consider to deduce the dynamic behaviour of the proof masses, the flux equations and the force equations.
Flux conservation requires that, once a magnetic flux is set in a superconducting loop, it cannot change no matter where or how the proof mass moves. Thus as long as the inductance of each coil is known as a function of position and orientation then the currents in all the loops can be calculated with certainty. This current will, in general, be a non linear function of position and orientation. Assembly, orientation and manufacturing errors are straightforward to include but the complexity of the detail rapidly becomes difficult to handle.
Once the current as a function of proof mass position and orientation is known, the dynamic force equations can be used to calculate how the proof mass(es) respond to forces, gravity gradients and angular accelerations. For the analytical solution, these calculations are much better handled in the frequency domain The result of this is that the steady state solutions for the motion of the proof masses is known, including all the non linear terms.
Once the acceleration to position is determined, as above, by the force equations, this is used in the flux conservation equations to calculate the steady state currents as a function of frequency of applied acceleration.
For the gradiometer, the procedure is as follows. First, a set of currents in all the loops is chosen which correspond self consistently to a starting position/orientation for the proof masses. The gradiometer response to an applied acceleration is then calculated for all SGG circuits. The set up is changed slightly and the response to external accelerations is calculated again. The aim is to look for a starting set up which achieves perfect balance over the range of external accelerations which the instrument will encounter in flight. Each circuit in the SGG is needed to calculate the response of the SGG to a given external acceleration but the currents in each circuit are determined only by the position/orientation of the proof masses and the initial currents in that circuit.
The mathematical procedure is illustrated for the single sided accelerometer in Figure 6. The flux conservation equation is,
The following notation shall be used
Substitution of (9.2) into (9.1) yields
Note that this equation is analytically correct, it is not an approximation and this is because the inductance used in the denominator is that at the displaced position, not the inductance at the starting position. This simple modification of standard treatment allows the full analytical solution to be calculated to arbitrary order. This same technique is valid for all loops in the SGG. Note also that (5.3) and (9.3) indicate that i is a polynomial function of position due to terms both in the numerator and the denominator.
Next consider the force equation which can be written as
where ˆ. , , R g n F γ is the gravity resolved along sensitive axis at the proof mass position, other forces on the proof mass (from other circuits), and a conventional damping term. The equilibrium position is assumed to be at ) (0 x where (9.4) becomes a self consistency condition for the currents and forces
where ( ) (0) g x is assumed to be the gravity at time zero when the proof mass is at position (0) x . With nomenclature
the dynamic equations become
From inspection of (9.2) and (9.3) it is clear that the last two terms in (9.7) are polynomial functions of x . The force from the other circuits is clearly of the same form as these last two terms of (9.7) so it will also be a polynomial function of x . Without evaluating the terms explicitly, (9.7) will therefore be of the form,
The first term in this expansion is
This clearly is the "Hook's Law" stiffness of the magnetic spring. The treatment to this point has been completely general without having to choose a form for ( ) g t δ . Exactly the same type of analysis is followed for all of the more complex SGG circuits and the route from this point on is the same as well. Progress is made by assuming a particular frequency for the applied acceleration – the analytical treatment cannot be continued in the time domain. Assuming
it is sensible to look for a steady state solution of the form
where the expressions for the coefficients of the frequency components will be expressed in terms of 1 2 3 , , A A A . The first two terms are
and
where 2 1 0 A m ω = is the resonance frequency of the system and
It is clear that when the accuracy is taken to higher order, the lower order terms are not affected so the treatment is always accurate to the order considered – this treatment can be carried to arbitrary accuracy. Each component, ( ) n x ω includes all i A components up to and including n A .
The final step in the analysis is to calculate the current as a function of applied acceleration. For this, (9.11) is substituted into (9.3) to deduce the components, n i ( ) ω , in (10.14) below
The coefficients, ( ) n i ω come simply from the analysis and
The change in current response at the frequency of this gravity or acceleration excitation, ( ) g ω is obtained by substituting for 1 ( ) x ω from (9.12) into (9.15)
Inspection of (9.9) and (9.12) reveals that the first order solution is just a classic "mass on a spring" problem with the spring constants due to the accelerometer circuit being given by two terms as discussed earlier. One of these is due to the non linearity of the pancake coil inductance and contains only terms relevant to this coil. The other term is due to the closing of the loop and includes the total loop inductance, SQUID coupling plus pancake coil and the linear coefficient of the pancake coil inductance.
The current at the fundamental frequency is also resonant and all variants of these circuits have this form. The ratio between the applied acceleration, ( ) g ω and the induced current ( ) i ω is the scale factor for the accelerometer and is denoted as gi H .
For the gradiometer circuit shown in Figure 6, exactly the same treatment can be executed but now, as there are two proof masses, there are two degrees of freedom. The time dependent accelerations applied to each proof mass can either be in phase, i.e. common acceleration or ( ) c g ω , or they can be out of phase, i.e. differential acceleration or ( ) d g ω . The current flowing around the outer loop at balance is proportional to common mode acceleration and the current flowing through the central arm is proportional to differential mode acceleration. If the current in the central arm is labelled ( d i ) ω then, in the linear approximation
Each of the kl ij H terms will be the sum or difference of terms which look very similar to those in (9.17).
The goal of the balance procedure is to make 0 dc gi H = . For a real situation with real assembly/component tolerance errors, it is easy to achieve a first order balance at a particular frequency merely by adjusting one of the major currents around one of the proof masses. In general, however, this does not give a balance at a different frequency so the balance procedure needs to first
balance at one frequency, then change the frequency of excitation acceleration, adjust a different current to achieve balance and continue until the instrument is balanced at both frequencies. This procedure gives a wide band balance. What we are balancing in this procedure is the scale factors of the two halves of the SGG. It is possible to "prove" the existence of a perfect first order balance, i.e. one at the frequency of the applied acceleration.
In general, this wide band balance does not simultaneously balance out the higher order non-linear terms (10.16) which will be large in an airborne environment. The SGG dynamics must therefore be linearised by the use of forced feedback. This works by controlling the proof mass displacements thus ensuring that the non-linear terms are negligible.
Once the balance has been achieved, flux quantisation ensures that it is maintained. The SGG is complex to set up, but once this is done, the balance is "set". The use of the alignment scheme is incorporated into this procedure so that the final set up of the instrument rejects common mode accelerations in sense direction (primarily by adjusting currents in the differential mode circuit) and rejects accelerations in orthogonal directions by the use of the alignment scheme.
The use of (3.4) together with typical accelerations as seen in an aircraft shows that the alignment issues and scale factor match issues must be treated together and that the instrument balance will not improve unless all errors, scale factor and alignment, are improved in rotation. An extremely high scale factor balance in hardware does not necessarily give a low noise if an alignment error is causing noise injection from another degree of freedom.
It is possible to perform a real time numerical analysis of the system but it is much more time consuming to run the software. Using this scheme, the ESA design with known typical assembly and manufacturing errors has been shown to be able to achieve a wide band balance for common mode accelerations with rejection in excess of . Extrapolating this analysis for the parameters of the exploration SGG suggests that a wide band balance to a level greater than is possible for the accelerations expected. 8 10 6 10
11. Fundamental Noise/Resolution of the SGG
Paik and Chan 3 and Vitale 5 have both analysed the fundamental noise limit of a superconducting gravity gradiometer. There are two major sources of noise viz. the noise of the SQUID readout and the Brownian motion noise of the proof masses interacting with their magnetic springs. For each of these fundamental noise sources, the noise is represented as the gravity gradient signal which would yield the same result. The full expression of noise in terms of its power spectral density (PSD) is
0 where Q is the quality factor of the differential mode resonance which has a resonance frequency ω , is Boltzmann's B k constant, is the temperature of the SGG, is the coupled energy sensitivity of the SQUID (one of the standard specifications for a SQUID), T ( ) A E f β is the ratio of the differential mode energy in the differential mode circuit divided by the total energy in the differential mode resonance and η is a coupling factor from the pancake coil inductance to the SQUID (basically the ratio of SQUID inductance to total inductance in circuit).
A detailed design of the exploration SGG has been carried out and the above treatment indicates that, for an airborne instrument, absolute sensitivity, although important, is not the major concern. It is quite possible to design an SGG with resolution at the 10 level but such an instrument would be impossible to use in a hostile airborne environment with virtually all outputs being saturated. For the exploration SGG it is necessary to stiffen all modes as much as is possible by use of large coils and large currents which generate both large forces and large stiffnesses. 3 / 2 / E H − 1 z
With the designs chosen for this instrument, which includes the proof masses and all the coils and circuits which interact with them, all parameter values for the modelling are fully calculable. The result for the exploration SGG is as shown in Figure 9 below. Note that the instrument will really only be useful at low frequencies because of the speed of the plane and its distance above the ground. This means that typical "best" spatial resolutions will be of the order of one to a few hundred metres (~flying height) which will take several seconds to fly.
12. Design of the Exploration SGG
The design of the exploration SGG utilises similar designs to those used for the European Space Agency prototype tool developed under ESA contract 10393/93/NL/PB. The circuits are similar in design and in principle to those used to describe the basic concepts above and the SGG utilises proof masses which are as indicated in Figure 10 below. These proof masses are made from pure Niobium, weigh 100gm and are 50 in both length and diameter. The sensitive axis for gravity gradient measurement is axial and the sense coils for both gravity gradient and axial common mode motion sense interact with the flange perpendicular to this axis inside the proof mass. Coils mm
acting on all the other surfaces, inside and out, are used for the alignment function and to sense all other motions when utilised in circuits as above.
There are two versions of the exploration tool, the first of which will measure and which will be made, flown and tested first, and the other a full tensor gradiometer. The zz Γ zz Γ tool shall measure
From these measurements and the use of a sophisticated GPS/INS system, all quantities needed to correct the data for all platform motions will be acquired or calculated. Analysis demonstrates that the component is less susceptible to platform motion and better performance is therefore obtainable than for zz Γ xx Γ and for the same level of rejection of common accelerations for all directions of flying. yy Γ
The mechanical layout of the exploration SGG is shown in Figure 11. This design can take six accelerometer modules to perform the full tensor gradiometer function but just two will be used in the first instrument, the SGG. zz Γ
Finally, it is necessary to make some comment about a stabilised platform. It is clearly desirable to remove as much noise as possible from the aeroplane. However, because of the physical amplitude of the linear motions, it is impractical to consider anything other than angular stabilisation together with passive or active isolation of low amplitude high frequency linear accelerations. Whatever is left in the way of angular and linear accelerations must be handled by the SGG itself.
Analysis shows that, if the following angular stability could be achieved, then with the exception of the centrifugal error, which cannot be rejected, angular motions will not cause errors in excess of the fundamental noise limit presented above.
The hardest of these is the angular rate error. Of course, signals above these is not death to the SGG, all that is then required is more software correction of the induced errors or, in the case of angular acceleration motion, a better intrinsic rejection.
13. Conclusion
The theory for the analysis and use of a superconducting gravity gradiometer has been presented. It has been shown that this tool will achieve better results than any other gravity gradiometer available today and any airborne gravity tool. The phenomenal stability of this tool is afforded by flux quantisation and the Meissner effect, fundamental quantum mechanical properties of superconductors. The design proposed for the exploration SGG has been discussed briefly and it has been demonstrated that there are parameters which allow it to achieve in difficult airborne environments. 1/ 2 1 / E Hz
14. References
1 Bracewell, The Fourier Transform and its appluvations,
3H. A. Chan and H. J, Paik, Phys Rev D, 35(12), 3551-3571 (1987)
2 R.J.Blakely, Potential theory in gravity, Cambridge University Press
4 K.R.Symon, Mechanics, 2nnd ed. (Addison-Wesley, Reading, MA, 1961) p278
5 S. Vitale, GOCE Phase A study, ESA, 1999
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Escaping Liberty: Western Hegemony, Black Fugitivity
2014 42: 288 Political Theory
Barnor Hesse
DOI: 10.1177/0090591714526208
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PTXXXX10.1177/0090591714526208Political TheoryHesse
Escaping Liberty: Western Hegemony, Black Fugitivity
Barnor Hesse 1
Abstract
This essay places Isaiah Berlin's famous "Two Concepts of Liberty" in conversation with perspectives defined as black fugitive thought. The latter is used to refer principally to Aimé Césaire, W. E. B. Du Bois and David Walker. It argues that the trope of liberty in Western liberal political theory, exemplified in a lineage that connects Berlin, John Stuart Mill and Benjamin Constant, has maintained its universal meaning and coherence by excluding and silencing any representations of its modernity gestations, affiliations and entanglements with Atlantic slavery and European empires. This particular incarnation of theory is characterized as the Western discursive and hegemonic effects of colonial-racial foreclosure. Foreclosure describes the discursive contexts in which particular terms or references become impossible to formulate because the means by which they could be formulated have been excluded from the discursive context. Through an examination of the action of foreclosure, based largely on unraveling the liberal-colonial convergences of Two Concepts the essay reflects on the political and theoretical problems posed for black political thought by the hegemony of Western formulations of liberty that deny their indebtedness to Western colonialism. Drawing upon juxtapositions between white liberal/ republican thinkers and black fugitivity thinkers, it argues a particular lineage
1
Northwestern University, Evanston, IL, USA
Corresponding Author:
Barnor Hesse, African American Studies, Political Science and Sociology, Department of African American Studies, Northwestern University, 5-131 Crowe, 1880 S-Campus Drive, Evanston, IL 60208-2209, USA.
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of black political thought is compelled to conceive of itself as an escape from the colonial and racial hegemony of Western liberty.
Keywords
Isaiah Berlin, black political thought, liberty, black fugitivity, foreclosure
This is the classical liberal view, in whole or part expressed in various declarations of the rights of man in America and France and in the writings of men like Locke, Voltaire, Tom Paine, Constant and John Stuart Mill. When we speak of civil liberties or civilized values, this is part of what is meant.
– Isaiah Berlin 1
And that is the great thing I hold against pseudo-humanism: that for too long it has diminished the rights of man, that its concept of those rights has been—and still is—narrow and fragmentary, incomplete and biased and, all things considered, sordidly racist.
– Aimé Césaire 2
Isaiah Berlin was many things but he was not a black political theorist. Berlin's famous Two Concepts of Liberty 3 first published in 1958 is an eloquent statement of a hegemonic modern convention in Western political theory of colonial-racial foreclosure. This occurs in relation to the liberty/ freedom 4 question where its contested meanings are routinely theorized within the terms of liberalism, democracy and republicanism, and their constitutive entanglements in Western colonialism and race governance are occulted as part of their representative formulation. Modern political theory has remained resolutely inoculated against the exposure of colonial aporias, liberal antinomies and racial atrocities in the formative constitutions of Western polities and concepts of liberty. Although Berlin might seem the least likely candidate to carry any weight of this indictment and an arbitrary point of departure for thinking about these themes, his prominence in scholarly reflections on liberty/freedom cannot be easily ignored. The renowned status of Two Concepts has largely been achieved by its providing an almost obligatory point of entry into these discussions. What makes Two Concepts so instructive for my purposes is its exemplary inscription of colonial-racial foreclosure in addressing liberty/freedom in the West. By the same token, a similar strategy is reproduced in recent republican theoretical challenges to the Two Concepts, best represented in the work of Quentin Skinner and Phillip Petit. Their compelling advocacies of a third concept of liberty are by guest on May 20, 2014
also remarkable in resuming an unremitting silencing of the colonial-racial formations of Western political ideas of liberty. These particular foreclosures make a virtual outlaw of black political thought, where conceptions of freedom seek to escape the captivity of Western hegemonic law and lore. In this essay, I unravel that hegemony in its attachments to the routine exorcism of the modern histories of Western colonialisms and race governance from its concepts of liberty. Against that background I argue black fugitive thought, principally theorized here in in relation to Aimé Césaire's Discourse on Colonialism (1955) and David Walker's Appeal to the Colored Citizens of the world (1830), symptomatically exposes and circumvents the Western hegemony of liberty.
One Liberty, Two Liberties
Having already made several references to the idea of "foreclosure," it is necessary to clarify its theoretical meaning. In Lacanian psychoanalysis, foreclosure refers to the preemptive exclusion of possible references and their locutions from the realm of the symbolic, the field of representation or discourse. Although foreclosure is a structural feature of all discourse, of interest are the hegemonic effects of specific strategies, since what is foreclosed is the possibility of particular representations. Hence certain redacted themes or objects become unsayable, lacking in referentiality because they are routinely prohibited by the conventions or rules of what can be formulated in a particular discourse. Foreclosure makes certain expressions impossible, insofar as the locutions that would allow that expression have already been denied any existence within the valorized discourse. In other words, "foreclosure is a mechanism that simply treats the foreclosed as if it did not exist." 5 Judith Butler usefully argues that rather than regarding foreclosure as the site of a discourse's deficits, it should also be considered in terms of what it produces. Foreclosure makes it possible for some things to be formulated in what is said, written, or represented and others not. The "action of foreclosure" is repetitive and quotidian because its proscription of particular discursive terms, themes or questions is never finalized; the conventional, hegemonic or normalizing discourse remains ever threatened by what has in effect been constitutively foreclosed. This suggests that political and hegemonic strategies can be invested in seeking to secure particular repetitions of the conditions of impossibility and possibility in what is thinkable and sayable. Navigating the relation between political theory, the liberty question and colonial-racial foreclosure, I ask, "what must remain unspeakable" 6 for modern Western representations of liberty to sustain their power of universal reiteration in contemporary political theory?
by guest on May 20, 2014
Two Concepts is a classic demonstration of the "action of foreclosure" as a colonial-racial art of liberalism during the Cold War. Berlin's formulations emerged from a concern at the end of the 1950s that the "fundamental problems of politics" were being neglected by professional philosophers. 7 However his framing of the Cold War as a confrontation between Western democracy and eastern European communism neglected how that ideological axis was also heavily penetrated by anti-colonialism, U.S. civil rights and anti-apartheid. 8 With that in mind I want to ask what is the constitutive significance of the colonial and racial silences that underline Berlin's substantiation of and distinction between "negative liberty" ("non-interference") and "positive liberty" ("self-mastery"). When clarifying "negative liberty" Berlin argues, "I am normally said to be free to the degree to which no man or body of men interferes with my activity." Important to the securing of negative liberty, beyond a certain limit (e.g., the rule of law), is the occlusion of coercion, the most freedom denying of which (given Berlin's various metaphorical references to it) is slavery of any kind. In short, negative liberty means the "wider the area of non-interference, the wider my freedom." 9 What is interesting about this characterization is that it is based on a concept of liberty that assumes an uninterrupted and unproblematic presence, the meaning of which is signified only by the threat of its potential absence, associated with any form of interference. In other words, in the logic of Berlin's argument, negative liberty seems to be an accomplishment, as if it was a value attained with the elimination of interference that paradoxically can only be conceived retrospectively.
In contrast, positive liberty is aspirational, predicated on the enduring denial of the liberty it hopes to realize. Berlin describes it as a mode of selfdirection, independent of external forces, including the desire to be a subject rather than an object. It is a declaration in which slavery is again its nemesis resulting in a "wish to be somebody, not nobody; a doer—deciding, not being decided for, self-directed and not acted upon by external nature or by other men." Continuing the metaphor of slavery Berlin describes as the reaction to this absence of freedom the feeling of being treated "as if I were a thing, or an animal, or a slave incapable of playing a human role, that is of conceiving goals and policies of my own and realizing them." Yet for Berlin it is only positive liberty that in its fundamental resistance to and overcoming of slavery ultimately succeeds in instituting a new form of slavery. Adjudicating from the perspective of negative liberty, Berlin argues positive liberty has been, "at times, no better than a specious disguise for brutal tyranny." 10
Berlin's idea of positive liberty culminating in tyranny is clearly associated with the excesses and collectivisms of a European history he attributes to the French and Russian revolutions. This approach privileges Western by guest on May 20, 2014
liberalism as the heir to and adjudicator of the meaning of liberty (and of slavery). Hence it is the deformation of individualism by collectivism that renders it incommensurable with negative liberty. The positive conception of liberty is readily contaminated by its opposite into which it easily degenerates once self-mastery or self-determination posits an idealized self valued for its greater rationality, beyond an empirical, lesser self, demeaned for its emotional and base associations. Berlin associates this with the idea of a transcendent collectivism that he identifies with populist investments in a Marxist historical class subject or a Nietzschean will to power. These kinds of collectivism are seen by him as oppressing liberty, particularly where resistant individual sensibilities are incompatible with "nationalist, Communist, authoritarian and totalitarian creeds" and indicted for not conforming to selves that have been ordained on their behalf by the creed itself or its representatives. 11
Between these reformulated, Cold War poles of liberty and slavery, Berlin introduces a series of oppositions that conflate the contemporary meaning of freedom in political philosophy with the concerns of Western hegemony in geo-politics. Negative liberty signifies an actual accomplishment of true liberty, humanism and individualism, against which positive liberty signifies a failed aspiration in false liberty, despotism and collectivism. For Berlin, the critique of "self-mastery" by the adjudication of "non-interference" means that positive liberty is an aspiration that can never actually become an accomplishment. Its degeneration to a form of collectivist enslavement is confirmed by the perpetuation of its aspiration in the tyranny of ineluctable accomplishment. Whatever the merits of Berlin's incommensurability thesis, 12 it is my argument here that it did not merely demarcate a geo-political frontier in political philosophy between NATO and the Warsaw Pact. Arising from Berlin's foreclosure of any sustained reflections on the global colonial world was its normalization of a racial frontier presumed between the liberties attributed to white visible peoples presumably with histories and politics and the lack of liberties associated with non-white unspeakable peoples apparently without histories and politics. 13 The idea of the Cold War as mediating political conflicts within a Western colonial global order was not something that had any locus standi in Berlin's representations of Anglo-American liberal political theory, the tradition from which he drew his normalizing locutions. Consequently, his framing of the liberty question in the Cold War eclipsed all the ways in which the politics of anti-colonialism and race were deeply entangled in figurations of freedom throughout the global conflicts between the alliances of the American and Soviet super powers as well as within them. 14 But at the same time his unrelenting critique of positive liberty seemed to mirror and mask an unflinching condemnation of anti-colonialism.
by guest on May 20, 2014
So how might we think about the racial and colonial implications of Berlin's formulations of liberty and their foreclosures as tropes of Western hegemony?
Liberalism, Colonialism
Minimally liberalism has been described as a "tradition of thought whose central concern is the liberty of the individual, which is ignored or ridden roughshod over by organicist philosophies of various kinds." 15 While something like this is clearly the populist epiphany Berlin had in mind he seems not to have ruminated on the entangled "counter-history" of that same tradition in which various luminaries and valorized practices of liberalism were conventionally ensconced with the colonial institutions of racial slavery and Empire. 16 We can reveal the fault-lines of this kind of foreclosure by placing Two Concepts in conversation with an equally famous contemporaneous political analysis, Aimé Césaire's Discourse on Colonialism. Writing against the liberal-colonial grain of Western humanism, outside the representational law of Western hegemony, Césaire interrogated the global politics of the mid1950s from the vantage point of the West and its Empires rather than the West and its liberalisms. The 1950s was a devastating decade for Western colonial and racial violence and torture in places like Korea, Algeria, Madagascar, Kenya, and the Southern United States. 17 Cesaire understood the Cold War in these various colonial antagonisms; they were produced by the Western rule of law and its expropriation and violations of non-European and non-white peoples for the "public purposes" of Western nations. 18 The global question of freedom cut through North and South, as well as East and West, with its political ramifications running up against an anti-colonial and anti-racist critique of liberalism. 19 Discourse obliges us to consider how negative liberty might be conceptualized if approached from the anti-colonial perspective of positive liberty. In particular, what happens to our understanding of Two Concepts if positive liberty, the aspiration to "self-determination," is located in the unfreedoms of the "non-European" colonies, and negative liberty, the accomplishment of "non-interference" is associated specifically with the freedoms of the European metropoles (and it could also be said "White America") at the end of the 1950s?
In Two Concepts the colonized, non-Western world is construed as having scant regard or need for genuine liberty. Without naming the theme of colonialism directly (the term is never used by him) Berlin dismisses non-Western anti-colonialism as more concerned with demands for self-determined identity and "recognition" than actual liberty itself or the desire for "equality of legal rights." Equating the desire for "proper recognition" with restoring by guest on May 20, 2014
the integrity of "class or nation, or color or race," Berlin argues being "recognized as a self-governing individual human being" is not the same as embracing the ultimate individualism of liberty. Berlin's brief survey of what he deems to be the misguided freedom trajectories of anti-colonialism finds its terminus in the following:
It is this desire for reciprocal recognition that leads the most authoritarian democracies to be, at times, consciously preferred by their members to the most enlightened oligarchies, or sometimes causes a member of some newly liberated Asian or African state to complain less today when he is rudely treated by members of his own race or nation than when he was governed by some cautious, just, gentle, well-meaning administrators from outside. (emphasis added) 20
It should be apparent that Berlin unsuccessfully conceals a liberal-colonial dilemma here for his espousal of negative liberty. It has two aspects. First, conceding that both the colonized Asians and Africans were genuinely concerned with freedom would implicate Western liberal democracies like Britain and France in the colonial categories of tyranny and authoritarianism. This was something unthinkable and therefore unspeakable within his Western liberty schema. Second, even conceding the lesser positive liberty claims of the colonized would require acknowledging European colonialism as an impediment not only to that liberty, but ultimately to the greater value of negative liberty insofar as the colonial regime could be identified as clearly interfering with the possibility of independent lives pursued by racially proscribed non-European individuals. Not surprisingly, Berlin's foreclosures resolve this dilemma through exempting Western colonialism from violence and authoritarianism and more pointedly reclaiming negative liberty as a presumptive Western privilege. 21
Césaire's Discourse confronts similar colonial-racial foreclosures in taking to task various contemporary French thinkers who conceptually bear an uncanny liberal-colonial family resemblance to Berlin. One in particular, Octave Mannoni, a psychoanalyst, is worth mentioning. His book, Prospero and Caliban: The Psychology of Colonization, published in 1950, documented the experiences of the colonized in Madagascar. Mannoni concluded that the Malagasies did not desire independence because they failed to express themselves in claiming "more freedom for the individual." 22 Their concerns with nationalist independence were not to be confused with demands for "greater personal freedom." What he viewed as the Malagasies' devotion to re-establishing a relation of "dependency" with new political leaders indicated that "political systems and constitutions meant nothing to them."
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Mannoni's dependency thesis clearly echoes Berlin's recognition thesis. Both see the appellation "freedom" as a misnomer to describe the objectives of anti-colonialism and regard European colonialism, appropriately sanitized as preferable to the colonized establishing their own governments. Cesaire describes these intellectual formulations as "racism." Consequently much of Discourse is engaged in unraveling the liberty question from the euphemisms indulged by this tradition of Western liberal thinkers and laying bare their political formulations in colonial-racial foreclosures. Cesaire paraphrases the exemplariness of Mannoni's liberal-colonial views in the following way: "The Negroes can't even imagine what freedom is. They don't want it, they don't demand it. It's the white agitators who put that into their heads. And if you gave it to them, they wouldn't know what to do with it." 23 What Césaire helps us to expose in this 1950s homology between liberalism and colonialism, is a Western narrative of freedom that incorporates the imperatives of the colonizers and exorcises the predicaments of the colonized.
Re-framing the Western liberty question in this way draws us beyond Berlin's foreclosures into Césaire's narration of the geo-political formation of the West as conterminously liberal and colonial, civilized and barbaric, humanist and racist. 24 Outside the law of Western representations of its own hegemony, Discourse challenges us to think against what has been foreclosed. Working through these colonial and liberal imbrications, a very different conceptual lineage intrudes upon the Two Concepts. It distinguishes itself normatively as race governance expressed at times in non-racial terms, rendered unspeakable, unless exposed, as part of the Western inheritance of negative liberty in international law and political theory. 25 What I mean by race governance needs to be clarified. Although the signifier race is now regularly and rightly problematised for erroneous biological associations, it has also been too easily sanitized as a demographic or sociological marker and dissociated from its modern colonial formation in relations of violence, regulation and administration. 26 I understand race politically as a constituted, relational, Western colonial category of governance. Race was culturally enumerated in the Western colonial practices that established social assemblages of hegemonic Europeanness and subaltern non-Europeanness. Since the sixteenth century, European colonialisms in the Americas, Asia, Africa, and Oceania, race governance was constituted, demarcated, and calculated in relation to these assemblages of populations and things (i.e., territories, corporealities, cultures, economies, religions, and discourses). Always with a self-assembled Europeanness (metaphorically coded white) economically administering, culturally regulating and politically legislating an externally assembled non-Europeanness (metaphorically coded non-white, black, red, yellow etc.). The sanitized discourse of race governance can be described in by guest on May 20, 2014
James Tully's phrase as postulating that "the only right ordering of all humanity globally is the gradual establishment of European-style, identical republican or constitutional states that legally recognize individuals as negatively free, formally equal and substantively unequal, and dependent on a single system of laws and representative government." 27
That Two Concepts is informed by a normative commitment to race governance is unmistakable. Yet it might be argued it remains an open question as to how that normativity structures Berlin's universalist conceptualization of liberty, if at all. Césaire engages what is foreclosed by the Two Concepts where he argues that globally and not just individually, the Western colonial imperative emerged historically from the violent gestation of a constitutive geo-political form of Western self-determination. Ironically this configuration resembles much of what attracts the opprobrium Berlin attributes to positive liberty, forcing into sharp relief the West's tyrannical race governance of the colonized non-Western world between the sixteenth and twentieth centuries. 28 It raises questions concerning the nature of the Western relationship between negative liberty, positive liberty, and colonialism foreclosed by Two Concepts. Drawing answers from Cesaire requires we recognize a colonial dimension in both negative liberty and positive liberty, tracing their thematic congealment in three propositions. First, negative liberty depicted as the superior liberty is intimately associated with the West, this insinuates the West as the collectivist authority to adjudicate on its absence in both the Cold War non-West, and the colonized non-West. Second, insofar as negative liberty is a Western accomplishment, this suggests positive liberty (collectivized as self-determination) was also the condition of possibility for the West's attainment of negative liberty. Third, racially normative governance establishes the basis of non-interference in the West's hegemonic institution of Christianity, capitalism, democracy, nation-states and the rule of international law. This suggests a Western reliance on the imbrication of negative liberty, positive liberty and colonialism. It leaves us asking, what does this mean for the Two Concepts in a renewed engagement with the Western dimensions of contemporary political theory?
Colonial Freedom, Unfreedom Colonized
We need to take seriously Partha Chatterjee's caution against accepting uncritically the conventional lineage claims of Western political institutions. According to Chatterjee, "contrary to the long-enshrined received narrative, those institutions and their normative principles were not the products of an exclusively endogenous development but the result of Europe's encounters with its colonial territories, first in the Americas and then in Asia and by guest on May 20, 2014
Africa." 29 As we have seen, Berlin betrays no comprehension of this, indeed he tries to avoid the political problems this Western lineage poses for political theory by overlaying the anti-colonial implications he adumbrates with Western liberal deliberations that foreclose any engagement with the political institution of the colonial. This becomes apparent when viewed within the European colonial scenarios that Berlin's easy detachment of liberalism from colonialism routinely erases. During the late 1950s, anti-colonialism could be interpreted as a critique of negative liberty (i.e., non-interference from nonEuropeans) embodied in French or British colonialism given their denial of positive liberty (i.e., self-determination) to "non-Europeans" like the Algerians or Kenyans. 30 That Berlin cannot conceive of this interpretation is an indication of the liberal-colonial logic he has affirmed that upholds the colonial rule of accomplished European negative liberty over the aspirational claims of non-European positive liberty.
The liberal-colonial logic I am referring to is located in Berlin's contention that a "principle" or a "practical compromise" has to be found to reconcile the fact that at times the freedom of some will be incurred at the expense of the freedom of others. This too can be read as a classical expression of British or French colonialism, whose instrumental ideologies of "native" development or "native" protection through civilizing mandates established such principles. 31 Within the colonial context of the Cold War, Berlin ignores the implication that the positive liberty he proscribes is the only possible collective aspiration for liberty among those whose freedoms are curtailed by the liberal-colonial practical compromise. Because of the emphasis he gives to the need for a principle that preserves "a minimum area of personal freedom," he re-establishes the preeminence of negative liberty at the expense of sustaining a relation that in effect is liberalism's practical compromise with colonialism. Insinuating an antagonism between the two liberties, the preservation principle Berlin desires for negative liberty simply underwrites those who have liberty and undermines those who do not, respectively the colonizers and the colonized. This raises the curiously neglected question of whether the European colonizer's concept of liberty is the liberal inheritance of Western political theory.
Thinking about what might be the liberal-colonial inheritance and legacy of Two Concepts, it is important to consider Berlin's affinity with the two philosophers he describes as the "fathers of liberalism," 32 namely, John Stuart Mill and Benjamin Constant, who are prominently invoked in his elliptical discussions of anti-colonialism. 33 On three occasions, Berlin cites Mill's On Liberty (published in 1859) as an authority in distinguishing what he takes to be a profound incompatibility between anti-colonialism and authentic conceptions of liberty. First, anti-colonialism is deemed deficient because it is by guest on May 20, 2014
associated with what Mill described as "pagan self-assertion"; analogous to what might be disparaged today as identity politics. Second, it is found wanting because it is construed as oblivious to Mill's notion of the "harm principle" which suggests that interference with the behavior of individuals is permissible only to the extent that it prevents harm being done to others. Third, it is seen as questionable because it is accused of not embracing civilized standards that seek the "maximum degree of non-interference compatible with the minimum, demands of social life." 34 Although not expressly stated as such, Berlin inflects Mill's views on the racial tethering of liberalism and colonialism, with respect to liberty. Mill's concern with the universalism of liberty was radically less inclusive when it came to the rights of the colonized non-West. Without any hint of double standards, Mill argued, "we may leave out of consideration those backward states of society in which the race may be considered as in its nonage." In those instances he argued, "despotism is a legitimate form of government in dealing with barbarians provided the end is their improvement and the means justified by actually effecting that end." This was because liberty, "as a principle, has no application to any state of things anterior to the time when mankind have become capable of being improved by free and equal discussion." 35 Mill provides an ontological division of the world into regions of liberty in the colonizing West and regions of despotism in the colonized non-West, with both regions ruled by the West's instruments of race governance. In other words, for Mill the Western liberty question was bifurcated racially between European colonizers who possessed liberty and sought to protect it and the non-European colonized who did not and sought to acquire it from their colonizers. 36 However, what I am also suggesting is that Mill, like Berlin who follows him, does not conceptualize liberty, its protections and threats, outside of what might be described as its Western possessive individualism, the racial liberties of elite white European and white American citizens. This is extremely close to saying without saying that liberty is a racial value, invariably at the dispensation of a white Western birth right. 37
We can also trace a similar lineage of adherence to white Western birth rights in Benjamin Constant. Berlin's analysis in Two Concepts was heavily influenced by Constant's speech, The Liberty of the Ancients compared with That of Moderns, published in 1816. 38 Constant's reflections on liberty return us to the trope of slavery which is posed as the ultimate threat to the liberty of citizens who actually have their liberties intact, in countries where they are not subject to despotic or foreign rule. Particularly deserving of attention is Constant's disregard of the colonial-racial significance of the geographical sites of liberty he identifies early in his speech, "First ask yourselves, Gentleman, what an Englishman, a French-man, and a citizen of the United by guest on May 20, 2014
States understand today by the word 'liberty.'" 39 It is remarkable given the time period that Constant does not imagine a similar question as worth asking of the enslaved black populations of the English and French colonies, or of the colonized Native Americans and enslaved black populations of the United States. Constant forecloses the contemporaneous context of racial slavery, exploring instead distinctions between the modern liberty of individualism and the political liberty of the Ancients. For Constant, modern liberty encapsulated among other things "the right to be subjected only to the laws, and neither arrested, detained, put to death or maltreated in any way by the arbitrary will of one or more individuals." Ancient liberty guaranteed the sovereignty of each individual citizen in affecting the deliberations of a republican government but "had no notion of individual rights" and allowed private actions to be "submitted to a severe surveillance." 40 While he suggested the two liberties should find some form of rapprochement, there is no doubt that for Constant individual liberty was sovereign. This perhaps explains his repeated use of the trope of slavery to caution against the valorization of the Ancient republics that, like Sparta, virtually enslaved their own citizens in a monastic idealization of life, or that, like Athens, required a substantial community of slaves in order to have the leisure time to participate in public assemblies. Yet references to slavery occur only in relation to Western antiquity and contemporary metaphor, while the significance of Atlantic racial slavery is foreclosed by the use of references to antiquity and its contemporary metaphors. Indeed, as part of making his case for the intrinsic modern superiority of individual liberty, Constant argues without any obvious sense of irony that "thanks to commerce, to religion, to the moral and intellectual progress of the human race, there are no longer slaves among the European nations." 41 As far as Constant is concerned, even without saying it explicitly, the action of colonial-racial foreclosure makes it possible to assume that liberty is the racial preserve of European and American citizens who are propertied white males. In other words, freedom is represented as if embodied in a hegemonic Western possessiveness, almost an accident of white racial birth.
What is striking as we move from Berlin to Mill to Constant is that in each of these iconic signs of liberalism, the Western liberty question is identified racially with a political ontological distinction. This obtains between white citizen freedom and non-white, non-citizen unfreedom, where the latter's realization of freedom can only be derived from the being and meaning of freedom as whiteness. A conceptual picture begins to emerge of modern freedom as a conception in Western liberal political theory that has routinely been enunciated from the colonial site of the citizen, an always already free white European or white American male, posited as the subject of rights, bearing the implications for reflecting on the meaning of liberty's possible or by guest on May 20, 2014
threatened absence. 42 However, while this conceptual picture has long been recognized what has long been neglected is the extent to which its Western political formulation has perpetuated a conceptual inheritance that has largely subordinated the meaning of freedom for the colonized and the enslaved to the meaning of freedom for the colonizers/enslavers as the citizens. How that predicament confronts black political thought with the challenge of escaping its political and conceptual captivity by racial-colonial foreclosure is a question to which I now turn. 43
Fugitivity, Escape
In Black Reconstruction, published in 1935, W. E. B. Du Bois reflected at length on the post-slavery sabotage and collapse of mid–late nineteenth-century U.S. Reconstruction and the enduring failure to protect the political liberties of emancipated African Americans. Towards the end of that analysis, Du Bois turned his attention to the white tradition of historiography on Reconstruction that had either erased or disparaged the political leadership, participation, insights, and transformations of formerly enslaved black populations. Condemning its actions of foreclosure he wrote, "the chief witness of Reconstruction, the emancipated slave himself [sic] has almost been barred from court. His written Reconstruction record has been largely destroyed and nearly always neglected." 44 While the presence of emancipated black populations could not be denied in the white histories and sociologies of Reconstruction, the political significance of slavery had been suppressed, and it was as if only "caricatures of Negroes" had been "preserved" in the archives rather than the "serious speeches, successful administrations and upright character" of the former slaves. Undoubtedly, argues Du Bois, "every effort has been made to treat the Negro's part in Reconstruction with silence and contempt." 45 Du Bois's critique in Black Reconstruction is similar to that of Césaire's Discourse; it exposes the colonial-racial structure of foreclosure in white hegemonic figurations of universal liberty. But it also reveals more sharply how foreclosure is governmental, invested in subsuming black populations within a racially ascribed incapacity to assume the responsibilities of liberty, hence the caricatures. In addition, it shows how the foreclosures of white historiography racially divested the liberty question of Reconstruction from any critique of its deeper, continued associations with slavery and race; hence the "Negro" is barred from testifying. Du Bois's Black Reconstruction, written primarily against this barring, effectively interrupts what has been foreclosed. Reformulating white-skewed U.S. histories, it escapes that racially emblematic law of representation, by positioning itself within the discourse of black fugitivity, the political discursive legacy of the slave narrative. 46
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African American and Black British slave narratives developed rapidly as a genre between the late eighteenth and mid-nineteenth centuries. Catalyzed by abolitionist movements on both sides of the Atlantic, they are important for developing alternative figurations of Western liberty. 47 Slave narratives have been variously defined as accounts of "the life, or a major portion of the life, of a fugitive or former slave, either written or orally related by the slave personally" 48 or "autobiographical narratives written or dictated by ex-slaves of African descent in the eighteenth, nineteenth, and twentieth centuries." 49 While factually correct, perhaps what captures the political poignancy of the genre as foundational to black fugitive thought is Frances Smith Fosters's characterization of them as "personal accounts by black slaves and ex-slaves of their experiences in slavery and of their efforts to obtain freedom. Written after the physical escape had been accomplished and the narrators were manumitted or fugitive slaves." 50 What is significant is the idea of freedom as a formulation conditional upon escape and the accruing status and rationale of fugitivity in the enactment of that escape. The slave narrative was based on a structure of exposition as escape. This included escaping the prohibitions against speaking outside the racial law of slavery; escaping the societal repression of the slaves aspirations for positive liberty from the site of fugitivity; and escaping political retribution for portraying the constraints, indignities and violence inflicted in the individual life of the slave narrator as a communitarian experience. 51 Implicating racial slavery in sustaining the private space and privileged status of liberties accredited to white citizens, the slave narrative raised both the prospect of extending liberal ideals to the abolition of slavery and concurrent associations of liberal ideals with the institution of slavery. Slave narratives were "intensely political documents" 52 writing the agency of escape into the logic of fugitivity that produced the narrating black subject.
Conventionally the idea of fugitivity in African American slave narratives is defined by the "slave's geographical journey of escape, from the slave territories of the U.S. South to the free soil of the North or Canada." 53 But we should not allow that familiar trope to obscure the political meaning of the relation between liberty, escape and fugitivity. Samira Kawash usefully suggests we can think about this in four connected ways, which expose the "liberal humanist" conception of freedom not only as socially hegemonic but as racially oppressive. First, in "stealing him- or herself" the black fugitive both "violated the law of property" and became "an outlaw." Second, the black fugitive exposed "the groundlessness of the originating distinction between person and property." Since the former slave was none of these, she/he could only occupy "this non-place between master and slave" in terms of "silence, invisibility and placelessness." Third, the black fugitive "never exists as by guest on May 20, 2014
subject," as an outlaw the fugitive is "not subject to the law nor recognized as subject by law." In being located as exterior to the law, the fugitive slave exposes the law to its "outside" or what might be described as racially prescribed terrain of unfreedom. Fourth, as the black fugitive is "neither self possessed nor simply property" she/he cannot be "recognized as a political subject and therefore can never be free" in accordance with the enduring status of fugitivity. 54 What Kawash manages to convey so insightfully are the political predicaments of escape that confront the encounter of black fugitivity with the Western institution of negative liberty in its mode of race governance. Negative liberty was effectively white liberty exempt from the intrusiveness and incursions of racial profiling. Although it provided the philosophical grounds for emancipation, it also established the political conditions that conferred black fugitivity, since it was evident that freedom from the law of slavery was not homologous with freedom from the rule of race. 55
Citizen Liberty, Slave Liberty
I want to suggest formulations of black freedom are only possible in their rewriting as forms of escape from the Western hegemony of liberty. This means black fugitive thought can only be sustained through the emancipation inherent in escape from the colonial-racial foreclosure underpinning consent to Western hegemony. We have seen the warrant for this approach in Césaire and Du Bois; it can now be further developed in a critical reading of David Walker. 56 Walker, a free-born African American and anti-slavery activist in the early nineteenth century, in 1830 published his Appeal to the Coloured Citizens of the World but in particular and very expressly to those of the United States of America. Comprising in part a rhetorical mobilization for sustained diasporic political activism against plantation slavery, it also developed a subtle if provocative analysis of the mix of liberalism, republicanism, Christianity, race and colonialism in the Western hegemony of American culture. Walker diagnosed the meaning of freedom and slavery in Western hegemonic culture from the Western foreclosed, oppositional focus of the enslaved, their dispersion, descendents and prospects for escape. In short, he contested the liberty claims of modernity in two principal critiques of Western colonial-racial foreclosure.
The first unraveled the racialization of modern liberty. Although nominally a free man of color, Walker described his own freedom as "of the lowest kind," "the very dregs" and "the most servile and abject kind" since he was ever vulnerable to the rule of race. 57 His so-called freedom from interference was radically limited by race. Not only did it prevent him from standing for high office, it undermined his freedom of movement, invariably leaving him by guest on May 20, 2014
susceptible to being enslaved like the majority of the black population in the United States if any white person questioned him and he was unable to produce or demonstrate the credentials of his liberty. Stephen Marshall suggests "Walker's conception of freedom is markedly similar to the classic characterization of liberty that Isaiah Berlin associated with the canon of Western political philosophy." 58 The importance of this observation however lies in also appreciating that unlike Berlin Walker did not privilege negative liberty and demonize positive liberty. Indeed while it might be said in Berlin's political terms that Walker radically lacked negative liberty, in Walker's own political terms even the positive liberty that was necessary to rectify this lack was radically insufficient and impoverished if it did not also include "the salvation of our whole body," the diaspora of black populations, on a world-wide basis. Walker's awareness of the colonial dimensions of Western hegemony urged that a collectivist, anti-slavery positive liberty was required to shore up an individualist negative liberty degraded by the rule of race.
Walker's second critique unravels Atlantic racial slavery in modernity (i.e., the Americas) as the more pressing meaning of freedom's antonym and as the normative basis of metaphorical allusions in political discourse rather than slavery in antiquity (i.e., Greece and Rome). During the course of this critique, Walker indicts Enlightenment luminary Thomas Jefferson whose Notes on the State of Virginia published in 1787 extolled liberal and republican values while equivocating on the abolition of slavery, describing it as a "great political and moral evil," and yet favoring emancipation at some unspecified time in the distant future. 59 It should be recalled of course that Jefferson himself was a large-scale slaveholder in Virginia. Perhaps this explains the use of his Notes to dwell at length on the "eternal monotony" of the slave populations' "unfortunate" skin color, their lack of "reflection" and undeveloped intellectual capacity, all of which he considered a "powerful obstacle to the emancipation of these people." 60 What is particularly striking about Jefferson's ambiguous defense and abhorrence of slavery, as Walker highlights emphatically, is his disingenuous comparison of U.S. plantation slavery with the slavery of Roman antiquity. Jefferson argued Roman slavery was "much more deplorable" than American slavery and expressed admiration that despite their ordeal the Roman slaves still managed to develop artistic and intellectual abilities, many excelling as poets. Jefferson concluded these achievements were possible because Roman slaves were a "race of whites" and commented instructively that when achieving emancipation how socially they were able to "mix without staining the blood" of their masters. 61 Jefferson regularly used this comparison between white roman slaves and black American slaves to reinforce the idea of congenital racial inferiority by guest on May 20, 2014
among the enslaved black populations and to absolve the American institution of slavery from the causes of the slaves' perceived intellectual incapacities. In effect, for Jefferson, modernity's American slavery, as odious as it may have been to his moral sensibilities, was not really slavery at all, that dubious distinction belonged to antiquity.
Walker, who was very familiar with these passages of racial abuse from Jefferson's Notes, provides not only a riposte but recasts the analysis of slavery politically as a counter-point to Jefferson's moral ambiguities and racial convictions. Walker reminds us emphatically that slavery in all its wretchedness is annexed to "this REPUBLICAN LAND OF LIBERTY!!!!!!" 62 His raised tone insists that a novel and unique political formation of slavery had emerged in modernity that had no correspondence in antiquity. Combining a colonial presence with universal claims of liberty and Christian espousals of equality, modernity's Atlantic slavery elaborated its governance through the Western hegemony of race. Within this context, Walker reverses Jefferson's contrast of slavery in modernity with slavery in antiquity to argue that the degradation of black populations in the Americas far exceeded the slaves of the ancient world. Degradation was not just a question of the dehumanizing formation of slavery in place, but also a racial abuse of the definition and provision of freedom in the same place. Walker's appeal to historiography is compelling: "Everybody who has read history knows that as soon as a slave among the Romans obtained his freedom, he could rise to the greatest eminence in the State, and there was no law instituted to hinder a slave from buying his freedom. Have not the Americans instituted laws to hinder us from obtaining our freedom?" 63 Walker's stricture here against the Western hegemony of freedom reveals the constitutive colonial relation between racial slavery and liberalism. It requires us to think about the material implications of racial slavery in the Americas being eclipsed by the metaphorical category of slavery in liberal political theory. Walker wrote like a fugitive from the law of race. His Appeal continues to be compelling in challenging us to escape the hegemonic Western meaning of liberty. It reminds us of the theoretical and political tasks involved in specifying the modern foreclosed Western colonial history and concept of racial slavery from which alternative meanings of freedom needed to be extricated, distinguished and formulated. With the universalization of liberalism's liberty having evolved dissociated from its detriment of colonized "others," whose regulation it perpetuated in the racialization of their aspirational and potential liberties, Walker's Appeal also raises the more perplexing but necessary question of what might it mean to be liberated or escape from this Western liberty. 64
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Third Liberty, Master Liberty
We could begin to look for an answer to this question in the project of what has become known as the third concept of liberty. It seems a promising endeavor particularly given its representation as a radical counter-point to the limitations of negative liberty. Described respectively by Quentin Skinner as "non-dependence" and by Phillip Pettit as "non-domination," it is increasingly being recuperated as a republican theory of liberty that was suppressed by the hegemony of liberalism in Western modernity. 65 Perhaps more importantly for our purposes, this concept of liberty is proclaimed as historically inscribed in a radical and unerring opposition to slavery. According to Skinner, "non-dependence" was a significant feature of Roman legal and moral argument as well as the discourse of republican liberty during the Italian renaissance, gaining particular prominence during the English revolution. "Civil liberty" for these "neo-Roman theorists" was strictly a political concept, rather than an individualist one; it emphasized the idea of free subjects in relation to the powers of a free state, a republic. Both the loss of liberty for the individual citizen and for the state was compared to "the condition of enslavement or servitude." Conceptually the valorized liberty emphasized here differs fundamentally from "negative liberty" insofar as it argues the principle of "non-interference" is an insufficient guarantor of freedom. The principle of non-interference is constitutively susceptible to being dependent on an external power choosing not to interfere. Even if such an external power chose not to interfere that would only confirm an ultimate dependency. For Skinner, removing this ever present liability is the concern of the republican concept of liberty as "non-dependence." 66
Because the republican idea of liberty turns so precisely on its radical distinction from slavery, it is important to know something more about the theoretical and historical specificity of slavery from which it is extracted. In this sense, Pettit's formulations distinguishes "non-domination" from noninterference, arguing that in the latter liberalism places emphasis on constraint or restraint in contrast to liberty, whereas in republicanism the contrast is with slavery. From the republican perspective of "non-domination," unfree persons are "subject to arbitrary sway" or "subject to the potentially capricious will or potentially idiosyncratic judgment of another." Non-domination involves the elimination of "arbitrary interference"; it requires "the resilient absence of the interference." What is at stake here is the elimination of domination that from the republican perspective is encapsulated in the idea of slavery. 67 For Pettit, the republican tradition is always cast in terms of the opposition between "liber and servus, citizen and slave." 68
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The domination characteristic of slavery accrues from the capacity to exert power over another, particularly "a power of interference on an arbitrary basis." 69 There is, however, a peculiar conceptual problem with this particular idea of slavery as political domination. It is imagined as occurring to people who are already intact as persons; it is posed as a potential threat to a pre-existing citizenship. It excludes for example the social domination involved in chattel slavery, where the non-citizenship of the pre-existing enslaved has already been established on the basis of an ascribed non-person and violently enforced property status. 70 This concern with liberty as the threat of slavery to accredited citizens combined with a disregard of the meaning of liberty for the actually enslaved can be also seen in Skinner and Pettit's symbolic citation of the American Revolution. Both regard it as exemplary of the third liberty's antagonism to slavery, yet their insights are only made possible by the same colonial-racial foreclosures we saw earlier in the Berlin/Mill/Constant discourse of liberalism. Skinner, for example, reflecting on how contemporary advocates of the Revolution compared their condition to slavery, identifies the 1776 "Declaration of Independence" as symbolic insofar as it was "a declaration of an end to their state of dependence upon—and hence enslavement to—the British crown." 71 Of course, what this ignores is that the American Revolution was both for and against slavery. It was against the projected metaphorical political enslavement of the thirteen colonies' white populations to the British crown, and for the prevailing institutional, material enslavement of its black populations to the thirteen colonies. Consequently, entangled in the historical and conceptual terms of the third liberty are two narratives of slavery, in mutual political antagonism, the one metaphorical and the other material. Metaphorical slavery was predicated on the idea of an external threat to a fore-grounded, existing white liberty, which in turn was haunted by the prospect of a black freedom repressed by a material slavery. 72 Susan Buck-Morss has observed that by the eighteenth century slavery had become "the root metaphor" of Western political philosophy, representing everything that could be despised about relations of power. Yet as Atlantic slavery reached its apogee during this period underwriting the entire capitalist economic system of the West, Enlightenment inspired discourses were less concerned with "really-existing slavery than its metaphorical analogy." 73 If it may be argued that eighteenth-century Western political theorists were simply of their time, we are still obliged to explain their contemporary descendants who are equally adept at constructing "Western histories as coherent narratives of freedom" 74 while remaining silent about the existence and implications of their colonial-racial foreclosures, as if there was no escape.
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Conclusion
According to Saidiya Hartman, the former slave's political experience under the regime of late-nineteenth century U.S. Reconstruction and its aftermath was one of palpable "discontinuity between substantial freedom and legal emancipation." Emancipation contained a "discrepant legacy." The former slaves, experiencing freedom through racially circumscribed behavior, were confronted by a "double bind of freedom." 75 Black populations continued to be policed and regulated in a myriad of circumstances in the interests of capitalism and the "preservation of a racial order on which the white republic was founded." The double-bind of freedom meant being "free from slavery and free of resources, emancipated and subordinated, self-possessed and indebted, equal and inferior, liberated and encumbered, sovereign and dominated, citizen and subject." 76
Throughout this essay, I have raised a number of conceptual and political issues about the Western liberal and republican meaning of liberty, in relation to its foreclosures of Western colonialism and race governance. These can now be summarized in three cumulative questions: Is the idea of liberty in Western political theory marked at its modern inception by occulting its formative affiliations with European metropoles and non-European colonies? If so, does the universalism of this liberty rely on the precise nature of its Western affiliations with racial slavery and European imperial architecture remaining unspeakable and unrepresentable? Finally, if so, is the modern tradition of theorizing liberty in Western political theory established through inheriting a reiteration that silences the questions I have just posed?
The Western hegemonic response to these questions is exemplified in the colonial-racial foreclosures I identified in the lineage and legacies of Berlin's Two Concepts. A subaltern though no less Western response has been to disinter these questions through escaping their foreclosure. The anti-slavery metaphor of escape underlines the significance of fugitivity in black political thought. In Du Bois's Reconstruction, it occurs as the interruption of what has been foreclosed where it is suggested as the idea of escaping from the restraints of white-accountable historiography and extricating the bearing of black witness to what has been foreclosed. Du Bois's escapology insinuates a commitment to eluding, revealing and interrogating the liberal-colonial suturing of Western liberty as whiteness. 77
Escapology recurs as a figure of black fugitive thought in Césaire's Discourse and Walker's Appeal, in two mutually reinforcing ways. First, as escape from complicity it refuses the unspeakability of the depredations, distortions, and violations made possible by the colonial-racial foreclosures of Western hegemony. Second, as escape to critique it is oriented as the black by guest on May 20, 2014
political other to the race governance that makes Western hegemony possible. Perhaps indicative of a black subaltern Western lineage, this figure of escapology might be read in various twists and turns of black fugitive thought, whether excavating black radicalisms, 78 circumventing the colonial-racial order of things, 79 reanimating the souls of black folk, 80 cultivating the "Black Fantastic" 81 or augmenting our intellectual and cultural capacities to embody the meaning of freedom subversively. 82 Always racially profiled by but never racially assimilated to Western hegemony, black fugitivity obliges radically escapist pathways. 83
Acknowledgments
Comments received from Sherwin Bryant, Bernard Forjwuor, Christine Goding, Sylvester Johnson, Renisa Mawani and Sam Tenorio. My particular thanks to JeanPierre Brutus, Jared Rodriguez, Salman Sayyid and the anonymous reviewers. Extra special thanks to Bruce Baum and especially Anne Randhava. Finally, my deepest appreciation for the insights and friendship of Richard Iton (RIP).
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.
Notes
1. Isaiah Berlin, Liberty, ed. Henry Hardy (Oxford: Oxford University Press, 2002), p. 284.
2. Aimé Césaire, Discourse on Colonialism (New York: Monthly Review Press, 1972).
3. See Berlin, Liberty, pp. 166–217.
4. For the purposes of this essay, I follow Berlin in using these two terms interchangeably.
5. Russell Grigg, Lacan, Language and Philosophy (New York: State University of New York Books, 2008), p. 7; See also Bruce Fink, The Lacanian Subject—Between Language and Jouissance (Princeton, NJ: Princeton University Press, 1995).
6. Judith Butler, Excitable speech—A Politics of the Performative (London: Routledge, 1997), p. 139.
7. Berlin, Liberty, p. 167.
8. See Thomas Borstelmann, The Cold War and the Color Line (Cambridge, MA: Harvard University Press, 2001); Mary L. Dudziak, Cold War, Civil Rights: Race
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and the Image of American Democracy (Princeton, NJ: Princeton University Press, 2000); Vijay Prashad, The Darker Nations (New York: The New Press, 2007); Odd Arne Westad, The Global Cold War (Cambridge: Cambridge University Press, 2007).
9. Berlin, Liberty, p. 170.
10. Ibid., p. 178.
11. Ibid., pp. 190–91.
12. This is derived from Berlin's argument that though positive and negative liberty may "logically" be perceived as different ways of saying the same thing, they "historically developed in divergent directions," subsequently coming into "conflict with each other" (TC 179). George Crowder has called this an "inversion thesis." See Crowder, Isaiah Berlin: Liberty and Pluralism (Malden, MA: Polity, 2004), pp. 68–71.
13. This formulation is derived from Eric Wolf, Europe and the People without History (Berkeley: University of California Press, 1983).
14. See Westad, The Global Cold War.
15. Domenico Losurdo, Liberalism—A Counter-History (London: Verso, 2011), p. 1.
16. See Losurdo, Chs. 1–2; Uday Singh Mehta, Liberalism and Empire (Chicago: University of Chicago Press, 1999); Jennifer Pitts, A Turn to Empire (Princeton: Princeton University Press, 2005).
17. See Seng Tan and Amitav Acharrya, eds, Bandung Revisted—The Legacy of the 1955 Asian-African Conference for International Order (Singapore: National University of Singapore Press, 2008); Christopher J. Lee, ed., Making a World after Empire—The Bandung Moment and Its Political Afterlives (Athens, OH: Ohio University Press, 2010).
18. Césaire, Discourse on Colonialism.
19. See Richard Wright, The Color Curtain: The Bandung Conference (London: Denis Dobson, 1955); Frantz Fanon, The Wretched of the Earth (London: Penguin Books, 1963).
20. Berlin, Liberty, pp. 201–4.
21. I am thinking particularly of Berlin's discussion of the "Egyptian peasant" for whom he argues freedom has no great value compared to "medical help or education," 171–72.
22. Octave Mannoni, Prospero and Caliban—The Psychology of Colonization (University of Michigan Press, [1950] 1999), pp. 133–38.
23. Cesaire, Discourse on Colonialism, p. 41.
24. Cesaire, Discourse on Colonialism, p. 17.
25. See Antony Anghie, Imperialism, Sovereignty and the Making of International Law (Cambridge: Cambridge University Press, 2004).
26. See Barnor Hesse, "Racialized Modernity—An Analytics of White Mythologies," Ethnic and Racial Studies 30 (2007): 643–63.
27. James Tully, Public Philosophy in a New Key—Imperialism and Civic Freedom, Vol. 2 (Cambridge: Cambridge University Press), p. 144.
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28. See Walter Mignolo, The Darker side of Western Modernity (Durham, NC: Duke University Press, 2011); Michael Mann, The Dark Side of Democracy— Explaining Ethnic Cleansing (Cambridge: Cambridge University Press, 2005).
29. Partha Chatterjee, Lineages of Political Society—Studies in Postcolonial Democracy (New York: Columbia University Press, 2011).
30. On the French and Algeria, see Todd Shepard, The Invention of Decolonization: The Algerian War and the Making of France (Ithaca, NY: Cornell University Press, 2006); on the British and Kenya, see Caroline Elkins, Imperial Reckoning: The Untold Story of Britain's Gulag in Kenya (New York: Henry Holt, 2005).
31. See, e.g., Robert Collins, ed., Historical Problems of Imperial Africa (Princeton, NJ: Markus Wiener Publishers, 1994); Alice L. Conklin, A Mission to Civilize: The Idea of Empire in France and West Africa, 1895–1930 (Stanford: Stanford University Press, 1997).
32. Berlin, Liberty, p. 207.
33. Ibid., pp. 200–212.
34. Ibid., pp. 205–7.
35. John Stuart Mill, On Liberty, p. 71.
36. David Goldberg refers to this as "racial historicism"; it is the late nineteenthcentury idea that non-Europeans under the right European tutelage could be admitted to political society, see The Racial State (New York: Blackwell, 2000).
37. Cf. Nick Bromell's suggestion that the political psychology of the slaveholder "thinks of itself as ontologically free," having carved existence "into two distinct realms, the free and the unfree," thereby "understanding its own agency as being possible" only in the "realm of the free or returning to it." See "Democratic Indignation: Black American Thought and the Politics of Dignity," Political Theory 41, no. 2 (2013): 285–311.
38. Benjamin Constant, "The Liberty of the Ancients Compared with That of the Moderns," in The Libertarian Reader: Classic and Contemporary Writings from Lao-Tzu to Milton Friedman, ed. David Boaz (New York: Free Press, 1997), pp. 65–74.
39. Ibid., p. 66.
40. Ibid.
41. Ibid., p. 69.
42. See Charles Mills, The Racial Contract (Ithaca: Cornell University Press, 1997); Nancy J. Hirschmann, The Subject of Liberty—Toward a Feminist Theory of Freedom (Princeton: Princeton University Press, 2003).
43. For a broader account of black political thought, see Michael Hanchard, "Contours of Black Political Thought: An Introduction and perspective," Political Theory 38, no. 4 (2010): 510–36.
44. W. E. B. Du Bois, Black Reconstruction in America 1860–1880 (New York: Touchstone Books, Simon and Schuster, 1995).
45. Du Bois, Black Reconstruction, p. 721.
46. See Stephen Best and Saidiya Hartman, "Fugitive Justice," Representations, no. 2 (Autumn 2005): 1–15.
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47. The first best-selling slave narrative was that of Olaudah Equiano in 1789 in Britain. As abolitionism gained momentum in the early nineteenth century, there was an increased demand for eyewitness accounts of the violent regimes and experiences of slavery in the United States. This stimulated popularity for the slave narratives of Frederick Douglass (1845), William Wells Brown (1847), Henry Bibb (1849), Sojourner Truth (1850), Solomon Northup (1853), William and Ellen Craft (1860) and Harriet Jacobs (1861). See William L. Andrews, "Slave Narratives," Encyclopedia Britannica's Guide to Black History, http:// www.britannica.com/blackhistory/article-9068166.
48. Andrews, "Slave Narratives."
49. Charles T. Davis and Henry Louis Gates Jr., eds., The Slave's Narrative (Oxford: Oxford University Press, 1985).
50. Frances Smith Foster, Witnessing Slavery—The Development of Ante-Bellum Slave Narratives (Madison: University of Wisconsin Press, 1979), p.3
51. See Toni Morrison, "The Site of Memory," in What Moves at the Margin: Selected Nonfiction, ed. Carolyn C. Denard (Jackson: University Press of Mississippi, 2008).
52. Bruce D. Dickerson Jr., "Politics and Political Philosophy in the Slave Narrative," in The Cambridge Companion to the African American Slave Narrative, ed. Audrey Fisch (Cambridge: Cambridge University Press, 2007).
53. Samira Kawash, Dislocating the Color Line—Identity, Hybridity and Singularity in African American Literature (California: Stanford University Press, 1997), p. 23.
54. Ibid., pp. 50–59.
55. Best and Hartman ("Fugitive Justice") describe this escapist predicament as the "sign of the political interval in which all captives find themselves." The interval lies between the "no longer and the not yet"; it contains the "mutual imbrication of pragmatic political advance with a long history of failure." In this political interval, they "find a representation in miniature of fugitive justice," which they describe as the "master trope of black political discourse." See "Fugitive Justice," p. 3.
56. David Walker, Appeal To the Coloured Citizens of the World but in particular, and very expressly, to those of the United States of America (Baltimore: Black Classic Press, 1993). The 1830 publication was the third and final edition of the Appeal, originally finished and circulated in October 1829. Walker was also a writer and an agent for Freedom's Journal, the first African American newspaper in the U.S. published by free blacks during 1827–1829. See Jacqueline Bacon, Freedom's Journal: The First African American Newspaper (Lanham, MD: Lexington Books, 2007).
57. Walker, Appeal To the Coloured Citizens, p. 49.
58. Stephen H. Marshall, The City on the Hill from Below—The Crisis of Prophetic Black Politics (Philadelphia, PA: Temple University press, 2012), p. 52.
59. Thomas Jefferson, Notes on the State of Virginia (Chapel Hill: University of North Carolina Press, [1787] 1992), p. 87.
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60. Ibid., p. 143.
61. Ibid., p.143.
62. Walker, Appeal To the Coloured Citizens, p. 22.
63. Ibid., p. 36.
64. Following the publication of his appeal, Walker was a wanted man. A group of southern slave owners offered a ten-thousand-dollar reward for him dead or alive. On June 18, 1830, Walker was discovered dead in the doorway of his tailors shop in Boston. For related and important analyses of Walker, see Peter P. Hinks, To Awaken my Afflicted Brethren—David Walker and the Problem of Antebellum Slave Resistance (University Park: Pennsylvania State University Press, 1999), pp. 173–236; and also Gene Andrew Jarrett, Representing the Race: A New Political History of African American Literature (New York: New York University Press, 2011), pp. 38–47.
65. See Philip Pettit, Republicanism: A Theory of Freedom and Government (Oxford: Oxford University Press, 1997); and Quentin Skinner, Liberty Before Liberalism, (Cambridge University Press, 1998).
66. Skinner, Liberty, pp. 69-85.
67. Pettit, Republicanism.
68. Ibid., p. 31.
69. Ibid., p. 52.
70. See Orlando Patterson, Slavery and Social Death (Cambridge, MA: Harvard University Press, 1982), pp. 5–7).
71. Skinner, Liberty, p. 44.
72. As Adam Rothman argues, the "question is not merely why the revolutionary generation did not abolish slavery, but why slavery expanded under its watch." The enslavement of black populations expanded in the 50 years following the American Revolution. See Adam Rothman, Slave Country (Cambridge: Harvard University Press, 2005), pp. xi–x.
73. Ibid., p. 36.
74. Susan Buck-Morss, Hegel, Haiti and Universal History (Pittsburgh: University of Pittsburgh Press, 2009), pp. 21–22.
75. Saidiya Hartman, Scenes of Subjection (New York: Oxford University Press, 1997), p. 12.
76. Ibid., p. 117.
77. For a discussion of the African American culture and politics of escapology see Daphne A. Brooks, Bodies in Dissent—Spectacular Performances of Race and Freedom, 1850–1910 (Durham: Duke University Press, 2006).
78. See Cedric Robinson, Black Marxism—The Making of the Black Radical Tradition (London: Zed Press, 1983), and Anthony Bogues, Black Heretics and Black Prophets—Radical Political Intellectuals (London: Routledge, 2003).
79. See Patricia Hill Collins, Black Sexual Politics (London: Routledge, 2004); Robert Gooding-Williams, In the Shadow of Du Bois—Afro-Modern Political Thought in America (Cambridge, MA: Harvard University Press, 2009); Paul Gilroy, Darker Than Blue—On the Moral Economies of Black Atlantic Culture (Cambridge, MA: Harvard University Press, 2010).
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80. See Richard Iton, Solidarity Blues—Race, Culture and the American Left (Chapel Hill, NC: University of North Carolina Press, 2000); Kimberly Springer, Living for the Revolution—Black Feminist Organizations, 1968–1980 (Durham, NC: Duke University Press).
81. This describes imaginative, challenging, and creative black ways of being that resist and escape racialized conventions; see Richard Iton, In Search of the Black Fantastic—Politics and Popular Culture in the Post-Civil Rights Era (New York: Oxford University Press, 2008).
82. See Robin D. G. Kelley, Freedom Dreams—The Black Radical Imagination (Boston: Beacon, 2002); Fred Moten, In the Break—The Aesthetics of the Black Radical Tradition (Minneapolis, MN: University of Minnesota Press, 2003); and Monica L. Miller, Slaves to Fashion—Black Dandyism and the Styling of Black Diasporic Identity (Durham, NC: Duke University Press, 2010).
Author Biography
Barnor Hesse is associate professor, African American studies, political science and sociology, Department of African American Studies, Northwestern University.
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|
Peel Health Data Zone M5
Health Profile 2016
The burden of illness and preventable loss of life arises in large part because of the conditions in which people are born, grow, live, work and age. 1 Peel Health Data Zones (PHDZ) arose out of a need for data at small areas of geography to aid with planning programs and services that will in turn work towards improving public health outcomes. The PHDZ are defined geographic areas within Peel that are smaller than the municipality level, use Census Tracts as the building blocks, and where plausible, respect natural and man-made boundaries.
Description:
PHDZ M5 is located in the south-west corner of Mississauga and is mostly sprawling suburban neighbourhoods with some industrial/ employment areas (see Map 1).
Socio-demographic summary:
A higher proportion of M5's population is aged 55 years and older compared to Peel. The average household income is $89,620, about $10,500 more than Peel's average. M5 has a similar prevalence of low income households compared to Peel. The top three languages spoken at home are English, Chinese and Urdu. Forty-seven per cent of M5's population identifies as English, Canadian or Scottish.
Adult Health:
Life expectancy at birth in M5 is similar to that in Peel. The leading causes of death among those 20 years and older in M5 are: ischemic heart disease, dementia and Alzheimer's disease and lung cancer. Age standardized mortality rates in M5 compared to Peel were lower for ischemic heart disease and stroke and higher for injuries or poisonings. Just over half of M5 residents are classified as overweight or obese (53%) which is similar to Peel (51%). Fewer residents in M5 were physically inactive during leisure time (42%) compared to Peel (54%).
Population: 62,480
Source: 2011 Census, Statistics Canada
Child health:
A higher proportion of the population under six years are living in low income in M5 (21%) compared to Peel (17%). Both the general fertility rate and pre-term live birth rate are similar to the Peel rates.
SOCIO-DEMOGRAPHIC SUMMARY
| Indicator | | M5 | Peel | | Compared |
|---|---|---|---|---|---|
| | | | | | to Peel |
| | Population | | | | |
| Total population | | 62,480 | 1,296,815 | | |
| Population aged 0-4 years | | 4.6% | 6.1% | Lower | |
| Population aged 5-9 years | | 5.4% | 6.5% | Similar | |
| Population aged 10-14 years | | 6.3% | 7.0% | Similar | |
| Population aged 15-19 years | | 8.0% | 7.5% | Similar | |
| Population aged 20-24 years | | 8.0% | 6.9% | Similar | |
| Population aged 25-29 years | | 6.0% | 6.5% | Similar | |
| Population aged 30-34 years | | 4.8% | 6.6% | Lower | |
| Population aged 35-39 years | | 5.2% | 7.2% | Lower | |
| Population aged 40-44 years | | 6.2% | 7.9% | Lower | |
| Population aged 45-49 years | | 8.4% | 8.5% | Similar | |
| Population aged 50-54 years | | 8.7% | 7.5% | Similar | |
| Population aged 55-59 years | | 7.7% | 6.1% | Higher | |
| Population aged 60-64 years | | 6.9% | 5.1% | Higher | |
| Population aged 65-69 years | | 4.6% | 3.6% | Higher | |
| Population aged 70-74 years | | 3.2% | 2.6% | Higher | |
| Population aged 75-79 years | | 2.4% | 1.9% | Higher | |
| Population aged 80-84 years | | 1.8% | 1.3% | Higher | |
| Population aged 85+ years | | 1.8% | 1.1% | Higher | |
| | Language/Immigration | | | | |
| Knowledge of official language – neither English nor French | | 2.1% | 3.9% | Lower | |
| Immigration status – Immigrants | | 43.2% | 50.5% | Similar | |
| Time period of immigration: immigrated between 2006-2011 | | 12.7% | 15.5% | Similar | |
| | Education | | | | |
| Highest level of education achieved (ages 25-64 years), 2011 | | | | | |
| Less than high school | | 6.5% | 10.4% | Lower | |
| High school certificate or equivalent | | 21.6% | 23.6% | Similar | |
| Apprenticeship or trades certificate or diploma | | 5.5% | 6.5% | Similar | |
| College, CEGEP or other non-university certificate or diploma | | 21.8% | 21.0% | Similar | |
| University certificate, diploma or degree | | 44.6% | 38.5% | Similar | |
| | Income | | | | |
| Private household after-tax median income | | $74,128 | $68,251 | Similar | |
| Private household after-tax average income | | $89,620 | $79,146 | Similar | |
| Prevalence of low income in private households (LIM-AT) | | 13.5% | 12.6% | Similar | |
| Less than 18 years | | 18.7% | 16.3% | Similar | |
| Less than 6 years | | 20.8% | 17.1% | Higher | |
| 18-64 years | | 13.2% | 12.0% | Similar | |
| 65 years and over | | 7.1% | 7.8% | Similar | |
| Tenant households spending 30%+ of household income on shelter cost | | 39.4% | 41.5% | Similar | |
| Owner households spending 30+ of household income on shelter cost | | 22.0% | 28.1% | Lower | |
Sources: Census 2011, Statistics Canada.
National Household Survey 2011, Statistics Canada.
Top 10 Languages Spoken at Home, Data Zone M5 and Peel, 2011
| | M5 | | | | Peel | |
|---|---|---|---|---|---|---|
| | Language | | Per cent | | Language | Per cent |
| English | | 79.3 | | English | | |
| Chinese | | 3.2 | | Panjabi (Punjabi) | | |
| Urdu | | 2.9 | | Chinese | | |
| Polish | | 2.7 | | Urdu | | |
| Arabic | | 1.3 | | Polish | | |
| Spanish | | 1.1 | | Spanish | | |
| Tagalog (Pilipino, Filipino) | | 0.9 | | Tamil | | |
| Panjabi (Punjabi) | | 0.8 | | Arabic | | |
| Persian (Farsi) | | 0.8 | | Tagalog (Pilipino, Filipino) | | |
| Korean | | 0.7 | | Portuguese | | |
Source: Census 2011, Statistics Canada
Top Three Ethnic Origins, Data Zone M5 and Peel, 2011
| | M5 | | | | Peel | |
|---|---|---|---|---|---|---|
| | Ethnic Origin | | Per cent | | Ethnic Origin | Per cent |
| English | | 18.8 | | East Indian | | |
| Canadian | | 15.6 | | Canadian | | |
| Scottish | | 12.5 | | English | | |
Only single origins were included in the top three ranking.
Source: Census 2011, Statistics Canada
CHILD HEALTH
| | Top 5 Leading Causes of Mortality | M5† | Peel† |
|---|---|---|---|
| | (ages 1 to 19 years, 2007-2011 combined) | | |
| Injuries or poisonings | | NR | |
| Cancer of the brain or central nervous system | | NR | |
| Bone cancer | | NR | |
| Metabolic disorders | | NR | |
| Epilepsy | | NR | |
| Asthma | | NR | |
† Age specific rate per 100,000 population.
NR = Not releasable due to small numbers.
Sources: Ontario Mortality Database 2011, Ontario Registrar General. IntelliHEALTH Ontario, Ministry of Health and Long-Term Care.
Population Estimates 2011, Statistics Canada. IntelliHEALTH Ontario, Ministry of Health and Long-Term Care.
| Indicator | M5 | Peel | Compared |
|---|---|---|---|
| | | | to Peel |
| Number of live births1 | 569 | 15,827 | |
| General fertility rate1,2 (per 1,000 females age 15-49 years) | 38.0 | 43.8 | |
| Pre-term live births rate (per 100 live births)1 | 8.3 | 8.2 | |
| Small for gestational age rate1 (per 100 singleton births 22-43 weeks gestation) | 11.9 | 12.1 | |
| Infant mortality rate3 (per 1,000 live births) | NR | 5.1 | |
| Vulnerable in one or more Early Development Instrument domains4 | 30.5% | 30.3% | |
NR = Not releasable due to small numbers.
Source: 1 Ontario Live Birth Database 2011, Ontario Registrar General. IntelliHEALTH Ontario, Ministry of Health and Long-Term Care.
Population Estimates 2011, Statistics Canada. IntelliHEALTH Ontario, Ministry of Health and Long-Term Care.
2
3
Ontario Mortality Database 2011, Office of the Registrar General, obtained through IntelliHEALTH Ontario,
Ministry of Health and Long-Term Care.
4 Early Development Instrument 2010, Ontario Ministry of Children and Youth Services. Offord Centre for Child Studies, McMaster University.
ADULT HEALTH
| | | M5 | Peel | Compared |
|---|---|---|---|---|
| | Health Behaviour Indicator | | | to Peel |
| Current smoker (age 18+, 2009-2014 combined) | | 17.9*% | 14.6% | |
| Exceeded Low Risk Drinking Guidelines (age 19+, 2009-2014 combined) | | 19.3*% | 15.5% | |
| Overweight or obese adults (age 18+, 2009-2014 combined) | | 52.8% | 51.0% | |
| Physically inactivity during leisure time (age 12+, 2009-2014 combined) | | 41.7% | 53.8% | |
| Consume fruits and vegetables less than five times per day (age 18+, 2009-2014 combined) | | 61.6% | 58.3% | |
| Had a flu shot in the past year (age 18+, 2009-2014 combined) | | 59.4% | 57.1% | |
| Ever had a mammogram – Breast cancer screening (females age 35+, 2007/2008 and 2011/2012 combined) | | 72.1*% | 60.2% | |
| Ever had PAP test – Cervical cancer screening (sexually active females 18+, 2007/2008 and 2011/2012 combined) | | 91.0% | 88.1% | |
*Use estimate with caution.
Current Smoker is defined as a person who currently smokes daily or occasionally, has smoked at least 100 cigarettes in their lifetime and some in the past 30 days. Low Risk Drinking includes female who have nine or less drinks in the past week, males who have 14 or less drinks in the past week and no more than two drinks on each day of the week for both males and females.
Source: Canadian Community Health Survey Share File, 2007/2008, 2009/2010, 2011/2012, 2013/2014, Statistics Canada. Ontario Ministry of Health and Long-Term Care.
| | | | | | to Peel |
|---|---|---|---|---|---|
| | † Top 5 Leading Causes of Mortality (age 20+ years) | | | | |
| Ischemic heart disease | | 33.5 | 48.1 | Lower | |
| Dementia and Alzheimer’s disease | | 31.1 | 27.5 | Similar | |
| Lung cancer | | 29.9 | 28.1 | Similar | |
| Injuries or poisonings | | 30.4 | 24.6 | Higher | |
| Stroke | | 15.9 | 21.0 | Lower | |
| | Life Expectancy | | | | |
| Life expectancy at birth - Males | | 82.7 years | 82.3 years | Similar | |
† Age standardized rate (per 100,000 population) to the 1991 Canadian population.
Source: Ontario Mortality Database 2011, Ontario Registrar General. IntelliHEALTH Ontario, Ministry of Health and Long-Term Care.
Population Estimates 2011, Statistics Canada. IntelliHEALTH Ontario, Ministry of Health and Long-Term Care.
Notes:
For the Canadian Community Health Survey indicators presented in the tables above the term "lower" or "higher" means the 95% confidence intervals do not overlap between the data zone and Peel and therefore the differences between the estimates are statistically significant.
For the remaining indicators presented in the tables above, the term "lower" or "higher" refer to data zones with a rate that falls 20% above or 20% below the Peel rate.
For more information about these and other health related indicators in Peel please refer to the Health Status Data website.
1 Rose G, Day S. The population mean predicts the number of deviant individuals. BMJ. 1990 Nov 3; 301 (6759):1031-4.
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Source: Compiled with data available through the Peel Data Centre Core GIS Data List
Date created: January 2016
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Æ c Map 1: Data Zone M5
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Party Name
Rescheduled Hearings List
Wednesday, January 6, 2021 Through Wednesday, January 6, 2021
Case #
Orig Hearing
New Hearing
| ABUKANAAN, YOUSEF | CR-19-007364 | PC 1001.36 MH Diversion Hearing Dept. 2 1/6/2021 8:30AM |
|---|---|---|
| ADAMS, DARREL | CR-20-009043 | Pretrial Dept. 8 1/6/2021 8:30AM |
| ARCHER, CHRISTOPHER SHAWN | CR-20-000340 | Pretrial Dept. 8 1/6/2021 8:30AM |
| ATTAWAY, RYAN | CR-20-003940 | Pretrial Dept. 8 1/6/2021 8:30AM |
| AYALA, EDWIN DAVID | CR-19-005157 | Pretrial Dept. 8 1/6/2021 8:30AM |
| AYALA, EDWIN DAVID | CR-19-011805 | Pretrial Dept. 8 1/6/2021 8:30AM |
| BAEZ, NAVID IVONNE | CR-20-006014 | Pretrial Dept. 3 1/6/2021 8:30AM |
| BEJARAN, CELESTINA ALICIA | CR-19-010368 | Violation Of Probation Hearing Dept. 1 1/6/2021 8:30AM |
| BEJARAN, CELESTINA ALICIA | CR-20-007863 | Pretrial Dept. 1 1/6/2021 8:30AM |
| BELL, ANGELA JAZMIN | CR-19-008634 | Pretrial Dept. 4 1/6/2021 8:30AM |
| BELL, ANGELA JAZMIN | CR-20-005410 | Pretrial Dept. 4 1/6/2021 8:30AM |
| BERNAL, TIMOTHY LEE | CR-20-008266 | Domestic Violence Hearing Dept. 10 1/6/2021 1:30PM |
| CARAVEO, JAE JACK ANTHONY | CR-20-005979 | Pretrial Dept. 8 1/6/2021 8:30AM |
| CHAN, SOTHAVUTH | 2063913 | PC1203.4 Motion Dept. 6 1/6/2021 8:30AM |
| CHANDLER, JEFFREY SEAN ERIC | CR-19-010694 | Pretrial Dept. 4 1/6/2021 8:30AM |
| CHAVEZ, NATALIE | TR-20-025496 | Arraignment Hearing Dept. 20 1/6/2021 1:00PM |
| CREART, DONNA LYNN | CR-19-001714 | Domestic Violence Hearing Dept. 3 1/6/2021 8:30AM |
| DIAZ, ALEJANDRO | CR-18-004577 | Probation Hearing Dept. 2 1/6/2021 8:30AM |
| EXPOSE, LINDA ROSE | CR-20-000731 | Pretrial Dept. 7 1/6/2021 8:30AM |
| FELIX, ARLEQUIN ISIDRO, Jr | CR-19-009826 | Pretrial Dept. 2 1/6/2021 8:30AM |
Rescheduled Hearings List
Wednesday, January 6, 2021 Through Wednesday, January 6, 2021
FLETCHER, LYLE EUGENE
CR-20-004028 Pretrial
| FONTANA, VYCTORIA | TR-20-025273 | Arraignment Hearing Dept. 20 1/6/2021 1:00PM |
|---|---|---|
| Freeman, Marcus | TR-20-025496 | Arraignment Hearing Dept. 20 1/6/2021 1:00PM |
| FYOCK, TIMOTHY CHARLES | CR-20-006376 | Pretrial Dept. 3 1/6/2021 8:30AM |
| Gammon, Jerry | TR-20-026501 | Arraignment Hearing Dept. 20 1/6/2021 1:00PM |
| GARCIA, MARK ANTHONY, Jr | 4018505 | Domestic Violence Hearing Dept. 10 1/6/2021 1:30PM |
| GUDINO, JOSE ANGEL | CR-20-001811 | Pretrial Dept. 6 1/6/2021 8:30AM |
| HALSOR, MICHAEL DAVID | CR-19-005767 | Probation Hearing Dept. 2 1/6/2021 8:30AM |
| HANSEN, TRAVIS BUSTER | CR-20-008479 | Pretrial Dept. 4 1/6/2021 8:30AM |
| HELDSTAB, RANDY ROBERT | CR-20-009497 | Arraignment Hearing Dept. 12 1/6/2021 8:30AM |
| HENRY, JERMERA ARMANIE | 4020632 | Pretrial Dept. 3 1/6/2021 8:30AM |
| HODGE, DAVID WAYNE, Jr | CR-19-009912 | Violation Of Probation Hearing Dept. 6 1/6/2021 8:30AM |
| HODGE, JAVON JONTA | CR-20-006807 | Pretrial Dept. 8 1/6/2021 8:30AM |
| JOHNSON, JOEL JAY II | CR-19-008342 | Felony Pretrial Dept. 7 1/6/2021 8:30AM |
| JOHNSON, JOEL JAY, II | CR-19-008550 | Diversion Completion Hearing Dept. 7 1/6/2021 8:30AM |
| JONES, DWYGHT OTIS LLOYD | CR-20-000277 | Pretrial Dept. 6 1/6/2021 8:30AM |
| Keller, Aaron | TR-20-026501 | Arraignment Hearing Dept. 20 1/6/2021 1:00PM |
| KRAWCHUCK, MATTIE LYNN | CR-19-011754 | Pretrial Dept. 8 1/6/2021 8:30AM |
| LARA, RICARDO GARCIA | CR-20-001335 | Pretrial Dept. 8 1/6/2021 8:30AM |
| LIZARRAGA, RICARDO ECEBERRE | CR-20-002534 | Pretrial Dept. 3 1/6/2021 8:30AM |
| MARTIN, TIMOTHY RAY | CR-20-001861 | Pretrial Dept. 6 1/6/2021 8:30AM |
Pretrial
MARTINEZ, FERMIN
Rescheduled Hearings List
Wednesday, January 6, 2021 Through Wednesday, January 6, 2021
CR-20-001822 Pretrial
| MCNEAL, TAMIKQUA MERCADEZ | 1497000 | Violation Of Probation Hearing Dept. 1 1/6/2021 8:30AM |
|---|---|---|
| MERCADO, BRYAN | TR-20-025273 | Arraignment Hearing Dept. 20 1/6/2021 1:00PM |
| MILLS, JOSEPH DAWAYNE | 1490468 | AB 109 Violation Hearing (1170) Dept. 4 1/6/2021 8:30AM |
| MILLS, JOSEPH DAWAYNE | CR-20-002535 | Setting of Jury Trial Dept. 4 1/6/2021 8:30AM |
| MIZE, MICHAEL OLIVER | CR-20-003551 | Pretrial Dept. 3 1/6/2021 8:30AM |
| MOORE, ANTHONY CRAIG | CR-20-007130 | Pretrial Dept. 4 1/6/2021 8:30AM |
| MOORE, QUINCY LEE | CR-20-000367 | Pretrial Dept. 4 1/6/2021 8:30AM |
| MORRIS, JAMES THOMAS | 1480231 | Prop36 Hearing Dept. 3 1/6/2021 8:30AM |
| MORRIS, JAMES THOMAS | 1491772 | Prop36 Hearing Dept. 3 1/6/2021 8:30AM |
| MUNOZ, JERRET WAYNE | CR-20-007797 | Pretrial Dept. 4 1/6/2021 8:30AM |
| OGDEN, DAVID GLENN | CR-20-006910 | Setting of Jury Trial Dept. 3 1/6/2021 8:30AM |
| OTERO, GERARDO, Jr | CR-19-010627 | Felony Pretrial Dept. 2 1/6/2021 8:30AM |
| PACK, JAMES BLAIR | CR-19-009503 | Violation Of Probation Hearing Dept. 3 1/6/2021 8:30AM |
| PALOMINOS, GONZALO, Jr | CR-19-011023 | Pretrial Dept. 4 1/6/2021 8:30AM |
| PANTOJA, MARIA ROCIO | CR-19-011301 | Pretrial Dept. 8 1/6/2021 8:30AM |
| PARGA, RICARDO MAURICIO | CR-20-005653 | Pretrial Dept. 7 1/6/2021 8:30AM |
| PARKS, JOHN ALEXANDER | CR-20-008300 | Pretrial Dept. 2 1/6/2021 8:30AM |
| PATEL, JIGNESHKUMAR HASMUKHBHAI | CR-20-008523 | Pretrial Dept. 7 1/6/2021 8:30AM |
| PONCE, MIGUEL ANGEL URIBE | CR-20-005082 | Pretrial Dept. 4 1/6/2021 8:30AM |
| RODRIGUES, RICHARD BORBA | CR-20-002617 | Pretrial Dept. 3 1/6/2021 8:30AM |
Pretrial
Rescheduled Hearings List
Wednesday, January 6, 2021 Through Wednesday, January 6, 2021
ROMERO, VERONICA
| RUIZ, JOSE LUIS, Jr | TR-20-026501 | Arraignment Hearing Dept. 20 1/6/2021 1:00PM |
|---|---|---|
| RUIZ, NOAH JOHN | CR-20-006381 | Pretrial Dept. 3 1/6/2021 8:30AM |
| SHAW, PATRICK EDWARD | CR-20-001659 | Pretrial Dept. 7 1/6/2021 8:30AM |
| SINGHBAHIA, KIRTPAL | 4019540 | Pretrial Dept. 2 1/6/2021 8:30AM |
| SITU, LEISHENG | CR-19-011409 | Pretrial Dept. 4 1/6/2021 8:30AM |
| SOLOVSKOY, DYLAN NICHOLAS | CR-20-008258 | Pretrial Dept. 4 1/6/2021 8:30AM |
| SOUDERS, PAUL HARRISON, Jr | CR-20-005163 | Pretrial Dept. 7 1/6/2021 8:30AM |
| SUAREZ, JOSEPH ALBERT, Jr | CR-20-005535 | Pretrial Dept. 8 1/6/2021 8:30AM |
| SUAREZ, JOSEPH ALBERT, Jr | CR-20-005751 | Pretrial Dept. 8 1/6/2021 8:30AM |
| SUMMERS, SHARON MICHELE | CR-19-009453 | Pretrial Dept. 5 1/6/2021 8:30AM |
| SUTTON, JOEL MICHAEL | 1463492 | Violation Of Probation Hearing Dept. 3 1/6/2021 8:30AM |
| SUTTON, JOEL MICHAEL | 4000814 | Pretrial Dept. 3 1/6/2021 8:30AM |
| TENBRINK, JOHN RICHARD | CR-18-007326 | AB 109 Violation Hearing (1170) Dept. 1 1/6/2021 8:30AM |
| THORNTON, LARRY EDWIN | CR-19-010990 | Pretrial Dept. 6 1/6/2021 8:30AM |
| TORRES, ALEX LEE | CR-20-003023 | Pretrial Dept. 4 1/6/2021 8:30AM |
| TOSTA, JOSEPH EDWARD | 1485156 | AB 109 Violation Hearing (1170) Dept. 6 1/6/2021 8:30AM |
| TOSTA, JOSEPH EDWARD | CR-19-010992 | Pretrial Dept. 6 1/6/2021 8:30AM |
| WEINGARTEN, GENA | CR-19-012525 | Pretrial Dept. 1 1/6/2021 8:30AM |
| WEST, RODNEY LEE | CR-19-004452 | Setting of Jury Trial Dept. 8 1/6/2021 8:30AM |
CR-20-003886 Pretrial
Pretrial
Rescheduled Hearings List
Wednesday, January 6, 2021 Through Wednesday, January 6, 2021
| WILLIAMS, CHRISTOPHER LEE WEBB | CR-20-007542 | Pretrial Dept. 4 1/6/2021 8:30AM |
|---|---|---|
| WILLIAMSWEB, CHRISTOPHER LEE | 4002375 | Violation Of Probation Hearing Dept. 4 1/6/2021 8:30AM |
| WRIGHT, SHANNON CURTIS | 1475561 | AB 109 Violation Hearing (1170) Dept. 6 1/6/2021 8:30AM |
| WRIGHT, SHANNON CURTIS | CR-19-003807 | Resetting Jury Trial Dept. 6 1/6/2021 8:30AM |
| ZIADEH, OMAR MOHAMMAD | CR-20-000679 | Pretrial Dept. 3 1/6/2021 8:30AM |
|
research-article
838938 2019
Neurology/Medicine
Resting State EEG Characteristics During Sedation With Midazolam or Propofol in Older Subjects
Tianne Numan 1 , Edwin van Dellen 2,3 , Frank P. Vleggaar 4 , Paul van Vlieberghe 4 , Cornelis J. Stam 5 , and Arjen J. C. Slooter 1
Abstract
Background. Despite widespread application, little is known about the neurophysiological effects of light sedation with midazolam or propofol, particularly in older subjects. The aim of this study was to assess the effects of light sedation with midazolam or propofol on a variety of EEG measures in older subjects. Methods. In patients (≥60 years without neuropsychiatric disease such as delirium), 2 EEG recordings were performed, before and after administration of either midazolam (n = 22) or propofol (n = 26) to facilitate an endoscopic procedure. Power spectrum, functional connectivity, and network topology based on the minimum spanning tree (MST) were compared within subjects. Results. Midazolam and propofol administration resulted in Richmond Agitation and Sedation Scale levels between 0 and −4 and between −2 and −4, respectively. Both agents altered the power spectra with increased delta (0.5-4 Hz) and decreased alpha (8-13 Hz) power. Only propofol was found to significantly reduce functional connectivity. In the beta frequency band, the MST was more integrated during midazolam sedation. Propofol sedation resulted in a less integrated network in the alpha frequency band. Conclusion. Despite the different levels of light sedation with midazolam and propofol, similar changes in power were found. Functional connectivity and network topology showed differences between midazolam and propofol sedation. Future research should establish if these differences are caused by the different levels of sedation or the mechanism of action of these agents.
Keywords
midazolam, propofol, electroencephalography, functional connectivity, minimum spanning tree (MST)
Received June 2, 2018; revised January 24, 2019; accepted February 16, 2019.
Introduction
Every day, midazolam and propofol are administered to numerous individuals for general anesthesia, procedural sedation, or for comfort in the intensive care unit (ICU). Yet, little is known about the neurophysiological effects of both sedatives, particularly in elderly individuals. In a healthy, awake subject, electroencephalography (EEG) shows an alpha rhythm (8-13 Hz) in posterior derivations when the eyes are closed. Moreover, in a resting state, brain areas are functionally connected with a dominant posterior to anterior flow of information. 1-5 Sedative agents alter these characteristics, and these alterations coincide with alterations in the level of consciousness. 2
preservation of lower-order networks, 9 and reduced functional connectivity within the default mode network. 10 Propofolinduced loss of consciousness showed similar effects: decreased cortico-cortical and thalamo-cortical connectivity 11,12 was found using fMRI, and EEG studies showed reduced functional
Previous studies using EEG coherence suggested that light sedation with benzodiazepines results in functional uncoupling of frontal brain regions. 6 However, EEG coherence is difficult to interpret as connectivity measure because it can be influenced by the signal power and the effect of volume conduction. 7,8 Functional magnetic resonance imaging (fMRI) studies on midazolam-induced light levels of sedation showed disruption of networks related to higher order brain functions with
1Department of Intensive Care Medicine and Brain Center Rudolf Magnus, University Medical Center Utrecht, Utrecht University, Utrecht, the Netherlands 2Department of Psychiatry and Brain Center Rudolf Magnus, University Medical Center Utrecht, Utrecht University, Utrecht, the Netherlands 3Melbourne Neuropsychiatry Centre, Department of Psychiatry, University of Melbourne and Melbourne Health, Melbourne, Victoria, Australia 4Department of Gastroenterology and Hepatology, University Medical Center Utrecht, Utrecht University, Utrecht, the Netherlands 5Department of Clinical Neurophysiology and MEG Center, Neuroscience Campus Amsterdam, VU University Medical Center, Amsterdam, the Netherlands
Corresponding Author:
Tianne Numan, Department of Intensive Care Medicine, University Medical Center Utrecht F06.149, PO box 85500, Utrecht, 3508 GA, the Netherlands. Email: email@example.com
Full-color figures are available online at journals.sagepub.com/home/eeg
Clinical EEG and Neuroscience 2019, Vol. 50(6) 436–443 © EEG and Clinical Neuroscience Society (ECNS) 2019
https://doi.org/10.1177/1550059419838938 Article reuse guidelines: sagepub.com/journals-permissions DOI: 10.1177/1550059419838938 journals.sagepub.com/home/eeg
connectivity, a less efficient brain network, and disruption of the directed feedforward connectivity. 1,2,12
Connectivity effects have mostly been studied for propofol, 11,13 while literature on other sedatives, such as midazolam and other benzodiazepines, is relatively scarce. Moreover, these studies were performed in healthy younger subjects, whereas in clinical practice, mainly older patients receive sedation, for example for endoscopic procedures. 14,15 In general, older subjects show reduced resting state functional connectivity and less efficient brain network topology compared with younger adults. 16 We therefore aimed to replicate the previous findings of sedation on EEG connectivity and network topology in a population of 60 years and older. We hypothesized that light levels of sedation in these older patients result in an altered power spectrum, reduced functional connectivity, and altered network topology. This was assessed in 2 datasets: subjects receiving midazolam and subjects receiving propofol during an endoscopic procedure.
Method
Study Population
This study was performed from December 2014 to December 2016 in patients scheduled for a gastrointestinal endoscopic procedure in the University Medical Center Utrecht (UMCU). The ethical committee of UMCU waived the need for informed consent (number 14-466), although included subjects signed approval for participation, after being informed about the study procedure according to the Helsinki declaration. Inclusion criteria were age >60 years and planned endoscopy with light sedation with either midazolam or propofol. Exclusion criteria were previous stroke, epilepsy, and any psychiatric disease.
Study Procedures and Data Collection
The following patient and procedural characteristics were collected: age, sex, type and duration of endoscopy, type of sedation, and type of analgesia. The type sedative was chosen by the gastroenterologist performing the endoscopy based on physical state (ie, American Society of Anesthesiologists [ASA] classification), invasiveness and risk of the procedure, the need of lying still by the patient, and previous experiences of the patient. In general, in case of higher ASA classification or invasive procedure propofol was chosen. One hour prior to the endoscopic procedure, patients arrived at the endoscopy unit, a room with 10 beds for preparation of the patients for endoscopy and recovery afterward, for the preparation of the setup. An EEG cap with 32 electrodes (Brain products GmbH, Munich, Germany) was placed according to the 10-20 system. The EEG measurement during sedation was performed in a separate room for the endoscopic procedure. A reference electrode was located between Fz and Cz. Electrode impedances were kept below 20 kohm, sample frequency was 5000 Hz, and the hardware high pass filter was 0.1 Hz. During registration a
50 Hz notch-filter was used for visualization, although raw data were obtained for analyses.
For the baseline EEG recording, patients were lying on their back and were instructed to relax and keep their eyes closed for 5 minutes, while the researcher ensured that the patient was not falling asleep. The patient was subsequently transported to the endoscopy room where impedances were checked again, and the EEG cap was adjusted when necessary.
Midazolam was administered intravenously as a bolus of 2 to 5 mg depending on body weight and health status (such as alcohol use) by the physician performing the endoscopic procedure, and additional boluses could be given to make the endoscopic procedure possible, but without standardized assessment of the level of consciousness. The majority of patients receiving midazolam also received 50 µg fentanyl intravenously. Saturation and blood pressure were monitored during the procedure, and none of these patients were ventilated. Propofol was administered by a nurse anesthetist, starting with a bolus of 5 mg/kg and followed by continuous infusion with 4 mg/kg/h. The dose of propofol was adjusted based on response to voice or a physical stimulus to make the endoscopic procedure possible. In addition, 50 to 200 µg alfentanil was administered, depending on the body weight, health status, and procedure. Saturation, blood pressure, and electrocardiogram were monitored. These patients received some additional oxygen dependent on oxygen saturation, but were not ventilated.
The sedation EEG recording was started, and the level of consciousness was assessed using the Richmond Agitation and Sedation Scale (RASS) every 10 minutes by the researcher 17 during the entire endoscopic procedure. A RASS score of 0 indicates an alert and calm state, −1 indicates drowsiness where the patient is able to have eye contact for more than 10 seconds, −2 indicates light sedation with eye contact <10 seconds, −3 indicates moderate sedation with movement or eye opening to voice but without eye contact, −4 indicates deep sedation where the patient only moves or opens the eyes after physical stimulation but not to voice, and −5 indicates an unarousable state without response to voice or physical stimulation. Patients were requested to keep their eyes closed. During the EEG recording, the patients were observed, and any eye opening was documented to facilitate epoch selection afterward.
EEG Analysis
Raw data were down sampled using spline interpolation to 512 Hz with the Brain Vision Analyzer software (version 184.108.40.2068 Brain Products GmbH, Munich, Germany) to enable comparison with previous studies. 18 From all baseline recordings, the first 4 artifact-free epochs of 8 seconds were selected, as this was previously shown to be sufficient for stable results. 18,19 From each sedation recording (with either midazolam or propofol), 4 epochs of 8 seconds artifact-free EEG with eyes closed were selected within 3 minutes after the first determination of the reduced level of consciousness using the RASS score, in a time frame in which no additional sedatives or analgesics were administered. We assumed stable levels of consciousness within
these 3 minutes as the administration of sedatives was unchanged in this time frame. For all analyses, the following 17 channels were included; F7, F3, Fz, F4, F8, T3, C3, Cz, C4, T4, T5, P3, Pz, P4, T6, O1, and O2 to enable comparison with previous literature. 8,20 A source reference was used for connectivity and topology analysis, as approximation of the Laplacian 21 eliminating the influence of active reference in the analysis.
Spectral Analysis.First, the data were filtered using a Butterworth high-pass filter of 0.5 Hz and low-pass filter of 50 Hz, both with an order of 2 and in a forward and backward arrangement to exclude phase distortion by filtering. Subsequently, for each epoch the power spectral density was calculated with the Welch method and normalized according to the power between 0.5 and 20 Hz. For visualization, the power spectra were averaged over the 4 epochs for each patient. Relative delta (0.5-4 Hz), theta (4-8 Hz), alpha (8-13 Hz), and beta (13-20 Hz) were calculated for each epoch and averaged over the 4 epochs. Frequencies >20 Hz were excluded, as these represented particularly muscle activity due to the clinical procedures. 22,23
Functional Connectivity Analysis.The phase lag index (PLI) was calculated to assess functional connectivity, a measure of synchronization between electrode time series as follows 24 :
For each sample (t) the instantaneous phase was obtained using the Hilbert transformation, and the instantaneous phase difference between 2 times series ( ∆ϕ ) was calculated, ranging between –π and π. The sign-function is 1 for all positive phase differences and −1 for all negative phase differences, which are averaged over the epoch. Calculating the absolute value results in the PLI, a value ranging between 0 (no phase synchronization or zero lag phase synchronization) and 1 (complete, nonzero phase-locking over the epoch). The PLI was averaged over all combinations of electrodes.
Network Analysis.The topology of the functional network was assessed using the minimum spanning tree (MST). Based on the PLI connectivity matrix, the MST was obtained using Kruskal's algorithm, including the strongest connections without forming loops. 25 This resulted in a network of 17 nodes (ie, channels) and 16 connections (ie, PLI values).
First, to assess overall differences in topology, an MST reference was calculated for each subject. Using a leave-one-out method (ie, excluding the PLI matrix of this subject), an averaged PLI matrix was calculated based on all other baseline recordings. An MST reference was calculated based on that averaged PLI matrix, as an approximation of the averaged baseline topology. The number of overlapping connections of the MST of each epoch with the MST reference was counted. The ratio of overlap (MST overlap) was calculated by dividing the number of overlapping connections by the total number of connections within the MST (ie, 16 connections). Functional connectivity and MST overlap were calculated for each frequency band for each of the 4 selected epochs and averaged. Subsequently, the MST overlap was averaged over the 4 epochs. MST measures were calculated when a significant difference in MST overlap was found on a group level. Degree, diameter, and leaf fraction were calculated to characterize global integration of information, betweenness centrality, and eccentricity quantified the centrality of nodes, and tree hierarchy was used as a global measure of hierarchical organization of the MST topology (see Table 1).
Connectivity and network analysis were performed in Brainwave (Version 0.9.152.4.1 freely available on http:// home.kpn.nl/stam7883/brainwave.html) and Matlab (Version 2015a, The MathWorks, Inc) using the connectivity toolbox. 26
Statistical Analysis
Patient characteristics were tested for normality and presented as mean with standard deviation (SD), median with interquartile range (IQR), or number (%) as appropriate. Patient characteristics were compared between the midazolam and propofol groups, using t test, Mann-Whitney U test, or chi-square test where appropriate.
To study the difference in EEG characteristics between baseline and sedation with either midazolam or propofol, Student's paired t test was used in case of a normal distribution, and a Wilcoxon signed rank test was used for a skewed distribution. The Bonferroni correction was applied to correct for multiple testing in the 4 frequency bands, therefore statistical significance was defined as P < .0125. MST measures were only calculated for a frequency band when the MST overlap was significantly different. Therefore, these comparisons using the Wilcoxon signed rank test were assumed post hoc analyses and not corrected for multiple testing. P values <.05 were statistically significant for post hoc analyses. Statistical analyses were performed with SPSS, version 21 (IBM, Armonk, NY).
Results
Study Population
In total, 85 patients participated in this study. Thirty-seven patients were excluded because of the following reasons: no sedation during endoscopy (n = 1), meningioma, or stroke in the medical history (n = 2), no EEG recording possible due to logistic reasons (n = 4), no eyes closed segments (n = 1), no EEG signal on one or more of the included channels (n = 6), or no artifact-free epochs due to the noisy environment of the experimental setup (n = 23). In the remaining 48 patients, 22 received midazolam sedation and 26 propofol sedation. The patient characteristics are described in Table 2.
Spectral Analysis
The relative power in the 4 frequency bands are presented for baseline and sedation conditions in Figure 1 and Table 3. Midazolam resulted in an increase in delta and beta power,
Table 1.Definitions of the Different Minimum Spanning Tree (MST) Measures.
Table 2.Patient Characteristics.
Abbreviations: IQR, interquartile range; RASS, Richmond Agitation and Sedation Scale; SD, standard deviation.
whereas alpha power was significantly lower compared with the baseline condition. Sedation with propofol significantly increased the delta power, with a reduction of theta and alpha power.
Functional connectivity
Midazolam sedation did not result in changes in the PLI (Table 4), whereas propofol sedation resulted in a significantly increased PLI in the delta and beta frequency bands, and a significantly decreased PLI in the alpha frequency band.
Topology of the Functional Brain Networks
To study network topology, MST references were created and MST overlap was calculated and compared between the baseline and sedation recordings. Midazolam sedation altered network topology in the beta frequency band as indicated by a significantly reduced MST overlap (baseline, median 0.172 [IQR 0.156-0.320]; sedation, median 0.125 [IQR 0.106-0.156]; P = .001). In contrast, sedation with propofol resulted in topological changes in the alpha frequency band, with a significant reduction of MST overlap (baseline, median 0.156 [IQR 0.1250.172]; sedation, median 0.125 [IQR 0.110-0.141]; P = .005, see Table 5). No differences were found in the other frequency bands. Therefore, the MST measures in the beta frequency band and alpha frequency band were calculated for the midazolam and propofol group, respectively.
Leaf fraction and tree hierarchy were significantly higher during sedation with midazolam compared to baseline (Table 6), indicating a more integrated topology in the beta band. Propofol sedation resulted in an increased diameter and eccentricity in the alpha band compared with baseline, suggesting a less integrated topology in the alpha frequency band.
Discussion
Similar changes in EEG power were found with either midazolam or propofol sedation. During midazolam sedation no changes in functional connectivity were found, but network topology showed higher integration in the beta frequency band. During propofol sedation, the functional connectivity was changed compared to baseline and a less integrated network topology in the alpha frequency band was found, indicating loss of network efficiency.
Our findings on the effects of midazolam and propofol on relative power are consistent with most previous studies in younger subjects, 27-29 which described slowing of background activity for midazolam and propofol, and a specific
Table 3.Relative Power for All Frequency Bands During Baseline and Sedation Condition.
Table 5.Minimum Spanning Tree (MST) Overlap With Reference MST for All Frequency Bands During Baseline and Sedation.
aStatistically significant after Bonferroni correction.
Table 4.Functional Connectivity for All Frequency Bands During Baseline and Sedation Condition.
aStatistically significant after Bonferroni correction.
aStatistically significant after Bonferroni correction.
increase in beta power due to midazolam. Lee et al 2 showed an increase in delta frequency band PLI and a decrease in alpha band PLI during regaining of consciousness after propofol sedation in younger individuals. Interestingly, the propofol group of the current study showed a similar decrease in the alpha frequency band PLI; however, the PLI in the delta frequency band was reduced during propofol sedation. This could be explained by the difference in age (ie, younger adults vs older subjects in the current study) or the difference in sedation trajectory (ie, regaining consciousness after loss of consciousness vs light levels of sedation without loss of consciousness). In our previous study on functional connectivity during recovery from anesthesia after surgery, the PLI in the alpha frequency band was decreased compared with control subjects, while delta band PLI was not significantly different. 30 Thus reduction of functional connectivity in the
Table 6.Minimum Spanning Tree (MST) Measures in Beta Frequency Band for Midazolam Group and Alpha Frequency Band From Propofol Group.
aStatistically significant.
alpha frequency band is characteristic for sedation in both younger and elderly subjects. 2,30 It is not clear if this is a specific propofol effect because we found a nonsignificant trend in alpha frequency band PLI during midazolam sedation. However, direct comparisons between effects of midazolam and propofol in our study are hampered by differences in sedation level.
Still, midazolam and propofol had opposite effects on network topology. During midazolam sedation a more integrated network was found in the beta frequency band. A more integrated network has shorter communication paths between all nodes 4 and is therefore more efficient. Interestingly, the network topology was only affected in the beta frequency band, and an increase in power of the beta frequency band was specific for benzodiazepines like midazolam. 27-29 Since subjects who received propofol had lower RASS scores compared with those who received midazolam, this more integrated network in the beta frequency band during midazolam sedation may be more specific for the working mechanism of midazolam than the depth of sedation level. However, how this relates to the different working mechanisms between midazolam and propofol on the GABA receptor is unclear.
A Propofol sedation resulted in a different topology in the alpha frequency band, a more integrated network was found. Previously, small-world measures path length and clustering coefficient were found to be increased in young subjects during propofol sedation, without changing the small-world index (the ratio of these measures). 2 The diameter of the MST is highly correlated with the small-world measure path length (ie, higher diameter correlates with longer path length), 4 and the results in the current study in elderly patients are therefore consistent with the previous study in younger subjects. 2
This is the first study on EEG characteristics of light levels of sedation with midazolam or propofol in older subjects.
Furthermore, this is the first investigation on this topic using advanced topological analysis with MST. MST provides unbiased estimates of the backbone of the brain network and is not dependent on arbitrary choices regarding thresholding of the network strength. However, some limitations of the current study need to be addressed. Several patients were excluded due to the clinical setting of this study for logistic and technical reasons such as environmental artifacts, which is unlikely to have affected our findings. Second, because we performed observations during otherwise care-as-usual, the level of consciousness was not strictly targeted, and administered analgesics differed per patient. This resulted not only in clinically realistic alterations in EEG characteristics but also in different levels of consciousness between the midazolam group and propofol group, hampering direct comparison. Both fentanyl and alfentanil are known to have a slowing effect of the EEG, with fentanyl having a higher potency and longer life-time compared with alfentanil. 31,32 However, the additional effects on top of midazolam or propofol sedation are unclear and could not be assessed based on the current data. Therefore, in our study it is impossible to disentangle the different effects of level of consciousness, type of analgesia, and type of sedation.
In conclusion, despite the different levels of light sedation between midazolam and propofol, overlapping results were found in the power spectra. However, only propofol sedation showed a reduction of functional connectivity in the alpha frequency band, which was previously found in younger subjects who had received propofol. 2 The opposite effects in network topology found during midazolam and propofol sedation may suggest a difference in mechanism of action. However, future research should establish if our results are related to the type of sedation or the level of consciousness and how these relate to age effects.
Author Contributions
TN contributed to conception and design; contributed to acquisition, analysis, and interpretation; drafted manuscript; critically revised manuscript; gave final approval; agrees to be accountable for all aspects of work ensuring integrity and accuracy. EvD contributed to conception and design; contributed to analysis and interpretation; drafted manuscript; critically revised manuscript; gave final approval; agrees to be accountable for all aspects of work ensuring integrity and accuracy. FPV contributed to conception; contributed to acquisition; critically revised manuscript; gave final approval; agrees to be accountable for all aspects of work ensuring integrity and accuracy. PvV contributed to conception; contributed to acquisition; critically revised manuscript; gave final approval; agrees to be accountable for all aspects of work ensuring integrity and accuracy. CJS contributed to conception; contributed to analysis and interpretation; drafted manuscript; critically revised manuscript; gave final approval; agrees to be accountable for all aspects of work ensuring integrity and accuracy. AJCS contributed to conception and design; contributed to analysis and interpretation; drafted manuscript; critically revised 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) disclosed receipt of the following financial support for the research, authorship, and/or publication of this article: Support was provided solely from institutional and/or departmental sources.
References
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2. Lee H, Mashour GA, Noh GJ, Kim S, Lee U. Reconfiguration of network hub structure after propofol-induced unconsciousness. Anesthesiology. 2013;119:1347-1359.
3. Vecchio F, Miraglia F, Bramanti P, Rossini PM. Human brain networks in physiological aging: a graph theoretical analysis of cortical connectivity from EEG data. J Alzheimers Dis. 2014;41:1239-1249.
4. Stam CJ, Tewarie P, Van Dellen E, van Straaten EC, Hillebrand A, Van Mieghem P. The trees and the forest: characterization of complex brain networks with minimum spanning trees. Int J Psychophysiol. 2014;92:129-138.
5. Moon JY, Kim J, Ko TW, et al. Structure shapes dynamics and directionality in diverse brain networks: mathematical principles and empirical confirmation in three species. Sci Rep. 2017;7:46606.
6. Alonso JF, Mañanas MA, Romero S, Rojas-Martínez M, Riba J. Cross-conditional entropy and coherence analysis of pharmacoEEG changes induced by alprazolam. Psychopharmacology (Berl). 2012;221:397-406.
7. Numan T, Stam CJ, Slooter AJC, van Dellen E. Being conscious of methodological pitfalls in functional brain network analysis. Anesthesiology. 2015;123:484-485.
8. van Diessen E, Numan T, van Dellen E, et al. Opportunities and methodological challenges in EEG and MEG resting state
functional brain network research. Clin Neurophysiol. 2015;126: 1468-1481.
9. Liang P, Zhang H, Xu Y, Jia W, Zang Y, Li K. Disruption of cortical integration during midazolam-induced light sedation. Hum Brain Mapp. 2015;36:4247-4261.
10. Greicius MD, Kiviniemi V, Tervonen O, et al. Persistent defaultmode network connectivity during light sedation. Hum Brain Mapp. 2008;29:839-847.
11. Tang CY, Ramani R. Functional connectivity and anesthesia. Int Anesthesiol Clin. 2016;54:143-155.
12. Jordan D, Ilg R, Riedl V, et al. Simultaneous electroencephalographic and functional magnetic resonance imaging indicate impaired cortical top-down processing in association with anesthetic-induced unconsciousness. Anesthesiology. 2013;119: 1031-1042.
13. Hudetz AG. General anesthesia and human brain connectivity. Brain Connect. 2012;2:291-302.
14. Travis AC, Pievsky D, Saltzman JR. Endoscopy in the elderly. Am J Gastroenterol. 2012;107:1495-1501.
15. Triantafillidis JK, Merikas E, Nikolakis D, Papalois AE. Sedation in gastrointestinal endoscopy: current issues. World J Gastroenterol. 2013;19:463-481.
16. Smit DJ, de Geus EJ, Boersma M, Boomsma DI, Stam CJ. Lifespan development of brain network integration assessed with Phase Lag Index connectivity and minimum spanning tree graphs. Brain Connect. 2016;6:312-325.
17. Sessler CN, Gosnell MS, Grap MJ, et al. The Richmond AgitationSedation Scale: validity and reliability in adult intensive care unit patients. Am J Respir Crit Care Med. 2002;166:1338-1344.
18. van Dellen E, van der Kooi AW, Numan T, et al. Decreased functional connectivity and disturbed directionality of information flow in the electroencephalography of intensive care unit patients with delirium after cardiac surgery. Anesthesiology. 2014;121:328-335.
19. Fraschini M, Demuru M, Crobe A, Marrosu F, Stam C, Hillebrand A. The effect of epoch length on estimated EEG functional connectivity and brain network organisation. J Neural Eng. 2016;13:036015.
20. van Wijk BC, Stam CJ, Daffertshofer A. Comparing brain networks of different size and connectivity density using graph theory. PLoS One. 2010;5:e13701.
21. Hjorth B. An on-line transformation of EEG scalp potentials into orthogonal source derivations. Electroencephalogr Clin Neurophysiol. 1975;39:526-530.
22. Whitham EM, Pope KJ, Fitzgibbon SP, et al. Scalp electrical recording during paralysis: quantitative evidence that EEG frequencies above 20 Hz are contaminated by EMG. Clin Neurophysiol. 2007;118:1877-1888.
23. Pope KJ, Fitzgibbon SP, Lewis TW, Whitham EM, Willoughby JO. Relation of gamma oscillations in scalp recordings to muscular activity. Brain Topogr. 2009;22:13-17.
24. Stam CJ, Nolte G, Daffertshofer A. Phase Lag Index: assessment of functional connectivity from multi channel EEG and MEG with diminished bias from common sources. Hum Brain Mapp. 2007;28:1178-1193.
25. Kruskal JB. On the shortest spanning subtree of a graph and the traveling salesman problem. Am Math Soc. 1956;7:48-50.
26. Rubinov M, Sporns O. Complex network measures of brain connectivity: uses and interpretations. Neuroimage. 2010;52: 1059-1069.
27. Hotz MA, Ritz R, Linder L, Scollo-Lavizzari G, Haefeli WE. Auditory and electroencephalographic effects of midazolam and
α-hydroxy-midazolam in healthy subjects. Br J Clin Pharmacol. 2000;49:72-79.
28. Nishida M, Zestos MM, Asano E. Spatial-temporal patterns of electrocorticographic spectral changes during midazolam sedation. Clin Neurophysiol. 2016;127: 1223-1232.
29. Breimer LT, Hennis PJ, Burm AG, et al. Quantification of the EEG Effect of Midazolam by Aperiodic Analysis in Volunteers. Pharmacokinetic/pharmacodynamic modelling. Clin Pharmacokinet. 1990;18:245-253.
30. Numan T, Slooter AJC, van der Kooi AW, et al. Functional connectivity and network analysis during hypoactive delirium and recovery from anesthesia. Clin Neurophysiol. 2017;128: 914-924.
31. Scott JC, Ponganis KV, Stanski DR. EEG quantitation of narcotic effect: the comparative pharmacodynamics of fentanyl and alfentanil. Anesthesiology. 1985;62:234-241.
32. Sebel PS, Bovill JG, Wauquier A, Rog P. Effects of high-dose fentanyl anesthesia on the electroencephalogram. Anesthesiology. 1981;55:203-211.
|
Statement of Program Service Accomplishments Part III
Check if Schedule O contains a response or note to any line in this Part III
1 Briefly describe the organization's mission:
45-3732750
FREEDOM PARTNERS CHAMBER OF COMMERCE ADVANCES ITS MEMBERS' COMMON BUSINESS INTERESTS BY
TEXT BOXES HERE
Total program service expenses
2 Did the organization undertake any significant program services during the year which were not listed on the prior Form 990 or 990-EZ?
Yes
No X
If "Yes," describe these new services on Schedule O.
3 Did the organization cease conducting, or make significant changes in how it conducts, any program services?
Yes
No X
If "Yes," describe these changes on Schedule O.
4 Describe the organization's program service accomplishments for each of its three largest program services, as measured by expenses. Section 501(c)(3) and 501(c)(4) organizations are required to report the amount of grants and allocations to others, the total expenses, and revenue, if any, for each program service reported.
4a (Code:
) (Expenses $
including grants of $) (Revenue $)
4b (Code:
) (Expenses $
including grants of $) (Revenue $)
4c (Code:
) (Expenses $
including grants of $) (Revenue $)
4d Other program services (Describe in Schedule O.)
(Expenses $
including grants of $) (Revenue $)
SUPPORTED BROAD-BASED COALITIONS TO ADVANCE FREE MARKETS AND A
FREE SOCIETY.
EDUCATED THE PUBLIC AND CONDUCTED PUBLIC COMMUNICATIONS TO
INCREASE THE LEVEL OF PUBLIC DEBATE ABOUT KEY ISSUES AFFECTING
AMERICAN BUSINESS, ECONOMIC INNOVATION, COMPETITIVENESS, AND THE
ROLE OF GOVERNMENT IN A FREE SOCIETY.
CONDUCTED RESEARCH AND POLLING ON VARIOUS POLICIES AND PROPOSALS
AFFECTING THE COMMON BUSINESS INTERESTS OF ITS MEMBERS TO
EFFECTIVELY PRESENT THE AMERICAN PUBLIC AND POLICY MAKERS WITH
REASONED ALTERNATIVES AND POSITIVE POLICY SUGGESTIONS THAT WILL
PROMOTE INNOVATION AND IMPROVE BUSINESS CONDITIONS FOR ITS
MEMBERS.
PROMOTING ECONOMIC FREEDOM AND IMPROVING BUSINESS CONDITIONS IN THE UNITED STATES, THEREBY
INCREASING OPPORTUNITY, INNOVATION, AND PROSPERITY FOR ALL AMERICANS. (SEE SCHEDULE O)
3E1020 2.000
Form
990
(2013)
9088FA K922 11/13/2014 2:04:48 PM V 13-7.5F
120-0096939-0077672
X
Checklist of Required Schedules Part IV 1 2 3 4 Is the organization described in section 501(c)(3) or 4947(a)(1) (other than a private foundation)? If "Yes," complete Schedule A Is the organization required to complete Schedule B, Schedule of Contributors (see instructions)? Did the organization engage in direct or indirect political campaign activities on behalf of or in opposition to candidates for public office? If "Yes," complete Schedule C, Part I Section 501(c)(3) organizations. Did the organization engage in lobbying activities, or have a section 501(h) election in effect during the tax year? If "Yes," complete Schedule C, Part II
Yes No
X
5 Is the organization a section 501(c)(4), 501(c)(5), or 501(c)(6) organization that receives membership dues, assessments, or similar amounts as defined in Revenue Procedure 98-19? If "Yes," complete Schedule C, Part III
6 Did the organization maintain any donor advised funds or any similar funds or accounts for which donors have the right to provide advice on the distribution or investment of amounts in such funds or accounts? If "Yes," complete Schedule D, Part I
7 8 Did the organization receive or hold a conservation easement, including easements to preserve open space, the environment, historic land areas, or historic structures? If "Yes," complete Schedule D, Part II Did the organization maintain collections of works of art, historical treasures, or other similar assets? If "Yes," complete Schedule D, Part III
9 10 Did the organization report an amount in Part X, line 21, for escrow or custodial account liability; serve as a custodian for amounts not listed in Part X; or provide credit counseling, debt management, credit repair, or debt negotiation services? If "Yes," complete Schedule D, Part IV Did the organization, directly or through a related organization, hold assets in temporarily restricted endowments, permanent endowments, or quasi-endowments? If "Yes," complete Schedule D, Part V
11 If the organization’s answer to any of the following questions is "Yes," then complete Schedule D, Parts VI, VII, VIII, IX, or X as applicable.
12 a Did the organization obtain separate, independent audited financial statements for the tax year? If "Yes," complete Schedule D, Parts XI and XII
13 14 b a b Was the organization included in consolidated, independent audited financial statements for the tax year? If "Yes," and if the organization answered "No" to line 12a, then completing Schedule D, Parts XI and XII is optional Is the organization a school described in section 170(b)(1)(A)(ii)? If "Yes," complete Schedule E Did the organization maintain an office, employees, or agents outside of the United States? Did the organization have aggregate revenues or expenses of more than $10,000 from grantmaking, fundraising, business, investment, and program service activities outside the United States, or aggregate foreign investments valued at $100,000 or more? If "Yes," complete Schedule F, Parts I and IV
15 16 17 Did the organization report on Part IX, column (A), line 3, more than $5,000 of grants or other assistance to or for any foreign organization? If "Yes," complete Schedule F, Parts II and IV Did the organization report on Part IX, column (A), line 3, more than $5,000 of aggregate grants or other assistance to or for foreign individuals? If "Yes," complete Schedule F, Parts III and IV Did the organization report a total of more than $15,000 of expenses for professional fundraising services on Part IX, column (A), lines 6 and 11e? If "Yes," complete Schedule G, Part I (see instructions)
18 Did the organization report more than $15,000 total of fundraising event gross income and contributions on Part VIII, lines 1c and 8a? If "Yes," complete Schedule G, Part II
19 20 Did the organization report more than $15,000 of gross income from gaming activities on Part VIII, line 9a? If "Yes," complete Schedule G, Part III Did the organization operate one or more hospital facilities? If "Yes," complete Schedule H
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a Did the organization report an amount for land, buildings, and equipment in Part X, line 10? If "Yes," complete Schedule D, Part VI
bcd Did the organization report an amount for investments-other securities in Part X, line 12 that is 5% or more of its total assets reported in Part X, line 16? If "Yes," complete Schedule D, Part VII Did the organization report an amount for investments-program related in Part X, line 13 that is 5% or more of its total assets reported in Part X, line 16? If "Yes," complete Schedule D, Part VIII Did the organization report an amount for other assets in Part X, line 15 that is 5% or more of its total assets reported in Part X, line 16? If "Yes," complete Schedule D, Part IX
e f Did the organization report an amount for other liabilities in Part X, line 25? If "Yes," complete Schedule D, Part X Did the organization’s separate or consolidated financial statements for the tax year include a footnote that addresses the organization's liability for uncertain tax positions under FIN 48 (ASC 740)? If "Yes," complete Schedule D, Part X
a
b If "Yes" to line 20a, did the organization attach a copy of its audited financial statements to this return?
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3E1021 1.000
Checklist of Required Schedules (continued) Part IV 21 22 Did the organization report more than $5,000 of grants or other assistance to any domestic organization or government on Part IX, column (A), line 1? If "Yes," complete Schedule I, Parts I and II Did the organization report more than $5,000 of grants or other assistance to individuals in the United States on Part IX, column (A), line 2? If "Yes," complete Schedule I, Parts I and III
Yes No
23 Did the organization answer "Yes" to Part VII, Section A, line 3, 4, or 5 about compensation of the organization's current and former officers, directors, trustees, key employees, and highest compensated employees? If "Yes," complete Schedule J
24 25 a b c d Did the organization have a tax-exempt bond issue with an outstanding principal amount of more than $100,000 as of the last day of the year, that was issued after December 31, 2002? If "Yes," answer lines 24b through 24d and complete Schedule K. If “No,” go to line 25a Did the organization invest any proceeds of tax-exempt bonds beyond a temporary period exception? Did the organization maintain an escrow account other than a refunding escrow at any time during the year to defease any tax-exempt bonds? Did the organization act as an "on behalf of" issuer for bonds outstanding at any time during the year? a Section 501(c)(3) and 501(c)(4) organizations. Did the organization engage in an excess benefit transaction with a disqualified person during the year? If "Yes," complete Schedule L, Part I
26 Did the organization report any amount on Part X, line 5, 6, or 22 for receivables from or payable to any current or former officers, directors, trustees, key employees, highest compensated employees, or disqualified persons? If so, complete Schedule L, Part II
27 Did the organization provide a grant or other assistance to an officer, director, trustee, key employee, substantial contributor or employee thereof, a grant selection committee member, or to a 35% controlled entity or family member of any of these persons? If "Yes," complete Schedule L, Part III
28 a b Was the organization a party to a business transaction with one of the following parties (see Schedule L, Part IV instructions for applicable filing thresholds, conditions, and exceptions): A current or former officer, director, trustee, or key employee? If "Yes," complete Schedule L, Part IV A family member of a current or former officer, director, trustee, or key employee? If "Yes," complete Schedule L, Part IV
29 30 31 32 Did the organization receive more than $25,000 in non-cash contributions? If "Yes," complete Schedule M Did the organization receive contributions of art, historical treasures, or other similar assets, or qualified conservation contributions? If "Yes," complete Schedule M Did the organization liquidate, terminate, or dissolve and cease operations? If "Yes," complete Schedule N, Part I Did the organization sell, exchange, dispose of, or transfer more than 25% of its net assets? If "Yes," complete Schedule N, Part II
33 Did the organization own 100% of an entity disregarded as separate from the organization under Regulations sections 301.7701-2 and 301.7701-3? If "Yes," complete Schedule R, Part I
34 35 36 Was the organization related to any tax-exempt or taxable entity? If "Yes," complete Schedule R, Part II, III, or IV, and Part V, line 1 Did the organization have a controlled entity within the meaning of section 512(b)(13)? a b If "Yes" to line 35a, did the organization receive any payment from or engage in any transaction with a controlled entity within the meaning of section 512(b)(13)? If "Yes," complete Schedule R, Part V, line 2 Section 501(c)(3) organizations. Did the organization make any transfers to an exempt non-charitable related organization? If "Yes," complete Schedule R, Part V, line 2
37 38 37 38 Did the organization conduct more than 5% of its activities through an entity that is not a related organization and that is treated as a partnership for federal income tax purposes? If "Yes," complete Schedule R, Part VI Did the organization complete Schedule O and provide explanations in Schedule O for Part VI, lines 11b and 19? Note. All Form 990 filers are required to complete Schedule O
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b Is the organization aware that it engaged in an excess benefit transaction with a disqualified person in a prior year, and that the transaction has not been reported on any of the organization's prior Forms 990 or 990-EZ? If "Yes," complete Schedule L, Part I
c An entity of which a current or former officer, director, trustee, or key employee (or a family member thereof) was an officer, director, trustee, or direct or indirect owner? If "Yes," complete Schedule L, Part IV
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3E1030 1.000
Statements Regarding Other IRS Filings and Tax Compliance Part V
Check if Schedule O contains a response or note to any line in this Part V
45-3732750
Yes
1a
1b
2a
7d
1 2 a b c a Enter the number reported in Box 3 of Form 1096. Enter -0- if not applicable Enter the number of Forms W-2G included in line 1a. Enter -0- if not applicable Did the organization comply with backup withholding rules for reportable payments to vendors and reportable gaming (gambling) winnings to prize winners? Enter the number of employees reported on Form W-3, Transmittal of Wage and Tax Statements, filed for the calendar year ending with or within the year covered by this return
3
4
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6 b c a b Did any taxable party notify the organization that it was or is a party to a prohibited tax shelter transaction? If "Yes" to line 5a or 5b, did the organization file Form 8886-T? Does the organization have annual gross receipts that are normally greater than $100,000, and did the organization solicit any contributions that were not tax deductible as charitable contributions? If "Yes," did the organization include with every solicitation an express statement that such contributions or gifts were not tax deductible?
7
8 9 h a b If the organization received a contribution of cars, boats, airplanes, or other vehicles, did the organization file a Form 1098-C? Sponsoring organizations maintaining donor advised funds and section 509(a)(3) supporting organizations. Did the supporting organization, or a donor advised fund maintained by a sponsoring organization, have excess business holdings at any time during the year? Sponsoring organizations maintaining donor advised funds. Did the organization make any taxable distributions under section 4966? Did the organization make a distribution to a donor, donor advisor, or related person?
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13 Section 501(c)(29) qualified nonprofit health insurance issuers.
14 a Did the organization receive any payments for indoor tanning services during the tax year?
b
a b a
b
a
a
b c
d e
f
g
a
b Gross receipts, included on Form 990, Part VIII, line 12, for public use of club facilities
abab Section 501(c)(12) organizations. Enter: Gross income from members or shareholders Gross income from other sources (Do not net amounts due or paid to other sources against amounts due or received from them.) Section 4947(a)(1) non-exempt charitable trusts. If "Yes," enter the amount of tax-exempt interest received or accrued during the year
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If at least one is reported on line 2a, did the organization file all required federal employment tax returns?
Note. If the sum of lines 1a and 2a is greater than 250, you may be required toe-file(see instructions)
Did the organization have unrelated business gross income of $1,000 or more during the year?
If "Yes," has it filed a Form 990-T for this year? If "No" to line 3b, provide an explanation in Schedule O
At any time during the calendar year, did the organization have an interest in, or a signature or other authority over, a financial account in a foreign country (such as a bank account, securities account, or other financial
account)?
If "Yes," enter the name of the foreign country:
See instructions for filing requirements for Form TD F 90-22.1, Report of Foreign Bank and Financial Accounts.
Was the organization a party to a prohibited tax shelter transaction at any time during the tax year?
Organizations that may receive deductible contributions under section 170(c).
Did the organization receive a payment in excess of $75 made partly as a contribution and partly for goods
and services provided to the payor?
If "Yes," did the organization notify the donor of the value of the goods or services provided?
Did the organization sell, exchange, or otherwise dispose of tangible personal property for which it was
required to file Form 8282?
If "Yes," indicate the number of Forms 8282 filed during the year
Did the organization receive any funds, directly or indirectly, to pay premiums on a personal benefit contract?
Did the organization, during the year, pay premiums, directly or indirectly, on a personal benefit contract?
If the organization received a contribution of qualified intellectual property, did the organization file Form 8899 as required?
Section 501(c)(7) organizations. Enter:
Initiation fees and capital contributions included on Part VIII, line 12
10a
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Is the organization filing Form 990 in lieu of Form 1041?
Is the organization licensed to issue qualified health plans in more than one state?
Note. See the instructions for additional information the organization must report on Schedule O.
Enter the amount of reserves the organization is required to maintain by the states in which
the organization is licensed to issue qualified health plans
Enter the amount of reserves on hand
If "Yes," has it filed a Form 720 to report these payments? If "No," provide an explanation in Schedule O
0
X
60
X
X
X
X
X
X
X
X
8
3E1040 1.000
Form
9088FA K922 11/13/2014 2:04:48 PM V 13-7.5F
120-0096939-0077672
No
(2013)
JSA
Form 990 (2013) Page 6 Governance, Management, and Disclosure For each "Yes" response to lines 2 through 7b below, and for a "No" Part VI response to line 8a, 8b, or 10b below, describe the circumstances, processes, or changes in Schedule O. See instructions. Check if Schedule O contains a response or note to any line in this Part VI Section A. Governing Body and Management Yes No 1a 1a Enter the number of voting members of the governing body at the end of the tax year FREEDOM PARTNERS CHAMBER OF COMMERCE, INC. 45-3732750 X 6
1b
2 b body delegated broad authority to an executive committee or similar committee, explain in Schedule O. Enter the number of voting members included in line 1a, above, who are independent Did any officer, director, trustee, or key employee have a family relationship or a business relationship with any other officer, director, trustee, or key employee?
3 4 5 6 7 a b Did the organization delegate control over management duties customarily performed by or under the direct supervision of officers, directors, or trustees, or key employees to a management company or other person? Did the organization make any significant changes to its governing documents since the prior Form 990 was filed? Did the organization become aware during the year of a significant diversion of the organization's assets? Did the organization have members or stockholders? Did the organization have members, stockholders, or other persons who had the power to elect or appoint one or more members of the governing body? Are any governance decisions of the organization reserved to (or subject to approval by) members, stockholders, or persons other than the governing body?
8 a b 10b Did the organization contemporaneously document the meetings held or written actions undertaken during the year by the following: The governing body? Each committee with authority to act on behalf of the governing body? 9 Is there any officer, director, trustee, or key employee listed in Part VII, Section A, who cannot be reached at the organization's mailing address? If "Yes," provide the names and addresses in Schedule O Section B. Policies (This Section B requests information about policies not required by the Internal Revenue Code.) 10 11 12 a b a b a b Did the organization have local chapters, branches, or affiliates? If "Yes," did the organization have written policies and procedures governing the activities of such chapters, affiliates, and branches to ensure their operations are consistent with the organization's exempt purposes? Has the organization provided a complete copy of this Form 990 to all members of its governing body before filing the form? Describe in Schedule O the process, if any, used by the organization to review this Form 990. Did the organization have a written conflict of interest policy? If "No," go to line 13 Were officers, directors, or trustees, and key employees required to disclose annually interests that could give rise to conflicts?
a Enter the number of voting members of the governing body at the end of the tax year
If there are material differences in voting rights among members of the governing body, or if the governing
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16b
Yes No
13 14 15 c a b Did the organization regularly and consistently monitor and enforce compliance with the policy? If "Yes," describe in Schedule O how this was done Did the organization have a written whistleblower policy? Did the organization have a written document retention and destruction policy? Did the process for determining compensation of the following persons include a review and approval by independent persons, comparability data, and contemporaneous substantiation of the deliberation and decision? The organization's CEO, Executive Director, or top management official Other officers or key employees of the organization *See Schedule O for detail
16 a Did the organization invest in, contribute assets to, or participate in a joint venture or similar arrangement with a taxable entity during the year?
b If "Yes," did the organization follow a written policy or procedure requiring the organization to evaluate its participation in joint venture arrangements under applicable federal tax law, and take steps to safeguard the organization's exempt status with respect to such arrangements? Section C. Disclosure 17 List the states with which a copy of this Form 990 is required to be filed
If "Yes" to line 15a or 15b, describe the process in Schedule O (see instructions).
18 Section 6104 requires an organization to make its Forms 1023 (or 1024 if applicable), 990, and 990-T (Section 501(c)(3)s only) available for public inspection. Indicate how you made these available. Check all that apply.
19 20 Describe in Schedule O whether (and if so, how) the organization made its governing documents, conflict of interest policy, and financial statements available to the public during the tax year. State the name, physical address, and telephone number of the person who possesses the books and records of the organization: MARC SHORT 2200 WILSON BLVD. STE 102-533 ARLINGTON, VA 22201-3324 703-888-2527
Own website X
Another's website
Upon request
Other (explain in Schedule O)
6
5
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
*
3E1042 1.000
Form 990 (2013)
Compensation of Officers, Directors, Trustees, Key Employees, Highest Compensated Employees, and
Independent Contractors
Part VII
Check if Schedule O contains a response or note to any line in this Part VII
45-3732750
FREEDOM PARTNERS CHAMBER OF COMMERCE, INC.
List all of the organization's current officers, directors, trustees (whether individuals or organizations), regardless of amount of compensation. Enter -0- in columns (D), (E), and (F) if no compensation was paid. List all of the organization's current key employees, if any. See instructions for definition of "key employee."
Section A. Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees 1a Complete this table for all persons required to be listed. Report compensation for the calendar year ending with or within the organization's tax year.
List the organization's five current highest compensated employees (other than an officer, director, trustee, or key employee) who received reportable compensation (Box 5 of Form W-2 and/or Box 7 of Form 1099-MISC) of more than $100,000 from the organization and any related organizations.
List all of the organization's former directors or trustees that received, in the capacity as a former director or trustee of the organization, more than $10,000 of reportable compensation from the organization and any related organizations.
List all of the organization's former officers, key employees, and highest compensated employees who received more than $100,000 of reportable compensation from the organization and any related organizations.
List persons in the following order: individual trustees or directors; institutional trustees; officers; key employees; highest compensated employees; and former such persons.
Check this box if neither the organization nor any related organization compensated any current officer, director, or trustee.
0
0
0
0
0
15,846.
6,283.
24,560.
20,308.
15,921.
4,638.
23,684.
10,314.
6,177.
| (B) Average hours per week (list any hours for related organizations below dotted line) | (C) Position (do not check more than one box, unless person is both an officer and a director/trustee) | | | | | | (D) Reportable compensation from the organization (W-2/1099-MISC) | (E) Reportable compensation from related organizations (W-2/1099-MISC) |
|---|---|---|---|---|---|---|---|---|
| | Individual trustee or director | Institutional trustee | Officer | Key employee | Highest compensated employee | Former | | |
| 1.00 | X | | | | | | 0 | 0 |
| 0 | | | | | | | | |
| 1.00 | X | | | | | | 0 | 0 |
| 0 | | | | | | | | |
| 1.00 | X | | | | | | 0 | 0 |
| 0 | | | | | | | | |
| 1.00 | X | | | | | | 0 | 0 |
| 0 | | | | | | | | |
| .10 | X | | | | | | 0 | 0 |
| 0 | | | | | | | | |
| 50.00 | X | | X | | | | 592,221. | 0 |
| .10 | | | | | | | | |
| 50.00 | | | X | | | | 91,146. | 0 |
| 0 | | | | | | | | |
| 50.00 | | | X | | | | 214,827. | 0 |
| 0 | | | | | | | | |
| 50.00 | | | X | | | | 197,144. | 0 |
| 0 | | | | | | | | |
| 50.00 | | | X | | | | 150,164. | 0 |
| 0 | | | | | | | | |
| 50.00 | | | X | | | | 101,589. | 0 |
| 0 | | | | | | | | |
| 50.00 | | | | | X | | 221,298. | 0 |
| 0 | | | | | | | | |
| 50.00 | | | | | X | | 223,917. | 0 |
| 0 | | | | | | | | |
| 50.00 | | | | | X | | 128,099. | 0 |
| 0 | | | | | | | | |
3E1041 1.000
(10)
(11)
(12)
(13)
(14)
Part VII
JSA
(continued)
(F)
Section A. Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees
(A)
(B)
(C)
(D)
(E)
Name and title
Estimated
Average
Position
Reportable
Reportable hours per
amount of
(do not check more than one
14,896.
7,925.
127,731.
22,821.
150,552.
No
X
X
(2013)
other
compensation from the organization and related organizations
week (list any
hours for related organizations below dotted
line)
box, unless person is both an officer and a director/trustee)
from the organization
(W-2/1099-MISC)
related organizations
(W-2/1099-MISC)
1b Sub-total
c Total from continuation sheets to Part VII, Section A
d Total (add lines 1b and 1c)
2 Total number of individuals (including but not limited to those listed above) who received more than $100,000 of
reportable compensation from the organization
Yes
3 Did the organization list anyformerofficer, director, or trustee, key employee, or highest compensated
employee on line 1a? If "Yes," complete Schedule J for such individual
3
4 For any individual listed on line 1a, is the sum of reportable compensation and other compensation from the
organization and related organizations greater than $150,000? If "Yes," complete Schedule J for such
individual
4
5 Did any person listed on line 1a receive or accrue compensation from any unrelated organization or individual
for services rendered to the organization? If "Yes," complete Schedule J for such person
5
Section B. Independent Contractors
1 Complete this table for your five highest compensated independent contractors that received more than $100,000 of
compensation from the organization. Report compensation for the calendar year ending with or within the organization's tax
year.
(A)
Name and business address
(B)
Description of services
(C)
Compensation
2 Total number of independent contractors (including but not limited to those listed above) who received
more than $100,000 in compensation from the organization
( 15) JONATHAN BLACK
50.00
SENIOR ANALYST
0
X
127,417.
0
( 16) JOSH FISHER
50.00
CHIEF PERFORMANCE OFFICER
0
X
118,485.
0
1,920,405.
0
245,902.
0
2,166,307.
0
13
X
PROPHET SAN FRANCISCO, CA 94105
CONSULTING SERVICES
1,257,787.
PILLSBURY WINTHROP WASHINGTON, DC 20037
LEGAL SERVICES
590,274.
SYNTHESIS 411 LLC WASHINGTON, DC 20005
CONSULTING SERVICES
415,000.
WEINBERG, JACOBS & TOLANI, LLP BETHESDA, MD 20817
LEGAL SERVICES
326,255.
ZMD LLC WASHINGTON, DC 20004
EVENT PRODUCTION
250,000.
12
PILLSBURY WINTHROP SHAW PITTMAN LLP WASHINGTON, DC 20037
3E1055 1.000
Form
990
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120-0096939-0077672
compensation compensation from
Part VIII Statement of Revenue
Check if Schedule O contains a response or note to any line in this Part VIII
45-3732750
(A)
Total revenue
(C)
(B)
(D)
Related or
Unrelated business revenue
exempt
function
revenue
excluded from tax under sections
512-514
1a
1b
1c
1d
1e
1f
1a b c d
Federated campaigns
Membership dues
Fundraising events
Related organizations
Government grants (contributions)
All other contributions, gifts, grants,
and similar amounts not included above
Noncash contributions included in lines 1a-1f:
f
e
g
2a b c d
$
h Total. Add lines 1a-1f
Business Code
f
e
6a b c
b
c
8a
b
9a
b
10a
b
11a b c d e
All other program service revenue
g Total. Add lines 2a-2f
3
4
5
Investment income (including dividends, interest, and
other similar amounts)
Income from investment of tax-exempt bond proceeds
Royalties
(i) Real
(ii) Personal
Gross rents
Less: rental expenses
Rental income or (loss)
d Net rental income or (loss)
(i) Securities
(ii) Other
7a Gross amount from sales of
assets other than inventory
Less: cost or other basis
and sales expenses
Gain or (loss)
d Net gain or (loss)
Gross income from fundraising
events (not including $
of contributions reported on line 1c).
See Part IV, line 18
Less: direct expenses
a b
a b
a b
c Net income or (loss) from fundraising events
Gross income from gaming activities.
See Part IV, line 19
Less: direct expenses
c Net income or (loss) from gaming activities
Gross sales of inventory, less
returns and allowances
Less: cost of goods sold
c Net income or (loss) from sales of inventory
Miscellaneous Revenue
Business Code
All other revenue
Total. Add lines 11a-11d
Total revenue. See instructions
50,000.
50,000.
MEMBERSHIP DUES
900099
35,800,000.
35,800,000.
35,800,000.
2,043.
2,043.
0
0
0
0
0
0
0
0
35,852,043.
35,800,000.
Revenue
Statement of Functional Expenses Part IX
Section 501(c)(3) and 501(c)(4) organizations must complete all columns. All other organizations must complete column (A).
Check if Schedule O contains a response or note to any line in this Part IX
Do not include amounts reported on lines 6b, 7b,
45-3732750
Total expenses
(A)
(B)
(C)
(D)
| 1 Grants and other assistance to governments and organizations in the United States. See Part IV, line 21 2 Grants and other assistance to individuals in the United States. See Part IV, line 22 3 Grants and other assistance to governments, organizations, and individuals outside the United States. See Part IV, lines 15 and 16 4 Benefits paid to or for members 5 Compensation of current officers, directors, trustees, and key employees 6 Compensation not included above, to disqualified persons (as defined under section 4958(f)(1)) and persons described in section 4958(c)(3)(B) 7 Other salaries and wages 8 Pension plan accruals and contributions (include section 401(k) and 403(b) employer contributions) 9 Other employee benefits 10 Payroll taxes 11 Fees for services (non-em ployees): a Management b Legal c Accounting d Lobbying e Professional fundraising services. See Part IV, line 17 f Investment management fees g Other. (If line 11g amount exceeds 10% of lin e 25 , c olu mn (A) amount, list line 11g expenses on Schedule O.) 12 Advertising and promo tion 13 Office expenses 14 Information technology 15 Royalties 16 Occupancy 17 Travel 18 Payments of travel or entertainment expenses for any federal, state, or local public officials 19 Conferences, conventions, and m eetings 20 Interest 21 Payments to affiliates 22 Depreciation, depletion, and amortization 23 Insurance 24 Other expenses. Itemize expenses not covered above (List miscellaneous expenses in line 24e. If line 24e amount exceeds 10% of line 25, column (A) amount, list line 24e expenses on Schedule O.) aLICENSE FEES bREGISTRATION/PROCESSING FEES cMEMBERSHIPS & DUES d_ e All other expenses 25 Total functional expenses. Add lines 1 through 24e | 18,850,000. |
|---|---|
| | 0 |
| | 0 |
| | 0 |
| | 744,634. |
| | 0 |
| | 717,401. |
| | 31,953. |
| | 69,670. |
| | 91,455. |
| | 0 |
| | 333,863. |
| | 0 |
| | 0 |
| | 0 |
| | 0 |
| | 1,029,792. |
| | 0 |
| | 58,634. |
| | 4,426. |
| | 0 |
| | 127,717. |
| | 137,995. |
| | 0 |
| | 56,957. |
| | 0 |
| | 0 |
| | 12,630. |
| | 0 |
| | 38,610. |
| | 713. |
| | 360. |
| | 2,957. |
| | 22,309,767. |
| 26 Joint costs. Complete this line only if the organization reported in column (B) joint costs from a combined educational campaign and fundraising solicitation. Check here if following SOP 98-2 (ASC 958-720) | 0 |
Program service
Management and
Fundraising
Balance Sheet Part X
| Check if Schedule O contains a response or note to any line in this Part X | | | | | |
|---|---|---|---|---|---|
| | | | | (A) Beginning of year | |
| Assets | 1 Cash - non-interest-bearing 2 Savings and temporary cash investm ents 3 Pledges and grants receivable, net 4 Accounts receivable, net 5 Loans and other receivables from current and former officers, directors, trustees, key employees, and highest compensated employees. Complete Part II of Schedule L 6 Loans and other receivables from other disqualified persons (as defined under section 4958(f)(1)), persons described in section 4958(c)(3)(B), and contributing employers and sponsoring organizations of section 501(c)(9) voluntary employees' beneficiary organizations (see instructions). Complete P art II of Schedule L 7 Notes and loans receivable, net 8 Inventories for sale or use 9 Prepaid expenses and deferred charges 10a Land, buildings, and equipment: cost or other basis. Complete Part VI of Schedule D 10a 360,873. b Less: accumulated depreciation 10 b 5 3,704 . 11 Investments - publicly traded securities 12 Investments - other securities. See Part IV, line 11 13 Investments - program -related. See Part IV , line 11 14 Intangible assets 15 Other assets. See Part IV, line 11 16 Total assets. Add lines 1 through 15 (must equal line 34) | | | 16,822,178. | 1 |
| | | | | 7,660,322. | 2 |
| | | | | 0 | 3 |
| | | | | 3,519. | 4 |
| | | | | 0 | 5 |
| | | | | 0 | 6 |
| | | | | 0 | 7 |
| | | | | 25,136. | 8 |
| | | | | 74,963. | 9 |
| | | 10b | 53,704. | 224,035. | 10c |
| | | | | 0 | 11 |
| | | | | 0 | 12 |
| | | | | 0 | 13 |
| | | | | 0 | 14 |
| | | | | 1,051,949. | 15 |
| | | | | 25,862,102. | 16 |
| Liabilities | 17 Accounts payable and accrued expenses 18 Grants payable 19 Deferred revenue 20 Tax-exempt bond liabilities 21 Escrow or custodial account liability. Complete Part IV of Schedule D 22 Loans and other payables to current and former officers, directors, trustees, key employees, highest compensated em p loyees, and disqualified persons. Complete Part II of Schedule L 23 Secured mortgages and notes payable to unrelated third part ies 24 Unsecured notes and loans payable to unrelated third parties 25 Other liabilities (including federal income tax, payables to related third parties, and ot her liab ilities not included on lines 17-24). Complete Part X of Schedule D 26 Total liabilities. Add lines 17 through 25 | | | 716,129. | 17 |
| | | | | 0 | 18 |
| | | | | 0 | 19 |
| | | | | 0 | 20 |
| | | | | 0 | 21 |
| | | | | 0 | 22 |
| | | | | 0 | 23 |
| | | | | 0 | 24 |
| | | | | 0 | 25 |
| | | | | 716,129. | 26 |
| Net Assets or Fund Balances | Organizations that follow SFAS 117 (ASC 958), check here X and complete lines 27 through 29, and line s 33 and 34. 27 Unrestricted net assets 28 Temporarily restricted net assets 29 Permanently restricted net assets Organizations that do not follow SFAS 117 (ASC 958), check here and complete lines 30 through 34. 30 Capital stock or trust principal, or current funds 31 Paid-in or capital surplus, or land, building, or equipment fund 32 Retained earnings, endowment, accumulated income, or other funds 33 Total net assets or fund balances 34 Total liabilities and net assets/fund balances | | | | |
| | | | | 25,145,973. | 27 |
| | | | | 0 | 28 |
| | | | | 0 | 29 |
| | | | | | 30 |
| | | | | | 31 |
| | | | | | 32 |
| | | | | 25,145,973. | 33 |
| | | | | 25,862,102. | 34 |
45-3732750
Form 990 (2013)
45-3732750
Reconciliation of Net Assets Part XI
Check if Schedule O contains a response or note to any line in this Part XI
1
2
3
4
5
6
7
8
9
10
1
2
3
4
5
6
7
8
9 Other changes in net assets or fund balances (explain in Schedule O)
10
Total revenue (must equal Part VIII, column (A), line 12)
Total expenses (must equal Part IX, column (A), line 25)
Revenue less expenses. Subtract line 2 from line 1
Net assets or fund balances at beginning of year (must equal Part X, line 33, column (A))
Net unrealized gains (losses) on investments
Donated services and use of facilities
Investment expenses
Prior period adjustments
Net assets or fund balances at end of year. Combine lines 3 through 9 (must equal Part X, line
33, column (B))
Financial Statements and Reporting Part XII
Check if Schedule O contains a response or note to any line in this Part XII
Yes No
1
2
Accounting method used to prepare the Form 990:
Cash
Accrual X
Other
If the organization changed its method of accounting from a prior year or checked "Other," explain in
Schedule O.
aWere the organization's financial statements compiled or reviewed by an independent accountant?
2a
2b
2c
3a
3b
If "Yes," check a box below to indicate whether the financial statements for the year were compiled or reviewed on a separate basis, consolidated basis, or both: Separate basis Consolidated basis Both consolidated and separate basis X
b Were the organization's financial statements audited by an independent accountant? If "Yes," check a box below to indicate whether the financial statements for the year were audited on a separate basis, consolidated basis, or both:
c a If "Yes" to line 2a or 2b, does the organization have a committee that assumes responsibility for oversight of the audit, review, or compilation of its financial statements and selection of an independent accountant? If the organization changed either its oversight process or selection process during the tax year, explain in Schedule O. 3 As a result of a federal award, was the organization required to undergo an audit or audits as set forth in the Single Audit Act and OMB Circular A-133?
Separate basis
Consolidated basis
Both consolidated and separate basis
b If "Yes," did the organization undergo the required audit or audits? If the organization did not undergo the required audit or audits, explain why in Schedule O and describe any steps taken to undergo such audits.
35,852,043.
22,309,767.
13,542,276.
25,145,973.
0
0
0
0
0
38,688,249.
X
X
X
X
3E1054 1.000
SCHEDULE C
(Form 990 or 990-EZ)
Department of the Treasury Internal Revenue Service
Political Campaign and Lobbying Activities For Organizations Exempt From Income Tax Under section 501(c) and section 527 Complete if the organization is described below.
Attach to Form 990 or Form 990-EZ. Information about Schedule C (Form 990 or 990-EZ) and its instructions is at www.irs.gov/form990.
Open to Public Inspection
See separate instructions.
If the organization answered "Yes," to Form 990, Part IV, line 3, or Form 990-EZ, Part V, line 46 (Political Campaign Activities), then
Section 501(c)(3) organizations: Complete Parts I-A and B. Do not complete Part I-C.
Section 501(c) (other than section 501(c)(3)) organizations: Complete Parts I-A and C below. Do not complete Part I-B.
Section 527 organizations: Complete Part I-A only.
If the organization answered "Yes," to Form 990, Part IV, line 4, or Form 990-EZ, Part VI, line 47 (Lobbying Activities), then
Name of organization
Section 501(c)(3) organizations that have filed Form 5768 (election under section 501(h)): Complete Part II-A. Do not complete Part II-B. Section 501(c)(3) organizations that have NOT filed Form 5768 (election under section 501(h)): Complete Part II-B. Do not complete Part II-A. If the organization answered "Yes," to Form 990, Part IV, line 5 (Proxy Tax) or Form 990-EZ, Part V, line 35c (Proxy Tax), then Section 501(c)(4), (5), or (6) organizations: Complete Part III.
Employer identification number
Political expenditures
Complete if the organization is exempt under section 501(c) or is a section 527 organization. Part I-A 1 2 3 Provide a description of the organization's direct and indirect political campaign activities in Part IV. Volunteer hours FREEDOM PARTNERS CHAMBER OF COMMERCE, INC. 45-3732750
$
Complete if the organization is exempt under section 501(c)(3). Part I-B
1 Enter the amount of any excise tax incurred by the organization under section 4955
2 Enter the amount of any excise tax incurred by organization managers under section 4955
3 If the organization incurred a section 4955 tax, did it file Form 4720 for this year?
4a Was a correction made?
Yes
Yes
No
No
b If "Yes," describe in Part IV. Complete if the organization is exempt under section 501(c), except section 501(c)(3). Part I-C 1 Enter the amount directly expended by the filing organization for section 527 exempt function activities $
2 Enter the amount of the filing organization's funds contributed to other organizations for section 527 exempt function activities
$
Yes
No
5 Enter the names, addresses and employer identification number (EIN) of all section 527 political organizations to which the filing organization made payments. For each organization listed, enter the amount paid from the filing organization's funds. Also enter the amount of political contributions received that were promptly and directly delivered to a separate political organization, such as a separate segregated fund or a political action committee (PAC). If additional space is needed, provide information in Part IV.
3 $ Total exempt function expenditures. Add lines 1 and 2. Enter here and on Form 1120-POL, line 17b 4 Did the filing organization file Form 1120-POL for this year?
| (1) |
|---|
| (2) |
| (3) |
| (4) |
| (5) |
For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ.
Schedule C (Form 990 or 990-EZ) 2013
3E1264 1.000
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120-0096939-0077672
$ $
OMB No. 1545-0047
Schedule C (Form 990 or 990-EZ) 2013 Complete if the organization is exempt under section 501(c)(3) and filed Form 5768 (election under section 501(h)). Part II-A A Check if the filing organization belongs to an affiliated group (and list in Part IV each affiliated group member's name, address, EIN, expenses, and share of excess lobbying expenditures). B Check if the filing organization checked box A and "limited control" provisions apply. FREEDOM PARTNERS CHAMBER OF COMMERCE, INC. 45-3732750
Limits on Lobbying Expenditures
(a) Filing
(b) Affiliated
(The term "expenditures" means amounts paid or incurred.)
organization's totals group totals
1a b c d
e
f
Total lobbying expenditures to influence public opinion (grass roots lobbying)
Total lobbying expenditures to influence a legislative body (direct lobbying)
Total lobbying expenditures (add lines 1a and 1b)
Other exempt purpose expenditures
Total exempt purpose expenditures (add lines 1c and 1d)
Lobbying nontaxable amount. Enter the amount from the following table in both
columns.
If the amount on line 1e, column (a) or (b) is:
Not over $500,000
Over $500,000 but not over $1,000,000
Over $1,000,000 but not over $1,500,000
Over $1,500,000 but not over $17,000,000
The lobbying nontaxable amount is:
20% of the amount on line 1e.
$100,000 plus 15% of the excess over $500,000.
$175,000 plus 10% of the excess over $1,000,000.
$225,000 plus 5% of the excess over $1,500,000.
Over $17,000,000
$1,000,000.
g Grassroots nontaxable amount (enter 25% of line 1f)
hij Subtract line 1g from line 1a. If zero or less, enter -0Subtract line 1f from line 1c. If zero or less, enter -0If there is an amount other than zero on either line 1h or line 1i, did the organization file Form 4720 reporting section 4911 tax for this year?
4-Year Averaging Period Under Section 501(h)
(Some organizations that made a section 501(h) election do not have to complete all of the five columns below. See the instructions for lines 2a through 2f on page 4.)
Lobbying Expenditures During 4-Year Averaging Period
| Calendar year (or fiscal year beginning in) | (a) 2010 | (b) 2011 | (c) 2012 | (d) 2013 | (e) Total |
|---|---|---|---|---|---|
| 2a Lobbying nontaxable amount | | | | | |
| b Lobbying ceiling amount (150% of line 2a, column (e)) | | | | | |
| c Total lobbying expenditures | | | | | |
| d Grassroots nontaxable amount | | | | | |
| e Grassroots ceiling amount (150% of line 2d, column (e)) | | | | | |
| f Grassroots lobbying expenditures | | | | | |
3E1265 1.000
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120-0096939-0077672
Yes No
Part II-B
Complete if the organization is exempt under section 501(c)(3) and has NOT filed Form 5768 (election under section 501(h)).
(a)
For each "Yes," response to lines 1a through 1i below, provide in Part IV a detailed
description of the lobbying activity.
Yes No
Amount
During the year, did the filing organization attempt to influence foreign, national, state or local
legislation, including any attempt to influence public opinion on a legislative matter or
referendum, through the use of:
1
abcde
f
g h
i
j
Volunteers?
Paid staff or management (include compensation in expenses reported on lines 1c through 1i)?
Media advertisements?
Mailings to members, legislators, or the public?
Publications, or published or broadcast statements?
Grants to other organizations for lobbying purposes?
Direct contact with legislators, their staffs, government officials, or a legislative body?
Rallies, demonstrations, seminars, conventions, speeches, lectures, or any similar means?
Other activities?
Total. Add lines 1c through 1i
2a Did the activities in line 1 cause the organization to be not described in section 501(c)(3)?
If "Yes," enter the amount of any tax incurred under section 4912
If "Yes," enter the amount of any tax incurred by organization managers under section 4912
If the filing organization incurred a section 4912 tax, did it file Form 4720 for this year?
b
c
d
Complete if the organization is exempt under section 501(c)(4), section 501(c)(5), or section
501(c)(6).
Part III-A
Yes No
1
2
3
Were substantially all (90% or more) dues received nondeductible by members?
Did the organization make only in-house lobbying expenditures of $2,000 or less?
Did the organization agree to carry over lobbying and political expenditures from the prior year?
1
2
3
Complete if the organization is exempt under section 501(c)(4), section 501(c)(5), or section
501(c)(6) and if either (a) BOTH Part III-A, lines 1 and 2, are answered "No," OR (b) Part III-A, line 3, is
answered "Yes."
Part III-B
1 Dues, assessments and similar amounts from members
1
2 Section 162(e) nondeductible lobbying and political expenditures(do not include amounts of
political expenses for which the section 527(f) tax was paid).
a b c
Current year
Carryover from last year
Total
2a
2b
2c
3
4
5
3 Aggregate amount reported in section 6033(e)(1)(A) notices of nondeductible section 162(e) dues
4 If notices were sent and the amount on line 2c exceeds the amount on line 3, what portion of the
excess does the organization agree to carryover to the reasonable estimate of nondeductible lobbying
and political expenditure next year?
5 Taxable amount of lobbying and political expenditures (see instructions)
Supplemental Information Part IV
Provide the descriptions required for Part I-A, line 1; Part I-B, line 4; Part I-C, line 5; Part II-A (affiliated group list); Part II-A, line 2; and Part II-B, line 1. Also, complete this part for any additional information.
X
X
X
(b)
Supplemental Information (continued) Part IV
3E1500 1.000
SCHEDULE D (Form 990)
Department of the Treasury Internal Revenue Service
Supplemental Financial Statements Complete if the organization answered "Yes," to Form 990, Part IV, line 6, 7, 8, 9, 10, 11a, 11b, 11c, 11d, 11e, 11f, 12a, or 12b. Attach to Form 990.
OMB No. 1545-0047
Information about Schedule D (Form 990) and its instructions is at www.irs.gov/form990
Open to Public Inspection.
Name of the organization
Employer identification number
FREEDOM PARTNERS CHAMBER OF COMMERCE, INC.
Organizations Maintaining Donor Advised Funds or Other Similar Funds or Accounts. Complete if the organization answered "Yes" to Form 990, Part IV, line 6. Part I 1 2 3 4 Total number at end of year Aggregate contributions to (during year) Aggregate grants from (during year) Aggregate value at end of year
(a) Donor advised funds
(b) Funds and other accounts
5
6 Did the organization inform all grantees, donors, and donor advisors in writing that grant funds can be used only for charitable purposes and not for the benefit of the donor or donor advisor, or for any other purpose conferring impermissible private benefit?
Did the organization inform all donors and donor advisors in writing that the assets held in donor advised
funds are the organization's property, subject to the organization's exclusive legal control?
Yes No
Yes No
Conservation Easements. Complete if the organization answered "Yes" to Form 990, Part IV, line 7. Part II
1 Purpose(s) of conservation easements held by the organization (check all that apply).
Preservation of land for public use (e.g., recreation or education)
Protection of natural habitat
Preservation of open space
Preservation of an historically important land area
Preservation of a certified historic structure
2 Complete lines 2a through 2d if the organization held a qualified conservation contribution in the form of a conservation easement on the last day of the tax year. a b c d Total number of conservation easements Total acreage restricted by conservation easements Number of conservation easements on a certified historic structure included in (a) Number of conservation easements included in (c) acquired after 8/17/06, and not on a historic structure listed in the National Register
3 4 5 6 Number of conservation easements modified, transferred, released, extinguished, or terminated by the organization during the tax year Number of states where property subject to conservation easement is located Does the organization have a written policy regarding the periodic monitoring, inspection, handling of violations, and enforcement of the conservation easements it holds? Staff and volunteer hours devoted to monitoring, inspecting, and enforcing conservation easements during the year Yes
7 8 Does each conservation easement reported on line 2(d) above satisfy the requirements of section 170(h)(4)(B) (i) and section 170(h)(4)(B)(ii)?
9 In Part XIII, describe how the organization reports conservation easements in its revenue and expense statement, and balance sheet, and include, if applicable, the text of the footnote to the organization's financial statements that describes the organization's accounting for conservation easements.
Held at the End of the Tax Year
2a
2b
2c
2d
Amount of expenses incurred in monitoring, inspecting, and enforcing conservation easements during the year
No
$
Yes No
Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar Assets. Part III
Complete if the organization answered "Yes" to Form 990, Part IV, line 8.
1a If the organization elected, as permitted under SFAS 116 (ASC 958), not to report in its revenue statement and balance sheet works of art, historical treasures, or other similar assets held for public exhibition, education, or research in furtherance of public service, provide, in Part XIII, the text of the footnote to its financial statements that describes these items.
b If the organization elected, as permitted under SFAS 116 (ASC 958), to report in its revenue statement and balance sheet works of art, historical treasures, or other similar assets held for public exhibition, education, or research in furtherance of public service, provide the following amounts relating to these items: (i) (ii) Revenues included in Form 990, Part VIII, line 1 Assets included in Form 990, Part X $ 2 If the organization received or held works of art, historical treasures, or other similar assets for financial gain, provide the following amounts required to be reported under SFAS 116 (ASC 958) relating to these items: a Revenues included in Form 990, Part VIII, line 1 Assets included in Form 990, Part X b
$
$ $
45-3732750
3E1268 2.000
Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar Assets (continued) Part III
Total.
Using the organization's acquisition, accession, and other records, check any of the following that are a significant use of its 3 collection items (check all that apply):
Provide a description of the organization's collections and explain how they further the organization's exempt purpose in Part XIII. 4 5 During the year, did the organization solicit or receive donations of art, historical treasures, or other similar assets to be sold to raise funds rather than to be maintained as part of the organization's collection? Yes No
Public exhibition a
Scholarly research b
Preservation for future generations c
Loan or exchange programs d
Other e
Escrow and Custodial Arrangements. Complete if the organization answered "Yes" to Form 990, Part IV, line 9, or reported an amount on Form 990, Part X, line 21. Part IV
1a b c Is the organization an agent, trustee, custodian or other intermediary for contributions or other assets not included on Form 990, Part X? If "Yes," explain the arrangement in Part XIII and complete the following table: Beginning balance
d Additions during the year
e Distributions during the year
f
2a Did the organization include an amount on Form 990, Part X, line 21?
b If "Yes," explain the arrangement in Part XIII. Check here if the explanation has been provided in Part XIII
Ending balance
Yes No
Amount
1c
1d
1e
1f
Yes No
Endowment Funds. Complete if the organization answered "Yes" to Form 990, Part IV, line 10.
Part V
(a) Current year
(b) Prior year
(c) Two years back (d) Three years back (e) Four years back
1a b c
d e
f
g
a Board designated or quasi-endowment
b Permanent endowment
c Temporarily restricted endowment
3a b The percentages in lines 2a, 2b, and 2c should equal 100%. Are there endowment funds not in the possession of the organization that are held and administered for the organization by: (i) unrelated organizations (ii) related organizations If "Yes" to 3a(ii), are the related organizations listed as required on Schedule R?
Beginning of year balance
Contributions
Net investment earnings, gains,
and losses
Grants or scholarships
Other expenditures for facilities
and programs
Administrative expenses
End of year balance
2 Provide the estimated percentage of the current year end balance (line 1g, column (a)) held as:
4 Describe in Part XIII the intended uses of the organization's endowment funds.
%
%
%
Yes No
3a(i)
3a(ii)
3b
Land, Buildings, and Equipment. Part VI 1a
Complete if the organization answered "Yes" to Form 990, Part IV, line 11a. See Form 990, Part X, line 10.
Description of property
(a) Cost or other basis
(investment)
(b) Cost or other basis
(other)
(c) Accumulated
depreciation
(d) Book value
bcde
Land
Buildings
Leasehold improvements
Equipment
Other
30,967.
7,720.
23,247.
329,906. 45,984.
283,922.
Add lines 1a through 1e. (Column (d) must equal Form 990, Part X, column (B), line 10(c).)
307,169.
Investments - Other Securities. Part VII
| (a) Description of security or category (including name of security) | (b) Book value |
|---|---|
| (1) Financial derivatives (2) Closely-held equity interests (3) Other (A) | |
| (B) | |
| (C) | |
| (D) | |
| (E) | |
| (F) | |
| (G) | |
| (H) | |
| Total. (Column (b) must equal Form 990, Part X, col. (B) line 12.) | |
Complete if the organization answered "Yes" to Form 990, Part IV, line 11b. See Form 990, Part X, line 12.
(1) Financial derivatives
(2) Closely-held equity interests
(3) Other (A)
(B)
(C)
(D)
(E)
(F)
(G)
(H)
Total. (Column (b) must equal Form 990, Part X, col. (B) line 12.)
Investments - Program Related.
Complete if the organization answered "Yes" to Form 990, Part IV, line 11c. See Form 990, Part X, line 13.
Part VIII
(a) Description of investment
(b) Book value
(c) Method of valuation:
Cost or end-of-year market value
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
Total. (Column (b) must equal Form 990, Part X, col. (B) line 13.)
Other Assets.
Complete if the organization answered "Yes" to Form 990, Part IV, line 11d. See Form 990, Part X, line 15.
Part IX
(a) Description
(b) Book value
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
Total. (Column (b) must equal Form 990, Part X, col. (B) line 15.)
Other Liabilities.
Complete if the organization answered "Yes" to Form 990, Part IV, line 11e or 11f. See Form 990, Part X, line 25.
Part X
1.
(a) Description of liability
(b) Book value
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
Federal income taxes
Total. (Column (b) must equal Form 990, Part X, col. (B) line 25.)
2. Liability for uncertain tax positions. In Part XIII, provide the text of the footnote to the organization's financial statements that reports the
organization's liability for uncertain tax positions under FIN 48 (ASC 740). Check here if the text of the footnote has been provided in Part XIII
JSA
Schedule D (Form 990) 2013
9088FA K922 11/13/2014 2:04:48 PM V 13-7.5F
120-0096939-0077672
3E1270 1.000
Schedule D (Form 990) 2013 Reconciliation of Revenue per Audited Financial Statements With Revenue per Return. Complete if the organization answered "Yes" to Form 990, Part IV, line 12a. Part XI 1 2 Total revenue, gains, and other support per audited financial statements Amounts included on line 1 but not on Form 990, Part VIII, line 12: Net unrealized gains on investments a
3 Subtract line 2e from line 1
4 Amounts included on Form 990, Part VIII, line 12, but not on line 1:
5 Total revenue. Add lines 3 and 4c. (This must equal Form 990, Part I, line 12.) Reconciliation of Expenses per Audited Financial Statements With Expenses per Return. Complete if the organization answered "Yes" to Form 990, Part IV, line 12a. Part XII 1 2 1 2 Total expenses and losses per audited financial statements Amounts included on line 1 but not on Form 990, Part IX, line 25: Donated services and use of facilities a
Donated services and use of facilities b
Recoveries of prior year grants c
Other (Describe in Part XIII.) d
Add lines 2a through 2d e
Investment expenses not included on Form 990, Part VIII, line 7b a
Other (Describe in Part XIII.) b
Add lines 4a and 4b c
1
2e
3
4c
5
2a
2b
2c
2d
4a
4b
3 Subtract line 2e from line 1
4 Amounts included on Form 990, Part IX, line 25, but not on line 1:
5 Total expenses. Add lines 3 and 4c. (This must equal Form 990, Part I, line 18.)
Prior year adjustments b
Other losses c
Other (Describe in Part XIII.) d
Add lines 2a through 2d e
Investment expenses not included on Form 990, Part VIII, line 7b a
Other (Describe in Part XIII.) b
Add lines 4a and 4b c
1
2e
3
4c
5
2a
2b
2c
2d
4a
4b
Supplemental Information. Part XIII
Provide the descriptions required for Part II, lines 3, 5, and 9; Part III, lines 1a and 4; Part IV, lines 1b and 2b; Part V, line 4; Part X, line 2; Part XI, lines 2d and 4b; and Part XII, lines 2d and 4b. Also complete this part to provide any additional information.
3E1271 1.000
Supplemental Information (continued) Part XIII
3E1226 1.000
| 1 (a) Name and address of organization or government | | (b) EIN | (c) IRC section if applicable | (d) Amount of cash grant | (e) Amount of non- cash assistance | (f) Method of valuation (book, FMV, appraisal, other) | (g) Description of non-cash assistance |
|---|---|---|---|---|---|---|---|
| (1)PR-DIST LLC (AMERICANS FOR PROSPERITY) | | 27-3120702 | 501(C)(4) | 10,000,000. | | | |
| ARLINGTON, VA 22201 | | | | | | | |
| (2)THE LIBRE INITIATIVE TRUST | | 45-2686411 | 501(C)(4) | 2,900,000. | | | |
| ARLINGTON, VA 22201 | | | | | | | |
| (3)CCHHAAMMBEBRE RO FO FC OCMMOEMRMCEER COEF THE UNITED STATES OF AMERICA | | 53-0045720 | 501(C)(6) | 500,000. | | | |
| | CCHHAAMMBEBRE RO FO FC OCMMOEMRMCEER COEF THE UNITED STATES OF AMERICA | | | | | | |
| WASHINGTON, DC 20006 | | | | | | | |
| (4)NATIONAL FEDERATION OF INDEPENDENT BUSINESS | | 94-0707299 | 501(C)(6) | 600,000. | | | |
| NASHVILLE, TN 37214 | | | | | | | |
| (5)ORRA LLC (EVANGCHR4 TRUST) | | 45-2663844 | 501(C)(4) | 150,000. | | | |
| WILMINGTON, DE 19807 | | | | | | | |
| (6)SG C4 TR (PUBLIC NOTICE) | | 27-2546536 | 501(C)(4) | 1,700,000. | | | |
| ARLINGTON, VA 22201 | | | | | | | |
| (7)CENTER FOR SHARED SERVICES TRUST | | 45-2548548 | 501(C)(4) | 3,000,000. | | | |
| ALEXANDRIA, VA 22301 | | | | | | | |
| (8) | | | | | | | |
| (9) | | | | | | | |
| (10) | | | | | | | |
| (11) | | | | | | | |
| (12) | | | | | | | |
| (a) Type of grant or assistance | (b) Number of recipients | (c) Amount of cash grant | (d) Amount of non-cash assistance | (e) Method of valuation (book, FMV, appraisal, other) |
|---|---|---|---|---|
| 1 | | | | |
| 2 | | | | |
| 3 | | | | |
| 4 | | | | |
| 5 | | | | |
| 6 | | | | |
| 7 | | | | |
| (a) Type of grant or assistance | (b) Number of recipients | (c) Amount of cash grant | (d) Amount of non-cash assistance | (e) Method of valuation (book, FMV, appraisal, other) |
|---|---|---|---|---|
| 1 | | | | |
| 2 | | | | |
| 3 | | | | |
| 4 | | | | |
| 5 | | | | |
| 6 | | | | |
| 7 | | | | |
SCHEDULE J (Form 990)
Department of the Treasury Internal Revenue Service
Compensation Information For certain Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees Complete if the organization answered "Yes" to Form 990, Part IV, line 23. Attach to Form 990. See separate instructions.
OMB No. 1545-0047
Information about Schedule J (Form 990) and its instructions is at www.irs.gov/form990
Name of the organization
Open to Public Inspection.
Employer identification number
FREEDOM PARTNERS CHAMBER OF COMMERCE, INC.
45-3732750
Questions Regarding Compensation Part I
Yes No
1a Check the appropriate box(es) if the organization provided any of the following to or for a person listed in Form 990, Part VII, Section A, line 1a. Complete Part III to provide any relevant information regarding these items.
First-class or charter travel
Travel for companions
Tax indemnification and gross-up payments
Discretionary spending account Personal services (e.g., maid, chauffeur, chef) b If any of the boxes on line 1a are checked, did the organization follow a written policy regarding payment or reimbursement or provision of all of the expenses described above? If "No," complete Part III to explain
Housing allowance or residence for personal use
Payments for business use of personal residence
Health or social club dues or initiation fees
1b
2
4a
4b
4c
5a
5b
6a
6b
7
8
9
2 Did the organization require substantiation prior to reimbursing or allowing expenses incurred by all directors, trustees, and officers, including the CEO/Executive Director, regarding the items checked in line 1a?
3 Indicate which, if any, of the following the filing organization used to establish the compensation of the organization's CEO/Executive Director. Check all that apply. Do not check any boxes for methods used by a
related organization to establish compensation of the CEO/Executive Director, but explain in Part III.
Compensation committee
Independent compensation consultant
Form 990 of other organizations Approval by the board or compensation committee 4 During the year, did any person listed in Form 990, Part VII, Section A, line 1a, with respect to the filing organization or a related organization: a b c Receive a severance payment or change-of-control payment? Participate in, or receive payment from, a supplemental nonqualified retirement plan? Participate in, or receive payment from, an equity-based compensation arrangement? X
Written employment contract X
Compensation survey or study
a b Only section 501(c)(3) and 501(c)(4) organizations must complete lines 5-9. For persons listed in Form 990, Part VII, Section A, line 1a, did the organization pay or accrue any compensation contingent on the revenues of: The organization? Any related organization? 5
a b If "Yes" to line 5a or 5b, describe in Part III. For persons listed in Form 990, Part VII, Section A, line 1a, did the organization pay or accrue any compensation contingent on the net earnings of: The organization? Any related organization? If "Yes" to line 6a or 6b, describe in Part III. 6 7 For persons listed in Form 990, Part VII, Section A, line 1a, did the organization provide any non-fixed payments not described in lines 5 and 6? If "Yes," describe in Part III
If "Yes" to any of lines 4a-c, list the persons and provide the applicable amounts for each item in Part III.
8 Were any amounts reported in Form 990, Part VII, paid or accrued pursuant to a contract that was subject to the initial contract exception described in Regulations section 53.4958-4(a)(3)? If "Yes," describe in Part III 9 If "Yes" to line 8, did the organization also follow the rebuttable presumption procedure described in Regulations section 53.4958-6(c)?
X
X
X
3E1290 1.000
| | (B) Breakdown of W-2 and/or 1099-MISC compensation | | | (C) Retirement and other deferred compensation | (D) Nontaxable benefits | (E) Total of columns (B)(i)-(D) |
|---|---|---|---|---|---|---|
| | (i) Base compensation | (ii) Bonus & incentive compensation | (iii) Other reportable compensation | | | |
| (i) (ii) | 192,221. | 400,000. | 0 | 0 | 15,846. | 608,067. |
| | 0 | 0 | 0 | 0 | 0 | 0 |
| (i) (ii) | 179,827. | 35,000. | 0 | 9,400. | 15,160. | 239,387. |
| | 0 | 0 | 0 | 0 | 0 | 0 |
| (i) (ii) | 162,090. | 35,054. | 0 | 0 | 20,308. | 217,452. |
| | 0 | 0 | 0 | 0 | 0 | 0 |
| (i) (ii) | 100,164. | 50,000. | 0 | 3,583. | 12,338. | 166,085. |
| | 0 | 0 | 0 | 0 | 0 | 0 |
| (i) (ii) | 181,298. | 40,000. | 0 | 6,667. | 17,017. | 244,982. |
| | 0 | 0 | 0 | 0 | 0 | 0 |
| (i) (ii) | 123,917. | 100,000. | 0 | 0 | 10,314. | 234,231. |
| | 0 | 0 | 0 | 0 | 0 | 0 |
| (i) (ii) | | | | | | |
| (i) (ii) | | | | | | |
| (i) (ii) | | | | | | |
| (i) (ii) | | | | | | |
| (i) (ii) | | | | | | |
| (i) (ii) | | | | | | |
| (i) (ii) | | | | | | |
| (i) (ii) | | | | | | |
| (i) (ii) | | | | | | |
SCHEDULE O
(Form 990 or 990-EZ)
Department of the Treasury
Internal Revenue Service
Name of the organization
Complete to provide information for responses to specific questions on Form 990 or 990-EZ or to provide any additional information. Attach to Form 990 or 990-EZ.
Supplemental Information to Form 990 or 990-EZ
OMB No. 1545-0047
Open to Public Inspection
Employer identification number
FREEDOM PARTNERS CHAMBER OF COMMERCE, INC.
45-3732750
FORM 990, PART I, LINE 1
THEREBY INCREASING OPPORTUNITY, INNOVATION, AND PROSPERITY FOR ALL AMERICANS. THE ORGANIZATIONAL MISSION IS TO ADVANCE ITS MEMBERS' COMMON BUSINESS INTERESTS BY ADVANCING THE PRINCIPLES OF FREE MARKETS AND A FREE SOCIETY. THE ORGANIZATION WORKS TO EDUCATE THE PUBLIC AND POLICYMAKERS ABOUT THE BUSINESS AND ECONOMIC IMPACTS OF A BROAD RANGE OF POLICY ISSUES, INCLUDING OVER-REGULATION, GOVERNMENT SPENDING, CRONYISM AND SPECIAL INTEREST HANDOUTS. THE ORGANIZATION BELIEVES THAT BY UNITING AND AMPLIFYING THE DIVERSE ENTREPRENEURIAL AND INNOVATIVE PERSPECTIVES OF ITS MEMBERS, IT WILL IMPROVE BUSINESS CONDITIONS FOR ITS MEMBERS AND EXPAND ECONOMIC OPPORTUNITY FOR ALL AMERICANS.
FORM 990, PART III, LINE 1
THE ORGANIZATIONAL MISSION IS TO ADVANCE ITS MEMBERS' COMMON BUSINESS INTERESTS BY ADVANCING THE PRINCIPLES OF FREE MARKETS AND A FREE SOCIETY. THE ORGANIZATION WORKS TO EDUCATE THE PUBLIC AND POLICYMAKERS ABOUT THE BUSINESS AND ECONOMIC IMPACTS OF A BROAD RANGE OF POLICY ISSUES, INCLUDING OVER-REGULATION, GOVERNMENT SPENDING, CRONYISM AND SPECIAL INTEREST HANDOUTS. THE ORGANIZATION BELIEVES THAT BY UNITING AND AMPLIFYING THE DIVERSE ENTREPRENEURIAL AND INNOVATIVE PERSPECTIVES OF ITS MEMBERS, IT WILL IMPROVE BUSINESS CONDITIONS FOR ITS MEMBERS AND EXPAND ECONOMIC OPPORTUNITY FOR ALL AMERICANS.
3E1227 1.000
FORM 990, PART VI, SECTION A, LINE 6
THE ORGANIZATION HAS BOTH VOTING AND NON-VOTING MEMBERS. THE MEMBERSHIP BASE REPRESENTS SEVERAL HUNDRED BUSINESSES AND COVERS A DIVERSE RANGE OF INDUSTRIES AND GEOGRAPHIES. THE MEMBERS CANNOT RECEIVE A SHARE OF THE ORGANIZATION'S PROFITS, NOR CAN THEY RECEIVE A SHARE OF THE ORGANIZATION'S NET ASSETS UPON DISSOLUTION.
FORM 990, PART VI, SECTION A, LINE 7A VOTING MEMBERS HAVE THE POWER TO ELECT DIRECTORS.
FORM 990, PART VI, SECTION A, LINE 7B
VOTING MEMBERS HAVE THE FOLLOWING POWERS: (A) TO AMEND THE BYLAWS AND THE CERTIFICATE OF INCORPORATION; (B) TO APPOINT ADDITIONAL VOTING MEMBERS; (C) TO DISSOLVE THE CORPORATION; AND (D) TO ELECT DIRECTORS AND TO REMOVE DIRECTORS.
FORM 990, PART VI, SECTION B, LINE 11B
AN INDEPENDENT ACCOUNTING FIRM PREPARED AND REVIEWED THE FORM 990. A FULL DRAFT OF THE 990 ALONG WITH ALL REQUIRED SCHEDULES IS THEN PROVIDED TO INTERNAL MANAGEMENT AND LEGAL COUNSEL FOR REVIEW. ALL QUESTIONS ARE ADDRESSED AND ANY MODIFICATIONS ARE MADE, IF NECESSARY. THE FINAL FORM 990 ALONG WITH ALL REQUIRED SCHEDULES IS THEN PROVIDED TO THE BOARD PRIOR TO FILING WITH THE IRS.
3E1228 1.000
45-3732750
FORM 990, PART VI, SECTION B, LINE 12C DIRECTORS, OFFICERS, AND EMPLOYEES ARE COVERED UNDER THE CONFLICT OF INTEREST POLICY. LEGAL COUNSEL MEETS PERIODICALLY TO REVIEW THE POLICY AND ANY POTENTIAL CONFLICTS.
FORM 990, PART VI, SECTION B, LINES 15A & B THE ORGANIZATION'S BOARD MEETS TO REVIEW AND APPROVE EXECUTIVE COMPENSATION ON AN ANNUAL BASIS: AS DEEMED NECESSARY, THE ORGANIZATION MAY ENGAGE A HUMAN RESOURCES CONSULTING ORGANIZATION TO PERFORM A COMPENSATION STUDY. THE CONSULTING ORGANIZATION WILL USE DATA FROM COMPARABLE NON-PROFITS TO ESTABLISH A REASONABLE COMPENSATION LEVEL FOR OFFICERS, AND EMPLOYEES. IN ADDITION, THE ORGANIZATION MAY OBTAIN PROFESSIONAL OPINIONS OF COUNSEL AS TO WHETHER THE PROPOSED LEVELS OF COMPENSATION WOULD BE COMPARABLE AND REFER MATERIAL TO AN INDEPENDENT DECSION MAKER.
FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION MAKES ALL REQUIRED DISCLOSURES AVAILABLE TO THE PUBLIC UNDER IRS REGULATIONS.
3E1228 1.000
End-of-year assets (f) Direct controlling entity 45-3732750 4,197. 1,024,583. 1,008. 131. 1,003,077.
See separate instructions. Legal domicile (state or foreign country) DE PUBLIC OUTREA DE DE DE DE 120-0096939-0077672
| (b) Primary activity | | (c) Legal domicile (state or foreign country) | (d) Total income | (e) End-of-year assets |
|---|---|---|---|---|
| PROJECTS | | DE | 7,228,000. | 4,197. |
| | PUBLIC POUUBTLRIECA COHUTREA | DE | 1,551,250. | 1,024,583. |
| RESEARCH | | DE | 4,850,000. | 1,008. |
| RESEARCH | | DE | 500. | 131. |
| MANAGEMENT | | DE | 9,000. | 1,003,077. |
| (b) Primary activity | (c) Legal domicile (state or foreign country) | (d) Exempt Code section | (e) Public charity status (if section 501(c)(3)) | (f) Direct controlling entity | |
|---|---|---|---|---|---|
| | | | | | Yes |
General or managing partner? Percentage ownership Yes No (g) Share of (h) Percentage ownership (i) Section 512(b)(13) controlled entity? Yes No 1,000,000. 100.0000 X 1,487,585. 100.0000 0 100.0000
| (b) Primary activity | (c) Legal domicile (state or foreign country) | (d) Direct controlling entity | (e) Predominant income (related, unrelated, excluded from tax under sections 512-514) | (f) Share of total income | (g) Share of end-of- year assets | (h) Disproportionate allocations? | | (i) Code V-UBI amount in box 20 of Schedule K-1 (Form 1065) | (j) General or managing partner? | |
|---|---|---|---|---|---|---|---|---|---|---|
| | | | | | | Yes | No | | Yes | No |
| (b) Primary activity | (c) Legal domicile (state or foreign country) | (d) Direct controlling entity | (e) Type of entity (C corp, S corp, or trust) | (f) Share of total income | (g) Share of end-of-year assets | (h) Percen- tage ownership | |
|---|---|---|---|---|---|---|---|
| | | | | | | | Yes |
| HOLDING COMPANY | DE | AMERICAN STRATEGIES AGRSOGUP LLC | C-CORPORATION | 0 | 1,000,000. | 100.0000 | X |
| CONSULTING | DE | CAVHOCO, INC. | C-CORPORATION | 34,579. | 1,487,585. | 100.0000 | X |
| CONSULTING | DE | CAVHOCO, INC. | C-CORPORATION | 0 | 0 | 100.0000 | X |
| (b) Transaction type (a-s) | (c) Amount involved |
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| (b) Primary activity | (c) Legal domicile (state or foreign country) | (d) Predominant income (related, unrelated, excluded from tax under section 512-514) | (e) Are all partners section 501(c)(3) organizations? | | (f) Share of total income | (g) Share of end-of-year assets | (h) Disproportionate allocations? | | (i) Code V-UBI amount in box 20 of Schedule K-1 (Form 1065) | (j) General or managing partner? | |
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(j) General or managing partner? Yes No Schedule R (Form 990) 2013
Schedule R (Form 990) 2013
Part VII
Supplemental Information
Complete this part to provide additional information for responses to questions on Schedule R (see instructions).
3E1510 1.000
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The Synthetic Triterpenoid CDDO-Methyl Ester
Delays Estrogen Receptor-Negative Mammary Carcinogenesis in Polyoma Middle T Mice
Kim Tran 1 , Renee Risingsong 1 , Darlene Royce 1 , Charlotte R. Williams 1 , Michael B. Sporn 1 , and Karen Liby 2*
Authors Affiliations: 1 Department of Pharmacology and 2 Medicine, Dartmouth Medical School, Hanover, New Hampshire.
Running title: CDDO-Methyl Ester Targets Tumor-Associated Macrophages
Key words: Tumor-associated macrophages, triterpenoid, CDDO-Me, PyMT mice and breast cancer.
Correspondence should be addressed to *Karen Liby, Department of Medicine, Dartmouth Medical School, Remsen 524, HB7650, Hanover, NH 03755. Phone: 603650-1682; FAX: 603-650-1129; Email: firstname.lastname@example.org.
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Abstract
Novel drugs are needed for the prevention and treatment of breast cancer. Synthetic triterpenoids are a promising new class of compounds with activity in a variety of preclinical cancer models. We tested activity of the methyl ester derivative of the synthetic triterpenoid, 2-cyano-3,12-dioxooleana-1,9(11)-dien-28-oic acid (CDDO-Me), in a relevant model of ER-negative breast cancer, the polyoma-middle T (PyMT), in which the oncoprotein drives carcinogenesis. The developing tumors recapitulate key features of the human disease. Mice were fed CDDO-Me (50 mg/kg diet), starting at 4 weeks of age. CDDO-Me significantly increased the age of mice at onset of first tumor (P < 0.001) by an average of 4.3 weeks and overall survival (P < 0.001) by 5.2 weeks. The drug also inhibited the infiltration of tumor associated macrophages (TAMs) into mammary glands of PyMT mice at 12 weeks of age and reduced levels of the chemokines CXCL12 and CCL2 in primary PyMT mammary tumor cells. Treatment with this multifunctional drug also inhibited secretion of MMP-9 in primary tumor cells from PyMT mice and decreased proliferation of these cells by inhibiting cyclin D1 and decreasing phosphorylation of EGFR and STAT3.
on March 21, 2019. © 2012 American Association for cancerpreventionresearch.aacrjournals.org
Introduction
Breast cancer is the most widely diagnosed cancer and the second leading cause of cancer related deaths in females in the United States (1). The incidence of estrogen receptor positive (ER+) breast cancer has gradually declined largely due to the cessation of hormone replacement therapy; however, the incidence of ER negative (ER) breast cancer has not changed in over 30 years (2, 3). To reduce the mortality rates associated with ER- breast cancer, novel drugs and drugs combinations are needed for the prevention and treatment of the disease.
Numerous studies have demonstrated the importance of the tumor microenvironment in carcinogenesis and metastasis (4, 5), underscoring it as a target for not only cancer therapy, but also for chemoprevention (6, 7). Tumor-associated macrophages (TAMs) can represent over 50% of the tumor mass in breast cancer patients, and their infiltration correlates with poor prognosis (8, 9, 10). TAMs activate angiogenesis, providing nutrients, oxygen, and growth factors for the growing tumor (1113) and also enhance tumor cell migration, invasion, and intravasation, increasing the metastatic capacity of the malignant tumor (14, 15). Genetic depletion of macrophages results in a significant delay of tumor progression and inhibition of lung metastasis in the Polyoma virus middle T oncoprotein (PyMT) mouse model of ER- breast cancer, where TAM infiltration is a hallmark feature (16). Xenograft studies also demonstrate that decreased TAM infiltration correlates with marked reduction in tumor growth and angiogenesis (17, 18), suggesting that TAMs might be useful therapeutic targets (1921).
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The synthetic oleanane triterpenoids, including 2-cyano-3,12-dioxooleana1,9(11)-dien-28-oic acid (CDDO) and CDDO-methyl ester (CDDO-Me), are a promising class of agents for the prevention and treatment of breast cancer. These compounds inhibit proliferation of ER- breast cancer cells in vitro and in vivo (22-24). CDDO-Me significantly delayed the development of mammary tumors and arrested growth of established tumors in the MMTV-neu transgenic model of ER- breast cancer (24). CDDO-Me inhibits components of commonly deregulated signaling pathways in ERbreast cancer cells such as the NF-κB and STAT3 pathways (22-24). Additionally, CDDO and CDDO-Me suppress factors associated with the tumor microenvironment, including proinflammatory cytokines in primary peritoneal macrophages and in the RAW 264.7 mouse macrophage-like cell line and inhibited angiogenesis in vitro and in vivo (25-28). However, the effects of triterpenoids on TAMs have not been elucidated, and our hypothesis was that these drugs could prevent cancer by targeting TAMS. In these studies, we report that the synthetic triterpenoid CDDO-Me delays mammary tumorigenesis in the aggressive PyMT model of ER- breast cancer, and it does have a modest effect on TAM infiltration in the mammary glands and tumors of these mice. It also inhibits the levels of the chemokines CXCL12 and CCL2 in primary PyMT tumor cells and targets the key breast cancer biomarkers cyclin D1, EGFR and STAT3 in these cells.
Materials and Methods
Drugs. CDDO-Me was synthesized as described (29). For cell culture studies, CDDOMe was dissolved in DMSO, and controls containing equal concentrations of DMSO (<0.1%) were included in all experiments.
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In vivo experiments. All animal studies were done in accordance with protocols approved by the Institutional Animal Care and Use Committee (IACUC) of Dartmouth Medical School. Mice carrying the PyMT gene under the control of the MMTV promoter were obtained from Dr. Jeffrey Pollard (Albert Einstein College of Medicine, Bronx, NY) and were genotyped as has been previously described (30, 31). Four-week-old female PyMT mice were fed powdered 5002 rodent chow (PMI Feeds) or this powdered diet containing CDDO-Me (50 mg/kg diet). Mice were palpated twice a week for detection of new tumors. Tumors were measured weekly with calipers. In accordance to IACUC regulations, death was not used as an end point, but instead mice were sacrificed when symptoms were observed such as tumor mass exceeding 10% of total body mass, obstruction of movement by the tumor or labored breathing. To determine the effects of CDDO-Me on mammopoiesis, both PyMT +/and PyMT -/mice (n = 5 per group) were fed either control diet or CDDO-Me in diet from 4 weeks of age until 8-12 weeks of age. After 4-8 weeks on diet, mammary glands were harvested and whole mounts were stained with hematoxylin. To determine drug levels in tissue, five female PyMT mice were fed CDDO-Me in diet (50 mg/kg diet) for 1 week. Mammary glands were harvested and homogenized in PBS and whole blood was collected in heparinized tubes. Samples were extracted in acetonitrile, separated by reverse phase liquid chromatography, and detected by mass spectrometry. Standard curves were generated by serially diluting known concentrations of CDDO-Me in control blood or tissue homogenates. All samples were within the linear range of the standard curve.
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Macrophage isolation and analysis. Macrophages were isolated from tumors and mammary glands using a dual purification strategy including magnetic purification followed by flow sorting. Single cell suspensions were generated from tumors and mammary glands. Briefly, all tumors and mammary glands were removed and digested in DMEM with 10% fetal bovine serum (FBS) and an enzyme mixture consisting of collagenase (300 U/mL; Sigma), dispase (1.0 U/mL; Worthington), and DNase (2 U/mL; Calbiochem) for 30 min at 37°C. Cells were passed through 40 μm cell strainers (BD Bioscience) and incubated for 15 min with CD11b magnetic beads (Miltenyi Biotec), followed by successive 5 min incubations with an antibody against F4/80 (eBioscience) and a phycoerythrin conjugated goat anti rat IgG (BioLegend). 10 uL of magnetic beads and antibodies per 10 7 cells were used with PBS washes between incubations. Total monocytes were isolated using magnetic bead selection for CD11b+ according to the manufacturer's specifications (Miltenyi Biotec). Both magnetically selected cells and the negative flow through cell fraction were then either analyzed for the percentage of F4/80 positive cells out of total mammary gland and tumor cells using a FACScan (Becton Dickinson) or flow sorted for F4/80 selection using a FACSAria (Becton Dickinson). Total cells were dual purified in order to increase accuracy of F4/80 detection and final F4/80 percentage reflects percentage of total cells. Cell lysates from magnetic and flow sorted CD11b+F4/80+ macrophages were analyzed using either the Proteome Profiler Mouse Angiogenesis Kit or the Proteome Profiler Mouse Cytokine Panel A Array Kit (R&D Systems). Quantitation of protein expression was performed using ImageJ.
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Immunohistochemistry. Mammary glands and tumors removed from mice fed either control or CDDO-Me diet were sectioned, immunostained with an antibody against F4/80 (eBioscience), and processed with Vectastain ABC Kit (Vector) and Peroxidase substrate kit (Vector). Scoring was done by the first author, who was blinded as to the primary antibodies and the treatment groups.
Cell culture and in vitro assays. Primary PyMT cells were derived from mammary tumors of female PyMT (+/-) mice. Resected PyMT mammary tumors were minced and digested in DMEM with 10% FBS and an enzyme mixture consisting of collagenase (300 U/mL; Sigma), dispase (1.0 U/mL; Worthington), and DNase (2 U/mL; Calbiochem) for 30 min at 37°C with gentle agitation with a stir bar. The cell suspension was filtered through a 40-μm cell strainer (BD Bioscience), centrifuged at 220 × g for 10 min and plated in DMEM + 10% FBS. All experiments were performed within 1 week of cell isolation. To determine targets of CDDO-Me, primary PyMT mammary tumor cells were treated with either DMSO or 300 nM of CDDO-Me for 16 hours. Cell lysates were analyzed with either the Proteome Profiler Mouse Angiogenesis Kit or the Proteome Profiler Mouse Cytokine Panel A Array Kit (R&D Systems). Quantitation of protein expression was performed using ImageJ. Cells were treated with varying concentrations of CDDO-Me for varying timepoints, and the amount of matrix metalloproteinase-9 (MMP-9) or chemokine (C-C motif) ligand 2 (CCL2) released into the medium was measured using a Quantikine ELISA kit (R&D Systems). To determine additional targets of CDDO-Me, 3 μmol/L of biotinylated CDDO-Me (32) was added for 1 hour. Cell lysates were incubated with 50 μL DynaBeads MyOne Streptavidin (Invitrogen) as described (24, 33-35) and then analyzed by Western blotting using antibodies against epidermal on March 21, 2019. © 2012 American Association for
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growth factor receptor (EGFR; Cell Signaling Technology), signal transducer and activator of transcription 3 (STAT3; Cell Signaling Technology), and cyclin D1 (Santa Cruz Biotechnologies). Results were validated by Western blot analysis of samples harvested from cells treated with varying concentrations of CDDO-Me at varying time points for pEGFR (Cell Signaling Technology), pSTAT3 (Cell Signaling Technology), and cyclin D1. For the 3-(4,5-dimethylthiazol-2-yl)-2,5-diphenyltetrazolium bromide (MTT) assay, cells were seeded into 96-well plates at 2x10 4 cells/well. The next day, cells were incubated with different concentrations of CDDO-Me for 48 hrs. Cells were then incubated with MTT for 4 hrs (Sigma) and read at OD570. For the Real-Time RTPCR assays, total RNA was isolated from primary PyMT tumor cells at the indicated time-points using the RNEasy kit (Qiagen). Reverse transcription (RT) was performed using the SuperScript III Reverse Transcriptase Kit (Invitrogen). Quantitative real-time PCR assays were performed using SYBR Green PCR Mastermix (Applied Biosystems) for detection of mRNAs using DNA Engine Opticon (MJ Research). Results were normalized to GAPDH mRNA levels. The following primers were used: murine CCL2 forward: 5'-TAAAAACCTGGATCGGAACCAAA-3', and reverse: 5'GCATTAGCTTCAGATTTACGGGT-3'; murine CXCL12 forward 5'TGCATCAGTGACGGTAAACCA-3', and reverse: 5'-TTCTTCAGCCGTGCAACAATC3'; and murine GAPDH forward: 5'-AGGTCGG TGTGAACGGATTTG-3', and reverse: 5'-TGTAGACCATGTAGTTGAGGTCA-3'.
Statistical analysis. Results are described as mean ± SEM and were analyzed by oneway ANOVA and Tukey test or by one-way ANOVA on ranks (Wilcoxon signed rank test; SigmaStat 3.5). All P values are two-sided.
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Results
TAM infiltration in mammary glands and tumors of PyMT mice. In the PyMT mouse model of ER-negative breast cancer, the expression of the oncogenic PyMT protein is targeted to the mammary epithelium by the MMTV promoter (31). This mouse model mimics key features of the clinical disease, including infiltration of TAMs as shown in Fig. 1A via immunohistochemical detection of F4/80 positive macrophages in mammary tumors (additional pictures of sections stained with either hematoxylin and eosin or F4/80 are provided in Suppl. Fig. 1 and higher magnification pictures are provided in Suppl Fig. 2). Notably, quantitative analysis of mammary glands and tumors of PyMT mice using flow cytometry demonstrated that the percentage of infiltrating TAMs in mammary tumors increased with the age of the mice until week 12, where macrophage infiltration peaked at an average of 22%. Although this trend was observed in both PyMT +/and PyMT -/mice, the macrophage infiltration was significantly greater in the mammary glands of PyMT +/mice as compared to mammary glands of PyMT -/mice (Fig. 1B). Tumors and mammary glands were analyzed together as many PyMT mice do not exhibit palpable tumors until past 12 weeks of age; however, the mammary glands of these mice possess microscopic lesions. To investigate pathways engaged in tumor formation in the PyMT mouse model, primary tumor cells and tumorinfiltrating macrophages from mammary glands were collected. At 16 weeks of age, all PyMT mice had multiple visible tumor nodules in the mammary glands, whereas, we rarely observed grossly visible tumors in 12 week old mice. Expression levels of diverse cytokines (Fig. 1C) and pro-angiogenic factors (Fig. 1D) were investigated in these cells. Many of the investigated chemokines, such as CCL2 and CXCL12, and pro- on March 21, 2019. © 2012 American Association for
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angiogenic factors, such as MMP-9, were found to be differentially expressed among primary tumor cells and infiltrating macrophages.
CDDO-Me delays development of ER-negative mammary tumors in PyMT mice. To investigate whether CDDO-Me affected tumor development, we fed female PyMT mice control diet or diet containing CDDO-Me (50 mg/kg diet) beginning at 4 weeks of age. Mammary tumors were first detected at 12 weeks of age in the control group, with 50% tumor incidence by 15 weeks. All mice fed control diet developed mammary tumors by week 22. In contrast, CDDO-Me significantly (P < 0.001 versus control) delayed development of these tumors with 50% tumor incidence by week 19, and 100% incidence was not reached until week 29 (Fig. 2A). This delay in tumor development by CDDO-Me is strikingly significant as PyMT mice fed control diet live on average only 21.4 weeks. No effect on tumor number or tumor size was observed. Effects of treatment with CDDO-Me on survival were also investigated. In accordance to IACUC regulations, mice were sacrificed when symptoms such as tumor mass exceeding 10% of total body mass, obstruction of movement, or labored breathing were observed. In the control group, 50% of mice were sacrificed by week 20 and 100% by week 28. In contrast, 50% of mice fed CDDO-Me diet were sacrificed by week 25, whereas 100% of these mice were sacrificed by week 42 (Fig. 2B). Thus, CDDO-Me prolonged survival (P < 0.001) in this mouse model of ER-negative breast cancer. CDDO-Me was well tolerated at the dose used, and the mice continued to gain weight throughout the experiment, with no statistical difference in weight between CDDO-Me fed mice and control fed mice (week 13: average weight of control group 21.4 g vs CDDO-Me group 20.7 g, p = 0.34).
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To determine drug levels of CDDO-Me, PyMT mice were fed CDDO-Me in diet for one week. An average of 1.1 ± 0.2 μM CDDO-Me was detected in the mammary gland but only 20 ± 5 nM was detected in whole blood. Because diets were started at 4 weeks of age and thus before full maturation of the mammary gland, we also examined the effects of CDDO-Me on mammary gland development. Both PyMT +/and PyMT -/mice were fed control diet or CDDO-Me (50 mg/kg diet) for 4-8 weeks, and CDDO-Me had no effect on mammopoiesis in mice of either genotype (data not shown). Moreover, no differences in mammary gland maturation were ever observed in sections of mammary glands used for IHC, in mice treated with CDDO-Me for 8-12 weeks (data not shown).
CDDO-Me inhibits infiltration of TAMs in ER-negative mammary tumors.
PyMT tumors are characterized by infiltration of TAMs, as shown in Fig. 1B. Inhibition of TAM infiltration by genetic approaches was previously shown to delay mammary tumorigenesis (16). Thus, we investigated whether the delay of mammary tumor development by CDDO-Me was characterized by reduced TAM infiltration. The percentage of F4/80 positive cells in mammary tumors of PyMT +/mice was assayed at 8, 12, 16, and 20 weeks of age, as detailed in the methods section. The percentage of F4/80 positive cells was significantly (P < 0.05) but lower in mammary glands of 12 week old mice fed CDDO-Me diet as compared to litter matched mice fed control diet (Fig. 3A). This modest decrease in TAM infiltration was observed in 8 out of 9 mice fed diet containing CDDO-Me as compared to litter matched mice fed control diet. CDDOMe diet had no significant effects on TAM infiltration in mammary tumors of 16 and 20 week old mice. Immunohistochemical analysis confirmed the decreased infiltration of
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F4/80 positive cells in mammary tumors of mice fed CDDO-Me enriched diet as compared to control diet at 12 weeks of age. Representative images are shown in Fig. 3B. When sections were analyzed in a blinded fashion, the percentages of cells positive for F4/80 were remarkably similar to the values obtained by flow cytometry, with a significant decrease in the mice fed CDDO-Me only at 12 weeks of age (Fig. 3C).
CDDO-Me treatment inhibits secretion of chemokines by PyMT tumor cells.
To investigate a possible mechanism engaged in the modestly reduced infiltration of TAMs in mammary tumors of PyMT mice fed diet containing CDDO-Me, levels of chemokines in isolated primary mammary tumors cells were evaluated. CDDO-Me treatment for 8, 16, or 24 hours resulted in a significant (P < 0.001) dose-dependent decrease in the levels of CCL2 and CXCL12 mRNA detected via RT-PCR as compared to vehicle control (Fig. 4A). CDDO-Me also inhibited the secretion of CCL2 in a dosedependent manner in primary tumor cells (Fig. 4B). Thus, CDDO-Me inhibits the production of chemokines capable of attracting TAMs and other inflammatory cells into mammary tumors.
CDDO-Me inhibits numerous oncogenic pathways in ER-negative mammary tumors. To determine whether CDDO-Me treatment inhibited additional oncogenic mechanisms, levels of the proangiogenic factor MMP-9 were investigated in primary PyMT tumor cells. As shown in Fig. 5A, CDDO-Me treatment resulted in a significant dose-dependent inhibition of MMP-9 secretion by primary mammary tumor cells as compared to vehicle. Notably, CDDO-Me also inhibited proliferation of the primary tumor cells (Fig. 5B) but did not induce apoptosis in these cells as assayed via annexin staining (data not shown). To elucidate potential mechanisms for inhibition of on March 21, 2019. © 2012 American Association for
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proliferation by CDDO-Me, primary PyMT tumor cells were treated with biotinylated CDDO-Me, and lysates were precipitated with immobilized NeutrAvidin followed by western blotting of common components of oncogenic pathways. The biotinylated CDDO-Me directly interacted with EGFR and STAT3 but not with cyclin D1 (Fig. 5C) and inhibited these diverse pathways. Levels of cyclin D1 and phosphorylated EGFR and STAT3 were reduced following CDDO-Me treatment in primary PyMT tumor cells as compared to vehicle (Fig. 5D). Effects of CDDO-Me treatment on cyclin D1 were then investigated in vivo. ER-negative mammary tumors of PyMT mice fed diet containing CDDO-Me showed significant (P < 0.05) reduction of cyclin D1, as detected by immunohistochemical analysis, as compared to tumors of litter matched mice fed control diet at 8, 12, 16, and 20 weeks of age. Representative mammary tumors and quantitation of the cyclin D1 IHC are shown in Fig. 5E.
Discussion
We show in our present study that CDDO-Me is the first known drug to significantly delay tumorigenesis in PyMT mice and that it modestly inhibits the infiltration of TAMs to the tumor site in this extremely aggressive model of ER- breast cancer. These findings parallel results from previous studies where genetic depletion of TAMs in PyMT mice delay the progression of primary tumors but has no effect on the formation or growth of these tumors (16) and indicate that a pharmacologic agent can achieve similar effects to that of genetic approaches. Macrophage infiltration to the tumor site in response to inflammatory cytokines activates them to produce chemokines and a multitude of angiogenesis-promoting factors, such as vascular endothelial growth on March 21, 2019. © 2012 American Association for
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factor (VEGF), matrix metalloproteinases, and cyclooxygenase 2 (COX2) (21, 36). Oral administration of the COX2 inhibitor celecoxib to PyMT mice with established tumors reduces mammary tumor burden (37) and reduces VEGF levels in vivo; however, no such antiinflammatory agents have been reported to significantly delay tumorigenesis in the PyMT model.
CDDO-Me inhibits the infiltration of TAMs to the mammary tumors of PyMT mice only at 12 weeks of age, the peak time for macrophage infiltration into the mammary gland. Although we do not understand why this change did not occur at earlier time points, the infiltration of macrophages may be involved in the transition from adenoma to carcinoma (30). By 16-20 weeks of age, large mammary tumors are present and macrophages may no longer be necessary for tumor growth. It is also possible that CDDO-Me has an effect on macrophage activation or phenotype, and additional studies will address this important issue.
Our studies also suggest that CDDO-Me has multiple effects on cells other than macrophages. For example, CDDO-Me suppresses levels of the chemokines CXCL12 and CCL2 and the secretion of MMP-9 from primary PyMT tumor cells. Both CXCL12 and CCL2 have been previously implicated as key players not only in inducing the infiltration of TAMs into primary tumors but also in promoting the seeding and growth of breast metastases into distant sites including the lung (36, 38-41). MMP-9 plays numerous roles in carcinogenesis including tumor initiation, vascularization, invasion and metastasis (42). Previous studies have demonstrated the ability of CDDO-Me to prevent lung carcinogenesis in experimental models (43, 44), and the synthetic triterpenoid CDDO-Imidazolide inhibits metastasis in experimental liver metastasis on March 21, 2019. © 2012 American Association for
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models (45). Ongoing studies will determine whether CDDO-Me inhibits lung metastasis in PyMT mice and whether the inhibition is due suppression of chemokines CXCL12 and CCL2 or by the metalloproteinase MMP-9.
Breast cancer is a complicated disease that involves not only tumor cells but a variety of stromal cells in the surrounding tumor microenvironment. Interactions between stromal cells and tumor cells facilitate tumorigenesis leading to malignancy and eventually metastasis to distant organs (46). Hence, novel multifunctional drugs that target diverse signaling pathways in both tumor and stromal cells are needed for the prevention and treatment of breast cancer. Recent proteomic analysis has indentified numerous putative CDDO-Me target proteins from diverse but interconnected signaling networks (47). We show that CDDO-Me is a multifunctional drug that inhibits various key oncogenic pathways in primary PyMT tumor cells. CDDO-Me inhibits the phosphorylation of EGFR and STAT3, cyclin D1 protein levels, and proliferation. It is well established that EGFR signaling induces proliferation and survival in breast cancer cells thus making EGFR a popular target for breast cancer treatment (48). Additionally, increases in STAT3 phosphorylation and levels of cyclin D1 are commonly found in tumor cells of breast cancer patients and thus are breast cancer biomarkers and popular therapeutic targets for the treatment of the disease (49, 50). By targeting these pathways that are commonly altered in breast cancer, and possibly TAMS as well, CDDO-Me is able to significant delay tumor development in the aggressive PyMT model.
It is also possible that CDDO-Me is more potent for inhibiting proliferation or inducing apoptosis of premalignant cells than malignant cells, as has been shown for on March 21, 2019. © 2012 American Association for
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other chemopreventive agents such as LG100268 (51). As previously mentioned,
CDDO-Me did not induce apoptosis via annexin staining in primary PyMT tumor cells, even though it does induce apoptosis by a variety of mechanisms in cancer cells
in vitro
(25)
. We did not explore a wide variety of doses, especially higher doses, for effects of apoptosis in our current study or compare the effects of CDDO-Me on normal,
premalignant, and malignant cells. We are beginning these studies and investigating whether CDDO-Me has an effect on established tumors in the PyMT model as CDDO-
Me has been shown to induce apoptosis in a variety of human ER-negative breast cancer cells (25) and arrest tumor growth in the MMTV-neu transgenic model of ER-
breast cancer (24). The effects of CDDO-Me on multiple pathways and cells undoubtedly contribute to its efficacy in the PyMT model for the prevention of
experimental breast cancer, and defining all of the mechanisms of action for this drug remains an area of active investigation.
Acknowledgments
Grant support: These studies were supported by the Breast Cancer Research
Foundation, the National Foundation for Cancer Research, the NIH (RO1 CA78814)
and Reata Pharmaceuticals, Inc. We thank Dr. Jeffrey Pollard for kindly donating founder mice for these studies and Dr. Patricia Pioli for her advice on the macrophage
studies.
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Cancer Research.
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27. Honda T, Rounds BV, Gribble GW, Suh N, Wang Y, Sporn MB. Design and synthesis of 2-cyano-3,12-dioxoolean-1,9-dien-28-oic acid, a novel and highly active inhibitor of nitric oxide production in mouse macrophages. Bioorg Med Chem Lett. 1998;8:2711-4.
28. Vannini N, Lorusso G, Cammarota R, Barberis M, Noonan DM, Sporn MB, et al. The synthetic oleanane triterpenoid, CDDO-methyl ester, is a potent antiangiogenic agent. Mol Cancer Ther. 2007;6:3139-46.
29. Honda T, Rounds BV, Bore L, Finlay HJ, Favaloro FG, Jr., Suh N, et al. Synthetic oleanane and ursane triterpenoids with modified rings A and C: a series of highly active inhibitors of nitric oxide production in mouse macrophages. J Med Chem. 2000;43:4233-46.
30. Lin EY, Jones JG, Li P, Zhu L, Whitney KD, Muller WJ, et al. Progression to malignancy in the polyoma middle T oncoprotein mouse breast cancer model provides a reliable model for human diseases. Am J Pathol. 2003;163:2113-26.
31. Guy CT, Cardiff RD, Muller WJ. Induction of mammary tumors by expression of polyomavirus middle T oncogene: a transgenic mouse model for metastatic disease. Mol Cell Biol. 1992;12:954-61.
32. Honda T, Janosik T, Honda Y, Han J, Liby KT, Williams CR, et al. Design, synthesis, and biological evaluation of biotin conjugates of 2-cyano-3,12-dioxooleana-
on March 21, 2019. © 2012 American Association for cancerpreventionresearch.aacrjournals.org
1,9(11)-dien-28-oic acid for the isolation of the protein targets. J Med Chem. 2004;47:4923-32.
33. Dinkova-Kostova AT, Liby KT, Stephenson KK, Holtzclaw WD, Gao X, Suh N, et al. Extremely potent triterpenoid inducers of the phase 2 response: correlations of protection against oxidant and inflammatory stress. Proc Natl Acad Sci U S A. 2005;102:4584-9.
34. Liby K, Voong N, Williams CR, Risingsong R, Royce DB, Honda T, et al. The synthetic triterpenoid CDDO-Imidazolide suppresses STAT phosphorylation and induces apoptosis in myeloma and lung cancer cells. Clin Cancer Res. 2006;12:428893.
35. Yore MM, Liby KT, Honda T, Gribble GW, Sporn MB. The synthetic triterpenoid 1-[2-cyano-3,12-dioxooleana-1,9(11)-dien-28-oyl]imidazole blocks nuclear factorkappaB activation through direct inhibition of IkappaB kinase beta. Mol Cancer Ther. 2006;5:3232-9.
36. Balkwill F, Mantovani A. Cancer and inflammation: implications for pharmacology and therapeutics. Clin Pharmacol Ther. 2010;87:401-6.
37. Basu GD, Pathangey LB, Tinder TL, Lagioia M, Gendler SJ, Mukherjee P. Cyclooxygenase-2 inhibitor induces apoptosis in breast cancer cells in an in vivo model of spontaneous metastatic breast cancer. Mol Cancer Res. 2004;2:632-42.
38. Ben-Baruch A. The multifaceted roles of chemokines in malignancy. Cancer Metastasis Rev. 2006;25:357-71.
39. Dewan MZ, Ahmed S, Iwasaki Y, Ohba K, Toi M, Yamamoto N. Stromal cellderived factor-1 and CXCR4 receptor interaction in tumor growth and metastasis of breast cancer. Biomed Pharmacother. 2006;60:273-6.
40. Qian BZ, Li J, Zhang H, Kitamura T, Zhang J, Campion LR, et al. CCL2 recruits inflammatory monocytes to facilitate breast-tumour metastasis. Nature. 2011;475:222-5.
41. Hassan S, Buchanan M, Jahan K, Aguilar-Mahecha A, Gaboury L, Muller WJ, et al. CXCR4 peptide antagonist inhibits primary breast tumor growth, metastasis and enhances the efficacy of anti-VEGF treatment or docetaxel in a transgenic mouse model. Int J Cancer. 2011;129:225-32.
42. Almholt K, Juncker-Jensen A, Laerum OD, Dano K, Johnsen M, Lund LR, et al. Metastasis is strongly reduced by the matrix metalloproteinase inhibitor Galardin in the MMTV-PymT transgenic breast cancer model. Mol Cancer Ther. 2008;7:2758-67.
43. Liby K, Risingsong R, Royce DB, Williams CR, Ma T, Yore MM, et al. Triterpenoids CDDO-methyl ester or CDDO-ethyl amide and rexinoids LG100268 or NRX194204 for prevention and treatment of lung cancer in mice. Cancer Prev Res (Phila). 2009;2:1050-8.
44. Liby K, Royce DB, Williams CR, Risingsong R, Yore MM, Honda T, et al. The synthetic triterpenoids CDDO-methyl ester and CDDO-ethyl amide prevent lung cancer induced by vinyl carbamate in A/J mice. Cancer Res. 2007;67:2414-9.
45. Townson JL, Macdonald IC, Liby KT, Mackenzie L, Dales DW, Hedley BD, et al. The synthetic triterpenoid CDDO-Imidazolide suppresses experimental liver metastasis. Clin Exp Metastasis. 2011;28:309-17.
46. Joyce JA, Pollard JW. Microenvironmental regulation of metastasis. Nat Rev Cancer. 2009;9:239-52.
on March 21, 2019. © 2012 American Association for cancerpreventionresearch.aacrjournals.org
Author manuscripts have been peer reviewed and accepted for publication but have not yet been edited. Author Manuscript Published OnlineFirst on March 8, 2012; DOI: 10.1158/1940-6207.CAPR-11-0404
47. Yore MM KA, Sporn MB, Gerber SA, Liby KT. Proteomic analysis shows synthetic oleanane triterpenoid binds to mTOR. PLoS One. 2011;6:e22862.
48. Chan SK, Hill ME, Gullick WJ. The role of the epidermal growth factor receptor in breast cancer. J Mammary Gland Biol Neoplasia. 2006;11:3-11.
49. Pensa S, Watson CJ, Poli V. Stat3 and the inflammation/acute phase response in involution and breast cancer. J Mammary Gland Biol Neoplasia. 2009;14:121-9.
50. Roy PG, Thompson AM. Cyclin D1 and breast cancer. Breast. 2006;15:718-27.
51. LiY, Zhang Y, Hill J, Shen Q, Kim HT, Xu X et al. The rexinoid LG100268 prevents the development of preinvasive and invasive estrogen receptor-negative tumors in MMTV-erbB2 mice. Clin Cancer Res. 2007;13:6224-31.
on March 21, 2019. © 2012 American Association for cancerpreventionresearch.aacrjournals.org
Figure 1.
Characterization of macrophage infiltration in the PyMT model of ER-negative breast cancer.
A
, Detection of TAM infiltration in mammary glands or tumors via staining of F4/80, a surface marker of macrophages, in representative samples. Age of mice as
shown. B,
Quantitation of macrophage infiltration as detected by flow cytometry analysis of F4/80 in homogenized mammary glands and tumors in PyMT
+/- mice and in age-
-/- matched littermate PyMT
mice. #,P< 0.01 versus control; *, P < 0.05 and **, P < 0.01
versus previous age time point. Quantitation of cytokines (C) and pro-angiogenic factors
(D) in macrophages isolated from mammary glands and tumors of 16 week old PyMT
mice and primary PyMT tumor cells detected by a Proteome Profiler Mouse Cytokine
Panel A Array Kit (C) and a Proteome Profiler Mouse Angiogenesis Kit (D
). Quantitation of protein expression determined via pixel density was performed using ImageJ.
Figure 2. CDDO-Me delays the development of ER-negative mammary tumors and enhances survival of PyMT mice. Beginning at 4 wks of age, female transgenic mice were fed powdered control diet or CDDO-Me in diet (50 mg/kg). Mice were palpated twice a week. The effects of CDDO-Me on tumor development (A) and survival (B) of PyMT mice as compared to control diet is shown. n = 15 mice per arm. **, P < 0.001 versus control.
Figure 3.
CDDO-Me inhibits the infiltration of macrophages to the mammary glands and tumors of PyMT mice. Beginning at 4 wks of age, female transgenic mice were fed
powdered control diet or CDDO-Me diet (50 mg/kg) and sacrificed at age 8, 12, 16, or
20 wk. Quantitation of macrophage infiltration was detected by flow cytometry analysis of F4/80 in homogenized mammary glands and tumors (
A
) and by F4/80 staining in mammary glands of PyMT mice (
B
). *, P < 0.05 versus age-matched littermate controls, on March 21, 2019. © 2012 American Association for
cancerpreventionresearch.aacrjournals.org
n ≥ 6 mice. The percentage of cells positive for F4/80 as detected by IHC was scored in a blinded manner (C); *, P < 0.05 versus control.
Figure 4. CDDO-Me decreases CCL2 and CXCL12 in primary PyMT tumor cells. A, Primary PyMT tumor cells were treated with CDDO-Me for varying time points (8, 16, 24 h) and mRNA levels of CCL2 (top panel) and CXCL12 (bottom panel) were detected by RT-PCR. *, P < 0.05 and **, P < 0.01 versus control treatment. B, Primary PyMT tumor cells were treated with CDDO-Me for varying time points (8, 16, 24 h) and supernatants were assayed by ELISA for CCL2 secretion. *, P < 0.05 and **, P < 0.01 versus control treatment.
Figure 5. CDDO-Me inhibits oncogenic pathways in primary PyMT tumor cells. A, Primary PyMT tumor cells were treated with CDDO-Me for varying time points (8, 16, 24 h) and supernatants were assayed by ELISA for MMP-9 secretion. *, P < 0.05 and **, P < 0.01 versus control. B, Primary PyMT tumor cells were treated with increasing concentrations of CDDO-Me for 48 h, and effects on proliferation were assayed via MTT analysis. *, P < 0.05 versus control; **, P < 0.01 versus control. C, Primary PyMT tumor cells were treated with 3 µmol/L of biotinylated CDDO-Me (compound 6 in ref 32) for 1 h, streptavidin DynaBeads were used to pulldown triterpenoid-protein complexes from cell lysates, and EGFR, STAT3, and cyclin D1 were detected by Western blot. D, Primary PyMT tumor cells were treated with CDDO-Me (0-300 nM), and lysates were immunoblotted with antibodies against pEGFR, pSTAT3, or cyclin D1. E, Beginning at 4 wks of age, female transgenic mice were fed powdered control diet or CDDO-Me diet (50 mg/kg) and sacrificed at age 8, 12, 16, or 20 wk. Tumor sections were analyzed for on March 21, 2019. © 2012 American Association for
cancerpreventionresearch.aacrjournals.org
cyclin D1 levels by immunohistochemistry. Representative images are shown. The percentage of cells positive for cyclin D1 was scored in a blinded manner: *, P < 0.05 versus control; ** P < 0.001 versus control.
on March 21, 2019. © 2012 American Association for cancerpreventionresearch.aacrjournals.org
C
Author manuscripts have been peer reviewed and accepted for publication but have not yet been edited.
Author Manuscript Published OnlineFirst on March 8, 2012; DOI: 10.1158/1940-6207.CAPR-11-0404
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on March 21, 2019. © 2012 American Association for cancerpreventionresearch.aacrjournals.org
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T Mice Middle Receptor-Negative Mammary Carcinogenesis in Polyoma The Synthetic Triterpenoid CDDO-Methyl Ester Delays Estrogen
Kim M. Tran, Renee Risingsong, Darlene B. Royce, et al.
Published OnlineFirst March 8, 2012. Cancer Prev Res
Updated version
10.1158/1940-6207.CAPR-11-0404 doi:
Access the most recent version of this article at:
Material Supplementary
04.DC1 http://cancerpreventionresearch.aacrjournals.org/content/suppl/2012/03/08/1940-6207.CAPR-11-04 Access the most recent supplemental material at:
Manuscript Author
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on March 21, 2019. © 2012 American Association for cancerpreventionresearch.aacrjournals.org
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How to complain that a local authority member has broken the code of conduct
1 Who is the Public Services Ombudsman for Wales?
The Ombudsman is appointed by the Queen to look into complaints about public services in Wales. The Ombudsman also investigates complaints that members of local government bodies have behaved wrongly. He is independent and unbiased. The current Ombudsman is Peter Tyndall.
The Ombudsman can consider complaints about the behaviour of members of:
- county and county borough councils;
- community councils;
- fire authorities, and national park authorities; and
- police and crime panels.
All these authorities have a code of conduct which sets out in detail how members must follow recognised principles of behaviour in public life.
2 Who can make the complaint and what can you complain about?
Anyone can make a complaint, as long as they have direct knowledge of the behaviour they are complaining about.
If you are a councillor, under your authority’s code you must report any evidence which you have of a fellow councillor breaking the code. If you are a county councillor and your authority has a local resolution process and you want to make a complaint against another councillor in your authority, you should first of all make your complaint to your authority’s Monitoring Officer. The reason for this is that it may be that your complaint can be resolved locally without the need for the Ombudsman to be involved. You must nevertheless remember that you also have a duty under the code not to make complaints which are vexatious (that is, they must not be made just to make mischief).
Examples of ways in which a member may break an authority’s code of conduct include:
- behaving in a way that negatively affects their authority’s reputation;
- using their position unfairly to gain an advantage for themselves or someone else – or to do someone else down;
- improper use of their authority’s resources;
- failing to declare an interest;
- bullying behaviour;
- failing to treat everybody equally; and
- revealing confidential information about individuals without good reason.
3 What the Ombudsman cannot investigate
- Complaints about the behaviour of individual employees of an authority.
(But if their behaviour led to you being unfairly treated, or receiving a bad service, you can complain about the authority itself. There is a separate leaflet to help you to do this.)
- Complaints not made in writing, or made anonymously.
4 How do you make a complaint?
- You must be prepared for your name and what you say in your complaint to be passed on to the member concerned and to the authority. You must also be prepared for the possibility that it may become public knowledge. You may need to be interviewed as part of any investigation.
- Your complaint must be in writing, preferably using the form in this leaflet. If you are unable to do this yourself, please contact us on 0300 790 0203.
- You must tell the Ombudsman specifically what you believe the member has done which has broken their authority’s code of conduct. (You have to give some direct evidence of this – the Ombudsman will not investigate a complaint which is based on what someone else has told you.)
5 What happens after you have filled in the complaint form and returned it to the Ombudsman?
We will write to acknowledge we have received your complaint. We will then assess it to decide if we will investigate it. Sometimes, we may need to get in touch if some aspect of your complaint is not clear. If we decide not to investigate, we will tell you the reason. If we decide to investigate, we will let you know when we have started, and let you know the outcome.
The Ombudsman can decide whether he will investigate any complaint. Some of the complaints he receives are not serious enough to need investigating.
A number of the complaints which come to the Ombudsman are about rude or controversial things that members have said. The code of conduct is not meant to prevent robust political debate.
In deciding whether to investigate a complaint of a breach of the code the Ombudsman applies a two stage test:
- first he looks to see whether there is evidence that a breach actually took place;
- if there is, he then considers whether the breach alleged, if proved, would be likely to lead to a sanction being imposed on the member. In making his decision, the Ombudsman takes account of the outcomes of previous cases considered by standards committees and Adjudication Panels across Wales.
If the Ombudsman concludes that the first stage of the two stage test is met but not the second stage he will write to the relevant local authority Monitoring Officer stating that he does not intend to investigate the complaint. The Ombudsman will ask the Monitoring Officer whether they wish to carry out a local investigation. Where the Monitoring Officer agrees that an investigation is not called for the complainant will be told of the decision not to investigate. If the Monitoring Officer says that a local investigation is appropriate, then as allowed by the law, the matter will be passed to the Monitoring Officer for their own local investigation.
6 What are the possible outcomes of an investigation?
The Ombudsman will investigate the matter thoroughly and fairly. He will act as quickly as possible. The time taken to complete an investigation will vary according to how complicated it is. Normally it will be completed within nine months. We will keep in touch with you and let you know what progress is being made. If he thinks it is appropriate, the Ombudsman can end his investigation at any time.
Once his investigation is complete, the Ombudsman may decide that there is no evidence that the code has been broken, or decide that no further action needs to be taken.
If he decides that there is enough evidence to do so, he will send a formal report either to the authority’s standards committee or, depending on the circumstances, to the Adjudication Panel for Wales. You might be asked to give evidence to them. They will then decide if the code of conduct has been broken and, if so, what penalty to give the member concerned. The maximum penalty that a standards committee can apply is suspension for six months and the maximum that a tribunal of the Adjudication Panel can determine is five years’ disqualification from office.
Contact us
Public Services Ombudsman for Wales
1 Ffordd yr Hen Gae
Pencoed
CF35 5LJ
Phone: 0300 790 0203
Fax: 01656 641199
E-mail: firstname.lastname@example.org
Website: www.ombudsman-wales.org.uk
You can also follow us on Twitter: @OmbudsmanWales
Printed on 100% recycled paper
January 2013
Sut i gwyno bod aelod o awdurdod lleol wedi torri'r Cod Ymddygiad
1 Pwy yw Ombwdsmon Gwasanaethau Cyhoeddus Cymru?
Caiff yr Ombwdsmon ei benodi gan y Frenhines i ymchwilio i gwynion am wasanaethau cyhoeddus yng Nghymru. Mae'r Ombwdsmon hefyd yn ymchwilio i gwynion bod aelodau o gyrrf llywodraeth leol wedi cam ymddwyn. Mae'n annibynnol ac yn ddiduedd. Mae'r gwasanaeth yn rhad ac am ddim. Peter Tyndall yw'r Ombwdsmon presennol.
Gall yr Ombwdsmon ystyried cwynion am ymddygiad aelodau'r canlynol:
- cynghorau sir a chynghorau bwrdeistref sirol;
- cynghorau cymuned;
- awdurdodau tân, ac awdurdodau'r parciau cenedlaethol; a
- phanelau heddlu a throsedd.
Mae gan bob un o'r rhain god ymddygiad sy'n nodi'n fanwl sut y dylai aelodau gydymffurfio ag egwyddorion cydnabyddedig ymddygiad mewn bywyd cyhoeddus.
2 Pwy all gyflwyno'r gŵyn ac am beth y gallwch gwyno?
Gall unrhyw un gyflwyno cwyn, ar yr amod bod ganddynt wybodaeth uniongyrchol am yr ymddygiad y maent yn cwyno amdano.
Os ydych chi eich hun yn gynghorydd, mae'n ddyletswydd arnoch yn unol â chod eich awdurdod, i dynnu sylw at unrhyw dystiolaeth sydd gennych fod un o'ch cyd-gynghorwyr wedi torri'r cod. Os ydych yn gynghorydd sir a bod gan eich awdurdod broses datrysiad lleol ac eich bod yn dymuno cyflwyno cwyn yn erbyn cynghorydd arall o fewn eich awdurdod, dylech yn y lle cyntaf gyflwyno eich cwyn i'r Swyddog Monitro. Y rheswm dros hyn yw ei bod hi'n bosibl y gall eich cwyn gael ei datrys yn lleol heb ymwnelo'r Ombwdsmon. Er hynny, rhaid ichi gofio bod hefyd gennych gyfrifoldeb o dan y cod i beidio â gwneud honiadau er mwyn poenydio aelod arall.
Mae enghreifftiau o'r ffyrdd y gallai aelod dorri cod ymddygiad awdurdod yn cynnwys:
- ymddwyn mewn ffordd sy'n dwyn anfri ar yr awdurdod;
- defnyddio'i swydd yn annheg er mwyn cael mantais bersonol neu fantais i rywun arall – neu fychanu rywun arall;
- defnydd amhriodol o adnoddau'r awdurdod;
- methiant i ddatgan cysylltiad;
- ymddygiad gormesol;
- methiant i drin pawb yn gydradd; a
- datgelu gwybodaeth gyfrinachol am unigolion heb reswm da.
3 Materion nad yw'r Ombwdsmon yn gallu ymchwilio iddynt
- Cwynion am ymddygiad cyflogeion unigol yr awdurdod (ond os arweiniodd eu hymddygiad at driniaeth a oedd yn annheg â chi, neu at dderbyn gwasanaeth gwael, gallwch gwyno am yr awdurdod ei hun. Mae ffurflen ar wahân ar gael i'ch helpu i wneud hyn).
- Cwynion na chawsant eu cyflwyno'n ysgrifenedig, neu a gyflwynwyd yn ddienw.
4 Sut mae cyflwyno cwyn?
- Mae'n rhaid i chi fod yn barod i'r aelod a'r awdurdod dan sylw gael gwybod pwy ydych a beth ddywedoch yn eich cwyn. Rhaid ichi hefyd fod yn barod ar gyfer y posiblirwydd y gall ddod yn wybodaeth gyhoeddus. Efallai y bydd angen i chi gael eich cyfweld fel rhan o unrhyw ymchwiliad.
- Mae'n rhaid i chi gyflwyno'ch cwyn yn ysgrifenedig, a gorau oll os byddwch yn defnyddio'r ffurflen yn y daflen hon. Os nad ydych yn gallu gwneud hyn eich hunain, cysylltwch â ni ar 0300 790 0203.
- Mae'n rhaid i chi ddweud wrth yr Ombwdsmon yn union sut wnaeth yr aelod dorri cod ei awdurdod yn eich tyb chi. (Mae'n rhaid i chi roi rhywfaint o dystiolaeth uniongyrchol i ategu hyn – ni fydd yr Ombwdsmon yn ymchwilio i gŵyn sy'n seiliedig ar rywbeth y mae rhywun arall wedi'i ddweud wrthych.)
5 Beth fydd yn digwydd wedi i chi gwbhau'r ffurflen gwyno a'i dychwelyd at yr Ombwdsmon?
Byddwn yn ysgrifennu atoch i gydnabod derbyn y gŵyn. Wedyn byddwn yn ei hasesu er mwyn penderfynu a fyddwn yn ymchwilio iddi. Weithiau, efallai y bydd angen i ni gysylltu â chi er mwyn cael mwy o eglurhad ar agwedd benodol ar y gŵyn. Os byddwn yn penderfynu peidio ag ymchwilio iddi, byddwn yn egluro wrthych beth yw'r rheswm. Os byddwn yn penderfynu cynnal ymchwiliad byddwn yn eich hysbysu pan fôr ymchwiliad wedi cychwyn, ac yn rhoi gwybod ichi'r canlyniad.
Mae gan yr Ombwdsmon ddisgresiwn i benderfynu a fydd yn ymchwilio i unrhyw gŵyn. Mae rhai o'r cwynion y bydd yn eu derbyn yn rhy ddibwys i warantu ymchwiliad.
Mae nifer o'r cwynion y mae'r Ombwdsmon yn eu derbyn yn ymwneud â phethau anfoesgar neu ddadleuol y mae aelodau wedi'u dweud. Nid yw'r cod wedi'i fwriadu i fod yn rhwystri i ddadleuon gwleidyddol grymus.
Wrth benderfynu a ddylid ymchwilio i gŵyn yn ymwneud â thorri'r cod ymddygiad, mae'r Ombwdsmon yn rhoi prawn dau gam ar waith:
- yn gyntaf, mae'n mynd ati i sefydlu a oes tystiolaeth bod y cod wedi'i dorri mewn gwirionedd;
- os oes, yna mae'n ystyried a fyddai'r toriad honedig, os wedi ei brofi, yn debygol o arwain at gosbi'r aelod. Wrth gymryd ei benderfyniad mae'r Ombwdsmon yn ystyried canlyniadau achosion blaenorol sydd wedi cael eu hystyried gan bwyllgorau safonau a Phaneli Dyfarnu ledled Cymru.
Os yw'r Ombwdsmon yn dod i'r casgliad bod y cam cyntaf o'r prawf dau gam wedi ei gwrdd ond nid yr ail gam, fe fydd yn ysgrifennu at Swyddog Monitro'r awdurdod lleol perthnasol yn datgan ei fwriad i beidio ag ymchwilio i'r gŵyn. Bydd yr Ombwdsmon yn gofyn i'r Swyddog Monitro a yw yn dymuno ymchwilio i'r mater ar lefel leol. Os yw'r Swyddog Monitro yn cytuno nad oes gofyn ymchwilio i'r gŵyn fe hysbysir yr achwynnydd o'r penderfyniad i beidio ymchwilio. Os yw'r Swyddog Monitro yn dwued bod ymchwiliad lleol yn briodol, yna yn ôl yr hyn a ganiateir gan y gyfraith, bydd y mater yn cael ei drosglwyddo i'r Swyddog Monitro ar gyfer ei ymchwiliad lleol ei hun.
6 Beth yw'r canlyniadau posib yn dilyn ymchwiliad?
Bydd yr Ombwdsmon yn ymchwilio yn drylwyr ac yn deg. Bydd yn gweithredu mor gyflym â phosib. Bydd yr amser a gymer i gynnal ymchwiliad yn amrywio gan ddibynnau pa mor gymhleth ydyw. Fel arfer bydd yn cael ei gwblhau o fewn naw mis. Byddwn yn cadw mewn cysylltiad â chi gan roi gwybod pa gynnydd sy'n cael ei wneud. Os bydd yn meddwl bod hynny'n briodol, gall yr Ombwdsmon atal ei ymchwiliad ar unrhyw adeg.
Unwaith iddo gwblhau ei ymchwiliad, gall yr Ombwdsmon benderfynu nad oes tystiolaeth fod y cod wedi'i dorri, neu nad oes angen cymryd unrhyw gamau pellach.
Os bydd yn dod i'r casgliad bod tystiolaeth i'w chael sy'n cyfiawnhau hynny, bydd yn anfon adroddiad ffurfiol naill ai at bwylgor safonau'r awdurdod neu, yn dibynnau ar yr amgylchiadau, at Banel Dyfarnu Cymru. Efallai y gofynnir i chi roi tystiolaeth iddynt. Hwy fydd i benderfynu a dorrwyd y cod ymddygiad ac, os felly, pa gosb y dylid ei rhoi i'r aelod dan sylw. Y gosb uchaf y gall pwylgor safonau ei roi i aelod yw ei wahardd o'i swydd am chwe mis ar gosb uchaf y gall dribiwlnlys o'r Panel Dyfarnu ei roi yw diarddeliad am bum mlynedd.
Cysylltu â ni
Ombwdsmon Gwasanaethau Cyhoeddus Cymru
1 Ffordd yr Hen Gae
Pencoed
CF35 5LJ
Ffôn: 0300 790 0203
Ffacs: 01656 641199
E-bost: email@example.com
Y We: www.ombwdsmon-cymru.org.uk
Gallwch hefyd ein dilyn ar Twitter: @Ombwdsmon
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Sub-optimal Power Allocation with Best Relay Algorithm in Multiple Antenna MIMO Relays Networks
Manar Al-Kali School of Computer Science CHINA UNIVERSITY OF GEOSCIENCES No.388 Lumo Road –Wuhan - China
Ali Mohammed Department of Computer Engineering AL-KARKH UNIVERSITY OF SCIENCES Baghdad, Iraq
ABSTRACT
In this paper, the sub-optimal power allocation relay selection (SBS-AF) algorithm in multiple-input multiple-output (MIMO) relay networks was proposed. The energy efficiency and the symbol error rate (SER) in multiple antennas MIMO relay networks is investigated. Amplify and- forward (AF) relay scheme, where N relay access point(s) occupied with Q antennas cooperatively forwards packets to the destination is employed. Under the assumption of Rayleigh fading channels and time division multiplexing (TDM), a new exact closedform expressions for the outage probability, SER and the energy efficiency valid for N Relays and Q antennas was derived. Further asymptotic analysis is done in high SNR regime to characterize the energy efficiency in terms of the diversity order and the array gain. Our scheme was compared with all relay participate (AP-AF) and the recent of best relay selection scheme (S-AF). The results show that our scheme achieves better diversity than the fixed relaying schemes as well maintaining a full diversity of (NQ) +1. The behavior of the energy efficiency with the relay locations is also discussed in this paper.
General Terms
Energy Efficiency on wireless sensor Networks and Cooperative Networks.
Keywords
Energy Efficiency, Cooperative Network, Amplify and Forward, MIMO, Power Allocation.
1. INTRODUCTION
In wireless distributed networks, packet transmission through wireless medium is quite challenging due to the dynamic channel conditions caused by noise interference, poor liability, and distance expansion. However, cooperative diversity offers an effective solution by exploiting the nearby nodes to assist in the transmission and overcome these drawbacks. It has stood out as an essential concept to the wireless networks and has been discussed in many works. Some of these works have utilized techniques such as distributed beamforming and space-time coding [1]. But these schemes require large feedback overhead and accurate time synchronization. Other studies have considered relay selection algorithms [2]. Nevertheless, drawbacks such as time-space complicities and communication loss have been noted. Multiple-input multiple-output (MIMO) techniques have been proved to be a sold prospective for the wireless networks as well as cooperative communication.
Many works have provided insights into cooperative MIMO network performance. For instance, the ergodic channel capacities for MIMO AF half duplex relay systems are derived by diagonals of the autocorrelation channel matrix from the source to the destination [3]. A novel cooperative detection scheme has been proposed to resolve the complexity of the detection of the relay node [4]. The rate bound with message splitting is utilized in full duplex channel MIMO relay networks [5].
The above-mentioned works illustrate the role of MIMO systems in cooperative communications, because they provide optimal performance in this field. However, like many wireless networks, energy consumption is a major issue in cooperative communications and is a hot topic in recent works. For example, hop distance in combination with the number of nodes was optimized in MIMO and multiple-input single-output (MISO) relay systems to improve their energy consumption [6].
In [7] the Author focus computing the source covariance matrix (or matrices) and the relay transformation matrix to optimize a system performance, however the algorithm is rather complex and applied for only single case when the relay node is an access point. In [8] the author study the structural properties of the optimal power allocation in MIMO-CN with per-node power constraints as it been applied at the source, however schemes require large feedback and knowledge, while [9-10] joint source power allocation and relay beamforming in multi-user multi-relay networks that use single-carrier frequency division multiple access (SC-FDMA) however this approach requires additional data traffic, therefore motivated by [6-10] we propose an amplify-andforward (AF) relay scheme of transmission, where two single antenna nodes communicate via MIMO relay(s) access points occupied with Q antennas. To obtain maximal achievable received SNR, we assume that the relays is able to perform the rule of maximal ratio combining (MRC) [11] on the received signal as well as the rule of maximal ratio transmitting (MRT) [11] on the forwarded signal. Under independent but not essentially identically distributed (i.n.d) channel conditions, we derive the optimized power allocation formula from which we use to develop our sub-optimal Power allocation algorithm (SBS) to maximize the energy efficiency in our model. Closed-form expressions for the outage probability, SER and the energy efficiency was derived. Then further analyses are provided for high SNR and asymptotic expressions are derived to characterize the energy efficiency in terms of the diversity order and the array gain. Furthermore our result is compared with AP-AF and S-AF, scheme presented in [8]. The simulation results show that the energy efficiency decreases with the diversity order and the location.
2. SYSTEM MODEL
We consider MIMO relay network has one source node communicates with the destination node either directly or cooperatively via N MIMO relay access point(s) occupied with Q antennas ( 1 Q ), as shown in Figure 1.
In this network, i.n.d, half duplex and orthogonal links are used between the nodes, in which the source and the relay transmissions occur in two consecutive time slots.
Assuming that the destination has the knowledge of channel state information (CSI) of all channel hops in the network, and has the ability to utilize the selection diversity combining concept (SC) to identify the channel with the highest instantaneous received SNR between the direct link and the relay links. Furthermore, the destination is also considered to select one "best" relay with the maximal end-to-end SNR to forward the source's signal. In the first time slot the source sends out scaled symbol block with zero mean and unit variance to the other nodes. The received signal at the destination is expressed as:
where x is the symbol block, SD H is the Rayleigh fading coefficient of S − D link, s P is the average transmit power per symbol at the source, and SD n is the additive white Gaussian noise (AWGN) with variance [ ] SD o E n N and [.] E is the expected value.
The received signal at the th i relay is combined with the rule of MRC as in:
where sr is MRC the receive weight vector [11], which is
conjugate transpose operation and the vector norm, respectively,
SR
H is 1 Q
channel vector between the source and relay with Rayleigh fading inputs, and
SR
n
is
1 Q
AWGN with † [ ] i i SR SR Q o E n n I N with Q I Q Q identity matrix.
In the second time slot the th i relay node amplifies and forwards a scaled copy of (2) to the destination according to the rule of MRT [7]. The received signal at the destination via the relay is given by:
where is the MRT is transmit weight vector [7], which is i R D
International Journal of Computer Applications (0975 – 8887) Volume 169 – No.3, July 2017
between the th i relay and D with the Rayleigh fading inputs, R P is the average transmit power per symbol at the relay, is
average SNR of the source/relay channel, and D n is 1 Q AWGN with † [ ] RD RD Q o E n n I N
From (3) the instantaneous received SNR at the destination can be expressed as:
where 2 || || SR SR S o H w P N is the instantaneous SNR received from the source to the th i relay with PDF ( ) SR w SR f w and
the MIMO relay to the destination with PDF
()
RD
w RD
f w.
The destination combines the received signals according to the diversity Selection Combining (SC). Finally, the equivalent SNR at the destination is expressed as:
where 2 | | SD SD s o H w P N is the instantaneous SNR from the source to the destination.
3. PERFORMANCE ANALYSIS
3.1 Optimal Power Allocation and SBS Algorithm
In SBS allocation we simplify (5) by approximating the received SNR at high values, with the help of the inequality of the arithmetic and geometric means (
()
1
1 1
1
2
).
We can
approximate the
expression as follows:
Assuming that each relay sends the signal with identical power and the total transmission power of the second phase is denoted as k P . For the relay selection, let T denote the number of the selected relays, with SNR output represent as:
The optimal relay selection set overall relay selection set of T:
To find the minimum number of T that has maximum received SNR, let the index se of all relays arranged by the rule:
This arrangement puts the relays with the bad CSI of S-D and D-R links in the bottom of the list, hence initially excluded. Therefore the optimization problem can be expressed:
By using Lagrangian multiplier, the sub- optimal power allocation is expressed as:
After the relay selection set and power allocation are done, the optimum N of the set T can be found by eliminating the ineffective relay from the set S according to the following condition:
Based on the previous analysis, the SBS algorithm can be illustrated as follows:
1- Let S is the set of N relays that initially contribute in transmissions
2- Sort the index of all relays according to the rule in (9). Hence the relay with the smaller || || || || i i SR R D H H is discarded, i.e || || || || i i SR R D th H H
3- Allocate the power between T relays and the source using the SBS power allocation in (11)
4- If ( ) ( 1) T T , then exclude T from S , else go to step 6.
5- Let 1 T T , if 1 T , return to step 3,else go to step 6. 6- End.
3.2 Outage Probability Analysis
In this section a new closed-form expression is derived for the cumulative density function (cdf) of Z, which is used to find the outage probability Pout.
At the output of the destination node Pout is defined as Z falls below a certain threshold, under this condition, the outage probability can be given by:
From the bound in (3.5), the cdf of Z is expressed as:
International Journal of Computer Applications (0975 – 8887) Volume 169 – No.3, July 2017
SD w follows an exponential distribution with cdf given by:
where 2 [| |] S SD SD o P E H w N is the average received SNR
from the source to the destination.
Next, the cdf of b w is derived using the following proposition.
The cdf of q w can be expressed as follows:
where ( ) S R i w F x is the cdf of SR w , which follows a chisquared distribution with 2Q degree of freedom given by:
and ( ) R D i w f y is the pdf of RD w , that follows the central chisquared distribution with 2Q degree as in:
By substituting (3.16) and (3.17) into (3.18) with some algebraic manipulations, the expression is obtained:
The integral in appendix B at (B.4) is solved with the identity [12, 3.381.3]:
yields to the expression in to the cdf at the th i relay node occupied with Q antennas is given by:
where 2 [|| || ] i i S SR SR o P E H w N [1, , ] q Q is the average
SNR
from the
source to
the MIMO relay,
[||
|| ]
i
i
R
R D
P E H
N Q
i
R D
w
[ ,
,1]
q Q
is the average SNR
o
from the MIMO relay to the destination,
.
i
i
SR R D
Qw w
i
q
w
SR
i
i
R D
w w
is the end to end average SNR over the path through the relay.
Since argmax b i i w w , then the cdf of the best selected relay can be expressed as:
By using the multinomial theorem, the new exact expression of the cdf of the best relay Selected in the network can be expressed in (23):
where ( , , , ) g g g g g K K is the Q-dimension vector of non-negative integers with the length definition of
0 1 1 q Q 1 0 g Q q q g , the second summation term means that sum is
By substituting (15), (23) into (13) and applying the identity in (14) with some algebraic manipulation, the new closedform expression for the end to end outage probability at the destination (Pout) is presented in (24), which is valid for an arbitrary Q of antennas at the relay.
3.3 Symbol Error Rate Analysis
In this section, closed-form expression for SER is derived using the cdf result in the previous section. The resultant expression is valid for all general modulation forms that have the conditional error probability (CEP) of the form ( 2 ) e Q
where (.) e Q is the Gaussian Q-function and 2 sin ( ) M for M-ary phase shift keying (MPSK).
The most common approach to evaluate the SER is by integrating the CEP over the probability density function (pdf) of the received SNR [13]:
However, this work adopt the approach developed in [14-15], which allows us to express the SER directly using the cdf of the received SNR as follows:
Substituting (3.24) into (3.26) with some algebraic manipulation, yields:(27) solving the integral by applying the identity [12, 4.55.1]:
where 2 1 ( , ; ; ) F a b c d is the hypergeometric function defined in [16]. Finally the exact SER can be expressed as (29).
The result in (29) is the new closed-form expression for the SER of the MIMO relaying, where
3.4 Energy Efficiency
Using the SER expression derived in before to derive the energy efficiency according to [13]:
L is the length of packet, E is the total energy consumption and e P represents the Symbol error probability at the destination.
E can be calculated according to [13] as:
where P is the total consumed power, p L is the payload packet length and b R as the bit rate.
The total power in AF MIMO relaying can be expressed as:
where, is the loss factor of the power amplifier, that lies in the range of (0 1) , while (and cr P ) are the power consumption of the circuit block of the transmitter and the receiver respectively .
Substituting (32) into (31), the expression for the energy consumption as:
Finally, applying (29) and (33) into (30) the closed form expression for the energy efficiency for MIMO relay networks, expressed in (3.34):
Our expressions is a straight forward and easy to compute that composes from finite summations of standard hypergeometric functions, which are easy to simulate in software such as Mathematica or Matlab
3.5 High SNR Evaluation
The closed-form expressions in the previous sections can be further analyzed for the high SNR regime by adopting the approach in [16] that for the uncoded systems, the outage probability and SER are approximated by a single polynomial term for
N
n
2()
Q k
1
0
( )
t
1
1
1
1
Q
N
N n
n
2
1
N
F
1
n
2
(
1
|g| N
( )
t
1
1
(1, ;
1 n
1);
(1, ;
1)!
q
1);
F
N n
q
g
Q
R D
i
2
1)! w
c
1
(Q
1
2
0
( ! q w
c
2
1
1
q
g
1
()
()
)
q
SR
i
SR
SR SD
w
w w
Applying the identity in [8, 8.339.2], SER in (3.36) can be further simplified for t is a positive integer:
The asymptotic outage probability is derived using the following proposition
Proposition 3.1: For high SNR regime the asymptotic outage probability in (33) is derived from the exact expression in (19) with the help of the generalized power series expansion and the series representation of the incomplete gamma function. While deriving the asymptotic outage probability, the received SNRs of the cooperative path are re-expressed as SR SR SD w w , / RD RD SD w w Q and 1 Q and 1 N .
Proof: see appendix A
Next, the asymptotic expression of SER is derived by comparing the result in (38) with (24). Substituting the corresponding values of a and t into (37), the asymptotic expression of SER as in:
According to [16], the SER in high regime can be re-written:
where d is the diversity order and a denotes as the array gain. As it seen, the asymptotic SER in (3.39) achieves maximum diversity order of 1 d L . The corresponding array gain is given by:
From (41), a increases with respect to / i SR SR SD w w and / i i R D R D SD Qw w . Substituting (41) into (31) with some algebraic maculation the asymptotic expression of the energy efficiency in term of array gain as follows:
!
k
w
1
P
e
k 0
i
q
(29)
As in (42) shows that decreases with respect to the increment of a and d .
4. NUMERICAL RESULT
In this section, numerical results are presented to compare our scheme with fixed relaying schemes and to demonstrate the impacts of Q and N on the average received SNRs, the outage probability, SER and the energy efficiency. Our results are evaluated by Mathematica 5.2, where Monte Carlo simulations are performed in each case to compare and to investigate the reliability of our analytical expressions. Assuming the channel are generated with normalized noise gain and variance conditions, i.e.
.
Moreover, the specification of mica2mote [19] are adopted in our simulations, i.e.
4 5 5 ( 10 , 5 10 , 80, 68 R 10 ) ct cr p b p p L L and and and i i i i S S R R R D P P P P with i S R and i R D are real positive numbers of the range ( 0 ) and P as the total power in the system. Our results are compared with AP-AF and (S-AF) a selection scheme in presented in [8]. Similar conclusion can be obtained from both the outage probability and SER; hence only results for SER and the energy efficiency are presented.
The energy efficiency performance of SBS-AF, AP-AF and SAF are plotted in Figure 2. As it is clear from the figure the enhancement of the energy efficiency in SBS-AF is about 3 6.21 10 bit/J over S-AF and 4 1.461 10 bit/J over APAF at 2 10 e P .
From the obtained result it is clear that the power allocation in SBS-AF scheme can optimize the energy consumed in both the transmission and in the forwarding respectively and thus improving the energy efficiency in a better way than the fixed relaying schemes.
Figure 3. plots the exact and asymptotic SER for different numbers of Q at the relays with 2 N and BPSK modulation. Consider the balanced hop case, i.e. SR RD and SD SR RD w w Qw . The figure shows there are significant variations in the slope of the curves which is the reflection of the diversity order. When 2 10 e P the 3 Q antennas system achieves about 6:1dB array gain than the 2 Q antennas system, which confirms our conclusion that the diversity order increase with increasing Q according to 2 1 d Q .
Observing in the figure that the exact and the asymptotic expressions converge to the same value in high SNR regime. The figure also shows a comparison between Monte Carlo simulations results and the analytical expressions, which reveals the correctness of results with tolerance less than 1%.
Figure 4. plots the performance of SER for unbalanced hop case, in which by considering two locations for the relay access point to be presented.
Case A: is when the relay is closer to the source, i.e. 2 SR and 1 RD , therefore 2 SR SD w w and / RD SD w w Q Case B: is when the relay is closer to the destination, i.e. 1 RD and 2 SR , so SR SD w w and 2 / RD SD w w Q .
The result in Fig.4. Shows that the diversity order of (Q+1) is achieved by both cases. In low SNR regime, for example 2 10 e P Case A and case B achieves 1:2 dB and 0:6 dB array gain compared to the balanced hops case. However in high SNR regime the gap between the two cases becomes larger, as case A converge with the balanced hops case to the same value.
Figure 5. plots the exact and asymptotic energy efficiency for different numbers of Q at the relay with BPSK modulation. Under the balanced hops conditions, it is clear that the energy efficiency achievement decreases with the increment in number of antennas in the relay according to 2 1 d Q . For example, when 6 dB SD w , the energy efficiency drops about 4 × 106 bit/J by increasing Q from 2 to 3. This confirms our conclusion that the system attains minimum energy efficiency when it achieves a maximum diversity order of L + 1. The figure also shows that in high SNR regime, the exact and the asymptotic expressions converge to the same value.
Figure 6. plots the energy efficiency performance for the unbalanced hops. The results shows that both case A and case B attain close energy efficiency performance in low SNR regime, for example at, case A and case B provide 3.0952×107 bit/J an 3.1074×107 bit/J respectively
However in high SNR regime the gap between their curves become larger, as case A converge with the balanced case to the same value. When 18 dB SD w , case B provides 8.9 × 104 bit/J compared to the other two cases. This conclusion can help to design practical systems with optimal relay location to minimize the SER and maximize the energy efficiency.
5. CONCLUSION
In this paper, the energy efficiency and SER of MIMO cooperative relay networks were investigated. Under Rayleigh fading conditions, an AF relay network, where two nodes communicate with each other either directly or cooperatively via N access point relays node occupied with Q antennas is employed. TDM multiplexing was utilized in the relay to ensure consecutive transmissions through the network. Specifically, new selection scheme SBS-AF and analyzed the impact of number relays and number of antennas and the average received SNR on the energy efficiency, the outage probability and SER in i.n.d channel characteristics is proposed. The analysis was used to derive new closed-form expressions of the outage probability SER and valid for N numbers of relays. For high SNR regime new asymptotic expressions to obtain the diversity order and array gain is obtained, which are important parameters for the design of an energy efficient wireless distributed networks. From the result, it is clear that the energy efficiency decreases with number of relays and antennas according to L+1. Finally, the impact of the relay location on the energy efficiency and SER is studied. Our results revealed that the SBS-AF scheme achieves the best energy efficiency than the other fixed.
6. APPENDIX A
Using the identity:
Re-write the cdf of X as:
where L N Q .
By substituting (B.2) and (3.17) into (3.16) with some algebraic manipulation, the cdf of wq as:
Solving a1 by the identities in 8, 3.381.3] and [8, 8.352.4], the expression is obtained
A2 is solved with the help of the generalized power series expansion for the exponential function in [8, 1.211.1] and for Γ(n; t), the first order taylor series expansion is obtained as in:
Substituting (A.5) in (19) using the integral in (20), then applying the identity in (A.1) after some algebraic manipulation, yields to the expression in (38).
7. REFERENCES
[1] Q. Li, Y. Yang, W. K. Ma, M. Lin, J. Ge and J. Lin. Robust Cooperative Beamforming and Artificial Noise Design for Physical-Layer Secrecy in AF Multi-Antenna Multi-Relay Networks. IEEE Transactions on Signal Processing, 2015 63( 1): 206-220.
[2] Kyeong Jin Kim and T. A. Tsiftsis. On the performance of cyclic prefix-based single-carrier cooperative diversity systems with best relay selection. IEEE Transactions on Wireless Communications, 2011, 10(4).
[3] A. Almradi and K. A. Hamdi,. Ergodic Capacity Analysis of MIMO Full Duplex Relaying with Imperfect CSI. IEEE Conference on Global Communications GLOBECOM, 2015: 1-6.
[4] T. Hesketh, R. C. de Lamare and S. Wales, Joint Partial Relay Selection, Power Allocation and Cooperative Maximum Likelihood Detection for MIMO Relay Systems with Limited Feedback. 77th IEEE Conference on Vehicular Technology(VTC), 2013: 1-5.
[5] C. Choudhuri and U. Mitra, "Rate bounds for relay channels using MIMO methods. 2010 44th Asilomar Conference on Signals, Systems and Computers, 2010: 1330-1334.
[6] Qiang Gao Jun Zhang, Li Fei and Xiao-Hong. Energyefficient multihop cooperative miso transmission with optimal hop distance in wireless ad hoc networks. IEEE Transactions on Wireless Communications, Oct 2011, 10(10): 3426-3435.
[7] C. C. Hu, G. F. Liu and B. H. Chen. Joint Relay/Antenna Selection and Precoding Design for Two-Way MIMO Amplify-and-Forward Relaying Systems. IEEE Transactions on Vehicular Technology 2016,, 65(7): 4854-4864.
[8] Liu, J., Shroff, N. B., & Sherali, H. D. Optimal power allocation in multi-relay MIMO cooperative networks: Theory and algorithms. IEEE Journal on Selected Areas in Communications, 2012, 30(2): 331-340.
[9] M. Zhao, X. Gu, D. Wu and L. Ren. A two-stages relay selection and resource allocation joint method for d2d communication system. IEEE Conference on Wireless Communications and Networking. 2016: 1-6.
[10] Ha, H. K., Tuan, H. D., & Nguyen, H. H. (2013). Joint optimization of source power allocation and cooperative beamforming for SC-FDMA multi-user multi-relay networks. IEEE Transactions on Communications, 2013,61(6):2248-2259.
[11] T. K. Y Lo, Maximum ratio transmission. IEEE Transactions on Communications, Oct 1990, 47(10): 1458, 1461.
[12] I. S. Gradshteyn and I. M. Ryzhik, Table of Integrals, Series, Products, New York NY, USA: Academic Press, seventh edition, 2007.
[13] I. B. Collings M. R. McKay, A. J. Grant, Performance analysis of mimomrc in double-correlated rayleigh environments. IEEE Transactions on Communications, 55(6):25-34.
[14] P. A. Anghel and M. Kaveh, Exact symbol error probability of a cooperative network in a Rayleighfading environment. IEEE Transactions on Wireless Communications, 2004, 3(9): 1416-1421.
[15] J. G. Proakis. Digital Communications. Prentice-Hall, fourth edition, 2011.
[16] I. A. stegun M. Abramowitz, Handbook of Mathematical Functions with Formulas, Graphs, Mathematical Tables, New York NY, USA: Dover, tenth edition, 1972.
[17] G. Lim and L. J. C. Jr, "Energy-efficient best-select relaying in wireless cooperative networks, IEEE Transactions on Communications, 2012, 6(3), 12-20.
[18] G. B. Giannakis Zhengdao Wang, A simple and general parameterization quantifying performance in fading channels. IEEE Transactions on Communications, 2003, 51(4).
[19] Crossbow Corporation. Mica2 datasheet [eb/ol]. 2008. www. eol. ucar. edu/rtf/facilities/isa/internal/CrossBow/ DataSheets/ mica2. pdf.
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15 July 2014 Vol 77 No 2 Free On Request: email@example.com
Abp Freier To Lead Anglican Church In Australia
THE Archbishop of Melbourne, Dr Philip Freier, has been elected Primate of the Anglican
On Friday 4 July many Christians and people of goodwill peacefully demonstrated at a rally in Martin Place, Sydney, against the shocking kidnapping of over 300 Nigerian girls.
Church In Australia, succeeding Dr Philip Aspinall, Archbishop of Brisbane.
Nigerian Pastor
Joshua Opadia
addressing the Rally.
Dr Freier believes that sus taining a national presence and strengthening the church's con tribution to rural communities are among the most important challenges facing the Anglican Church today.
'I look forward to the oppor tunity of working with the church around the country. The church across its parishes, schools and service agencies makes a powerful contribution to Australian society,' Dr Freier said. –The Melbourne Anglican
Rev Fred Nile said: 'Nearly 300 school girls have been kidnapped by the Boko Haram ter ror organisation in Nigeria in recent months. Boko Haram means followers of the Sunna, a group of people of the Sunna for DAWA and
JIHAD. Dawa means the proclamation and evangelisation of Islam and Jihad means Holy War. The Boko Haram leader is a fanatical Islamist who preaches the example and teachings of Mohammad, the founder of the Muslim religion in the 7th Century AD. This fanatical leader has said that they are holding the girls as slaves and will sell them in the market. Boko means book and Haram means for bidden or prohibited. Therefore the name means secular Government education is prohibited for Muslims, or that "Western education is sinful". In videos obtained from militant Islamic groups, leaders in Australia are quoting "This is a war against Christians" and "Real Muslims should support the militants and KILL, KILL, KILL".'
The Rally supported calls to Islamic Muslim leaders in Australia to stop their young people going to fight in Syria and Iraq and to promote democracy and sup port the Australian Constitution which states 'Humbly relying on the blessing of Almighty God'. They joined together to call on Christian Pastors and Church Lead ers to stand up for our faith, for Jesus Christ the Son of God, our Saviour, the King of kings and Lord of lords, saying that as Christians we wish to win Muslims for Christ, to oppose any Islamisation of Australia and support persecuted Christians.
Caution Needed On Same-Sex Parenting Study
'A WIDELY reported Melbourne study has found that children raised by samesex parents are healthier than those in the general population – but this result should be treated with great caution,' FamilyVoice research officer Ros Phillips has said. 'The study design has serious methodological flaws.' Ros Phillips pointed out that:
* The gay and lesbian parents were not randomly selected – rather, they volunteered.
*The children were not independently assessed – their own parents reported on their progress.
* The leader of the research team is raising two young children with his male partner.
* At least two other members of the fivemember team are also reported to be raising children in samesex relation ships.
* The authors have failed to acknowledge these conflicts of interest in their published paper.
'Volunteer bias is a major problem with the study,' Ros Phillips said. 'Samesex couples whose children have health or behaviour problems would be most unlikely to volunteer. Those who did volunteer, knowing that the re sults could be used to further the gay lobby's agenda, would be reluctant to report unfavourably on their children's progress. The fact that at least 60% of the research team were themselves raising children in samesex relationships would suggest that the motivation for the study may have been partly political. Its findings have been published at a time when debate on a Greens bill to recognise foreign samesex marriages is likely to resume very soon.
'To quote a former high school pupil of mine, "It sounds suss",' concluded Dr Phillips.
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Hillsong 2014: No Other Name!
NO OTHER NAME! Could we find a better theme for a conference than that? I doubt it. Especially in a day when large numbers of church people, both leaders and followers, compromise Christ by outwardly proclaiming universalism in its many guises or by quietly going along with them and privately holding such beliefs themselves. Whatever criticisms some might have of the Hillsong movement, No Other Name is a perfectly worthy theme for their conference. And what I heard preached in the two sessions I attended was worthy of that theme. More particularly what I heard was worthy of the One whose Name was proclaimed – in word and song.
It is worth remembering that Hillsong is not the first skin of new wine to have burst on the Christian Church. One thinks of the birth of Christianity itself. Gamaliel shared his wisdom with the Sanhedrin when he said: 'I ad vise you: leave these men alone! Let them go! For if their purpose or activ ity is of human origin, it will fail. But if it is from God, you will not be able to stop these men; you will only find yourselves fighting against God.' (Acts 5.38,39). Remember the ejection of the Nonconformists from the Estab lished Church in the 17th Century, the rejection of the Methodists in the 18th Century, the initial hesitance regarding Billy Graham in the 20th Cen tury until the converts started filling vacant pews and an army of young men began offering themselves for the ministry.
We could do well to maintain a watching brief for the present, but mean time there's a lot to like about Hillsong. I travelled out to the venue on a train filled with excited young people who themselves were filled with joy and anticipation at what the meeting would bring. When we arrived, a young man was singing Just As I Am in the outside overflow area. It brought back memories ... A crowd of 20,000+ had gathered in one of Syd ney's largest venues to praise and worship God, pray and hear His Word. All around there were people of all ages wearing tee shirts, variously proclaim ing: Love All/ Serve All; No Other Name; Jesus! They also serve, who simply wear a tee shirt. All ages were catered for with welldesigned programs led by enthusiastic presenters. Imaginative ways were employed in getting the message across, such as a book for sale titled No Other Name. Inside the front cover was one word: Jesus! The next 200 pages were blank. Get it? The joy of the Lord was much in evidence.
There are some ministries and some ministers I can think of (myself in cluded) who would do no damage to the work of the Kingdom if they/we were somewhat revitalised in their/our own lives and work.
Last year's conference took the theme Glorious Ruins, looking at the Bible, Ezra in particular, to see how the Lord could 'revive His work in the midst of the years'. Next year's conference is titled: Speak ... We're Listen ing! Now that'll be one to watch! – Bob Thomas
MATTERS FOR PRAYER
PAPUA, INDONESIA: Desperate For Change
INDONESIANS went to the polls on 9 July to elect a new President. After 14 years of heartbreak, Papua's longsuffering predominantly Christian ethnic Melanesians are yearn ing for change. During Suharto's 32year 'New Order' dictatorship, a brilliant and highly cultured Muslim cleric by the name of Abdurrahman Wahid (19402009) rose to promi nence as a staunch defender of human rights, ethnicreligious minorities and Indonesia's secular tradition. In 1999 he became Indonesia's first democratically elected President. Wahid embarked on a program of ambitious, radical reforms. His commitment to military reform enraged not only the Indonesian military (TNI) but all the corrupt business and po litical elites who had long reaped financial gain from TNI business. During 2000 Wahid commenced work on a Special Autonomy Law for Papua. Created in consultation with Papuans, it mandated (amongst other things) that most of the revenue earned from Papuan resources would be returned to Papua to improve health, education and other services. Enraged, the TNI (which is heavily invested in Papua) accused Wahid of support ing separatism, evoking the memory of East Timor. Indonesia's Islamic fundamentalists were also antiWahid, for not only did he seek to protect the rights of Christians, he openly supported Israel.
PLEASE PRAY THAT GOD WILL:
Unfortunately, Wahid was also disorganised and unpredictable with a knack for alienat ing colleagues. By 2000 powerful forces were aligning against him, conspiring to have him impeached. Violence soared, especially in Maluku where the TNI was openly arming and supporting the Laskar Jihad and in Papua where the TNI was provoking 'incidents' so it could claim to be fighting 'separatism'. Terrorism escalated and the nation seemed to be wracked by insecurity. After Wahid was impeached on 23 July 2001, his successor, Megawati Sukarnoputri, set about emasculating the Special Autonomy Law. Megawati's term was followed up by two terms of Susilo Bambang Yudhoyono, during which nothing was done to restore the confidence of the Papuans. JavaneseMuslim colonisation, mili tarisation and Islamisation proceeded apace, along with poverty, marginalisation, corrup tion and gross human rights abuses. Papuan hope faded until eventually, Special Autonomy was declared dead, replaced by a revived yearning for independence. [Indone sia will not allow independence as Papua is simply too resource rich.] During 2013, in a last bid effort to secure a legacy, SBY engaged with Papuan governors to hammer out a new Special Autonomy law: 'Otsus Plus'. SBY had hoped to have it enacted by August 2014 be fore his term expires in October 2014. However, the situation is far too complex for that, especially after decades of betrayal, neglect, persecution and serious, systematic human rights abuses inspired by greed and ethnicreligious hatred.
* use this time of presi dential transition in In donesia to stir up international convic tion and consensus that the situation in Papua is absolutely unaccept able and must change; • awaken and energise the Church to advocacy and intercession (advo cacy to the highest au thority) on behalf of our gravely threatened Papuan brothers and sisters;
* flood Papua's civic and religious Christian leaders with divine wis dom, strength and grace, to lead the peo ple according to God's will;
* intervene in Indone sia, in Papua, to change the situation radically – to 'turn back the bat tle'.
Papuans have long suffered at the hands of Indonesian security forces. Killings, tortures and arbitrary arrests are routine, as are military 'sweeps' in which hundreds of Papuan families are driven from their villages and subsistence farms into the inhospitable jungle. Papuans are also targeted for aggressive Islamisation. One of the most insidious methods to come to light in recent years is the seduction or abduction of Papuan children who are then taken to Java, held captive in Islamic boarding schools, forcibly converted to Islam, given Muslim names and indoctrinated in puritanical Salafi Islam. Years later, once these Papuan youths are fully Islamised, they are returned to Papua as Muslim missionaries. Those who have escaped from the Islamic schools tell of harsh condi tions and cruel punishments. The number of children affected is believed to be in the thousands. Furthermore, it is evident that knowledge of this practice reaches right up into the highest echelons of Indonesia's political elite who tolerate this criminal activity as it serves a political end: Islamised Papuans are less interested in independence. It appears that organised human trafficking rings are involved, including a small but active network of agents and mid dlemen who seek out vulnerable children and then bring them to the Islamic boarding schools. Investigative journal ist Peter Bachelard comments, 'It's not known who might be funding this, but there is a suspicion that oil money from Saudi Arabia may play a role.'
Papua's predominantly Christian, indigenous Papuans desperately need change. However, it is highly unlikely that Islamists or the TNI or all the corrupt business and political elites who reap financial gain from Islamist and TNI business in Papua will simply give up their ambitions and economic rewards for the sake of those widely regarded as 'black infidels'. If change is to come to Papua, it will require profound conviction and commitment in Jakarta backed (or even generated) by a profoundly convicted and committed 'international community'. – Elizabeth Kendal
TELLING THE OLD, OLD STORY TO THE THESSALONIANS
Church Opposes Distribution Of Scriptures In Greece
ALMOST 300 volunteers from Greece and around the world are gathering in Halkidiki just outside of Thessaloniki in Northern Greece, preparing for a week-long, major summer project. The participants are coming from as far afield as Australia, Iceland, South Africa, New Zealand, Romania, Canada, the UK and the USA. Their purpose is to distribute modern Greek New Testaments to some 150,000 homes. Very few Greeks own a Bible and even fewer have ever read a modern Greek translation. So you would think that the powerful Greek Orthodox church would be rejoicing at the prospect of a national spiritual impact and the opportunity to make the Scriptures available to the common people.
Not so. A press statement was posted on 27 June on the official Greek Orthodox Church Archdiocese website warning the public of 'Hellenic Ministries, a neo Protestant group that will once again be involved in a widespread proselytizing effort with the excuse of passing out New Testaments!' They remind the Greek audience that, 'the Greek people are the only body of Christ (the Orthodox State Church) and that Greece doesn't need modern heresies or "self-ordained" (Evangelical) preachers.'
In the latest Hellenic Ministries monthly prayer letter, Johnathan Macris, President of the mission asks supporters to, 'Pray that God will turn their negative intentions into positive publicity.' He asks people to pray for a blinding of church clergy to the press statement and that instead of stirring up opposition it will create much interest and even support for the project.
Included in the Bible gift packets are an audio version of the New Testament and a testimony from a Greek pastor. (Cont. p.5)
Archbishop Of Canterbury To Visit Melbourne
THE Archbishop of Canterbury, Justin Welby, will
attend the installation of Archbishop Philip Freier as the new leader of the Anglican Church in
Australia at a service in Melbourne next month.
Archbishop Welby, spiritual head of the world's 70 million Anglicans, is making a flying visit to Australia so he can attend the service at St Paul's Cathedral on 13 August.
Archbishop Welby, who will preach at the service, will arrive in Melbourne late on 12 August from the Solomon Islands, and fly to New Zealand on 14 August. The 105th Archbishop of Canterbury, Archbishop Welby is making the first visit to Australia by an Archbishop of Canterbury since George Carey in 1997.
BUT THE WORD GOES OUT ...
(From p.4) Also included is contact information for the mission, an Alpha Course contact and a letter encouraging people to attend the church of their choice.
Johnathan Macris, Son Of Costas
Johnathan Macris is the oldest child of well-known Greek evangelical missionaries, Costas and Alky Macris. Costas was one of the four missionaries sentenced by the Greek courts to six months imprisonment for giving a New Testament to a 16-yearold boy. The subsequent international outcry led to the sentence being overturned. The 'boy' is now in full time missionary work serving as director of a major evangelical relief agency. Johnathan was exposed to all facets of mission life and work as a
Johnathan Macris, President of Hellenic Ministries, Athens, Greece
missionary kid including mechanics, jungle trips, visiting and caring for the sick. He spent the first 16 years of his life in the jungles of Irian Jaya, and accepted Christ at the age of six at a mission boarding school there.
His family returned to Greece in 1979 where Costas established a vibrant new missionary outreach to the Greeks called Hellenic Missionary Union (since renamed Hellenic Ministries). Johnathan continued his education at Moody Bible Institute, from which he graduated in 1985. During this time, Johnathan gained further ministry experience through many Chicago-area ministries such as Open Air Campaigners, and Inner City Impact. Following the successful completion of his education, he returned to Greece. He eventually went on to complete ministerial studies and was ordained as a minister of the Gospel in 1994 through the Wheaton Bible Church. Since the birth of the Hellenic Ministries Johnathan has been vitally involved in the mission's emphasis of evangelism and church planting.
While the burden for evangelism and discipleship continues to mark HM's priorities, Johnathan is emphasizing the need for HM to fulfill its role and call to raise up, equip and send Greek workers into the harvest field of world missions. The summer of 2004 was a milestone in ministry. HM launched Operation Gideon during the summer Olympics in Athens. It was among the largest evangelistic campaigns ever held in Greece. HM is currently involved in evangelism, social work, missions and youth ministries.
Operation Joshua is a summer project to place copies of the New Testament in modern Greek in one million homes throughout Greece. The project is gaining momentum. For many Greeks this has been the first time in their lives that they have ever read the Bible and the first time they have ever seen a Bible published in modern everyday Greek. The impact has been enormous and for many people the entrance of God's Word has brought light and understanding.
Perhaps its most significant ministry at present is reaching out to the thousands of Muslim refugees pouring into Greece trying to get into Europe. Most of them are stranded and homeless. HM's refugee centre and staff is reaching out to these needy people with food, medical assistance, legal aid and a place to wash their clothes – and the Gospel.
For more information go to: www.hellenicministries.com
– Nico Bougas, Special to ASSIST News Service
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NEW LIFE – 15 July 2014 – Page Five
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INTERNATIONAL NEPAL FELLOWSHIP
Aussies Help Transform Lives In Nepal
INF Australia is helping to transform the lives of poor and mar ginalised Nepalis living in the country's remote western district of Jumla.
'Over the last five years, a strong relationship has formed be tween people here in Australia and a remote district in the far north west of Nepal – Jumla,' says Phil Morris, CEO of INF Aus tralia. 'Through the prayers and giving of people across Aus tralia, INF's community health and development work has changed the lives of thousands of people and seen many come to faith.'
Jumla is one of the poorest places on Earth and INF's commu nity health, development and rehabilitation programs bring help and hope to people with no other means of support. In the last year, supporters in Australia and the Australian government have given $230,000 for INF projects in Nepal.
Sanpuli Village, Jumla, is a great example of the work INF Australia is supporting. When INF field work ers first arrived in Sanpuli three years ago the public entrance to the village was essentially a place for many of the 1000 plus residents to defecate. It was filthy, unhygienic and wasted land that could have been growing crops. Many husbands, unable to find work locally, left their families each year to find em ployment in India. School attendance was poor and women felt they had little say in the running of the community.
Over the past three years INF's Community Mobiliser has worked steadily to encourage the develop ment of seven SelfHelp Groups. This model enables and empowers community members to work to gether to develop and implement action plans for the benefit of the entire village. Today green fields full of crops surround Sanpuli Village, a bridge has been built by the community, a water mill, a drainage sys tem through the town, toilets for each household, and clean drinking water taps. INF has also worked with the community to improve school attendance, nutrition and assist in setting up income generation pro jects. These have seen women empowered, and more men stay in the village for work. The projects have largely been paid for by a savings scheme developed by the SHGs.
'It's a privilege to be a part of seeing people's lives transformed,' says Phil Morris. 'INF is not a church planting organisation, but it helps to create the environment where the church can flourish. Seeing small churches and fellowships spring up in remote villages is a huge answer to prayer.'
Please pray for INF's work in Jumla. To help financially, contact INF Australia: ausoffice@au.inf.org or head to the website www.inf.org/givingasiapacific/infaustralia and select Jumla.
TURN BACK THE BATTLE: Isaiah Speaks to Isaiah Speaks to
Christians Today. With persecution escalating globally, Elizabeth Kendal calls us to revisit the prophecy of Isaiah, maintaining that Isaiah 1-39 provides an unambiguous treatise on how God's people are to respond to persecution, suffering and existential threat. For purchasing options, visit:
www.turnbackthebattle.com
You're welcome at The Faith Factory: St Kilda Presbyterian Church, Cnr Alma Rd/Barkly St. Every Sunday 11am & 7pm;
Living Stones Korean Presbyterian Church. Every Sunday 12.30pm; St Margaret's, Balaclava, Cnr Hotham St/Denman Rd. Every Sunday 9.30am. Minister: Rev Bob Thomas 0417 592 646
You're Welcome At The Faith Factory – A Friendly, Caring, Bible-Believing Christian Fellowship –
VIEWPOINT
How To Avoid Unconscious Incompetence
WHO doesn't want to be wise and balanced in their Christian life? Particularly as we grow older, we appre ciate good judgment more and more, and we take note of those who clearly have it.
In our working life we should understand our competence, and work within those limits. More trouble comes out of people working outside the area they are competent to work in than anything else. For ex ample, would you allow a physiotherapist to diagnose and treat your heart complaint? Of course not! It does not matter that the physio takes the title 'Dr', it is out of their area of competence, and I am confi dent that the physio would tell you so.
But in matters of the soul we may often take our advice from a multitude of sources, and we may not be too fussy about the competence of those who push themselves forward to advise us. Go to many a Chris tian bookstore, and you will see a host of smiling faces on the front covers of glossy books just waiting to tell you their secret of success. Some of this is pure poison, but how would we know?
Professionals know that the most dangerous people at work are those who are 'unconsciously incompe tent'. These are the people who don't know what they 'don't know'. We all know the old saying: 'the blind leading the blind', and its source in Matthew 15.14. It is a pathetic picture isn't it? Two people groping their way along a pathway, and both blind. One is full of confidence so decides that leadership must be theirs to exercise, and take the title 'Guide'. They both end up in the pit!
When we exercise pure natural ability, confidence, and cleverness in the Christian life, we might stand out from the crowd, and some people might follow us. But it is such a dangerous place to be. God's ser vants have always been reticent to stand up to lead, knowing their natural weakness, and knowing that they lack wisdom and knowledge. This drives them to seek it from the Lord, and as they set themselves to become lifelong learners of Him, they are marked out by a deep and unshakeable hunger to read the Scriptures, to learn of Christ, and to pray.
The three 'friends' of Job took it upon themselves to rebuke Job for sin. Their reasoning was that their opinions were just as valid as Job's, and Job's terrible suffering could only be the result of God punishing Job for some secret sin. They did not know the complete picture, because that was only revealed to the readers of Scripture at the beginning of the book, and then to the friends and Job at the end.
If we would be wise and competent in spiritual matters, we need to be immersed in Scripture above and beyond anything else that we might be tempted to consult – not just ministers, but ALL of us. God makes us wise when we seek Him, and study His precious Word. Then, and only then will we be able to spot the spiritual 'snake oil peddlers' before we are taken in. – David Morris, Melbourne
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the knowledge of God and therefore of ourselves.' – David Cook Eight chapters, each with study questions.
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'Calling The Feminine Heart To Mission' – African Enterprise Mission Trip
AFRICAN Enterprise Australia Director of Partnership and Youth Programs, David Lancaster and Sonya Hemsley, AE's Marketing and Communications Specialist accompanied women from Victoria and New South Wales on a short term mission trip to Kenya in June. They saw some latrines and wash ing stations provided by AE Australia, giving muchneeded sanitation to hundreds of the many thousands living their whole lives in the Korogocho slums. They met women at the Mathare Women's Project whose lives have been turned around by being trained in tailoring. The intake this year in cludes Muslim women and deaf women. Penina, a graduate of a previous year, demonstrates marketing and sales skills by her continued involvement at Mathare.
The clinic in the Soweto Kayole slum helps thousands of people with quality medical care. Pacific Hills Christian School donated money for an ambulance in 2011. The life of one woman, Maggie, has been turned around by the love she received. She now cares for 50 orphans.
For four days, ten of the group went to Malawi, meeting Enoch Phiri and Stephen and Rachel Lungu, connecting with the Malawian FoxFires who visit schools to present the Gospel. They saw the tailoring project which brings women out of poverty. Material was presented to each woman so they can make their graduation dress. The other eight in the group went to Rwanda, visiting AEE Rwanda Centres in Ki gali and Rwamagana. 25,000 selfhelp groups are facilitated by AE and two groups of 20 women shared their stories. A kindergarten and Catchup school which AE began is now run by their communities. The Centre for Champions provides young people with training for a future with hope.
This womenonly mission trip was a first for AE Australia but all were inspired and challenged by their experiences. The aid and development projects were wonderful, but the testimonies of those who are now followers of Jesus proves that AE's mission statement to 'Evangelise the cities of Africa by word and deed in partnership with the church' is being maintained well. http://africanenterpriseau.tumblr.com/
We're Encouraged!
One Of Australia's Major Mission Agencies has advised us they send each edition of New Life around to everyone in the office and to the members of their National Council.
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GOOD NEWS FROM ABROAD
The Good Samaritan Lives!
JOSSIE CHAKO, Founder and President of Empart Mission To India, tells a story of modernday Good Samaritans:
Remember the story Jesus told about the Good Samaritan? Well, not long ago, Sapan (not his real name), a business man, who'd just com pleted some business in Nagaland, decided to try his luck in Assam. Un beknown to him, however, tragedy was about to strike.
Arriving in town he was mobbed by a group of people. They took all his belongings, leaving him half dead beside the road. Very soon he was
found by the police and taken to hospital. He was left very bruised. Being far from home he had no one to care for him. He was all alone and crying for help. Seeing his pathetic state no one dared to help him in the hospital. How ever, he was noticed by a Godly lady who showed him compassion. She and her husband took care of him. They paid all his bills and took him to their home. Within a month he regained his health.
Maithili New Testament Recordings Nearly Complete THERE'S reason to rejoice in South Asia. One of the region's 500+ languages is about to gain access to God's Word. According to Audio Scripture Ministries, Maithili New Testament recordings are nearly complete.
In the meantime the seed of the Gospel was planted in his heart. He thanked his rescuing fam ily and promised to return. Within a month he re turned and declared his faith publically through baptism.
Between 30 and 50 million people in eastern India and Nepal speak Maithili, and the language is mostly used by high-caste (Brahmin) Hindus. High-caste Hindus have a large influence on India's culture and language, and 'non-Brahmin' speech is generally regarded as inferior.
It was the compassion of this couple that led Sapan to realise the love of Jesus in his life.
Audio Scripture Ministries helps non-readers have access to God's Word with audio recordings of the Bible in their heart language. In a tough world, God's Word in audio can provide some hope and the knowledge that there is a God who loves them.
So who 'was a neighbour to the man who fell into the hands of robbers?' (Luke 10.36). Indi rectly, it is you, as you have faith and continue to pray for the people of India and Nepal. Thank you. Miracles are happening in answer to your prayers!
Visit www.empart.org/PrayerGuide to view online or download a printable PDF. To receive the Empart Prayer Guide via email, go to:
email@example.com
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Going on-line has breathed new life Into New Life. Being able to send it free on request by email has opened our ministry up to everyone, everywhere, who wants to receive it. BUT We DO have expenses AND
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PERSECUTION WATCH
KENYA – Extremists Kill More Than 30 In Brutal Raids
MORE than 30 Christians have died in a spate of brutal attacks on predominantly Christian areas in Eastern Kenya. The first attacks came on Saturday 5 July, when suspected Islamic extremists raided Hindi village in Lamu County and Gamba, a village in neighbouring Tana River County.
Assailants armed with guns and knives killed at least 13 people in Hindi in a fourhour attack during which homes and a church were set alight. One survivor described how her husband was tied to his bed and their house set alight. Eyewitnesses said attackers had told nonMuslims to leave the area or convert to Islam.
In Gamba gunmen stormed a police station and freed at least one prisoner held in connection with the massacre in Mpeketoni last month. Five nonMuslims at the station who would not recite the Islamic conversion creed were killed. Government officials told Reuters that at least 20 people were killed in Gamba that night.
Then, on Monday, two Christians died when Covenant Church near Hindi was set alight soon after a Bible study. A church in Gamba was destroyed the same night. Gamba is about 28 miles and Hindi 12 miles from Mpeketoni, a pre dominantly Christian town where gunmen killed at least 57 people on 15 June. Al Shabaab militants linked to neigh bouring Somalia have claimed responsibility for the attacks – although the Kenyan Government believes the killings may have been 'politically motivated'. (Source: Morning Star News)
Pray that God will comfort the bereaved and heal all those injured in these latest attacks. Pray that churches in this area of Kenya will hold fast to God's promises and know His presence. Pray for wisdom for all church leaders, and that the authorities will work with them to protect these vulnerable communities.
News Update:
Two more members of Nanle County Christian Church in China's Henan province have been released from deten tion, following Pastor Zhang Shaojie's sentencing for 'fraud' and 'gathering a crowd to disrupt public order'. Zhao Guoli and Wu Guishan were reportedly released on Saturday, having been detained since 15 November. Four other members of the church remain in custody. Pray for the release of all remaining detainees and that Pastor Zhang's sentence would be overturned. (Source: China Aid)
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CHINA: Pastor Zhang Shaojie sentenced to 12 years in prison.
LAOS: Christians arrested; falsely accused of murder.
TANZANIA: Pastors charged with blasphemy.
KAZAKHSTAN: Criminal case against pastor continues as new criminal code signed.
CUBA: Government demolishes house church.
ASSYRIA: Christians demand protection.
CHINA: House church persecuted after outreach.
IRAQ: Christians on the run, endangered and in need.
INDIA: Christian convert couple killed; 250 Christians made homeless.
EGYPT: Christians jailed for 'blasphemy' and 'disturbing the peace'.
NIGERIA: Christians killed at worship, churches torched in suspected Boko Haram attacks.
VIETNAM: Bible school students beaten in nighttime raid, interrogated by police.
INDONESIA: Church attacked by masked Muslims dur ing service.
SUDAN: Authorities demolish church building; mosque left standing.
UNITED KINGDOM: British Christian National Health
Service Manager suspended for praying with Muslim colleague.
NIGERIA: Boko Haram strikes again but Christians per severe on two fronts.
PAKISTAN: Christian teenager raped and killed.
KENYA: ALShabaab attack targets Christians.
NEPAL: Police arrest 40 Christians following pressure from Hindus.
EGYPT: Christians kidnapped in Egypt as Islamist vio lence continues.
BHUTAN: Targeted pastor charged with illegally col lecting funds.
PAKISTAN: Prayer asked for Christians' Safety. UNITED KINGDOM:
First western country to sell Shariacompliant bonds.
IRAQ: Church being eliminated as Christians flee.
NORTH KOREA: South Korean missionary sentenced to life in hard labour.
IRAN: Pastor Irani returned to prison.
EGYPT: Christian gets sixyear jail term for 'liking' Face book page.
MALAYSIA: Christians forbidden to use the word 'Allah'.
HERE, THERE AND EVERYWHERE ...
Top Lineup For Ridley Melbourne Theology Conference 2014
THE Ridley Melbourne Theology Conference will be held at the college on Friday and Saturday 1,2 August on the topic Paul As Pastor. Ridley Theology Conferences serve those in ministry, but will also appeal to the broader Christian community.
Robert Yarbrough, Professor of New Testament, Covenant Theological Seminary, will be the lead speaker. He will explore the pastoral horizons of Paul's letters and their continuing relevance for the church today. What can Paulthepastor teach pastors today?
The conference will also feature Sarah Harris of New Zealand and Brian Rosner (Ridley Principal). Along with Ridley Melbourne faculty there will also be speakers from five states of Australia, including the Archbishop of Sydney, Glenn Davies. Registration is essential. Go to: www.ridley.edu.au/RMTC
Salvos Support National Op Shop Week, 24 – 31 August
SALVOS Stores will again be partnering with the National Association of Charitable Recycling Organisations in cele brating the third annual National Op Shop Week to be held from 24 – 31 August.
General Manager of Salvos Stores Australian Eastern Territory Neville Barrett says, 'Over the last ten years we have seen a 75% increase in sales for Salvos Stores. With the rising cost of living now impacting on a large section of the community, people from a diverse range of socio economic backgrounds now shop at Salvos Stores'.
All proceeds from Salvos Stores go towards running vital Salvation Army programs which assist the less fortu nate. By shopping at and donating to Salvos Stores the community is also helping the environment by reducing landfill.
National Op Shop Week is a joint initiative of DoSomething! and NACRO. The week seeks to raise awareness of the importance of supporting op shops in our community.
Rev Dr Paul Barker Now Serving Langham Trust
THE Rev Dr Paul Barker has taken up an appointment as Regional Coordinator, Asia, for Langham Preaching, and Scholar Care Coordinator, Asia, for Langham Scholars. firstname.lastname@example.org Have Confidence To Share Your Faith!
DR John Anderson, who works as a parttime GP and speaks parttime for Creation Ministries International, knows only too well the importance of the origins de bate because he remembers his own uncritical accept ance of evolution as an atheist. He simply believed the 'proof' he'd seen in textbooks, and had no idea just how flimsy its foundation was. Now as a Christian, he sees clearly that anything other than a full acceptance of the Biblical account of a recent creation, followed by man's fall into sin, seriously undermines the Gospel message, and diminishes the uniqueness and glory of Jesus Christ. John will be in Melbourne on the last weekend of July with the following speaking engagements:
The Evolution Of A Creationist on Friday 25 July, 7.30pm, Connect Christian Church, 6 Bray St, Hastings. Genesis? What Difference Does It Make? Never Let the Facts Get in the Way of a Good Story on Saturday 26 July, 5pm, Connect City Church East, 1 Coral Dr, Hampton Park.
Creation—The Big Picture, Sunday 27 July, 10.30am, Moreland Christian Church, meeting at Pascoe Vale North Primary School, Kent Rd, Pascoe Vale.
The Evolution Of A Creationist, Sunday 27 July, 5pm, St Andrew's Presbyterian Church, 81 Edwardes St, Reser voir.
With Christ:
MISS Lily Lewis, the last surviving sister of New Life's longserving secretary Nesta Lewis, who turned 100 in January, was called Home recently.
Phillip Jensen Moving On
THE Dean of Sydney, Phillip Jensen, will leave his min istry in St Andrew's Cathedral at the end of the year. Mr Jensen took up the position in 2003 and during his min istry there has been numerical and financial growth. 'But,' he says, 'more importantly, the welcoming nature of the congregation, the seriousness of listening to God's Word, the concern for outsiders and the quality of our relationships have been significantly transformed.'
In accepting the Dean's resignation, Archbishop Glenn Davies paid tribute to the Dean, saying, 'Phillip Jensen has exercised an extraordinary ministry in the Diocese of Sydney for more than 40 years.'
Phillip Jensen will take up a position with Two Ways Ministries in 2015, which will involve the recruiting and training of 'the next generation in preaching the Gospel by teaching the Bible'.
Rikk Watts Back At MST – For One Night
DR Rick E. Watts, New Testament Lecturer at Regent College, Vancouver, will deliver a lecture on How Christi anity Changed The Ancient World at 7.30pm on Tuesday 15 July at Melbourne School of Theology.
www.mst.edu.au
(Continued on p.13)
HERE, THERE AND EVERYWHERE ...
Radio –The Reason Why
WE are living in the digital age with every form of communication available at our fingertips, so people sometimes ask: why Radio?
The answer? Because Radio still supersedes many modern com munication methods. It does not need expensive cables to run data like the internet, you don't have to pay to listen to it and it can reach for thousands of kilometres from its original transmission
point. Radios don't cost thousands of dollars like computers or phones and you are guaranteed a much better reception than you could ever get with your phone. It runs on inexpensive batteries or even solar power. Radio gives Reach Beyond (formerly HCJB) the best and most costeffective way to reach many people with the message of hope. Many of the communities that fall within broadcast range do not have access to all our modern day technology and still depend on the radio as their major form of information and communication.
So, even though we live in the digital age, many people still use their radios, especially in remote com munities where they have limited access to modern day technology. That is the reason why Reach Beyond uses Radio to reach into peoples lives.
Partner With Reach Beyond Australia
Contact Reach Beyond for more information regarding opportunities to serve or other ways to partner with them. Phone 1300 653 853 or email office@reachbeyond.org.au
(Continued from p.12)
Professor John Lennox At Ridley
PROFESSOR John Lennox of Oxford University, the internationally renowned presenter on the interface of science, philosophy and religion, will be speaking at a conference hosted by Ridley Melbourne on Sat urday 9 August from 10am to 4pm at GWAC, 800 Waverley Rd, Glen Waverley. Contact
http://www.eventbrite.com.au to register.
Divine Makeover – Women's Convention THE theme of the 9th Belgrave Heights Women's Convention is Divine Makeover, with Fiona Krelle, Di Warren and Dotty Duke as speakers. The confer ence will be held at Belgrave Heights Convention from 8.30am to 4.30pm on 13 September. For fur ther details go to: office@bhc.org.au
ESA Gathering
THE whole ESA Community is invited to The Gath ering at Gisborne (Vic) Church of Christ from 10am to 8pm on Saturday 9 August. Registration details are available from ESA at www.esa.org.au
Today's Christian Music, Inspiring Talk
www.96three.com.au
Phone: 03 5241 6550
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CDP Northern Tablelands Supporters Dinner THE Rev Hon Fred Nile MLC and Hon Paul Green MLC, of the Christian Democratic Party, will be in Armidale for an evening of fellowship, providing an insight into the CDP vision of NSW politics, along with a delicious meal. They will meet with support ers on Friday 25 July 2014 at 6pm in the Mung Hing Restaurant Conference Room, Cnr Beardy and Jessie Streets, Armidale. The cost is $22 per guest. RSVP by 23 July to Janet: (02) 6778 1315 or Lex: (02) 6775 3117.
Reach Beyond News
THANK God for the life of Meg Shedley who is with the Lord. Praise Him for the fruitfulness of Don and Meg's Ministry to the Aboriginal people and others in the Kimberly region. Their donation of the Bethel Property at Kununurra was the catalyst for Reach Beyond's short wave radio ministry.
Brent (Studio Manager) and Shelley (Technical Producer) Weeks are spending some time at Ku nunurra to familiarise themselves with the work.
Ramon A Williams – Worldwide Photos –
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NEW LIFE – 15 July 2014 – Page Thirteen
ROMANS: MOMENTOUS NEWS – DAVID COOK DAVID COOK
Two Images Of Jesus (Read Romans 9.30-10.21)
FOR REFLECTION:
TWO images are used here of Jesus. The first is that of 'a stumbling stone' (9.33) and the second is as 'the end of the law' (10.4).
WHY is provision, not achievement, such good news?
Augustine prayed, 'O God, demand what You will, but supply what You demand'. What does God demand? How does He supply this demand?
Israel stumbled over Jesus. Rather than finding refuge in Him, because they did not recognise that the Law was pointing forward to Him, Israel treated the Law as the means of their salvation. Paul's an guish for Israel is as a result of their choosing the wrong path. They chose to pursue righteousness by obeying the Law (9.31; 10.3) and therefore, did not submit to God's way of setting people right with Him.
Verse 2 tells us that although Israel is sincere and zealous (the qualities necessary for correctness in this postmodern world) yet she is wrong; for though zealous, Israel is igno rant (v3). Paul sets out the two ways of righteousness in verses 57. In verse 5, righteousness is by doing the Law and in verses 6,7 righteousness is not by human achievement but by God's provision. Christ does not need to be brought down (v6), He came down in the incarnation; He does not need to be brought up (v7), He came up in the resurrection; both of these are God's provision, God's gift of righteousness, and not as a result of human achievement.
All religions in one way or another can be categorised as achievementbased, but Biblical Christianity alone can be categorised as provision. Righteousness is something God requires and provides to all those who have faith in His Son.
Having faith in Jesus means having a particular conviction about Jesus: that God has raised Him from the dead (v9) and what the heart believes, the mouth confesses, that He is indeed Lord or God in the flesh (designated as such by His resurrection from the dead, cf. 1.4).
In verse 11, Paul quotes Isaiah, saying that anyone who has this conviction and confession of Jesus will never be shamed and that God only has this one way of putting people right with Himself. In verses 12 and 13, he says it is the same for everyone, Jews or Gentiles. Everyone who calls on the name of Jesus as God, because of His resurrection, will be saved.
Mittagong (NSW) Presbyterian Church
is seeking Committed Christian couples and singles to come and join us on intentional ministry service to touch lives for Jesus. Interested?
This is indeed momentous, transforming news. Think of all those who labour under the burden of re ligion whether it is Christian religion or not, it is equally tragic. To achieve God's righteousness is both an impossible task, and totally unnecessary, because Christ, our substitute, has met God's right eous requirements on our behalf. Religion is doubly tragic, impossible and unnecessary.
Contact David Hocking on (02) 4869 3118 or email: email@example.com
Content taken from 'Romans: Transforming News' by David Cook, published by 10Publishing, used with permission.
'The Law is a court of justice, but the Gospel a throne of grace.'
– George Swinnock (Quoted from Banner Of Truth Facebook page.)
NEW LIFE – 15 July 2014 – Page Fourteen
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TRUTH MATTERS – An Introduction To Christian Doctrine
A GROUP of ministers led by David Cook have written TRUTH MATTERS as an introduction to the cardinal doctrines of the Christian faith on the following topics: THE BIBLE: The Inspiration, Authority And Integrity Of God's Word; THE TRINITY: What It Is, What It Is Not, Its Application To Daily Life, GOD: His Char acter, Plan And Purpose; JESUS CHRIST: His Person And Work; THE HOLY SPIRIT: His Person And Work; SALVATION: Its Nature, Order And Outworking; HUMANITY: What Are We? What's Wrong With Us?; THE CHURCH: What Is It, What Is Its Part In The Purposes Of God?; For Further Reading.
Study questions are included at the end of each chapter, making this a valu able resource for individual or group study. The book is written with the aver age Christian in mind. It affirms the veracity, authority, relevance and sufficiency of the Scriptures of the Old and New Testaments and points its readers on to further study.
TRUTH MATTERS is available as an eBook from the Christian Education Committee, Presbyterian Church of Australia, firstname.lastname@example.org
Banner To Publish Electronically
QUOTABLE QUOTE:
THE Banner of Truth Trust has begun to make its publications available as eBooks. The first books to be released in coming weeks are:
*The Valley of Vision
* The Faith Shaped Life
* The Acceptable Sacrifice
* Discovering God's Will
* Indwelling Sin
* Peter: Eyewitness Of His Majesty
* When Christians Suffer
* Christ's Glorious Achievements
* Silent Witnesses
* The Christian's Great Enemy
No doubt further announcements will soon be
– Martyn Lloyd-Jones www.banneroftruth.com
made via their website:
'I CANNOT kneel down together with, and look up with people, one of whom is looking at Confucius and another at Mohammed and another at the Buddha, and another at some philosopher. I cannot! There is only One to look at; it is this blessed Son of God ... What is the value of talking about having things in common and claiming that we are all one, if there is any question about Him, as to whether He is Son of God or only man? If there is any doubt about it there is no unity, there is no fellowship. We must confess together that there is only one Saviour, only one Lord Jesus Christ, God and Man, two natures in one person, born of the Virgin Mary, crucified under Pontius Pilate, risen again. There must be no question about Him!'
(Ephesians – God's Way Of Reconciliation)
New Life Website: www.nlife.com.au
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BOOKS WORTH READING
CAN WE STILL BELIEVE THE BIBLE? An Evangelical Engagement With Contemporary Questions, Craig L. Blomberg, Grand Rapids: Brazos, 2014 ISBN 9781587433214
CRAIG Blomberg is Distinguished Professor of New Testament at Denver Seminary, where he has taught for the past 28 years. He is a mainstream Evangelical scholar who aims to be neither an obscurantist conservative nor one who caves in to critical scholarship. He seeks to remain true to the Bible and provide honest and intelligent answers to the difficult questions people pose about the truth of the Bible.
He looks at six areas of contemporary scholarship and explains how he still believes in the Bible. In the process, he debunks some current misunderstandings about what belief in the Bible entails and seeks to publicise exciting recent developments that fortify faith in the Scriptures. This is the kind of book that only a wellinformed and faithful scholar like Blomberg could have written.
The issues addressed are phrased as provocative questions, the first being: Aren't the copies of the Bible we possess hopelessly corrupted? This chapter responds to the claims of Bart Ehrman that there are widespread corruptions of the textual tradition, but, as Blomberg shows, the vast majority of textual variants do not alter the meaning of the text in a substantial or significant way. This controversy is a storm in a teacup! At the other extreme, are KJVonly exponents, who claim that it is a perfect representation of the autographs, and Blomberg also again counsels his read ers against this option.
The second provocative question is: Wasn't the selection of books for the canon just political? However, as Blomberg explains, the 27 books of the New Testament were not imposed by politi cal authority, but won the affection and confidence of early Christians because of their apostolic credentials and faithful teaching. The many books excluded (none of which date from the First Century) are not serious contenders for possible inclusion in the canon, despite some advocates for the socalled Gospel Of Thomas.
Can we trust in any of our translations of the Bible? Blomberg calls for a truce in the recent 'Translations Wars' within the Evangelical camp, for similarities far outnumber differences be tween the many translations in English presently available for purchase, despite the hype of cer tain publishing houses. He cites what he views as the unnecessary polarisation over the TNIV (2005) and the updated NIV (2011), due to disputes between Evangelical Complementarians and Evangelical Egalitarians.
Can we still maintain that the Bible is inerrant? Blomberg argues that the Scriptures are fully trustworthy, though there is debate over what might constitute an 'error', and he defends the Chicago Statement On Biblical Inerrancy as still useful in helping to define what an error might be. He shows that we are right to harmonise apparent contradictions, so long as we do not resort to unlikely or forced solutions. He shows the importance of genre in properly interpreting the Bible books and considers whether books like Job and Jonah might be parables rather than historical narratives. Blomberg urges that there be freedom to discuss the sometimes vexed issues of how to properly interpret the Bible, without witchhunts and namecalling. He warns that many peo ple have been turned off Biblical Christianity due to the overenthusiasm of some oneeyed apolo gists for the Bible.
The last hard question raised and answered by Blomberg is: Don't all the miracles make the Bible mythical? But science does not demand that one take an antisupernaturalistic stance and many welldocumented miracles can be cited. The miracles of the Bible have no true pagan paral lels, and those attributed to Apollonius of Tyana postdate the New Testament. None of the mira cles of the Bible are frivolous or random displays of power, but instead are connected to God demonstrating His reality in comparison to pagan gods or are signs of the inbreaking of God's Kingdom in the person of Jesus.
Throughout this book, Blomberg tries to strike a balance, addressing typical skeptical criticisms of Christianity but, on the other hand, urging believers not to react in an extreme way by labelling everyone as 'liberal' who does not agree with their own ultraconservative narrow views on non salvific doctrines. We find it dreadfully difficult to be balanced: upholding the truth but avoiding a judgmental and hypercritical spirit, but that is what Blomberg calls us to be, for that is part of Christlikeness. – Greg Goswell
'We find it dreadfully difficult to be balanced: upholding the truth but avoiding a judgmental and hypercritical spirit. But that is what Blomberg calls us to be, for that is part of Christlikeness.'
|
EC AGRICULTURE Research Article
Chitinase Activity of Biocontrol Fungi Isolated from the Golden Potato Cyst Nematode and their Antagonist Potential
Khadijeh Abbasi 1 , Robert Wick 2 * and Doustmorad Zafari 3
1Department of Plant Protection, Faculty of Agriculture, Bu-Ali Sina University, Hamedan, Iran
2Stockbridge School of Agriculture, University of Massachusetts, Amherst
3 Department of Plant Protection, Faculty of Agriculture, Bu-Ali Sina University, Hamedan, Iran *Corresponding Author : Robert Wick, Stockbridge School of Agriculture, University of Massachusetts, Amherst. Received: February 22, 2020; March 10, 2020
Published:
Abstract Chitin is the most abundant polymer in the nematode eggshell. Chitinases are widely distributed in fungi and play important roles in the degradation of chitin. This study aimed to screen the chitinolytic ability of fungi isolated from Globodera rostochiensis and to evaluate their biocontrol potential. One hundred and fifty-four fungal isolates were compared for their ability to degrade chitin by the N-acetyl-glucosamine-dinitrosalicylate method. Ten isolates with high chitinase activity were selected for further characterization. Of the 10 selected isolates, three chitinase enzymes were evaluated using three substrates. Based on the results of our chitinase assay, Beauveria bassiana, Lecanicillium muscarium, Paecilomyces sp. and Trichoderma atroviridae had the highest activity. We selected these four isolates to determine the optimum pH, temperature and reaction time. Zymography was also used to demonstrate chitinase activity of the four isolates. The biocontrol potential of 10 selected isolates was assayed in water-agar in vitro and under greenhouse conditions. L. muscarium had the most potential and Fusarium solani was the least based on the number of parasitized juveniles and eggs in water-agar. Greenhouse trials showed T. atroviridae and B. bassiana had the highest dry root weight and tuber yield. Keywords: Biocontrol; Chitinase; Enzymatic Activity; Fungi; Globodera rostochiensis
Introduction The golden cyst nematode, Globodera rostochiensis [1,2] is one of the most destructive pathogens of potato in the world [3]. Biological control of plant parasitic nematodes is a compelling management strategy given the loss of nematicides, and environmental concerns regarding chemical inputs in agriculture. Fungal antagonists are considered the most applicable for biological control of nematodes [4]. Tobin et al. [5] reported that Pochonia chlamydosporia resulted in good biocontrol of the potato cyst nematode. Lopez Lima., et al. [6] reported that G. rostochiensis decreased up to 89% in the presence of Paecilomyces sp.
Chitinases, glucanases and proteases are considered the most important lytic mechanisms for successful biological control of nematodes [7,8] Saifullah and Khan [9] reported that Trichoderma harzianum enzymatically penetrated cysts and eggs of G. rostochiensis. Santos et al. [10] demonstrated that N-acetyl-yß-glucosaminidase and proteases of P. chlamydosporia were involved in control of the potato cyst and root-knot nematodes. Parasitism of cyst eggs by fungi leads to immobility and death of the embryos, resulting in reduction of nematode population density. The degradation of nematode eggs is caused by enzymatic action. Knowledge of various aspects of chitinolytic enzymatic systems allows the development of new generations of chitinases and the design of better strategies for biological control [11]. Fungal chitinases are necessary for hyphal growth and they are also produced by nematophagous and entomopathogenic
06
Materials and Methods Fungal isolates: One hundred and fifty-four fungal isolates were recovered from infected eggs of G. rostochiensis, the golden potato cyst nematode, in Iran, in 2015. The fungi were maintained on PDA (potato dextrose agar) at 25°C. To determine the most promising isolates for biological control, the isolates were assayed for chitinase activity after 96h incubation with colloidal chitin.
fungi to aid infection [12]. Because chitin is a dominant component of the eggshell in nematodes, the use of chitinase producing fungi is a promising strategy for biological control of the golden potato cyst nematode [13]. In the present study, the ability to produce chitinase by various fungi cultured from the golden cyst nematode was undertaken.
N-acetyl-glucosamine-dinitrosalicylate assay: Colloidal chitin was prepared following the procedure of Tikhonov., et al [12]. For the liquid medium enzyme assay, isolates were grown in minimal synthetic medium (MSM) ([g l -1 ]: (NH4)2SO4, 2.8 urea, 0.6 KH2PO4, 4 CaCl2.2H2O, 0.6 MgSO4, 0.2 FeSO4.7H2O, 0.01 ZnSO4.H2O, 0.0028 CoCl2.6H2O, 0.0032) containing colloidal chitin (1 g l -1 ) [14]. After 96 h growth at 25°C the culture medium was filtered through Whatman filter paper No.3 followed by filtration through 0.2-mm Millipore polydifluoropropilene membranes. The filtrate obtained was analyzed for chitinolytic activity as described below.
Fungal parasitism of eggs and juveniles in water-agar medium: Ten isolates with the highest chitinase activity were selected to evaluate their ability to infect eggs and juviniles in 100 mm petri dishes of water agar. For each isolate, 10 mature cysts were sterilized with 0.5% sodium hypochlorite for 3 minutes, rinsed in sterile water and placed on water-agar medium at 5 cm from a 5 mm disc of the fungus and incubated at 25ºC for two weeks in the dark. Each challenge experiment was replicated 3 times in a completely randomized design. To evaluate infection of eggs and juveniles, 10 cysts from each challenge/petri dish were suspended in 30 ml of water and crushed to release the contents. The number of parasitized eggs and juveniles per 10 cysts were calculated and subjected to analyasis of variance (SAS, version 9.0).
Chitinase activity (U mg -1 ) was determined by measuring the release of reducing saccharides from colloidal chitin by the N-acetylglucosamine-dinitrosalicylate method described by Monreal and Reese [15]. The reaction mixture contained 200 μl 0.5% colloidal chitin in citrate phosphate buffer (0.05 M, Ph = 6.6) and 200 μl culture filtrate incubated at 37ᵒC for 1h. Reducing sugars were determined by adding 1 ml of dinitrosalicylic acid (DNS) to the reaction mixture, heated in boiling water for 5 min, cooled to room temperature, and centrifuged at 6,000 rpm for 5 min. Absorbance was measured with a spectrophotometer (UV-770 Brite, Canada) at 540 nm. Protein concentration (mg ml -1 ) was determined according to Bradford [16] with bovine serum albumin (Sigma-Aldrich, USA) as the standard. Chitinase specific activity was calculated from the rate of enzyme activity divided by the mass of total protein. Each reaction mixture was replicated 3 times in a completely randomized design. Chitinase activity was subjected to analysis of variance (ANOVA) by software SAS, version 9.0 (Statistical Analysis System Institute Inc., Cary, NC, USA). Of the 154 fungal isolates, 10 isolates with the highest enzymatic activity were selected for further characterization.
Evaluation of biological control under greenhouse conditions: The ability of the 10 selected isolates to biologically control of G. rostochiensis on potato was tested under greenhouse conditions. To produce fungal inoculum, 20g of soaked wheat seed were placed in autoclavable nylon bags with 40 ml water and autoclaved three times within 48h. Four 5 mm fungal disks from the selected isolates were used to inoculate each nylon bag. There were three replications for each isolate. The inoculated seed was incubated at 25ᵒC in the dark. The seeds were mixed every 48h to insure thorough colonization. For the study, 20g of infected seeds and approximately 100 cysts were placed together beneath a germinated Solanum tuberosum 'Marphona'. Each potato was in an individual pot with 5 kg of soil. There were 3 replications for each treatment and pots were distributed in a completely randomized design. After 90 days, results were evaluated by the following parameters: root length, root dry weight, plant height, shoot dry weight, number of tubers, tuber yield, and number of cysts in 100g soil. Data was subjected to analysis of variance (SAS, version 9.0).
07
The experiment was a randomized complete block design (RCB) with three replicates. Chitinase activity was subjected to analysis of variance using software SAS, version 9.0. Enzyme activity was expressed over time using the Logistic-Peak, software Slide Write, version 2.0.
Fluorometric chitinase assay: The 10 selected isolates were assayed using a chitinase assay fluorimetric kit-CS1030 (Sigma-Aldrich, USA). The assay included three substrates, 4-Methylumbelliferyl N,N′-diacetyl-β-D-chitobioside, 4-Methylumbelliferyl N-acetyl-β-Dglucosaminide and 4-Methylumbelliferyl β-D-N,N′,N′′-triacetylchitotriose for the detection of chitobiosidase, β-N-acetylglucosaminidase and endochitinase, respectively. The reaction mixture contained 90 μl substrate and 10 μl enzyme incubated for 30 min at 37°C. Fluorescence at excitation wavelength 360 nm and emission wavelength of 450 nm was measured after stopping the reaction with sodium carbonate. One unit of chitinase activity releases 1 µmole of 4-methylumbelliferone from the appropriate substrate per min at pH = 5.
Determination of the optimum conditions for chitinase production: Of the 10 fungal isolates, four were selected that had the highest chitinase activity, to determine optimum conditions for chitinase production. The optimum pH, temperature and reaction time was determined with the N-acetyl-glucosamine-dinitrosalicylate method. Preliminary results showed that enzyme activity was highest after 96h. Optimum conditions were determined with pHs 3, 4, 5, 6, 7, 8 and 9, temperatures 22°C, 25°C, 28°C, 31°C; for 1h, 6 h, and 24h. The reaction mixture contained 200 μl substrate (0.5% colloidal chitin in citrate phosphate buffer, 0.05 M, pH = 6.6) and 200 μl culture filtrate incubated at 37°C. The experiment was a completely randomized design with three replicates. Analysis of variance of data of the chitinase activity using of software SAS, version 9.0 was done.
Zymogram: Chitinolytic activity based on zymography was determined using a modified method of Davis [17]: 2 ml of 30% acrylamide/ methylene bisacrylamide (30:0.8, v/v) solution was mixed with 2 ml of carboxymethyl-chitin-remazol brilliant violet 5R (CM-Chitin-RBV) (Sigma-Aldrich, USA), 1 ml of 1.5 M Tris-HCl buffer (pH = 8.4) and 0.3 - 1.2g (1 - 2 M) of electrophoretically pure urea (Bio-Rad). After degassing for 1 minute, 5 ml of tetramethylethylenediamine (TEMED) (Sigma-Aldrich, USA) and 100 ml of 10% aqueous ammonium persulfate (APS) was added. The stacking gel included 0.65 ml of 30% acrylamide/methylene bisacrylamide solution, 1.25 ml of 1.5 M Tris-HCl buffer (pH = 6.8), 3.05 ml of distilled water, and 0.3 - 1.2g of urea. After degassing for 1 minute, 10 ml of TEMED and 100 ml of APS were added. The running buffer consisted of 0.5M urea in 0.3 M glycine- 0.036M Tris buffer (pH = 8.4). The gels were run at 200V for 45 min at 6°C. After electrophoresis, the gels were incubated in 0.1 M SA-buffer, pH = 4.7, for 3h at room temperature with gentle shaking (70 - 80 rpm). Chitinolytic activity was visualized as clear band zones on a blue background of nondigested CM-Chitin-RBV. Contrast between cleared zones and background was enhanced by immersing the gel in 0.1% solution of basic fuchsin in 20% aqueous ethanol for 1h at room temperature followed by washing with distilled water. Images of electrophoresis gels were recorded with GelDoc (Bio-Rad).
Protein assay: The isolates were grown in minimal synthetic medium at 25°C in the dark for 5 days, filtered through Whatman Filter Paper No. 3 followed by filtration through a 0.2-μm Millipore polydifluoropropilene membrane. Filtered culture supernatant was lyophilized with a freeze dryer (FD-7506/5006-URT, Iran) and kept at -20°C until further use. The obtained powder was mixed with 3 ml phosphate buffered saline (PBS) ([g l -1 ]: NaCl: 8, KCl: 0.2, Na2HPo4: 1.42 and KH2Po4: 0.24) pH = 7.4 and used as the enzyme source. Dialysis, with a molecular weight cut-off 10 was used to remove excess low molecular weight solutes. The solution was placed in dialysis tubing coated with an inert, high molecular weight hydroscopic substance that removes water from the tubing. The dialysis tubing was placed in a tall, 1000 ml graduated cylinder filled with distilled water and dialyzed overnight at 4°C with four changes of distilled water. The dialysate was collected by freeze-drying again and used for protein measurement and enzymatic assay on electrophoresis gels.
Results Fungal isolates and N-acetyl-glucosamine-dinitrosalicylate assay: One hundred and fifty-four fungal isolates were recovered from infected eggs of the golden potato cyst nematode, G. rostochiensis (Table 1).
| Isolate No. | Genus | Isolate No. | Genus | Isolate no. | Genus | Isolate No. |
|---|---|---|---|---|---|---|
| 1 | Fusarium | 40 | Plectosphaerella | 79 | Fusarium | 118 |
| 2 | Chaetomium | 41 | Chaetomium | 80 | Fusarium | 119 |
| 3 | Fusarium | 42 | Alternaria | 81 | Fusarium | 120 |
| 4 | Fusarium | 43 | Fusarium | 82 | Alternaria | 121 |
| 5 | Chaetomium | 44 | Fusarium | 83 | Fusarium | 122 |
| 6 | Candida | 45 | Fusarium | 84 | Fusarium | 123 |
| 7 | Fusarium | 46 | Alternaria | 85 | Fusarium | 124 |
| 8 | Fusarium | 47 | Fusarium | 86 | Fusarium | 125 |
| 9 | Alternaria | 48 | Fusarium | 87 | Fusarium | 126 |
| 10 | Fusarium | 49 | Cylindrocarpon | 88 | Alternaria | 127 |
| 11 | Plectosphaerella | 50 | Fusarium | 89 | Alternaria | 128 |
| 12 | Fusarium | 51 | Alternaria | 90 | Fusarium | 129 |
| 13 | Fusarium | 52 | Ulocladium | 91 | Alternaria | 130 |
| 14 | Fusarium | 53 | Fusarium | 92 | Alternaria | 131 |
| 15 | Chaetomium | 54 | Fusarium | 93 | Candida | 132 |
| 16 | Chaetomium | 55 | Alternaria | 94 | Alternaria | 133 |
| 17 | Fusarium | 56 | Fusarium | 95 | Fusarium | 134 |
| 18 | Fusarium | 57 | Fusarium | 96 | Fusarium | 135 |
| 19 | Candida | 58 | Fusarium | 97 | Fusarium | 136 |
| 20 | Fusarium | 59 | Fusarium | 98 | Fusarium | 137 |
| 21 | Fusarium | 60 | Fusarium | 99 | Fusarium | 138 |
| 22 | Alternaria | 61 | Fusarium | 100 | Alternaria | 139 |
| 23 | Fusarium | 62 | Fusarium | 101 | Alternaria | 140 |
| 24 | Fusarium | 63 | Fusarium | 102 | Alternaria | 141 |
| 25 | Fusarium | 64 | Fusarium | 103 | Alternaria | 142 |
| 26 | Fusarium | 65 | Fusarium | 104 | Alternaria | 143 |
| 27 | Alternaria | 66 | Fusarium | 105 | Alternaria | 144 |
| 28 | Alternaria | 67 | Fusarium | 106 | Fusarium | 145 |
| 29 | Fusarium | 68 | Fusarium | 107 | Fusarium | 146 |
| 30 | Alternaria | 69 | Fusarium | 108 | Fusarium | 147 |
| 31 | Fusarium | 70 | Fusarium | 109 | Fusarium | 148 |
| 32 | Fusarium | 71 | Fusarium | 110 | Fusarium | 149 |
| 33 | Alternaria | 72 | Fusarium | 111 | Candida | 150 |
| 34 | Fusarium | 73 | Fusarium | 112 | Fusarium | 151 |
| 35 | Fusarium | 74 | Alternaria | 113 | Fusarium | 152 |
| 36 | Fusarium | 75 | Fusarium | 114 | Chaetomium | 153 |
| 37 | Fusarium | 76 | Candida | 115 | Fusarium | 154 |
| 38 | Alternaria | 77 | Fusarium | 116 | Chaetomium | |
| 39 | Fusarium | 78 | Fusarium | 117 | Chaetomium | |
08
39
78
117
Table 1: Fungi isolated from nematode eggs and assayed by the N-acetyl-glucosamine-dinitrosalicylate method.
Citation: Robert Wick., et al. "Chitinase Activity of Biocontrol Fungi Isolated from the Golden Potato Cyst Nematode and their Antagonist Potential". EC Agriculture 6.4 (2020): 05-15.
09
N-acetyl-glucosamine-dinitrosalicylate assay: To determine the most promising isolates for biological control of G. rostochiensis, 154 isolates were assayed for chitinase activity 96h after growth in MSM. Results of the chitinase activity showed significant differences among the 154 isolates at the p ≥ 0.01 level (Table 2). T. atroviridae showed the highest specific activity at 0.56 U mg -1 ; Candida parapsilosis had the lowest at 0.15 U mg -1 (Figure 1). Ten isolates, Alternaria alternata, Cylindrocarpon olidum, Fusarium oxysporum (a), C. parapsilosis (a), C. parapsilosis (b), F. oxysporum (b), B. bassiana, L. muscarium, Paecilomyces sp. and T. atroviridae had the highest activity and were selected for further study.
Coefficient of variations (percent)
20.39
Table 2: Analysis of variance (mean square) of chitinase activity in culture filtrate from 96h cultures of 154 isolates. **: Significant at 0.01 probability level.
| Sources of variance | Degree of freedom |
|---|---|
| Isolate | 153 |
| Error | 308 |
| Coefficient of variations (percent) | |
Fungal infection of juveniles and greenhouse trial: Significant differences (p ≥ 0.01) in fungal infection of eggs and juveniles were observed in water agar. L. muscarium had the highest level and F. oxysporum the least (Table 3).
945
Table 3: Parasitism of G. rostochiensis eggs and juveniles by selected fungi in water-agar medium.
| Isolate | Mean no. of parasitized eggs and juveniles | Isolate |
|---|---|---|
| L. muscarium | 1110a | C. olidum. |
| B. bassiana | 1065ab | C. parapsilosis (a) |
| T. atroviridae | 990ab | C. parapsilosis (b) |
| F. oxysporum (a) | 975abc | F. oxysporum (b) |
| Paecilomyces sp. | 975abc | Control |
| A. alternata | 945bcd | |
Citation: Robert Wick., et al. "Chitinase Activity of Biocontrol Fungi Isolated from the Golden Potato Cyst Nematode and their Antagonist Potential". EC Agriculture 6.4 (2020): 05-15.
There were significant differences in root length, root dry weight, plant height, shoot dry weight, number of tubers, tuber yield and number of cysts in 100g soil. Isolates T. atroviridae and B. bassiana had the highest root dry weight and tuber yield under greenhouse conditions (Table 4).
| Isolate | Root length (cm) | Dry weight root (g plant-1) | Plant height cm) | Dry weight shoot (g plant-1) | Number of tubers (tuber in plant-1) | Tuber yield (g plant-1) |
|---|---|---|---|---|---|---|
| Nematode only | 7.10d | 1.05h | 4.80d | 50.76e | 1.67d | 171.04c |
| T. atrovirida | 15.44c | 4.16b | 22.67bc | 48.47a | 7.67b | 271.60a |
| Paecilomyces sp. | 15.12c | 2.99e | 22.33bc | 40.89b | 7bc | 261.43b |
| L. muscarium | 15.09c | 2.62fg | 22.33bc | 30.05cd | 6.67bc | 261.77b |
| B. bassiana | 17.45b | 3.76c | 25.33ab | 46.74a | 7.33bc | 271.10ab |
| F. oxysporum (a) | 15.30c | 2.82ef | 20.33bc | 28.56cd | 6.33bc | 256.80b |
| C. parapsilosis (a) | 15.44c | 2.36g | 20c | 30.48cd | 6.67bc | 262.30b |
| C. parapsilosis (b) | 16.01bc | 3.41d | 23.33bc | 31.76c | 7.33bc | 262.73b |
| F. oxysporum (b) | 14.39c | 2.47g | 21.67bc | 25.56d | 6.67bc | 254.93b |
| C. olidum. | 14.40c | 2.54fg | 20.33bc | 31.23c | 6c | 255.10b |
| A. alternata | 14.49c | 2.31g | 23.33bc | 28.40cd | 6.33bc | 257.03 b |
| Potato only | 19.30a | 5a | 29.33a | 50.24a | 9.33a | 292.10a |
Potato only
19.30
5
29.33
50.24
9.33
292.10
0
Table 4: Effect of selected fungi on potato and number of cysts in a greenhouse trial. Nematode only is a control with no biocontrol agent and potato only has no cyst nematodes or biocontrol agent. Data represent means of three treatments.
Means followed by the same letters in each column are not significantly different according to Duncan,s multiple range test (p≤0.05). Enzyme assay by fluorimetric analysis: Chitinase activity was highest after 96h. The results showed the effects of different periods of incubation (1d, 2d, 3d, 4d and 5 day) on activity of Chitobiosidase, β-N-acetylglucosaminidase and endochitinase (Table 5). B. bassiana had the greatest amount of chitinase activity with all three enzymes (Table 5). The production of chitobiosidase and β-N-acetylglucosaminidase, for all 10 isolates began after three days of incubation, was maximum on the 4 th day and decreased by day 5 (Figure 2 and 3). Activity of endochitinase began 1 day after incubation and reached its maximum on the 4 th day and was lower on day 5 (Figure 4). Of the 10 isolates, the four with the highest chitinase activity were selected to determine optimum conditions for chitinase activity: B. bassiana, L. muscarium, Paecilomyces sp. and T. atroviridae.
Figure 2B: Isolates with more than 100 U mg-l chitobiosidase activity. Cp(a) = Candida parapsilosis, Bb = Beauveria bassiana, Lm = Lecanicillium muscarium, Psp. = Paecilomyces sp. and Ta = Trichoderma atroviridae.
Figure 3B: isolates with more than 600 U mg-l β-N-acetylglucosaminidase activity. Aa = Alternaria alternata, Cp(a) = Candida parapsilosis, Bb = Beauveria bassiana, Lm = Lecanicillium muscarium, Psp. = Paecilomyces sp. and Ta = Trichoderma atroviridae.
Figure 4B: Isolates with more than 30 U mg-l endochitinase activity. Cp(a) = Candida parapsilosis, Bb = Beauveria bassiana, Lm = Lecanicillium muscarium, Psp. = Paecilomyces sp. and Ta = Trichoderma atroviridae.
| Isolate | Chitobiosidase | β-N-acetylglucosaminidase |
|---|---|---|
| A. alternata | 5e | 988cd |
| C. olidum. | 4e | 35f |
| F. oxysporum (a) | 26e | 213de |
| C. parapsilosis (a) | 373d | 1188bc |
| C. parapsilosis (b) | 5e | 48f |
| F. oxysporum (b) | 8e | 80ef |
| B. bassiana | 10841a | 6359a |
| L. muscarium | 2604b | 1222bc |
| Paecilomyces sp. | 6393ab | 2801b |
| T. atroviridae | 720c | 1286b |
720
1286
1835
Determination of the optimum conditions for chitinase production: The effects of isolate, temperature and the interaction between fungal isolate and temperature on activity of chitinase was significant at the 1% level. The optimum temperature for enzyme production for isolates B. bassiana, Paecilomyces sp. and T. atroviridae was 25ᵒC. The optimum temperature for L. muscarium was 31ᵒC (Figure 5). The effects of isolate, pH and the interaction between isolate and pH on the specific activity of chitinase was significant at the 0.01 level. The highest specific activity for the four isolates L. muscarium, B. bassiana, Paecilomyces sp. and T. atroviridae was at pH 6, 5, 5, 5 respectively. The lowest specific activity for L. muscarium and Paecilomyces sp. was pH = 3; and for L. muscarium, pH = 4 (Figure 6). For all four isolates, the maximum enzyme activity occurred after 1 h and the minimum activity was 24h (Figure 7).
Table 5: Activity of three chitinase enzymes from selected isolates. Data represent the means of three isolates. Means followed by the same letters in each column are not significantly different according to Duncan's multiple range test (p ≤ 0.01).
Figure 5: Effect of temperature on chitinase activity in four selected fungal isolates.
Figure 6: Effect of pH on chitinase activity in four selected fungal isolates.
Figure 7: Effect of reaction time on chitinase activity in four selected fungal isolates.
Protein assay and zymograms: Zymograms of chitinase activity of isolates B. bassiana, L. muscarium, Paecilomyces sp. and T. atroviridae showed three zones of digested CM-chitin-RBV with Rfs of 0.28, 0.39, 0.48 for isolate B. bassiana, three zones with Rfs of 0.28, 0.39, 0.48 for isolate L. muscarium, two zones with Rfs of 0.39, 0.48 for isolate Paecilomyces sp. and four zones with Rfs of 0.16, 0.28, 0.39 and 0.48 for isolate T. atroviridae (Figure 8).
Figure 8: Zymograph of chitinolytic activity of four slected fungal isolates.
Citation: Robert Wick., et al. "Chitinase Activity of Biocontrol Fungi Isolated from the Golden Potato Cyst Nematode and their Antagonist Potential". EC Agriculture 6.4 (2020): 05-15.
Discussion and Conclusion Globodera rostochiensis is one of the most destructive pathogens of potato in the world. Since chitin is the dominant component of the nematode eggshell, and chitinases are known as degrading enzymes of chitin in a wide range of fungi, this could be an important mechanism of biological control. Chitinase may be enhanced by a combination with other bioactive peptides and lytic enzymes such as glucanase and proteases as reported in natural systems [12,18]. The aim of this study was to assay chitinase activity from selected fungi obtained from the golden potato cyst nematode to determine if chitinase, or the fungi that produced chitinase, could potentially be employed as biological control agents.
The highest specific enzyme activity of the four selected isolates B. bassiana, L. muscarium, Paecilomyces sp. and T. atroviridae occurred at pHs 6, 5, 5, 5. Three isolates had the highest chitinase activity at pH= 5; apparently, chitinase hydrolysis is optimum in an acidic environment. Adjusting soil pH to 5 may enhance biological control activity.
All 154 isolates had chitinase activity based on the spectrophotometric method at 540 nm. The positive biological control shown in our greenhouse experiment could be attributed to chitinase activity on the eggs as well as direct infection of the eggs and juveniles.
Of the four selectedisolates, the maximum enzyme activity occurred in one hour, after which chitinase activity declined. This may not be important in the soil environment as it is presumed that the fungus will produce chitinases continually.
In this study among the 154 isolates, four well-known biocontrol genera Trichoderma, Lecanicillium, Paecilomyces and Beauveria had the highest enzymatic activity. These four genera were previously reported by Sankaranarayanan., et al. [19], Safari-Motlagh and Samimi [8] and Saifullah and Khan [9] as important biocontrol agents of G. rostochiensis.
Bands of chitinolysis in zymograms were like results by Tikhonov., et al. [12] that were enhanced with ionic absorption of positively charged molecules and fuchsin onto negatively charged polyanionic molecules of undigested CM-Chitin-RBV. Zymography can be a simple and helpful method in studies of complex chitinolytic systems.
In this study, the biological control of G. rostochiensis byseveral fungal isolates showed there is a good correlation between chitinase activityand biocontrol potential.
Bibliography
Acknowledgements Thanks to the Stockbridge School of Agriculture, University of Massachusetts and Bu Ali Sina University.
2. Behrens E. "Globodera Skarbilovich, 1959, eine selbständige Gattung in der Unterfamilie Heteroderinae Skarbilovich, 1947 (Nematoda: Heteroderidae)". Vortragstagung zu Aktuellen Problemen der Phytonematologie (1975): 12-26.
1. Wollenweber HW. "Krankheiten und Beschädigungen der Kartoffel". Arbeiten des Forschungsdienst für Kartoffelbau 7 (1923): 1-56.
3. Gitty M., et al. "Occurrence of potato golden cyst nematode in Iran and its distribution in Hamedan province". Agricultural Biotechnology 10 (2011): 53-61.
5. Tobin JD., et al. "Effect of the fungus Pochonia chlamydosporia and fosthiazate on the multiplication rate of potato cyst nematodes (Globodera pallid and G. rostochiensis) in potato crops grown under UK field conditions". Biological Control 46 (2008): 194-201.
4. Sharon E., et al. "Improved attachment and parasitism of Trichoderma on Meloidogyne javanica in vitro". European Journal of Plant Pathology 123 (2009): 291-299.
7. Sharon, E., et al. "Biological control of the root-knot nematode Meloidogyne javanica by Trichoderma harzianum". Phytopathology 91 (2001): 687-693.
6. López Lima D., et al. "89% reduction of a potato cyst nematode population using biological control and rotation". Agronomy Sustainable Development 33 (2013): 425-431.
8. Safari Motlagh MR and Samimi Z. "Evaluation of Trichoderma spp. as biological agents in some of plant pathogens". Annals of Bioloical Research 4 (2013): 173-179.
10. Santos MC., et al. "Biology, growth parameters and enzymatic activity of Pochonia chlamydosporia isolates from potato cyst and rootknot nematodes". Nematology 15 (2013): 493-504.
9. Saifullah A and Khan NU. "Low temperature scanning electron microscopic studies on the interaction of Globodera rostochiensis woll. and Trichoderma harzianum rifai". Pakistan Jouranl of Botany 46 (2014): 357-361.
11. Gortari MC and Hours RA. "Fungal chitinases and their biological role in the antagonism onto nematode eggs. a review". Mycological Progress 7 (2008): 221-238.
13. Morton CO., et al. "Infection of plant parasitic nematodes by nematoghagous fungi - a review of the application of molecular biology to understand infection processes and to improve biological control". Nematology 6 (2004): 161-170.
12. Tikhonov VE., et al. "Purification and characterization of chitinases from the nematophagous fungi Verticillium chlamydosporium and V. suchlasporium". Fungal Genetics and Biology 35 (2002): 67-78.
14. Zeilinger S., et al. "Chitinase gene expression during mycoparasitic interaction of Trichoderma harzianum with its host". Fungal Genetics and Biology 26 (1999): 131-140. Sarratia marcescens Canadian Journal of Microbiology
17. Davis BJ. "Disc electrophoresis II. Method and application to human serum protein". Annals of the New York Academy of Science 121 (1964): 404-427. Experientia Supplementum-Basel
15. Monreal J and Reese ET. "The chitinase of
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16. Bradford MM. "A rapid and sensitive method for quantification of microgram". Annals of Biochemistry 72 (1976): 248-254.
18. Herrera-Estrella A and Chet I. "Chitinases in biological control".
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19. Sankaranarayanan, C., et al. "Parasitism of Meloidogyne incognita eggs by Fusarium oxysporum and other fungi". Indian Journal of Nematology 32 (2002): 1.
Volume 6 Issue 4 April 2020 ©All rights reserved by Robert Wick., et al.
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Generation Y Speaks Out: A Policy Guide • 2002
Public Policy Perspectives Through Service Learning
A Joint Venture of the Michigan Nonprofit Association, Michigan's Children and the MSU Service–Learning Writing Project Website: http://www.msu.edu/~atl/GenY_SpeaksOut.
428 W. Lenawee, Lansing, MI 48933-2440 Phone 517.485.3500 Fax 517.485.3650 www.michiganschildren.org
1048 Pierpont, Suite 3, Lansing, MI 48911 Phone 888.242.7075 Fax 517.492.2400 www.mna.msu.edu
Public Policy Perspectives Through Service Learning
A Joint Venture of the Michigan Nonprofit Association, Michigan’s Children and the Michigan State University Service–Learning Writing Project
Speaks Out
A Policy Guide
*
Speaks Out
Speaks Out
A Policy Guide
*
2002
Edited by:
David W. Stowe
American Thought and Language, Michigan State University
Christopher Buck
American Thought and Language, Michigan State University
Shanetta L. Martin Michigan’s Children
Public Policy Perspectives Through Service Learning
A Joint Venture of the Michigan Nonprofit Association, Michigan's Children, and the Michigan State University Service– Learning Writing Project
Public Policy Perspectives Through Service-Learning is a unique partnership between students and faculty of Michigan State University and two nonprofit organizations. The goal of the project is to deliver the authenticated voice of youth through student-authored public policy issue briefs to policymakers and other critical leaders in Michigan.
View the issue briefs in full online at: http://www.msu.edu/~atl/GenY_SpeaksOut.
Produced by:
Michigan Nonprofit Association Michigan's Children
Copyright © 2002 Michigan Nonprofit Association and Michigan's Children
All rights reserved, printed in the United States of America
No part of this publication may be reproduced or transmitted in any form or by any means without permission in writing from the Michigan NonProfit Association, 1048 Pierpont, Suite 3, Lansing, MI 48911. Or call 517/492-2400, fax 517/492-2410 or visit our website at www.mna.msu.edu.
First Edition published 2002.
Library of Congress Cataloguing-in-Publication Data Generation Y Speaks Out: A Policy Guide/ edited by David W. Stowe, Christopher Buck, Shanetta Martin. ISBN: 0-9718876-0-8
MICHIGAN STATE
UNIVERSITY
Acknowledgements
Project Directors/Community Partners/Editorial Oversight
Jerry Lindman, Michigan Nonprofit Association (MNA)
The Michigan Nonprofit Association is an association for nonprofits that gives voice and support to the vast array of nonprofit organizations and the constituents they serve throughout the state. MNA's mission is to promote the awareness and effectiveness of Michigan's nonprofit sector, and to advance the cause of volunteerism and philanthropy in the state.
Shanetta Martin, Michigan's Children
Michigan's Children is a statewide, independent advocacy group. The organization is committed to empowering youth voices and works with policymakers, communities and the public to improve the quality of life for children, youth and families. Opportunities for youth engagement in civic life are provided through the organizations Youth Policy Leadership Program.
Service Learning Writing Project
Michigan State University
Dr. David Cooper, Professor and Founder of the Service–Learning Writing Project Mathew Horton, Student Liaison
MSU Service-Learning Center
Michigan State University Co-Editors:
Dr. David Stowe, American Thought and Language (ATL), MSU Dr. Christopher Buck, American Thought and Language (ATL), MSU
Special Thanks
Special thanks to the Michigan Campus Compact for helping to make this publication possible and for providing financial and moral support.
Michigan Campus Compact (MCC)
An association of Michigan colleges and universities that have joined a compact that works to instill an ethic of service and civic action in the college students of today. MCC works to educate, support and recognize institutions of higher learning and their individual administrators, staff, faculty and students, who want to be involved in promoting citizenship by encouraging service experiences for students. These experiences lay the foundation for a lifelong ethic of public responsibility and community service. Students learn to reflect critically on the world around them and take an active role in their community by becoming directly involved with social issues and their solutions. MCC is the first organization in the country to include its member presidents, students, faculty, and staff in the development and implementation of service initiatives. This innovative approach to community problemsolving is one of the reasons MCC is an accomplished national leader in the service field.
Table of Contents
Foreward.........................................................................................................................................
Introduction..................................................................................................................................
3
4
Excerpts from Briefs
Complete Issue Briefs
Foreward
Generation Y Speaks Out: A Policy Guide is the offspring of happy coincidence and hard work. It began in late summer of 2000 as a collaborative experiment between two first-year writing classes at Michigan State University, the university's Service-Learning Center (a division of Student Services), the Michigan Nonprofit Assoication and Michigan's Children. Nearly a year later, it ended up a one-of-a-kind profile of a generation's civic personality. What happened in between was the gritty spadework of democratic education for citizenship.
That work is the subject of wide ranging discussion among educators and public policymakers nationwide. From the classroom to the boardroom and across the public and private sectors, we hear impassioned calls to renew the democratic spirit and jump-start our anemic body politic. Young people are often singled out as feeling particularly disengaged and alienated from civic participation.
The value of Generation Y Speaks Out is that it joins this lofty rhetoric of democratic renewal with the demanding practices of engaged citizenship, active learning, and scholarship in service of the public good. In doing so, this guidebook invites into the great conversation of democracy the public voice of a generation eager to exercise its civic competencies and talents.
Far from balking in the face of such public work, students gladly accepted the challenge to engage in the arts of public argument and deliberation. They rigorously researched social issues ranging from assisted suicide to urban sprawl. They conducted thorough discussions among their peers. Working with their teachers and community partners, students devised a sophisticated format for their public policy issue briefs. They presented their work to legislators and others who help shape public policy. Students revised and edited, edited and revised their briefs until they were satisfied that the work was worthy of attention and public scrutiny. They even wrote the grants that funded Generation Y Speaks Out.
I want to thank those people who helped our students build a genuinely public culture full of conversation, argument, and eventually, consensus building. Dr. David Stowe and Dr. Christopher Buck of Michigan State University's Department of American Thought and Language shaped the curriculum, knowledge base, and standards of scholarship underpinning this policy guide. They teamed up with key community partners who greatly enriched the learning community for their students, including Jerry Lindman of the Michigan NonProfit Association and Shanetta Martin of Michigan's Children. Above all, our hats are off to the 40 students who mastered the skills, developed the habits of heart and mind, and acquired the knowledge it takes to produce the publicly engaged scholarship found in the pages that follow.
David D. Cooper
Founder of the Service-Learning Writing Project
"It's important to look at these controversial issues from a 20-something perspective. Older generations think we're slackers but this type of project shows we really do care and want to make a difference. Our ultimate goal is to change a law or influence policy in some way, then we'd know that our voice is really being heard."
Matthew Horton
ATL Student, Fall 2000
Introduction
Michigan State University's Service Learning Writing Project has become a combination of both service and learning throughout the 2000-2001 academic year, in association with two non-profit advocacy organizations: Michigan Nonprofit Association and Michigan's Children. Students in Dr. David Stowe's and Dr. Christopher Buck's sections of "Writing: Public Life in America" (ATL 135) were given the opportunity to write issue briefs, covering concerns of their generation, Generation Y. Generation Y Speaks Out: A Policy Guide is the result of hard work and dedication, and is researched and written entirely by MSU students.
The following compilation of issue briefs began as an unknown. The final outcome was a mystery to all partners, yet a vision was in mind. What exactly is an issue brief? What components does it contain? What is the final format? All of these are questions that were asked over and over to make this project's vision a reality. An issue brief is exactly what its name describes - a brief summary of a current issue relevant to society. In this particular case, it is an issue that is of concern to Generation Y. Generation Y is the 18-24 age group into which participating students of this project fall. While the views of this generation have been criticized as either being radical, or not having any views at all, the results may be surprising. These results are the end product of numerous focus groups, surveys, and research of the opinions of students and friends of students at Michigan State University.
As you read this publication, you will notice that the headings are more relaxed and expressive of Generation Y. This book is an authentic Generation Y project. We want this publication to be read. It should be read with seriousness, as members of this generation feel strongly about these issues. We are being open and honest about our feelings and ideas concerning these issues that affect life within present-day society. Throughout Generation Y Speaks Out: A Public Policy Guide, you are given the opportunity to see how the newest voters across Michigan feel, and why they feel this way, ranging from personal experiences to passionate concerns.
Matt Horton
MSU Student
Amanda Lindlemulder
MSU Student
Gary Strickler
* Graduating GPA: 4.2
* ACT score: 29
* Activities: Varsity Soccer, Captain Varsity Swim, Church Youth Group, coaching children to swim
* Level of class difficulty: AP & Honors level classes
David Haine
* Graduating GPA: 4.2
* ACT score: 31
* Level of class difficulty: AP & Honors level classes
Biography
Whitney Williams
Major: General
Management
Generation Y Perspective
Civil Liberties, Civil Rights & Justice
Affirmative Action
Real Life Scenario
For both of these two high school seniors at the left, University of Michigan was their top choice. Gary and David both were rejected by Michigan's LS&A program. Looking at these two students' records, they should have been an easy admission. Both of them were very close, or in the top 10, at their school.
Gary actually talked to an advisor from Michigan the fall after he had been rejected, and told him what happened. All the man could answer was, "I don't understand why you didn't get in. You're well above the standard requirements. I'm sorry." By this time Gary was happy at his current college, Kalamazoo College, on a swimming scholarship. David is currently at Michigan State University. He enjoys himself at the school, but wonders why he didn't get in to his first choice. Did the fact that both of these students were Caucasian have anything to do with their rejection? If that isn't the reason, who knows what is?
Impact On My Generation
Affirmative action has imparted a huge impact on Generation Y (e.g. post 1970). Many in this age group have applied to college and have experienced the frustration of being denied admission to their university of choice. Some are thankful and have benefited from the use of racial preferencing. Others like Jennifer Gratz are outraged that candidates of lesser merit received preferential treatment thus denying them the opportunity they rightfully earned.
Tacit student backlash has also become an unforeseen consequence of university affirmative action programs. This hidden backlash manifests itself in the form of an unspoken stigma attached to minority students. Students admitted under the use of racial preferences at universities never seem to be able to lose this stigma. Even those who are accepted without the aid of affirmative action still deal with the generalization that "minority equals affirmative action which equals lower standards"(Eastland, 398).
There seems to be no middle ground in the minds of most students. Either they are for or against the issue of affirmative action in university admissions. Those opponents to affirmative action often stigmatize all minorities, which causes "a racial discord or even a division among the races"(The State News, 4). In reaction to this Ashley Bell, journalism freshman at Michigan State, says "the stigmas that have been attached to women and minorities are born from the pseudoscientific beliefs in biological and even cultural inferiority of women and minorities to white males." As a student at a predominantly white college in the Midwest, Julie Gallhagar raised strong concern regarding the absence of diversity. "Our minority population is less than 1% of the total student body. Even with a small minority population our majority population feels that we have plenty of diversity. Go figure! All in all, the majority of colleges do not represent marginalized groups enough. I do feel that the situation is changing, granted very slowly, and possibly we will be able to eventually see a proper representation of all under represented groups." (Yahoo Bulletin board,"Diversity, 29 March 2001)
What My Generation Wants
When the pool of applicants far exceeds the number of openings, competition determines the successful candidate. It is important, however, that this competition fairly weigh the full capability, experience and contributing environmental factors, which compose the human potential. While admissions policies differ among schools, most institutions consider the following criteria to varying degrees:
* High school grades
* Standardized test scores
* An applicant's personal background—race and ethnicity, socio-economic status, geography, special talents and extra-curricular activities
In many cases weighting factors are applied to normalize the prospective student data. For example a 3.5 GPA from an urban school as compared to a 3.0 GPA from an inner-city school must be interpreted differently depending on class size, resources available and historical high school candidate success record.
Since the world is not homogeneous it is logical to conclude that some level of diversity in post-secondary education is advantageous and of "compelling interest to the state". The benefits eliminate the potential for isolationism and bring to bear the wealth of talent and potential required to be successful as individuals, as a state and as a nation in the emerging global economy.
It is recommended that our elected representatives:
* Consider legislation that reflects the common good achieved through diversity in university populations and thus provide admissions guidelines which are consistent and defensible.
* This legislation should provide for a clear definition of what constitutes a "compelling interest" and should be narrowly tailored to reflect the value of under represented minority groups as well as other demographic traits.
* Review the University of Michigan admissions policies and procedures with an eye toward defining a statewide standard for entrance to state funded higher education.
* Furthermore, reevaluate the selection criteria specifically with respect to weighting factors, which are applied to ensure equal treatment.
It is suggested that a modified total point system such has that used at Harvard be defined as the unified standard for admittance at stated funded universities and colleges which takes into consideration multiple elements of student capability. The successful implementation of such a system, however, requires a thorough look at the weighting factors applied to each category.
"I am a Caucasian male, and a freshman at Michigan State University. I have never been discriminated against because of my race, but I feel that racial profiling is a major issue that affects Generation Y as well as other generations. This issue can only get worse if we leave it the way it is. As Americans, we need to stop turning our heads every time a racial subject comes up; we need to face it and learn from it so that it will not happen again."
Mike Houston
Racial Profiling on America's Roadways
Biography
Mike Houston
Major: Political Science – Prelaw
Real Life Scenario
Terrell Lawson, a 24-year-old African American, stated that he has been pulled over twice in his life. The first time that he was pulled over, the police officer said that the car fit a stolen car profile. Terrell was searched and had to wait around for the officer for over two hours. At the end of that inconvenience the police officer ended up giving Terrell an improper lane change violation. The second time that Terrell was pulled over, he was searched once again and had to wait on the side of the road for about two hours. The difference between this time and the first time that he got pulled over was that the police officer did not try and make an excuse for pulling him over. The officer said that Terrell was speeding and that he needed to call for backup. Terrell said that the officer was very uncooperative, and that he was not allowed to ask any questions. This experience that Terrell has shared with me has really opened my eyes to how racial profiling goes on in our society. I have also talked to Jeff Pollak, a Caucasian father of two children. He told me that the police have also racially profiled him. He was driving a rental car in Louisiana on business and was pulled over. The police officer spoke using the intercom in his car and told Jeff to get out of the car and put his hands on the trunk. Jeff was very taken back by this and did what he was told to do. As the police officer emerged from his car Jeff noticed that the officer was African American. Jeff thought nothing of it until the officer gave him a reason for pulling him over. "There have been reports of red cars transporting drugs in this area. Can I search your vehicle?" the officer asked. Jeff let him search the vehicle and nothing was found; after about an hour-and-a-half and Jeff was let go.
Impact On My Generation
Impact of Current Legislation: The laws right now do not extend to discriminating on the roadways, so African Americans and other minorities can still be discriminated against without the offender worrying about receiving any punishment. If the officers know that there will be no punishment, there is no reason for them to stop racial profiling.
Impact of proposed legislation: If the studies show that racial profiling is a problem on the roadways, then laws should be passed that make racial profiling illegal and punish those who do it. This will result in less discrimination on the roadways. Generation Y, myself included, would feel a lot safer driving on the roadways. We would not feel as though we could get pulled over just for our skin color. It would also help with the relations between the races because we would not feel as though one race was out to get the other race and benefit at the other's expense.
What My Generation Wants
Input from focus groups: I administered a survey to two different groups on racial profiling. I asked them how they felt about it and what should be done. The two focus groups consisted of males and females of all different races, ages ranging from eighteen to twenty-two. In all, I surveyed thirty-six people. Fifty-six percent of the people felt that it was necessary to make laws concerning racial profiling. Ninety-four percent of the group as a whole stated that they felt that racial profiling was not an acceptable excuse by police to pull motorists over. Aaron Scheidies, a freshman at Michigan State University said, "It is just another form of racism, so we don't need it. If it stays legal to do this, then we will just increase the tension among the different races." Katie Akers, a sophomore at Michigan State University said, "Racial profiling is an extremely wrong practice and should be done away with."
What I recommend: Laws should be passed requiring that studies may be done on all traffic stops. The study would include:
* The race of the motorist
* The age of the motorist
* The type of city the motorist was pulled over in (urban or rural)
* What time of day the motorist was pulled over
* The race of the officer
* Reason the officer pulled the motorist over
* What citation or warning, if any, was issued
* The age of the officer
Costs: The major costs of this proposal would be preparing the study, hiring people to perform the study, and compiling the data. The price that all of this would cost is minute in comparison to how our society would benefit from it.
Interracial Dating and Marriage
Real Life Scenario
In 1998, I'd never thought of dating someone other than my race. As years passed by, I understood what love meant. When I was a sophomore in high school, I was attracted to a Caucasian male in my school who is 2 years older than I. I'd fallen for this guy because of his humor and quirkiness, his intelligence, his kindness, and his character, things that I was looking for. I knew my parents were extremely liberal, so I went ahead and dated him without worrying about what my parents would think. When I told my parents about it, they didn't have any objection. Instead, they gave me encouragement. They said they can't control who I love, other than to accept no matter what race he is. I was so glad that they encouraged me instead of making negative comments. When I hear stories about how race and cultural difference makes a difference in who you can date, I feel grateful that my parents do not object to whom I date.
However, when I walk on the streets I felt like my face was recognized by a lot of people who hadn't known me before. It seemed like a lot of people cared about a relationship that wasn't their business. People were making assumptions about our relationship such as my not being proud of my own race, or simply just wanting money. Although the assumptions seemed to be negative, we continued our relationship no matter what others thought of us.
Impact On My Generation
Impact of current legislation: The legislation no longer bans interracial marriage. This means, anyone is free to marry outside his or her ethnic/racial group legally.
Impact on proposed legislation: Denying government funding will discourage colleges and universities from imposing policies against interracial dating/marriage.
What My Generation Wants
Input from Generation Y focus groups: Why do people care? If one chooses to date a person of another race, why should society be bothered? Society is simply wasting there time by interfering with the couples relationship. If a couple is in love let them be happy. It is wrong and unethical on their part to make it hard for them. If two people can love each other, what difference does it make as to their roots and color. Here are some responses I received from the focus group.
* Amanda Lindemulder, a MSU student says "skin color shouldn't matter".
* Alex Wang, a recent graduate of MSU says "if two people can love each other, what difference does it make as to their roots and color".
* Aaron Scheidies quoted Martin Luther King, Jr.: "Don't judge a man by the color of his skin; judge him by his character".
What I recommend: Data from the 2000 census show 38,564, or 43 percent, of the 89,091 people who identify themselves as of mixed racial background in Wayne, Oakland, Macomb and Livingston counties are under 18 years old. Nationally, a total of 2.85 million people under 18 identified themselves in the 2000 census as of more than one race. The estimated number of interracial marriages in the United States has risen from 100,000 to about 1.5 million since 1970. So does this mean that interracial marriage has become a norm?
Biography
Diana Lu
Major: Merchandising Management
Tiffany Shriver
Major: General Management
Biography
Andrea Redilla
Major: No Preference
Generation Y Perspective
Social Policy
Save the Music Downloading Industry
Real Life Scenario
Adrienne Cleland logs onto the Internet and goes directly to Napster's homepage. As soon as she arrives, a blinking message appears warning her the site might be shut down due to a court ruling. Outraged after reading the memo, Adrienne is now extremely upset. She questions where she will go to find the latest info on new bands, or what the new next best single may be. Adrienne has been a member of Napster a few months now, and as a result has discovered six new groups, purchasing each and every one of their CDs. Adrienne decided to stand up for Napster and wrote to her Congressman voicing her opinion on the matter. Adrienne realized that for the music downloading industry to stay alive, its members would have to openly voice their support.
Impact On My Generation
As of this writing, Judge Patel is still deciding what to rule. Too many appeals and arguments have risen to make a final policy yet. My generation has completely supported companies like Napster, and will continue to advocate on their behalf. Generation Y will try its hardest to keep the service running.
What My Generation Wants
The way music had been distributed this past year, whether by MP3s or through a music service like Napster, will change the way music is heard in the future. Now that the consumers know what is available online, they will not let it go. "Napster is part of my everyday life. I don't know what I would do without it. Napster has given me this place where all my friends and I can go to and exchange our favorite songs," said Annie Schave.
I think that all music downloading services should be allowed to continue what they are doing. No statistical data has shown a major decrease in music sales or products. These services have given the unknown names an opportunity to be heard, where as if companies like Napster did not exist, then the band might never catch a break. Napster is the future of the music industry, and it is here to stay.
Marriage Penalty
Real Life Scenario
Robin Blumner, columnist and editorial writer for Florida's St. Petersburg Times, writes that she and her boyfriend have lived together for seven years without benefit of marriage. "We own a house together with rights of survivorship and we are beneficiaries of each other's life insurance. (My parents call him their sin-in-law.) For all intents and purposes, we are married — just without the license. And more importantly, without the tax liability. An accountant figured out that our yearly tax bill would go up by nearly $1,000 if we said 'I do.' Which means, as to marriage, 'we don't.'" ("The Marriage Tax," The Women's Freedom Newsletter, Fall 1997, Vol. 4, No 4)
What My Generation Wants
What I recommend: Like most people in Generation Y, I also plan on getting married in the future. In my eyes, marriage is a joyous occasion between two people that love one another. In the government's eyes, marriage is another way to bring more money into the system. Is that really fair to profit off of one's "happiest day"? I strongly recommend the elimination of the marriage penalty.
Costs: It is estimated, by the Congressional Budget Office, that if the elimination of the marriage penalty is successful, this legislation will cost over $399 billion over the next decade.
Biography
Steve Thompson
Major: General Management
Social Policy
Concealed Weapons
Real Life Scenario
A local family goes to a Tigers game at Comerica Park. After watching the baseball game they decide to go grab a bite to eat. When they get back to their vehicle a man approached them and tells the man to give him all of his money and the keys to their car. The father does what the man says and gives him what he asked for. This incident could have another outcome to it. When the family gets back to their vehicle and a man approaches them and asked for all of their money and the keys to the vehicle. The mother or the father pulls out a gun and tells the man to leave and he won't be harmed. The man didn't necessarily have to get shot but the gun scared him away.
Impact On My Generation
Under current Michigan law any person that is 18 years of age can apply for a CCW permit. We are old enough now to be able to carry a concealed weapon. I don't find it acceptable for someone 18 years old to carry a gun unless it is for work purposes. Most people this age don't carry a concealed weapon legally. With the proposed legislation the age will be changed to 21 with more extensive background checks and applicants will have to show their proficiency with firearms. When people want to go out places to have a good time, we would have a much better time knowing that we are protected in case something goes wrong.
What My Generation Wants
Dan Wholihan, a telecommunication senior at Michigan State University, stated that the new concealed carry laws that are in debate would help Michigan. The facts, according to Professor John Lott of the University of Chicago, are that states that have more lax concealed carry laws have less crime. Comparing Texas to Michigan, it makes perfect sense. "Gun-infested" Texas has had a lower murder rate than Michigan the last five years. It must be doing something right, and with the new laws in Michigan, guns are still banned in schools, churches, places that serve alcohol and day care centers. Kevin Greaney, also a student at Michigan State University, thought that the new law will be beneficial because criminals do think twice when planning their next rape or murder, especially when the chances they will be the ones to lose their lives are increased exponentially. The only result from gun control can be found in terrifying police states—Orwellian nightmares like Nazi Germany, Stalinist Russia, Communist China, etc.
Michelle Quinn
Major: Zoology
Social Policy
Work Ethics
Real Life Scenario
A star high school athlete wakes up in the morning and smells football. Throughout his day he eats, drinks, and breathes the sport. He strives on becoming a better football player by going to practice, lifting weights, and working hard in the off season. At night, the football player dreams about the game. This is what it was like for Aaron Mundale, a Michigan State University student. However, along with his off-season training, Aaron had to get a job in order to pay for his car and things he wanted to do. He didn't have the same enthusiasm about his job that he did when it came to playing football though. He was constantly late, calling in sick, or just slacking. Aaron never wanted to actually work; he just wanted to receive his paycheck at the end of each week. All Aaron wanted to do was to play football. This is how it is with people's work ethics today. It always seems as though everyone would rather be somewhere else, around other people, or doing something else while they are working. There is an old saying, "There is no shame in putting in an honest day's work." Apparently, not too many people have pride in their job as many people did in the past.
Impact On My Generation
With many of my fellow classmates at Michigan State University going into the workplace in the near future, the impact on my generation is tremendous. Since we are the future, we will soon be working in the businesses, schools, political offices, etc. The way Generation Y views work ethics is going to determine the productivity of the nation. If Generation Y has poor work ethics, it could lead to a possible depression, high unemployment rates, or a desperately poor country from welfare and homeless support. However, if Generation Y has strong work ethics, it could lead to great prosperity in the future for the United States, cures for diseases, a low unemployment rate, and even many great technological advancements. The Generation Y can make or break the United States, as will soon be seen as the leaders of tomorrow.
What My Generation Wants
Input from Generation Y focus groups: A research survey was conducted about work ethics from Michigan State University students and friends from back home. After performing the survey, I concluded that most people believe that the work ethics of today have diminished from those of the past. Generation Y feels that people are simply not motivated and have less to strive for. Also, with the advances in technology, people can accomplish more with little effort in a small amount of time. The people from Generation Y feel that giving workers something to work for would make employees reconsider their work ethics.
What I recommend: I believe that peoples' work ethics have diminished for the simple fact of a lack of motivation. If people work hard, they still receive the same amount of money on their paycheck that they would receive if they did a normal amount of work. With a reward system for people who strive to work hard at their job, people would be more motivated while at work.
Biography
Michelle Quinn
Major: Zoology
Media Ethics
Real Life Scenario
The summer of 1996, before I was a freshman in high school, a good friend of mine died. I had known him since I was in second grade. He died in a freak accident involving lightning and it was an extremely traumatic time for all of his friends and family. The morning after his death on the front page of the newspaper, The Milwaukee Journal Sentinel, was an article about his death. The article was not only dreadfully exaggerated, but also untruthful. The way they described his death was horrific and disgusting and most people were outraged and offended by the newspaper article. I wonder why the newspaper had been so insensitive and why the media exploits millions of people every year.
Impact On My Generation
This issue is relevant to Generation Y because we are living with the unacceptable standards of the media. The media right now are at the peak of power and we are the only ones who could change the way the media treats the people of this country. This can only be changed by Generation Y because as the future of our society it is our responsibility to make sure that our opinions matter and are heard. With the media as strong as they are, the only opinion that seems heard is that of the media. The fact that the media exploits people, and acts unethically without giving it a second thought is a major problem. If the proposed legislation was to be considered and even passed then I believe that the public could trust that the media is being truthful and honest. Also, the people would not be concerned that their stories would subject them to emotional harm done by the media.
What My Generation Wants
Input from Generation Y focus groups: I conducted Generation Y focus groups about their own thoughts on the media. Many of them agreed that we don't realize the extensive power of the media and that we often think we are making our own decisions but actually are using media to make them for us indirectly. " It is easier for people to make their own decisions when they hear the decisions made by someone else" (Matthew Horton). Members of Generation Y also agreed that the media should be more reliable when it comes to accuracy and truth and be held accountable for their mistakes and admit when they were wrong. There should also be boundaries for the media when it comes to exploiting people and their stories.
What I recommend: My recommendation on this issue is to accept all of the technology of the media, but prohibit media from exploiting people and issues that are emotionally connected to them. I recommend doing by creating laws for journalist to follow and extensive consequences facing them if laws are not abided by. Another thing I want is for the media to state their stories accurately and not worry about the competition of other networks. We want to believe what the media has to say, but sometimes you don't know what to believe if every network or paper is different. So what I recommend is for the government to take action against the media and create some kind law for enforcing media ethics and consequences for not abiding them.
Adoption
Real Life Scenario
Laura Blackman, a Montgomery County, Md., police officer, cared for Cornilous Pixly since he was two weeks old. In 1997 a Maryland judge ruled that the boy should be returned to his 24-year-old mother Latrena Pixly, therefore taking him out of the only home he knew for two years. In 1993, Latrena Pixly was convicted of smothering her six-week-old daughter. The judge maintained his hands were tied. Pixley's murder convictions did not constitute the special circumstances required to determine her parental rights. (US News.com)
Does this court ruling make sense? Cornilous had the chance to be in a loving environment, the only environment he had ever known. Instead, the judge ruled that Cornilous be returned to his biological mother, a convicted murderer. Situations like these are ridiculous and need to be stopped.
Impact On My Generation
This has potential impact on my generation because the laws made today will affect the future. Who knows what will come of my life in the future? Adoption may be in my future, but the process is not something that I would want to deal with. There are too many children without homes and the numbers will continue to grow if the adoption process is not made more available to future parents. When children grow up without parents, or in and out of foster homes, they become disturbed and confused.
* Children who have stable predictable care "can overcome great adversity," says Richard Gelles, director of the Family Violence Research Program at the University of Rhode Island and an architect of the Adoption and Safe Families Act.
* Studies show that out of those in foster care, 15-56% never complete high school or earn a GED.
* The majority hold low skilled jobs; up to 50% spend some time on public assistance.
* Drug use is common.
* Nearly one third of males commit crimes as adults.
* Among the homeless, as many as 39% spent years in foster care as kids.
These statistics (U.S. News, 1998) have an impact on every generation. As long as children are in foster care who never have the chance to feel the unconditional love of parents, then there will be a higher percent of homelessness, welfare, and crime.
Just how states will respond to changes in federal law remains to be seen. Some have written new legislation to overhaul their foster-care systems. Many states face even bigger challenges, because real control over foster-care rests with local agencies, not state officials. Policies not only vary from state to state, but from county to county.
What My Generation Wants
To improve this issue, policy makers need to see what is really best for the children. The emphasis on re-uniting the biological parents with their children should not be the main concern. "Once the parents give their children up, the process of a new family should begin" says Chelsea Walton, a freshman at Michigan State. Most of the children in foster homes right now could already have been adopted at a younger age and living happily with a loving family. However, too much time and money is spent on trying to get the birth parents back on track in hopes that one day they will be able to properly care for their children.
The effects on these children are harsh. Some of these kids spend an impressionable amount of time with one family and then have to go back to another, or they go in and out of foster care until they are 18.
Laws for adoption agencies need to be pushed in favor of the adoptive parents. Matthew Dryja, a sophomore at Eastern Michigan University says "It is not fair for hopeful parents to be led on for any period of time thinking that they are going to soon be parents, and then have their hopes let down because the birth parents change their mind."
What I recommend:
* If parents terminate their roles to their children by means of court order, there should be no way possible for them to regain custody once the child has found a new stable home.
* If children are taken out of their home because of abusive or neglectful parents, then there should only be a six-month waiting period before re-uniting the two ceases to be the number-one priority.
* If adoptive parents at any time put down money towards the gift of a child, and in the end do not receive the child they have been hoping for; money should be given back to the adoptive family.
* After the child has been adopted into a new family, checkups should be given for the first year to make sure that the child is happy and safe.
* Groups like Project Hustle in Texas need to be started and promoted here in Michigan.
Costs: If agencies focus more on placing children in to a new stable home rather than the home of the birth parents, the government will be saving more money than with its current plans. The federal government payment for foster-care, 55% of the total, grew 438% in the past decade to about $3.8 billion in 1998. A 1993 study estimated that the adoption of 40,700 kids between 1983 and 1987 saved $1.6 billion in taxpayer dollars.
Biography
Stephanie Dovletian
Major: Communications
Biography
Tiffany Shriver
Major: General Management
Elizabeth Oliver
Major: Special Education– Learning Disabilities
Abolish Animal Cosmetic Testing
Real Life Scenario
Ten albino rabbits are placed into stocks that allow only their head to protrude, and their eyelids are kept opened by clasps to prevent them from blinking. Rabbits do not have tear ducks like humans possess, hence no tears are formed to wash away foreign irritant substances. "Reactions to the substances include swollen eyelids, inflamed irises, ulceration, bleeding, massive deterioration, and blindness." (PETA website) Often times, the rabbits break their necks in attempt to escape from the painful substances. The rabbits' screams are so loud that they can be heard in the adjacent testing room. The damage done to the rabbits' eyes is recorded at specific intervals over a period of 72 hours. At the end of the test period, all of the surviving animals are killed in order to determine the internal effects of the tested substances. This test is repeated several times to ensure accuracy.
Impact On My Generation
Consumers of Generation Y have become more aware of animal testing and its cruelty. Many customers refuse to buy products that have been tested on animals, and therefore support companies against such testing. However, there are still companies that refuse to stop this inhumane testing, and as a result we consumers protest such companies.
There are a lot of people who refuse animal-tested products. "I refuse to buy any cosmetics that have been tested on animals. There is no need for companies to still administer such cruel tests when alternative tests have shown to be more accurate. I believe animal testing to be morally and ethically wrong," stated a strong supporter of PETA and animal rights, Kelly Roberts, a 19-year-old Michigan State University student.
Lindsay Allegra, a freshman at MSU, commented that "our generation is quite naïve to what animal testing entails. We are not focused enough on what animal testing and cruelty concludes….We, as the future need to be more aware of our society."
George Nikopolitis
Major: No Preference
"I can't think of a better example of a classroomcampus-community learning partnership that combines such academic rigor and the potential for wide social impact with the successful development of our students' public voices."
David Cooper, Professor
Internet Censorship
Real Life Scenario
An incident within the past two years occurred in Davenport, Iowa when the school system's technology committee was introduced to a new filtering system. This system would filter computers for kindergarten through twelfth grade. The technology team was assigned to evaluate. During its investigation, a student tried to access the Freedom Forum and Student Press Law Center sites from a school computer to look for legal information about filters. However, they were unable to because the sites were blocked. Another student discovered that the filter not only blocked those sites, but all websites for the NAACP. Even worse, it left the Ku Klux Klan homepage open to be viewed. Other students tried computers throughout the district and discovered that they were all blocked with the same filters. When presented with the research the committee concluded that the filters were beneficial, but were more appropriate in elementary and middle schools rather than high schools. The technology committee stated that at a high school level where the internet can be used for research projects, filters would jeopardize much of the information that was out there. However, the problem remained that not all sites can be blocked, and thus the district decided to leave two computers unfiltered.
Impact On My Generation
Today's generation of people and the many more to come, are and will continue to depend on the internet. For the time being, the problem of filtering out explicit material will continue to be a dilemma. Technology will continue to be a part of our everyday lives and without it society will not function as easily as it does today. The internet functions as a student's most valuable research tool and without it many would be lost. The library is still an excellent source to seek information, but with online databases a student can research topics from the comfort of her or his own home. By restricting access to sites that may contain offensive information, yet are educational resources, we are altering the learning process and restricting students from information they may need to better their education.
What My Generation Wants
The role of the government in censorship of internet-related material should be limited to state and local control. It is my opinion that Internet filters tread extremely close to violating the First Amendment by allowing government control over what one can view online. If we allow this to continue, we will be endorsing the government to have power over the World Wide Web. My recommendation is that state and local governments should be given limited power to prevent children from viewing unnecessary material. Installing software that does not solve the problem could place immense hardships on communities already struggling to meet educational needs. We have yet to find any financial data that presents what type of costs these programs could inflict, and have only briefly seen their shortfalls.
14
Biography
Stephanie Dovletian
Major: Communications
Childcare Enforcement in the Welfare System
Real Life Scenario
Sarah, a 23-year-old mother of two, lives in poverty. At the age of 16 she became pregnant with her first child. Sarah's parents were not happy about the pregnancy, but continued to let her live with their home. At 18, Sarah became pregnant for the second time. With a two-year-old daughter, and another on the way, her parents were fed up and threw her out of the house. Sarah had no choice but to go on welfare in order to make a living for her and her two daughters. While on welfare, Sarah was able to have a part time job and afford childcare. During the two years on welfare, things were beginning to look up for Sarah and her children. After welfare, however, money became scarce. Too many absences from work lead to Sarah losing her job. Why did she miss so many days of work? "Childcare was just becoming too hard to pay for. Sometimes I would be requested to work nights and I had to decline. With all my absences and excuses, I was no longer needed, and therefore let go."
This story is fictional, yet very real in the world today. Young women like Sarah exist everywhere. If childcare was made available and affordable, Sarah, and women like her, could keep the jobs they have and build a strong healthy life.
Impact on My Generation
In the state of Florida, welfare programs have a two-year span for each person. The purpose for placing a time limit is to put the pressure on. When people know that in two years their funds will be cut off, motivation is high to go out and find a job. Pensacola was one city in Florida who followed this welfare attempt with good results. One reason why the welfare program in Pensacola was so successful was because of the childcare opportunities offered to working parents.
* Half of those on welfare had jobs with benefits by the time two years were up.
* Among those who were not working, half of them received jobs within six months.
What My Generation Wants
The past affects the future. Everything that happens in previous generations can either benefit or cripple the future world. As a member of Generation Y, life alone in the real world is not too far away. Laws that are made today to better welfare will only make it easier for future generations to come. Some Generation Y members do not even have to wait for the future to experience the hardships of life. Many young women today are single mothers needing financial assistance and a hope of a future education and job.
In some of my classes here at Michigan State, I see mothers coming to class with their children because something went wrong with their childcare arrangements. Stacey Lesmeister, a freshman physiology major, states: "I know of many women who continuously have problems with childcare. Much needs to be done about the problems of welfare, and childcare is a great start. Affordable, available, and reliable childcare will take much pressure off parents, and lead to a better economy."
What I Recommend:
* A two-year maximum time for welfare recipients.
* During the two-year time span, recipients will have to check in monthly with their social worker to make sure progress is being made.
* For the two-year period free childcare should be available, with proof that the parents are engaging in constructive work.
* Once the parent has found a job, an affordable price for childcare will be issued.
* Outside of the two years on welfare, government funding will lower the cost of childcare for low-income families.
* Along with cheaper day care, night care will be provided for those who can only find jobs in the night hours.
Ryan Jackson
Major: General
Business – Prelaw
Religion Has No Place in Government
Real Life Scenario
During the Holocaust over six million Jews were killed. These innocent men, women, and children were killed because one government decided that they did not believe in the "correct" religion.
Impact On My Generation
Another major problem with the new proposal of "faith-based" programs is the fact that the government will be placing a price on each religion, implying that one belief is more valid than another. The government is a very powerful tool, revealing to the nation as well as to the youths of today that one religion will be receiving more funds then the next will cause much controversy. "I believe that these programs will prove to be more partitioning, mixing church and state can only lead to problematic situations among youth and the rest of society," says Aaron Hiner, a psychology major at Michigan State University.
What My Generation Wants
I have chosen this subject because I believe it is of utmost importance to the youths of today's society. My peers and I are the future of this nation. Encouraging more religious separation will only lead to more cultural problems. Although I would like to see solutions to homelessness and drug abuse, funding religious organizations is not the answer. Federal taxes should go toward more pluralistic solutions. I believe government should encourage religion, not endorse it. I ask of you, the lawmakers of the great state of Michigan, to speak out against such wrongs and make a stand for what is right.
Internet Gambling
Real Life Scenario
From the bedroom of his home in California's Silicon Valley, a man named Fredrick Marino played blackjack all of the time on the internet using his computer. He did so by using credit cards to place bets with offshore gambling companies. Within a few months he had run up more than $25,000 on his American Express card. Within a year, he had lost his house and his marriage because of his huge gambling debts. Now, Marino is suing, along with other internet gamblers, hoping to wipe away credit card bills by arguing that gambling debts are uncollectible. Lawsuits such as Marino's have prompted credit card companies to think twice about handling internet gambling transactions. This man has lost his entire life because of internet gambling. It is not likely he will win his case, but even if he does, he has lost much more than he can ever get back.
Impact On My Generation
Internet gambling greatly affects my generation because of the serious results that could come about from it. Our children may be able to gamble even easier than the children can now if this problem is not stopped. It could cost us a lot of money in gambling debts. As our generation gets older and moves closer to having kids, internet gambling will have a larger impact on how we raise our kids. It will become more important to discuss the dangers of gambling and to try to encourage our kids to not gamble.
What My Generation Wants
The one way to protect parents from their kids running up large debts in Internet gambling is to pass legislation to ban the operation of online casinos. There is currently one state that does not allow online gambling sites and the use of them and that is Minnesota. However, this remains a controversial issue in that state. Gambling belongs in casinos where there is regulation and children are kept out. However, on the Internet anyone can gamble on anyone else's credit card as long as they have access to the number and expiration date. A law should be passed at the state level making the operation and use of internet gambling illegal in the United States.
Simeon Climo
Major: No Preference
"This issue is extremely important to me now that I have been in college for a few years and have seen the effects, both good and bad, that underage drinking can have on people. I don't want to see anyone have his or her life shortened just because of a stupid drink. I want to live past my twenty-first birthday and more importantly, I want my friends to all be there when I do."
Andrew Copenhaver
Drinking Age
Real Life Scenario
Friday evening had just begun when Byung Soo Kim, a University of Michigan engineering student, met up with a few of his friends to help celebrate his 21st birthday. However, they didn't have a traditional birthday celebration in mind for this night. Kim was going to courageously drink one shot of whiskey for every year of his life, not an unheard of challenge for reaching this landmark age. In fact, he managed to quickly down the first 20 shots in only ten minutes. Unfortunately, he would never make it to his magic number. Kim stopped breathing that night and was eventually pronounced dead at the University of Michigan Medical Center three days later. He had amazingly registered a blood alcohol level of .39, almost four times the legal limit.
In a prepared written statement, Kim's parents expressed both their sadness and disappointment. "We would like to emphasize that this does not represent our son's usual behavior. He did not drink regularly and according to his friends was often the one to take care of friends who had had too much to drink. It is our heartfelt desire that the community can learn a lesson from this tragedy and reach out to those who need help."
Impact On My Generation
Impact of current legislation: This issue of lowering the drinking age has a huge impact on us because we are the people who are slightly younger than, older than and exactly 18 years old. Not to mention, with alcohol being more readily available, Generation Y will definitely be affected by whatever choices our friends make regarding how to handle their alcohol privileges. The current laws that are in place, and those amendments to them, tend to do a decent job of maintaining a grasp on the underage-drinking dilemma. However, they have yet to demonstrate an overwhelming ability to conquer this problem and develop a successful method for consistently decreasing it. Until that time, legislative actions will have as much, if not less, impact on society as they do right now.
Impact of proposed legislation: It's tough to say whether or not the proposed legislation will have a successful future ahead of it. This idea of educating people about alcohol is not a new one. Many school-aged children go through a drug resistance program while growing up called D.A.R.E. (Drug Abuse Resistance Education). Not to mention that if laws haven't been obeyed to this point, why would stricter ones expect to see a different result? That's not to say, however, that these new proposals won't succeed. For instance, an awareness program exists that doesn't preach about sobriety, but rather informs people of its effects and consequences. Therefore, Generation Y will grow up with a respect for and understanding of alcohol, rather than a curiosity for or fear of it.
What My Generation Wants
Input from Generation Y focus groups: Based on Generation Y surveys and interviews that were conducted, it seems that the majority of young people are in favor of lowering the drinking age to 18. Not only for the alcoholic implications, but also for the sake of being admitted into otherwise unavailable fun spots, such as clubs and bars. When you look at the entire picture, kids miss out on a whole lot more than just an alcoholic drink. We aren't necessarily looking for the opportunity to get drunk on our own terms, we're looking for an opportunity to call our own shots and live fulfilling lives. People can speculate all they want as to what will happen with this new change. However, in the end, nothing will be known for certain until we try it out.
What I recommend: I personally believe that the drinking age should be stay right where it is. I've known people who died while being intoxicated, and of course they were all underage. Life is too much fun to be lost at such a young age. Kids are going to keep drinking whether there is an age restriction or not. The difference is that a lot more will do it once it's legal. In addition, I have come across the underage drinking laws that are enforced heavily in the state of Maryland. I believe that the guidelines and penalties are very well established; therefore it's attached as an example of what I think would be beneficial.
Costs: Accidents, such as automobile or alcohol poisoning, could result in higher bills for families. Emotional and mental problems could also result from excessive alcohol abuse or use, thus costing a price that can't be measured in dollars. On the national level, alcohol consumption, abuse and its consequences have been estimated to cost our society $86 billion each year; $26 billion more than the cost of Desert Storm.
Biography
Andrew Copenhaver
Major: Advertising
"I myself have seen the impact of unsafe elderly drivers. I have been stuck behind them going 25 mph on a road with a speed limit of 50 mph. I have been cut off by them on the expressway and have seen many accidents caused by their carelessness. I feel that the need for a change in the system of license revoking is inevitable. Along with my opinion, I know, from my research, I am not the only one that feels this way." Stacey Bednarski
Stacey Bednarski
Major: Advertising
Elderly Drivers
Real Life Scenarios
The concern of the nation regarding the safety of elderly drivers continues to rise. Stories, like the one reported by The Detroit Free Press, of the 96-year-old Detroit man adds fuel to this matter. Members of his family repeatedly tried to convince him to stop driving because he kept crashing into a tree next to the driveway. So, how did he respond? Rather than stop driving, he chopped down the tree. Another story involves an elderly Michigan resident that started out her driver's test by backing up into a building, crashing through a window, and sending three people to the hospital.
There was an award-winning movie that aired a few years back called Driving Miss Daisy. It was about a proud elderly lady who could no longer drive. After unsuccessful attempts at public transportation, her son hires her a chauffeur. However, outside of the movies, this isn't a very realistic alternative for elderly drivers that need to retire their licenses. Concerned family members of elderly drivers seem to be very persistent in attempting to get their relatives to hand over their keys, but feel that they are taking away possibly the only freedom that they have left, the freedom to drive.
I will use my great-grandmother as an example of this situation. At the tender age of 80, my family felt that along with her eyesight and hearing, her driver's license must go as well. At first she resisted, arguing that she was fine on the roads. I personally confessed to her that she needed to stop driving, she replied with, "I have never gotten a ticket or into an accident." I then replied with, "but Great-Oma, how many accidents have you caused?" She refused to reply. My family decided to just start making sure that we did everything for her so she wouldn't feel the need to drive anywhere. Eventually, she got the point that she really did need to park her car for good.
Impact On My Generation
Impact of current policy: Nearly all of the members of Generation Y have already acquired a driver's license. This means that most of the members of Generation Y have had the experience of being behind the wheel. 95% of them relived an experience of having a dangerous encounter with an elderly driver. Kraig Yeck stated that, "one elderly person just wasn't paying attention and pulled out (in front of him)." Another Generation Y member, Brad Neil, simply stated that, "the elderly just drive too slowly." Billy Ricketts commented on the need for "a better plan to keep the dangerous elderly off of the roads. They think that they are immortal and they think that they own the roads." This, in fact, stresses the point that all motorists, including the elderly, affect Generation Y. Also, many of Generation Y members have grandparents that probably shouldn't be behind the wheel. The concern for them and the fear for their own lives shows the kind of impact that this issue really does have on 'my' generation.
Impact of proposed legislation: Perhaps if the task force continues to monitor elderly drivers and decides that there, indeed, is a need to change, there may be legislation proposed. Maybe this will help to keep the unsafe elderly off of the roads.
What My Generation Wants
Input from Generation Y focus groups: In a question to members of Generation Y, I asked them to state their opinion on what would be a good way in determining when an elderly person should lose their license. Matt Horton gave the suggestion, "when a trained person administering the test feels that they are not capable of passing (a test)." Besides the issue of drivers' tests, 80% of Generation Y felt that the government should have the say at what age a person is to be considered "too old to drive." An average age of 75 was considered the rightful age, according to the survey given. To insure the safety of all motorists, something needs to be done in order to prevent further accidents caused by the elderly. Elissa Estes commented that,""their lifestyle is slow, as is their reaction time and how quickly they can see that the light they went through was actually red."
Overall, Generation Y felt that elderly drivers were definitely a hazard on the roads. Estes commented that, "they (elderly drivers) continually merge at 30mph on the expressway." Generation Y member, Mark Nosek, stated that "elderly drivers, drive too defensively and slow, causing accidents sometimes." Many members of Generation Y feel that as soon as the elderly driver fails a driver's, eye, and hearing test, they should be condemned from getting behind the wheel. Generation Y also feels that these tests should be "annually taken by anyone over the age of 70." This in turn would involve the administration of the government. As of the present, there are really no definite regulations that decide the fate of the driving elderly. However, there is a definite cry for help from Generation Y that wishes to somehow keep these""hazards" off of the roads.
What I recommend: I think that the government should strictly enforce a new law that makes sure that anyone over the age of 70 undergo annual road tests. I think that they should also have their eyesight, hearing, and reflexes tested on a biannual base. I support keeping the elderly, who are experiencing the result of the aging process off of the roads and out of danger's way.
Costs: The costs involved for frequent testing of elderly drivers include the cost of the people giving the road tests and the doctor bills that accumulate from the health examinations.
Biography
Adam Freck
Major: Geography
Technology
The NASA Budget
Real Life Scenario
Here is a scenario that would not be possible if it were not for the National Aeronautics and Space Administration (NASA). I wake up in the morning and put my food in the microwave and pour a glass of Tang to go with my breakfast. When the food is ready I take it into the living room where I turn on the satellite television and watch CNN where they are reporting from a country on the other side of the world. Then I put on my Velcro shoes before heading out the door. I go to a university where the level of education has not stopped getting better for the past 45 years because of the nationwide emphasis on math and the sciences at the start of the Space Race. The things that I did this morning would not be possible if it were not for NASA, although, the Tang could probably be easily replaced.
Impact On My Generation
The improvements in the education of our country's youth and the improvements in technology that changed the lives of our parents would not be there for us if we did not have a program like NASA. Opportunities could be lost for our generation if the present advancements did not continue.
What My Generation Wants
The Mars Observer, which failed its mission, cost $980 million. This cost was spread out over ten years. If we assumed that the federal budget was $1.43 trillion each year, the Mars Observer was only 0.007% of the budget each year. If there are at least 212 million taxpayers, the Mars Observer only cost each person 46 cents a year or $4.60 total over the ten year period (Vogel 27). I would like to propose that the NASA program have an educational program that goes into every classroom in the country and educates the younger generations on what NASA does and how important it is to have a program that advances our country like NASA does.
What do these numbers tell us? They tell us that the space program does not cost our government or the taxpayers very much money. It is nothing compared to the astronomical budget that our defense programs get. So, it would make you think that a raise in the budget of the NASA program would not cost our country that much. Would you rather see your money be put towards thousand dollar toilet seats or further understanding of our universe?
Ryan Rabish
Major: No Preference
Education
Values Education in Public Schools
Real Life Scenarios
As a sophomore in high school, I was a varsity sport athlete and 3.8 student. However, I didn't have very good friends and was discontented with my family. In my junior year, I changed schools and unwittingly took an introductory class in sociology. I learned about myself, about relationships, and why others act the way they do. I learned how I could immediately change my life by altering my perception. I would walk out of the classroom and be able to use the information I had learned just 5 minutes ago. This teacher and class changed my life forever. It brought reason and explanation along with understanding and caring to my life. I saw everything through a new pair of glasses. I could understand how kids join gangs, cults, are depressed, live a way of violence, let their addictions to sex, alcohol, drugs run their lives. If they only could have learned what I had, they might have been able to change themselves and become the way they wish they were. Everyone should have the opportunity to at least experience the subject I did. This one sociology class changed my life forever. It might just do the same for others as well.
Impact On My Generation
* By studying sociology, kids can gain a sense of who they are. Peer pressure won't be as influential because students will have the self discipline and respect to be who they really are.
* Students will learn about those that are different than themselves. They will study gangs, cults, cliques and other groups in society.
* Studying relationships between themselves and the people in their lives.
* The study of other cultures, ways in which we can change our culture and ourselves to become a better society, and celebrating differences instead of perceiving them through hate and disrespect
* Problems such as teen sex, drugs, and materialism would be studied and discussed.
* Hand picked movies and books would be reviewed and discussed to gain a sociological perspective on normal everyday situations.
In conclusion, the subject of sociology cannot solve all of our generation's problems but can help young students understand where they exist, why they exist, and what they can do to help prevent them in the future. To examine ourselves, our peers, and our society should be a priority in our schools. As of now, it is more important to educate kids in fields that might help them produce the next big technological advancement than develop them as mentally, physically, and socially healthy future adults.
"It is not enough that you should understand about applied science in order that your work may increase man's blessings. Concern for man himself and his fate must always form the chief interest of all technological endeavors, concern for the great unsolved problems of the organization of labor and good – in order that the creations of our mind shall be a blessing and not a curse to mankind. Never forget this in the midst of your diagrams and equations."
One of the most brilliant men in the history of our world, one who made historical advances in science and technology alike, wrote this. His name was Albert Einstein. All the science and technology in the world won't mean a thing if we find ourselves as an unhappy, doomed society. Are we headed towards understanding others and ourselves? The subjects of sociology and psychology can help accomplish this, which in turn might help reduce many of the problems and create a bright and improved future.
What My Generation Wants
Education must adjust to the times. That means confronting the most important issues of society and working to resolve them. Policy recommendations are as followed:
* Make Introduction to Sociology and Introduction to Psychology requirements for graduation. These classes should be taken during the sophomore or junior years.
* Make Advanced Sociology available. This would be an optional, deeper class for those who are really interested in sociology.
* Make Advanced Placement (AP) Sociology available. This would allow students with an advanced understanding of sociology to receive college credit while in high school.
* Create a high school preparation course for eighth-grade students. This would help them become aware of the dangers as well as the fun activities in high school. Many kids begin high school without a clue of what it is like. That is extremely dangerous.
* Start with a trial period of one year and take results on the progress of students. Attain student, teacher, and parent feedback upon completion of these classes.
Michigan State University requires students to have 8 credits in Integrated Social Sciences for them to have a better overall educational experience. Also, many high schools have Psychology 1, Psychology 2, and AP Psychology, so it isn't too strange to facilitate more social science. However, they aren't required. If taken, these classes could help cut down the problems kids have in high school.
Biography
Trisha Thayer
Major: Landscape Architecture
Hope Scholarships
Real Life Scenario
One of my fellow students in high school experienced something that no one that planned on being collegebound would like to experience. She applied and got accepted to two different public state universities. The only problem was that she had no way to pay for either of them. She tried to receive financial aid but soon found out that her parents made too much money for her to qualify. This was after she found out that her parents would not contribute any money for her education. She thought about the option of a student loan but didn't want to be in debt when she was finished with college. She really had no options. If there were HOPE scholarships in Michigan this student would have been able to attend college without any problem.
Impact On My Generation
This issue should be of great importance to people in my generation. It would make all of our lives a lot easier. Those of us who wanted to attend college would not be faced with all of the money stresses that are related to it. The HOPE scholarship would send those of us to college that deserve to go. Yes, many families can already afford the expenses of college life for their son or daughter. But what about the students whose parents will not pay for it so they end up going to a cheaper community college where the education received is sometimes substandard. For students like this it is their chance to be independent and to make their own choices about where their life is going to go without the possible money restraints.
What My Generation Wants
The responsibility of the government for this issue is not really that large. The government would simply need to come up with a constitutional amendment and the citizens of the state of Michigan would have to approve it by their votes. The Michigan lottery already supports education. But the question is where does the money go? They claim to have provided $616.6 million in the year 2000 alone and a total of $9.8 billion since 1975 (Lottery Supports Education! 2). In the 1996-1997 school year the Georgia HOPE scholarship program supported roughly 124,000 students with $159 million in lottery revenues (Dee and Jackson 1). This amount of money is well within Michigan's budget for the money that is already given to the education system from the Michigan State Lottery. If the money is already there why not use it.
Kristin Lobaito
Major: Education
Standardized Testing in Public Schools
Real Life Scenarios
Standardized testing can prove to be beneficial. A school in Washington had received insufficient scores repeatedly on reading standardized tests. As a direct result, the school adopted a new reading program that has turned around the problem (Foster and Salpeter 4). Standardized tests identified that there was a problem in a certain area, due attention was given, and the problem was corrected.
Standardized testing can also be taking away from or even harming the students' education. I can attest to my education being affected by the state's standardized test. When I was in school, during all the times I was required to take the state's standardized test, the MEAP, my education was put on hold. The teachers put the curriculum on hold while all the classrooms required to take the test crammed and focused on what to know to get through the test to produce the good results. Not to mention the fact that last year in New York, "8,000 students were mistakenly sent to summer school and 3,500 held back because of incorrectly reported scores" (Foster and Salpeter 1). These standardized tests not only hurt many students' education, but also stopped genuine learning to take a measly little test.
Impact On My Generation
Although the benefit of taking the MEAP, a standardized test in Michigan, has shown to be beneficial on the sole basis that if the test has been passed then the student receives money towards a college education. However, standardized tests impact students more negatively then anything else.
The Detroit Free Press reported, "in 1997 students started waivers to skip the test and avoid the risk of having a failure tattooed on their transcripts. The trend continued in 1998; and more then half of the eligible juniors opted out of the test in districts such as Farmington, Northville, and Warren Consolidated" (Van Moorlehem and Walsh-Sarnecki 4).
Basically, standardized tests are weighed so heavily that the results of the tests label both students and the districts. This labeling has negative repercussions on the students more then policy makers realize. These tests are supposed to be monitoring the schools to assure the education of its students. Although, the reality is that if students produce bad results on standardized tests then those test scores haunt them when time comes to pursue a higher education. These scores are then pooled together for a review of the progress or lack of progress for the schools. This tool may be beneficial in some aspects, but it is detrimental for the students.
What My Generation Wants
Moreover, there are other possible alternatives to standardized testing to monitor schools. Perhaps there should be two different types of testes testing for different objectives, one for the knowledge of the individual, and the other for school practices (Eisner 3). This way there is a more rounded perspective on the individuals and perhaps the schools' programs. This would be just an additional test that would be administered around the same time as the original standardized test. Another possibility would be to get rid of these tests totally. I personally think that tests are inaccurate when it comes to measuring potential.
However, I still think that schools should be monitored but just in a different fashion. I think that there should be individuals assigned to each school to monitor the school's progress on a daily basis. This person would send in annual reports on the type of information covered, and progress of both students and teachers in the adaptation to different styles of leaning. From there, the reports would be reviewed to assure that there are similarities in information, and that things are running smoothly for both students and teachers. This option would be more expensive for the government to support, but I feel it would the best option for the purpose at hand—to monitor schools. Michigan presently spends thirteen million a year on MEAP testing on approximately 4,000 schools (Schram). This averages out to be about $3,300 for testing each school. More importantly, my alternative would focus more on each school and its students and provide more jobs. If society is concerned with the education for the country's future, then what is a few more dollars and more informal reviews?
The real question to all the controversy would be if the good outweighs the bad. Also, could we discover any better alternatives to standardized testing that would be more efficient? It is clear that the concern is for the children and ensuring that they receive their equal education. My generation agrees that schools do need to be monitored, but in the most effective way.
Biography
Andrea Evans
Major: Interior Design
Violence in Public Schools
Real Life Scenarios
Michigan State is truly a diverse university. Students from a variety of social, racial, and economic backgrounds gather here to further their education. After talking with several students, it was clear these young people had more in common than initially apparent. Many had to overcome severe violent disruptions throughout their high school years and desperately fight for their education. Despite their backgrounds, most had similar stories to share. I interviewed a student from an upper middle-class suburb. I asked her several questions about violence in her high school. I was shocked by some of her stories. She told me several accounts of weapons such as knives being found in student's lockers. She missed two days during her senior year because of bomb threats that had been called into the school. Her graphic description of fights that would erupt in the hallways between classes sent an eerie feeling over me. As we were ending the interview the young women looked me in the eyes and said, "I hope that your voice is heard. Something desperately needs to be changed."
Impact On My Generation
The effect of school violence is broader than actual statistics may suggest. As stated in the "Reason Public Policy Institute" policy brief, "Violence in any setting is a problem. The issue is compounded when it pertains to schools, because violent behavior and actions take away from the educational process." Youth today are often depicted as careless and uninterested in educational values. Though this statement may stand true in some individual cases, it is an extremely unfair generalization.
One Seattle student states, "Some of my classes are really rowdy and it's hard to concentrate." Another student from Chicago talks about some of her classmates, " They just are loud and disrupting to the whole class. The teacher is not able to teach. These are real ignorant people." (Volokh and Snell, 23) Many of these young students have to desperately fight for the quality education they dearly care about and deserve.
Can we really afford to turn our backs on the youth of today? Many try to argue that school violence is not a large problem within our country, yet bright youth such as these really do care about their education. They are the future of our country. Are we willing to gamble on the quality of their education?
What My Generation Wants
In the past, the government has dealt with public school violence by trying to clean up the problem instead of preventing one from occurring. It is more work to continually bail water out of a boat than to fix the leak. Prevention is the key to solving the violence in our nation's public schools. I am not suggesting that the government throw more money at the problem. This is the not answer or the proper solution. There is a significant amount of money already allotted to help solve this issue (though whether the money has been spent wisely is another question). Due to the limitations on government involvement, a joint effort must be formed in order to control school violence.
The government needs to place regulations on all school districts. This would require them to keep more accurate records and report the findings and success of their violence-prevention programs. These records should be annually submitted to the government, so schools can easily conduct database searches on other districts of similar backgrounds and the success of their programs. This will prevent districts from wasting money by setting up previously unsuccessful workshops. It is also important for the government to make it mandatory for all schools to develop violence prevention programs within their curriculum. As an incentive to districts, allocations should be distributed according to the success of the program in relation to their incidents of violence. It should be up to the school to format the program to fit their specific needs. Whether the emphasis is placed on peer mentorship or an anti-gang program, it would be left to the discretion of the school. Yet all districts would have to submit the same reports at the end of the academic year reviewing the positives and negatives of their program. These reports would later be available for other schools to review.
Amanda Lindemulder
Major: Special Education Visual Impairment
School Vouchers
Real Life Scenario
A very close friend of my cousin was an extremely intelligent girl. She was well advanced in math and actually took high school classes when she was still attending junior high. Eventually she had exhausted the math department at her school and had nowhere else to go. The local private school which had a more advanced math program was too expensive for her parents to afford, so she was forced to take classes where she didn't learn much at all. Throughout high school this friend helped my cousin get through her math classes. My cousin was not as "gifted" as her friend and had real trouble getting through her remedial math classes. If this friend wasn't there to help my cousin she would have never gotten as far as she did. Because of the advanced people in the public schools, who don't go to the private schools, many people like my cousin are helped. So what is worse, one girl who isn't challenged enough, or a whole class that might never understand?
Impact On My Generation
Impact of current legislation: The majority of Generation Y has completed their secondary education or is close to completion. Still, Generation Y is greatly affected by the current legislation. Children of the members of Generation Y will either be in the public or private school system. We will have the same problems our parents have now. Our children might not get the education they deserve because we might not be able to afford to send them to private school (if the public school is inadequate).
Impact of proposed legislation: If the proposed bills would have passed or future proposed bills pass, members of Generation Y might be forced to pay higher taxes. Also, future teachers in Generation Y might have trouble finding jobs they want. If the public schools start deteriorating many people would not want to teach in those schools. On the positive side, Generation Y's children could have an opportunity to have a more quality education.
What My Generation Wants
Input from Generation Y focus groups: A focus group consisting of 17 Michigan State University students were asked a series of questions regarding school vouchers. They were asked to give their own personal opinions and speak freely. Many of the participants asked to remain anonymous but all gave their consent to be used in this brief. Also, 15 Generation Y students replied to the same questions over the Internet.
The majority of people polled as members of Generation Y do not want the government to take a role in the school voucher controversy. In their opinion there is nothing wrong with companies sponsoring students but the government should have no role in paying for private education. The government supports the public schools, but private schools should be supported by the citizens who choose to attend them.
When asked, 90% of the people who attended a public schools claimed they were very satisfied with the education they received from their schools and they would not choose to attend their local private schools even if it was free.
What I recommend: As a graduate of a public school and a future teacher, I believe school vouchers are not something that should be adopted by the state of Michigan. I know some students don't have the advantage of going to an excellent school like I did, but school vouchers are not going to help those schools to improve.
The problem that the government should focus on in this situation is the public schools. The MEAP test is given to each student in the public schools, if a certain percent of the students do not perform up to standards, then that public school should be investigated. Whatever needs to be done to make sure the criteria is met for that school should be done.
Costs: This policy change would not cost much at all because it does not change much in the current policy. Taxes that are collected now should cover whatever needs to be done to make sure the public schools are performing as they should.
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Biography
Jaime Nelson
Major: Engineering Arts
Maximizing Our Public Schools
Real Life Scenario
Jenny, a student at Michigan State University, attended preschool for two years: the year she turned four as well as the year she became five. She graduated from high school with a 3.8 GPA, and is expected to end her freshman year at college with a cumulative 3.75. Her cousin, Allison, did not attend preschool and graduated from high school with a 2.8 GPA.
A young man from my hometown just wanted to be able to afford a""decent car." In order to do this, he dropped out of high school at the legal age of 16 in order to get a job at the local fast food restaurant. His decent car will last, maybe, 20 years. However, a great education that could have been achieved by staying in school would have given him the ability to succeed in life.
Another teenager dropped out of school when he turned 17 because of his use of drugs. He thought that if he quit going to school, then he could make more money by selling the drugs that had made him so happy. It turns out, however, that after only a year of the drug-dealing life, he was arrested and put in prison. By staying in school, he could have avoided such hard times.
Impact On My Generation
The well-known phrase, "Today's children are our future." is a very true statement. In 50 years, when the young people of today go into retirement, we will all be looking to the children of the future to help assist us with all of our needs. I am sure most people would agree that we want well-balanced Americans to decide issues in our future as we grow weaker and less likely to take care of ourselves. It is more likely that if the children of today are starting to learn the necessary skills to succeed at a young age, then they will only grow stronger from that, and in turn become more well-rounded individuals, and better equipped to help the nation when they are older.
I know many people that were supposed to graduate in my class but did not. A couple of girls got pregnant and had to raise their children on their own. Three guys left school before their senior year even began because they were so concentrated on making money, that they only had eyes for dollar signs instead of their education. One very common reason that people leave school is that they are fed up with the people that are in their classes. This includes both students and teachers. Maybe high school isn't the right place for everyone, but achieving a diploma should be taken more seriously.
What My Generation Wants
One suggestion to the government is to make pre-school mandatory for all children planning to attend public schools. The Michigan law already states that all children must attend school the year that they turn six years old. In many cases, that would mean that children are starting school at age five. While five is a smart age to make kindergarten mandatory, it would be better if youngsters were required to attend pre-school for a couple of hours a day during the year they turn five. This would make children more educationally equal when they start kindergarten, which would account for less disorder among students. Many children have such different backgrounds, that teaching young classes is quite difficult. However, this would make it much easier to instill basic ideas and thought processes in each child's head.
One great idea to help decrease the dropout rate would be to raise the requirement for staying in school from 16 to 18 years of age. This would insure that children couldn't leave school just because they got their license, or wanted to make some quick money. However, there are definite negative effects to this idea. For one, just because someone graduates from high school doesn't mean that he/she learned a great deal by being required to attend every day. If fact, if the student became disruptive enough, he/she could interfere with other student's abilities to learn, and therefore making them want to consider leaving school.
One possible solution to that would be making more alternative educational institutions available to youngsters. The law in Michigan says that for someone to be able to take GED classes at night, he/she must be at least 17 years old. How fair is it, that someone can quit high school when they turn 16, but can't pursue another form of education until they turn 17? Also, there are daytime alternative educational schools that people can attend if they are having problems in their high school. By making more of those institutes available, Michigan would have better educated young adults walking the streets.
Hoi-Kab Kim
Major: Political Science
"This semester has been a pedagogical grand slam. The students are learning so many skills. They're learning how to write as part of a team; they're thinking critically and listening to their classmates; and they're developing a sense of how politics really work"
David Stowe, Professor
Education
Employment of International Students
Real Life Scenario
I see many international students try to get a job in the U.S., but few can. They cannot usually help but return to their countries after graduation. When I see or hear those kinds of situations around me, I feel the fear of getting a job in the U.S. I am concerned about my future when I graduate. Numerous international students, including myself, who are currently studying at MSU, want to experience American workplaces anyhow. However, most of them have doubts about the uncertain job opportunities in the U.S., so they are losing their dreams little by little.
Impact On My Generation
Whether or not the government adds job opportunities, this issue will have significant impact on Generation Y. Impact of current legislation:
* Jung-Sick Shin, a freshman at MSU, believes that international students will voice their employment problems if the government does not give more job offers to foreign students.
* A junior at MSU says that fewer international students could come to the U.S. in the future if the government does not give more job opportunities to international students.
Impact of proposed legislation:
* Jenny Shrewsburg, a freshman at MSU believes that we will have a more mixed work place in the future.
* MSU freshman Amanda Lindemuldes says that if the government gives more jobs to foreign students, it could mean fewer jobs for the people who live here.
* Michelle Quinn, a freshman student at MSU predicts that we would see more foreign students in this country.
* A sophomore at MSU emphasizes that there would be reduced wages for non-foreign students.
* MSU freshman Yu-Chul Kim, a student from Korea says that if the government gives more job offers and does not regulate employment of international students, everyone would compete for jobs under the same conditions. Hence, everyone would try to be qualified.
What My Generation Wants
Input from Generation Y focus group
Recommendations For:
* Eliminate the regulations of employment for international students (F-1 or F-2) because the restrictions are unfair to international students. They sometimes need a job to support their studying abroad.
* Give international students the same benefits as American students. They live in the same condition in the U.S. as domestic students do, so they should receive equal benefits.
* Regulate the number of jobs offered to international students because most international students want to get experiences of a job in the U.S. even some international students would go back their home countries from their graduations a couple of years later; most of them believe it is a valuable experience.
Recommendations Against:
* Regulate the number of jobs to first allow American students to seek employment, and then allow the foreigners. If the foreigners show great potential, the government should promote them to higher jobs.
* Keep the regulation of employment for international students because domestic students should have the right to get a job before international students do. If foreign students were qualified, they would get a job fairly despite the regulations that exist.
What I recommend: Based on the data, there are a lot of international students in the U.S., who might have a dream to get a job in the U.S. Nevertheless, I think that most international students have the similar kinds of fears about the employment in the U.S. as I do. In order to relieve those fears, I believe the regulations of the employment for international students should be revised.
Biography
Lindsay Anderson
Major: General Management
Matthew Gerwin
Major: Engineering
Generation Y Perspective
Health
Smoking Restrictions on Public College Campuses
Real Life Scenario
Smoking has affected a lot of people on the Michigan State campus. Usually young tobacco users don't develop lung or mouth cancer until they get older. Many of the effects felt by tobacco among college students are through a family member who has developed cancer from the carcinogens. "My father started smoking when he was 15 years-old, and continued until the day he found out he had lung cancer. By that time he was smoking two packs of cigarettes a day. I didn't think anything of his smoking before the cancer, I even smoked myself. I started smoking in high school too. He died two years ago, last February," said an anonymous no-preference major freshman that attends Michigan State University.
Impact On My Generation
The new generations of smokers range from as young as 14 to college students. Cigarette companies purposely recruit teenagers through advertisements such as Joe Camel and The Marlboro Man. A recent bill passed by Congress slows this 'so-called' recruiting process by cigarette companies. The consequences for our generation might not happen tomorrow, or in 10 years, but if smoking continues to grow at the current rate hundreds of thousands of people will die from lung cancer, emphysema, or mouth cancer. Globally, smoking-related deaths will rise to 10 million per year by 2030.
The recent tobacco settlement forces four major tobacco companies to pay an estimated $206 billion through the year 2025. Although appearing to be a major setback for the tobacco companies, 1999 annual revenues only decreased 9%. To compensate for the loss of revenues, tobacco companies raised the price for a pack of cigarettes 15 cents in 1999, and targeted minorities. In December 1999 the largest tobacco company in the world, Philip Morris, launched a $40 million campaign targeting women. Even though tobacco companies are limited to advertising, cigarette ads in magazines such as Glamour, Ladies' Home Journal, People and Essence are very common. Organizations such as the Medical Women's Association and the National Coalition For Women Against Tobacco have countered the industry's target on women.
Tobacco companies should not be allowed to advertise in magazines targeting certain groups. Advertisement will increase the number of smokers, which in turn leads to major health problems such as lung cancer and emphysema. Aside from minorities, tobacco companies have targeted minors. The MSA prohibits the advertisement of tobacco related products at most events with a large youth audience. Such bans are at football, hockey, soccer, and basketball sporting games. Most arenas and stadiums also have a ban on advertisements.
A major sporting event that has a tobacco sponsor is NASCAR. The Winston Cup is the major series for NASCAR racing, and has millions of young fans worldwide. Besides the Winston name, a major cigarette brand, being brandished all over racing events, FOX Sports Networks and NBC has signed a multi-billion dollar deal to televise the NASCAR Winston Cup racing. This will provide advertisement the Winston cigarette brand needs to'"recruit" the new generation of smokers normally around 11-15 years of age. Early adolescence is the period when young people are most likely to try smoking for the first time. The Liggett Group Inc., one of the five major US tobacco companies, has admitted that the entire tobacco industry conspired to market cigarettes to children as young as 14.
Why should we make it more convenient for these educated students to smoke on our educational grounds? One student group is fighting to curb the smoking habit on campus. Students Taking Action Regarding Tobacco (START) has worked to get rid of many of the ashtrays that are located near building entrances and helped get no-smoking signs posted in these areas.
James Noto, faculty advisor for START, stated "our first choice was to have a smoke-free campus," he said. "Many people complained about walking through a gauntlet of smoke to get to class."
According to START, many students said they would support a ban on cigarettes. For example, one student stated, "I, 100 percent, think it stinks…If they want to smoke, take it home. Cigarette smoke has no discrimination — it's going to seep in and not go away."
Programs to help students quit their habits are not marketed at dormitories, university education buildings, or sports arenas on campus. "I've never even heard of programs that help students quit smoking—they have them here?" asked a well-involved freshmen at Michigan State University, Jill Szoke.
What My Generation Wants
Every year 400,000 people die of tobacco related products. Tobacco has been a major industry in America for centuries and is still strong. The following needs to be done:
* Restrict advertising
* Prohibit sales to minors
* Decrease production
Smoking Restrictions on Public College Campuses (Continued)
The government should limit the amount of tobacco grown to under a billion pounds per year, and decrease that every year. Besides limiting production, the government should limit the amount of packs per week people are allowed to purchase. A screening procedure should also be established to buy cigarettes which might also help reduce the amount of smokers. The screening process should involve a long, expensive process to get a cigarette, so people will consider giving it up altogether. Health concerns, personal effects, and financial effects should be told to the customers in a face-to-face screening situation as well.
* An estimated 70% of smokers (33.2 million) want to quit.
* Only 2.5% (1.2 million) succeed in quitting permanently.
* Only 15% of smokers who saw a physician last year were offered assistance with quitting.
Although there are penalties against selling tobacco products to minors, there need to be penalties against the business owners as well. If penalties were applied to the owners they would monitor who they hire and train more closely. Creating laws for production and sale can control consumption of cigarettes. Compared to other countries, the United States is well below the average price and excise tax on cigarettes. Countries such as the United Kingdom, Denmark, and Portugal have 86% of the price of cigarettes as a tax, while a dozen other countries are at 70% or higher.
* A 10% rise in tobacco prices has resulted in lower overall cigarette consumption by 3% to 5% (2).
Higher prices will result in more smokers deciding to quit and fewer young people choosing to smoke, yet the U.S.'s highest tax on cigarettes is at a mere 41%, and is low as 11% in states such as Kentucky (2). An increase of price for cigarettes has resulted in increasing use of smokeless tobacco products as well. A major state and federal tax increase of $2.00 -$3.00 should be required for all tobacco products to decrease the number of smokers and tobacco use altogether.
* "Volunteer Group Clean up for Smokers": Cigarette butts would be cleaned up on walkways, along rivers, and roadsides 2-3 times a year. For example, sororities and fraternities on campus have a quota of how many philanthropy acts they have done each year. This could be a great way for sororities and fraternities to promote that smoking is bad, and show the amount of clean-up needed for littering.
* Post signs that state the smoking regulations on campus at all entrances and enclosed areas at dormitories, educational buildings, bus stops, etc.
* The message "Please Don't Litter" should be put on all cigarette packs, which is very common for highly littered items such as soda cans, snack wrappers, and fast food containers.
* Free personal ashtrays should be marketed. They are paper-thin and will easily fit in any pockets. They are foil lined, trap the smell inside, and take up less space in your pocket or purse than a pack of cigarettes. If this is not available, improvise with such things as film containers, metal mint containers, regular tin foil, or anything else that's handy.
* Implement a 1-800 Campus number that people can call to report on someone they saw litter the butt of a cigarette, or get the license plate number of the driver disposing of his/her cigarette butt out the window. For example: 1-800-litterbug is one litter number where you can report a litter of anything including cigarettes.
* Market the programs more effectively at each campus to better tailor cessation programs to students' needs. If the programs were advertised as being available, this could help curb the decrease in the amount of college students that want to quit smoking but don't know how.
Biography
Matthew Horton
Major: Marketing
RU-486, the Abortion Pill
Real Life Scenario
RU-486, also known as the abortion pill, has been met with controversy and support across the nation, but most recently on college campuses. Michigan State University (MSU) has experienced controversy over the abortion pill. MSU's health facility, Olin Health Center, announced it would not offer RU-486. On the heels of this announcement, the Associated Students of Michigan State University (ASMSU), the student government, reacted, saying they would vote regarding the future of RU-486 on campus.
The argument on campus is over whether or not Olin Health Center would reconsider carrying the abortion pill. ASMSU has challenged Olin, proposing a bill to make RU-486 available at the health center. The proposed bill may not bring the drug to the Michigan State University campus. However, depending on the outcome, it could affect students in several different ways. Take the following real life scenario, which could have two very different endings:
An MSU student has recently found out she is pregnant. She is scared to tell her parents. She does not feel she is ready to have a child, nor does she want a child. She does not think she could not withstand a surgical abortion. However, she just found out that the health center on her college campus now offers RU-486. This seems like the perfect solution for her. No one would even know she was ever pregnant. Her parents would not have to find out, and all she would have to do is walk across campus.
The idea of college age students having access to abortions through simply taking a series of pills does not sound appealing to everyone. Especially when tuition money could be used. Kathy Savard, a no-preference freshman at Michigan State University says, "I do not want my money to pay for anything dealing with RU-486." Savard is referring to the possibility of using tuition money and taxes to help fund the presence of the drug on campus.
While Savard disagrees with RU-486 on campus, Sarah Bedee, a freshman at Bowling Green State University in Bowling Green, Ohio says, "I think that they (RU-486 pills) should be available to the students, but only through the health center."
While money may seem like the major issue for allowing RU-486 on the MSU campus, this is not the case. According to Glynda Moorer, executive director of Olin Health Center, "It's not just an issue of funding, it is also the priorities of the health center." In addition to the drug not being a priority on campus, the facilities available do not meet the requirements of the FDA to provide the drug. These requirements include an ultrasound, surgical privileges, and 24-hour care, none of which Olin currently offers.
Impact On My Generation
RU-486 is a new form of abortion in the United States of America. With this drug entering the country, it could greatly affect Generation Y. Unwanted pregnancies can now be avoided in a less painful way, simply by taking a pill. This could possibly lead to an increased number of abortions. However, it is difficult to tell with the drug still in preliminary stages within the United States.
This is where the two endings of the college girl previously introduced begin to differ. The first scenario could involve the girl receiving RU-486 at her college health center and going through with the abortion. Like previously described, she would not have to tell her parents and the unborn fetus could be aborted.
On the other hand, suppose the girl's college health center does not have RU-486 available. The girl may possibly have to choose whether a surgical abortion is right for her, or if it would be better in her situation to have the child. Both situations must take into effect the future circumstances of abortion. It is difficult to say whether a day or twenty years after aborting a fetus the mother will have regrets.
Without what may seem to be convenient to some, RU-486 on college campuses, could possibly make the choice of aborting a fetus easier, or more difficult for young adults.
What My Generation Wants
The approval of this drug was based on scientific research and was proven to be "safe and effective." Members of Generation Y through focus groups and e-mail surveys, consisting of a total of sixty people, have made the recommendations found to the left.
Other viewpoints: While three recommendations were determined through focus groups and e-mail surveys, many viewpoints were made, appearing in the following quotes.
"Intercourse brings out the pleasure of life. It shows that two humans are willing enough to experience the pleasure of life in themselves, and by creating an offspring." (Steven Zimmerman, Michigan State University freshman) "It will just cause people to think that it is okay just to randomly have sex because they will be able to eliminate any consequences easily if anything happens." (Tessa Lawrence, Michigan State University sophomore)
"If RU-486 was allowed on campus it would be like a birth control pill, all the girls would be getting pregnant and using RU-486 as their escape route if they became pregnant." (Valorie Hielman, Owens Community College)
Date Rape Drugs
Real Life Scenario
The Mountain Dew tasted funny, but she drank it anyways. Minutes later Samantha Reid fell to the ground. Hours later she was dead. Her best friend Melanie Sindone went into a coma after drinking an orange juice and vodka drink also spiked with GHB. Autopsy reports stated that they were poisoned with gamma-hydroxybutyrate (GHB) which intoxicates victims, then sedates them, making them helpless to sexual assault. This was the well-known case that happened in Grosse Isle, Michigan (Detroit News).
Impact On My Generation
Impact of current legislation: I don't think that this legislation will keep people from making GHB, buying it, or using it. If someone is looking for a victim to rape, he will do whatever it takes, and this is an easy way for that person not to get caught, especially since the traces leave after 24 hours and because the victim usually forgets what happens.
What My Generation Wants
Input from Generation Y focus groups: Among 40 Generation Y's, 16 of them men and 24 of them women, almost all of them said to put stricter punishments and harder fines on the criminals who actually went through with using the date-rape drug on someone. Possession of the drug should be considered as the intent of use and should also be treated seriously.
What I recommend: This act does little to nothing to provide prevention of date rape. The law merely creates the illusion of security. Its terms do not address the underlying causes of date rape, nor do they in actuality make women any safer. Stricter punishments should be enforced because no one should go through that type of pain.
I think there has to be more effective steps that can be taken in fighting date rape. The government should spend less time speaking out about the ills of drugs and more time educating on violence against women. All of society needs to focus not only on changing men's attitudes towards women, but also on informing women of the rights they have and the dangers they face.
Costs: It would only cost a little more than the amount already being used to prevent GHB, but would be more effective if an advertising campaign is put into use showing how rapists use the drug to facilitate their crimes.
Biography
Anup Hundiwal
Major: Engineering
Biography
Matthew Mooney
Major: Computer Science
Human Cloning in the United States
Real Life Scenario
In 1996, a marvel of modern science occurred in Midlothian, Scotland. Dr. Ian Wilmut did what most scientists believed impossible. He created Dolly, the first mammal to be cloned from an adult. The actual birth of Dolly did not occur until February of 1997, and when the announcement came there was widespread controversy all over the world. Not wanting to be outdone, the United States countered the creation of Dolly with one of their own. They inserted a gene from a jellyfish into the DNA structure of a monkey, effectively turning the monkey's fingernails red. While this doesn't seem like too big of an accomplishment, primates are the closest genetic relatives to human beings. After these acts were announced, the populace became very worried.
Impact On My Generation
The impact of this issue on Generation Y will be profound. Generation Y is the future of this country, as well as the future of the world. We are going to be the scientists struggling with whether or not to clone humans, and we are also going to be the politicians who outlaw it or allow it. It's time Generation Y takes a long hard look at this issue, because as technology gains more advances this issue will become more heatedly debated. It is best that the issue gets addressed and dealt with sooner rather than later so major problems don't arise.
What My Generation Wants
Input from Generation Y focus groups: When I conducted focus groups on this issue I polled close to fifty students, ages ranging from sixteen to twenty-two. All of the students, save one, believed that cloning of human beings should never be allowed. As Patrick Cibula puts it, "No, I believe that there are some things that humans just shouldn't mess with." That seems to echo the feelings of many Generation Y members who feel that cloning takes away the individuality of our society. Generation Y does, however, agree with cloning of human organs. Human organs are not sentient; they do not have a personality of their own. It is not atrocious to grow a human heart out of a tissue sample in order to save someone's life. It is atrocious to create a human being exactly identical to another from a tissue sample.
What I recommend: I feel that the cloning of human beings could prove to be a very useful tool to the people of the world. But the costs outweigh the benefits many times over. The problems associated with cloning could prove so disastrous that our whole way of life could be shattered. I feel it is better to forget this pipe dream and go on with research into more useful things, like finding a cure for cancer and AIDS.
Hoi-Kab Kim
Major: Political Science
Generation Y Perspective
Environment
Oil Drilling in the Alaska National Wildlife Refuge
Real Life Scenario
David S. Page, Professor of Chemistry and Biochemistry at Bowdoin College said, "Oil spills are very evocative events. At the time of a spill, we can't believe an oiled shoreline will ever get better, because it looks so awful. We do know that because petroleum is a natural product and breaks down naturally in the environment, oiled shorelines do recover and do so quite rapidly. In the Exxon Valdez oil spill, most of the spill zone had recovered within 2-3 years of the oil spill. World experience with far larger oil spills than the Exxon Valdez oil spill (currently #53 in total volume) tells us that long term effects of oil spills do not occur."
Impact On My Generation
Impact of current legislation:
* A sophomore at MSU imagines that if oil drilling were not allowed in the ANWR, we would most likely have a different lifestyle. Things will be more expensive due to research costs for new energy sources.
* Scheidies thinks that if oil drilling is not allowed, we will find a better way to drive cars and run machinery without oil.
* Jennifer Shrewsburg, a freshman at MSU, believes that if oil drilling is not allowed in the ANWR, we could run out of oil and be forced to find a new way of life.
Impact of proposed legislation:
* Scheidies thinks that if oil drilling is allowed, we will destroy another site of beauty in our country.
* Nipa Surati, a sophomore at MSU, stated that if oil drilling were allowed in the ANWR, there would be more jobs available.
* A freshman at MSU says oil prices will go down, but a beautiful region will be destroyed.
What My Generation Wants
Input from Generation Y focus groups:
Policy Recommendations For:
* Take a lot of precautions because oil drilling in the ANWR affects the environment.
* Allow only part of the ANWR to be drilled and the rest of the ANWR must be left alone, no matter how much oil is in it.
Policy Recommendations Against:
* Explore technology and what we could do if we run out of oil.
* Prohibit oil drilling in such a beautiful place as ANWR.
What I recommend: I believe that oil drilling should be allowed in the ANWR because oil development has many more benefits than keeping the ecology system. These advantages include political security, the stability of international trade, abundant incomes, and the offer of jobs. Even though a small part of ANWR is affected, oil drilling brings plenty of benefits. Therefore, oil drilling has great strengths and should be allowed in ANWR instead of keeping all of ANWR pristine.
Cost: If oil drilling were allowed in the ANWR, the cleaning system for oil drilling should be set up in the ANWR. The costs of cleaning system should be considered.
32
"I have spent much of my life around the water. I swim in it, I drink it and I fish in it. To let the world's most valuable resource be ruined in front of us would be the greatest shame in the world."
Patrick Cibula
Biography
Patrick Cibula
Major: No Preference
Water Pollution
Real Life Scenario
Rivers, lakes, streams, and oceans are some of the most beautiful features of our planet. However, we do not always keep our waters as clean as we should. A good example of how we have mistreated our waters would be the Red Cedar River. This once gorgeous river now contains dangerously high levels of E-coli. "The levels of E-coli are currently at 357 parts per 100 milliliters, more than 200 parts above levels considered safe" (Wright). Although most strains are harmless and live in the intestines of healthy humans and animals, this strain produces a powerful toxin and can cause severe illness or even death in smaller animals.
In another story, a large paper plant in the Upper Peninsula was forced to change the PH of their water due to environmental regulations. The town's water plant was not well prepared for this and could not adjust for the changes in PH. Due to the change in PH the entire neighboring town to start receiving awful tasting water. Many of the people in this town started boiling their water or buying bottled water to avoid drinking the tap water. By the time the water plant had made the necessary changes it had cost the town a considerable amount of money. The hardest hit were the people of the town, who not only have to pay for their bottled water but also had to pay taxes for the changes to the plant.
Impact On My Generation
Water is life. It is that simple. If the past generations had been better about how they treated their water, then this might not have been a Generation Y issue. However, our parents and grandparents were not very good about protecting their water. Now this responsibility is going to be passed on to the younger people of America. Gen Y cannot survive if their water is destroyed. Our bodies are around 80 percent water and everyday we lose some of that water and must put more back into our systems. The water also provides us with food in the form of fish and as precipitation that helps crops grow. It is now plain to see that without clean water Generation Y could not survive.
Impact of current legislation: The current legislation has allowed the EPA to clean up numerous large rivers and lakes. This is a great step and Phase Two of this project (which focuses on smaller bodies of water) would, in fact, make the environment almost pollution free over time. This would allow the people of Gen Y to enjoy fishing, swimming, and other water activities. However, this law is not being enforced.
What My Generation Wants
Input from Generation Y focus groups: Generation Y appears to favor stricter regulations on the Clean Water Act. They want to see an America that has a safe water supply for them and for their children. On the other hand a few members would like the government to just stay out of their affairs and allow them to live peacefully.
What I recommend: As a member of Generation Y I would like to see a bill put into affect that would fine cities that are not currently keeping up with the stipulations of the Clean Water Act of 1987. Since fixing the sewage system is already required, this new legislation would just punish those cities that are not putting forth the effort. Another piece of legislation I would like to see is a lower limit on the amount of fertilizer people and operations like golf courses can use. This reduction would reduce polluted run off and would prevent algae from growing in waters where it does not belong.
Kraig Yeck
Major: Civil Engineering
Generation Y Perspective
Business and Economy
Minimum Wage
Real Life Scenario
Paul, a freshman in college just arrives at his college of choice and starts his life on his own. With living on his own, he needs to get a job, but he cannot seem to find a job that is hiring above minimum wage. Therefore, he takes a job, knowing that working for $5.15 an hour isn't going to pay for his car payment, insurance or any other payments he has.
While Paul is in college he also knows that he will not be working a full 40-hour week because of his classes, so he just tries to work as much as he can and still have room for class and studying on the weekends. At the end of his first month at school his first bills come in. He looks at the money he made at his job, and then looks at the bills and thinks to himself,
"How am I going to make this payment?" Paul's minimum wage job has only made him just enough to pay for his car payment and most of his insurance. Knowing that he is a little short with his payments, he asks his parents to help him for this month. They do, but they say it is the first and last time.
So the next day Paul asks his employer for some more hours to work during the week or a little bit of a raise. His employer tells him that he can't give him a raise right now but he can add a few more hours a week for him. Paul starts working more in the week and weekend but then he doesn't have as much time to study. The next month comes around and Paul makes his payments with no problem this time. During this month, Paul has had a test in every one of his classes and has failed them all due to the lack of studying, but he does not connect the failure of the class to working more. He just thinks that the classes are getting harder. As more and more time goes by Paul doesn't seem to be doing too well in his classes at all. The finals of semester one come and go and Paul passes all his exams with a C average, but due to his poor performance on all of the other tests, he is put on academic probation. His parents knowing that his job is interfering with his school work force him to quit his job or reduce the hours, but Paul knows that he can't make his payments if he does this. He knows that his parents will not help him so he just keeps his job and the hours he is getting. At the end of his first full year of college, Paul ends up failing out just because he needs to work to pay for his payments, and minimum wage was not cutting it for him.
Impact On My Generation
Many Generation Y members think the minimum wage should be raised at least to a minimum of $6.15 an hour. With 10 states now making their own set wages, we would like Michigan to join such states as Rhode Island, Alaska, Connecticut, Delaware, Hawaii, Vermont, Massachusetts, California, Washington, and Oregon to set our own state minimum wage above what the government believes to be satisfactory for the average worker of today.
With a new minimum wage, one-third of the people that would get an increase in their paycheck would consist of teenagers and over one-half are under the age of twenty-five. With more than 2.2 million Generation Y people would be affected by the increase, would help members of Generation Y a lot in making their payments.
What My Generation Wants
Input from Generation Y focus groups: The information from my focus groups was pretty predictable; an increase in the minimum wage would be most beneficial to them. A Michigan State University freshman stated that, "With work, class, and studying, I have no time to hang out. My work takes up most of my time that I'm not in class. It seems like once I'm out for the day (of class) I got to go to work, and I can barely pay for my bills. After paying my bills, I'm left with minimal revenue, and that limits what I can do."
What I recommend: I recommend that the minimum wage should be raised to somewhere around $6.00 an hour. An increase in minimum wage would help me and many other students attending college. With a higher minimum wage, school and work wouldn't be as much of a strain on the body and mind as it is now. So many college students get stressed out because of work and school, most cannot handle the pressure. With an increase, students wouldn't have to work as many hours as they do during school, and it would bring more relief to them.
Cost: There would be a heavy cost to this, new minimum wage, but not as much to the government itself. Most of the cost would be borne by employers, and businesses, not the government.
"Pain is nothing compared to what it feels like to quit so, give it everything you've got."
Aaron Scheidies
Biography
Aaron Scheidies
Major: Kinesiology
Generation Y Perspective
Sports
Gender Inequality in College Sports
Real Life Scenario
While in the gym sweating profusely, muscles burning and bones aching, Michigan State University's men's gymnastics team prepared to finish off the season strong. As they practiced on April 24, 2000 a letter was sent from MSU Athletic Director, Clarence Underwood, stating the sport would be dropped at the end of the season due to Title IX. Computer engineering major Jonathan Plante said that this was the last thing he and his seventeen teammates wanted. This day is now named "Black Monday" because it symbolizes the death of varsity men's gymnastics at MSU. Since the deadline for scholarships and signing athletes had already passed, the Board of Trustees reluctantly granted the team one more year of varsity status. "We have a year extension, but we have all been released from our letters of intent," Plante said. The decision has been made, but the student support group, ASMSU, will look into the issue and help in whatever way they can. This move by MSU was a step toward compliance with Title IX, a gender equity law.
MSU uses a method of student population to comply with this law. Researchers predict that the female undergraduate population will rise in the next few years possibly prompting the elimination of more men's sports. Plante feels that the lesser recognized sports such as wrestling, swimming and diving will be the first to go. While this unexpected cut will hurt the eighteen-member gymnastics team, it will also give new hope to up and coming women athletes.
Impact On My Generation
Impact of current legislation: The impact of the implementation of Title IX has been felt around the country since 1972 and is still stirring up talk today. It was meant to give women more opportunities in college athletics and it has for many years, but as we are in a new millennium it is becoming clear that the once successful law is hurting male athletes. Mario Contardi, a student at the University of Miami in Ohio, realized this and filed a lawsuit against the university for reverse discrimination, after men's soccer, tennis, and wrestling were cut in order to comply with Title IX. Judge Sandra Beckwith dismissed the lawsuit against the university. Beckwith did, however, allow the suit's claim that Miami violated the equal protection clause of the 14th Amendment, but said she would dismiss that if the university officials show they acted to conform with Title IX. The equal protection clause states that you can only discriminate based on race or gender when you have a very compelling reason. The question is, was this a good enough reason? Three equal opportunity organizations believe it wasn't. The Washington Legal Foundation, The Independent Women's Forum, and the Allied Educational Foundation believe the current standard is wrong and does not take into account interests and abilities.
Impact of purposed legislation: Even though there has been no legislation purposed yet, there is much discussion about the substantial proportionality part of Title IX. U.S. Rep. Dennis Hastert from Illinois and Sen. Phil Gramm from Texas, along with forty-seven other House colleagues think that substantial proportionality creates a gender based preference. They say that Title IX would be more effective and fair if substantial proportionality was done away with.
What My Generation Wants
Input from Generation Y Focus Groups: For this issue brief, I conducted a survey of Michigan State University students and student-athletes to obtain their views on the issue of equity in college athletics. One of these students, Matt Mooney quoted, "Regardless of sex, people watch what is exciting to them not what brings in the most money or who's playing."
Another student said, "No matter what you do or change, you can't make people have interest in other events." One of the members of Michigan State's volleyball teams, Naomi Taylor states,'"I realize that women's athletics do not bring in as much revenue as larger men's sports, such as basketball and football, but I think the only way for women's sports to be recognized at the level that men's are, is for them to have the same advantages. Being involved in athletics teaches a person so many valuable lessons, that it would take me an entire paper to touch on only a few, so I believe that each sport should be given a chance."
What I recommend: As an avid sports fan, I think that the NCAA should amend the existing Title IX law so that it states, "Federally funded institutions must provide all sports, men's and women's, with the funding needed for equipment, games, and travel. Any other funding needed by individual sports is not required to be given by the institution." This would allow women's and non-revenue men's sports to continue participation and also allow the institution to decide how it wants to distribute the left over funding.
Costs: In the 1999-2000 year, the Athletic Department at Michigan State spent $2.8 and $1.25 million respectively in operating costs for men's and women's sports. My policy recommendation would not cost institutions any more money; it would just call for a redistribution of the money.
Mark Nosek
Major: Telecommunications
Sports Gambling Online
Real Life Scenario
He always told me when he won. Pretty soon he had me interested in gambling online. My best friend Spence and I were freshmen, attending college at Michigan State University, looking for ways to make money while attending school full-time. We wanted jobs where the workload was light, the pay was good, and the hours somehow fit into our busy schedule.
Finding employment was difficult at first but then I found employment at a nearby residence hall. All I had to do was check in students during later hours for security purposes. It was an easy job; the pay was good, and best of all I was allowed to study for my classes while I worked. Meanwhile, my friend Spence did not have such luck finding a good job. He did not like the pay or the hours he was offered to work, so he decided to look into some alternative ways to make money. Spence decided to gamble his money on the Internet, betting on sports games. The way he explained it to me made gambling online sound like it was a great idea.
We both had knowledge in sports and I always thought I knew who would win the big games. But instead of rushing into the gambling idea, I decided to make some practice bets with fake money to see if gambling online would be worthwhile. After a couple of weeks I found out that I was not as accurate at picking the winning teams as I thought I was. I was already down over $100, I remember being so thankful that they were mock bets. Spence on the other hand was betting his income he made during the summer working construction. He always told me when he won and I rarely heard him say he lost a game. I figured he was doing fine and had it under control.
Soon I noticed that Spence was often angry and had been spending the majority of his day looking up information on the Internet about sports games. I could tell something was wrong and thought that the gambling was affecting him. I asked him about his money situation and if gambling was going well for him. Spence said he was on a "cold streak" and had tapped into his tuition money for next semester. This is when I knew the gambling was a serious problem for Spence. I tried to persuade Spence into getting a job with me and to stop gambling. Spence did not want to work and felt he could make his money back by gambling. Soon he lost most of his savings and was forced to drop out of college after the first semester. He moved back home with his family and worked part-time while going to a community college. He regrets gambling his tuition away and realized that it nearly destroyed his life.
What My Generation Wants
The Interstate Wire Act of 1961 has to be revised, making it legal to gamble online. People are going to gamble online regardless if it's legal in this country or not. People have the option to gamble online if the company is set up in another country. If online gambling were to be legalized, it should be regulated through the government. Profits could be used to fund government programs, lower taxes, or to eliminate poverty. If gambling were to be legalized there would be a need to educate gamblers about the risks. To protect people from losing all of their hard-earned money the government could also limit the amount of money someone is allowed to gamble according to their income.
Generation Y Perspective
Complete Issue Briefs
John Szambelan
Major: Engineering
Thomas Jefferson
Political Awareness
The Problem
How to equip Generation Y with the tools needed to make informed recommendations on public policy legislation that affects or will affect them.
Real Life Scenario
Anup Hundiwal, a Michigan State University student, enrolled in an ATL 135 class during his freshman year. Going into the class, he was not aware of what this particular class had in store for him. He was assigned to write three issue briefs and picked Affirmative Action, the date rape drug, and alternative fueling as his issues that Gen Y has serious concerns about. When he chose these, he did not have any extensive knowledge about any of his three issues. All he had was a mere opinion.
Anup received most of information from pro and con web sites of which he had five on each issue. Over the course of the semester, he slowly gained more of a grasp on what his issues were really about. He contacted experts and organizations that specialized in each of his issues. He conducted Gen Y focus groups to determine what his peers thought and what they proposed could and should be done. These focus groups helped Anup find out what his generation really thought on each issue. Anup took all this information and wrote three issue briefs.
His issue briefs were then brought before our class and put under the scrutiny of his classmates to make sure he got the points across that Gen Y stood for. By the end of his semester, he became a very informed person on each of his issues. Anup said he learned the most from his issue brief on Affirmative Action because his original opinion was disproved by his research. When asked if he had any recommendations for next year's class, he answered: "Start early, and make sure to pick a topic that you are actually interested in, which makes the research a lot easier."
Many other college freshmen came to Michigan State University, with heads full of ideas and opinions. Most freshmen did not have an opportunity to become informed citizens, whether it be through school or outside of it. Not because they didn't want to, but because they just weren't exposed to a way through which they could become more involved.
How Did We Get Here
Year by year, the percentage of Americans who vote decreases and the average age of voters increases. This means the younger generations are not voting. Why is this trend the way it is? One reason could be that young people have grown up in a society where politicians are looked upon as crooks and swindlers rather than great leaders as in past eras. Young people mold all politicians into one lump rather than judge them on their individual merits, because they believe that no matter whom they vote for, things will be the same either way. If young people banned this jaded outlook on American politics altogether, they could be a powerful force.
No one believed Jesse Ventura was going to win the governor's race in Minnesota. But he did, thanks to the support of younger voters who were fed up with the he said/she said of the two big parties. Younger generations have the potential to flex their political muscles. But first, they must show the drive to see some results. Since votes win elections and put people in office, who do you think the legislators favor in passing laws? Definitely not the demographics that choose not to vote. This voting trend has yet to change. And so legislators will continue to ignore the voices of those that don't vote.
How to Access Current and Proposed Legislation
I myself was in the same situation as Anup. So, I decided to see how I could become more politically aware. The best source to find out about legislation is to call your representatives and elected officials directly. They represent you and you have a right to know what they are voting on and proposing. I called a local mayor and my state senator and e-mailed my Congressman. I talked to the mayor and senator's secretaries and after a couple of simple questions about my background, I asked for an interview. Everyone on the phone was friendly, patient, and helpful. By the end of my calls, I had set up two interviews. One interview was with State Senator Arthur J. Miller, Jr. and the other with the Mayor of Grosse Pointe City Palmer Heenan. I set off to meet these men with my pen, notebook, and tape recorder ready.
Interview with State Senator Arthur J. Miller, Jr.
I was a little scared to go and meet Mr. Miller because of a fear of people in high positions. He quickly dispelled this myth of mine. He was very down to earth and insightful. I asked him a series of questions about how Gen Y can become more politically aware and what are the best ways to find existing and pending laws. He suggested using the State of Michigan Library, which houses every single law ever passed. Every year the legislature puts out a journal that encompasses all the laws passed in that term.
Sen. Miller said another way to find out is to just call your local representative and ask him or her. He explained: "If everyone would try and reach out to their local representatives and senators, we would have a much more of a pure democracy and our nation would be better off as a whole in that form." They work for you and are responsible for answering to you if you have a question. He also said: "The biggest problem is people are too timid when it comes to letting local leaders know their thoughts. Don't be afraid. If you're not comfortable meeting me, send me a letter or an e-mail and say, 'Senator, I think you are right.' Or 'Senator, I think you are completely wrong.'"
I think sometimes when people have different views on an issue than their representative does, it is automatically assumed that they have an ulterior motive. The constituents feel that expressing their thoughts are not going to make a difference. So why bother? But they do not see other side of the coin. Even though representatives spend their work days in Lansing, they still raise their kids and make a home in their home district. By the end of my interview, I came away with a new-found attitude towards my local leaders. We talked about a number of things outside of politics like school, golf, family life, and work. Senator Miller extended me an invitation to come and spend a day with him in the fall when I return to school.
Interview with Carol Weissert, Director of Public Policy at Michigan State University
During my research, I also had an interview with Carol Weissert, Director of the Public Policy Program at Michigan State University. Her job is to run an office of surveyed research, which sends out surveys that focus on Michigan issues four times a year. When I asked her how Gen Y can best make a difference in influencing legislature, she responded: "It is important to focus your attention on one particular issue rather than many issues. Once you have your issue in focus, find out what other states are doing about that issue. And once you see what is working in other states, try and incorporate those ideas in your argument, because states never want to be the first ones to try a new strategy."
In the realm of public policy, she explained to me how nobody is an expert in all fields and that experts are brought in to bring legislators up-to-date on particular issues. Legislators fall into the old adage of "jack of all trades master of none."
Dr. Weissert was a very interesting and informative person who is very involved in state politics. She attends many political press conferences and rallies as an expert in public policy. The day of our interview she had to run off because she was speaking at an engagement for voting reform. She gave me a small tour of the Public Policy Program office and gave me some facts relating to a future in the public policy graduate program at Michigan State University.
Interview with Mayor of Grosse Pointe City Palmer Heenan
I walked into Mr. Heenan's office with two interviews under my belt and definite questions in mind that I needed to ask to get the answers I was looking for. I began with my first question and asked him how Gen Y can be more politically aware. He responded just like my previous two interviews stressing, the importance of communicating with and talking to local leaders. He jokingly said: "We don't bite! I love to get to know the members of my community. I know it is unrealistic, but everyone I represent should get to meet myself face to face."
Mayor Heenan also mentioned attending city council meetings. He said: "City Council might be the best way that you, as an individual, can make an immediate impact, because there is no way anyone can refuse to answer a question. You are there, staring at the council and demanding an immediate answer."
Mayor Heenan was a very sweet and kind man. Even though he was the oldest person in my interviews, he was still sharp and knew the answers to my questions. We also talked about other things like the Detroit Tigers and some other recent sports stories. Once again, I felt like I had just met someone who is doing what he loves and that this comes out in his work. I think some people in politics do not necessarily like governing, but enjoy talking and meeting new people every day.
Finding Legislation on the Web
Searching the World Wide Web is also a good way to find out about current and proposed legislation. The best way to find a multitude of sites is to do a search and look for the sites with the most credentials and best reputation. There are many sites on the Internet, but some are much more reliable and truthful than the others. Many sites are just propaganda, using scare tactics and hate to sway your ideas. The best sites are legitimate, longstanding organizations—preferably non-profit organizations that are lobbying and working towards getting laws passed or changed. Organizations can give you a lot of information, because they want to get as many people aware as possible, so that they have more of a backing when influencing legislators.
Probably the best site to find existing and pending legislation is the National Council of State Legislatures web site (www.ncsl.org). There are many tools to use on this massive web site, including the day's current hot issues, a search page, links to each state's legislature, and an index of issues all with many links to articles and legislation. The search engine is probably the most useful tool on this site. You can narrow your search by issue topic, date, and whether it is a just a federal or state issue. Once you submit what information you want to receive, it will bring up a list of articles that discuss your issue from all sides.
Another thing you can do is go to the home pages of other state legislatures, which are linked to the National Council of State Legislatures web site. At each state's site, you can do a search to find what policy you are looking for. It is very important to know what other states are doing on similar issues, so that you can point to a precedent for your proposed policy recommendation, or to see or how you might adapt that law so that it can work in your state.
Many of my classmates had trouble finding information for their issue briefs because they did not know the existing policies. It is very difficult to say you would like to change something when you do not know what the existing legislation is. The process described in this section could have helped Anup and others greatly in finding information on existing laws and policies. I decided to take one of Anup's topics and try for myself. I chose Affirmative Action as my topic to demonstrate the effectiveness of these web sites.
I went to www.ncsl.org and, once there, clicked on the search feature. All I did was type in "Affirmative Action" and click the search button, and the site found 22 entries for me. I selected the first entry, because it looked like the best. The article on Affirmative Action was from the NCSL newsletter. It provided background on the issue, including the origins of Affirmative Action and decisive Supreme Court rulings. The article also displayed a table of arguments for and against Affirmative Action.
Another feature that Anup would have found useful is that the article described what several states are now doing to try and deal with the issue. Florida, for instance, passed a law in which, if you ranked in the top twenty percent of your graduating class, then you are guaranteed admission to a state university regardless of ACT/SAT scores.
This article also provides up-to-date information on Affirmative Action in the news. It has a paragraph about the court cases of the University of Michigan and its battle with Affirmative Action opponents. At the very bottom of this article, it has links to further information on each state's perspective on the Affirmative Action debate. Anup would have found this site very useful, because it shows positions on both sides of the issue, what other states are doing, and background information that explains how the law came to be and why it is designed in such a manner.
Impact On My Generation
Finding out about current laws should be very important to Generation Y. We are the ones with our whole lives in front of us. This is the world we will be living in. Senior citizens seem to care most about laws, even though they will only be here for a shorter period of time. The younger generations seem to care the least. This is not as it should be, considering that we are going to be the ones carrying the burden for laws passed right now. That doesn't make a lot of sense to me. If we really want things to change, now would be the best time, so that we can get the most out of those changes. Let's not wait until we are not going to see the results of our actions to get our voice across.
In late April, voters in the Lansing School District, by a substantial margin, voted down a proposal for more money that the district desperately needed. Why was this proposal rejected if it was so desperately needed? The older residents in the district went to the polls in larger numbers compared to the younger population. Since the older residents did not want their taxes to go up, they voted the proposal down. Who does this hurt? Obviously our generation, even though most of us do not have children. When we do, I would hope that we would have an effective public school system for our children.
How Can Our Generation Make a Difference?
First and foremost, VOTE. Voting is the best way to show how you feel about an issue or an elected official. The power to vote is an integral part of our great democracy, and it should be taken seriously as the duty of every American. Second, get involved in a political campaign or an organization that is fighting to get legislation passed. Being involved in the process, you can get a better understanding of how public policy is developed and passed. Steve Stanley, a professional lobbyist, says: "Legislators are most influenced by three things: (1) legislation by other states; (2) anecdotes; and (3) organizations." If you care about a particular issue, find out what other states are doing and then try to come up with a proposal that fits and would help your cause. Join other young people who feel the same way you do. It is harder to not hear many than to listen to a single voice. I think Mr. Stanley puts it well when he says: "Care. When one cares, the rest will follow."
What was the outcome of your efforts? Did you win, lose, or get pushed aside? Find out why, and try to tweak your argument to better convince or influence the politicians. Keep trying! Not everyone succeeds his or her first time. Legislators know that if someone really cares about an issue, when that person keeps fighting—even when it looks like he or she is fighting a losing cause.
A great way to become more politically aware is to read the newspaper and watch the local news on a daily basis. New issues come and go every day, and lawmakers might look into any issue that was brought to their attention. In order to be more politically aware, one must know what is going on in the world around in general, before he or she can focus on political aspects. Another way to observe government in action is to attend town hall meetings with local government leaders. In these meetings, one can find out the views of his or her community and get immediate responses to any question one might have. Cities must post when these type of meetings take place, so that as many residents of a community can show up as possible. ■
Resources
I conducted an interview with Dr. Carol Weissert, Director of the Public Policy Program at Michigan State University. I also interviewed State Senator Arthur Miller and the Mayor of Grosse Pointe City, Palmer Heenan. Anup Hundiwal gave me a complete account of his experience doing research and writing his issue briefs. Steve Stanley, a professional lobbyist, visited our class and helped us learn how legislators think and what they look for. Our ATL 135 "Public Life in America" class participated in a project to write issue briefs for a book, which is scheduled to be given to Michigan legislators. Our class was a focus group for many of the issues to be published in the public policy book.
Biography
Steve Forsberg
Major: Premedical
Gun Control
The Problem
The right to bear arms has been upheld by the U. S. Constitution for over 225 years. Yet every year more gun control laws are passed in order to prevent their misuse. Should we continue to pass more laws restricting guns or try to educate people on the safe and correct use of them?
Real Life Scenario
It's about 6:00 in the morning. Everything is pitch black. All is quiet except for one lone man sneaking around quietly. He is trying his best to be unheard. In his hands is a 12-gauge shotgun, fully loaded. He is hot on the trail of his next victim. He hears a rustle and something catches his eye. So he creeps over to see if it's his victim. It is, and the victim sees him too. In a fearful bolt he tries to get away. So the man spins on his heels and fires a quick shot. The pellets fly through the air with deadly accuracy. His unarmed victim never had a chance. Another life is lost. The gun toting man walks over and views his fresh kill. He smiles and inwardly congratulates himself. But wait a second, isn't he worried about the police coming? Shouldn't he be running away form the scene? No because what he has done is perfectly legal. He bends down picks up the corpse and throws it over his shoulder. You must be thinking that this man must be very strong to be able to just throw a dead body over his shoulder and walk off. But the gun wielding man isn't even a man at all. He is a fourteen-year-old boy. I am that boy and I have just shot my very first turkey. This story is just one example of the many safe, practical and legal uses of firearms. Although you might have assumed this was a story of murder it was just the proud story of a young hunter. Now what is so harmful about that? If gun control gets out of hand will my children be able to enjoy the same outdoor sports as I do? This is a question that I personally am worried about. I'm not alone. There are millions of Generation Y hunters that are asking the very same question.
Consider this scenario. "His father is in jail. He, his mother and his brother live with his uncle in a Michigan boarding house alternately described as a flophouse and a crackhouse. His uncle exchanges drugs for stolen guns. His classmates consider him a bully. He tells his father he hates them all, and he was recently suspended for stabbing one of them with a pencil. He's six years old, and he finds a loaded gun in another of the boarding house's rooms. He brings it to school to show it off, and he aims it at a classmate with whom he'd fought the day before. He just wants to scare her. At about 10:30 Tuesday morning, 6-year-old Kayla Rolland was pronounced dead, from a single bullet wound." Murder in the First Grade is a real news story reported on March 3 rd on the news issues page of about.com. This shows that gun safety is an important issue in Michigan and for Generation Y. When I send my children to school some day I don't want to have to worry about them being shot and killed by a classmate. What can be done to further ensure that no child of Generation Y fall to such a horrible misfortune?
How Did We Get Here
Definitions: Gun control is the issue of what restrictions should be placed on the right of citizens to keep and bear arms. Either the Second Amendment to the constitution should stand untainted by reform or stricter gun laws should be passed in order to save lives and reduce injury. Gun control is not only a Generation Y issue, but a constitutional issue also. Any time there is talk about amending the Constitution of the United States of America people's ears pick up and they take notice. The basic question on this issue is whether existing laws should stand, but be enforced more rigidly. Or, should there be additional laws prohibiting gun availability and making guns safer. Still others ask why should we only be able to do one or the other. They argue that both methods are effective and therefore both should be implemented.
History and relevancy today: The Second Amendment to the Constitution states, "A well regulated Militia, being necessary to the security of a free State, the right of the people to keep and bear Arms, shall not be infringed." In today's world the actual idea of bearing arms for militia purposes is a bit outdated. Although militias still exist, they are not the primary means of national defense. Since the Amendment was first put forth to allow law-abiding citizens to protect themselves against attack, this Amendment still retains its purpose. It is widely known today that criminals use firearms to conduct unlawful activity on a regular basis. Therefore, any citizen wishing to defend her life and property against such an attack would need to be suitably equipped to do so. For this reason the issue of gun control holds great importance in our world today. Guns aren't just used in defense either. Firearms can be used for a wide variety of activities ranging from hunting to shooting sports.
What We Think
Do we need additional gun control laws in order to save lives and make America a safer place to live?
Arguments for additional gun control laws:
* The United States has the highest gun mortality rate of 36 industrialized countries researched. (Join Together Online)
* Gunfire injuries in the next few years are projected to pass moving vehicle accidents as the leading cause of traumatic death in the United States.
* Of all homicides in a given year firearm deaths are the highest percentage. (Join Together Online)
Some of Generation Y believes we need additional gun control laws, which could make the United States a safer place for a large number of its citizens. The people who share this viewpoint are not without a suitable reason. Quite obviously not all gun deaths are accidental. Studies show that guns are used in an alarmingly high number of violent crimes. A good example of those in favor of gun control are the participants in the Million Mom March. On May 14 th , 2000 Mothers from around the country became stirred to action. Hundreds of thousand of people came together on Mother's Day in our nations capital and seventy other major cities, in order to spur the movement for stronger, more rational gun control. They used many factors to back their outrage toward a lack of gun safety in America today. One fact, which was thrown around by this gathering, was a twelve children per day firearm mortality rate. They also frowned upon the ease at which criminals have access to guns, stating that gun shows were not well regulated and gun owners didn't store their firearms safely either.
Arguments against additional gun control laws:
* In 1997 the US Justice Department found the only 2% of guns used in violent crimes are bought at gun shows. (NCPA, Burnett)
* Forty children die per year from drowning in buckets. (NCPA, Burnett)
* One hundred and fifty children die from fires they started with cigarette lighters. (NCPA, Burnett)
* With 70 million to 80 million gun owners owning 240 million firearms, only 40 children per year die of accidental shootings. (NCPA, Dr. Morgan Reynolds)
* John Lott of Yale and John Whitley of the University of Chicago found that so called "safe storage" (e.g. trigger locks, barrel locks, and gun safes) showed no reduction in suicides or accidental shooting deaths. Rather safe storage laws made firearms inaccessible during a break in situation. (NCPA, Burnett)
* The NRA trains 750,000 gun owners per year in basic gun safety. (NRA)
* Since 1988 the NRA has taught 12 million pre-kindergarten to sixth grade children gun safety. (NRA)
Others from Generation Y don't think additional gun control laws could make the United States safer. They believe some of the proposed laws might actually make guns less safe and reduce their effectiveness in selfdefense. Although the advocates for increased gun control have rallied as of late and shown their numbers those who oppose it are also numerous. This mass of gun advocates wasn't formed by mere emotional response either. It was forged in sound reason and with hard facts on gun safety and practicality.
In his editorial, "Million Mom's Marching Miss the Point: Guns Make Us Safe", H. Sterling Burnett points out several facts contrary to those stated earlier. He states, "The most often repeated factually challenged statement uttered at the Million Mom March was that, 'Twelve children die each day in America due to gun violence.' In 1997, 629 children aged 14 or younger died by gunfire – a rate of 1.7 per day. Still unacceptably high, but a number 6 times lower than that claimed by the marching moms."
The National Riffle Association (NRA) is a large pro gun organization. The NRA believes that firearm safety and education is far more effective than further restricting gun availability. This idea goes along with a motto for gun rights.
"Guns don't kill people, people kill people." And it's true without someone there to pull the trigger no harm can be done. Since the "Eddie Eagle Gun Safety Program" was started in 1988 12 million pre-kindergarten to sixth grade children have been taught the, "Stop. Don't touch. Leave the area. Tell an adult," method for dealing with firearms. With these facts showing the effectiveness of education and the inadequacy of before proposed laws, it's a clear decision.
What is Happening
Role of government: The basic role of government is to take advantage of all the data concerning gun control and make an educated decision on the issue. At the federal level legislatures should take into consideration the effectiveness of either or both methods for gun control. The Senate and House of Representatives have the responsibility of creating and passing new laws, which are in the best interest of the largest number of Americans possible. On the state level, government should uphold any federal rulings on gun control but also create their own laws, which are more specifically geared towards our area. Local government will have less say in the matter of gun control but should still enforce all decisions of higher legislative powers.
Current legislation: One of the longer standing gun laws of Michigan is Act 451, the Protection Act of 1994. It was passed on May 24, 1995. This act does several things. It prohibits a person from "hunting or discharging a firearm within 150 yards of an occupied building, dwelling, house, residence, or cabin. Or any barn or other building used in connection with a farm operation, without obtaining the written permission of the owner, renter, or occupant of the property." Act 451 also states, "a person shall not transport or have in possession a firearm in, or upon a vehicle, unless the firearm is unloaded in both barrel and magazine and enclosed in a case, carried in the trunk of a vehicle."(Michigan Compiled Laws)
On December 13, 2000 Michigan passed the Concealed Carry Weapons (CCW) law. This allows county gun boards to issue concealed weapons permits to any person twenty-one years of age and without a criminal or mentally ill record. The legislation does outlaw the carrying of concealed weapons on school grounds, in churches, day care centers, bars, and entertainment venues with seating for 2,500 people or more.
Proposed legislation: Recently on the federal level there has been additional gun control legislation proposed. Senator Diane Feinstein, a Democrat from California, has re-introduced legislation that would require all purchasers of handguns and semi-automatic firearms that accept detachable magazines are licensed and their firearms registered. This piece of legislation is known as The Firearm Licensing and Record of Sale Act, S. 25 and it was re-introduced on January 21, 2001. This bill also requires gun owners be trained in the use of firearms.
In the House of Representatives a bill is now being considered to prohibit civil liability action from being brought upon or continued against importers, distributors or manufactures of firearms or ammunition for damages resulting from the misuse of their products. This bill is known as H.R. 1032 and was introduced by Rep. Bob Barr of Georgia. As of April 1, 2001 this bill has been referred to the Committee on the Judiciary.
Gun Control (continued)
Impact On My Generation
Impact of current legislation: I believe the impact of the Concealed Carry Weapons law will be mostly positive. Now law-abiding citizens are on a level playing field with muggers, robbers, and rapists who use firearms. Not only will the citizens who carry the concealed firearms be at less risk of being attacked, but also those who don't carry a weapon. Because this law does not require one let it be known that they are carrying a concealed weapon– anyone could be. This means that every time a criminal decides to attack a victim there is a greater possibility of that victim being armed. If the thought of being confronted by a woman wielding a 9mm pistol doesn't detour rapists and thieves, I don't know what will. It isn't just women who stand to gain from this law, it's everyone.
The Protection Act is a very good piece of legislation and has a positive impact. It prevents hunting accidents from happening. No hunter wants to be accidentally shot by a gun that is not properly stored in a vehicle. Also I don't know any hunter that should be hunting or shooting a firearm in close proximity to an occupied building. It is just too much of a safety hazard to be doing so.
Impact of proposed legislation: The impact of Senator Feinstein's bill could be beneficial but at what costs. Most states already require that all handguns be registered. Requiring all purchasers of handguns or semi-automatic firearms to be licensed and their weapons be registered is a different thing all together. Semi-automatic firearms that accept a detachable magazine includes at least half of the hunting rifles being sold today. That is a staggering number of firearms to register and even more people to license. The idea to require this is a sound one, but the application of this idea should be further thought out. The impact of this on Generation Y could be seen as good or bad. On one hand this would require all purchasers who fall into this category to be licensed. Being licensed can mean many things and in this case would require safety training. The cost of the training is unknown and might have to be paid for by the gun purchaser. This would add even more cost to the already expensive process of buying a firearm. Yet on the flip side it would also mean that all these purchasers would have the proper safety instruction prior to being sold their gun. This is a step forward in educating everyone about the safe handling of firearms. The impact of H.R. 1032 on Generation Y will be somewhat insubstantial. The purpose of this bill is to protect the firearm companies from civil lawsuits concerning the misuse of their products. If this law doesn't pass, companies could be hit hard by civil lawsuits. This may mean factories being closed and jobs lost. Many of these jobs could be those of Generation Y's parents or in time Generation Y itself. I personally would never want to lose my job because someone misused the product I spent my time or money to produce.
What My Generation Wants
Input from Generation Y focus groups: "My dad owns a gun for hunting," says Chrissy Bouchey but, "I have never been injured or know an one close to me that has been injured by a gun." Chrissy is currently attending Central Michigan University. She goes on to add this concerning the alarming number of gun related deaths, "It is evident from the recent happenings that something must be done to decrease deaths by firearms." Joe Paisley is a freshman at Ferris State University. He is also a gun owner. When asked if extreme gun control measures needed to be taken he answered, "No, people just need to be safer." Steve Schunk, a freshman at Michigan State University and an avid hunter/gun owner, agreed with Joe in saying, "Guns don't kill people, people kill people." This is a true statement, guns sure don't point and fire themselves. "Maybe more emphasis should be placed on gun education," is how Steve answered the question on how to cut gun-related deaths. Carlie Loesel, a freshman at the University of Michigan, had this to say about gun safety. "[Firearm] safety measures are only effective if the owner uses them consistently." By this she means to say if you have a gunlock use it all the time. Don't just have one and think you're safer than you would be without it. You have to use it too.
What I recommend: It is my belief that more can be done to save lives by educating people about firearms than by restricting their availability. I personally am a safe owner and operator of firearms because I had the correct instruction and education about guns at a young age. If we continue to promote gun education Generation Y and many more to come will be positively affected by the lessons we will all learn. Everyone needs to know the danger of misusing guns. I hope that some day when I have children it will be part of the curriculum at schools to teach safety of all kinds, especially firearm safety. I will teach my kids the potential danger of guns, but I want to know that all their classmates also know the severity of playing with them.
Costs: The NRA has already instituted a nationwide gun safety educational program. This program has been funded and run by them for thirteen years now. They have gone into schools and taught over 12 million kindergarten to sixth grade students the danger in handling guns. This has, to my best knowledge, cost the government nothing. The government need only commend the NRA for its ambition.
Further steps to educate all children and young Americans in firearm safety may cost the government some amount of money, but we have already seen the costs of non-education. You can not put a price on someone's life. ■
Resources
Non-Profit Organizations For Additional Gun Control • Join Together Online, http:// www.jointogether.org/gv/ • NCPA, http://www.ncpa.org/bothside/krt/ krt052500a.html • Murder in the First Grade, www.crime.about.com/newsissues/crime/ library/blfiles/blfirstgrade.htm • The Coalition to Stop Gun Violence, www.gunfree.org
Non-Profit Organizations
Against Additional Gun Control
* National Rifle Association, www.nra.org/
* Citizens Committee for the Right to Keep and Bear Arms, www.ccrdba.org
* NCPA, Burnett http://www.ncpa.org/oped/
sterling/may00.html
* NCPA, Dr. Reynolds http://www.ncpa.org/oped/
morgan/mor51599.html
Other Sources of Information
* Politics1.com, www.politics1.com/issues.htm • Public Agenda Online, www.publicagenda.org/
* Thomas legislative information on the internet, thomas.loc.gov/
* Senator Gary Peters' home page, www.state.mi.us/senate/dem/sd14/up5-
28-99.html
* Michigan Compiled Laws website, www.michiganlegislature.org/law
Focus Groups
* Issues Survey (35 Gen Y's polled), Steve Forsberg
Trisha Thayer
Major: Landscape Architecture
"How can cities generate enough mixture among uses—enough diversity— throughout enough of their territories, to sustain their own civilization? Cities deteriorate when their layout stifles social interaction: when trivial errands require isolating car commutes; when the rich wall themselves off from the poor; and when public spaces, no longer shared by different classes of people, are so devalued that the interiors of buildings matter more than the exteriors. Such fragmentation has eroded the social capital of other cities, which have ceased to be more than the sum of their parts."
Jane Jacobs (O'Meara 2)
If my generation can address the issues portrayed in this quote then we can conquer urban sprawl.
Urban Sprawl
The Problem
Urban sprawl is moving people out of cultural urban areas into the suburbs at an alarming rate.
Real Life Scenario
It is hard for me (and most people my age) to come up with an inspiring story about an urban area that we once enjoyed. This is because the urban area closest to us, Detroit, was long gone before we were born. The overall status of cites and metropolitan areas in Michigan have been in decline for so long that we have never even seen a decent looking Detroit. I have never lived in a city. I don't know what it's like to be within walking distance of all of the things one needs, I don't know about all of the cultural experiences that a city has to offer, and worst of all I don't know what it's like to not be dependent on a car. This country cannot continue to deprive children of experiences that they need to become well-rounded individuals by trapping them in the suburbs.
How Did We Get Here
In the last fifty years, there has been an ongoing trend for people to move out of the major cities and into the suburbs or the countryside. This trend does not affect all Americans, though. It mainly affects middle to upper middle class citizens. The city is thought to be an unwelcoming and dark place that persons can only venture into for a few hours a day to perform their tasks (work). People no longer feel comfortable living and raising their children in cities. The name assigned to this trend is urban sprawl. It is exactly what it sounds like. The boundaries of the city are increasing with every progressing year. When the boundaries of the city increase, so do the natural resources that are used by its inhabitants. Urban sprawl puts a large emphasis on the use of automobiles. People who live thirty miles away from a city cannot and do not take public transportation. This increases use of gas and air pollution generated from cars. There are many examples of cities around the country where this is a bigger problem than in Michigan. The city of Chicago's population has increased four percent from 1970 to 1990 but the area that the city now takes up is forty-six percent larger than it was in 1970 (O'Meara 3). Statistics like this show that urban sprawl is not a trend that we can ignore and many citizens around the world are not silent about this problem. The people of Portland, Oregon are some of these people. They took a stand against developing new highways that would have sprawled the city to unthinkable boundaries. Compared to Chicago, Portland's population has grown fifty percent since 1975, but the area that the city takes up has only risen by two percent (O'Meara 3). This shows the tremendous impact such citizens and government officials can make.
Now the question is, what can we in Michigan do to stop this trend before it expands any further? There are many important issues that would help to lessen and/or stop urban sprawl. The biggest reason that people move out of cities is because they do not feel safe. If there were a larger emphasis on community relations to help keep the neighborhoods safe, people would feel safer. Also the general shape that downtown areas are in is declining and if we don't do anything to change this they will continue to deteriorate. They will soon be beyond any hope of repair. The people of the community cannot do this alone. The government needs to enact local land use policies for all urban areas. It seems that environmentalists are always focusing on the conservation of natural areas but the conservation of our cities is just as important.
What We Think
Arguments against stopping urban sprawl:
There are many different arguments that could be made for or against urban sprawl. One of the major arguments against it is there seems there is just not enough room for people to live in the central cities. With the development of industrial and commercial establishments downtown, it seems that space is just disappearing. Single family housing is nearly impossible to find in most downtown areas. This is because builders do not build single family houses downtown. There simply isn't enough consumer demand for it. Although there are many new developments in the central city, there are also many old sites that are not being used or are simply abandoned. These sites should be renovated into sustainable housing.
Arguments for stopping Urban Sprawl:
Financial: There are so many benefits to stopping urban sprawl that the arguments against it really have no weight. The amount of money it would save taxpayers alone should be enough reason for it to be a top priority. There was a study done at Rutgers University that showed that if cities in New Jersey were built to be more compact and less sprawling it would save state taxpayers $1.3 billion dollars in infrastructure costs over the next twenty years (O'Meara 5). These infrastructure costs consist of new roads, sewer systems, water lines, and city services that must be carried over a larger area (O'Meara 5).
Conservation: There are also all the environmental topics that range from agricultural preservation to ozone depletion. When people move out of cities where do they move? The suburbs or the countryside. These are really both the same things because in Michigan the suburbs were once agricultural and forest land a century ago. When residences invade these lands they are no longer natural areas; they are now just a plot of land with a house sitting on it. They no longer have any significance to the natural landscape of the area. It seems impossible but soon there will be no natural areas left to sustain the local wildlife.
Environmental: There is also the topic of cars and their impact on ozone depletion. Everyone knows that the exhaust expelled from cars is not good for the environment. So what do we as American citizens do about this? We move further away from our jobs and we buy bigger cars. It seems like people are missing the point. If everyone would just live ten miles closer to their job they would at least be doing something to help the environment. This is not the case people keep moving further and further away and that is why urban sprawl needs to be put to an end.
What is Happening
Only when a city reaches a point of degradation that is so low that it is almost too late to do anything, do government officials finally realize that they have a problem on their hands. The government's current role in stopping urban sprawl is only seen when citizens take the initiative to do something first. This issue cannot continue to be only a community issue; it needs to be addressed at a city and/or state level. Until the government gets serious about urban sprawl, nothing will be done because community involvement is simply not enough.
Impact On My Generation
Every environmental issue has a tremendous impact on my generation. This is because we will be alive for much longer than the people who are in power now. We could possibly live to see the impact that our country's actions have had on the overall well-being of the world. Generation Y is probably one of the first to be taught about environmental issues in school. I believe that we have a greater overall concern for the world than any generation before. Many may argue with this but we have the knowledge and the resources to actually accomplish something. The issue of urban sprawl is extremely important for generation Y to be aware of because many of us do not know what it is like to live in cities, to take public transportation, and to be in walking distance of everything that we need. We never had the chance to experience the culture and the atmosphere that a city has to offer because our parents and their parents thought it was a place too dangerous to raise children.
What My Generation Wants
To improve the issue of urban sprawl, policy makers would have to enact firm laws supporting zoning and land use regulations. This may be a problem because some people believe that the government already has too much control over its citizens. Any type of government, whether local, state, or national, would need a great amount of support from the residents that live in that area. That is why it is important to inform residents of the seriousness of this problem. I'm sure many people are unaware of the seriousness that this issue deserves. Once people know that what they are doing will help the environment and the economy in the long run, I believe that many would be supportive. So the question is: supportive of what? Residents would have to be supportive of neighborhood clean-up projects, building restoration, urban land planning, public transportation systems, and government regulations on where they can and cannot live.
Another incentive that residents and companies may be able to receive would be tax relief that would be limited to a certain amount of time. There are areas that already exist like this for businesses. They are called enterprise zones. The companies located within degrading urban areas do not have to pay taxes. This could also be applied to residential housing. This act would give the long process of restoration a jump-start by filling the neighborhoods with people instead of abandoned buildings.
Initially this project would cost quite a bit of money, but it would secure our cities to survive through another few hundred years, not to mention our planet. In the long run, the restorations of cities—the cultural centers where people can live, learn, and interact together—would help the environment as well as the lives of many of the residents. ■
Resources
Non-Profit Organizations For Stopping Urban Sprawl • Neighborhoods First Program of Detroit, MI • Detroit Summer of Detroit, MI • The Urban Land Institute
Non-Profit Organizations Against Stopping Urban Sprawl None Found
Other Sources of Information Boggs, Grace Lee. "Environment, Place and Movement Building". Our Place on Earth (SSC 290). Michigan State University. East Lansing, MI. 29 Mar. 2001 Burby, Raymond J., Peter J. May and Emil E. Malizia, Journal of the American Planning Association 66:2 (Spring 2000).
O'Meara, Molly, World Watch 11:5 (September/
October 1998).
Sanchez, Thomas W. Journal of the American
Planning Association 65:3 (Summer 1999).
Shen, Quing. Journal of the American Planning
Association 66:1 (Winter 2000).
Stephenson, Bruce R. Journal of the American
Planning Association 65:3 (Summer 1999).
Andrea Evans
Major: Interior Design
Marriage, Divorce, and the Youth of America
The Problem
Recent social trends depict a rapidly growing number of Americans are making impulsive decisions involving marriage. The "quick hitch" has become increasingly more appealing, which has led to rising divorce rates across America. Innocent children are inadvertently becoming victims due to brash decisions made by adults. The government needs to place tougher restrictions on couples seeking both marriage and divorce. These regulations in return will help protect youth across the country who are deeply affected socially, economically, and emotionally by impetuous marriage and divorce.
Real Life Scenarios
At a university such as Michigan State, it is not difficult to find students that have been gravely impacted by impulsive marriage and divorce. These young Americans are part of the masses and many are more than willing to share their painful stories. Most of the students that I interviewed shared accounts of broken homes and strained family relationships. Though one student in particular told a deeply personal story that struck a nerve.
This student, who wishes to remain anonymous, told me painfully personal details of his family life and his strained relationship with his parents. His mother and father were married at a young age. The young man's mother had become pregnant and marriage seemed like the only option. The couple received little support from their parents, so they were forced to elope. These two teenagers were quickly faced with the brutal realities of the real world. From the start their marriage was extremely rocky. This young man's childhood was filled with memories of constant screaming and violent fights. When he was twelve, his parents finally divorced and he became the object of a messy custody battle. His youth was spent being passed between parents. The student continued to describe how the divorce impacted his social life at school. He spent most of middle and high school in and out of the principal's office as a permanent fixture in the disciplinary system. He continued by making a statement that I will never soon forget. "Divorce changed the course of my life. I truly believe that it has permanently altered who I am and who I will become."
How Did We Get Here
The nation's divorce rate has rapidly increased over the past decades and has surged past all other countries in the world. Today, less time is devoted to children and the importance of family values. The transition to a fast paced corporate society has indirectly caused increasing divorce rates throughout our country. This growing social problem has directly impacted the youth of America. Many other recent cultural trends can help explain this overwhelming increase of divorce. These contributing factors include:
* The shift from the traditional family—the male is the breadwinner and the female is a stay-at-home mom, in charge of domestic duties—to two working parents.
* The feminist movement.
* The corporate world's increasing competitive nature to excel and our country's desire to be economic leaders.
* The breakdown in communication due to the fast pace of society.
In order to find a solution to this increasing social problem, it is important to research all aspects of the issue. It is imperative that we look at this social dilemma beyond the realm of divorce. Though divorce may seem responsible, what is directly contributing to the disruption of a strong family relationship of many youth across America? This issue can be traced back to the initial union of marriage. Society has grown accustomed to frantically cleaning up our social problems instead of working to prevent them. It is important for the government to review our policies for both marriage and divorce. The United States must revise our current system of marriage licenses in order to curb the increasing rate of divorce.
What We Think
* The U.S. has the world's highest divorce rate, which is twice as high as the next highest country (Sweden) and over 50 times higher than other countries.
* In some states such as Illinois, there are at least 70,000 children raised by a relative without a parent present (Extension Connection, 2).
* Nationally, about four million children live with grandparents or other relatives as the result of broken families.
* The absence of a parent during the growth process of a child can lead to many social problems, which includes regression, aggression, and irritability.
* 75% of children in divorced homes live below the poverty level (Arkansas House passes Covenant Marriage legislation, 1).
Effects of Divorce
Divorce has many lasting effects on the children involved. The list below is taken from "The Effects of Divorce on Children", by Robert Hughes Jr., of the Department of Family Relations and Human Development at Ohio State University. It carefully breaks down and explains the areas in which children of divorced families are most effected.
1. Parental loss — divorce often results in the loss of a parent for the children. With this loss children also lose the knowledge, skills and resources (emotional, financial, etc.) of that parent.
2. Economic loss — another result of divorce is that children living in single parent families are less likely to have as many economic resources as the children living in intact families.
3. More life stress — divorce often results in many changes in children's living situations such as changing schools, child care, homes, etc. Children often also have to make adjustments to changes in relationships with friends and extended family members. These changes create a more stressful environment for children.
4. Poor parental adjustment — generally how children fare in families is due in part to the mental health of the parents, this is likely to be true for children in divorced families as well.
5. Lack of parental competence — much of what happens to children in general is related to the skill of parents in helping them develop. The competence of parents following divorce is likely to have considerable influence on how the children are doing.
6. Exposure to interparental conflict — conflict is frequently part of families and may be especially common in families that have undergone divorce. The degree to which children are exposed to conflict may have substantial effects on children's well being.
Case Study
Studies have shown that young boys are more negatively effected by divorce than girls. "Boys are particularly more difficult for mothers to handle following a divorce," states Debbie McClean, University of Illinois Extension educator of Family Life. Many times parents underestimate the ability for a 2 and 3-year old to understand what is happening within the family. This underestimation often leads to neglect in explaining the complicated situation to the children. Children often internalize that they are someway responsible for the fighting between their parents, which can later lead to many social problems for the child.
The Opposing Side
Some statistics support our changing society and increasing divorce rate is anything but a social concern. While many people across the nation view divorce as an extremely negative event, others see many positive aspects. It has allowed women to escape from abusive relationships, as well as the removal of children from hostile and potentially damaging environments. In fact, most studies show more similarities than differences between children from intact and broken homes. The majority of children from divorced families do not require any type of professional help (Hughes, 1). Studies from the University of Illinois state, "Although divorce can be devastating at the time, research has shown 10 years after the divorce, children who were preschool age at the time of divorce seem to have no memories of the pre-divorced family. They were not preoccupied with the reasons for divorce and few had clear ideas of why the divorce occurred." Most divorces result in two parents who love their children unconditionally, despite a split from their spouse (Extension Connection, 2).
Divorce has caused society to question our deeply rooted sense of morals and values. It is hard to weigh all of the pros and cons of the issue. The solution to this social dilemma is not a simple one, either. This issue brings forth many complex questions. How many and what types of government restrictions need to be placed on marriage and divorce? At what point is it more detrimental to children to be trapped in between feuding parents? Questions such as these are not easy to answer. Though it is clear that the government needs to a take a more proactive role on a federal, state and local level.
What is Happening
Legal grounds for divorce: On a local level, Michigan has a relatively relaxed view of divorce. Our state holds a "no-fault" policy. Michigan law states that a breakdown of the marriage relationship to the extent that the objects of matrimony have been destroyed and there remains no reasonable likelihood that the marriage can be preserved, is legal grounds for divorce.
Residency requirements of the state:
In Michigan, prior to filing for divorce one of the spouses must fulfill a series of requirements. Including the following:
* Must have been a resident in Michigan for 180 days
* A resident of the county where the divorce was filed for 10 days if the defendant was born in or is a citizen of a foreign country and there are minor children in the marriage that are at risk of being taken out of the country by the defendant.
Additional Procedures:
* There are mandatory official approved and simplified forms available for all phases of the divorce process.
* The Michigan Friend of the Court Bureau is to supply each party in a divorce case with a pamphlet discussing the court procedures, the rights and responsibilities of the parties, the availability of mediation, human services, and joint custody.
* Mediation and counseling requirements are voluntary. These services are available in all situations involving custody and visitation of children. (Information taken from HowtoGetaDivorce.com)
Government's Role
The Government has placed few restrictions on divorce. Yet some states across the nation are trying to set stricter laws and a precedent for the rest of the country. States such as Arkansas are passing bills (HB2039) that will hopefully help reduce the increasing divorce rate. Though it has been a struggle for proponents of bills like this one because some representatives feel that the state has no business involving itself in the preservation of marriages. Yet our country and our nation's representatives must realize the increasing importance of bills such as this one (Arkansas House Legislation).
Impact on My Generation
The children of my generation have increasingly become the products of broken marriages. The lack of a traditional family setting for the youth of today has become disruptive to their social development. Children are the future of our nation. It is imperative to repair and prevent these broken relationships between parent and child due to divorce. I believe that if our nation learns to curb our divorce rate, other social problems will also begin to decline. Studies show that children from intact homes on average receive more attention and parental guidance than children from broken homes. It is this guidance and emotional support that children of today desperately need in order to ensure the future of our country tomorrow.
What My Generation Wants
My generation feels that it is extremely important for the government to place tougher restrictions on the availability of granting marriage licenses and divorces nation wide. This issue has been taken too lightly in recent years. Society now views divorce as second nature. Couples seek divorce as a quick solution for their relationship problems. Americans have developed a "We will deal with it later attitude." More needs to be done in order to eliminate adults from hastily making decisions about marriage and divorce. The United States need to adopt a policy that is consistent on the national level. This policy should be based on HB 2039, which was recently passed by the Arkansas House of Representatives. The bill allows couples to enter a "covenant marriage" a concept aimed at curbing divorce. The following are provisions stated under HB 2039, which needs to be further revised and seriously considered for adoption by all states across the nation.
* Couples agree that "only when there has been a complete and total breach of the marital covenant commitment may a party seek a declaration that the marriage is no longer legally recognized."
* Prerequisites for signing the contract are premarital counseling, which involves discussing the obligations in covenant marriage and signing an affidavit that they understand the grounds that would govern dissolving the marriage under the covenant marriage arrangement.
* Couples may enter into a covenant marriage by declaring their intent to do so on their marriage license application and executing a declaration of intent to do so under the terms specified in HB2039. The contract states that, before seeking a divorce, the couple, if they experience difficulties, commit themselves "to take all reasonable efforts to preserve our marriage, including marital counseling."
* Those who have signed a covenant marriage may be granted a divorce within the usual 30- day period only upon proof of adultery, commission of a felony that led to imprisonment or the death penalty, or in the case of physical or sexual abuse of the spouse seeking the divorce or a child of one of the spouses.
* Divorce could also be granted if the spouses have been separated for a period of two years without reconciliation, if there are no children produced by the marriage. A waiting period of two and a half years is required if there are children.
Revisions of HB 2039: Though I feel that HB 2039 is an excellent proposal, more needs to be done by the government in order to be proactive about this growing social problem. The bill needs to include more restrictions about the availability of marriage licenses. Further additions about the amount of time a couple must wait before being granted a marriage license are necessary. This will limit adults from eloping and hastily making decisions abount marriage, which many times later end in divorce. Premarital classes should be minimum of four months.
Cost: Government cost would lay in aiding those who can not financially afford premarital counseling. Applicants would have to apply for aid and include a financial history of the couple. To reduce government funding, counseling could be set up through college master programs as volunteer and work force opportunities for those in lower income brackets. ■
Resources
Senator Policy Review. "Can Government Save the Family?" Internet, (1-9) October 1996 <http:// www.policyreview.com
University of Illinois Connection. "Extension
Connection." Internet, 1 November 1998 <http://www.urbanext.edu/champaign/
connections/9811-family3.html
Hughes, Robert Jr. "Effects of Divorce on Children."
Internet. January 1998
Wolbromsky, Rudy.""Mom and Dad are Splitting Up:
A Therapist's Comments on Divorce." Internet. 3
August 2000 <http://aboutteensnow.com
Other Internet References Cited
http://lists.his.com/smartmarriages/msg01353.html http://www.divorcereform.org/soc.html http://howtogetadivorce.com
Organizations
Americans for Divorce Reform 2111 Wilson Blvd., Suite 550 Arlington, Virginia 22201-3057 (703) 528-6700
email@example.com
Biography
Ryan Rabish
Major: No Preference
Prison Reform
The Problem
The penitentiaries in the state of Michigan are not accomplishing what they are constructed to do. That is, they don't amend the convict's behavior and return them to society as a better citizen so they don't repeat their mistakes. Also, the tax dollars spent on these correctional institutions are not being used efficiently. This creates opportunities for new future programs and better solutions to emerge that will bring Michigan's reforming institutions to an era of respectability.
Real Life Scenario
A prisoner in Arizona speaks to young kids at local schools about drugs and the prison life. He's a convicted drug smuggler. When he talks about the consequences of drug use, the kids definitely listen. You can hear a pin drop as he speaks. He's not a squeaky clean policeman or psychologist. He goes in to these assemblies as himself—long hair in a pony tail, heroin tracks on both arms, looking a bit like Charles Manson, actually—and he has genuine impact. He speaks to kids on their own level and shows them the truth by opening up his own life to their scrutiny.
Another prisoner is scared to death. He will have spent 22.5 years of his life in prison before he gets out. When he does, he wants to be a drug and alcohol counselor to kids.
A man sits in his dark room, rotting away as other jail mates join him. He is serving a life sentence and longs to regain the sense of value his life once had. He has no opportunity, no options, just to do his time in jail until the day he dies. He wants to help and make a difference. He will never have the chance.
How Did We Get Here
Something desperately needs to change concerning prisons in Michigan as well as the rest of our country. Insanity is often described as continuing to do the similar things and assuming different results. Endless statistics exemplify that our prisons are an underachieving and often failing aspect of government tax money.
People who break the laws of our society are sent to prison for three basic reasons:
* They go to jail as punishment for the wrong they did.
* They are put away from the society to protect innocent people from being hurt by them again.
* They are given time to consider the wrong they did, learn from their mistakes, and receive treatment to help them make better choices when they are allowed to rejoin society.
The solution behind reason three is not accomplishing much. Examples of major problems in this institution are:
* Minor criminal offenders (ex. shoplifters) are often physically or sexually abused and return to society with new emotional problems
* Prisoners learn from other criminals about how to become better criminals and they come back to society with better ideas and skills
* Most prisoners are no longer seen or treated as members of the human race. They don't learn anything, they just serve time and lose all hope. Everyday for them is meaningless. In addition, many develop such a hate for the world they disrupt others in prison even. As one inmate serving a life term at East Jersey State Prison puts it, "You create Spartan conditions, you're gonna get gladiators."
* Prisoners often network with other prisoners and plan to do crime together when they get out of jail.
* Prison's are terribly overcrowded and building more probably won't settle the issue. A famous quote is "Building more prisons to address crime is like building more graveyards to address a fatal disease". Robert Gangi, Executive Director of the Correctional Association of New York
What We Think
* The United States currently incarcerates the largest percentage of our population of any country on earth at a staggering total of 2 million people
* The cost to support one prisoner in jail for a year is approximately $15,370. That is below average state prisons, and far below the overall federal average of $21,350.
* The State of Oregon had a "College in Prison" program a few years ago. 200 inmates graduated from college. Out of that 200, forty committed a new offense after their release. That is 20% recidivism compared to 64% in the general inmate population. The government of Oregon cut that program to save money!
* In a Virginia study of 3,000 inmates, 20% of the inmates who participated in education programs recidivated, compared with 49% recidivism among those inmates who did not participate.
* On December 31, 1999, State prisons were operating at between 1% and 17% above capacity, while Federal prisons were operating at 32% above capacity.
What is Happening
One non-profit agency believes in unconditional respect for inmates as people. "If you want people to behave responsibly, and treat you with respect, then you have to treat other people that way." Also, their trends for correct policy are:
* Correctional workers have a responsibility to insure that inmates are returned to the community no more angry or hostile than when they were committed.
* Inmates are entitled to a safe and humane environment while in prison.
* You must believe in a man's capacity to change his behavior.
* Normalize the environment to the extent possible by providing programs, amenities, and services. The denial of such must be related to maintaining order and security rather than punishment.
* Most inmates will respond favorably to a clean and aesthetically pleasing physical environment and will not vandalize or destroy it.
Oscar Wilde wrote:
'The vilest deeds, like poison will bloom well in prison air.
It is only what is good in man,
That wastes and withers there."
Policy Recommendations
1. Develop classes that teach criminals why they turned to a life of deviance, educate and motivate them to use the right behavior, and treat them as people so they don't lose hope in their struggles.
* Many studies show that educated inmates are less likely to return to prison. By strengthening prison education, classes will reduce recidivism (return to prison) and save taxpayers money.
* Because it reduces recidivism, classes will help to reduce state expenditures on prisons in the future, thus making valuable state funds available for other important budget items such as higher education, public transportation and other important priorities.
* Classes will help transform inmates from being a drain on society's resources to being productive, tax-paying citizens, after parole.
2. Make a series of social classes that separate the prisoners.
* Reward those who conform by making their living situation better by giving them special privileges for their behavior.
* Further punish those with repeated deviant behavior. However, allow them the opportunity to advance at all times.
3. Create labor projects that allow prisoners to work and help pay for the food, shelter, clothes, and other facilities that are provided to them. In South Dakota, Governor Bill Janklow developed projects that put inmates to work. Every day 900 prison inmates leave their cells and go to work. It's a program Janklow believes in and says saves the state money. This program is experiencing great success. Examples are:
* Building houses and daycare centers to transport to small towns. Inmates do laundry at state hospitals, office work at the capitol, and ground-keeping at state office buildings.
* The largest project called for inmates to wire all South Dakota schools for interconnectivity and Internet access. The state spent $15 million on what would have been a $100 million project, and will do it in two years.
4. Create mentoring opportunities for criminals to make a difference to younger kids. Some of these prisoners do recover and want to make a difference yet don't have the opportunity. By letting these prisoners influence others to flee from a life of crime, kids will respond better by seeing an actual real life situation compared to some statistic. Also, the prisoner will be used in a more beneficial fashion rather than rotting in a dark cell alone.
5. Instead of locking up drug users on first or second time offenses, we should facilitate special programs to help them recover from this addiction and way of life.
6. Distribute a copy of The New Testament every so often. Many lives have changed after receiving this holy book. Many prisons encourage the creation and nurture of churches within prisons, and they do this through the use of the Bible. However, don't limit the spiritual opportunity to Christianity alone. Have opportunities to practice Islam, Buddhism, Muslim, and others that can instill the type of life change the prisoners need.
* "We have seen the rehabilitation of prisoners and the benefit to their families in a way that is far more effective than the government's reform system," writes Mandianike, the Executive Director of one of these agencies. "With the power of God which comes through the Bible we are convinced that so much more can be done."
* G. A. Dzapasi was a witch doctor before he ended up in prison. Thanks to the Bible and the ministry of the PFZ he is now a fully-trained pastor. "But it was one day, when I was there in prison, after the PFZ members had visited me and shared the Word of God, that I was saved," he writes.
Impact on My Generation
With many figures suggesting that our generation has more gangs, drugs, crime, and other acts punishable through prison sentences, we need to make sure we are using our prisons efficiently and are moving in the right direction. Also, that our tax money is spent appropriately. Many of the changes mentioned above would have a major impact of my generation:
* Economically, it would create more jobs, i.e. teachers, counselors, etc.
* Less government spending on the prisoners in jail; they'd help pay for themselves
* Projected less return of convicts, correction- not detainment
* More use out of human life, not just rotting away, useful, meaningful lives
* Can distinguish good from the bad inmates easier
* More cooperation from prisoners and more motivation to be a good prisoner
Until prison staff are trained more effectively to prevent rape and respond sympathetically to victims, they will continue to release angry men and women who are criminal time-bombs. Taxpayers are paying lots of money for rehabilitation, not to have people suffering in jails. ■
Resources
http://users.owt.com/cjhawk/ http://www.prisoneducation.net/ reasons_new.html#Reason http://www.beaconschool.org/~styson/issue.html http://news.mpr.org/features/199810/ 06_hetlandc_prison-m/index.shtml http://www.biblesociety.org/wr_330/330_17.htm http://www.starlight-pub.com/BlueSky/TaskForces/ ReformTaskForce.html
NATIONAL HEADQUARTERS P.O. BOX 2310 National Capitol Station Washington, DC 20013-2310 202-789-2126
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616-383-0028
Email: "mailto:firstname.lastname@example.org"
THE RESTORATIVE JUSTICE CONSORTIUM
c/o The National Council for Social Concern
Montague Chambers
Montague Close
London SE1 9DA
Tel: 020 7403 0977
Fax: 020 7403 0799
email: mailto:email@example.com
Biography
Rocky Benitez
Major: Advertising
Random Drug Screening
The Problem
Random drug screening is an invasion of privacy as well as an ethical issue that should be reconsidered.
Real Life Scenario
There are many cases that show an invasion of privacy to a person through random drug screenings. One example that shows this is the court case Middlebrooks vs. Wayne County. This court case, decided on November 9th, 1992, showed how random drug screenings are an invasion of privacy. Middlebrooks was a temporary employee for six months who applied for a permanent position as a General Service Worker. Middlebrooks was required to submit a urine sample, which when received, tested positive for cocaine and opiates. A second test was given and this time came up negative for cocaine and opiates, but proved positive for quinine, which is a drug that is used to mask cocaine in drug tests. Middlebrooks was not given the job due to his first drug test, so he brought the case to court. The court found that the procedure Middlebrooks was an invasion of privacy and was an invasion of his Fourth Amendment right to be free from unreasonable search and seizure. This invasion of privacy is simply keeping hard working Americans away from jobs, when they could be helping to improve the economy, and maybe even helping the people that do use drugs, get off drugs so they won't have to be scared to be forced to take random drug screenings.
How Did We Get Here
Drug screening was established in the U.S. in the 1970s as an attempt to stop the spread of drug abuse in the U.S. military forces. Starting in 1986 all Federal government employees were required to participate in random drug screening. By 1994 random drug screening was extended to all workers in industries regulated by the Federal government. An estimated 50 to 75 percent of large US companies have adopted random drug screening programs.
Random drug screening is the process of taking a person's urine, blood, hair, or nail sample and testing the sample for certain drugs. Although blood is the best specimen for monitoring drugs, but it was too impractical, so urine sampling was adopted due to its quick results and how it is less invasive. The urine sample was made a law as being the only acceptable specimen for drug screening in 1988. The drugs that are screened for are marijuana, cocaine, PCP, opiates, and amphetamines. There are many reasons why random drug screening is a controversial issue. Among them is the problem of it being an invasion of privacy and the high cost. There is also the major decline in positive drug results from screening.
What We Think
When drug screening was started in the 1970s there was a prevalence of drug use estimated to be 47%, whereas in 1986 the rate had declined to 22%, and it has also declined steadily each year to 2.5% after six years and is at less than 1% today. In 1987 a national testing laboratory, SmithKline Beechman, found that 18.1% of all workers tested positive for drug use. But by 1997 this number had dropped all the way to only 5.4%. This consistent decrease in drug users is reason enough to stop the random drug screening and allow freedom of the individual.
Oddly, as the number of employees that use drugs decreases, the number of expensive tests increases. In 1987 the number of drug tests given by SmithKline Beechman was 300,000. In 1998 this number skyrocketed to 5.5 billion. It does not seem intelligent to waste all this money on drug tests when the number of employee drug users has been steadily declining since the late 70's. Each drug can affect each person differently; most drugs stay in the system for 2-4 days. For chronic users the drugs can be detected much later than just the 2-4 days, sometimes up to 14 days.
Another problem that is caused by random drug screening is the cost issue. Drug tests cost in the range of $50-60, including the collection of the sample, laboratory analysis, the cost of a medical review officer, and the communications of the results to the employer. The president of Northcoast chapter of the National Organization for the Reform of Marijuana Laws, John Hartman, states a very important point: "drug testing doesn't indicate onthe-job intoxication, but past use." He also says that if you "smoke a joint over the weekend, you can fail the test." He simply means that it is not right for the workplace to decide what a person does on the weekend. The drugs are not proven to show work that isn't as productive due to the use of some drugs.
What is Happening
What is happening right now with regards to the government controlling or monitoring random drug screening is that the government is allowing it. Starting in 1994, drug screening has been extended to all workers regulated by the federal government. Now, the number of companies that have embraced the drug screening process is at 5070%. There are no guidelines or criteria for giving drug tests at the workplace. The most common drug screening process that has been adopted is the pre-employment program. Courts have consistently upheld the legality of requiring a pre-employment drug test as a condition for employment. Another drug test plan is the post-hiring plan. In this the employer must provide guidelines if the employee's drug results come back positive. The last form of drug testing is the post employment plan. This can include random drug screening for employees under suspicion or for employees that are required to give drug tests for certain industries.
Impact On My Generation
This topic of random drug screening has a great effect on my generation because it is my generation that is now starting to go into the workplace and to take the place of the past generations. We as a young generation are now completing college and moving into the workplace. The problem with this is that if drug screening is kept as a law, then many of these young adults that are straight out of college could have problems getting a job due to their college experiences. Another reason why random drug screening should be abolished is due to the fact that most all drugs do not stay in a persons system for an extended period of time. Most drugs are completely out of the system in a period of 2-4 days. This means that if an individual decides to have a fun weekend, then they can be punished for something that will not even affect them at the workplace.
Policy Recommendations
I believe that random drug screening is a system that is an invasion of a person's privacy and an ethical issue, but can be made less intrusive if certain guidelines are instituted for all industries. The policies that I recommend are as follows:
* A written company policy and procedure.
* Drug testing should only be implied for the use of necessity. The necessity may include safety for the individual, the company, or the other employees.
* Employees that may be needed to take drug tests should be informed in advance.
* Written consent by the employee when he/she receives the job position.
* All tests should be done legally without tampering, and should follow all requirements.
* Simply because there is a positive test result, the employee should not be fired. He or she should be allowed to have a second test if desired and then they can have check-up drug screening at any period of time during employment.
* Treatment can and should be available if desired.
* All results will stay with the employer, the employee, and the physician; results will not be given to the authorities.
If these guidelines are followed, I believe that drug screening will be much more accepted by society, thus making the tests less intrusive and more acceptable ethically. ■
Resources
Earth Erowid, "US Supreme Court Strikes Down Hospital Practice of Giving Drug Test Results To Police Without Patient Consent." Crystal M. Ferguson vs. City of Charleston. Les Rosen, Reprint of Newsletter for the Marin HR Forum, reprinted in August 1999. "Drug Screening in the USA – 1994" http:// www.jr2.ox.ac.uk/bandolier/band5/b5-3.html Drug - Alcohol Testing, March 1996 Melanie Payne, "Drug Screening Is Called An 'Everlasting Cat and Mouse Game'", Akron Beacon-Journal, December 21, 1998.
Biography
Jenny Shrewsburg Major: Preveterinary
Assisted Suicide
The People
People who are terminally ill are living in pain. There has to be a way to help people who are suffering. Should assisted suicide be legalized?
Real Life Scenario
In January 1999, my grandmother had blocked arteries in her stomach. She could not eat anything without having horrible stomach pains. She had surgery in April to open those arteries. Then, around July 1999, my grandmother was diagnosed with lung cancer. Her cancer was too close to her heart for doctors to even think about operating. By December 1999, her health had deteriorated. She was in so much pain that she was put on morphine and on a respirator for her breathing. The morphine numbed everything except the pain. They inserted a catheter when she was put on the morphine because the doctors knew that she was not going to be able to get up.
My mother stayed with my grandma every day and every night. My grandmother was in such pain that she did not even recognize some of her own children. It is so hard to explain to someone why his or her own mother does not recognize them. She was a human vegetable.
How Did We Get Here
Definitions: "Suicide" means the act or instance of taking one's own life voluntarily and intentionally, especially by a person of discretion and of sound mind. "Assisted" means to give support or aid. Assisted suicide would be someone giving support or aid to a person who wants to voluntarily and intentionally take his or her own life. "Terminally ill" means having an incurable or irreversible condition that has a high probability of causing death within a relatively short time with or without treatment.
History and relevance today: People today have heard of Kevorkian. Dr. Jack Kevorkian graduated from the University of Michigan, specializing in pathology in 1952. He got the nickname, "Doctor Death," in 1956 by publishing an article, "The Fundus Oculi and Determination of Death." The article talked about his attempt to photograph the eyes of his dying patients. He was asked to leave his residency at the University of Michigan.
In the 1980's he started publishing a number of articles about "physician consulting" for "death counseling." On June 4, 1990, Kevorkian helped Janet Adkins commit suicide. He was forbidden from aiding in any suicides on June 8. The murder charges brought against Kevorkian in the death of Adkins were dropped on December 12, 1990. On November 20, 1991, the State Board of Medicine revoked Kevorkian's license to practice.
Kevorkian went on to assist others in dying. March 14, 1998 marks the 100 th assisted suicide for Kevorkian. CBS "60 Minutes" aired video footage on November 22, 1998 of Thomas Youk getting a lethal injection from Kevorkian. By November 24, 1998 Kevorkian was charged with first-degree murder (which charge was later dropped). But on April 13, 1999, Kevorkian was convicted of second-degree murder. Yet Kevorkian received the Civil Activist Award from the Gleitsman Foundation on March 15, 2000. The Gleitsman Foundation is a non-profit organization that "recognizes and encourages leadership in social activism worldwide." The Civil Activist Award honors those who challenge social injustice.
The E-Force (Ethical Force Program), along with the American Medical Association, made a mission to "improve health care by fostering the ethical behavior of all participants." They came up with three mission goals:
* To identify and promote ethical expectations for all participants in health care;
* To develop valid and reliable measures of achievement of ethical expectations and;
* To encourage the widespread adoption and use of these expectations and measures.
The E-Force has received much support from other groups and professionals such as researchers, ethicists, and union members for its view that "quality in ethics is at the heart of quality in health care."
What We Think
Should assisted suicide be legalized?
Arguments for assisted suicide: Why should a very ill person not have the right to choose whether he or she lives or dies? Many people all over the world are gravely ill and dying. Do they really have to suffer for the rest of their lives, whether that is for a year or maybe even for five years? Generation Y has to think about this because our parents one day may be in this situation—barely clinging to life. Are we going to want to watch our parents suffer for that last part of their lives?
Family members are sometimes asked if they want to remove the plug for life support. This means that the patient cannot live without life support. Isn't "pulling the plug" assisted suicide?
There are two major organizations that promote assisted suicide. Compassion in Dying and the Right to Die Society are for the "improved care and expanded options at life's end." In 1997, this organization started a challenge involving two states, Washington and New York, about the laws they have prohibiting assisted death. They argued all the way to the U.S. Supreme Court. The Court did not agree in June 1997, but did start a national debate on the issue. Compassion in Dying has affiliates in Oregon, New York, Washington, California and Alaska.
Assisted Suicide (continued)
Dr. Timothy Quill, of the University of Rochester in New York, is trying to find an alternative for the dying patient. Dr. Quill has admitted that he himself has helped patients die (CNN June 27, 1997). He saw them suffering and wanted to relieve their pain. The Right to Die Society supports assisted suicide. It is an organization that is internationally "fighting for a person's right to die." There are thirty-three Right to Die Society affiliates worldwide and they meet every two years to discuss news.
Persons have a right to assisted suicide if:
* They have been diagnosed with a progressive illness like lung cancer, AIDS, Alzheimer's disease, Parkinson's disease, and multiple sclerosis.
* The pain of some of these illnesses never goes away, even if these patients are on numerous medications.
* They suffer from terminal illnesses and do not want to diminish their assets by incurring large medical costs as they approach death. They would rather die sooner, and pass on their assets to their beneficiaries.
* "Respect for Autonomy": This means a competent person should have the right to choose death.
* "Justice": It requires that we "treat like cases alike."
Arguments against assisted suicide: If a person is dying but has not yet, it must be for a reason. Why else would God keep you on earth and make you suffer? Perhaps you are helping people around you grow as people or maybe even teaching people. Generation Y has to decide whether it should try to take God's job away from Him. The "No Constitutional Right to Physician-Assisted Suicide" published on July 14, 1997, states that, in two closely related cases, the U.S. Supreme Court decided that physician-assisted suicide is unconstitutional. However, legislators could be given the right to make this an option.
The International Anti-Euthanasia Task Force (IAETF) addresses the issue of assisted suicide and euthanasia from a "public policy perspective." The IAETF's main goal is to influence the debate on assisted suicide and euthanasia and to make sure that the patient's right to receive proper care will be enforced instead of a lethal injection or poison given by a doctor.
* In Michigan, conviction of assisted suicide is a five-year felony.
* "Passive vs. Active Distinction": There is a difference between letting someone die and killing them.
* "Potential for abuse": People could say they have pain and can't live with it and try to use assisted suicide and a way out.
* "Professional Integrity": "Historical ethical traditions of medicine are opposed of taking lives."
* "Fallibility of Profession": Doctors may make mistakes in diagnosis.
What is Happening
Role of the government: On November 8,1994, the people of Oregon passed Measure 16. This is known as the Death with Dignity Act, giving people the right to physician suicide. It is the first assisted suicide law passed in U.S. At least 43 patients have ended their lives since the passing of the Death with Dignity Act. Congress is trying to pass HR 2260, "Pain Relief Promotion Act of 1999." This will continue the education about the terminally ill, but will not allow the "intentional" suicide of patients. This bill has not been passed yet.
In Canada, it is not illegal to commit suicide or attempt suicide, but it is illegal to assist in suicide according to Section 241 of the Criminal Code. It is yet to be decided if assisted suicide is going to be legalized there.
Current legislation: Assisted suicide is illegal in all states except Oregon. The issue is currently being discussed in Canada.
Proposed legislation: Assisted suicide should be legalized in all states. People should have the right to decide whether they want to live or die.
Impact On My Generation
My grandmother died on February 14, 2000, Valentine's Day. Watching my grandmother live in so much pain and not being able to do anything about it made me think about assisted suicide. If assisted suicide was an option, I do not know if she would have chosen the procedure or not. But I do know that, had she chosen assisted suicide, I would not have blamed her. It was hard enough on me to see the pain she was in. I cannot imagine what it must have felt like.
Generation Y is growing up. We will soon move out on our own and live our own lives. Sometime in the future, our parents are going to get older, too. Generation Y needs to think about what it wants and how we are going to feel if we are put into that situation—a situation in which we have to watch a loved one become terminally ill.
Is our generation going to be able to handle watching our parents suffer? Or are we going to want assisted suicide so our parents have a right to decide when it is time to pass? If Generation Y wants assisted suicide, then we need to propose some guidelines as to what should be legal and what is illegal. On the other hand, if we are totally against it, then we need to try to stop people from doing it and deal with the consequences when our parents get older.
What My Generation Wants
Input from Generation Y focus groups: Patrick Cibula states: "I believe that assisted suicide should be used only on terminally ill patients and only after they have been checked to be mentally stable. They should also not be given this option for sometime after diagnosis to prevent it from being depression induced." Tim Shrewsburg speaks firmly: "I think assisted suicide is a legitimate choice for people who are crippled, dying of cancer, etc., because it prevents them from suffering."
Assisted Suicide (continued)
"We have laws against cruel and unusual punishment, and dying slowly of cancer is cruel and unusual. If a person is faced with this situation, and they want to die, let them die." Some other students had different feelings and ideas about assisted suicide. S.P. said: "Call me Catholic, but I'm not in favor of it. The good Lord will take you when He's ready. Until then, you're serving some kind of purpose for Him." Joe Evans strongly states, "I'm totally against it. I think it's an easy way out, and also a selfish way to solve a problem. The people have no idea how badly it affects family and friends."
What I recommend: Assisted suicide should be legalized in terminally ill cases. The patients who request assisted suicide should go through a psychological test to make sure they are of sound body and sound mind. Also, the patient should have the same diagnoses by two different doctors.
I think it should be an option because some pain is just too unbearable for people to handle. I also believe that the state does not have the right to make someone live if they cannot even take care of themselves. We should follow Oregon and help the terminally ill who want help.
Costs: The costs involved would depend upon what form of assisted suicide people can choose. If we just had lethal injections, then we would have to buy the drugs and needles for the injections. ■
Resources
Non-Profit Organizations For
COMPASSION IN DYING Federation
PMB 415
6312 SW Capitol Hwy
Portland, Oregon 97201
Tel: (503) 221-9556
Fax: (503) 228-9160
firstname.lastname@example.org
Dying With Dignity 55
Eglinton Avenue East, Suite 705
Toronto, Ontario M4P 1G8 Canada
Tel: (416) 486-3998 (800) 495-6156
Fax: (416) 489-9010
E-mail: email@example.com
Non-Profit Organizations Against
International Task Force on Euthanasia and
Assisted Suicide
P.O. Box 760
Steubenville, OH 43952
740-282-3810
Copyright 1996 - 2001 IAETF firstname.lastname@example.org
Focus Groups
* Focus group by email on Monday, January 29,
2001. The ratio was 11 females to 11 males ages 16-21.
* Focus group on Wednesday, January 31, 2001.
The ratio was 6 females to 15 males ages 18-22.
Other Sources of Information
* The World Book Dictionary, vol. 1 (A-K) and vol. 2 (L-Z).
* CNN news reports about Assisted-suicide advocates trying new tack.
* Twisted trial: Dr. Jack Kevorkian Spins the Jury
March 30
th
, 1999 (http://law.about.com/
newsissues/law/library/weekly/aa033099.htm).
* (http://justicetalking.org/season_one_shows/
doctor_assisted_suicide.html) has a debate that you can listen to about physician aid dying.
* (http://www.fansoffieger.com/chronology.htm)
Andrea Redilla
Major: No Preference
Death Tax
The Problem
The United States of America currently has an inheritance tax of 55 percent on inheritances of $675,000 or more. Should this tax be eliminated?
Real Life Scenario
"I'm sorry but your mother is dead," says the doctor as he consoles the victim's daughter. "We tried everything we could, but she was too weak to continue fighting. I have never seen anyone try so hard to conquer this horrible disease." This phrase is something I will never forget. It plays in my head like a broken record, yet at times I think I am just dreaming. Being the only child of a single parent, I was left all of the inheritance. After many long days of paperwork, I was informed that the government would be taxing almost half of my mother's hard earned money.
How Did We Get Here
Definition: The Estate Tax is levied on all assets one has accumulated during one's life, including one's home, savings, stocks and bonds, bank accounts, land, family heirlooms, jewelry, furniture, and on every asset in any business one owns, whether or not such a business has the cash available to pay the death tax. The estate tax was a combination of three taxes in 1981. The Internal Revenue Code levies taxes on transfers of property at death (estate tax), during life (gift tax), and to grandchildren or other descendants (generation-skipping transfer tax).
History and Relevance Today
About two-thirds of the states have a pick-up tax law. A state can enjoy participation in the federal estate tax by taking part of the federal tax levy. These states claim to have no inheritance tax but really they take part of the amount that is calculated as federal estate tax. The following states participate in the pick-up tax: Alabama, Alaska, Arizona, Arkansas, California, Colorado, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Maine, Minnesota, Missouri, Nevada, New Mexico, North Dakota, Oregon, Rhode Island, South Carolina, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, Wyoming.
The other states, including Michigan impose a death tax, either in the form of an inheritance tax or an estate tax. An inheritance tax is a tax on the assets received by a person. An estate tax is a tax on the assets of the decedent. The maximum tax in the state of Michigan is 17 percent.
What is Happening
During President George W. Bush's campaign, he promised to abolish the death tax. Conservatives have spearheaded the effort to have the tax repealed, claiming that it is nothing more than an unfair tax on death.
What We Think: Research and Discussion
Arguments for maintaining the status quo
* Repealing the tax would subtract 2 percent of the federal tax revenue, which would have to be made up elsewhere.
* Within the 2 percent that is collected by the federal revenue, only 6.5 percent of those are farmers or small business owners. The majority of 18 billion dollars collected annually by the estate tax is drawn from the pockets of the extremely wealthy.
Arguments against maintaining the status quo
* Estate tax rates are higher than any other tax rate. For example, the estate tax ranges from 37 percent to 55 percent. The lowest estate tax rate is almost as much as the highest income tax rate of 39.6 percent. More importantly, the estate tax is imposed on earnings and assets that have already been subject to taxation by income, social security, federal, and state taxes.
* With Americans living longer than ever before, we need to encourage society to invest for a comfortable future. Instead, the estate tax discourages individual to save, knowing the higher one's assets at the time of death, the more the government takes through taxation.
* It is financially cheaper to sell small family-owned businesses before death rather than pass it down to the next generation. Small businesses can't compete, when taxation of up to 55 percent is levied upon the death of the owner.
* Small businesses employ almost 60 percent of the American workforce and create thousands of new jobs each year. Therefore, instead of expansion of businesses or creation of new jobs, the owner fears the later effects of estate tax.
* The estate tax has a negative effect on decision making for family-owned businesses. Money is diverted away from growth of the business and spent on insurance, attorneys, and financial experts. The government makes 65 cents on every dollar raised on enforcement and collection, and businesses spend thousands of dollars on estate tax preparation.
* Less than 2 percent of the government's revenue is generated from the death tax.
Existing and Proposed Policy
Proposed changes in law/policy: The No Death Tax Organization supports numerous bills that have been introduced to end the estate tax, phase it out, or create tax shelters, including: outright repeal; a 5-year, 7-year or 10-year phase-out; reductions in the tax rate; elimination of the family business carve-out; inflationary and other increases in credits; increases in the annual gift exclusion; credits for certain charitable contributions; reductions in income taxes and marriage penalties; and increased credits for exempt small farmers and small businesses.
Costs: By repealing the estate tax, 2 percent of the federal tax revenue would be lost. During the 2000 Fiscal Year, the federal budget was $2.025 trillion. If the estate and gift tax, which represents 2 percent of the total revenue, were repealed, than 29 billion dollars would have to come from a different source.
Impact On My Generation
I personally have been affected by the death tax. In January of 2001, I lost my mother to cancer. Being the only survivor of her immediate family, I inherited the house, banking accounts, retirement funds, stocks, etc. All of these "hand-me-downs" have been taxed. I'm left with one rhetorical question: Who is suffering now, a teenager trying to live a normal life or the government who just inherited thousands of dollars off of my passing loved one?
What My Generation Wants
Input from Generation Y focus groups: After speaking to small portions of Generation Y on numerous occasions about this highly debated issue, there is still no 100 percent certainty on either side. Many believe this tax to be a burden economically and emotionally. As Steve, a student attending Michigan State University said, "The government shouldn't be so greedy. Having to deal with losing a loved one is hard enough without them (government) having a hand in your pocket." The estate tax is unfair because all of the money it raises has been taxed at least once, and sometimes two or three times, through income taxes, penalty taxes on savings and investments, and the countless other taxes on Americans. Proponents of the estate tax believe that one should vote in favor of the elimination based on "moral" grounds. They feel that it is morally wrong to demand death duties. They also argue that it breaks up large concentrations of wealth. They want to encourage the children of the rich to earn their own way through life, instead of inheriting it from mommy and daddy. Why, the reasoning goes, should we have to pay a tax again after we die?
However, others feel that the death tax is necessary. When asked,"Do you feel that the government should be allowed to tax you for money that your loved one has left you behind?" Andrew Copenhaver, a sophomore attending Michigan State University, replied, "Sure, it's still money for government programs. Plus, if you don't think it's fair, then tell your loved one that you don't want it (their inheritance) written off to you."
What I Recommend
After personally being affected by the estate tax, I believe this tax should be eliminated. Being a single female household, my mother worked long hard hours planning for a secure financial future. In the end, her sweat produced money has been taken away from the one person who was her world, me. Is that really fair? ■
Resources
Non-Profit Organizations For Maintaining the Status Quo No Sites Found
Non-Profit Organizations
Against Maintaining the Status Quo
No Death Tax Organization
General Email: http://www.nodeathtax.org
Americans Against Unfair Family Taxation (AAUFT)
General Email: http://www.estatetax.org
Other Sources of Information National Center for Public Policy (NCPA) General Email: http://www.ncpa.org
Newspaper Association of America (NAA)
General Email: http://www.naa.org
The Concord Coalition General Email: http://www.concordcoalition.org
Focus Groups
Small Focus Groups
Michigan State University classroom
Males 12 Females 4
Surveys Sent Through E-mail Males 12 Females 12
Curriculum Summary
Generation Y Speaks Out: A Policy Guide was conceived and written collaboratively by some 40 students in two sections of a course called Writing: Public Life in America. This course is one of several tracks offered by the Department of American Thought and Language (ATL), which teaches first-year writing to the great majority of undergraduates at Michigan State University. There are dozens of sections offered by ATL each semester on all aspects of American society, culture and technology; only six involve service learning and focus on public life in America. ATL 135 is a joint endeavor of MSU's College of Arts & Letters the Service Learning Center, and the Writing Center. Working through the Service Learning Writing Project, students in the course develop into more effective writers at the university and more thoughtful citizens better equipped to meet the challenges and requirements of civic life.
Service learning is an educational strategy where, through experiential learning tied to the curriculum, students apply knowledge, skills, critical thinking, and wise judgment, to address genuine community needs. In ATL 135, readings, writing assignments, discussions, public forums, and actual public service placements confront students with basic questions about the struggle for a revitalized public sphere.
What does it mean, for example, to be a member of the communities in which we live and work—school and classroom, workplace, place of worship, neighborhood, or nation? What does it mean to be a citizen in a democracy? How well do traditions of American citizenship serve the complex demands and increased diversity of civic life in America? What is the relationship between civil rights and civic responsibilities? What are the major challenges to democratic citizenship today? How are the media—magazines, newspapers, TV, the Internet— vital to effective citizenship? What does "service" mean and what does it have to do with democratic citizenship?
Like all ATL courses, Writing: Public Life in America follows a seminar and workshop model emphasizing the development of independent thinking as well as collaborative learning processes. Assignments for class preparation and daily discussion, analysis, evaluation, and critique of readings stress constant refinement and routine practice of varied writing activities, including outlining, paragraphing, peer-editing, essay and report writing and revision, leading class discussion, drafting discussion questions, developing group proposals and conducting group research. Our overall objective is to strengthen the following critical competencies:
* Critical Reading: identifying central ideas, issues, and problems of a text; synthesizing and reconstructing an argument; determining relevant information.
* Critical Thinking: evaluating hypotheses or conclusions; distinguishing between fact and opinion; formulating appropriate questions; incorporating others' opinions and perspectives.
* Critical Writing: defining audience; generating and organizing ideas; drafting, revising, and editing for standard usage; using and documenting sources; researching library materials.
Of particular interest for the two sections of ATL 135 that produced Generation Y Speaks Out was finding ways to involve students in helping brainstorm the biggest decisions we faced in developing the policy guide. We didn't want to simply give our students directions on what to write; we wanted them to collaborate in thinking through the best format, the most authentic vehicle for presenting the information. As a kind of pilot project, several students worked on issue briefs during the fall 2000 semester. In January 2001, the lead instructors, David Stowe and Christopher Buck, met with project coordinators Jerry Lindman, director for nonprofit outreach for the Michigan Nonprofit Association, and Shanetta Martin, assistant for policy and organizational outreach for Michigan's Children to develop a strategy for the spring 2001 semester. Our goal was to devise an effective format for our issue briefs, one that would be both useful for lawmakers and policymakers in Michigan and authentic to the voice of our mostly 18-year students.
The January blueprint was refined dynamically during the course of the semester, as students and instructors workshopped drafts of issue briefs in classroom sessions joined at various times by Lindman, Martin, and Steve Stanley, educational consultant and former multi-client lobbyist. Students chose two or three issue briefs to write based on their personal interest as well as on peer feedback generated in focus groups. This is the format that emerged toward the end of the semester, as students worked preliminary drafts into their final briefs.
Curriculum Summary (continued)
The Problem
Identify the problem you will address in your issue brief.
Real Life Scenarios
Anecdotes: Use real life experiences to describe/highlight your issue.
How Did We Get Here: Background
1. Define the topic and sub-topics on the issue.
2. Place the issue into historical context (i.e. how is the issue relevant today).
3. Identify recent trends on the issue.
What We Think: Research and Discussion
1. Is there a controversy over the issue and what are the opposing and supporting arguments on the issue?
2. Discuss each subtopic under the issue if any.
3. What questions or concerns does the issue raise?
4. What is the responsibility of the government to the issue? What is the role of federal, state and local government on the issue? How has government handled the issue in the past?
What is Happening: Policy Trends
What is the status of this issue in government now? Is their existing or proposed legislative bills on your issue?
Impact on My Generation
How is this issue relevant to young people?
What My Generation Wants: Policy Recommendations
(proposals for changes in law or government funding)
1. What do you think policy makers (e.g. legislators, the governor, congress, etc) should do to improve on the issue? Please consider and state possible cost implications to any policy recommendations.
Where I Got This Information: Resources
Identify a non-profit organization that deals with your issue and list their contact information. Please identify other additional sources of information.
About Me: Biographical Information
Please include a brief biographical description of yourself in two sentences or less. You might want to include your name, age, hometown, etc.
Note: Instructors may suggest appropriate subheadings or subtitles as necessary.
As the semester progressed, we became increasingly aware of a need to avoid producing generic issue briefs of the sort one could already find in any number of places, especially with the Internet. How to give these briefs the distinctive signature of youth, of the generation they were supposed to represent? We decided to include two sections, "Real Life Scenarios" and "What My Generation Wants: Policy Recommendations," that would specifically express the viewpoint of Gen Y.
Edited by:
David W. Stowe
American Thought and Language, Michigan State University
Christopher Buck
American Thought and Language, Michigan State University
Shanetta L. Martin
Michigan's Children
Notes
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Mishy Harman (narration): Just about two months before November 4th, 1995, I began seventh grade. And in Israel, that's the start of Junior High. So… new school, new building, all the other kids are new too. You have to figure out, really quickly, which group to join: The science nerds, the hippies, the Nirvana fans. You do your best to score some goals in soccer games during recess, 'cuz that's the surest way to become popular. Anyway, hectic times. So I was really looking forward to November 4th, it was a Saturday, because my entire old class, from sixth grade, were invited to Maya Baharal's Bat Mitzvah.
I hadn't seen most of them since school ended the previous summer, (we had basically all gone to different Junior Highs), but it just felt familiar, and right, the minute we met up at synagogue that morning. We slipped right back into our old roles, with all the same dynamics, which had been established since kindergarten. And in that group, I was part of the cool kids.
At Maya Baharal's Bat Mitzvah, being part of the cool kids meant leading the boys to the balcony of the synagogue. There's this tradition at Bar and Bat Mitzvahs to throw candy at the kid, once they've finished reading the Torah. Usually it's soft toffee, so no one gets hurt. But Maya's parents handed out hard candy, and I convinced the boys to play a game: We would unwrap the hard candy, lick it, throw it, and you'd get five points if you could get it to stick to the Rabbi's bald head. I lost. I think Yonatan Yodkuvich won.
Anyway, after the services we went to Sacher Park, Jerusalem's main grassy area, and played ball. My best friend Yoav's dad suggested that we play touch football. At sports at least, I was much more Israeli than American, so I didn't know the rules. Everyone else did. So every time I'd catch the ball, I'd try to pass it, 'cuz I didn't know you had to run with it. Everyone was yelling at me. We played all afternoon, and by the time Yoav's parents dropped me at home, I was zonked. My big brother Oren was going to Tel Aviv, for a peace rally. I wanted to go with him, but my mom said I couldn't.
I remember all of this because the next morning, really early, both of my parents woke me up. My mom was crying. My dad looked as if he hadn't slept all night. My first thought was that my savta, my grandma, had died. But she hadn't. My mom held my hand, and said, "Mishy, they killed Rabin."
Yitzhak Rabin was our Prime-Minister. And I was obsessed with politics. I had a poster of Rabin in my room, and my favorite t-shirt was one I'd gotten at an election rally, three years earlier, when Rabin won and became Prime-Minister. Yisrael Mechaka Le'Rabin , it said. Israel's waiting for Rabin.
A few years later, I was watching TV. My favorite show, HaChamishiya HaKamerit , was on. It was everyone's favorite show at the time - sort of a local SNL, with little skits about politics, and just life in general in Israel. In this particular skit, which later became really famous, there's an MTV-style call-in show, where school children can ask questions. One girl, Ahuva, calls in and says that she's having some trouble with an assignment she got at school. "What's it about?" the host asks. And she says that they need to write an essay with pro and cons of the Rabin assassination. "Oh, I see," he answers, "and you're probably having a hard time coming up with the pros?" There's a pause for a second, and then Ahuva replies, "No, I just don't know who Rabin is."
I guess that skit worked because at the time there was this sense, or fear, that Rabin would be forgotten. That enough time would pass that people wouldn't even know who he was anymore. But that hasn't happened. This week is the twentieth anniversary of that assassination, and Rabin hasn't been forgotten. It's more like he's multiplied. To mean everything, and be everywhere.
Hey, I'm Mishy Harman and from PRX this is Israel Story. Israel Story is produced together with Tablet Magazine. And today on our program, which we're calling "Rabin Is…," we're gonna tell the story of six different Rabins. You know, this is one of those difficult episodes to make, because there isn't a single person in Israel who doesn't have something to say about Rabin, who doesn't feel some personal connection to him, or remember exactly, like I do, where they were on that Saturday, twenty years ago.
We thought that the best place to start was with the person who knew Rabin the longest.
Act One: Rabin Is My Brother.
[Phone rings].
Rachel Rabin: Shalom.
Mishy Harman: Shalom, Rachel?
Rachel Rabin: Ken.
Mishy Harman:
Ken, shalom, medaber Mishy
Harman.
Rachel Rabin: Ken
.
Mishy Harman: Ma shlomech?
Rachel Rabin:
Beseder .
Mishy Harman (narration): Rachel Rabin, Yitzhak Rabin's little sister, isn't so little anymore. She's almost 91, and she lives - alone - at the very edge of the country, in
Kibbutz Manara, less than a hundred meters from the border with Lebanon. She had told us to call when we got to the entrance of the Kibbutz, so that she could direct us to her house. Somewhat embarrassingly, and even though there are only like two and a half streets in the whole place, we got lost.
When we finally pulled into her driveway, she looked at us and with half a smile said, "Guys, you really screwed up, huh?"
You wouldn't guess her age if you saw her. She has a quick step, a long white braid, and a young voice. But the main thing you notice about her, immediately, is that she looks exactly like her brother.
She gave us some coffee, and slices of an apple pie she had made. We sat in her tiny apartment, and - as if we were talking about yesterday - Rachel took us back to the early 1930s in Tel Aviv.
[Dubbed].
Rachel Rabin: Our parents were always very busy, so we were alone a lot of the time. And somehow Yitzhak always felt that he was responsible for me. That he needed to take care of me. To protect me. And that's how I felt. Till his last day, really, I felt he was protecting me, even from afar.
One day, I remember, we went to see a movie. That was a big deal in those days. And I cried my eyes out. And Yitzhak, he said to me, "I'm never gonna take you to the movies again. The film's barely started and you're already crying. Even if it's not sad!" So I said, "OK, I promise not to cry at the movies anymore."
Mishy Harman (narration): Even though we know that our leaders were all just once normal kids, it's kind of funny to imagine a national icon like Rabin going to a school dance and waiting sheepishly for some girl to smile at him.
[Dubbed].
Rachel Rabin: Yitzhak was a shy kid. Closed. Very quiet. You know, one of those 'don't touch me and I won't touch you' kind of kids. He wasn't one of the popular, or loud, kids. But he was a good athlete, from the beginning. He was good at soccer, and his friends would come over to play soccer in the street. They didn't want me to bother them, so they'd make me the goalie.
Mishy Harman (narration): We spent about three hours with Rachel, and - I'm gonna say that I've never been with anyone who receives as many phone calls as she does. There were journalists, of course, old friends of Yitzhak calling to check in on her, neighbors, grandchildren, and - I kid you not - someone who called to say that had gone to the same summer camp as Rachel in 1935, and wanted to know whether she remembered the words to the camp anthem. She did.
Before we left, Rachel took us to the den, where she keeps all her memorabilia. She pointed to the wall, to a large faded picture of their mom, Roza, holding her two kids, five-year-old Yitzhak, in sort of a blue-and-white sailor's outfit, and two-year-old Rachel, with short curly hair. She showed us part of a Katyusha bomb, that landed in her living room, and then she opened folders, where - in individual plastic sheets - she keeps dozens and dozens of letters from Yitzhak. She took out a few, and as she began reading them to us, I thought about what it's like to share your big brother with an entire country. To have so many people feel as if they had a special relationship to him, even though they never even knew him, let alone fought with him about who would do the dishes. Rachel talks about her big brother with admiration, and respect. And from all his letters you can tell just how much he loved her too. But - like all of us - even with her there's a sense that something wasn't completely equal. In the sixties, once her brother had already become a war hero and a public figure, he was on the radio, talking about his childhood.
[Dubbed].
Rachel Rabin: My dad and I sat here in the living room and listened to the show. And Yitzhak was talking about how lonely he felt at home, growing up. And I was really surprised, since I never felt lonely. So I called him up afterwards, and we tried to understand why we had such different memories. And then I realized that I was never lonely because I had him. He was always around. And I guess I just wasn't the same kind of rock for him as he was for me. I was just his little sister. I just miss him so much.
Mishy Harman (narration): In the years after Rachel and Yitzhak shared a small bedroom that doubled as a guest room, they went in very different directions. She established her Kibbutz in the Upper Galilee, and was a high school biology teacher till she retired. He became a soldier in the Palmach, the pre-state troops. And then in 1948, in the War of Independence he was the commander of Chativat Har'el , the brigade that opened the route to Jerusalem. He quickly rose through the rank of the newly-formed IDF, till - in 1964 - he became its Chief of Staff. Rabin led the army to its crushing victory in the Six Day War, and was kind of a national rock star. Teenagers would ask for his autograph on the street. When he left the military, after twenty-seven years, he was appointed to be Israel's Ambassador in America, and after that he joined politics, first becoming Golda Meir's Minister of Labor, and then, when she resigned in 1974 after the Yom Kippur War, he was named Israel's fifth Prime-Minister. He was a different kind of politician. For starters, he was young, a member of a new generation, that hadn't come from Europe. He was a Tzabar , born and raised here, a man of the land. But his term as Prime-Minister was anything but glorious. He was considered a mediocre leader, and in 1977 - when a report came out about an illegal bank account that his wife Leah held abroad, he resigned. He lost control of the Labor party, and his big rival, Shimon Peres, was selected to run in the general elections. Peres lost, to Begin - the first time the right wing Likkud party came to power. So, at the age of fifty-five, Rabin had basically become a has been. He wasn't very popular anymore, just kind of living a normal life. That's where our next story picks up. Act Two - Rabin Is Just A Guy.
Me'ir Palevsky: We used to eat in restaurants. You had hummus and kebab, and that's all. No lobster, no shrimps, no… no… like the others. Hummus and kebab, and that's all. And some whisky. More than some whisky.
Mishy Harman (narration): Me'ir Palevsky is a private detective. He lives alone, in Tel Aviv. He smokes a lot, writes a lot of facebook statuses. Me'ir and Rabin had a very special relationship. They were friends, but not only: Me'ir doesn't like the term, but he was Rabin's fixer. The guy that takes care of things, things that a politician needs, but can't really know about. They met after Rabin had resigned the Prime-Ministership.
Me'ir Palevsky: It was the end of the '70s. We were in the reserve in the army in the Sinai desert, reserve soldiers. Ordinary people. Like me, I'm not ordinary, but everybody is ordinary.
Begin was the Prime Minister then. And we were not happy about what was going on in the country. We discussed the situation and decided we needed another Prime Minister and we decided between us that Rabin was the right person and could make it better.
So, we went home after the reserve. We found his phone number in the book, his private number in his apartment. We called it, made an appointment. We came to the office. His handshake was very shaky. He was a general in the army and so on but he was not a macho. He was like a university lecturer or something like that. He didn't look me in the eyes, he looked down. His friend goes, "What can I do for you?" I said, I want you to be the Prime Minister. He sat back, was a little bit startled. You need to understand at the time, Rabin was at the back benches of the party. Nobody cared about him. He was alone. Nobody cared about him except us. We kept talking about the idea. He didn't commit but he was interested. We decided that at the end of the meeting, we will make a gathering at my home with 40, 50, 60 people. We will talk to them and see the atmosphere. We were sitting, a lot of people in my apartment. 60 people, sitting on the floor. Everywhere. Rabin was sitting on the chair like this and I was beside him. And he started telling us memories at the time when he was the Prime Minister. The finance minister came to him with the problem of inflation and suddenly the unions of the teacher began striking and in the middle of all this mess, the Prime Minister of Canada Trudeau came to Israel. It was a boring lecture. It was so boring that everybody started moving. So one of my friends asked him, did Trudeau brought his wife? His wife was a famous beautiful woman and the gossip said she had a fling/romance with Mick Jagger of the Rolling Stones. "Yes, sure" he said. "How is the wife?" He said, in
English, "Nothing to write home about." She was a famously beautiful woman. So my friend insisted, said, "Everybody is saying she is beautiful." He didn't answer. People started moving. Didn't like the atmosphere. The evening was going very wrong. I was not happy so I decided, I must make a move to salvage this evening. if my fail, I fail, if I succeed, we all succeed. so I open my mouth, I have a big mouth. I said, "yitzhak" you never call him Yitzhak. Respectfully, "Yitzhak". So I said loudly and clearly, "Yitzhak."...I'm trying to translate..I'm trying to find the words...Okay, I said…. "Yitzhak, would you fuck her?" Everybody starts laughing and his wife, she sent me her rays of fire from her eyes. He didn't answer but he became free because he was 40 years in the army. You know the nature of people in the army. So the atmosphere became very friendly. And the evening became a big success. Everybody was very happy and joined our Rabin group and the rest is history. The end of the evening, him and his wife stayed with me and my wife with some whiskey he said in his voice, "Meir, don't do it again." And I said, "Yitzhak you started!"
Mishy Harman (narration): Ultimately, whether or not that exchange about Trudeau's wife actually served as a pivotal moment, Rabin's career got back on track. There was a national unity government and Rabin served as the Defense Minister. These were the days of the first Intifada, the popular Palestinian uprising, and Rabin was a hardliner. He famously said that Israeli soldiers shouldn't shoot at the Palestinian protesters and stone throwers, but should break their arms and legs. He was Mr. Security, and in 1992, he finally beat his nemesis, Peres, in the Labor Party primaries. In June of that year, he led the Labor Party to a resounding victory in the general elections, in a campaign which mainly emphasized his personal popularity. That's when I got that "Israel is waiting for Rabin" t-shirt. The night of his election, at least in my house, there was a lot of excitement.
Almost immediately Rabin set off on a new path. It included negotiations with the PLO, and their leader, Yasser Arafat. These were the Oslo Accords, which recognized the PLO and granted the Palestinian Authority partial control in Gaza and certain cities in the
West Bank. On September 13, 1993 I remember listening to the radio, with my mom in the car, when Rabin - somewhat reluctantly - shook Arafat's hand on the South Lawn of the White House. My mom looked at me, with tears of disbelief in her eyes, and said, "remember this moment, Mishy."
The next year, we made peace with King Hussein of Jordan, and Rabin, Peres and Arafat flew to Oslo to receive the Nobel Peace Prize. People were talking about a peace treaty with Syria, and there was this general sense of hope in the air. We could actually end this bloody struggle. Of course not everyone shared those feelings. Terror attacks continued, and the right blamed Rabin, saying that his agreements gave the Palestinians guns, which were now being used to kill Israelis. He was giving away the land, they claimed, and before long the more extreme voices began calling Rabin a traitor, a murderer. There were rabbis in the West Bank who performed Pulsa DeNora ceremonies against Rabin, basically kind of a ritual curse. Some said outright that he should be killed, and the demonstrations got more and more hateful. In one big rally, in Jerusalem's Zion Square, on October 5, 1995, the political leadership of the right, including Bibi Netanyahu, Ariel Sharon and many others, gave speeches from a balcony. Below them, the demonstrators handed out leaflets with a picture of Rabin dressed in an SS uniform. Dead doves were sent to Rabin's office, even to his home. Some youngsters vandalized his car, and one religious man tried to assault him at the end of an event he attended.
As all this violent rhetoric escalated, the left began planning a counter-demonstration, which would take place a month later, in Tel Aviv's main square. The slogan for the rally was Ken LaShalom, Lo La'Alimut - Yes to Peace, No to Violence. The organizers didn't know how many people would show up, and Rabin was nervous. The elections were less than a year away, and he needed a strong showing of support to continue with his peace making policies. People we talked to told us that Rabin himself sent them to scout out the square, and report back - every hour - how many people were coming. If it was just a few thousand, he thought, he might say he came down with a sore throat. But there was no need for excuses. The square was packed. Rabin spoke, a speech which has since become part of Israeli history, about how violence eats away at the foundations of democracy. He said that that wasn't our way. We solved things in democratic elections, not by violence. At the end of the rally the leadership of the left stood together and sang - Rabin couldn't carry a tune - a song called, Shir LaShalom , A Song for Peace. Everyone felt exhilarated. Including Rabin. It had been a big success. Then he walked down the stairs, to his car. That's where Yigal Amir, the assassin, was waiting.
Act Three - Rabin Is Dead. Like the JFK assassination, everyone remembers what they were doing when they heard the news. For Aliza Goren, that isn't so hard - she was one of the people closest to the news.
Aliza Goren: My name is Aliza Goren, and I am a businesswoman. I was used to be the spokeswoman for Prime-Minister, the late Prime-Minister Rabin, until the minute he died.
Mishy Harman (narration): Matan Dishon, on the other hand, was more or less the farthest you could get from the news, at least in Israel.
Matan Dishon: My name is Matan. Dishon. I live in Kibbutz Mizra, in Jezreel Valley. Twenty years ago we were serving in a post in Lebanon, in the Security Zone. My unit is called Palch"an Nachal which is like a small unit, who is professionally suited for handling engineering and explosives.
Mishy Harman (narration): Together, they tell the story of that night, November 4th, 1995.
Matan Dishon: So that night it was winter of course and it was probably cold and muddy as usual.
Aliza Goren: That night, we had a big rally in Tel Aviv. And Rabin wasn't sure he wants to do it. And he had to be convinced.
Matan Dishon: We were doing this mission called a stake out. Marav Beten. Marav Beten: Marav is a stake out and Beten is like belly. Probably around ten or so, soldiers just lie on your belly all through the night in the mud and watch over whatever.
Aliza Goren: The place was full of people. There were about a quarter of a million people at that rally. Very big demonstration in Israel and they were all carrying signs supporting him, supporting his acts, supporting peace. It was so nice and Rabin was so happy and at the end of it, they sang the song of peace.
Matan Dishon: That part of Lebanon is really beautiful. Quite high mountains, they are green I guess most of the year. Rivers running below this ridge for instance. And there's quite nice cliffs, it's a really nice place to be in terms of the wilderness, the view. But there wasn't even one second that you can forget that it's really dangerous.
Aliza Goren: We start to say goodbye to everybody and I escorted him to the car. We went downstairs, the car was waiting for him. The bodyguard was walking behind him. There were a lot of policemen around him. I was walking behind the bodyguard and he kept saying goodbye to people while stepping down the stairs, and suddenly I heard shots.
Matan Dishon: And suddenly, we see, as far as the eye can see, flares, shootings, we hear a lot of gunshots in the air. And these light flares.
Aliza Goren: Now, I've never heard shots before. I've never witnessed a scenery like this. And I saw that he fell and in a minute it was, the car was vanished. They drove off, they threw him into the car and they drove off. And I was standing there and I couldn't… I kept thinking, "What happened?"
Matan Dishon: So, I think my initial thought was that the stake out was discovered and we're under some kind of attack. Because you hear gunshots and see all these flares in the air. And then the next thought was that it was very widespread across Lebanon. It's all of Nabatieh and all of the villages around shooting in the air and these flares and fireworks and so on. So, it's probably not about us, but something is happening.
Aliza Goren: Then I saw a pile of people laying one on top of the other, and on the bottom was Yigal Amir, the murderer. A filthy murder.
Matan Dishon: I believe I thought it was some kind of celebration, some kind of Lebanese holiday or celebration, something like that.
Aliza Goren: I was standing there and I said "what am I going to do? I have to call and see where he went, Rabin, and if something happened to him." The only number I could remember at this moment was the number of the military attache of Rabin, Dani Atun. So I called him up.
Matan Dishon: And then we radioed up back to the post, what's going on?
Aliza Goren: And I said listen Dani, I think they shot Rabin. He said, "what are you talking about?" In the beginning he was yelling at me that I'm imagining things. And I said, "listen, they shot him and I have to know where he went." He said, "I'll get back to you in a minute."
Matan Dishon: And then the reaction was quite surprising, something we didn't hear anywhere before, saying something like, in Hebrew it's "kodkod kahol lavan eneno," the blue and white vertex is gone. So I have to explain that sentence probably. Blue and white is a code the radio code for Israel. Vertex is a general radio code for an officer.
Aliza Goren: He got back to me in a few minutes and said, "they took him to Ichilov hospital." Which was like a mile, a mile and half away. But my car was parked so far so I started running by foot. At some point, my assistant drove next to me and drove me the rest of the way.
Matan Dishon: We dismantled this stake out, we went back to the post..very early. I guess I started thinking about who is gone? Who is this person who is gone and what's all these celebrations?
Aliza Goren: When I got there, I went downstairs, I saw Mrs. Rabin with the driver. And he told me, the driver told me, "Listen, they shot him in the back and he was wounded." And I said, "What are you, a doctor?" and she was standing there speechless, Leah Rabin. We went downstairs… where the operation rooms were and oh we waiting I think about an hour and a half, two hours.
Matan Dishon: I guess we were very alert because of all these shootings and flares. I also guessed that we were maybe a little bit happy to go back to the posts instead of spending the night on our bellies in the mud. So, I believe that was our state of mind at that point.
Aliza Goren: While waiting, people started gathering there, all of the cabinet members, some of the security forces, the chief of staff. And then… a general of the hospital came out and said, "I'm sorry but he died." And we couldn't believe it.
Matan Dishon: Guessing that Rabin was dead, killed, assassinated, that of course, was out of anyone's imagination at that point. But we found out that our prime minister was assassinated and we were of course shocked. But I must say that the missions in the post, were overwhelming even on this event.
Aliza Goren: A few people, his wife, his kids, Shimon Peres, another cabinet member by the name Efraim Sneh, Dani Atun, the military attache, maybe another person, I don't remember, went to see the body and he was lying there covered with a sheet. And he had a bruise on his forehead because he fell. He was lying there so calm. It was terrible, really terrible. Everyone went and kissed his forehead. I was just standing there, I couldn't touch him. I just... I was the only one who didn't touch him and didn't kiss his forehead. I just stood there, looked at him. That's it.
Matan Dishon: When we came back to Israel after about four weeks, we really realized what happened and could really stop and think about it. And then it was… it felt like a backstabbing.
Aliza Goren: I thought it was the end of Israel. That Israel will never be able to get back to what it was. That evil has prevailed. That injustice has prevailed. The incitement succeeded in an undemocratic way and I think it's… we still feel it until today.
Mishy Harman (narration): That piece was by Shoshi Shmuluvitz, with original music from Collin Oldham. Etgar Keret, an author and a regular contributor to our show, lives less than a ten minute walk from Kikar Malchey Israel, the square where Rabin was murdered. One of his most iconic short stories is actually about Rabin. Yochai Maital and I went to talk to him about that story. It's called "Rabin is Dead" but Rabin in the title of the story isn't the Rabin. Act Four - Rabin Is A Cat.
Etgar Keret: I got a lot of bad reactions. Kind of, people said how dare you write a story about a cat named Rabin? You know? This means that you really didn't like rabin that you didn't believe in the peace process. that you hate your own country. And the world thinks that calling a geriatric hospital in which people pee on himself, Rabin hospital, is very respectable, or calling a dead end street that is all dirty 'Rabin Street' is wonderful, but calling the animal that they love the most after Rabin, is something that is not acceptable. So this is kind of how I sat down and started writing this story.
Mishy Harman (narration): Here's Etgar's story, read to us by Neil Friedlander.
Neil Friedlander (narration): Rabin's dead. It happened last night. He got run over by a scooter with a sidecar. Rabin died on the spot. The guy on the scooter got hurt real bad and passed out, and they took him away in an ambulance. They didn't even touch Rabin. He was so dead, there was nothing they could do. So me and Tiran picked him up and buried him in my backyard. I cried after that, and Tiran lit up and told me to stop crying cause I was getting on his nerves. But I didn't stop, and pretty soon he started crying too. because I really loved Rabin a lot, but Tiran loved him even more. Then we went to Tiran's house, and there was a cop on the front stairs waiting to bag him, because the guy on the scooter came to and squealed to the doctors at the hospital. He told them Tiran had bashed his helmet in with a crowbar. The cop asked Tiran why he was crying and Tiran said, "Who's crying, you fascist motherfucking pig." The cop smacked him once, and Tiran's father came out and wanted to take down the cop's name and stuff, but the cop wouldn't tell him, and in less than five minutes, there must've been like thirty neighbors standing there. The cop told them to take it easy, and they told him to take it easy himself. There was a lot of shoving, and it looked like someone was going to clobbered again. Finally the cop left, and Tiran's dad sat us both down in their living room and gave us some Sprite. He told Tiran to tell him what happened and to make it quick, before the cop returned with backup. So Tiran told him he's hit someone with a crowbar but that it was someone who had it coming, and that the guy'd squealed to the police. Tiran's dad asked what exactly he had it coming for, and I could see right away that he was pissed off. So I told him it was the guy on the scooter that started it, 'cause first he ran Rabin over with his sidecar, then he called us names and then he went and slapped me too. Tiran's dad asked him if it was true, and Tiran didn't answer but he nodded. I could tell that he was dying for a cigarette but he was afraid to smoke next to his dad.
We found Rabin in the square. Soon as we got off the bus we spotted him. He was just a kitten then and he was so cold he was trembling. Me and Tiran and this uptown girl with a navel stud that we met there, we went to get him some milk. But at Espresso Bar they wouldn't give us any. And at Burger Ranch, they didn't have milk 'cause they're a meat place and they're kosher, so they don't sell dairy stuff. Finally, at the grocery store on Frishman Street they gave us a half-pint and an empty yogurt cup, and we poured him some milk, and he lapped it up in one go. And Avishag--that was the name of the girl with the stud--said we ought to call him Shalom, because shalom means peace and we'd found him right in the square where Rabin died for peace. Tiran nodded and asked her for her phone number, and she told him he was really cute but that she had a boyfriend in the army. After she left, Tiran patted the kitten and said that we'd never in a million years call him Shalom, because Shalom is a sissy name. He said we'd call him Rabin, and that the broad and her boyfriend in the army could go fuck themselves for all he cared, cause maybe she had a pretty face but her body was really weird.
Tiran's dad told Tiran it was lucky he was still a minor, but even that might not do him much good this time, because bashing people with a crowbar isn't like stealing chewing gum from a candy store. Tiran still didn't say anything, and I could tell he was about to start crying again. So I told Tiran's dad that it was all my fault, because when Rabin was run over, I was the one who yelled it to Tiran. And the guy on the scooter, who was kind of nice at first and even seemed sorry about what he'd done, asked me what I was screaming for. And it was only when I told him that the cat's name was Rabin that he lost his cool and slapped me. And Tiran told his dad: "First, the shit doesn't stop at the stop sign, then he runs over our cat, and after all that he goes and slaps Sinai. What did you expect me to do? Let him get away with it?" And Tiran's dad didn't answer. He lit a cigarette, and without making a big deal about it, lit one for Tiran too. And Tiran's dad didn't answer. And Tiran said the best thing I could do would be to beat it, before the cops came back, so that at least one of us would stay out of it. I told him to lay off, but his dad insisted.
Before I went upstairs, I stopped for a minute at Rabin's grave and thought about what would have happened if we hadn't found him. About what his life would have been like then. Maybe he'd have frozen to death, but probably someone else would have found him and taken him home, and then he wouldn't have been run over. Everything in life is just luck. Even the original Rabin-- after everyone sang the Hymn to Peace at the big rally in the square, if instead of going down those stairs he'd hung around a little longer, he'd still be alive. And they would have shot Peres instead. At least that's what they said on TV. Or else, if the broad in the square wouldn't have had that boyfriend in the army and she'd given Tiran her phone number and we'd called Rabin Shalom, then he would have been run over anyway, but at least nobody would have gotten clobbered.
Mishy Harman: I'm constantly thinking is there an allegory here that I'm not getting?
Etgar Keret: I didn't write it as an allegory, and I think that the thing that connected me the most to this kind of collective emotion that I felt in Israel after the assassination of Rabin was this idea that everybody was in pain, and everybody was really really sad, but a lot of the people instead of showing this sadness or vulnerability they turned into some kind of aggression. I think there is something about Israeli mentality that whenever you have pain or vulnerability then you automatically try to transform it to something that is more macho like, or more kind of defendable, which in this case would be to take your anger out on somebody.
When I wrote the story, I wanted to write a story about some kind of ritual of memory, but i think that what came out of it was really this kind of inability to show your pain, and how this inability to share your pain turns pain into aggression.
Yochai Maital (narration): This aggression was something that Etgart witnessed personally, on the very night of the assassination.
Etgar Keret: When Rabin was assassinated, I was watching with a friend a trashy film on TV, and we were really bored. One of us, his girlfriend dumped him, and I remember that we were really really depressed that day anyway, and the movie was really really bad, we just saw it because it was kind of pre-cable time so it was the only thing you could see on TV, and then they stopped showing the film and started talking that something happened in the square, and my friend said - I must have a drink. So we turned off the TV and we went outside of his house. There was a pub in Lasalle Street which is now closed, it doesn't exist anymore, and we went there and they were closing the place because of Rabin's assassination. And he said just give me a beer for the way, my friend. And the guy said to him - I can't sell you beer, Rabin was assassinated. So my friend said I want to have a beer to mourn for him, I want to drink a beer in his memory. And the bartender said, "You shitting with me?" And he said, "No, you shitting with me?" And like in twenty seconds, they almost had a fight. They almost had a punch fight. And you felt that both of them were very, very volatile but their emotion turned into some kind of anger toward the world and I remember myself in Lasalle Street, both of them kind of trying to punch each other and me pushing them to two sides and both of them were much bigger than me. So this is kind of my memory. This kind of eruption of violence that nothing to do with reality. I never saw my friend get into a fight, you know. I hardly see people in Tel Aviv get into fights, and this kind of fight that I thought all came from this kind of pain, and anger, that had to be ventilated somewhere, and me there kind of trying to stop it in a very unsuccessful way.
Yochai Maital (narration): And how is Etgar going to mark the 20th anniversary of rabin's assassination?
Etgar Keret: Well, the truth is I don't give much importance to specific dates, but the issue of Rabin's assassination is something that comes up in my conversations with my son, and actually my son had told me and my wife during the last Gaza war that we should learn from this country's history and not say out loud that we want to have peace. Because he said that, if I quote him, "If you would have listened in school, then you would have known that Rabin and Saadat and John Lennon were all killed because they wanted peace, and I want peace too, but even more than that I want to have parents, so… you can support peace but you shouldn't say that in public places." That's the lesson that he got from Rabin's assassination.
Mishy Harman (narration): Yochai Maital. So, if for Etgar, Rabin could be a cat, for other Israelis, especially in recent years, Rabin can take on almost any shape or form. Act Five - Rabin Is Up For Grabs. Shai Satran bring us this story.
Shai Satran (narration): There was this moment toward the end of the 2015 election debate. It was a small moment but I just can't get it out of my head.
Naftali Bennett, the leader of Israel's nationalist right wing party, and Zehava Galon, the leader of the leftist party were going at it. They were arguing about the two state solution, and the settlements. She called him a fascist. and then this happened:
Bennet says: for 20 years the left has held Rabin's murder over bibi's head. I'm not part of that generation he says, I'm part of a generation that doesn't apologize! I am not going to apologize for that!
The reason this is such an amazing moment is that until that point, in an hour and a half debate, no one even mentioned Rabin's name. In a sense, Bennett just brought Rabin up out of the blue.
But the truth is, over the last twenty years Rabin is always there, just under the surface of any political argument, any talk of palestinians, settlements or terror.
A few moments later Bennett was at it again:
I'll tell you where I was when Rabin was murdered, during that same murder which you're blaming me for: I was an officer in combat in the south of Lebanon - protecting you! And you won't dare accuse me of the murder! I am proud of my opinions! Zahava Galon tries to counter- I didn't blame you of the murder she says. and she didn't. but also, in a sense, she did..
Rabin was murdered by a religious right wing Jew. In the weeks and months before the murder there was an escalating atmosphere of incitement against Rabin, seen as stemming from, or at the very least allowed by, the right wing and religious leadership. Netanyahu, who was then the head of the opposition, was one of those held responsible.
Dror Moreh is the director of the academy-award nominated documentary 'The Gatekeepers.' He spends a lot of time thinking about that day, November 4, 1995.
Dror Moreh: The assassination of Rabin marked the lowest point, which from there we are only going down.
Shai Satran (narration): He's outraged at the reality which has allowed Bibi, just two decades later, to become the chief eulogizer at Rabin's memorials.
Dror Moreh: Bibi walked in a rally where behind him there was a coffin, and on that coffin it said, Rabin, the killing of the Zionism. What does it signal? He was sitting or he was standing on the porch in those horrible demonstrations that were in Jerusalem in the Zion square, where Rabin was portrayed as a nazi SS officer ...so the political leadership.... people that are with us still in the Knesset today.
Shai Satran (narration): Talking to Dror a picture of Rabin and the murder emerges:
Rabin was courageous in fighting for peace. The extreme right and the religious zealots were responsible for creating the national atmosphere in which the murder could occur.
Dror Moreh: Rabin was the Prime Minister of Israel. He was assassinated because he tried to go for peace. The commemoration of Rabin is subdued into one camp which is shrinking rapidly which is the
"peace camp" let's call it like that, in Israel. And the other camp is growing bigger and stronger.
Shai Satran (narration): This is a widespread sentiment in the Israeli left: We are the few that still uphold Rabin's memory, they say. And while it is undoubtedly true that sizeable parts of Israeli society would rather forget Rabin altogether, it isn't that simple.
Erez Eshel: You know you try to say I belong to his legacy. Okay..so say it.
Shai Satran (narration): This is Erez Eshel. As you can hear, Erez has strong feelings concerning Rabin.
Erez Eshel: He was from the labor- so what? so what? Because Rabin doesn't belong to the left. He was the Prime Minister of the state of Israel of the Jewish people around all of the world and we so many times get confused. Thinking that he belongs to one group.
Shai Satran (narration): Erez is a right wing religious educator, though he probably wouldn't like me labeling him as such. He is the founder of several pre-army leadership academies. Like Dror, he considers the murder to be the defining moment of his life, and a watershed moment in Israel's history. But the similarities end there: Erez's Rabin is rather different than Dror's.
Erez Eshel: For me Rabin is a warrior that sacrificed his life in the Independence War. For me, Rabin is the one that symbolizes uniting Jerusalem. The Six Day War. I am a real Zionist. I will give my life for the State of Israel, for the Land of Israel and for the People of Israel. I do believe in all of the Land of Israel. I do. I believe the Yitzhak Rabin believed in all of the Land of Israel.
Shai Satran (narration): And how does Rabin's striving of peace factor in?
Erez Eshel: You know, there was the endless campaign about peace. Many times the campaign for the peace was a campaign against the extremers. Against the settlers.
This fantasy, saying like 'if Rabin would be alive, we would have peace now.' And there were no stabbing and no explosions- Peace movement! With whom do we do peace? We speak about in Gaza- Hamas? In the West Bank- Abu Mazen?
Shai Satran (narration): Many people in the non-extreme right agree with Erez: They think that the peace process has tainted rabin's true legacy. Rabin is remembered as a military hero and the unifier of Jerusalem. In this narrative the peace process becomes a late-life lapse of judgement, of which we need not be reminded too often. In addition, the tendency to scrutinize the murderer's religious and political background is considered misguided.
Erez Eshel: Yigal is nothing for me. He's really nothing for me. The blame of the murder of a symbol, of a Prime Minister, is a blame of all the groups of the Israeli society.
There was a lost of trust between left and right, secular and religious, we lost the respect.
Shai Satran (narration): This is a major point of disagreement. For Dror the murderer is instrumental.
Dror Moreh: Not only that he succeeded in assassinating the Prime Minister and by that the assassinating the peace process, he succeeded also because of this false kind of unity that was swept over Israel after the assassination. And to call Yigal Amir as a weed...as ....to isolate him as someone that was instead of really looking at the bigger picture and looking at the camp that he came from. He represents thousands of thousands of people in that camp, and today I think it's in the tens of thousands of people. And in that sense, we failed.
Shai Satran (narration): This kind of exchange over Rabin's identity, the responsibility for his murder and the lessons from the murder, has been happening, in one way or another, for the past twenty years. But it hasn't been happening in a vacuum: Today the peace process seems all but dead, Israel's politics have shifted to the right, and the left, or "the peace camp" as Dror called it, has indeed shrunk considerably. Some of the ways in which Rabin is routinely discussed today would have seemed unacceptable ten or fifteen years ago.
Around this time of year there is always a lot of talk of Rabin's legacy. It's become a phrase, almost a cliche. In Israel there are op-ed pieces in every paper with titles like "Rabin's real legacy," or "In Search of Rabin's Legacy."
The findings are dizzying in their variety. Some say his legacy is dialogue, or pragmatism. Others make it about his personality traits - honesty, responsibility, humility.
Prime-Minister Netanyahu seems to find in Rabin inspiration for whatever necessary. Last year, speaking at the annual memorial ceremony for Rabin, Bibi talked about the Iranian threat, crediting Rabin as a leader who recognized the dangers of a nuclear Iran.
I figured it was worth paying a visit to the official bearer of Rabin's legacy. A law was passed in 1997, establishing the Rabin center in Tel Aviv as the official commemoration center for Rabin and the murder.
Annie: My name is Annie Eisen. I handle international relations for the center.
Shai Satran (narration): The Rabin center is in a delicate position in the midst of Rabin's commemoration. Right off the bat Annie made it clear that the center is government funded, not political and that they tell the "full story."
The full story tries to be all inclusive. You can find Dror's Rabin here - the Rabin who went for peace. And Erez's militarized Rabin? He's here too. There is definitely an attempt to keep Rabin appealing in the current zeitgeist.
Annie: I don't agree that he was a leftist, I think he was a pragmatic strong leader, I'm not saying he was a rightist, I'm saying he was a centrist and he was a pragmatic human being. I think we are doing him a disservice if we label him.
Shai Satran (narration): I asked Annie if by not labeling Rabin we aren't allowing people to exploit him for their own political agendas.
Annie: Rabin's legacy is transcending all of that, he is becoming more in consensus for the left and for the right.. I think it's wonderful that so many people feel inspired. i think 20 years on his legacy is more powerful than ever, because people understand what a courageous leader he was, that he was able to understand like, this is it, we don't have a choice, and if all these different people from different parts of society can tap into Rabin and understand his greatness, WOW, that's amazing, isn't it?
Shai Satran (narration): So, there we are, twenty years after the murder: Rabin's a courageous military leader. A great guy. A leftist, a hawk, a centrist. A reminder that violence is bad, that democracy is important, and that we should all just get along. Maybe this diluted, compromised, one-size-fits-all version of Rabin's legacy is all we as a society can handle at the moment. So be it.
Mishy Harman (narration): Shai Satran. It used to be taboo, at least in most circles, to utter anything but total condemnation of the assassin, Yigal Amir. No longer. Just this week the Jerusalem soccer team, Beitar Yerushalayim, was punished because its fans were chanting slogans praising him. The last person we talked for this show lives right next to the stadium, and can hear those hateful chants in her living room. Act Six: Rabin Is Really Gone.
Naomi Chazan: My name is Naomi Chazan, I'm a professor of political science, and a former Member of Knesset. I was Deputy Speaker of the Knesset for quite some time.
Mishy Harman: And my aunt.
Naomi Chazan: And your aunt, of course, maybe I
should have said that first.
Mishy Harman (narration): Naomi is one of the leaders of the Israeli left. She was first elected to the Parliament - as part of the Meretz Party - in 1992, when Rabin won the elections and became Prime Minister. She was a member of his coalition, and was there, at the demonstration, the night he was killed.
[excerpt of Rabin's speech at the rally]
Naomi Chazan: Of course I was at the rally! That was a period when we were at rallies of one form or another several times a week.
Mishy Harman (narration): Naomi left a bit early, right after Rabin spoke, so that she'd beat the traffic. By the time she got to Jerusalem she had heard the news on the radio.
[music beat]
But the words of that speech weren't the last ones she heard from Rabin.
Naomi Chazan: Exactly two weeks later, a messenger came with a package. Small package. From the the Prime Minister's office. And I opened it.
Mishy Harman (narration): Inside was a book, and two letters. The first was written by Eitan Haber, Rabin's Chief-of-Staff.
Naomi Chazan: Dear Naomi, even after the tragic events, I thought you'd want to receive this on your birthday, it was my birthday. And here is a letter and a book that Yitzhak wrote you, wanted you to have. And he prepared it before he was assassinated. And I opened further, and found a letter, a birthday greeting, from Rabin. The letters was dated, 18 November, 1995. Signed by Rabin.
Mishy Harman: So two weeks after he was murdered.
Naomi Chazan: Exactly two weeks after. And I must admit it sent chills down my spine. And the truth of the matter is even when I talk about it, (I talk about it rarely)... But still… It's sort of… It's chilling, it's amazing. That was my gift from Rabin, in sense a present from somebody who had died, and been assassinated, for what he believed in.
Mishy Harman: Sort of a letter from the grave?
Naomi Chazan: Exactly, yeah.
Mishy Harman: Can you show that to me?
Naomi Chazan : Sure! “ To Naomi, greetings. Your birthday is a day of celebration for all of us. Please receive my greetings for health and longevity. Mazal tov , congratulations, Yitzhak Rabin.”
Mishy Harman: What do you… What does it do to you? What do you feel reading this?
Naomi Chazan : Oh… Jesus.. I haven’t… Truth be told I haven’t read it out loud, I never read it out loud until today. But you Mishy have seen it several times because you… Every time you come visit me you go to it, like a magnet.
Mishy Harman : But what does it make you feel? Naomi Chazan : Ehh, sad, reflective. It makes me feel like part of the Israel that I knew and loved is no longer here.
Mishy Harman (narration): But what is here, Naomi believes, is a deep deep concern.
Naomi Chazan: Israel's democracy has never been the same since the assassination of Rabin. In the twenty years that have elapsed, no one has had the courage that Rabin had to pursue peace. In many respects peace has almost become a dirty word. And I would go one step further: The fundamental source of Israel's strength is its democracy, and if it undermines its basic democracy, then it's in trouble. I don't love Israel any less, maybe even more, but the challenges are much greater in the past twenty years than they have been, or were, at the time.
Mishy Harman (narration): That piece of music that you're hearing, that's Bach's Mass in B Minor. But, for, I'm gonna say almost every Israeli over thirty, it's the Rabin song. It accompanied every broadcast surrounding his death, and every anniversary ever since. And it takes me right back to seventh grade. To a feeling of loss, and pain, and confusion. There's something visceral about it, for me, and raw, in that way that music, or smells, can put you back in an exact moment in time.
This week I went to the big memorial rally for Rabin, in the same square where he was killed, twenty years ago. I've been going almost every year, but this time it felt different. There wasn't really anything emotional or painful about it. Bill Clinton spoke beautifully, Rubi Rivlin, our President, also said some nice things. But I was looking around, and most of the crowd - kids from youth movements spanning the political and religious spectrum - were sort of having a good time. It was a happening. They hadn't been born when Rabin was murdered, and I can't blame them - it's hard to get all emotional about a historical figure. I mean how many people cry at Lincoln memorials these days? But for me Rabin, and his memory, go together with sitting on sidewalks, lighting yahrzeit candles and singing sad songs into the night with people you don't know. And I guess that's what time does. Maybe that satire program wasn't so wrong after all. Rabin hasn't been forgotten, but he's remembered in so many different, even conflicting ways, that they kind of cancel each other out. And maybe, in his case, that's what being forgotten really means.
And that's our episode. We hope you continue to listen and spread the word. And we'd love to hear from you, your thoughts, suggestions, comments. Email us, at firstname.lastname@example.org . If you're new to the show, you can catch up on all of our previous episodes, just search for Israel Story on iTunes, Stitcher, or any of the other main podcast platforms. And if you've got a moment, please rate us and leave a review. And also, follow us on FB, Twitter, Instagram, all under Israel Story. Now, I mentioned this last time, but Israel Story is looking for sponsors. As all you podcast listeners know, companies like Audible, Squarespace, stamps.com, MailChimp - they've all become household names thanks to podcast sponsorships. And that can be you. Not only will you support our growing show, but you will also reach a phenomenal and engaged audience. For more information, just email email@example.com .
Israel Story is brought to you by PRX - the Public Radio Exchange, and is produced in partnership with Tablet Magazine. Go to tabletmag dot com slash Israel Story to hear all our previous episodes. This episode was a mammoth effort, by the entire Israel Story team, and orchestrated by Shai Satran. Thanks to Davia Nelson, of the phenomenal Kitchen Sisters, who dubbed Rachel Rabin, to Niva Lanir, Uri Rosenwaks, Dani Zamir, David Harman, Matti Friedman, Rotem from the Rabin Center, Guy Eckstein, Elad Stavi, and Yonatan Glicksberg. To Collin Oldham for the original music for Rabin Is Dead, and to the IDC Radio Studios in Herzliya. Our staff includes Yochai Maital, Shai Satran, Roee Gilron, Maya Kosover, Benny Becker and Shoshi Shmuluvitz. Rachel Fisher and Sophie Schor are our incredible production interns. Julie Subrin's our
Executive Producer. I'm Mishy Harman, and we'll be back in two weeks with a brand new episode of Israel Story. Yalla bye.
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Yes, we can: Motivating Dutch citizens to engage in self-protective behaviors with regard to flood risks
Milou Kievik & Jan M. Gutteling
January 20, 2010 Version
University of Twente, Po Box 217, 7500 AE Enschede, the Netherlands
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Abstract
Although the risk of flooding poses a serious threat to the Dutch public, citizens are not inclined to engage in selfprotective behaviors. Current risk communication tries to enhance self-protective behaviors among citizens, but is not successful. The proportion of citizens engaging in self-protective actions remains rather low. Therefore, this research focused on the determinants of self-protection regarding floods.
The study was a 2 (risk perception: high vs low) x 2 (efficacy beliefs: high vs low) between-subjects experiment. It tested how varying levels of risk perception and efficacy beliefs influenced risk information seeking behavior and
the intention to engage in self-protective behavior. Results showed that, compared to low levels of risk perception, high levels of risk perception led to higher levels of individuals seeking information regarding risk with the intention
to engage in self-protective behavior. The same trend occurred regarding efficacy beliefs. Seeking information regarding risk acts as a mediator between the levels of perceived risk on the one hand and efficacy and the
intention to take self-protective actions on the other. Implications for flood risk communication are discussed.
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Key words: Information seeking behavior, Self-protective behaviors, Risk perception, Efficacy beliefs, Flood risks
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1. Introduction
Flood risks pose a common threat to many heavily populated coastal areas around the world (Maaskant et al. 2009). The Netherlands is situated in a delta area, mainly below sea level, bordered by the North Sea, with several major European rivers flowing through the country. In terms of the severity of the consequences, floods can be seen as the most serious natural hazard for the country. Although many high-quality precautionary measures are being taken to prevent flooding, which actually is a low-probability risk, no certainty exists about whether flooding may occur in the future when climatic conditions change (Ministry of Transport, Public Works and Water Management 2006).
Influenced by European rules and regulations, and considering the catastrophic events in New Orleans after the hurricane Katrina as a warning sign, the Dutch government is redefining its role in preventing and mitigating calamities like disastrous flooding. In this process, notions about the roles and responsibilities of individual citizens in engaging in risk-preparation activities also change. The government is aware that it cannot give Dutch citizens a 100% calamity protection guarantee. The protection of the public is best served by encouraging additional self-protective measures and resilience (de Wit et al. 2008). Citizens are expected to pro-actively prepare themselves for flood risks to increase their personal safety (Grothmann and Reusswig 2006). These prevention actions undertaken by citizens may also considerably reduce the economic damages of floods (Fink et al. 1996).
To motivate citizens to adopt protective behaviors, different governmental campaigns have been established in the Netherlands, like the 'denk vooruit' (think ahead) campaign (www.crisis.nl). Information regarding such risks can be reached via municipal and provincial websites and can easily be linked to a specific residence by entering a postal code. The question is whether this campaign sufficiently motivates people to prepare for the risk of flooding. Several studies have shown that relatively few people educate themselves by visiting the 'think ahead' website, only few people report taking self-protective measures with regard to flooding, and the perception of risk with regard to flooding in the Netherlands is generally low (Terpstra 2010; Gutteling et al. 2010). The lack of motivation to prepare for floods is not only observed in the Netherlands. Research in other European countries like Germany, Norway, Sweden and the United Kingdom indicates that over 80% of all respondents had not undertaken activities to mitigate future losses or to prepare for flood emergencies (Krasovskaia 2005). Additional research conducted by Terpstra and Gutteling (2008) in different regions in the Netherlands has pointed out that few citizens engage in self-protective behaviors with regard to flood risks. Individuals do not take precautionary actions, nor do they show signs of adaptive behaviors with regard to flood risks. These results seem surprising as flood risks do pose a serious threat to the Dutch population and the government does strive to promote self-protective actions through campaigns.
2 Theory and Hypotheses
This study seeks to determine how flood risk information can motivate individuals to adopt selfprotective behaviors. In this paper, we take the position that the failure to adopt self-protective measures in the case of flood preparedness is due to at least two interconnected conditions. The first condition is that, as studies indicate, Dutch people do not seek flood risk information, and thus they have no exposure to such information; without exposure, no effect is to be expected. As a result, researchers have studied the reasons why one may seek information regarding flood risk (Kahlor 2007; Ter Huurne and Gutteling 2008). This research could support the signaled policy change which aims at motivating individual citizens to take more responsibility for flood risk preparation. Increased awareness of individual responsibility of citizens could become manifest in a more active risk information seeking role of the citizen. This approach implies a focus on mass mediated information. Given the urgency of the issue and the size of the targeted audience (>10 million people), other risk communication approaches seem less useful at the moment.
The second condition is that existing flood risk information may not be effective in promoting self-protective behavior. There is no empirical evidence concerning the efficacy of information regarding flood risk information. Also, the information is not based on risk communication theory or best practices. Research should be conducted to explore how the determinants of risk information seeking behavior be applied to make information more effective in stimulating the adoption of selfprotective measures.
Information seeking behavior
Information seeking has emerged as an important topic within the risk communication sector over the past few years and can be described as a deliberate effort to acquire information in response to a need or gap in one's knowledge (Griffin et al. 1999; 2008; Case et al. 2005). Campaigns are often established under the assumption that all residents are susceptible to certain risks and threats faced by society, and citizens will seek available information regarding different risk topics (Sjoberg 2002). However, citizen information seeking behavior is not as straightforward as this description. Individuals do not always seek relevant risk information or they may even avoid information (Miller 1987). This calls for an understanding of the factors that may influence the ways in which people respond to risk information and determine whether to follow the advice.
The Framework for Risk Information Seeking (FRIS) (ter Huurne 2008; Kievik et al. 2009) focuses explicitly on why individuals seek information regarding risk and safety. It proposes that three awareness factors may account for the perceived need for additional information in a risk setting. These factors are as follows: the perceived level of risk, personal involvement and self-efficacy. Furthermore, FRIS states that when risk and efficacy beliefs are made salient, risk perception and efficacy beliefs jointly affect subsequent action. Thus, the level of perceived risk and efficacy may be crucial factors in facilitating the information seeking process. Since observed values of risk perception indicate that flood risks seem to be of little importance to the Dutch (e.g., Terpstra and Gutteling 2008; Grothmann and Reusswig 2006), FRIS predicts a low-level of information seeking behavior among citizens, thus, creating unfavorable conditions for effective risk communication.
The intention to take risk-mitigating or self-protective actions
Research contributed to our understanding of why Dutch citizens do not engage in flood risk selfprotective actions (e.g., Terpstra and Gutteling 2008). First, the level of risk perception that citizens experience with regard to flood risks is low. As perceptions of moderate to high levels of risk are seen as necessary conditions for individuals to take action, because the interest in flood risk is low, the lack of interest in flood risk may be one explanation for the lack of motivation to take precautionary measures among residents (Miceli et al. 2007). Second, citizens of areas prone to flooding seem to have low levels of both self-efficacy and response efficacy. This finding indicates that citizens do not know whether they are capable of executing actions that may reduce their vulnerability to flood risks (low level of self-efficacy), and citizens are uncertain that advised actions by the government would be effective in mitigating the threat (low level of response efficacy) (Grothmann and Reusswig 2006). Research indicates, however, that for an individual to take precautionary measures, certain levels of self-efficacy and response efficacy are required (Rimal and Real 2003). The combination of elevated levels of risk perception, self-efficacy and response efficacy may motivate people to adopt selfprotective measures (Witte 1992; Smith et al. 2007).
One way to increase risk perception would be the use of "fear appeal messages" (Witte and Allen 2000; Kievik et al. 2009). Fear appeal has several characteristics which can lead to three different outcomes. (Witte 1992). First, individuals appraise the threat of an issue. The more individuals believe they are susceptible to a serious threat, the more motivated they are to evaluate the efficacy of the recommended response. If the threat is perceived as irrelevant or insignificant, then there is no motivation to further process the message, and people will simply ignore the fear appeal. In contrast, when a threat is believed to be serious and relevant, individuals may become motivated to take action to reduce the induced level of fear (Witte and Allen 2000).
Perceived efficacy (composed of self-efficacy and response efficacy) determines whether people will become motivated to control the danger or to control their fear about the threat. When people believe they are able to respond appropriately against the threat (i.e., the advice is related to high self-efficacy and/or response efficacy), they are motivated to control the danger and consciously think about ways to remove or lessen the threat. Under these conditions, people carefully think about the recommended responses advocated for in the persuasive messages about risk and adopt those as a means to control the danger. Alternatively, when people are uncertain about the effectiveness of recommended actions (i.e., the advice related to low self-efficacy and/or response efficacy), they are motivated to control their fear through denial, defensive avoidance or reactance (Witte and Allen 2000).
Thus, the risk communication literature suggests that perceived threats contribute to the one's response to a risk, whereas perceived efficacy (or lack thereof) contributes to the adaptive of maladaptive nature of the response. If no information with regard to the efficacy of the recommended response is provided, individuals will rely on past experiences and prior beliefs to determine perceived efficacy (Zaalberg e.a. 2010). Thus, it seems that for residents to engage in self-protective behaviors, two conditions must be met. First, the level of aroused fear must be high. According to Witte and Allen (2000), the stronger the fear appeal, the greater the fear aroused, the greater the severity of the threat perceived, and the greater the susceptibility to the threat perceived. Second, the level of perceived efficacy should be high as well. Not only is the 'fear message' of importance, but also the efficacy message that is attached to the fear message is important. When conditions are met, it is more likely that self-protective behavior will be the result. Only when both levels of risk and efficacy are high will individuals seek relevant information and take precautionary measures to protect themselves against risks like flooding (Witte and Allen 2000).
Hypotheses
The aim of the current study was to determine the effect of levels of risk perception and efficacy beliefs on actual and intended risk information seeking by individuals and one's intention to engage in selfprotective behaviors regarding flooding risk. With regard to information seeking behavior, the following hypotheses were formulated.
H1a: Compared to low levels of risk perception, high levels of risk perception lead to higher levels of both actual and intended information seeking behavior.
H1b: Compared to low levels of efficacy beliefs, high levels of efficacy beliefs lead to higher levels of both actual and intended information seeking behavior.
With regard to one's intention to take self-protective action, two hypotheses were established.
H2a: Compared to low levels of risk perception, high levels of risk perception lead to higher levels of intention to engage in self-protective behaviors.
H2b: Compared to low levels of risk perception, high levels of efficacy beliefs lead to higher levels of intention to engage in self-protective behaviors.
Furthermore, we aimed to understand how the seeking of information contributes to the adoption of risk-mitigating and self-protective behaviors. Because the assumption is that the same factors that predict the information seeking process derived from FRIS (risk perception and efficacy beliefs) underlie the intention of citizens to engage in protective actions, we hypothesized that information seeking predicts the intention to adopt self-protective measures.
H3: Compared to low levels of information seeking behavior, high levels of both actual and intended information seeking behavior lead to higher levels of intention to engage in riskmitigating preventive behaviors.
Finally, we wanted to test whether information-seeking behavior is a mediator (see Baron & Kenny, 1986 p.1176) between the independent variables, risk perception and efficacy beliefs, and the dependent variable, which is one's intention to engage in risk-mitigating or self-protective behaviors (figure 1).
+++ insert figure 1 about here +++
Because the aim of governmental campaigns is to enhance self-protection among citizens (Grothmann and Reusswig 2006), and the assumption is that the seeking of information is an essential link
between the risk campaign and individual risk information processing (Griffin et al. 1999), informationseeking was assumed to mediate the relationship between the provided stimuli and behavior. The study investigated whether one's seeking of risk information indeed has added importance compared to providing risk stimuli alone. Therefore, the final hypothesis was:
H4: Information-seeking behavior acts as a mediator between the independent variables risk perception and efficacy beliefs on the one hand and the intention of respondents to take riskmitigating or self-protective actions on the other.
3 Method
Design and procedure
The study was a 2 (risk perception: high vs low) x 2 (efficacy: high vs low) between-subjects experiment. Between September 2009 and October 2009, randomly chosen inhabitants of various low-lying parts of the Netherlands were invited by letter to participate in the study. Participants were randomly assigned to one of four groups (Table 1); their groups were assigned based on which of four invitation letters they received. These letters contained a website link, giving respondents access to the corresponding online questionnaire.
+++insert table 1 about here+++
After completing the questionnaire, participants were told that they would be participating in a study exploring the thoughts and feelings of citizens with regard to flood risks.
Manipulation of risk perception. Two successive manipulations were used to vary the level of risk perception among respondents. At first, after respondents successfully found the online survey, they were asked to answer a few personal questions. They were told that these questions served to assess the degree to which they were vulnerable to flood risks. After answering these questions, respondents were told that the computer processed the information and that they had to wait for a few seconds. Hereafter, respondents received the information about their personal risk of flooding in the future, based on their given answer. We employed a procedure similar to Rimal (2001) to manipulate risk perception and also efficacy, as will be discussed later. Without actually calculating a score, randomly half of the participants received feedback that their personal risk in case of a flood was high, whereas
the other half of the respondents were told that their personal risk in case of a flood was low, regardless of their answers to the personal questions.
Respondents in the high-risk group were given the following message:
"Based on the information you provided, the chance that a future flood will have negative consequences for you – "is in the top 10 % of the population living in an area prone to flooding." This means that you are vulnerable when a flood will occur. While this assessment is not 100% accurate, it is highly reliable. Possibly you're not worried about the possibility of a flood in the future, but did you know that the chance of flooding in the Netherlands is fairly high!"
Respondents in the low risk group were given the following message:
"Based on the information you provided, the chance that a future flood will have negative consequences for you – "is in the bottom 10% of the population living in an area prone to flooding." This means that you are not vulnerable when a flood will occur. While this assessment is not 100% accurate, it is highly reliable. Possibly, you didn't worry about the possibility of a flood in the future, and this is legitimate. The chance of flooding in the Netherlands is fairly small!"
After respondents read this message, risk perception was also manipulated using fear appeals. After respondents had received their "personal risk message", they were asked to read a newspaper article about flood risks in the Netherlands and the ways in which citizens can prepare themselves for a possible flood in the future. The newspaper article was accompanied by a picture; half of the participants received the newspaper article accompanied by a fear appeal picture, whereas the other half received the same article to which a more neutral picture was added (Appendix 1). Manipulation of efficacy. The newspaper article discussed in detail the precautionary measures the government takes against flooding and the ways in which citizens can prepare themselves for a possible flood in the future. Two different newspaper articles were written. Half of the respondents read the article that was established on the current campaign against flood risks (the 'denk vooruit' campaign) and was supposed to create lower levels of both self-efficacy and response efficacy. The other half read an article that was in principle the same as the first article, but several aspects were added to increase the perceived levels of self-efficacy and response efficacy.
Participants
A total of 726 respondents between 18 and 85 years of age participated in the study. Responses were collected in two different trials. The first trial included 160 participants and functioned as a pilot test to find support for the different manipulations. The second wave included the remaining 566 participants and took place one month later. Because no significant differences in the dependent variable were found between the two trials, the results were based on the total group of participants. Conditions had between 156 and 238 participants. Slightly more males (59%) than females (41%) participated in the study (χ² (1) = 24.00, p <0.01).
Measures
After respondents finished reading the articles, they were asked to complete a questionnaire measuring the variables described below. The questionnaire was based on a previously validated questionnaire (Ter Huurne 2008). This questionnaire, unless otherwise stated, measured responses on five-point Likert-type scales, with extremes strongly disagree (1) to strongly agree (5).
Actual information seeking behavior. To measure the information seeking behavior among respondents, respondents were asked, after reading the newspaper article, to choose between one of four website links with an informative name. Two of these links were relevant to the topic of flood risks, like a link redirecting to the 'think ahead' campaign (www.denkvooruit.nl/noodpakket), scoring 1. The other two website links were irrelevant to the topic, like a link redirecting to a webpage with regard to holiday destinations (www.vakantiebestemmingen.nl/malediven), scoring 0. Respondents choosing the website links with the topic of flood risks showed relevant information seeking behavior, whereas respondents choosing one of the other website links did not.
Intention to seek information. Levels of intention to seek relevant risk information were measured using a three-item scale. Respondents were asked to indicate how likely they were to seek information about flood risk in the future and to keep track of relevant risk information. This scale had high reliability (α=0.89).
Intention to take precautionary measures. The motivation of respondents to take preventive actions was measured using an eight-item scale. Respondents were asked how likely they were to take preparation and precautionary measures and adhere to given instructions. This scale had high reliability (α=0.94).
Risk perception. Risk perception was measured using a 17-item scale. Respondents were asked to indicate how severe and dangerous flood risks are, how high the chance is that a flood will occur in the Netherlands in the future, and how much damage a flood will cause for citizens living in the affected area. Also, the participants had to indicate how dangerous they felt flood risks are for them personally and how likely they felt it would be that a future flood would cause problems for them personally. Also, this scale yielded reliable results (α=0.94).
Self-efficacy. Level of self-efficacy was measured using a reliable nine-item scale (α=0.96). Respondents were asked to indicate to what extent they thought they could prepare themselves for the possibility of a flood in the future.
Response efficacy. Response efficacy was measured using a reliable ten-item scale (α=0.95), measuring the extent to which respondents thought that different preparation and precautionary measures were effective in protecting oneself from negative consequences of a possible flood in the future.
Efficacy scale. The analysis with regard to efficacy beliefs was conducted based on the combination of levels of self-efficacy and response efficacy. The combined nineteen-item scale of both variables also showed high reliability (α=0.97).
4 Results
Descriptive statistics
No differences in gender (F (3,722) = 1.34, p =0.26) or age (F (3,722) = .53, p =0.66) were found among the four conditions. The manipulation check revealed main effects for risk perception, selfefficacy and response efficacy, all in the predicted directions (risk perception (F (1,722) = 97.69, p<0.01); self-efficacy (F (1,722) = 51.50, p<0.01) and response efficacy (F (1,722) = 45.08, p<0.01). Furthermore, no strong correlations were found between level of risk perception and self-efficacy (r= 0.15) or between risk perception and response efficacy (r= 0.15), indicating that the manipulations were relatively independent and only enhanced the targeted variable, without increasing the levels of the other variables. Therefore, we can conclude that the manipulations were successful. A positive
and highly significant correlation was found between self-efficacy and response efficacy (r= 0.84), allowing us to combine the two factors to a new factor efficacy for further analyses.
Table 2 presents the mean scores for the separate conditions for all dependent variables, and the overall mean scores and standard deviations.
+++ insert table 2 about here +++
Information seeking behavior
Hypothesis 1a and 1b were tested using ANOVA. The effect of risk perception and efficacy beliefs on information seeking behavior was measured. As shown in Table 2, significant main effects of risk perception (F (1, 722) = 58.27, p<0.01, η² = .08) and efficacy beliefs (F (1, 722) = 22.74, p<0.01, η² = .04) on actual information seeking behavior were found. No interaction effect between the two variables existed (F (1,722) = 1.56, p=0.22). With regard to the intention to seek relevant risk information, we found significant effects of risk perception (F (1, 722) = 37.29, p<0.01, η² = .06) and efficacy beliefs (F (1, 722) = 68.45, p<0.01, η² = .11). No interaction effect was found (F (1,722) = 0.61, p=0.43).
Inspection of the mean scores in Table 2 shows that respondents in the high risk perception/high efficacy condition scored significantly higher on both actual information seeking behavior (M=0.96) and intended information seeking behavior (M=3.40) than the respondents in each of the other conditions. Furthermore, respondents in the low risk perception/low efficacy condition showed the least actual information seeking behavior (M=0.62) and intended information seeking behavior (M=2.35). This is consistent with our hypotheses.
Furthermore, we looked at the relationship between actual and intended information seeking behavior to ensure that the intention to seek relevant risk information corresponded with the actual behavior of citizens. Correlations were significant (r= 0.50), indicating that the two concepts are related.
Intention to take risk-mitigating or preventive actions
With regard to the intention to take risk-mitigating or preventive actions, hypotheses 2a and 2b were tested using ANOVA. Results indicated significant main effects of both risk perception (F (1,722) =
31.21, p<0.01, η² = .05) and efficacy beliefs (F (1,722) = 101.10, p<0.01, η² = .13) regarding one's intention to take self-protective measures. No interaction effect between risk perception and efficacy beliefs was found (F (1,722) = 0.29, p = 0.59).
Inspection of the mean scores in Table 2 indicates that respondents in the high risk perception/high efficacy condition showed the most intention to take preventive actions (M=3.86) compared to respondents in each of the other conditions, as expected; this result was statistically significant. Respondents in the low risk perception/low efficacy condition showed a significantly lower intention to take preventive actions (M=2.78). These results support our second set of hypotheses.
Relationship between information-seeking behavior and the intention to take preventive actions With regard to the relationship between information seeking behavior and the intention to engage in risk-mitigating and preventive behavior, hypothesis 3 was formulated. Results show that the level of intended information-seeking behavior and the intention to take risk-mitigating or preventive actions correlated strongly and positively (r= 0.78). Furthermore, respondents showing actual information seeking behavior were significantly more willing to engage in risk-mitigating or preventive behaviors than respondents showing no actual risk information-seeking behavior (F (1,722)=68.87, p<0.01, η² = .03). These findings supported the third hypothesis.
Mediation effect information seeking behavior
A mediation analysis tested the hypothesis that information seeking behavior mediates the relationship between risk perception and efficacy beliefs on the one hand, and the intention of respondents to engage in self-protective behavior on the other (cf. Baron and Kenny 1986). The first regression analysis analyzing the intention to engage in self-protective behavior as dependent variable and risk perception as the predictor yielded a significant relation (β = .45, p<0.01). A second regression analysis, with the mediator (information seeking behavior) as the dependent variable and risk perception as the predictor, showed that risk perception influenced information-seeking behavior significantly (β = .47, p<0.01). Subsequently, following the procedure of Baron and Kenny (1986), a regression analysis with risk perception and information seeking behavior as predictors and the intention to engage in self-protective behavior as the dependent revealed that the previously found relationship between risk perception and the intention to take self-protective behavior became less
significant (β = 0.11, p<0.05), whereas the mediator and the dependent showed a highly significant relation (β = .73, p<0.01), which indicated partial mediation of information seeking behavior (figure 2). A Sobel test (Baron and Kenny 1986) confirmed that information-seeking behavior mediated the relation between risk perception and the intention of respondents to engage in self-protection (Z=11.25, p<0.01).
+++insert figure 2 about here+++
The same analyses were conducted with efficacy beliefs as independent variable. The first regression analysis that analyzed the intention to engage in self-protective behavior as dependent variable and efficacy beliefs as the predictor, yielded a significant relation (β = .71, p<0.01). A second regression analysis with the mediator (information seeking behavior) as the dependent variable and efficacy beliefs as the predictor, showed that efficacy beliefs influenced information-seeking behavior significantly (β = .53, p<0.01). The regression analysis, with efficacy beliefs and information-seeking behavior as predictors and the intention to take self-protective behavior as the criterion, revealed that the previously discussed relationship between efficacy beliefs and the intention to engage in selfprotective behaviors remained significant (β = .41, p<0.01), whereas the mediator showed a highly significant relation with the dependent (β = .56, p<0.01), which indicated partial mediation of information seeking behavior (figure 3). A Sobel test (Baron and Kenny 1986) confirmed that information-seeking behavior mediated the relation between risk perception and the intention of respondents to engage in self-protection (Z=16.09, p<0.01).
+++insert figure 3+++ about here
5 Discussion
This study contributes to the small body of literature available on the effects of risk perception and efficacy beliefs in the domain of risk communication and, in particular, flood risk communication. This area has been receiving attention only recently (see e.g., Zaalberg et al. 2009; Terpstra and Gutteling, 2008; Terpstra et al. 2009; Terpstra 2010). From our perspective, the study has scientific, societal, and practical importance. It recognizes the need to enhance levels of risk perception and efficacy beliefs as well as the need to stimulate individuals' interest in actively seeking information. This effort would be made with the intention of increasing one's motivation to adopt self-protective behaviors. The experiment with participants that actually live in flood-prone areas in the Netherlands indicates that flood risk communication can be effective in stimulating both information seeking and self-protective behavioral intentions. Results show that, compared to lower levels, higher levels of induced riskperception and efficacy beliefs result in significantly higher levels of interest in information seeking and intention to engage in self-protective behavior. This result is novel because, as far as we know, it has not been reported with respect to flood risk communication. The societal importance is related to the scarcity of evidence that individual flood-related self-protective behavior can be stimulated with relatively simple risk communication tools, which is important in the context of future climate change and the rising of sea-levels.
We also observe that respondents engaging in the gathering of relevant risk information have more intention to take preventive measures than those who are not seeking the information.
Furthermore, the seeking of information turned out to be a partial mediator between the independent variables risk perception and efficacy and the intention to engage in preventive actions, thus indicating that enhancing information-seeking might have positive impacts on the intention to take preventive actions among citizens. This finding, too, is a novel result. The study thus supports research efforts in the domain of risk information-seeking (e.g., ter Huurne, 2008), with the stimulation of self-protective behaviors in the population as a secondary goal. Therefore, the focus of flood risk communication research should not only be improving risk message effectiveness but should also focus on the determinants of public risk information-seeking. To date, only few studies have been reported on this topic, and many risk communication efforts aimed at stimulating self-protective behavior do not involve information seeking processes. Therefore, additional research is needed here.
Based on previous risk information-seeking studies (ter Huurne, 2008) one can assume that risk-awareness variables such as risk perception (is there a threat?), personal involvement (is the threat relevant to me?), and self-efficacy (am I able to deal with the threat?) are the triggers that can be used to stimulate the public's motivation to seek risk information. In this experiment, we looked at risk perception and efficacy, assuming that personal involvement would be high because all of our participants lived in flood-prone areas. However, additional research is needed to provide a better
understanding of the role of personal involvement in this type of risk communication. Of course, governmental and other organizations can stimulate the seeking of risk information by providing the information through a multitude of channels and having it available at all times, as is possible on the Internet.
The results provide valuable implications for future risk communication efforts with respect to the flood preparedness of the Dutch public and may have similar implications for other risk communication directed at preparative actions. First, to motivate the general public to engage in selfprotective behavior, a certain level of risk awareness (or threat) is necessary in the communication efforts to motivate citizens to actively engage in information-seeking and to adopt self-protective recommendations. Furthermore, the results of this study suggests that risk messages aimed at promoting self-protective actions are effective under the conditions that the advised actions are perceived by the public along with high self-efficacy (Yes, you can do it) and high response efficacy (Yes, it works). The preparation of such public service messages aimed at flood risk communication is thus of the utmost importance. The designers of these messages no longer can suffice to take their own perception of message effectiveness as the sole guideline. Messages should be carefully designed along the lines of behavioral actions that are seen as efficacious by large numbers of people. Pre-testing these messages seems necessary, and most likely, the effort spent will pay off.
The results of this study must be viewed in the light of some limitations that need to be addressed. First of all, actual information seeking behavior was measured using only one item. The use of only one item can result in drawing biased conclusions about the information-seeking behavior among respondents. Therefore, using more items to measure information-seeking behavior seems advisable. Also, taking preventive actions was measured by asking respondents about their intention to adopt recommendations. As the intention a person has to adopt certain behaviors does not always correspond to their actual behavior, this may give a slightly biased view of the preventive actions taken among respondents.
6 References
Baron RM, Kenny DA (1986) The moderator-mediator variable distinction in social psychological research: Conceptual, strategic, and statistical considerations. Journal of personality and social psychology 6: 1173-1182
Case DO, Andrews JE, Johnson DE, Allard SL (2005) Avoiding versus seeking: The relationship of information seeking to avoidance, blunting, coping, dissonance, and related concepts. Journal of the medical library association 93:353-362.
De Wit MS, van der Most H, Gutteling JM, Bockarjova M (2008) Governance of flood risks in the Netherlands: interdisciplinary research into and meaning of risk perception. In: Martorell et al. (Eds.) Safety, reliability and risk analysis: theories, methods and applications (2008) London, Taylor & Francis group 1585-1593.
Fink A, Ulbrich U, Engel H (1996) Aspects of the January 1995 flood in Germany. Weather 51: 34 – 39.
Griffin RJ, Neuwirth K, Dunwoody S (1999) Proposed model of the relationship of Risk Information Seeking and Processing to the development of preventive behaviours. Environmental research 80: 230-245.
Griffin RJ, Yang Z, ter Huurne EFJ, Boerner F, Ortiz S, Dunwoody S (2008) After the flood: Anger, Attribution, and the seeking of information. Science Communication 29:285 – 315.
Grothmann T, Reusswig F (2006) People at risk of flooding: Why some residents take precautionary action while others do not. Natural Hazards 38: 101 – 120.
Gutteling JM, Baan M, Kievik M, Stone, K (2010) Risicocommunicatie in de ogen van de burger: 'Geen paniek!'. In: H. van der Most, S. de Wit, B. Broekhans, & Wietske Roos (Eds.): Kijk op waterveiligheid. Delft: Eburon
Huurne EFJ ter (2008) Information Seeking in a Risky World. The theoretical and empirical development of FRIS: A Framework of Risk Information Seeking. Dissertation, University of Twente.
Huurne EFJ ter, Gutteling JM (2008) Information needs and risk perception as predictors of risk information seeking. Journal of Risk Research 11: 847-862.
Kahlor LA (2007) An augmented risk information seeking model: the case of global warming. Media Psychology 10: 414 – 435.
Kievik M, Ter Huurne EFJ, Gutteling JM (2009) The action suited to the word. Use of the Framework of Risk Information Seeking to understand risk-related behaviors. Paper presented at the annual meeting of the Society of Risk Analysis, Baltimore, USA.
Krasovskaia I (2005) Perception of flood hazard in countries of the north sea region of Europe (No.FLOWS WP2A-1). Oslo: Norwegian water resources and energy directorate.
Maaskant B, Jonkman SN, Bouwer LM (2009) Future risk of flooding: an analysis of changes in potential loss of life in South Holland (the Netherlands). Environmental science and policy 12: 157 – 169.
Miceli R, Sotgiu I, Settanni M (2007) Disaster preparedness and perception of flood risk: A study in an alpine valley in Italy. Journal of Environmental Psychology 28: 164-173.
Miller SM (1987) Monitoring and blunting: Validation of a questionnaire to assess styles of information seeking under threat. Journal of Personality and Social Psychology 52: 345-353.
Ministry of Transport, Public Works and Water Management. (2006) Kabinetsstandpunt Rampenbeheersing Overstromingen DGW/WV 2006/1306.
Rimal RN (2001) Perceived risk and self efficacy as motivators: Understanding Individuals' long term use of health information. Journal of Communication 634 – 654.
Rimal RN, Real K (2003) Perceived risk and efficacy beliefs as motivators of change: Use of the risk perception attitude (RPA) framework to understand health behaviors. Human Communication Research 29: 370-399.
Sjoberg L (2002) Risk communication between experts and the public: Perceptions and Intentions. Questions de communication 2 : 19-35.
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Table 1. Four experimental with corresponding manipulations of risk perception and perceived efficacy.
| Perceived efficacy | High |
|---|---|
| High | Condition 1: • High ‘personal risk’ message • Fear appeal • High self-efficacy message • High response efficacy message |
| Low | Condition 3: • High ‘personal risk’ message • Fear appeal • Low self-efficacy message • Low response efficacy message |
Table 2. Four experimental conditions with corresponding mean scores for all dependent variables.
| | Actual information seeking | Intended Information seeking |
|---|---|---|
| Condition 1 N=238 High level risk perception High level efficacy | 0.96** | 3.40** |
| Condition 2 N=174 Low level risk perception High level efficacy | 0.78 | 2.90 |
| Condition 3 N=158 High level risk perception Low level efficacy | 0.86 | 2.74 |
| Condition 4 N=156 Low level risk perception Low level efficacy | 0.62# | 2.35# |
| Mean total | 0.82 | 2.91 |
| Std. total | 0.39 | 1.04 |
N=726. ** Mean score is significantly higher than other scores at the 0.01 level; # Mean score is significantly lower than other scores at the 0.01 level (2-tailed) Scale: Information seeking: 1 = relevant, 0 = irrelevant. Other variables: 1 = strongly disagree to 5 = strongly agree
Figure 3. Mediation model with independent variable efficacy beliefs, showing betas.
Efficacy beliefs
Information seeking
behavior
Intention to take self
protective actions
.41
Efficacy beliefs
Information seeking
behavior
Intention to take self
protective actions
.41
.53
.78
Appendix 1. Pictures manipulation.
|
™
For use with machines having Code Numbers:
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The Above For Gasoline Engines
ARC WELDING CAN BE HAZARDOUS. PROTECT YOURSELF AND OTHERS FROM POSSIBLE SERIOUS INJURY OR DEATH. KEEP CHILDREN AWAY. PACEMAKER WEARERS SHOULD CONSULT WITH THEIR DOCTOR BEFORE OPERATING.
Read and understand the following safety highlights. For additional safety information, it is strongly recommended that you purchase a copy of "Safety in Welding & Cutting - ANSI Standard Z49.1" from the American Welding Society, P.O. Box 351040, Miami, Florida 33135 or CSA Standard W117.2-1974. A Free copy of "Arc Welding Safety" booklet E205 is available from the Lincoln Electric Company, 22801 St. Clair Avenue, Cleveland, Ohio 44117-1199.
BE SURE THAT ALL INSTALLATION, OPERATION, MAINTENANCE AND REPAIR PROCEDURES ARE PERFORMED ONLY BY QUALIFIED INDIVIDUALS.
FOR ENGINE powered equipment.
1.h. To avoid scalding, do not remove the radiator pressure cap when the engine is hot.
1.a. Turn the engine off before troubleshooting and maintenance work unless the maintenance work requires it to be running.
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1.b.Operate engines in open, well-ventilated areas or vent the engine exhaust fumes outdoors.
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1.c. Do not add the fuel near an open flame welding arc or when the engine is running. Stop the engine and allow it to cool before refueling to prevent spilled fuel from vaporizing on contact with hot engine parts and igniting. Do not spill fuel when filling tank. If fuel is spilled, wipe it up and do not start engine until fumes have been eliminated.
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1.d. Keep all equipment safety guards, covers and devices in position and in good repair.Keep hands, hair, clothing and tools away from V-belts, gears, fans and all other moving parts when starting, operating or repairing equipment.
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1.e. In some cases it may be necessary to remove safety guards to perform required maintenance. Remove guards only when necessary and replace them when the maintenance requiring their removal is complete. Always use the greatest care when working near moving parts.
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1.f. Do not put your hands near the engine fan. Do not attempt to override the governor or idler by pushing on the throttle control rods while the engine is running.
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1.g. To prevent accidentally starting gasoline engines while turning the engine or welding generator during maintenance work, disconnect the spark plug wires, distributor cap or magneto wire as appropriate.
ELECTRIC AND MAGNETIC FIELDS may be dangerous
2.a. Electric current flowing through any conductor causes localized Electric and Magnetic Fields (EMF). Welding current creates EMF fields around welding cables and welding machines
2.b. EMF fields may interfere with some pacemakers, and welders having a pacemaker should consult their physician before welding.
2.c. Exposure to EMF fields in welding may have other health effects which are now not known.
2.d. All welders should use the following procedures in order to minimize exposure to EMF fields from the welding circuit:
2.d.1. Route the electrode and work cables together - Secure them with tape when possible.
2.d.2. Never coil the electrode lead around your body.
2.d.3. Do not place your body between the electrode and work cables. If the electrode cable is on your right side, the work cable should also be on your right side.
2.d.4. Connect the work cable to the workpiece as close as possible to the area being welded.
2.d.5. Do not work next to welding power source.
Mar '95
i
ELECTRIC SHOCK can kill.
3.a. The electrode and work (or ground) circuits are electrically "hot" when the welder is on. Do not touch these "hot" parts with your bare skin or wet clothing. Wear dry, hole-free gloves to insulate hands.
3.b. Insulate yourself from work and ground using dry insulation. Make certain the insulation is large enough to cover your full area of physical contact with work and ground.
In addition to the normal safety precautions, if welding must be performed under electrically hazardous conditions (in damp locations or while wearing wet clothing; on metal structures such as floors, gratings or scaffolds; when in cramped positions such as sitting, kneeling or lying, if there is a high risk of unavoidable or accidental contact with the workpiece or ground) use the following equipment:
* Semiautomatic DC Constant Voltage (Wire) Welder.
* DC Manual (Stick) Welder.
* AC Welder with Reduced Voltage Control.
3.c. In semiautomatic or automatic wire welding, the electrode, electrode reel, welding head, nozzle or semiautomatic welding gun are also electrically "hot".
3.d. Always be sure the work cable makes a good electrical connection with the metal being welded. The connection should be as close as possible to the area being welded.
3.e. Ground the work or metal to be welded to a good electrical (earth) ground.
3.f. Maintain the electrode holder, work clamp, welding cable and welding machine in good, safe operating condition. Replace damaged insulation.
3.g. Never dip the electrode in water for cooling.
3.h. Never simultaneously touch electrically "hot" parts of electrode holders connected to two welders because voltage between the two can be the total of the open circuit voltage of both welders.
3.i. When working above floor level, use a safety belt to protect yourself from a fall should you get a shock.
3.j. Also see Items 6.c. and 8.
ARC RAYS can burn.
4.a. Use a shield with the proper filter and cover plates to protect your eyes from sparks and the rays of the arc when welding or observing open arc welding. Headshield and filter lens should conform to ANSI Z87. I standards.
4.b. Use suitable clothing made from durable flame-resistant material to protect your skin and that of your helpers from the arc rays.
4.c. Protect other nearby personnel with suitable, non-flammable screening and/or warn them not to watch the arc nor expose themselves to the arc rays or to hot spatter or metal.
FUMES AND GASES can be dangerous.
5.a. Welding may produce fumes and gases hazardous to health. Avoid breathing these fumes and gases.When welding, keep your head out of the fume. Use enough ventilation and/or exhaust at the arc to keep fumes and gases away from the breathing zone. When welding with electrodes which require special ventilation such as stainless or hard facing (see instructions on container or MSDS) or on lead or cadmium plated steel and other metals or coatings which produce highly toxic fumes, keep exposure as low as possible and below Threshold Limit Values (TLV) using local exhaust or mechanical ventilation. In confined spaces or in some circumstances, outdoors, a respirator may be required. Additional precautions are also required when welding on galvanized steel.
5.b. Do not weld in locations near chlorinated hydrocarbon vapors coming from degreasing, cleaning or spraying operations. The heat and rays of the arc can react with solvent vapors to form phosgene, a highly toxic gas, and other irritating products.
5.c. Shielding gases used for arc welding can displace air and cause injury or death. Always use enough ventilation, especially in confined areas, to insure breathing air is safe.
5.d. Read and understand the manufacturer's instructions for this equipment and the consumables to be used, including the material safety data sheet (MSDS) and follow your employer's safety practices. MSDS forms are available from your welding distributor or from the manufacturer.
5.e. Also see item 1.b.
Mar '95
WELDING SPARKS can cause fire or explosion.
6.a. Remove fire hazards from the welding area. If this is not possible, cover them to prevent the welding sparks from starting a fire. Remember that welding sparks and hot materials from welding can easily go through small cracks
and openings to adjacent areas. Avoid welding near hydraulic lines. Have a fire extinguisher readily available.
6.b. Where compressed gases are to be used at the job site, special precautions should be used to prevent hazardous situations. Refer to "Safety in Welding and Cutting" (ANSI Standard Z49.1) and the operating information for the equipment being used.
6.c. When not welding, make certain no part of the electrode circuit is touching the work or ground. Accidental contact can cause overheating and create a fire hazard.
6.d. Do not heat, cut or weld tanks, drums or containers until the proper steps have been taken to insure that such procedures will not cause flammable or toxic vapors from substances inside. They can cause an explosion even though they have been "cleaned". For information, purchase "Recommended Safe Practices for the Preparation for Welding and Cutting of Containers and Piping That Have Held Hazardous Substances", AWS F4.1 from the American Welding Society (see address above).
6.e. Vent hollow castings or containers before heating, cutting or welding. They may explode.
6.f. Sparks and spatter are thrown from the welding arc. Wear oil free protective garments such as leather gloves, heavy shirt, cuffless trousers, high shoes and a cap over your hair. Wear ear plugs when welding out of position or in confined places. Always wear safety glasses with side shields when in a welding area.
6.g. Connect the work cable to the work as close to the welding area as practical. Work cables connected to the building framework or other locations away from the welding area increase the possibility of the welding current passing through lifting chains, crane cables or other alternate circuits. This can create fire hazards or overheat lifting chains or cables until they fail.
6.h. Also see item 1.c.
CYLINDER may explode if damaged.
7.a. Use only compressed gas cylinders containing the correct shielding gas for the
process used and properly operating regulators designed for the gas and
pressure used. All hoses, fittings, etc. should be suitable for the application and maintained in good condition.
7.b. Always keep cylinders in an upright position securely chained to an undercarriage or fixed support.
7.c. Cylinders should be located:
*Away from areas where they may be struck or subjected to physical damage.
*A safe distance from arc welding or cutting operations and any other source of heat, sparks, or flame.
7.d. Never allow the electrode, electrode holder or any other electrically "hot" parts to touch a cylinder.
7.e. Keep your head and face away from the cylinder valve outlet when opening the cylinder valve.
7.f. Valve protection caps should always be in place and hand tight except when the cylinder is in use or connected for use.
7.g. Read and follow the instructions on compressed gas cylinders, associated equipment, and CGA publication P-l, "Precautions for Safe Handling of Compressed Gases in Cylinders," available from the Compressed Gas Association 1235 Jefferson Davis Highway, Arlington, VA 22202.
FOR ELECTRICALLY powered equipment.
8.a. Turn off input power using the disconnect switch at the fuse box before working on the equipment.
8.b. Install equipment in accordance with the U.S. National Electrical Code, all local codes and the manufacturer's recommendations.
8.c. Ground the equipment in accordance with the U.S. National Electrical Code and the manufacturer's recommendations.
Mar '95
PRÉCAUTIONS DE SÛRETÉ
Pour votre propre protection lire et observer toutes les instructions et les précautions de sûreté specifiques qui parraissent dans ce manuel aussi bien que les précautions de sûreté générales suivantes:
Sûreté Pour Soudage A L'Arc
1. Protegez-vous contre la secousse électrique:
a. Les circuits à l'électrode et à la piéce sont sous tension quand la machine à souder est en marche. Eviter toujours tout contact entre les parties sous tension et la peau nue ou les vétements mouillés. Porter des gants secs et sans trous pour isoler les mains.
b. Faire trés attention de bien s'isoler de la masse quand on soude dans des endroits humides, ou sur un plancher metallique ou des grilles metalliques, principalement dans les positions assis ou couché pour lesquelles une grande partie du corps peut être en contact avec la masse.
c. Maintenir le porte-électrode, la pince de masse, le câble de soudage et la machine à souder en bon et sûr état defonctionnement.
d.Ne jamais plonger le porte-électrode dans l'eau pour le refroidir.
e. Ne jamais toucher simultanément les parties sous tension des porte-électrodes connectés à deux machines à souder parce que la tension entre les deux pinces peut être le total de la tension à vide des deux machines.
f. Si on utilise la machine à souder comme une source de courant pour soudage semi-automatique, ces precautions pour le porte-électrode s'applicuent aussi au pistolet de soudage.
2. Dans le cas de travail au dessus du niveau du sol, se protéger contre les chutes dans le cas ou on recoit un choc. Ne jamais enrouler le câble-électrode autour de n'importe quelle partie du corps.
3. Un coup d'arc peut être plus sévère qu'un coup de soliel, donc:
a. Utiliser un bon masque avec un verre filtrant approprié ainsi qu'un verre blanc afin de se protéger les yeux du rayonnement de l'arc et des projections quand on soude ou quand on regarde l'arc.
b. Porter des vêtements convenables afin de protéger la peau de soudeur et des aides contre le rayonnement de l'arc.
c. Protéger l'autre personnel travaillant à proximité au soudage à l'aide d'écrans appropriés et non-inflammables.
4. Des gouttes de laitier en fusion sont émises de l'arc de soudage. Se protéger avec des vêtements de protection libres de l'huile, tels que les gants en cuir, chemise épaisse, pantalons sans revers, et chaussures montantes.
5. Toujours porter des lunettes de sécurité dans la zone de soudage. Utiliser des lunettes avec écrans lateraux dans les
zones où l'on pique le laitier.
6. Eloigner les matériaux inflammables ou les recouvrir afin de prévenir tout risque d'incendie dû aux étincelles.
7. Quand on ne soude pas, poser la pince à une endroit isolé de la masse. Un court-circuit accidental peut provoquer un échauffement et un risque d'incendie.
8. S'assurer que la masse est connectée le plus prés possible de la zone de travail qu'il est pratique de le faire. Si on place la masse sur la charpente de la construction ou d'autres endroits éloignés de la zone de travail, on augmente le risque de voir passer le courant de soudage par les chaines de levage, câbles de grue, ou autres circuits. Cela peut provoquer des risques d'incendie ou d'echauffement des chaines et des câbles jusqu'à ce qu'ils se rompent.
9. Assurer une ventilation suffisante dans la zone de soudage. Ceci est particuliérement important pour le soudage de tôles galvanisées plombées, ou cadmiées ou tout autre métal qui produit des fumeés toxiques.
10. Ne pas souder en présence de vapeurs de chlore provenant d'opérations de dégraissage, nettoyage ou pistolage. La chaleur ou les rayons de l'arc peuvent réagir avec les vapeurs du solvant pour produire du phosgéne (gas fortement toxique) ou autres produits irritants.
11. Pour obtenir de plus amples renseignements sur la sûreté, voir le code "Code for safety in welding and cutting" CSA Standard W 117.2-1974.
PRÉCAUTIONS DE SÛRETÉ POUR LES MACHINES À SOUDER À TRANSFORMATEUR ET À REDRESSEUR
1. Relier à la terre le chassis du poste conformement au code de l'électricité et aux recommendations du fabricant. Le dispositif de montage ou la piece à souder doit être branché à une bonne mise à la terre.
2. Autant que possible, I'installation et l'entretien du poste seront effectués par un électricien qualifié.
3. Avant de faires des travaux à l'interieur de poste, la debrancher à l'interrupteur à la boite de fusibles.
4. Garder tous les couvercles et dispositifs de sûreté à leur place.
Mar. '93
for selecting a QUALITY product by Lincoln Electric. We want you to take pride in operating this Lincoln Electric Company product ••• as much pride as we have in bringing this product to you!
Please Examine Carton and Equipment For Damage Immediately
When this equipment is shipped, title passes to the purchaser upon receipt by the carrier. Consequently, Claims for material damaged in shipment must be made by the purchaser against the transportation company at the time the shipment is received.
Please record your equipment identification information below for future reference. This information can be found on your machine nameplate.
Model Name & Number _____________________________________
Code & Serial Number _____________________________________
Date of Purchase _____________________________________
Whenever you request replacement parts for or information on this equipment always supply the information you have recorded above.
Read this Operators Manual completely before attempting to use this equipment. Save this manual and keep it handy for quick reference. Pay particular attention to the safety instructions we have provided for your protection. The level of seriousness to be applied to each is explained below:
WARNING
This statement appears where the information must be followed exactly to avoid serious personal injury or loss of life.
CAUTION
This statement appears where the information must be followed to avoid minor personal injury or damage to this equipment.
Page
Installation .......................................................................................................Section A
Technical Specifications - POWER WAVE AC/DC ...............................................A-1
Safety Precautions.................................................................................................A-2
Select Suitable Location ........................................................................................A-2
TECHNICAL SPECIFICATIONS - POWER WAVE AC/DC (K1860-1)
| INPUT AT RATED OUTPUT - THREE PHASE ONLY | | | | | | | | | | | | | | | | |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| INPUT VOLTS 50/60HZ. 3 PHASE | | OUTPUT CONDITIONS | | | | INPUT CURRENT AMPS | | | | IDLE POWER | | | POWER FACTOR @ RATED OUPUT | | | EFFICIENCY @ RATED OUPUT |
| 460/500/575V | | firstname.lastname@example.org% | | | | 31/29/25 | | | | 800 Watts Max. | | | .95 MIN. | | | 84% |
| OUTPUT | | | | | | | | | | | | | | | | |
| OPEN CIRCUIT VOLTAGE | CURRENT RANGE DC | PULSE FREQUENCY | | | PULSE VOLTAGE RANGE | | PULSE AND BACKGROUND TIME RANGE | | | | | AUXILIARY POWER (CIRCUIT BREAKER PROTECTED) | | | | |
| 90VDC | 20-500 | 0.15 - 1000 Hz | | | 5 - 55 VDC | | 100 MICRO SEC. - 3.3 SEC. | | | | | 40 VDC AT 10 AMPS 115 VAC AT 10 AMPS | | | | |
| PROCESS CURRENT RANGES (AC or DC) | | | | | | | | | CURRENT | | | | | | | |
| SAW / MIG / MAG FCAW Pulse | | | | | | | | | 50-500 Average Amps 40-500 Average Amps 15-725 Peak Amps | | | | | | | |
| RECOMMENDED INPUT WIRE AND FUSE SIZES | | | | | | | | | | | | | | | | |
| INPUT VOLTAGE / FREQUENCY 50/60HZ | | | | TYPE 75°C COPPER WIRE IN CONDUIT AWG[IEC] SIZES (MM2) | | | | | | | TYPE 75°C GROUND WIRE IN CONDUIT AWG[IEC] SIZES (MM2) | | | | TYPE 75°C (SUPER LAG) OR BREAKER SIZE (AMPS) | |
| 460V 500V 575V | | | | 8 (10) 8 (10) 10 (6) | | | | | | | 10 (6) 10 (6) 10 (6) | | | | 45 40 35 | |
| PHYSICAL DIMENSIONS | | | | | | | | | | | | | | | | |
| HEIGHT 38 in 965 mm | | | WIDTH 19 in 483 mm | | | | | DEPTH 33 in 838 mm | | | | | | WEIGHT 490 lbs. 222 kg. | | |
| TEMPERATURE RANGES | | | | | | | | | | | | | | | | |
SAFETY PRECAUTIONS
Read this entire installation section before you start installation.
WARNING
ELECTRIC SHOCK can kill.
* Only qualified personnel should perform this installation.
* Turn the input power OFF at the disconnect switch or fuse box before working on this equipment. Turn off the input
power to any other equipment connected to the welding system at the disconnect switch or fuse box before working on the equipment.
* Do not touch electrically hot parts.
* Always connect the Power Wave grounding lug (located inside the reconnect input access door) to a proper safety (Earth) ground.
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SELECT SUITABLE LOCATION
Do not use Power Waves in outdoor environments. The Power Wave power source should not be subjected to falling water, nor should any parts of it be submerged in water. Doing so may cause improper operation as well as pose a safety hazard. The best practice is to keep the machine in a dry, sheltered area.
Do not mount the PowerWave over combustible surfaces. Where there is a combustible surface directly under stationary or fixed electrical equipment, that surface shall be covered with a steel plate atleast .060" (1.6mm) thick, which shall extend not less than 5.90" (150mm) beyond the equipment on all sides.
Place the welder where clean cooling air can freely circulate in through the rear louvers and out through the case sides and bottom. Dirt, dust, or any foreign material that can be drawn into the welder should be kept at a minimum. Do not use air filters on the air intake because the air flow will be restricted. Failure to observe these precautions can result in excessive operating temperatures and nuisance shutdowns.
LIFTING
Lift the machine by the lift bail only. The lift bail is designed to lift the power source only. Do not attempt to lift the Power Wave with accessories attached to it.
STACKING
Power Wave AC/DC machine cannot be stacked.
MACHINE GROUNDING
The frame of the welder must be grounded. A ground terminal marked with the symbol is located inside the reconnect/input access door for this purpose. See your local and national electrical codes for proper grounding methods.
HIGH FREQUENCY PROTECTION
Locate the Power Wave away from radio controlled machinery.
CAUTION
The normal operation of the Power Wave may adversely affect the operation of RF controlled equipment, which may result in bodily injury or damage to the equipment.
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FIGURE A.1 - CONNECTION DIAGRAM ON CONNECTION/INPUT ACCESS DOOR
XA
Do not operate with covers removed
Disconnect input power before servicing
Do not touch electrically live parts
Only qualified persons should install,
use or service this equipment
NOTE: Turn main input power to the machine OFF before performing connection procedure. Failure to do so will result in damage to the machine.
INPUT CONNECTION
WARNING
Only a qualified electrician should connect the input leads to the Power Wave. Connections should be made in accordance with all local and national electrical codes and the connection diagram located on the inside of the reconnect/input access door of the machine. Failure to do so may result in bodily injury or death.
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Use a three-phase supply line. A 1.75 inch (45 mm) diameter access hole for the input supply is located on the upper left case back next to the input access door. Connect L1, L2, L3 and ground according to the Input Supply Connection Diagram decal located on the inside of the input access door or refer to Figure A.1 .
INPUT VOLTAGE CHANGE OVER (FOR MULTIPLE INPUT VOLTAGE MACHINES ONLY)
Welders are shipped connected for the highest input voltage listed on the rating plate. To move this connection to a different input voltage, see the diagram located on the inside of the input access door.
If the Auxiliary (A) lead is placed in the wrong position, there are two possible results. If the lead is placed in a position higher than the applied line voltage, the welder may not come on at all. If the Auxiliary (A) lead is placed in a position lower than the applied line voltage, the welder will not come on, and the two circuit breakers in the reconnect area will open. If this occurs, turn off the input voltage, properly connect the (A) lead, reset the breakers, and try again.
INPUT FUSE AND SUPPLY WIRE CONSIDERATIONS
Refer to the Technical Specifications at the beginning of this Installation section for recommended fuse and wire sizes. Fuse the input circuit with the recommended super lag fuse or delay type breakers (also called "inverse time" or "thermal/magnetic" circuit breakers). Choose an input and grounding wire size according to local or national electrical codes. Using fuses or circuit breakers smaller than recommended may result in "nuisance" shut-offs from welder inrush currents, even if the machine is not being used at high currents.
WELDING WITH MULTIPLE UNSYNCHRONIZED POWER WAVES
CAUTION
Special care must be taken when more than one Power Wave is welding unsynchronized on a single part. Arc blow and arc interference may occur or be magnified. Each power source requires a work lead to the work stud to the welding fixture. Do not combine all of the work leads into one lead. Performing welding in the direction away from the work leads. (In a synchronized multi arc system the weld should go towards the work leads to minimize arc blow). Connect all of the work sense leads from each power source to the work piece at the end of the weld, such that they are out of the path of the weld current. For additional information on work voltage sense leads see sections entitled "Voltage Sensing" and "Multiple Unsynchronized Arc Sense Lead and Work Lead Placement Guidelines".
For the best results when pulse welding, set the wire size and wire feed speed the same for all the Power Waves. When these parameters are identical, the pulsing frequency will be the same, helping to stabilize the arcs.
Every welding gun requires a separate shielding gas regulator for proper flow rate and shielding gas coverage. Do not attempt to supply shielding gas for two or more guns from only one regulator.
If an anti-spatter system is in use then each gun must have its own anti-spatter system. (See Figure A.2.)
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FIGURE A.2
TWO POWER WAVES
Travel
Direction
Connect All Work
Sense Leads at the End
of the Joint.
Connect All Welding
Work Leads at the
Beginning of the Joint.
POWER WAVE AC/DC
MULTIPLE UNSYNCHRONIZED ARC SENSE LEAD AND WORK LEAD PLACEMENT GUIDELINES
fl Both Sense leads are out of the current paths.
fl Both Sense leads detect arc voltage accurately.
fl No voltage drop between Arc and Sense lead.
fl Best starts, best arcs, most reliable results.
ELECTRODE AND WORK CABLE CONNECTIONS
Due to the PowerWave AC/DC's ability to produce either a DC positive, DC negative or AC output the electrode and work connections do not need to be reversed for the different polarities. Additionally no DIP switch changes are required to switch between the different polarities. All of this is controlled internally by the Power Wave AC/DC. The following directions apply to all polarities:
Connect a work lead of sufficient size (Per Table 1) and length between the "work" stud (located beneath the spring loaded output cover on the front of the machine) and the work. For convenience, the work lead can be routed behind the left strain relief (under the spring loaded output cover), along the channels, and out the back of the machine. Be sure the connection to the work makes tight metal-to-metal electrical contact. The work piece connection must be firm and secure. Excessive voltage drops caused by poor work piece connections often result in unsatisfactory welding performance, especially if pulse welding is planned. To avoid interference problems with other equipment and to achieve the best possible operation, route all cables directly to the work and wire feeder. Avoid excessive lengths and do not coil excess cable.
Connect the electrode cable between the wire feeder and the "electrode" stud on the power source (located behind the cover plate on the lower right side). For convenience, the cable can be routed through the oval hole in the rear of the machine before being connected to the output terminals. Connect the other end of the electrode cable to the wire drive feed plate. Be sure the connection to the feed plate makes tight metal-to-metal electrical contact. The electrode cable should be sized according to the specifications given in (Table A.1).
Suggested Copper Cable Sizes - 100 Duty Cycle Combined Length of Electrode and Work Cables (Table A.1)
| Cable Length (ft (m) | Parallel Cables | Cable Size |
|---|---|---|
| 0 (0) to 100 (30.4) | 1 | 4/0 (120mm2) |
| 100 (30.4) to 200 (60.8) | 2 | 2/0 (70mm2) |
| 200 (60.8) to 250 (76.2) | 2 | 3/0 (95mm2) |
When using inverter type power sources like the Power Wave, use the largest welding (electrode and work) cables that are practical. When pulsing, the pulse current can reach very high levels. Voltage drops can become excessive, leading to poor welding characteristics, if undersized welding cables are used. NOTE: K1796 coaxial welding cable is recommended to reduce the cable inductance in long cable lengths. This is especially important when Pulse welding up to 350 amps.
CABLE INDUCTANCE, AND ITS EFFECTS ON PULSE WELDING
For Pulse Welding processes, cable inductance will cause the welding performance to degrade. For the total welding loop length less than 50 feet, traditional welding cables may be used without any effects on welding performance. For the total welding loop length greater than 50 feet, the K1796 Coaxial Welding Cables are recommended.
The welding loop length is defined as the total of electrode cable length (A) + work cable length (B) + work length (C) (See Figure A.3).
For long work piece lengths, a sliding ground should be considered to keep the total welding loop length less than 50 feet. (See Figure A.4.)
FOR A DETAILED CONNECTION DIAGRAM USING K1796 COAXIAL CABLE, SEE PAGE F-4.
CAUTION
When pulsing, the pulse current can reach very high levels. Voltage drops can become excessive, leading to poor welding characteristics, if undersized welding cables are used.
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VOLTAGE SENSING
The best arc performance occurs when the PowerWave AC/DC has accurate data about the arc conditions. Depending upon the process, inductance within the electrode and work lead cables can influence the voltage apparent at the studs of the welder. Voltage sense leads improve the accuracy of the arc conditions and can have a dramatic effect on performance. Sense Lead Kits (K490-series) are available for this purpose.
CAUTION
If the voltage sensing is enabled but the sense leads are missing, improperly connected, or if the electrode polarity switch is improperly configured extremely high welding outputs may occur.
In extremely sensitive applications requiring voltage sense leads, it may be necessary to route the control cable (67 lead) and the work voltage sense lead (21 lead) away from the electrode and work welding cables. For more information regarding the placement of voltage sense leads, see the section entitled "Welding with Multiple Independent Power Waves."
------------------------------------------------------------------------
The ELECTRODE sense lead (67) is built into the K1795 control cable. The WORK sense lead (21) connects to the Power Wave at the four-pin connector located underneath the output stud cover.
Enable the voltage sense leads as follows:
TABLE A.2
| Process | Electrode Voltage Sensing 67 lead * |
|---|---|
| GMAW | 67 lead required |
| GMAW-P | 67 lead required |
| FCAW | 67 lead required |
| GTAW | Voltage sense at studs |
| SAW | 67 lead required |
* The electrode voltage 67 sense lead is part of the control cable to the wire feeder.
** For consistent weld quality, work voltage sensing is recommended.
Work Voltage Sensing
The Power Waves are shipped from the factory with the work sense lead disabled.
To use work voltage sensing, connect the (21) work voltage sense lead from the Power Wave to the work. Attach the sense lead to the work as close to the weld as practical. Enable the work voltage sensing in the Power Wave as follows:
WARNING
ELECTRIC SHOCK can kill.
* Do not touch electrically live parts or electrodes with your skin or wet clothing.
* Insulate yourself from the work and ground.
* Always wear dry insulating gloves.
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1. Turn off power to the power source at the disconnect switch.
2. Remove the front cover from the power source.
3. The control board is on the left side of the power source. Locate the 8-position DIP switch and look for switch 8 of the DIP switch.
4. Using a pencil or other small object, slide the switch to the OFF position if the work sense lead is NOT connected. Conversely, slide the switch to the ON position if the work sense lead is present.
5. Replace the cover and screws. The PC board will (read) the switch at power up, and configure the work voltage sense lead appropriately.
Electrode Voltage Sensing
Enabling or disabling electrode voltage sensing is automatically configured through software. The 67 electrode sense lead is internal to the cable to the wire feeder and always connected when a wire feeder is present.
CONTROL CABLE CONNECTIONS BETWEEN POWER SOURCE AND WIREFEEDER
Connect the control cable between the power source and wire feeder. The wire feeder connection on the PowerWave AC/DC is located under the spring loaded output cover, on the case front. The control cable is keyed and polarized to prevent improper connect.
For convenience, the control cables can be routed behind the left or right strain relief (under the spring loaded output cover), along the channels of the Power Wave, out the back of the channels, and then to the wire feeder.
CAUTION
Excessive voltage drops at the work piece connection often result in unsatisfactory pulse welding performance.
------------------------------------------------------------------------
CONTROL CABLE CONNECTIONS BETWEEN POWER SOURCES RUN IN PARALLEL
The connectors located on the rear of the machine are used for synchronizing the operation of multiple machines. To run machines in parallel connect the control cable (K1795 series) between power sources that are to run in parallel. The bottom (male) connector on the master connects to the top (female) connector on the slave. If needed the bottom connector on the slave machine is then used to connect to another slave machine. This connection scheme is duplicated for any additional slaves.
CONTROL CABLE CONNECTIONS BETWEEN A POWER SOURCE AND PHASE GENERATOR
CAUTION
The use of non-standard cables, especially in lengths greater than 25 feet, can lead to communication problems (system shutdowns), poor motor acceleration (poor arc starting) and low wire driving force (wire feeding problems). Use the shortest length of control cable possible. Do not coil excess cable as this can cause communication problems (system shutdowns).
------------------------------------------------------------------------
Lincoln control cables are copper 22 conductor cable in a SO-type rubber jacket.
The K1795 series of control cables can be added in series as needed. Do not exceed more than 100 feet (30.5 m) total control cable length.
ETHERNET CONNECTIONS
The PowerWave is equipped with an Ethernet connector, which is located under the spring loaded output cover. All Ethernet cables external to either a conduit or an enclosure should be solid, shielded with a drain, cat 5 cable. The drain should be grounded. Do not use cat 5+, cat 5E, cat 6 or stranded cable. If connection failure during welding persists reroute cables away from any other cables that carry current or other devices that would create a magnetic field. See Figure A.4a.
FIGURE A.4a
- MAX TOTAL CABLE LENGTH IS 70 METERS (FROM POWER WAVE TO PATCH PANEL)
- SHIELDED CABLE SHOULD BE GROUNDED AT JUNCTION BOX
- REFER TO ISO / IEC 11801 FOR SPECIFICATIONS
If multiple arcs need to be synchronized an external phase generator is required. The phase generator is connected to all of the master machines. A control cable (K1795 series) should be connected between the phase generator and the top (female) connector on the rear of the master machine.
CONTROL CABLE SPECIFICATIONS
It is recommended that genuine Lincoln control cables be used at all times. Lincoln cables are specifically designed for the communication and power needs of the Power Wave / Power Feed system.
EXTERNAL I/O CONNECTOR
The Power Wave is equipped with a terminal strip for making simple input signal connections. The terminal strip is located underneath the spring-loaded cover. It is divided into three groups: Trigger group, Cold Inch Group and Shutdown Group. Because the Power Wave is a 'slave' on the DeviceNet network, the Trigger and Cold Inch Groups are disabled when the DeviceNet/Gateway is active.
The shutdown group is always enabled. Shutdown2 is used for signaling low flow in the water cooler. Unused shutdowns must be jumpered. Machines from the factory come with the shutdowns already jumpered. (See Figure A.5)
FIGURE A.5
HIGH SPEED GEAR BOX
Changing the ratio requires a gear change and a PC board DIP switch change. As shipped from the factory, the low speed (high torque) gear is configured. To change the gear ratio see the Wire Feeder Instruction Manual. The High/Low DIP switch code on Wire Drive PC board can be set as follows:
WARNING
ELECTRIC SHOCK can kill.
* Do not touch electrically live parts or electrodes with your skin or wet clothing.
* Insulate yourself from the work and ground.
* Always wear dry insulating gloves.
-----------------------------------------------------------
WARNING
1. Turn off power to the power source at the disconnect switch.
2. Remove the front cover from the power source.
3. The wire feed head board is on the right side of the power source. Locate the 8-position DIP switch and look for position 8 of the DIP switch.
4. Using a pencil or other small object, slide the switch to the OFF position, when the low speed gear is installed. Conversely, slide the switch to the ON position when the high speed gear is installed.
5. Replace the cover and screws. The PC board will "read" the switch at power up, automatically adjusting all control parameters for the speed range selected
DIP Switch Settings and Locations
DIP switches on the P.C. Boards allow for custom configuration of the Power Wave. To access the DIP switches:
WARNING
* Turn off power at the disconnect switch.
------------------------------------------------------------------------
* Remove the top four screws securing the front access panel.
* Loosen, but do not completely remove, the bottom two screws holding the access panel.
* Open the access panel, allowing the weight of the panel to be carried by the bottom two screws. Make sure to prevent the weight of the access panel from hanging on the harness.
* Adjust the DIP switches as necessary.
* Replace the panel and screws, and restore power.
CONTROL BOARD DIP SWITCH
| Switch | | Description | Comments |
|---|---|---|---|
| 1 | | Object Instance LSB (see table A.3) | Used for ArcLink configuration |
| 2 | | Object Instance MSB (see table A.3) | |
| 3 | | Equipment Group 1 Select | |
| 4 | | Equipment Group 2 Select | |
| 5 | | Equipment Group 3 Select | |
| 6 | | Equipment Group 4 Select | |
| 7 | | Reserved for future use | |
| | off | work sense lead not connected | |
OBJECT INSTANCE
(default)
TABLE A.3
| switch 2 | switch 1 | Instance |
|---|---|---|
| off | off | 0 |
| off | on | 1 |
| on | off | 2 |
| on | on | 3 |
FEED HEAD BOARD DIP SWITCH:
| Switch | | | Description | | Comments |
|---|---|---|---|---|---|
| 1 | | | Object Instance LSB (see table A.3) | | Used for ArcLink Configuration |
| 2 | | | Object Instance MSB (see table A.3) | | |
| 3 | | | Equipment Group 1 Select | | |
| 4 | | | Equipment Group 2 Select | | |
| 5 | | | Equipment Group 3 Select | | |
| 6 | | | Equipment Group 4 Select | | |
| 7 | | | | | Used for configuring electrode polarity (see Electrode and Work Cable Connection in this Section) No changes required for Power Wave AC/DC |
| | 7 | off | Electrode | polarity positive (default) | polarity (s |
| | | on | Electrode | polarity negative | Cable Co No chang |
| | | | | | Wave AC |
| | | off | Low speed gear (default) | | |
ETHERNET BOARD DIP SWITCH:
Bank S1
| Switch | Description |
|---|---|
| 1 | Object Instance LSB (see table A.3) |
| 2 | Object Instance MSB (see table A.3) |
| 3 | Equipment Group 1 Select |
| 4 | Equipment Group 2 Select |
| 5 | Equipment Group 3 Select |
| 6 | Equipment Group 4 Select |
| 7 | Reserved for future use |
Bank S2:
| Switch | Description | Comments |
|---|---|---|
| 1 | DeviceNet Baud Rate (See Table A.4) | Used for DeviceNet Configuration |
| 2 | | |
| 3 | DeviceNet Mac ID (See Table A.5) | |
| 4 | | |
| 5 | | |
| 6 | | |
| 7 | | |
| 8 | | |
DeviceNet Baud Rate:
TABLE A.4
| switch 1 | switch 2 | Baud rate |
|---|---|---|
| off | off | 125K |
| on | off | 250K |
| off | on | 500K |
| on | on | Programmable value |
DEVICENET MAC ID
TABLE A.5
Mac I.D. Switch 8 Switch7 Switch6 Switch5 Switch4 Switch 3
0
0
0
0
0
0
0 Software Selectable
| 1 | 0 | 0 | 0 | 0 | 0 | 1 | |
|---|---|---|---|---|---|---|---|
| 2 | 0 | 0 | 0 | 0 | 1 | 0 | |
| 3 | 0 | 0 | 0 | 0 | 1 | 1 | |
| 4 | 0 | 0 | 0 | 1 | 0 | 0 | |
| 5 | 0 | 0 | 0 | 1 | 0 | 1 | |
| 6 | 0 | 0 | 0 | 1 | 1 | 0 | |
| 7 | 0 | 0 | 0 | 1 | 1 | 1 | |
| 8 | 0 | 0 | 1 | 0 | 0 | 0 | |
| 9 | 0 | 0 | 1 | 0 | 0 | 1 | |
| 10 | 0 | 0 | 1 | 0 | 1 | 0 | |
| 11 | 0 | 0 | 1 | 0 | 1 | 1 | |
| 12 | 0 | 0 | 1 | 1 | 0 | 0 | |
| 13 | 0 | 0 | 1 | 1 | 0 | 1 | |
| 14 | 0 | 0 | 1 | 1 | 1 | 0 | |
| 15 | 0 | 0 | 1 | 1 | 1 | 1 | |
| 16 | 0 | 1 | 0 | 0 | 0 | 0 | |
| 17 | 0 | 1 | 0 | 0 | 0 | 1 | |
| 18 | 0 | 1 | 0 | 0 | 1 | 0 | |
| 19 | 0 | 1 | 0 | 0 | 1 | 1 | |
| 20 | 0 | 1 | 0 | 1 | 0 | 0 | |
| 21 | 0 | 1 | 0 | 1 | 0 | 1 | |
| 22 | 0 | 1 | 0 | 1 | 1 | 0 | |
| 23 | 0 | 1 | 0 | 1 | 1 | 1 | |
| 24 | 0 | 1 | 1 | 0 | 0 | 0 | |
| 25 | 0 | 1 | 1 | 0 | 0 | 1 | |
| 26 | 0 | 1 | 1 | 0 | 1 | 0 | |
| 27 | 0 | 1 | 1 | 0 | 1 | 1 | |
| 28 | 0 | 1 | 1 | 1 | 0 | 0 | |
| 29 | 0 | 1 | 1 | 1 | 0 | 1 | |
| 30 | 0 | 1 | 1 | 1 | 1 | 0 | |
| 31 | 0 | 1 | 1 | 1 | 1 | 1 | |
| 32 | 1 | 0 | 0 | 0 | 0 | 0 | |
| 33 | 1 | 0 | 0 | 0 | 0 | 1 | |
| 34 | 1 | 0 | 0 | 0 | 1 | 0 | |
| 35 | 1 | 0 | 0 | 0 | 1 | 1 | |
| 36 | 1 | 0 | 0 | 1 | 0 | 0 | |
| 37 | 1 | 0 | 0 | 1 | 0 | 1 | |
| 38 | 1 | 0 | 0 | 1 | 1 | 0 | |
| 39 | 1 | 0 | 0 | 1 | 1 | 1 | |
| 40 | 1 | 0 | 1 | 0 | 0 | 0 | |
| 41 | 1 | 0 | 1 | 0 | 0 | 1 | |
| 42 | 1 | 0 | 1 | 0 | 1 | 0 | |
| 43 | 1 | 0 | 1 | 0 | 1 | 1 | |
| 44 | 1 | 0 | 1 | 1 | 0 | 0 | |
| 45 | 1 | 0 | 1 | 1 | 0 | 1 | |
| 46 | 1 | 0 | 1 | 1 | 1 | 0 | |
| 47 | 1 | 0 | 1 | 1 | 1 | 1 | |
| 48 | 1 | 1 | 0 | 0 | 0 | 0 | |
| 49 | 1 | 1 | 0 | 0 | 0 | 1 | |
| 50 | 1 | 1 | 0 | 0 | 1 | 0 | |
| 51 | 1 | 1 | 0 | 0 | 1 | 1 | |
| 52 | 1 | 1 | 0 | 1 | 0 | 0 | |
| 53 | 1 | 1 | 0 | 1 | 0 | 1 | |
| 54 | 1 | 1 | 0 | 1 | 1 | 0 | |
| 55 | 1 | 1 | 0 | 1 | 1 | 1 | |
| 56 | 1 | 1 | 1 | 0 | 0 | 0 | |
| 57 | 1 | 1 | 1 | 0 | 0 | 1 | |
| 58 | 1 | 1 | 1 | 0 | 1 | 0 | |
| 59 | 1 | 1 | 1 | 0 | 1 | 1 | |
| 60 | 1 | 1 | 1 | 1 | 0 | 0 | |
| 61 | 1 | 1 | 1 | 1 | 0 | 1 | |
| 62 | 1 | 1 | 1 | 1 | 1 | 0 | Default Setting |
Bank S3 and S4
MULTI-ARC SYSTEM DESCRIPTION
The following is a general description of how the PowerWave AC/DC can be configured in a multi-arc set-up.
Each welding arc may be driven by one machine or up to four machines connected in parallel. The hardware for the power source has been designed so that the power source can either operate as a master or a slave. A few DIP switches must be configured properly to set the machine's identity. Each power source has a rating of 500 amps average current, with a peak current of 725 amps. So, four machines are capable of driving 2000 amps of output current with up to 2900 amps of peak current available. Each arc must have one power source designated as the master. If only one machine is required for an arc, then it must be set up as the master. The master power source controls the AC switching for the arc. The slaves respond to what the master wants
The PC will function as the control center for the AC/DC system as well as the user interface. The Ethernet hub splits the Ethernet port from the PC to all the power sources and the phase generator. The PC will act to coordinate the welding sequence of the multiple machines.
One machine will be designated the master, with the rest of the machines connected in parallel considered slaves. The master can generate it's own AC frequency or it can use an external signal as a reference. An external Phase Generator provides the means to synchronize the AC wave shape between multiple arcs. The phase angle between arcs can be adjusted to reduce "Arc Blow" and other welding related issues. An external phase control signal is required to keep the separate wave shapes synchronized with each other
Due to the flexibility of the platform the configuration may vary. A typical subarc system will consist of four welding arcs, which require ten power sources and one synchronous generator. Arc # 1 & #2 will be three machines in parallel. Arc #3 & #4 will be two machines connected in parallel (each individual machine is connected to the ethernet hub).
An Ethernet-Gateway board can be used as the external Phase Generator. An Ethernet-Gateway PC board that can be configured to generate four phase signals onto four differential I/O lines. The phase signals can then be used to synchronize the four different arcs to a common carrier frequency. The frequency can range from 10 hertz to 300 hertz, with the most practical range being from 50 to 100 hertz. It may be desirable that sync signals 2, 3, or 4 are some multiple of the first signal. The frequency and phase shift are controlled by software.
SAFETY PRECUATIONS
Read this entire section of operating instructions before operating the machine.
WARNING
ELECTRIC SHOCK can kill.
* Unless using cold feed feature, when feeding with gun trigger, the electrode and drive mechanism are always electrically energized and could remain energized several seconds after the welding ceases.
* Do not touch electrically live parts or electrodes with your skin or wet clothing.
* Insulate yourself from the work and ground.
* Always wear dry insulating gloves.
FUMES AND GASES can be dangerous.
* Keep your head out of fumes.
* Use ventilation or exhaust to remove fumes from breathing zone.
WELDING SPARKS can cause fire or explosion.
* Keep flammable material away.
* Do not weld on containers that have held combustibles.
ARC RAYS can burn.
* Wear eye, ear, and body protection.
Observe additional guidelines detailed in the beginning of this manual.
GRAPHIC SYMBOLS THAT APPEAR ON THIS MACHINE OR IN THIS MANUAL
INPUT POWER
ON
OFF
HIGH TEMPERATURE
MACHINE STATUS
CIRCUIT BREAKER
WIRE FEEDER
POSITIVE OUTPUT
NEGATIVE OUTPUT
3 PHASE INVERTER
INPUT POWER
THREE PHASE
DIRECT CURRENT
GMAW
FCAW
GTAW
OPEN CIRCUIT
VOLTAGE
INPUT VOLTAGE
OUTPUT VOLTAGE
INPUT CURRENT
OUTPUT CURRENT
PROTECTIVE
GROUND
WARNING
U0
U1
U2
I1
I2
SMAW
INPUT POWER
ON
OFF
HIGH TEMPERATURE
MACHINE STATUS
CIRCUIT BREAKER
WIRE FEEDER
POSITIVE OUTPUT
NEGATIVE OUTPUT
3 PHASE INVERTER
INPUT POWER
THREE PHASE
DIRECT CURRENT
GMAW
FCAW
GTAW
OPEN CIRCUIT
VOLTAGE
INPUT VOLTAGE
OUTPUT VOLTAGE
INPUT CURRENT
OUTPUT CURRENT
PROTECTIVE
GROUND
WARNING
U0
U1
U2
I1
I2
SMAW
DEFINITION OF WELDING TERMS
NON-SYNERGIC WELDING MODES
* A Non-synergic welding mode requires all welding process variables to be set by the operator.
SYNERGIC WELDING MODES
* A Synergic welding mode offers the simplicity of single knob control. The machine will select the correct voltage and amperage based on the wire feed speed (WFS) set by the operator.
WFS
* Wire Feed Speed
CC
* Constant Current
CV
* Constant Voltage
GMAW (MIG)
* Gas Metal Arc welding
GMAW-P (MIG)
* Gas Metal Arc welding-(Pulse)
GMAW-PP (MIG)
* Gas Metal Arc welding-(Pulse-on-Pulse)
GTAW (TIG)
* Gas Tungsten Arc welding
SMAW (STICK)
* Shielded Metal Arc welding
FCAW (INNERSHIELD)
* Flux Core Arc Welding
SAW
* Submerged Arc welding
GENERAL DESCRIPTION
The Power Wave AC/DC power source is designed to be a part of a modular welding system. Each welding arc may be driven by a single machine or by a number of machines in parallel. Additionally with the use of an external Phase Generator the phase angle and frequency of different machines can be synchronized.
The Power Wave AC/DC is a high performance, digitally controlled inverter welding power source capable of complex, high-speed waveform control. The Power Wave AC/DC is capable of producing a variable frequency and amplitude AC output, a DC positive output, or a DC negative output. The Power Wave AC/DC can support constant current, constant voltage and pulse welding modes.
The Power Wave AC/DC is designed to communicate with other Arc-Link equipment. Additionally it can communicate with other industrial machines via DeviceNET. Also the Power Wave AC/DC machines are capable of communicating by Ethernet. The result is a highly integrated and flexible welding cell.
RECOMMENDED PROCESSES AND EQUIPMENT
RECOMMENDED PROCESSES
The Power Wave AC/DC can be set up in a number of configurations, some requiring optional equipment or welding programs. Each machine is factory preprogrammed with multiple welding procedures, typically including SAW, GMAW, GMAW-P, FCAW, GTAW for a variety of materials, including mild steel, stainless steel, cored wires, and aluminum. It carries an output rating of 500 amps, 44 volts (at 100% duty cycle).
The Power Wave AC/DC can be configured for robotic, hard-automation or semi-automatic use.
PROCESS LIMITATIONS
The Power Wave AC/DC is suitable only for the processes listed.
RECOMMENDED EQUIPMENT /INTERFACE
Robotic Operation
All welding programs and procedures are configured through software for the robotic Power Waves. With the proper configuration, Fanuc robots equipped with RJ-3 or RJ-3iB controllers may communicate directly to the Power Wave via ArcLink or DeviceNet. Proper configuration and options allow other equipment such as PLC's or computers to interface with a Power Wave through a serial, DeviceNet, ArcLink, or Ethernet interfaces. All wire welding processes require a robotic Power Feed wire feeder.
Hard Automation
Operating the Power Wave AC/DC in a hard automation application requires a PC or PLC for the user interface. The power source communicates with the PC via Ethernet. A wire feeder can be controlled through Arc-link, DeviceNET or Ethernet.
SemiAutomatic Operation
Operating the Power Wave AC/DC in the semi-automatic mode requires an Arc-Link compatible wire feeder and user interface.
EQUIPMENT LIMITATIONS
* The Power Waves are not to be used in outdoor environments.
* Only Arc-Link Power Feed wire feeders may be used with standard interfaces. Other Lincoln wire feeders or non-Lincoln wire feeders can only be used with custom interfaces.
* Operating Temperature Range is –20C to + 40C.
* The Power Wave AC/DC will support a maximum average output current of 500 Amps at 100% Duty Cycle.
REQUIRED EQUIPMENT
* Control Cables (22 pin to 22 pin), K1795-10,-25,-50,-100
* Control Cables (for use on FANUC robot arm, 22 pin to 14 pin, 10 ft), K1804-1
* Control Cables (for use on FANUC robot arm, 22 pin to 14 pin, 18 in), K1805-1
* Control Cables (for use on FANUC robot arm, 22 pin to 14 pin, 18 in), K1804-2
DUTY CYCLE AND TIME PERIOD
The Power Wave AC/DC is capable of welding at a 100% duty cycle (continuous welding).
CASE FRONT CONTROLS
All operator controls and adjustments are located on the case front of the Power Wave. (See Figure B.1)
1. POWER SWITCH: Controls input power to the Power Wave.
2. STATUS LIGHT: A two color light that indicates system errors. Normal operation is a steady green light. Error conditions are indicated per table B1.
NOTE: The robotic PowerWaves' status light will flash green, for up to 15 seconds when the machine is first turned on. This is a normal situation as the machine goes through a self test at power up.
TABLE B1
3. HIGH TEMPERATURE LIGHT (thermal overload): A yellow light that comes on when an over temperature situation occurs. Output is disabled until the machine cools down. When cool, the light goes out and output is enabled.
4. 10 AMP WIRE FEEDER CIRCUIT BREAKER: Protects 40 volt DC wire feeder power supply.
5. AUXILIARY POWER CIRCUIT BREAKER: Protects case front receptacle auxiliary supply. (10 amp on non-CE models, 5 amp on CE models.)
6. LEAD CONNECTOR S2 (SENSE LEAD)
7. 5-PIN ARC LINK S1
8. 5-PIN DEVICENET CONNECTOR S5
9. I / O CONNECTOR
10. NEGATIVE STUD
11. INTERFACE CONNECTOR S6
12. POSITIVE STUD
13. AUXILUARY OUTPUT
14. ETHERNET CONTROLS (NOT SHOWN)
WELDER OPERATION
Making a Weld
The serviceability of a product or structure utilizing the welding programs is and must be the sole responsibility of the builder/user. Many variables beyond the control of The Lincoln Electric Company affect the results obtained in applying these programs. These variables include, but are not limited to, welding procedure, plate chemistry and temperature, weldment design, fabrication methods and service requirements. The available range of a welding program may not be suitable for all applications, and the build/user is and must be solely responsible for welding program selection.
The steps for operating the Power Wave will vary depending upon the user interface of the welding system. The flexibility of the Power Wave lets the user customize operation for the best performance.
First, consider the desired welding process and the part to be welded. Choose an electrode material, diameter, shielding gas and process (GMAW, GMAWP, SAW, etc.)
Second, find the program in the welding software that best matches the desired welding process. The standard software shipped with the Power Waves encompasses a wide range of common processes and will meet most needs. If a special welding program is desired, contact the local Lincoln Electric sales representative.
To make a weld, the Power Wave needs to know the desired welding parameters. ArcLink allows full customization for exacting performance. The Power Wave can be programmed with specific values for Strike, Run-in, Crater and other parameters as needed.
The Power Wave supports advanced features, like touch sensing and through-the-arc-seam tracking (TAST).
WELDING ADJUSTMENTS
All adjustments are made on through the user interface which can vary. Because of the different configuration options your system may not have all of the following adjustments. Regardless of availability, all controls are described below.
GENERAL WELDING ADJUSTMENTS
1. WFS / AMPS:
In synergic welding modes (synergic CV, pulse GMAW) WFS (wire feed speed) is the dominant control parameter, controlling all other variables. The user adjusts WFS according to factors such as weld size, penetration requirements, heat input, etc. The Power Wave then uses the WFS setting to adjust its output characteristics (output voltage, output current) according to pre-programmed settings contained in the Power Wave. In non-synergic modes, the WFS control behaves more like a conventional CV power source where WFS and voltage are independent adjustments. Therefore to maintain the arc characteristics, the operator must adjust the voltage to compensate for any changes made to the WFS.
2. VOLTS / TRIM:
In constant voltage modes (synergic CV, standard CV) the control adjusts the welding voltage.
In pulse synergic welding modes (pulse GMAW only) the user can change the Trim setting to adjust the arc length. It is adjustable from 0.500 to 1.500. A Trim setting of 1.000 is a good starting point for most conditions.
3. WELDING MODE:
May be selected by name (CV/MIG, CC/Stick Crisp, Gouge, etc.) or by a mode number (10, 24, 71, etc.). Selecting a welding mode determines the output characteristics of the Power Wave power source
4. ARC CONTROL:
Also known as Inductance or Wave Control. Allows operator to vary the arc characteristics from "soft" to "harsh" in all weld modes. It is adjustable from -10.0 to +10.0, with a nominal setting of 0.0.
CV WELDING
Synergic CV:
For each wire feed speed, a corresponding voltage is preprogrammed into the machine through special software at the factory. The nominal preprogrammed voltage is the best average voltage for a given wire feed speed, but may be adjusted to preference. With synergic programs, when the wire feed speed changes the Power Wave will automatically adjust the voltage correspondingly to maintain similar arc characteristics throughout the WFS range.
Non Synergic CV:
This type of CV mode behaves more like a conventional CV power source. Voltage and WFS are independent adjustments. Therefore to maintain the arc characteristics, the operator must adjust the voltage to compensate for any changes made to the WFS.
All CV Modes:
Wave control adjusts the inductance of the wave shape. (This adjustment is often referred to as "pinch". Inductance is inversely proportional pinch.) Increasing wave control greater than 0.0 results in a crispier, colder arc while decreasing the wave control to less than 0.0 provides a softer, hotter arc.
(See Figure B.2 for CURRENT WAVE FORM (CV)
PULSE WELDING
Pulse welding procedures are set by controlling an overall "arc length" variable. When pulse welding, the arc voltage is highly dependent upon the waveform. The peak current, back ground current, rise time, fall time and pulse frequency all affect the voltage. The exact voltage for a given wire feed speed can only be predicted when all the pulsing waveform parameters are known. Using a preset voltage becomes impractical, and instead the arc length is set by adjusting "trim".
Trim adjusts the arc length and ranges from 0.50 to 1.50, with a nominal value of 1.00. Trim values greater than 1.00 increase the arc length, while values less than 1.00 decrease the arc length.
Most pulse welding programs are syngeric. As the wire feed speed is adjusted, the Power Wave will automatically recalculate the waveform parameters to maintain similar arc properties.
The Power Wave utilizes "adaptive control" to compensate for changes in electrical stick-out while welding. (Electrical stick-out is the distance from the contact tip to the work piece.) The Power Wave waveforms are optimized for a 0.75" (19mm) stick-out. The adaptive behavior supports a range of stickouts from 0.50" (13mm) to 1.25" (32mm). At very low or high wire feed speeds, the adaptive range may be less due to reaching physical limitations of the welding process.
Wave control in pulse programs usually adjusts the focus or shape of the arc. Wave control values greater than 0 increase the pulse frequency while decreasing the background current, resulting in a tight, stiff arc best for high speed sheet metal welding. Wave control values less than 0 decrease the pulse frequency while increasing the background current, for a soft arc good for out-of-position welding. (See Figure B.3)
OPTIONAL EQUIPMENT
FACTORY INSTALLED
There are no factory installed options available for the Power Wave.
FIELD INSTALLED OPTIONS / ACCESSORIES
Required Accessories
For Paralleling machines
* Control Cables (22 pin to 22 pin), K1795-10,-25,-50,-100
In Robotic Applications
* Control Cables (for use on FANUC robot arm, 22 pin to 14 pin, 10 ft), K1804-1
* Control Cables (for use on FANUC robot arm, 14 pin to 22 pin, 18 in), K1805-1
* Control Cables (for use on FANUC robot arm, 22 pin to 14 pin, 18 in), K1804-2
Optional Accessories
* Work Voltage Sense Lead Kit K940
* Gas Guard Regulator, K659-1
* Coaxial welding Cable, K1796
Compatible Lincoln equipment
* PF-10/R Wire Feeder, K1780-1
* Any arc-link compatible wire feeding equipment
SAFETY PRECAUTIONS
WARNING
ELECTRIC SHOCK can kill.
* Only Qualified personnel should perform this maintenance.
* Turn the input power OFF at the disconnect switch or fuse box before working on this equipment.
* Do not touch electrically hot parts.
ROUTINE MAINTENANCE
Routine maintenance consists of periodically blowing out the machine, using a low pressure airstream, to remove accumulated dust and dirt from the intake and outlet louvers, and the cooling channels in the machine.
PERIODIC MAINTENANCE
Calibration of the Power Wave AC/DC is critical to its operation. Generally speaking the calibration will not need adjustment. However, neglected or improperly calibrated machines may not yield satisfactory weld performance. To ensure optimal performance, the calibration of output Voltage and Current should be checked yearly.
CALIBRATION SPECIFICATION
Output Voltage and Current are calibrated at the factory. Generally speaking the machine calibration will not need adjustment. However, if the weld performance changes, or the yearly calibration check reveals a problem, contact the Lincoln Electric Company for the calibration software utility.
The calibration procedure itself requires the use of a grid, and certified actual meters for voltage and current. The accuracy of the calibration will be directly affected by the accuracy of the measuring equipment you use. Detailed instructions are available with the utility.
HOW TO USE TROUBLESHOOTING GUIDE
WARNING
Service and Repair should only be performed by Lincoln Electric Factory Trained Personnel. Unauthorized repairs performed on this equipment may result in danger to the technician and machine operator and will invalidate your factory warranty. For your safety and to avoid Electrical Shock, please observe all safety notes and precautions detailed throughout this manual.
__________________________________________________________________________
This Troubleshooting Guide is provided to help you locate and repair possible machine malfunctions. Simply follow the three-step procedure listed below.
This column provides a course of action for the Possible Cause, generally it states to contact your local Lincoln Authorized Field Service Facility.
Look under the column labeled "PROBLEM (SYMPTOMS)". This column describes possible symptoms that the machine may exhibit. Find the listing that best describes the symptom that the machine is exhibiting.
If you do not understand or are unable to perform the Recommended Course of Action safely, contact your local Lincoln Authorized Field Service Facility.
The second column labeled "POSSIBLE CAUSE" lists the obvious external possibilities that may contribute to the machine symptom.
CAUTION
If for any reason you do not understand the test procedures or are unable to perform the tests/repairs safely, contact your Local Lincoln Authorized Field Service Facility for technical troubleshooting assistance before you proceed.
Observe all Safety Guidelines detailed throughout this manual
| PROBLEMS (SYMPTOMS) | | POSSIBLE AREAS OF MISADJUSTMENT(S) | RECOMMENDED COURSE OF ACTION |
|---|---|---|---|
| Major physical or electrical damage is evident when the sheet metal covers are removed. | | OUTPUT PROBLEMS 1. Contact your local authorized Lincoln Electric Field Service facility for technical assistance. | If all recommended possible areas of misadjustments have been checked and the problem persists, contact your local Lincoln Authorized Field Service Facility. |
| | Major physical or electrical damage is evident when the sheet metal covers are removed. | 1. Contact your local authorized Lincoln Electric Field Service facility for technical assistance. | |
| | Input fuses keep blowing, or input breaker keeps tripping. | 1. Make certain that fuses or breakers are properly sized. See Installation section of this manual for recommended fuse and breaker sizes. 2. Welding procedure is drawing too much output current, or duty cycle is too high. Reduce output current, duty cycle, or both. 3. There is internal damage to the power source. Contact an authorized Lincoln Electric Service facility. | |
| | Machine will not power up (no lights, no fan, etc.) | 1. Make certain that the Power Switch (SW1) is in the “ON” position. 2. Circuit breaker CB4 (in recon- nect area) may have opened. Reset. Also, check input volt- age selection, below. 3. Input voltage selection made improperly. Power down, check input voltage reconnect according to diagram on reconnect cover. | |
CAUTION
If for any reason you do not understand the test procedures or are unable to perform the tests/repairs safely, contact your local authorized Lincoln Electric Field Service Facility for technical assistance.
Observe all Safety Guidelines detailed throughout this manual
| PROBLEMS (SYMPTOMS) | POSSIBLE AREAS OF MISADJUSTMENT(S) |
|---|---|
| Thermal LED is lit. | OUTPUT PROBLEMS 1. Machine’s thermostat has opened. Check for proper fan operation. There are two main fans in the PowerWave AC/DC. One machine is located in the lower portion of the machine which should be running when- ever the machine is on. The other fan is located in the upper portion of the machine and only runs when the machine is trig- gered. Check for material block- ing intake or exhaust louvers, or for excessive dirt clogging coo- ing channels in machine. 2. DC Bus PC board thermostat has opened check for excessive load on 40VDC supply. 3. Be sure process does not exceed duty cycle limit of the machine. |
| | 1. Machine’s thermostat has opened. Check for proper fan operation. There are two main fans in the PowerWave AC/DC. One machine is located in the lower portion of the machine which should be running when- ever the machine is on. The other fan is located in the upper portion of the machine and only runs when the machine is trig- gered. Check for material block- ing intake or exhaust louvers, or for excessive dirt clogging coo- ing channels in machine. 2. DC Bus PC board thermostat has opened check for excessive load on 40VDC supply. 3. Be sure process does not exceed duty cycle limit of the machine. |
| Machine won’t weld, can’t get any output. (CR1 will not pull in.) | 1. Input voltage is too low or too high. Make certain that input voltage is proper, according to the Rating Plate located on the rear of the machine. 2. If the Thermal LED is also lit, see “Yellow Thermal LED is Lit” section. 3.Primary current limit has been exceeded. Possible short in out- put circuit. Turn machine off. Remove all loads from the output of the machine. Turn back on. If condition persists, turn power off, and contact an authorized Lincoln Electric Field Service facility. 4. This problem will normally be accompanied by an error code. Error codes are displayed as a series of red and green flashes by the status light. See "Troubleshooting the Power Wave / Power Feed System Using the Status LED" section of this text. |
CAUTION
If for any reason you do not understand the test procedures or are unable to perform the tests/repairs safely, contact your local authorized Lincoln Electric Field Service Facility for technical assistance.
Observe all Safety Guidelines detailed throughout this manual
| PROBLEMS (SYMPTOMS) | | POSSIBLE AREAS OF MISADJUSTMENT(S) |
|---|---|---|
| Machine often “noodle welds” (out- put is limited to approximately 100 amps) when running a particular procedure | | OUTPUT PROBLEMS 1. Secondary current limit has been exceeded, and the machine has phased back to protect itself. Adjust procedure or reduce load to lower cur- rent draw from the machine. |
| | Machine often “noodle welds” (out- put is limited to approximately 100 amps) when running a particular procedure | 1. Secondary current limit has been exceeded, and the machine has phased back to protect itself. Adjust procedure or reduce load to lower cur- rent draw from the machine. |
| | Auxiliary receptacle is “dead” — no auxiliary voltage . | 1. Circuit breaker CB2 (on case front) may have opened. Reset. 2. Circuit breaker CB4 (in recon- nect area) may have opened. Reset. |
| | The Power Wave is triggered to weld, but there is no output. | 1. Check for fault signals from the I/O connector. Possible faults are lack of water flow 2. Circuit breaker CB4 (in recon- nect area) may have opened. Reset. |
CAUTION
If for any reason you do not understand the test procedures or are unable to perform the tests/repairs safely, contact your local authorized Lincoln Electric Field Service Facility for technical assistance.
Observe all Safety Guidelines detailed throughout this manual
PROBLEMS
| OUTPUT PROBLEMS | |
|---|---|
| General degradation of the weld performance. | 1. Check for feeding problems, bad connections, excessive loops in cabling, etc.. 2. Verify weld mode is correct for processes. 3. The power source may require calibration. • Check the current calibration • Check the voltage calibration • Check the WFS calibration |
| The Power Wave is triggered to weld, but there is no output. | 1. Check for fault signals from the I/O connector. Possible faults are lack of water flow / water flow turned off. |
| The feeder will not cold inch wire | 1. Check for fault signals from the I/O connector. Possible faults are lack of water flow / water cooler turned off. |
| Excessively long and erratic arc. | 1. Check for proper configuration and implementation of voltage sensing circuits. |
| Arc loss fault on robot | 1. Possibly caused by wire feeding problem. 2. Possible causes/solutions are: • Problem - Conduit leading to the wire feeder has bends or twists, which can reduce the wire feed speed. • Solution - Remove bends and twists from conduit. • Problem – Conduit leading up to the wire feeder from the wire reel is too long. • Solution – Use a shorter length of conduit |
POSSIBLE AREAS OF
RECOMMENDED
CAUTION
If for any reason you do not understand the test procedures or are unable to perform the tests/repairs safely, contact your Local Lincoln Authorized Field Service Facility for technical troubleshooting assistance before you proceed.
USING THE STATUS LED TO TROUBLESHOOT SYSTEM PROBLEMS
The Power Wave is equipped with a status light if a problem occurs it is important to note the condition of the status light.Therefore, prior to cycling power to the system, check the power source status light for error sequences as noted below.
Troubleshooting the Power Wave Using the Status LED
The STATUS LIGHT is a two color light that indicates system errors. Normal operation is a steady green light. Error conditions are indicated in the following chart.
Included in this section is information about the power source Status LED, and some basic troubleshooting charts for both machine and weld performance.
Observe all Safety Guidelines detailed throughout this manual
ERROR CODES FOR THE POWERWAVE
The following is a list of possible error codes that the Power Wave AC/DC can output via the status light (see "Troubleshooting the Power Wave / Power Feed System Using the Status LED").
| Error Code # | Indication |
|---|---|
| 31 Primary overcurrent error. | Excessive Primary current present. May be related to a switch board or output rectifier failure. |
| 32 Capacitor "A" under voltage (Left side facing machine) | Low voltage on the main capacitors. May be caused by improper input configuration, or an open/short circuit in the primary side of the machine. |
| 33 Capacitor "B" under voltage (Right side facing machine) | |
| 34 Capacitor "A" over voltage (Left side facing machine) | Excess voltage on the main capacitors. May be caused by improper input configuration, , excessive line voltage, or improper capacitor bal- ance (see Error 43) |
| 35 Capacitor "B" over voltage (Right side facing machine) | |
| 36 Thermal error | Indicates over temperature. Usually accompanied by Thermal LED. Check fan operation. Be sure process does not exceed duty cycle limit of the machine. |
| 37 Softstart error | Capacitor precharge failed. Usually accompanied by codes 32-35. |
| 41 Secondary overcurrent error | The secondary (weld) current limit has been exceeded. When this occurs the machine output will phase back to 100 amps, typically result- ing in a condition refered to as "noodle welding" NOTE: For the PowerWave AC/DC the secondary limit is 500 |
| 43 Capacitor delta error | The maximum voltage difference between the main capacitors has been exceeded. May be accompanied by errors 32-35. May be caused by an open or short in the primary or secondary circuit(s). |
| 49 Single phase error | Indicates machine is running on single phase input power. Usually caused by the loss of the middle leg (L2). |
CAUTION
If for any reason you do not understand the test procedures or are unable to perform the tests/repairs safely, contact your Local Lincoln Authorized Field Service Facility for technical troubleshooting assistance before you proceed.
REAR OF MACHINE
POWER WAVE AC/DC
Table F.1 INTERFACE CONNECTOR WIRING
| Pin | Robotic Interface Connector (S6) | Master / Slave Input(S12) |
|---|---|---|
| A | +15vdc Tach voltage | Reserved for future use |
| B | Tach common | Reserved for future use |
| C | Tach 1A differential signal | Sync In |
| D | Tach 1B differential signal | Sync In |
| E | Tach 2A differential signal | Ready In |
| F | Tach 2B differential signal | Ready In |
| G | Single Tach Input | Polarity Out |
| H | Reserved for future use | Polarity Out |
| I | Voltage sense lead | Ground |
| J | Motor "+" | Reserved for future use |
| K | Motor "-" | Reserved for future use |
| L | Reserved for future use | +40v (COM) |
| M | Reserved for future use | +40v ("+") |
| N | +40vdc for solenoid | Reserved for future use |
| P | solenoid input | Reserved for future use |
| R | Reserved for future use | Reserved for future use |
| S | Reserved for future use | Reserved for future use |
| T | Shield ground to case | Drain (ethernet) |
| U | Reserved for future use | Kill Out |
| V | Reserved for future use | Kill Out |
| W | Reserved for future use | Reserved for future use |
| X | Reserved for future use | Reserved for future use |
| TABLE F.2 WIRE FEEDER RECEPTACLE S1 | | | TABLE F.5 DEVICENET CONNECTOR S5 | | |
|---|---|---|---|---|---|
| Pin | Lead # | Function | Pin | Lead # | Function |
| | | | 2 3 4 5 | 894 893 892 891 | +24vdc Devicenet Commom Devicenet+ Devicenet H Devicenet L |
| Pin | Lead # |
|---|---|
| 2 3 4 5 6 20 7 | 253 254 # # ## ## 251 |
| Pin | Lead # |
|---|---|
| 1 2 3 4 5 6 7 8 9 10 11 12 | 851 852 853 854 855 856 857 858 859 860 861 862 |
Robotic Set Up, Electrode Positive, CV/Pulse Configuration
CONTROL CABLE K1805-1 CONTROL CABLE K1805-1
POWER WAVE AC/DC
NOTES
NOTES
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| WARNING | ● Do not touch electrically live parts or electrode with skin or wet clothing. ● Insulate yourself from work and ground. | ● Keep flammable materials away. | ● Wear eye, ear and body protection. |
|---|---|---|---|
| Spanish AVISO DE PRECAUCION | ● No toque las partes o los electrodos bajo carga con la piel o ropa moja- da. ● Aislese del trabajo y de la tierra. | ● Mantenga el material combustible fuera del área de trabajo. | ● Protéjase los ojos, los oídos y el cuerpo. |
| French ATTENTION | ● Ne laissez ni la peau ni des vête- ments mouillés entrer en contact avec des pièces sous tension. ● Isolez-vous du travail et de la terre. | ● Gardez à l’écart de tout matériel inflammable. | ● Protégez vos yeux, vos oreilles et votre corps. |
| German WARNUNG | ● Berühren Sie keine stromführenden Teile oder Elektroden mit Ihrem Körper oder feuchter Kleidung! ● Isolieren Sie sich von den Elektroden und dem Erdboden! | ● Entfernen Sie brennbarres Material! | ● Tragen Sie Augen-, Ohren- und Kör- perschutz! |
| Portuguese ATENÇÃO | ● Não toque partes elétricas e elec- trodos com a pele ou roupa molha- da. ● Isole-se da peça e terra. | ● Mantenha inflamáveis bem guarda- dos. | ● Use proteção para a vista, ouvido e corpo. |
| Japanese | | | |
| Chinese | | | |
| Korean | | | |
| Arabic | | | |
READ AND UNDERSTAND THE MANUFACTURER'S INSTRUCTION FOR THIS EQUIPMENT AND THE CONSUMABLES TO BE USED AND FOLLOW YOUR EMPLOYER'S SAFETY PRACTICES.
SE RECOMIENDA LEER Y ENTENDER LAS INSTRUCCIONES DEL FABRICANTE PARA EL USO DE ESTE EQUIPO Y LOS CONSUMIBLES QUE VA A UTILIZAR, SIGA LAS MEDIDAS DE SEGURIDAD DE SU SUPERVISOR.
LISEZ ET COMPRENEZ LES INSTRUCTIONS DU FABRICANT EN CE QUI REGARDE CET EQUIPMENT ET LES PRODUITS A ETRE EMPLOYES ET SUIVEZ LES PROCEDURES DE SECURITE DE VOTRE EMPLOYEUR.
LESEN SIE UND BEFOLGEN SIE DIE BETRIEBSANLEITUNG DER ANLAGE UND DEN ELEKTRODENEINSATZ DES HERSTELLERS. DIE UNFALLVERHÜTUNGSVORSCHRIFTEN DES ARBEITGEBERS SIND EBENFALLS ZU BEACHTEN.
| ● Keep your head out of fumes. ● Use ventilation or exhaust to remove fumes from breathing zone. | ● Turn power off before servicing. | ● Do not operate with panel open or guards off. | WARNING |
|---|---|---|---|
| ● Los humos fuera de la zona de res- piración. ● Mantenga la cabeza fuera de los humos. Utilice ventilación o aspiración para gases. | ● Desconectar el cable de ali- mentación de poder de la máquina antes de iniciar cualquier servicio. | ● No operar con panel abierto o guardas quitadas. | Spanish AVISO DE PRECAUCION |
| ● Gardez la tête à l’écart des fumées. ● Utilisez un ventilateur ou un aspira- teur pour ôter les fumées des zones de travail. | ● Débranchez le courant avant l’entre- tien. | ● N’opérez pas avec les panneaux ouverts ou avec les dispositifs de protection enlevés. | French ATTENTION |
| ● Vermeiden Sie das Einatmen von Schweibrauch! ● Sorgen Sie für gute Be- und Entlüftung des Arbeitsplatzes! | ● Strom vor Wartungsarbeiten abschalten! (Netzstrom völlig öff- nen; Maschine anhalten!) | ● Anlage nie ohne Schutzgehäuse oder Innenschutzverkleidung in Betrieb setzen! | German WARNUNG |
| ● Mantenha seu rosto da fumaça. ● Use ventilação e exhaustão para remover fumo da zona respiratória. | ● Não opere com as tampas removidas. ● Desligue a corrente antes de fazer serviço. ● Não toque as partes elétricas nuas. | ● Mantenha-se afastado das partes moventes. ● Não opere com os paineis abertos ou guardas removidas. | Portuguese ATENÇÃO |
| | | | Japanese |
| | | | Chinese |
| | | | Korean |
| | | | Arabic |
LEIA E COMPREENDA AS INSTRUÇÕES DO FABRICANTE PARA ESTE EQUIPAMENTO E AS PARTES DE USO, E SIGA AS PRÁTICAS DE SEGURANÇA DO EMPREGADOR.
|
University of Birmingham
Neutral red retention time assay in determination of toxicity of nanoparticles
Hu, Wentao; Culloty, Sarah; Darmody, Grainne; Lynch, Sharon; Davenport, John; Ramirez- Garcia, Sonia; Dawson, Kenneth; Lynch, Iseult; Doyle, Hugh; Sheehan, David
DOI: 10.1016/j.marenvres.2015.05.007
License:
None: All rights reserved
Document Version Peer reviewed version
Citation for published version (Harvard):
Hu, W, Culloty, S, Darmody, G, Lynch, S, Davenport, J, Ramirez-Garcia, S, Dawson, K, Lynch, I, Doyle, H & Sheehan, D 2015, 'Neutral red retention time assay in determination of toxicity of nanoparticles', Marine Environmental Research. https://doi.org/10.1016/j.marenvres.2015.05.007
Link to publication on Research at Birmingham portal
Publisher Rights Statement:
NOTICE: this is the author's version of a work that was accepted for publication. Changes resulting from the publishing process, such as peer review, editing, corrections, structural formatting, and other quality control mechanisms may not be reflected in this document. Changes may have been made to this work since it was submitted for publication. A definitive version was subsequently published as Hu, W., Culloty, S., Darmody, G., Lynch, S., Davenport, J., Ramirez-Garcia, S., Dawson, K., Lynch, I., Doyle, H., Sheehan, D., Neutral red retention time assay in determination of toxicity of nanoparticles, Marine Environmental Research (2015), doi: 10.1016/j.marenvres.2015.05.007. Birmingham
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Accepted Manuscript
Neutral red retention time assay in determination of toxicity of nanoparticles
Wentao Hu, Sarah Culloty, Grainne Darmody, Sharon Lynch, John Davenport, Sonia Ramirez-Garcia, Kenneth Dawson, Iseult Lynch, Hugh Doyle, David Sheehan
PII:
S0141-1136(15)00074-4
DOI:
10.1016/j.marenvres.2015.05.007
Reference: MERE 4004
To appear in: Marine Environmental Research
Received Date: 22 January 2015
Revised Date: 11 May 2015
Accepted Date: 15 May 2015
Please cite this article as: Hu, W., Culloty, S., Darmody, G., Lynch, S., Davenport, J., Ramirez-Garcia, S., Dawson, K., Lynch, I., Doyle, H., Sheehan, D., Neutral red retention time assay in determination of toxicity of nanoparticles, Marine Environmental Research (2015), doi: 10.1016/j.marenvres.2015.05.007.
This is a PDF file of an unedited manuscript that has been accepted for publication. As a service to our customers we are providing this early version of the manuscript. The manuscript will undergo copyediting, typesetting, and review of the resulting proof before it is published in its final form. Please note that during the production process errors may be discovered which could affect the content, and all legal disclaimers that apply to the journal pertain.
Neutral red retention time assay in determination of toxicity of nanoparticles 1
Wentao Hu a , Sarah Culloty b , Grainne Darmody b , Sharon Lynch b , John Davenport b , 2
Sonia Ramirez-Garcia c , Kenneth Dawson c , Iseult Lynch d , Hugh Doyle e , David 3
Sheehan a * 4
5
a Environmental Research Institute and School of Biochemistry and Cell Biology, 6
University College Cork, Ireland. 7
bAquaculture and Fisheries Development Centre, School of Biological, Earth and 8
Environmental Sciences, University College Cork, Ireland. 9
cCentre for BioNano Interactions and Department of Physical Chemistry, University 10
11
College Dublin, Ireland.
dSchool of Geography, Earth and Environmental Sciences, University of Birmingham, 12
Edgbaston, Birmingham B 15 2TT, UK. 13
14
e
Tyndall National Laboratory, University College Cork, Ireland
15
*Corresponding author's address: School of Biochemistry and Cell Biology, Western 16
Gateway Building, University College Cork, Cork, Ireland. 17
Tel: 353 21 4205424 18
e-mail address: firstname.lastname@example.org 19
Keywords: Mytilus, metal oxide, lysosome, membrane stability, neutral red, NRRT 20
21
Abstract 23
39
1. Introduction 40
The unusual properties of nanomaterials provide them with several possible routes to 41 toxicity in biological systems. Their small size sometimes enables them to cross important 42 biobarriers e.g. skin, blood-brain, intestine, maternal-foetus (Tedesco and Sheehan, 2010; 43 Elsaesser and Howard, 2012; Jiang et al., 2014). Their very large surface area to volume ratio 44 enables a greater proportion of atoms to be displayed on the particle surface compared to 45 corresponding macromaterials (Nel et al., 2009; Nel et al., 2013). Moreover, specific 46 functional groups on nanoparticle surfaces may facilitate biospecific interactions allowing a 47 range of possible biological effects (Hoet et al., 2004; Moore, 2006; Klaper et al., 2014). 48 Nanomaterials can also translocate within the human body into other systems such as 49 circulatory and lymphatic vessels (Gwinn and Vallyathan, 2006; Buzea et al., 2007; Elsaesser 50 and Howard, 2012). Thus, nanoparticles have significant potential to cause adverse health 51 effects in humans and other organisms upon prolonged exposure. 52
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3 Because of increasing commercial production and use of nanomaterials, issues of their accumulation and fate in the environment and their possible effects on ecosystems arise (Moore, 2006; Tedesco and Sheehan, 2010; Ivask et al., 2014). The majority of human habitation worldwide is within 100km of coastlines and the aquatic environment collects domestic, agricultural, shipping and industrial runoffs from these coastal zones. This makes aquatic ecosystems particularly at risk to potential toxicity of nanomaterials of anthropogenic origin. Invertebrates are key elements of the aquatic food chain and mussels are amongst the most abundant of these (Baun et
62
ACCEPTED MANUSCRIPT
al., 2008). As filter-feeders, mussels are exquisitely selective in the particle size- range which they ingest (Defossez and Hawkins, 1997; Ward and Kach, 2009) and
63
can bioconcentrate metals and organic pollutants within their tissues. This has led to
their widespread study in ecotoxicology (Moore, 1985; Widdows and Donkin, 1992) 64 and filter-feeders have been suggested as especially attractive targets for probing the 65 environmental fate of nanomaterials (Moore, 2006; Ward and Kach, 2009; Canesi et 66 al., 2012). 67 Lysosomes are important subcellular organelles that contain many hydrolytic 68 enzymes, carry out protein degradation and detoxify some foreign compounds. At the 69 cellular level, lysosomal digestion pathways include phagocytosis, endocytosis and 70 autophagy. The lysosomal membrane protects the cytosol, and therefore the rest of the 71 cell, from leakage of degradative enzymes. However, malfunctioning of lysosomes 72 and their accumulation of toxic pollutants have been linked to lysosomal storage 73 diseases and result in lysosomal injury and oxidative damage, in some cases leading 74 to cell death (Moore et al., 2007). The neutral red retention time (NRRT) assay takes 75 advantage of this phenomenon by measuring decreased time of retention of a dye, 76 neutral red (ACS no. 553-24-2), within phagocytic haemocytes of a range of aquatic 77 organisms including mussels, crustaceans and fish (Regoli, 1992; Tedesco et al, 2008; 78 Lowe et al 1995; Svendsen et al, 2004). In the popular sentinel species, Mytilus edulis, 79 hemocytes are essential immune system components (Rickwood and Galloway, 80 2004). NRTT has been reported as a useful indicator of the organism's overall health 81
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ACCEPTED MANUSCRIPT
2. Materials and Methods 94
2.1. Mytilus edulis sampling 95
M. edulis individuals (4-6cm shell-length) were collected from an intertidal site in 96 Cork Harbour, Ireland (location: 51.49°N, 8 18°W; Lyons et al., 2003). All Animals 97 were acclimated in tanks for a week with a 12 h light/dark cycle at a temperature of 98 15°C and 34–36‰ salinity, fed and with regular changing of water. 99 100 2.2.Nanoparticle suspension preparation 101 Metal or metal oxide nanoparticles (copper oxide, titanium dioxide, gold, 102 chromium oxide and cobalt oxide) of nominal sizes <50nm were purchased from 103 Sigma-Aldrich (Dorset, UK). Nanopowders (10mg) were suspended in 10 ml of 20 104 mM citric acid adjusted to pH 7, and sonicated for 1h using a tip sonicator. A stepped 105 microtip was used and the total power transferred to the suspension was 2.4W 106 (determined by the calorimetric method). Ultrasound was applied as 15s pulses with 107 15s breaks between them (Taurozzi et al., 2010). The suspensions were left at 60 o C 108 overnight and were then filtered using a 220nm pore size cellulose acetate filter 109 (Millipore, Watford UK). 110 111
2.3.Exposure of haemolymph to nanoparticles 112
Haemolymph samples were freshly extracted for NRRT assay as described by 113 Moore et al. (2009). In the present work, haemolymph from each of five animals was 114 extracted from adductor muscle using a 20 gauge hypodermic needle fitted on a 1 ml 115 syringe containing 100µl tris buffered saline buffer, which was pooled to provide a 116 total volume of 2 ml haemolymph solution. Three biologically independent replicates 117 were used (i.e. haemolymph was taken from 3x5 individual animals). Samples were 118 constantly vortexed to resuspend the haemolymph and prevent aggregation. 119 Haemolymph was then evenly aliquoted (500 µL) followed by exposure to 120 nanoparticles at a final concentration of 2 ppm for 1 h at ambient temperature (20°C). 121 Tubes were gently shaken every 5 min to optimise exposure. The above procedure 122 was applied to a panel of metal or metal oxide nanoparticles and a control sample was 123 treated identically but without the presence of nanoparticle. 124
ACCEPTED 125 2.4.Neutral red retention time (NRRT) assay 126 Following nanoparticle exposure, 100 µ l haemolymph from all six treatment 127 groups was loaded into individual wells of a 96-well microtitre plate (Sarstedt, 128 Wexford Ireland). This was performed with three independent biological replicates. 129 Fifty µl stock neutral red dye solution (200 µM) was then added. Four plates were 130 used in parallel for time-points 15, 30, 60 and 90 min. All plates were placed in the 131 dark allowing 15, 30, 60 or 90 min, respectively, for dye uptake. Dye and medium 132 were quickly removed from the plates after incubation and washed with 150 µL 133
3. Results and Discussion 141
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the cell structure and macrophage dysfunction may occur, leading to reduction in both non-specific and specific immune responses in some individual animals (Liu et al 2010). Copper oxide and chromium oxide nanoparticles are notorious for their toxic effects, and have been implicated in toxicity to non-target organisms (Ivask et al, 2014), reduction of immune status (Zha et al 2009), damage to animal tissues (Chen et al, 2006; Griffitt et al, 2007), and induction of reactive oxygen species (Fahmy and Cormier, 2009; Horie et al 2011). Cobalt oxide nanoparticles readily enter cultured human cells where they are found to have a negative effect on cell viability (Papis et al., 2009). They have been reported to induce primary DNA damage in a concentration-dependent manner. Various redox enzyme activities were decreased after treatment with cobalt nanoparticles, suggesting potential toxic risk and inhibition of antioxidant capacity (Jiang et al, 2012).
ACCEPTED 3.3.Potential for high-throughput assay The assay format reported here includes minimisation of biological variation in haemocyte populations by pooling haemolymph across five individual animals. Moreover, three independent replicates gave essentially identical results and allowed reproducible discrimination across the nanoparticle panel studied. Use of 96-well microtitre plates makes possible high-throughput analysis of large numbers of samples, replicates and concentrations within the time-scale suggested by Moore et al.
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Figure legends 289
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* Neutral red retention time assay used haemolymph of five pooled mussels.
* Assay was miniaturised for reading in a plate reader, facilitating many samples and replicates.
* Copper, chromium and cobalt nanoparticles were toxic while gold and titanium were not.
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Attendance Policy 2024 - 2025
REVIEWED BY: United Learning
DATE REVIEWED: August 2024
DATE OF NEXT REVIEW: August 2025
Contents
Summary – Attendance at a Glance............................................................................... 4
Summary – Attendance at a Glance
Attendance Matters
Here at Heath Lane Academy, we have the highest expectations across all areas of school life including attendance. We value positive relationships between both staff and pupils, and want all pupils to feel they belong here and are valued. We work with our pupils to ensure that they have the highest possible attendance at school. We believe that this is the best way for them to succeed and to get the most out of all we have to offer.
There is a clear link between academic outcomes and school attendance. We want all pupils to achieve excellent outcomes to give themselves the very best chance in life.
There are 175 non-school days per year for holidays, shopping and appointments. There is no need, except in extreme circumstances to miss a day's education. If you miss one session in a week (remember, there are two sessions per day) your attendance is 90%.
This means you miss 19 days of education in a year and risk dropping one grade in your GCSEs.
It is vital we work together to teach our pupils the value of attending school each and every day. However, we do appreciate that at times, pupils may not be able to attend school. We ask our parents and carers to follow the processes below. They support our safeguarding procedures.
Should you have a concern about your child's attendance, then we ask that you contact us to discuss this. We believe in strong partnerships across all parts of school life. This includes attending school.
It is also important to us that pupils arrive to school on time, and they must be at school by 8.40am.
Absence through illness or unforeseen circumstances
1. Parents 1 must contact the school when their child is absent to explain that absence. This can be done via the Weduc app before 8.15am giving the following details:
[x] pupil's Year group or Form;
[x] full name of pupil;
[x] Full name of person reporting absence and relation to child;
[x] Reason for absence.
2. Where a reason for the absence is not received by 8.15am on the day of the absence, the school will contact the parents on the same day to understand the reason for the absence.
3. Where further unexplained absences occur, the school will make further contact with the parent (including foster parents and/ or social workers where appropriate). This should be with the aim of understanding why the absence has occurred, and when the pupil will return.
4. The correct absence code will be inputted into the Attendance Register as soon as the reason is ascertained.
5. If pupils suffer any form of injury, then we ask that you contact the school to make us aware. This is so we can do a risk assessment with you. It will identify impacts of the injury and the support your child may need. See section 7.3 of the full policy for further information.
1 Throughout this document, the terms 'parent' and 'parents' are interchangeable and apply equally to 'parents and carers' and includes foster parents and social workers where relevant.
Attending an Appointment
Please schedule dental and non-urgent medical appointments outside of school hours. We know this might be tough for hospital visits. If rescheduling fails, your child must bring a medical letter or appointment card. We need it for our records. Pupils must be picked up and returned to school if their appointment ends during the school day. For more details, check section 6.2 of the full policy.
Known Absence
Granting a leave of absence will only be made in exceptional circumstances. Each application will be considered individually considering the specific facts and circumstances and relevant background context behind the request. If a leave of absence is granted it is for the Headteacher to determine the length of the time the pupil can be away from school. It is extremely unlikely that a leave of absence will be granted for the purposes of a family holiday.
If the Principal does not authorise it, then any absence is 'unauthorised' and can incur a penalty. For more details, please check the Attendance Policy and Procedures (section 6.1).
Support
We take absence very seriously. We are committed to supporting any child who is finding it difficult to attend school regularly. We will target support for any pupil whose attendance falls below 95%. Further information on support can be found in the full policy.
Punctuality
The school day starts at 8.40am and we expect your child to be in school at that time. Arrival after that time will mean the child is late. Lateness means they miss out on important routines which help get their day off to a positive start. Late arriving pupils also disrupt lessons during the day for others.
How we manage lateness to school and lessons
Lateness to school
Poor punctuality is unacceptable as it causes students to miss essential work and disrupts lessons. Students must line up by 8:40am. Late arrivals will complete a break time sanction, and repeated lateness results in detention from 3:10pm to 4:00pm. Students arriving after 9:10am will receive an unauthorised absence mark.
Lateness to lessons
Poor punctuality disrupts lessons and causes students to miss essential work. Students must move promptly to their lessons. Late arrivals will face sanctions, including break detention, after-school detention, and for persistent lateness; time in the Reflection room.
Parents may face prosecution if their child is often late after the register has closed. We'll watch for this and offer support. If the problem persists, we will take action.
The rest of this document outlines our Attendance Policy and Procedures. We encourage all parents to review it. This ensures they understand how we handle attendance.
Part A - Policy
1. Introduction
This Attendance Policy outlines the culture and approach to supporting good attendance at our academy. The second part of the document outlines the more detailed procedures, roles and responsibilities related to pupil attendance that operate at our academy. Through all that we do to manage attendance, we are committed to creating a positive learning environment, supporting pupil achievement, and complying with legal requirements.
This is a successful academy, and all pupils play their part in making it so. We aim for an environment which enables and encourages all members of the community to be proud to belong and to achieve their best. For our pupils to gain the greatest benefit from their education it is vital that they attend regularly and should be at school, on time, every day the school is open unless the reason for the absence is unavoidable. It is very important therefore that parents 2 make sure that children attends regularly, and this policy sets out how together we will achieve this.
Regular attendance at school is of critical importance to a child's education. Evidence tells us that the pupils with the highest attainment at the end of key stage 4 have higher rates of attendance over the key stage compared to those with the lowest attainment. Any absence affects the pattern of a pupil's schooling and regular absence will seriously affect their learning. Any pupil's absence disrupts the learning of others in the same teaching groups by disrupting classroom routines. Ensuring your child's regular attendance is your legal responsibility.
The principles of a 'support first approach' are adopted and we seek to:
2 The definition of a parent can be found in the Education Act 1996, and this applies to all the legislation to which this guidance relates. In addition to the child's birth parents, references to parents in this guidance include any person who has parental responsibility (which includes the local authority where it has a care order in respect of the child) and any person (for example, a foster carer) who has care of the child. To reflect this, this guidance uses 'parent' to refer to both parents and carers.
2. Aims
Our aim is to create a school environment where children feel they belong and want to come to school. We believe our school is a great place to learn, and that being in school day in, day out, is in the best interests of all our pupils. However, we recognise that there will be times when there may be barriers that prevent children from attending school. In these instances, we will act early to understand the issue, provide support and work with the child and their family to get them back to regular attendance as quickly as possible.
We believe that one of the most important factors in promoting good attendance is the development of positive attitudes towards school and a sense of belonging. To this end, we strive to make our school a happy and rewarding experience for all children, and to foster positive and mutually respectful relationships with parents.
By promoting good attendance and punctuality we aim to:
[x] Make good attendance and punctuality a priority for all those involved in the school community.
[x] Raise our pupils' awareness of the importance of good attendance and punctuality.
[x] Provide support, advice and guidelines to parents, pupils and staff.
[x] Work in partnership with parents, including regularly informing them about their child's absence and attendance levels.
[x] Support pupils back into school following a lengthy or unavoidable period of absence and provide support to build confidence and bridge gaps.
[x] Celebrate and reward good attendance and punctuality.
This policy sets out our school's position on attendance and details the procedures that all parents 3 must follow to report their child's absence from school and to remind them of their legal duty, to ensure their child attends school regularly.
This policy will be applied fairly and consistently, considering the individual needs of our pupils and their families who have specific barriers to attendance. Therefore, in the development of our policy we have considered our obligations under the Equality Act 2010 and the UN Convention on the Rights of the Child.
We will also support parents to perform their legal duty to ensure their children of compulsory school age attend regularly and will promote and support punctuality in attending lessons.
4
We want our pupils to go to school every day unless they are not well enough to attend. We believe that children who attend school regularly are more likely to feel settled in school, maintain friendships, keep up with their learning and gain the greatest benefit from their education. We want all our pupils to enjoy school, grow up to become emotionally resilient, confident and competent adults who can realise their full potential. Regular attendance and punctuality are essential in the
3 Education law defines parents as: all natural parents, whether they are married or not; any person who has parental responsibility for a child or young person; and any person who has care of a child or young person i.e., lives with and looks after the child. In this policy the term 'parent' includes parents and carers.
4 A child becomes of 'compulsory school age' on the 1st January, 1st April or 1st September following their 5th birthday and ceases to be of compulsory school age on the last Friday in June of Year 11.
workplace and children who are used to attending school on time, and on every occasion unless they are too unwell to attend, will be better prepared for the attendance expectations in the workplace.
In April 2017 the Supreme Court clarified the definition of regular attendance to be attendance "in accordance with the rules prescribed by the school", therefore if an absence is not authorised by the school, the pupil's attendance is deemed to be irregular.
We will do all we can to encourage our pupils to attend. We will also make available the best provision we can for any pupil who needs additional support in school or who is prevented from attending school, due to a medical condition.
Please see DfE guidance documents 'Supporting pupils at school with medical conditions - December 2015', 'Ensuring a good education for children who cannot attend school because of health needsJanuary 2013' and Mental health issues affecting a pupil's attendance: guidance for schools - GOV.UK (www.gov.uk) – or ask the school for printed copies.
2.1. Effects of non-attendance
The table below indicates how what might seem like just a few days absence can result in children missing a significant number of lessons.
| 95% | 9.5 Days | 2 Weeks |
|---|---|---|
| 90% | 19 Days | 4 Weeks |
3. Safeguarding and Attendance
Our school will monitor trends and patterns of absence for all pupils as a part of our standard procedures. However, we are aware that sudden or gradual changes in a pupil's attendance may indicate additional or more extreme safeguarding issues. In line with government guidance Keeping Children Safe in Education we will investigate and report any suspected safeguarding cases on to the relevant authorities. As part of our safeguarding duty and our standard procedures, we will inform the Local Authority and/or the Police of the details of any pupil who is absent from school when the school cannot establish their whereabouts and is concerned for the pupil's welfare.
4. Legislation and Guidance
This policy meets the requirements of the government guidance 2024 Working together to improve school attendance (applies from 19 August 2024) (publishing.service.gov.uk) from the Department for Education (DfE), and refers to the DfE's 2015 statutory guidance on School Attendance Parental Responsibility Measures. These documents are drawn from legislation setting out the legal powers and duties that govern school attendance including:
[x] The Education Act 1996
[x] The Crime and Disorder Act 1998
[x] The Children Act 1989
[x] The Anti-social Behaviour Act 2003
[x] The Sentencing Act 2020
[x] The Education and Inspections Act 2006
[x] The School Attendance (Pupil Registration) (England) Regulations 2024
[x] The Education (Information about Individual Pupils) (England) (Amendment) Regulations 2024
[x] The Education (Parenting Contracts and Parenting Orders) (England) Regulations 2007
[x] The Education (Penalty Notices) (England) (Amendments) Regulations 2024
5. Using data to support improvements in attendance
Any absence affects the pattern of a child's schooling and regular absence may seriously affect their learning. The Department for Education (DfE) defines a pupil as a 'persistent absentee' when they miss 10% or more schooling across the school year, for whatever reason. For pupils who miss more than 50% of possible sessions they are defined as 'severely absent'.
The school will ensure that data, including the DfE's View Your Education Data platform, is routinely monitored to identify emerging attendance issues and will seek to prevent any pupil becoming persistently or severely absent. This will include: identifying the individual needs of pupils; working closely with families and wider support services to remove barriers to attendance; and where a formalised approach in conjunction with the local authority is required in line with the DfE guidance Working Together to Improve School Attendance.
6. Understanding Barriers to Attendance
In relation to understanding barriers to attendance, we will ensure all pupils and parents are treated with dignity and staff will model respectful relationships to build a positive understanding between home and school that can be the foundation of good attendance. In communicating with parents, we will highlight the link between attendance and attainment and wider wellbeing and enhance their understanding of what good attendance looks like. Where a pupil or family needs support with attendance we will identify who is best placed to work with them to address issues.
We will support pupils and parents by working together to address any in-school barriers to attendance. Where barriers are outside of the school's control, all partners should work together to support pupils and parents to access any support they may need voluntarily.
Where absence intensifies, so should the support provided, which will require the school to work in tandem with the local authority and other relevant partners.
Some pupils face greater barriers to attendance than their peers. These can include pupils who suffer from long term medical conditions or who have special educational needs and disabilities. In working with parents to improve attendance, we are mindful of the barriers these pupils face and will put additional support in place where necessary to help them access their full-time education.
Reduced timetables will only be used in exceptional circumstances, for a limited period and to support pupils to reintegrate back into education to access fulltime provision.
The school is committed to share information and work collaboratively with other schools in the area, local authorities and other partners when absence is at risk of becoming persistent or severe
7. Staff Training on Attendance
Improving attendance requires knowledge of guidance and regulations but also expertise in working with families to remove barriers to attendance and safeguard pupils. Just as those barriers are regularly evolving, so too is the training that school staff require to address them. The school therefore will facilitate training for all staff to understand
[x] the importance of good attendance and that absence is almost always a symptom of wider circumstances,
[x] the school/trust strategies and procedures for tracking, following up and improving attendance,
[x] the law and requirements of schools including on the keeping of registers
[x] the processes for working with other partners to provide more intensive support to pupils who need it.
For staff with specialist attendance responsibilities, they will receive training to include
[x] the necessary skills to interpret and analyse attendance data,
[x] and any additional training that would be beneficial to support pupils and pupil cohorts overcome commonly seen barriers to attendance.
Part B - What the Law Says and Our Procedures
1. Roles and Responsibilities
Those people responsible for attendance at Heath Lane Academy are:
o The student's Pastoral Leader
o The Attendance Officer
o The student's Head of Year
o The Vice Principal
o Wellbeing Manager
Where a pupil or family needs support with attendance, it is important that the best placed person in the school works with and supports the family. Wherever possible, we will keep this person consistent.
Where a pattern of absence is at risk of becoming, or becomes, problematic the school will draw on these relationships and listen to and understand the barriers to attendance the pupil or family is experiencing. In doing so, the school will take into consideration the sensitivity of some of the reasons for absence and understand the importance of school as a place of safety and support.
Where barriers are outside of the school's control, we endeavour to work together with all partners to support pupils and parents to access any support they may need. As a minimum, this will include meeting with pupils and parents at risk of persistent or severe absence to understand barriers to being in school, agreeing actions or interventions to address them and keeping those actions under regular review in discussion with pupils and families. This may include referrals to services and organisations that can provide support. Such as Early Help, School Inclusion, MASH and other local providers. Where absence intensifies, so will the support provided, which will require us to work in tandem with the local authority and other relevant partners, as follows:
[x] If the needs and barriers are individual to the pupil this may include provision of mentoring, careers advice, college placements, 1-2-1 tuition or out of hours learning, or where appropriate an education, health and care plan or alternative provision.
[x] Where the needs are wider and a whole family response is more appropriate, this is likely to include a voluntary early help assessment.
[x] Where engagement in support is proving challenging, the school will hold more formal conversations with the parents (and pupil where they are old enough to understand). This is likely to be led by the senior leader responsible for attendance and may include the school's point of contact in the local authority School Attendance Support Team. The aim of these meetings will be to clearly explain the consequences of persistent and severe absence to the pupil and family and the potential need for legal intervention in future, but will also be an opportunity to continue to listen to and understand the barriers to attendance and explain the help that is available to avoid those consequences.
[x] Where voluntary support has not been effective and/or has not been engaged with the school will work with the local authority to:
o Put formal support in place in the form of a parenting contract or an education supervision order.
o Issue a fixed penalty notice where support would not be appropriate or has not been successful or engaged with and it is likely to change the parents' behaviour. Fixed
o Intensify support through statutory children's social care involvement where there are safeguarding concerns, especially where absence becomes severe (below 50% attendance).
penalty notice will be used for unauthorised leave of absence (such as term time holidays) and where absences are unauthorised below 90% attendance or 10 or more unauthorised sessions (equivalent to 5 days)
o Prosecute parents where all other routes have failed or are not deemed appropriate. This could include making the case for a community or parenting order where the parent is convicted to secure engagement with support.
In all cases, the school will monitor the impact of any intervention(s) and make adjustments where necessary in discussion with the pupil, parents and any other partners involved as part of any whole family plan or team around the family. Where interventions are failing, the school will work together with all parties to identify the reasons why and either adjust or change the approach.
Pupils with medical conditions or special educational needs and disabilities
The School recognises that some pupils face greater barriers to attendance than their peers. These can include pupils who suffer from long term medical conditions or who have special educational needs and disabilities. Their right to an education is the same as any other pupil and therefore the attendance ambition for these pupils is the same as they are for any other pupil.
That said, in working with their parents to improve attendance, we will be mindful of the barriers these pupils face and put additional support in place where necessary to help them access their fulltime education. This will include:
a) Having sensitive conversations and developing good support for pupils with physical or mental health conditions. For example, making reasonable adjustments where a pupil has a disability or putting in place an individual healthcare plan where needed.
c) Working with parents to develop specific support approaches for attendance for pupils with special educational needs and disabilities, including where applicable ensuring the provision outlined in the pupil's education, health and care plan is accessed. In addition, the school will work with families to help support routines where school transport is regularly being missed and work with other partners to encourage the scheduling of additional support interventions or medical appointments outside of the main school day. Please see the School's SEN policy for further details on SEN support.
b) Considering whether additional support from external partners (including the local authority or health services) would be appropriate, making referrals in a timely manner and working together with those services to deliver any subsequent support.
d) Establishing strategies for removing the in-school barriers pupils may face, including considering support or reasonable adjustments for uniform, transport, routines, access to support in school and lunchtime arrangements.
f) Ensuring data is regularly monitored for these groups including at board and governing body meetings and in Targeting Support Meetings with the local authority so that additional support from other partners is accessed where necessary.
e) Ensuring joined up pastoral care is in place where needed and consider whether a time-limited phased return to school would be appropriate, for example for those affected by anxiety about school attendance, recognising that such arrangements can be for a limited time only.
Pupils with long term illnesses or other health needs may need additional support to continue their education, such as alternative provision provided by the local authority. Local authorities are responsible for arranging suitable education for children of compulsory school age who, because of health reasons, would otherwise not receive suitable education.
In all cases, the school will be sensitive and avoid stigmatising pupils and parents; and talk to pupils and parents and understand how they feel and what they think would help improve their attendance to develop individual approaches that meet an individual pupil's specific needs.
The Local Governing Body (LGB)
The LGB recognises the importance of school attendance and will:
[x] promote it across the school's ethos and policies.
[x] Regularly review attendance data, discuss, and challenge trends, and help school leaders focus improvement efforts on the individual pupils or cohorts who need it most.
[x] Ensure school leaders fulfil expectations and statutory duties.
[x] Ensure school staff receive adequate training on attendance.
The LGB will also ensure:
[x] that the attendance policy and its contents are generally made known within the school and to parents of registered pupils at the school, and that steps are taken at least once in every school year to bring the attendance policy to the attention of all those parents and pupils and all persons who work at the school.
The Principal
The Principal is responsible for ensuring this policy is implemented consistently across the school, and for monitoring school-level absence data and reporting it to governors.
The Principal also supports other staff in monitoring the attendance of individual pupils and requests fixed-penalty notices, where necessary.
The Attendance Champion
Attendance Champion/Senior Lead: Mr Umar Wazir – Vice Principal
Strategic leader of attendance which also includes interrogating attendance by group, such as pupils entitled to Free School Meals, Pupil Premium pupils, pupils with SEND, Children in Care, attendance by Ethnicity and Language (English/EAL).
Attendance Officer
The Attendance Officer: Mrs Holly Huckle
[x] Monitors attendance data at the school and individual pupil level.
[x] Reports concerns about attendance to the headteacher and Designated Safeguarding Lead (DSL) as appropriate.
[x] Arranges calls and meetings with parents to discuss attendance issues.
[x] Makes home visits to pupils homes and checks on students' welfare.
[x] Co-ordinates requests for Term-time Leave of Absence (this includes liaison with the DSL and Safeguarding Team) and advises the headteacher as requested.
Form Tutors:
Form tutors are responsible for recording daily attendance accurately and submitting it to the school office. They manage their form group's attendance, foster a sense of belonging, and participate in school initiatives to promote attendance. Additionally, form tutors' mentor their students and collaborate with the Head of Year to remove barriers and engage students effectively.
Class Teachers
Class tutors diligently record daily attendance with the correct codes and submit this information to the school office. By delivering engaging and interactive lessons, class teachers foster a sense of belonging among students.
2. Contents of the Admissions Register
The admission register (sometimes referred to as the school roll) must contain specific personal details of every pupil in the school along with the date of admission or re-admission to the school, information regarding parents and carers, and details of the school last attended. The school will enter pupils on the admission register at the beginning of the first day on which the school has agreed with, or been notified by the parent, that the pupil will attend.
A pupil's name can only lawfully be deleted from the admission register if a reason set out in regulation 9 of the School Attendance (Pupil Registration) (England) Regulations 2024.
It is vital that the admission register is kept up to date, it is a legal document. Therefore, we encourage parents to inform the school of any changes whenever they occur and ensure the admission register is amended as soon as possible.
3. Contents of Attendance Register
The law makes it clear that schools must take the attendance register at the start of the morning session of each school day and once during the afternoon session. On each occasion the register is taken, the appropriate attendance and absence code must be entered for every pupil. Please refer to Working Together To Improve School Attendance for the code descriptors and also Appendix 2 of this document. The school must record whether each pupil is:
* Attending, or
* Absent
Effective and timely use and sharing of register data is critical to safeguard children, improve attendance and is supported using our electronic Management Information System to record attendance information. Our registers will be preserved for 6 years from the date after the last entry was made.
4. Attending the School (and Lateness)
Pupils are marked present (/ \) if they are in school when the register is taken. If a pupil leaves the school premises after registration they are still counted as present for statistical purposes.
It is the duty of parents to ensure that children attend school on time. This encourages habits of good timekeeping and lessens any possible classroom disruption.
Our pupils must arrive by 8:40am on each school day. Registers close at 9.10am.
Our afternoon register is taken at 1:30 pm and will be kept open until 2:00pm
A pupil who arrives late but before the register has closed will be marked as late (L) – which counts as present.
If a pupil arrives after the register has closed, they will be marked with the unauthorised absence code "Late after registers close" (U) which is an unauthorised absence mark.
However, if the pupil is late arriving due to a valid reason such as an unavoidable medical appointment, the absence will be authorised and coded accordingly. See DfE guidance Working together to improve school attendance (applies from 19 August 2024) (publishing.service.gov.uk)
5. Attending a place other than the school
Pupils are marked as attending a place other than the school if they are present for the assigned session. These codes include:
[x] Code K Attending education provision arranged by the local authority
[x] Code P: Participating in a sporting activity
[x] Code V: Attending an educational visit or trip
[x] Code W: Attending work experience
[x] Code D: Dual registered at another setting
[x] Code B: Attending any other approved education activity
Our school retains responsibilities for the safeguarding and welfare of pupils attending an approved educational activity. Our school must be satisfied that appropriate measures have been taken to safeguard the pupil. Our school should ensure that we have in place arrangements whereby providers notify the school of any absence. Our school must record the pupil's absence using the relevant absence code.
If a pupil is attending an alternative education provider such as another school or Pupil Referral Unit for part or all of their education, our school will make arrangements for the pupil to be dual registered at the other setting and mark our registers accordingly.
If a pupil is attending an alternative education provider arranged by the school, which is not a school or Pupil Referral Unit, for part or all their education, we will mark the sessions which the pupil attends the alternative setting as code B (any other approved educational activity).
The school expects the alternative provision (AP) to notify us of any absences by individual pupils, to ensure we become aware of any attendance concerns as soon as possible and take follow up action as necessary. Attendance updates will be provided on a weekly basis, or more frequently if agreed with the alternative setting. Any attendance concerns will be followed up by us, in conjunction with the Alternative Provision (AP).
6. Absent – Leave of absence
A leave of absence means that the school has given approval in advance for a pupil of compulsory school age to be away from the school. These codes are classified for statistical purposes as 'authorised absence' which means the pupil's absence is with permission granted by the school. These codes include:
[x] Code C1: Leave of absence for the purpose of participating in a regulated performance or undertaking regulated employment abroad
[x] Code J1: Leave of absence for the purpose of attending an interview for employment or for admission to another educational institution
[x] Code M: Leave of absence for the purpose of attending a medical or dental appointment
[x] Code S: Leave of absence for the purpose of studying for a public examination
[x] Code C2: Leave of absence for a compulsory school age pupil subject to a part-time timetable
[x] Code X: Non-compulsory school age pupil not required to attend school
[x] Code C: Leave of absence for exceptional circumstance
6.1. Leave of Absence Requests – 'Exceptional Circumstances'
The law does not grant parents the automatic right to take their child out of school during term time.
Only exceptional circumstances warrant an authorised leave of absence. Generally, a need or desire for a holiday or other absence for the purpose of leisure and recreation would not constitute an exceptional circumstance. The school will consider each application individually, considering the specific facts and circumstances and relevant background context behind the request. The request must be made by the parent with whom the child normally lives, and permission must be sought in advance. The school will not grant leave of absence unless there are exceptional circumstances. The school must be satisfied that there are exceptional circumstances, based on the individual facts and circumstances of the case; following consultation with other staff as required, including the Designated Safeguarding Lead. Where a leave of absence is granted, the school will determine the number of days the pupil can be away from school. A leave of absence is granted entirely at the school's discretion.
Circumstances which could be authorised include significant family emergencies or funerals. However, parents will also be aware that, wherever possible, it can be better for children to continue to attend school normally during difficult family times.
To request a leave of absence please follow the procedures below:
All applications for holidays in these exceptional circumstances must be made in advance, this should be made at least four weeks before the required date and in writing or via email addressed to the Principal. In making a decision the academy will consider the circumstances of each application individually, including any previous pattern of absence in term time. It is important that you understand the circumstances when leave in term time will not be agreed by us:
* In the months of August and September
*
* When a student is just starting the at the Academy. This is very important as your child needs to settle into their new environment as quickly as possible
* When a student's attendance record already includes any level of unauthorised absence
Immediately before and during assessment periods – GCSE or any other public examinations
* Where a student's attendance rate is already below 97% or will fall to or below that level as a result of taking holiday leave
* Holidays abroad for visiting sick relatives, except where that person is seriously ill (medical evidence may be requested to help with the decision)
* Holidays taken in term time due to lower cost/ parental work commitments
* Pilgrimages
The request should be submitted as soon as it is anticipated; and wherever possible, at least four weeks before the absence. Please be aware that you may be required to provide us with additional evidence to support your request. If we have any concerns about possible safeguarding risks such as risk of FGM or Forced Marriage, we will follow the necessary protocols.
All term time absence for children in care should be discussed at the child's Personal Education Planning (PEP) meeting in advance where possible and agreed with the Social Care and Virtual School. This permission should be gained before school is approached for approval. The school will contact the Virtual School in relation to any requests for term time absence for a child in care.
6.2 Medical/Dental Appointments
Parents should try to make appointments outside school hours wherever possible. Where appointments during school time are unavoidable, the pupil should only be out of school for the minimum amount of time necessary for the appointment. It is not acceptable for a child to miss a whole day's schooling for an appointment, unless necessary, in which case the school will need an explanation as to why this is.
No pupil will be allowed to leave the school site to attend a medical appointment during the school day without parental confirmation.
Advance notice is required for medical or dental appointments, unless it's an emergency appointment, and must be supported by providing the school with sight of, or a copy of, the appointment card or letter – only then will the absence be authorised
6.3 Part-time timetables - Leave of absence for a compulsory school age pupil subject to a parttime timetable
Pupils are entitled to a full-time education, suitable to their age, ability and aptitude, and any special educational needs or disabilities that they may have.
If, for any reason, our school is unable to provide a pupil with a full-time education due to the pupil's needs, we will work with the pupil, parent and other agencies where appropriate, to come to a mutually convenient arrangement. Any reduced timetables will be for the shortest amount of time possible, whilst arrangements are made to support the pupil's return to full-time provision as soon as possible.
7. Absent – other authorised reasons
Absent due to other authorised reasons means that the school has given approval in advance for a pupil of compulsory school age to be away from the school or has accepted an explanation offered afterwards as justification for absence. These codes are classified for statistical purposes as 'authorised absence'. These codes include:
[x] Code T: Parent travelling for occupational purposes
[x] Code I: Illness (not medical or dental appointment)
[x] Code R: Religious observance
[x] Code E: Suspended or permanently excluded and no alternative provision made
7.1. Mobile pupil - Parent travelling for occupational purposes
The school will authorise the absence of a mobile pupil of no fixed abode who is unable to attend school because they are travelling with their parent who is engaged in a trade or business of such a nature as to require them to travel from place to place. This is subject to certain limits, depending on the child's age and number of sessions absent. The school will discuss cases individually with Traveller parents as necessary. Parents should let the school know of their plans as far in advance as possible. Authorised Traveller absence will be recorded appropriately in the register.
To help ensure continuity of education for Traveller children, wherever possible, the child should attend school elsewhere when their family is travelling for occupational purposes. In which case the child will be dual registered at that school and this school, which is their 'main' school.
Children from Gypsy, Roma and Traveller communities whose families do not travel for occupational purposes are expected to register at school and attend as normal. They are subject to the same rules as other children in terms of the requirement to attend school regularly.
7.2. Religious Observance
Our school acknowledges the multi-faith nature of the school community and recognises that on some occasions, religious festivals may fall outside of school holidays or weekends.
In accordance with the law, the school will authorise one day's absence for a day exclusively set apart for religious observance by the religious body to which the parent belongs. Should any additional days be necessary, they should be requested in advance using the leave of absence in term time process. Additional days taken without exceptional circumstances will be recorded in the register as unauthorised absence. If necessary, the school will seek advice from the parents' religious body, to confirm whether the day is set apart.
7.3. Illness
In most cases, absences for illness which are reported by following the school's absence reporting procedures will be authorised. That is unless the school has a genuine concern about the authenticity of the illness.
The school follows Department for Education guidance 'Working together to improve school attendance (applies from 19 August 2024) (publishing.service.gov.uk)' 2024 5 which states that if the authenticity of the illness is in doubt, the school may ask the parent to provide medical evidence, such as a prescription, appointment card, or other appropriate form of evidence.
Where a parent cannot provide any written evidence, we will endeavour to have a conversation with the parent and pupil, if appropriate, which may itself serve as the necessary evidence to record the absence.
We will not ask for medical evidence unnecessarily. In some instances, the school may ask the parent to obtain a letter from a GP, or the school may seek parental permission to contact the pupil's GP directly to help support the needs of the individual pupil.
If the school is not satisfied about the authenticity of the illness, the absence will be recorded as unauthorised.
Where a pupil has a high level and/or frequency of absence, the school may require medical evidence of some description in order to authorise any future medical absences. If this is the case, the school will make the parent/s aware of this expectation in advance.
The reporting of absence due to illness remains the responsibility of the parent. Absences due to illness which have not been reported to the school by the parent on the first day of absence may not be authorised.
Parents must contact the school when their child is absent to explain that absence. This can be done via the Weduc app before 8.15am.
If a child is absent for more than one day, the parent should contact the school each day to provide an update on the child's condition, unless otherwise agreed by the school.
Mental Health and Wellbeing
Parents who have concerns about their child's mental wellbeing can contact our school's Designated Safeguarding Lead or the Wellbeing Manager for further information on the support available.
Parents should also contact their GP or the NHS Helpline by phoning telephone number 111 for advice if they are concerned. In case of emergency parents should dial 999.
Pupils taken ill during the school day
If a pupil needs to be sent home due to illness, this should be by agreement with an appropriately authorised member of school staff. In such circumstances, no pupil will be allowed to leave the school site without parental confirmation.
7.4. Suspensions (Exclusions)
In this policy, the word 'suspension' is used to refer to what legislation calls an exclusion for a fixed period. Suspensions and permanent exclusions are both types of exclusion, and where this policy uses the word 'exclusion' this includes both suspensions (fixed-period exclusions) and permanent exclusions.
If the school decides to send a pupil home due to their behaviour, this will be recorded as an exclusion. The school will follow the current DfE's statutory guidance on suspensions and permanent exclusions. The full behaviour policy for our school can be found on our school website.
5 Please ask the school for a printed copy of Working Together to Improve School Attendance if required
Any exclusion must be agreed by the Headteacher.
The school will notify the parent of the exclusion in writing. If the pupil is a Child in Care, the school will notify the pupil's carer, social worker and the Virtual School. In other instances, where a pupil is open to Children's Social Care for any reason, the school will also inform their allocated social worker.
No pupil will be allowed to leave the school site without parental confirmation.
8. Absent – unable to attend school because of unavoidable cause
In accordance with DfE school attendance guidance, our school will record pupils as 'Unable to attend school because of unavoidable cause' in the following circumstances (such circumstances are not recorded as absences and are not counted as possible attendances):
[x] Code Q: Unable to attend because of a lack of access arrangements
[x] Code Y2: Unable to attend due to widespread disruption to travel
[x] Code Y1: Unable to attend due to transport normally provided not being available
[x] Code Y3: Unable to attend due to part of the school premises being closed
[x] Code Y5: Unable to attend as pupil is in criminal justice detention
[x] Code Y4: Unable to attend due to the whole school site being unexpectedly closed
[x] Code Y6: Unable to attend in accordance with public health guidance or law
[x] Code Y7: Unable to attend because of any other unavoidable cause
9. Absent - unauthorised absence
Unauthorised absence is where a school is not satisfied with the reasons given for the absence or no reason for absence was provided.
Absence will be unauthorised if a pupil is absent from school without the permission of the school. Whilst parents can provide explanations for absences, it is the school's decision whether to authorise the absence or not.
Unauthorised absence includes:
[x] Absences which have never been properly explained
[x] Shopping
[x] Pupils who arrive at school too late to get a mark
[x] Birthdays
[x] Waiting at home for a washing machine to be mended, or a parcel to be delivered
[x] Long weekends and holidays in term time (unless very exceptional circumstances are agreed in writing, in advance by the school)
[x] Day trips
[x] In the case of term time leave - if a pupil is kept away from school longer than was agreed, the additional absence is unauthorised
Unauthorised absences may result in Legal Sanctions, usually Penalty Notices or Prosecutions. The unauthorised absence codes include:
[x] Code N – Reason for absence not yet established
[x] Code G – Holiday not granted by the school
[x] Code O – Absent in other or unknown circumstances
[x] Code U – Arrived in school after registration closed
10. Administrative codes
Where necessary and applicable, our school will use the defined administrative codes. These codes are not collected for statistical purposes and are:
[x] Code Z: Prospective pupil not on admissions register
[x] Code #: Planned whole school closure
11. First Day of Absence Response
Parents must contact the school when their child is absent to explain that absence. This can be done via the Weduc app before 8.15am giving the following details:
* full name of pupil;
* Full name of person reporting absence and relation to child;
* pupil's Year group or Form;
* Reason for absence.
Where a reason for the absence is not received by 8.15am on the day of the absence, the school will contact the parents on the same day to understand the reason for the absence.
Where further unexplained absences occur, the school will make further contact with the parent (including foster parents and/ or social workers where appropriate). This should be with the aim of understanding why the absence has occurred, and when the pupil will return.
The correct absence code will be inputted into the Attendance Register as soon as the reason is ascertained.
Parents will be asked to supply details of at least three people who can be contacted in an emergency, and these details will be reviewed on a termly/ yearly basis through parents' evenings and newsletter reminders.
If the school is unable to contact any of the emergency numbers provided, and is concerned for the welfare of the pupil, we may undertake our own 'safe and well' checks and/or request a Welfare Check from the police.
12. Rewarding Good and Improved Attendance
At Heath Lane Academy we have a very clear rewards system. Pupils can be awarded for attendance and these include:
* graduated (Bronze, Silver and Gold) 100% attendance awards
* half termly 100% attendance raffle awards
* termly attendance marginal gains progress awards
* graduated achievement points (Bronze, Silver and Gold) awards
* attendance champion cup inter- from competition awards
* End of term attendance award trip and or cinema/ movie award in the theatre.
13. Support for Poor School Attendance (other than unauthorised term time leave)
Sometimes pupils can be reluctant to attend school. We encourage parents and pupils to be open and honest with us about the reason for the pupil's absence. If a child is reluctant to attend, it is never better to cover up their absence or for a parent to give in to pressure to let the child stay at home. This can give the impression to the child that attendance does not matter and can make things worse. As a school, we need to understand the reasons why a pupil is reluctant to attend to be able to support pupils and parents in the best way.
When we have concerns about the attendance of a pupil, we will do our best to make the parent/s aware of the concerns about their child's attendance and give them the opportunity to address this.
However, if parents do not make use of the support offered and improve their child's attendance to an acceptable level, this may result in legal sanctions. Where there are no genuine reasons for the absences, parents may be asked to meet with the Attendance Officer and Head of Year or Pastoral Leader to discuss the matter. In some cases, this may result in a formal action plan being produced in the form of an Attendance Contract.
If our school refers a case of poor school attendance to the Local Authority for legal sanctions, we will show that we have warned the parent/s that they are at risk of receiving a Penalty Notice or other legal sanction. This will at least be evidenced via the sending of a Notice to Improve – attendance warning letter.
We will not usually request legal sanctions from the Local Authority in cases where poor attendance is symptomatic of complex family circumstances. In such circumstances our school will take a holistic approach to the issue and involve other agencies as necessary. The exception to this will be where parents fail to accept or engage with support offered by the school and/or other agencies or fail to implement the suggested changes. Again, when referring for legal sanctions, we will show that we have warned the parent/s that they are at risk of receiving a Penalty Notice or other legal sanction.
If our school has safeguarding concerns about a pupil who is absent, we will share information with other agencies as we deem necessary.
14. Penalty Notices and Prosecutions
Parents have a legal responsibility to ensure that their child attends school on a regular basis. It is a criminal offence under Section 444 of the Education Act 1996 to fail to secure regular attendance of a registered pupil at the school. This applies to both resident and non-resident parents who may both be subject to legal sanctions if their child fails to attend school regularly. It also applies to others who may not be the parent but may have day to day care of the child.
Unauthorised absence from school can result in a number of different outcomes for parents and children. Each case is considered individually.
Under section 444 of the Education Act 1996, if a child of compulsory school age, who is a registered pupil at a school, fails to attend regularly at the school his/her parent(s) are guilty of an offence. Parents with more than one school aged child need to be aware that each child's irregular attendance is dealt with as a separate matter.
The school will refer cases of unauthorised absence that meet the threshold for a Penalty Notice to the Local Authority for legal action unless there are reasonable grounds for not doing so. The outcome of a referral to the Local Authority may be a Penalty Notice or Prosecution.
Penalty Notices are intended as a sanction for low level offences and a tool to support improved school attendance for example in circumstances associated with an unauthorised holiday taken during term time. They are an alternative to prosecution and may not be issued if prosecution is a more appropriate response to a pupil's irregular attendance.
A pupil's unauthorised absence from school could result in one of the following:
1. A Penalty Notice. The penalty is £80 per parent, per child payable within 21 days, rising to £160 per parent, per child if paid between 22 and 28 days. (Failure to pay will result in prosecution.) If a second Penalty Notice is issued within a rolling 3-year period the penalty is £160 per parent, per child if paid within 28 days. There will be no option to pay a lower amount.
2. Prosecution. Prosecution could lead to fines up to £2500 and /or up to 3 months imprisonment. (See DfE's statutory guidance on School attendance parental responsibility measures for more information.
Penalty Notices and prosecution proceedings are issued to each parent with responsibility for the child and are issued for each child with irregular attendance. For example, in the case of Penalty Notices, if two siblings had irregular school attendance, and there were two parents with responsibility for the children, four Penalty Notices would be issued. Penalty Notices cannot be paid in instalments.
In addition to Penalty Notices, there is a range of other legal interventions open to schools
We will work together with local authority and make use of the full range of legal interventions rather than relying solely on fixed penalty notices or prosecution, and will work closely with the local authority to decide whether to use them in an individual case after considering the individual circumstances of a family. These are: Parenting contracts, Education supervision orders, Attendance prosecution, Parenting orders, Fixed penalty notices
15. Children Missing Education (CME)
Our school will add and delete pupils from roll in line with the law. A pupil's name can only lawfully be deleted from the admission register if a reason set out in regulation 9 of the School Attendance (Pupil Registration) (England) Regulations 2024. The school will make CME and Pupil Tracking referrals as appropriate. The school will seek advice from the local authority representative responsible for children missing education if unsure about any individual cases:
16. Following up Unexplained Absences
Where no contact has been made with the school, the school will contact parents by text, email, telephone or letter to try and establish the reason for a child's absence. When we establish the reason for the absence, we will mark it as authorised or unauthorised depending on the reason for the absence. If we are unable to establish the reason for absence within 2 school days, we will make the absence as unauthorised, using the O code. If we are concerned about a pupil's absence and are unable to contact the parent/s, we may contact the pupil's emergency contacts and/or other professionals or contacts of the family who we reasonably expect may be able to advise us of the pupil's whereabouts.
17. Reporting to Parents
As part of our school policy, we inform students weekly about their attendance during Form time, while parents and carers receive termly reports. These reports include details on their child's attendance record, emphasising the importance of regular school attendance.
Where a child's attendance drops below 90%, for whatever reason, our school will write to the parents to highlight this.
18. Recording Information on Attendance and Reasons for Absence
Reasons for absence are recorded using our school management system, Arbor. When a student is absent, details such as who called, what was said, and the specific reason for the absence are documented. This helps us maintain accurate attendance records and ensures effective communication with parents and carers.
19. Policy Monitoring Arrangements
This policy will be reviewed annually by the Principal, or more frequently if there are changes to legislation and guidance. At every review, the policy will be shared with the governing body.
20. Links with other policies
This policy is linked to our Anti-Bullying Policy, Behaviour Policy, Safeguarding and Child Protection Policy and Supporting Pupils with Medical Conditions Policy.
Guidance Documents (include but are not limited to):
Working Together to Improve School Attendance (DfE 2024)
Working together to improve school attendance (applies from 19 August 2024) (publishing.service.gov.uk)
Supporting pupils at school with medical conditions (DfE December 2015)
https://www.gov.uk/government/publications/supporting-pupils-at-school-with-medical-conditions-3
Education for children with health needs who cannot attend school (DfE January 2013)
https://www.gov.uk/government/publications/education-for-children-with-health-needs-whocannot-attend-school
Mental Health issues affecting a pupil's attendance (DfE February 2023)
Mental health issues affecting a pupil's attendance: guidance for schools - GOV.UK (www.gov.uk)
Arranging education for children with who cannot attend school because of health needs (DfE December 2023)
Arranging education for children who cannot attend school because of health needs (publishing.service.gov.uk)
Keeping children safe in education (DfE September 2024)
https://assets.publishing.service.gov.uk/media/6650a1967b792ffff71a83e8/Keeping_children_safe_ in_education_2024.pdf
School attendance parental responsibility measures (DfE January 2015)
https://www.gov.uk/government/publications/parental-responsibility-measures-for-behaviour-andattendance
School census guidance and regulation https://www.gov.uk/education/school-censuses-and-slasc
https://www.gov.uk/government/publications/school-exclusion
Home to school travel and transport guidance (DfE July 2014)
https://www.gov.uk/government/publications/home-to-school-travel-and-transport-guidance
Appendix A – 5 Foundations of Effective Practice
[x] Foundation 1: The school has a fully embedded ethos in which excellent school attendance is expected, developed and nurtured. The escalated approach to supporting attendance is built on foundations of belonging and connectedness.
[x] Foundation 2: The approach to improving attendance is built on clear policies, systems and processes. This ensures continuous and sustainable improvement drives attendance practice. The attendance policy is understood by all stakeholders and allows the school to set, and maintain, high expectations to improve the culture of attendance.
[x] Foundation 3: The school prioritises developing a team of attendance experts, with a shared vision and core purpose. The Attendance Leader delivers bespoke training to support all staff to fully understand their role in improving attendance. External partnerships support attendance improvements through a multi-disciplinary approach for identified children and families.
[x] Foundation 4: Data information and analysis direct resources proactively towards key demographic groups and identified individuals. The expert use of data analysis informs decision making at all levels. The attendance process ensures the Attendance Leader understands the reason for attendance concerns, these barriers can then be successfully supported and removed.
[x] Foundation 5: Connecting and belonging drives the school approach to supporting attendance. All staff are supported to understand 'deeper roots' regarding poor attendance concerns. The school has developed, and embedded, an effective rewards system to further drive attendance improvements and celebrate success
Appendix B – Department for Education (DfE) Attendance & Absence Codes
Attending
| / \ | | Present at the school / = morning session \ = afet rnoon session |
|---|---|---|
| L | | Late arrival before the register is closed |
| K | | Atet nding educatoi n provision arranged by the local authority |
| V | | Atet nding an educatoi nal visit or trip |
| P | | Partci ipatni g in a sportni g actvi ity |
| W | | Atet nding work experience |
| B | | Atet nding any other approved educatoi nal actvi ity |
| D | | Dual registered at another school |
| | Absent – Leave of absence | |
| C1 | | Leave of absence for the purpose of partci ipatni g in a regulated performance or undertaking regulated employment abroad. |
| M | | Leave of absence for the purpose of atet nding a medical or dental appointment |
| J1 | | Leave of absence for the purpose of atet nding an interview for employment or for admission to another educatoi nal instti utoi n |
| S | | Leave of absence for the purpose of studying for a public examinatoi n |
| X | | Non-compulsory school age pupil not required to atet nd school |
| C2 | | Leave of absence for a compulsory school age pupil subject to a part-tmi e tmi etable |
| C | | Leave of absence for exceptoi nal circumstance |
| | Absent – other authorised reasons | |
| T | | Parent travelling for occupatoi nal purposes |
| R | | Religious observance |
| I | | Illness (not medical or dental appointment) |
| E | | Suspended or permanently excluded and no alternatvi e provision made |
| | Absent – unable to atet nd school because of unavoidable causes | |
| Q | | Unable to atet nd the school because of a lack of access arrangements |
| Y1 | | Unable to atet nd due to transport normally provided not being available |
| Y2 | | Unable to atet nd due to widespread disruptoi n to travel |
| Y3 | | Unable to atet nd due to part of the school premises being closed |
| Y4 | | Unable to atet nd due to the whole school site being unexpectedly closed |
| Y5 | | Unable to atet nd as pupil is in criminal justci e detentoi n |
| Y6 | | Unable to atet nd in accordance with public health guidance or law |
| Y7 | | Unable to atet nd because of any other unavoidable cause |
| | Absent – unauthorised absence | |
| G | | Holiday not granted by the school |
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| | Administratvi e Codes |
| Z | |
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General Terms and Conditions of Purchase and Service of Verallia Deutschland AG
Art. 1 Scope of Application
(1) The Buyer's General Terms and Conditions of Purchase and Service ("General Terms and Conditions of Purchase and Service") apply exclusively to all sales, deliveries and other services of an entrepreneur as defined in Sec. 14 of the BGB [German Civil Code],a legal person under public laws or a special fund under public laws ("Seller") to Verallia Deutschland AG
(" Buyer",jointly referred to as " the Parties").
(2) Regardless of whether the General Terms and Conditions of Purchase and Service have explicitly been agreed upon again, they shall also apply to all future sales, deliveries and services made by the Seller to the Buyer. The version prevailing at the time of contract conclusion shall apply. The Buyer will immediately inform the Seller about new versions of the General Terms and Conditions of Purchase and Service.
(3) The Buyer rejects any conditions of the Seller which object to or deviate from the General Terms and Conditions of Purchase and Service, unless the Buyer has explicitly agreed to them in writing. The General Terms and Conditions of Purchase and Service shall apply even if the Buyer accepts, without reservations, a delivery or other service of the Seller or renders, without reservations, a contractually owed service, in full awareness of the Seller's conditions which conflict with or deviate from the Terms and Conditions of Purchase and Service.
(4) Any individual agreements made with the Seller in individual cases (including side agreements, supplements and amendments) shall have priority, in any case, over these General Terms and Conditions of Purchase and Service. A written agreement or our written confirmation shall be decisive for the contents of such agreements, subject to the presentation of any counterevidence.
(5) Notes referring to the application of legal provisions are only included for the purpose of clarification. Even in the absence of such a clarification, the legal provisions shall apply, unless they are directly changed or explicitly excluded in these General Terms and Conditions of Purchase and Service.
Art. 2 Initiation of Business,Conclusion of an Agreement,Other Declarations
(1) Regardless of whether an agreement is concluded or not, the expenses which the Seller incurs during visits, for drafts, samples, specimen, quotations, offers, etc. in the course of the business initiation,will justify neither a duty to pay costs nor any other liability of the Buyer.
(2) Purchase orders of the Buyer will always be subject to change until they are made in writing or confirmed by the Buyer. The Seller shall inform the Buyer about any obvious errors (e.g. typos or miscalculations) and incompleteness of the purchase order, including the purchasing documents, prior to their acceptance, for the purpose of correction or completion; otherwise, the agreement shall be deemed to be not concluded.
(4) Oral promises made by representatives or other vicarious agents of the Buyer shall only be binding if and insofar as they are confirmed in writing by the Buyer.
(5) Legally relevant declarations and notifications which the Seller needs to make to the Buyer or any third party, shall be made in writing to be effective.
(6) Being a certified company,assessments of offers made by the Buyer may be based on energy-related services.
(7) The Seller undertakes to refrain from making the following business transactions:
Business transactions with persons,organisations or facilities that are listed on a sanction list under EU Regulations or US Export Regulations;
Business transactions with UN / EU embargoed countries, that are prohibited;
Transactions for which no required approval has been obtained.
The Seller will be liable for any and all expenses and damage which the Buyer incurs due to a violation.
Art. 3 Period of Delivery and Service, Contractual Penalty
(1) The period of delivery and service specified in the purchase order shall be binding. If the Seller is probably unable to comply with the period of delivery or service, they shall be obliged to immediately inform the Buyer thereof in writing.
2) In case of a default of delivery or service, the Buyer shall be entitled to request,in addition to the performance,a contractual penalty of 0.1 % of the order sum for each workday of the delay, however a maximum of 5 % of the order sum. The Buyer may request the penalty until the final payment. Any legal claims going beyond that shall remain reserved; Sec. 340 (2) of the BGB shall apply in relation to claims for damages.
Art. 4 Delivery,Documents,Transfer of Title
(1) Unless otherwise agreed, delivery shall be made "Delivery Duty Paid"("DDP", Incoterms 2010) to Verallia Deutschland AG, locations of Bad Wurzbach,Neuburg,Wirges and Essen.The place of destination is specified in the purchase order which is also the place of fulfilment of the delivery and any subsequent performance (obligation to provide).
(2) A delivery note shall be enclosed in each delivery which shall state the date (issue and shipment), contents of the delivery (item number and number) as well as the purchase order ID of the Buyer (date and number).A dispatch note shall be sent to the Buyer, separately from the delivery note, which shall contain the same information as the delivery note. The Buyer shall not be responsible for delays in handling or payment which result from violations of the above requirements.
(3) The Seller is requested to confirm, in writing, the binding purchase order of the Buyer within a period of 5 workdays or to perform it, in particular, by shipping the goods without reservations (acceptance). Any delayed acceptance shall be deemed to be a new offer and requires an acceptance by the Buyer.
3) The risk of an accidental destruction and the accidental impairment of the object will be transferred to the Buyer at the place of fulfilment. Insofar as an acceptance was agreed, it shall be decisive for the transfer of risk.Otherwise,the legal provisions on contracts for work and services shall also apply, mutatis mutandis,upon an acceptance.If the Buyer is in default of acceptance, that shall be equivalent to a hand-over or acceptance.
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(4) The title to the goods shall be transferred to the Buyer no later than upon payment. Any type of extended or expanded retention of title shall be excluded.
Art. 5 Prices and Payment Conditions
(1) The price specified in the purchase order shall be binding and shall apply to the delivery DDP, unless otherwise agreed. All prices are specified, including the value added tax, at the legal rate,unless it is separately disclosed.
(2) The price includes all services and ancillary services of the Seller (e.g. assembly, installation) as well as all ancillary costs (e.g. proper packing, transport costs,including any transport and liability insurance), unless otherwise agreed.The Seller shall take back any packaging material at the Buyer's request.
(3) The agreed price shall fall due for payment within 30 calendar days after the complete delivery and service (including an acceptance, if such was agreed) and the receipt of a proper invoice, unless otherwise agreed. The Buyer shall be entitled to deduct a discount of 2 % from the net amount of the invoice if they make the payment within 14 calendar days.
(4) The Buyer may only process invoices if such state - in accordance with the data in the purchase order - the purchase order number specified therein; the Seller shall be responsible for all consequences arising from the non-compliance with this obligation,unless they evidence that they are not responsible for such.
(5) The Buyer shall not owe any interest on maturity. The Seller's claim for payment of default interest shall remain unaffected. The legal provisions apply to the occurrence of the default of payment. But a warning by the Seller shall be necessary in each case.
(6) The Buyer is entitled to the rights of set-off and retention as well as the objection of an unfulfilled contract to the extent provided by law.The Buyer shall be entitled,in particular, to withhold due payments for as long as they are still entitled to claims against the Seller from incomplete or defective services.
(7) The Seller shall only be entitled to set-off or retention if and insofar as their counterclaims are undisputed or have been found to be legally effective.
Art. 6 Provisions,Tools,Moulds,etc.
(1) Insofar as the Buyer provides the Seller with parts (e.g. software, finished and semi-finished products), they reserve the title of ownership in such parts ("Objects subject to retention of title"). Any type of processing or transformation performed by the Seller shall be made for the Buyer. If the Objects subject to retention of title are processed with other objects not owned by the Buyer,the Buyer acquires the co-ownership in the new object in proportion of the value of the Object subject to retention of title (purchase price plus VAT) to the other processed objects at the time of processing.
(3) Insofar as the value of the security rights to which the Buyer is entitled under sec. (1) and/or sec. (2) exceeds the purchase price of all still unpaid Objects subject to retention of title by more than 10 %, the Buyer shall be obliged to release the security rights at the Seller's request. The Buyer reserves the right to select the securities to be released.
(4) The Buyer reserves the title in tools, moulds, samples and similar objects; these objects shall exclusively be used for the production of the goods ordered by the Buyer and shall be returned to the Buyer after the performance of the agreement. The Seller shall be obliged to insure the objects against damage caused by fire, water and theft, for their replacement value, at their own expense. The Seller assigns to the Buyer, as of now, all claims for compensation arising from the insurance; the Buyer hereby accepts the assignment. The Seller is obliged to perform any maintenance and inspection work which might be necessary in the Buyer's tools and to perform all maintenance and repair work in due time at their own expense. The Seller shall immediately inform the Buyer of all faults; if the Seller culpably fails to do that, the claims for damages shall remain unaffected.
Art. 7 Secrecy,Documents
(1) The Seller undertakes, unless otherwise agreed, to keep in strict confidence the "Confidential Information"disclosed by the Buyer, to only use it for the contractual purposes and to neither use it for other purposes than those specified in the agreement, nor to disclose it to third parties, without the prior written consent of the Buyer. The Seller shall, however, be entitled to make the Confidential Information accessible to members of their management and supervisory bodies, employees and advisors who are obliged to a professional duty of secrecy, insofar as they are entrusted with the contractual service and reasonable require the Confidential Information ("Authorised Persons"). The same applies to the Seller's affiliated companies as defined in Sec. 15 et seq. of the AktG [German Stock Corporation Act], and the members of their management and supervisory bodies and their employees as other Authorised Persons. The Seller shall ensure that upon forwarding of any Confidential Information to the Authorised Persons, they will observe the provisions set out in these General Terms and Conditions of Purchase and Service. The obligation of secrecy shall not apply, insofar as the Seller or their Authorised Persons are obliged to disclose the information based on mandatory laws or an enforceable decision of a court or authority. In this case, the Seller will immediately inform the Buyer thereof and take all necessary and legally permissible measures to avoid the disclosure or to ensure the most confidential treatment possible. The burden of proof for the existence of an exemption from the obligation of secrecy shall be borne by the Seller.
(2) If the Object subject to retention of title is inseparably mixed with other objects not owned by the Buyer, the Buyer acquires the co-ownership in the new object in proportion of the value of the Object subject to retention of title (purchase price plus VAT) to the other mixed objects at the time of mixing. If the mixing is made in a manner that the Seller's object is to be regarded as the main object, it shall be deemed to be agreed that the Seller transfers to the Buyer the proportionate co-ownership;the Seller will keep the sole ownership or co-ownership for the Buyer.
(2) Confidential Information means, unless otherwise agreed, all information, experience, samples and data of any type which relate to the Buyer or the Buyer's business activity, in particular the purchasers, products, product components, recipes, raw materials, production facilities, production procedures, incl. technical equipment and production locations,regardless of whether the knowledge exists in a physical form or not which the Buyer or an affiliated company of the Buyer according to Sec. 15 et seq. of the AktG have made accessible, directly or indirectly, to the Seller, their executive bodies, employees, advisors or other third parties acting for them; the term includes, in particular, also oral information.
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(3) The term Confidential Information also includes any and all documents,drawings,files and other types of fixation,such as,in particular, plans on Buyer's production facilities and mixture compositions in which the above mentioned knowledge is contained, that were provided to the Seller, regardless of whether these documents, etc., were prepared by the Buyer or third parties ("Documents").
(4) Confidential Information does not or no longer include information which a) is in the public domain at the time of receipt of such knowledge or which comes to the public domain thereafter without any violation of this agreement or of the confidentiality obligation of Authorised Persons or b) which, at the time of disclosure, has already been in the legal possession of the Seller or their Authorised Persons or which is, thereafter, legally acquired by the Seller or their Authorised Persons from a third party who is authorised to make the disclosure. The Seller shall bear the burden of proof that the information is no or no longer Confidential Information.
(5) The Buyer reserves the ownership rights, copyrights and any industrial property rights to any and all Confidential Information, in particular to any and all Documents.That shall also apply to Documents which are not explicitly identified as "Confidential".
(6) The Seller will, at the Buyer's request, return, destroy or delete any and all Documents at the Buyer's choice, insofar as they embody Confidential Information, unless the Seller is obliged to retain them based on legal provisions or regulations of any stock exchange or orders by a competent court or a competent authority or other facility. Confidential Information that is contained in files that are stored electronically on a routine basis, do not need to be deleted, insofar as that would only be possible with unreasonable efforts. The Seller shall inform the Buyer, in writing,after the latter's request,which of the Confidential Information have been returned, destroyed or deleted and which not, and the Seller shall state the relevant reasons.
Art. 8 Quality
(1) Impeccable quality must be ensured by the Seller by an indepth final inspection.
(2) For deliveries of machines, it must be confirmed in writing, in particular, that these machines comply with the EU Machinery Directive 2006/42/EC, that each machine comes with an EU Conformity Declaration and that the CE symbol is attached to each machine.
(3) The Seller guarantees that their products do not exceed the limits for radioactive contamination as applicable in the European Union.
Art. 9 Warranty for Defects, Seller's Liability for Damages
(1) In case of a material defect or a legal defect, the Buyer shall be entitled to the legal claims, to the full extent, unless otherwise specified below.The Buyer shall, in particular, be entitled, at their choice, to request the elimination of the defect or delivery of a new object from the Seller.The Buyer explicitly reserves the right for damages, including damages instead of service, for each degree of fault and to the full amount.
(2) In accordance with the legal provisions, the Seller will be liable in particular, that the goods have the agreed quality at the time when the risk is transferred to the Buyer. Agreements on the quality as defined in the act shall be deemed to be those product descriptions which have become the object of the relevant agreement - in particular based on a designation or reference in the Buyer's purchase order - or have been integrated in the agreement in the same manner as the General Terms and Conditions of Purchase and Service. It is unimportant in this respect whether the product description comes from the Buyer, the Seller or the manufacturer.
(3) Deviating from Sec. 442 (1) clause 2 of the BGB, the right for warranty of defects shall apply without restrictions even if the Buyer failed to be aware of the defect at the time of contract conclusion due to gross negligence.
(4) The legal provisions (Sections 377, 381 of the HBG [German Commercial Code]) apply to the Buyer's commercial duty to inspect and to notify defects, where the Buyer's complaint shall be deemed to be made immediately and in due time,if the Seller receives it within 10 workdays, unless otherwise agreed. The Buyer shall report hidden defects within 5 workdays after their discovery,unless otherwise agreed.
(5) Any costs incurred by the Seller for the purpose of inspection and repair (including any costs of deinstallation and installation) shall also be borne by them if it is revealed that no defect actually existed.The Buyer's liability for damages in case of an unjustified request for elimination of defect shall remain unaffected, insofar as the Buyer recognised or failed to recognise due to gross negligence that no defect existed.
(6) If the Seller fails to fulfil their obligation of subsequent fulfilment within a reasonable period granted by the Buyer, the Buyer shall be entitled to eliminate the defect or to obtain a replacement at the Seller's expense or to have that done by third parties. If the Seller's subsequent performance fails or if it is unreasonable for the Buyer (e.g. due to special urgency, risk of the operational safety or the threatening occurrence of an unreasonable damage), or if it is seriously and finally rejected by the Seller, no grace period needs to be granted; the Buyer will, however, inform the Seller immediately, in advance, if possible, about the fact that they will perform the above steps or have them performed by third parties.
(7) The period of limitation for claims for defects shall be 36 months, calculated from the delivery according to Art. 4 (1) or from the acceptance. Longer limitation periods specified by law shall remain unaffected thereby.
Art. 10 Recourse against the Supplier
The legal provisions apply to the recourse against the Supplier (Sections 478, 479 of the BGB). They shall also apply if the goods were further processed by the Buyer or one of their purchasers (e.g. by installation in another product) before they were sold to a consumer.
Art. 11 Product Liability,Insurance
(1) Insofar as the Seller is responsible for a product defect, if the cause is within their scope of control and organisation and if they are personally liable in the relation to external parties, they shall be obliged to release the Buyer of any claims for damages asserted by third parties,at first request.
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(2) In the context of their obligation to release, the Seller shall also reimburse any expenses in accordance with Sections 683, 670 of the BGB or according to Sections 830, 840, 426 of the BGB which arise from or in connection with a call-back action performed by the Buyer. The Buyer will inform the Seller - if possible and reasonable - about the contents and scope of the call-back action to be performed and will give them the opportunity to make comments. Other legal claims shall remain unaffected.
(3) The Seller shall be obliged to take out and maintain a product liability insurance with a flat-rate sum insured of at least EUR 15 million per case of personal injury/property damage. Further claims for damages of the Buyer shall remain unaffected.
Art. 12 Property Rights
(1) The Seller ensures that no third party rights will be violated in connection with their delivery within the Federal Republic of Germany.
(2) If third parties assert claims against the Buyer due to such rights, the Seller shall be obliged to release the Buyer of these claims at the latter's first written request; the Buyer shall not be entitled to make any agreements with third party, in particular to enter into a settlement - without the Seller's consent.
(3) The Seller's duty to release shall relate to all expenses which the Buyer necessarily incurs from or in connection with the claims asserted by a third party, unless the Seller evidences that they are not responsible for the violation of duty underlying the violation of the property rights.
(4) The period of limitation for these claims shall be 36 months, calculated from the delivery according to Art. 4 (1) or the acceptance.
Art. 13 Rights of Use
(1) Insofar as any system to be delivered contains a control which is protected by copyrights or industrial property rights, the Seller grants the Buyer the right to use it without restrictions as to time, place and contents, upon payment of the agreed fee. This includes, in particular, the right to read, copy, translate, edit, arrange or otherwise rework and to further develop the control or to have these steps performed by third parties and to copy the results of such works (hereinafter referred to as "Changed Control") and to use them or have them used for the purpose of their own company and of affiliated companies on any type of systems and in systems and networks connected therewith. For this purpose, the Seller provides the Buyer, in addition to the system, with any non-encoded, not copy-protected software modules that are supported by the system and unrestricted access to the relevant source codes. Insofar as the control was prepared specifically for the Buyer, the right of use is granted as an exclusive, freely sub-licensable right, otherwise as a nonexclusive right, the sublicensing of which requires an agreement with the contract partner.
(3) The Seller will provide the Buyer, in addition to the system, with a specified documentation for all interfaces which the control contains. The Buyer shall be free and entitled to use the information contained therein without any restrictions. In addition, the Seller grants a right of use to the program implementation ("Interface System"), the extent of which depends on the scope of the rights granted for the control. For that purpose, the Buyer shall, in particular, be entitled to provide the Interface System to third parties to obtain, for the purposes of the Buyer and its affiliated companies, offers for a change of the control in line with the above regulation, to have such work realised and to offer and have rendered other services in connection with the operation of the systems.
Art. 14 Choice of Law and Place of Jurisdiction
(1) The laws of the Federal Republic of Germany shall apply to the exclusion of the UN Convention on Contracts for the International Sale of Goods (CISG).
(2) Place of jurisdiction shall be at the registered office of the Buyer;the Buyer reserves,however,the right to sue the Seller also at their general place of jurisdiction. Any legal provisions which have priority, in particular regarding the exclusive responsibilities,shall remain unaffected.
Art. 15 Severability
(1) If any provision of these General Terms and Conditions of Purchase and Service is or becomes ineffective or null and void, the other provisions of the agreement shall remain in full force and effect.
(2) Insofar as the agreement or these General Terms and Conditions of Purchase and Service contain any loopholes, these shall be closed by those legally effective rules which the contract partners would have agreed upon according to the economic objectives of the agreement and the purpose of these General Terms and Conditions of Purchase and Service, if they had been aware of the loophole.
(2) If the Buyer as owner of a non-exclusive right of use initiates a change of the control and operates a higher number of systems with the changed control than the number specified in the agreement, the Seller will receive an additional fee, the amount of which is to be determined by the Buyer and to be verified by the Regional Court of Ravensburg,in case of a dispute.
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Additional Construction work for Gas Manifolds room in Main services
INDEX Name of Work: - building of main at AIIMS Bhopal
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Certified that this bid document contains pages 1 to 86 (One to Eighty Six excluding front and back cover page and of Part –A, Part –B and Part –C).
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Assistant Engineer (P),
Executive Engineer ABEU, AIIMS Bhopal
ABEU, AIIMS Bhopal
This N.I.T. is approved for Rs. 27,58,113/- (Rupees Twenty Seven Lakh Fifty Eight Thousand One Hundred Thirteen Only)
Superintending Engineer,
ABEU, AIIMS Bhopal
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PART - A AIIMS BHOPAL
NOTICE INVITING e-TENDER
PRESS NOTICE FOR NEWS PAPER
Executive Engineer(E) AIIMS Bhopal, on behalf of Director AIIMS invite online composite percentage rate bids from CPWD enlisted contractors of appropriate class in composite category and eligible firms / contractors of repute in Single bid system for the following work :
NIT No. 05/EE/ABEU /2017-18,
Name of work: -Additional Construction work for Gas Manifold room in Main services building of main at AIIMS Bhopal.
Composite Estimated Cost: Rs 27,58,113/-(Civil work – Rs. 19,10,948/- + Electrical work- Rs. 8,47,165/-)
Earnest Money:- Rs.55,163 /-
Period of completion: - 3 Months, Last time and date of submission of bid: Up to 03.00 PM on 22.12.2017.
The Bid forms and other details can be obtained from the website www.tenderwizard.com/CPWD www.aiimsbhopal.edu.in The Press Notice is also available on www.eprocure.gov.in
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INFORMATION AND INSTRUCTIONS FOR BIDDERS FOR e-TENDERING FORMING PART OF BID DOCUMENT AND TO BE POSTED ON WEBSITE (APPLICABLE FOR INVITING BIDS ON TWO BID SYSTEM)
The Executive Engineer (E) AIIMS Bhopal, on behalf of the Director AIIMS Bhopal invites online composite percentage rate bids from CPWD enlisted contractors of appropriate class in composite category and eligible firms / contractors of repute in Single bid system for the following work :
| S.No. | NIT No. | Name of work & Location | Estimated Cost put to bid | Earnest Money | Period of Completio n | Last date & time of submission of bid, original EMD, copy of receipt for deposition of original EMD and other documents as specified in the Press Notice |
|---|---|---|---|---|---|---|
| 1 | 2 | 3 | 4 | 5 | 6 | 7 |
| 1 | 4/EE/ABEU/2017-18 | Additional Construction work for Gas Manifolds room in Main services building of main at AIIMS Bhopal, | Composite Estimated Cost : Rs. 27,58,113 /- (Civil work – Rs. 19,10,948+ Electrical work-8,47,165/-) | Rs 55,163/- | 3 Months | Up to 3:00 PM on 22.12.2017 |
1. Contractors who fulfill the following requirements shall be eligible to apply. Joint ventures are not accepted(This is not applicable for CPWD enlisted contractors of appropriate class in composite category).
(a) Should have satisfactorily completed the works as mentioned below during the last Seven years ending previous day of last date of submission of bids.
(b) Should have had average annual financial turnover of Rs. 13.79 Lakh on construction works during the immediate last three consecutive financial years. (Scanned copy of Certificate from CA to be uploaded).
(c) Should not have incurred any loss in more than two years during the last five years ending 31 st March 2017.
2. The intending bidder must read the terms and conditions of CPWD-6 carefully. He should only submit his bid if he considers himself eligible and he is in possession of all the documents required.
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3. Information and Instructions for bidders posted on website shall form of bid document.
4. The bid document consisting of plans, specifications, the schedule of quantities of various types of items to be executed and the set of terms and conditions of the contract to be complied with and other necessary documents can be seen and downloaded from website www.tenderwizard.com or www.aiims .edu.in or www.eprocure.gov.in free of cost.
5. But the bid can only be submitted after deposition of original EMD in the office of E.E. AIIMS Bhopal inviting bids within the period of bid submission and uploading the mandatory scanned documents such as Demand Draft or Pay order or Banker`s Cheque or Deposit at call Receipt or Fixed Deposit Receipts and Bank Guarantee of any scheduled Bank towards EMD in favour of Director AIIMS Bhopal , as mentioned in NIT.
6. Those contractors not registered on the website mentioned above, are required to get registered beforehand. If needed they can be imparted training on online bidding process as per details available on the website.
7. The intending bidder must have valid class-III digital signature to submit the bid.
8. On opening date, the contractor can login and see the bid opening process. After opening of bids he will receive the competitor bid sheets.
9. Contractor can upload documents in the form of JPG format and PDF format.
10. Certificate of Financial Turn over: At the time of submission of bid contractor may upload Affidavit/ Certificate from C.A. mentioning Financial Turnover of last 3 years or for the period as specified in the bid document and further details if required may be asked from the contractor after opening of technical bids. There is no need to upload entire voluminous balance sheet.
11. Contractor must ensure to quote rate of each item. The column meant for quoting rate in figures appears in pink colour and the moment rate is entered, it turns sky blue.
In addition to this, while selecting any of the cells a warning appears that if any cell is left blank the same shall be treated as "0" (ZERO). Therefore, if any cell is left blank and no rate is quoted by the bidder, rate of such item shall be treated as "0" (ZERO).
However, if a tenderer quotes nil rates against each item in item rate tender or does not quote any percentage above / below on the total amount of the tender or any section / subhead in percentage rate tender, the tender shall be treated as invalid and will not be considered as lowest tenderer.
12. The technical bid will be opened first on due date and time as mentioned above. The time & date of opening of financial bid of contractors qualifying the eligibility bid will be communicated to them a later date.
14. When bids are invited in three stage system and if it is desired to submit revised financial bid then it shall be mandatory to submit revised financial bid. If not submitted then the bid submitted earlier shall become invalid.
15. The department reserves the right to reject any prospective application without assigning any reason and to restrict the list of qualified contractors to any number deemed suitable by it, if too many bids are received satisfying the laid down criterion.
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List of Documents to be scanned and uploaded within the period of bid submission:
I. Treasury Challan/Demand Draft/Pay order or banker's Cheque/Deposit at call receipt/Bank guarantee of any scheduled Bank against EMD.
II. Certificates of work experience.
III. Certificate of Financial Turnover from CA.
IV. Any other Document as specified in the Press Notice.
V. Certificate of registration for GST and acknowledgement of up to date filed returns (if applicable).
VI. Copy of PAN Card issued by Income Tax Department.
VII. Postal Address, Mobile No. and e-mail ID of bidder.
VIII. Electrical license from competent authority in the name of Contractor or undertaking that "I, hereby confirm that I will either obtain valid electrical license at the time of execution of electrical work or associate CPWD registered contractor having valid electrical license of eligible class."
Note : The Sl. No. II to IV are not applicable for CPWD enlisted contractors of appropriate class in composite category, however they will have to upload scanned copy of enlistment order of appropriate class in composite category issued by the competent authority of CPWD.
Executive Engineer AIIMS, Bhopal
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Notice Inviting Tender
1. The Executive Engineer AIIMS Bhopal on behalf of the Director AIIMS Bhopal invites online composite percentage rate bids from CPWD enlisted contractors of appropriate class in composite category and eligible firms / contractors of repute in Single bid system for the work "Additional Construction work for Gas Manifold room in Main services building of main at AIIMS Bhopal" of The enlistment of the contractors should be valid on the last date of submission of bids. In case the last date of submission of composite bid is extended, the enlistment of contractor should be valid on the original date of submission of bids.
The work is estimated toComposite Cost of : Rs 27,58,113/- (Civil- Rs. 19,10,948/- + Electrical
– Rs.8,47,165 /- ),
This estimate, however, is given merely as a rough guide.
1.1.1 The authority competent to approve NIT for the combined cost and belonging to the major discipline will consolidate NITs for calling the bids. He will also nominate Division which will deal with all matters relating to the invitation of bids.
For composite bid, besides indicating the combined estimated cost put to bid, should clearly indicate the estimated cost of each component separately. The eligibility of bidders will
correspond to the combined estimated cost of different components put to bid.
1.2.1 Intending bidder is eligible to submit the bid provided he has definite proof from the appropriate authority, which shall be to the satisfaction of the competent authority, of having satisfactorily completed similar works of magnitude specified below:-
2. Agreement shall be drawn with the successful bidders on prescribed Form No. CPWD 7 amended upto DG/CON/298 dated 29.09.2017 which is available as a Govt. of India Publication and also available on website www.aiimsbhopal.edu.in Bidder shall quote his rates as per various terms and conditions of the said form, which will form part of the agreement.
3. The time allowed for carrying out the work will be 3(Three) Months from the date of start as defined in schedule 'F' or from the first date of handing over of the site, whichever is later, in accordance with the phasing, if any, indicated in the bid documents.
4. The site for the work is available: Available and architructural and structural drawings shall be prepared by contractor.
5. The bid document consisting of plans, specifications, the schedule of quantities of various types of items to be executed and the set of terms and conditions of the contract to be complied with and other necessary documents except Standard General Conditions of Contract Form can be seen from website www.tenderwizard.com or www.aiims.edu.in or www.eprocure.gov.in free of cost.
6. After submission of the bid the contractor can re-submit revised bid any number of times but before last date and time of submission of bid as notified.
7. While submitting the revised bid, contractor can revise the quoted rates but before last date and time of submission of bid as notified.
8. When bids are invited in Single bid system and if it is desired to submit revised financial bid then it shall be mandatory to submit revised financial bid. If not submitted then the bid submitted earlier shall become invalid.
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9. Earnest Money in the form of Treasury Challan or Demand Draft or Pay Order or Banker`s Cheque or Deposit at Call Receipt or Fixed Deposit Receipt of a Scheduled Bank (drawn in favour of Director AIIMS , Bhopal) shall be scanned and uploaded to the e-Tendering website within the period of bid submission.
This receipt shall also be uploaded to the e-tendering web site by the intending bidder upto the specified bid submission date and time.
A part of earnest money is acceptable in the form of Bank Guarantee also. In such case, minimum 50% of earnest money or Rs. 20 lakh, whichever is less, shall have to be deposited in shape prescribed above, and balance may be deposited in shape of Bank Guarantee of any Scheduled Bank having validity for 120 (One Hundred Twenty) days or more from the last date of receipt of bids which is to be scanned and uploaded by the intending bidders.
Copy of Enlistment Order and certificate of work experience and other documents as specified in the press notice shall be scanned and uploaded to the e-Tendering website within the period of bid submission. However, certified copy of all the scanned and uploaded documents as specified in press notice shall have to be submitted by the lowest bidder only within a week physically in the office of tender opening authority.
Online bid documents submitted by intending bidders shall be opened only of those bidders, whose original EMD deposited with office of E.E.(E)AIIMS Bhopal and other documents scanned and uploaded are found in order.
The bid submitted shall be opened at 03.30 PM on 22.12.2017.
The contractors registered on e-tendering portal of Tender wizard and shall have to deposit tender processing fee at existing rates.
10. The bid submitted shall become invalid and e-Tender processing fee shall not be refunded if:
(i) The bidder is found ineligible.
(ii) The bidder does not deposit original EMD with Division office of Executive Engineer, AIIMS Bhopal .
(iii) The bidder does not upload all the documents (including GST registration) as stipulated in the bid document including the copy of receipt for deposition of original EMD.
(iv) If any discrepancy is noticed between the documents as uploaded at the time of submission of bid and hard copies as submitted physically by the lowest bidder in the office of bid opening authority.
(v) If a tenderer quotes nil rates against each item in item rate tender or does not quote any percentage above / below on the total amount of the tender or any section /sub head in percentage rate tender, the tender shall be treated as invalid and will not be considered as lowest tenderer.
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11. The contractor whose bid is accepted will be required to furnish performance guarantee of 5% (Five Percent) of the bid amount within the period specified in Schedule F. This guarantee shall be in the form of cash (in case guarantee amount is less than Rs. 10000/-) or Deposit at Call Receipt of any Scheduled Bank/Banker's Cheque of any Scheduled Bank/Demand Draft of any Scheduled Bank/Pay Order of any Scheduled Bank (in case guarantee amount is less than Rs. 1,00,000/-) or Government Securities or Fixed Deposit Receipts or Guarantee Bonds of any Scheduled Bank or the State Bank of India in accordance with the prescribed form. In case the contractor fails to deposit the said performance guarantee within the period as indicated in Schedule 'F' including the extended period if any, the Earnest Money deposited by the contractor shall be forfeited automatically without any notice to the contractor. The Earnest Money deposited along with bid shall be returned after receiving the aforesaid performance guarantee. The contractor whose bid is accepted will also be required to furnish either copy of applicable licenses / registrations or proof of applying for obtaining labour licenses, registration with EPFO, ESIC and BOCW Welfare Board including Provident Fund Code No. if applicable and also ensure the compliance of aforesaid provisions by the subcontractors, if any, engaged by the contractor for the said work and Programme Chart (Time and Progress) within the period specified in Schedule F.
12. The description of the work is as follows:- Additional Construction work for Gas Manifolds room in Main services building of main at AIIMS Bhopal,
Intending Bidders are advised to inspect and examine the site and its surroundings and satisfy themselves before submitting their bids as to the nature of the ground and sub-soil (so far as is practicable), the form and nature of the site, the means of access to the site, the accommodation they may require and in general shall themselves obtain all necessary information as to risks, contingencies and other circumstances which may influence or affect their bid. A bidder shall be deemed to have full knowledge of the site whether he inspects it or not and no extra charge consequent on any misunderstanding or otherwise shall be allowed. The bidder shall be responsible for arranging and maintaining at his own cost all materials, tools & plants, water, electricity access, facilities for workers and all other services required for executing the work unless otherwise specifically provided for in the contract documents. Submission of a bid by a bidder implies that he has read this notice and all other contract documents and has made himself aware of the scope and specifications of the work to be done and of conditions and rates at which stores, tools and plant, etc. will be issued to him by the Government and local conditions and other factors having a bearing on the execution of the work.
13.
The competent authority on behalf of the President of India does not bind itself to accept the lowest or any other bid and reserves to itself the authority to reject any or all the bids received without the assignment of any reason. All bids in which any of the prescribed condition is not fulfilled or any condition including that of conditional rebate is put forth by the bidders shall be summarily rejected.
14. Canvassing whether directly or indirectly, in connection with bidders is strictly prohibited and the bids submitted by the contractors who resort to canvassing will be liable for rejection.
15. The competent authority on behalf of President of India reserves to himself the right of accepting the whole or any part of the bid and the bidder shall be bound to perform the same at the rate quoted.
16. The contractor shall not be permitted to bid for works in the AIIMS Bhopal responsible for award and execution of contracts, in which his near relative is posted as Divisional Accountant or as an officer in any capacity between the grades of Superintending Engineer and Junior Engineer (both inclusive). He shall also intimate the names of persons who are working with him in any capacity or are subsequently employed by him and who are near relatives to any Gazetted
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Officer in the AIIMS Bhopal. Any breach of this condition by the contractor would render him liable to be removed from the approved list of contractors of this Department.
17. No Engineer of Gazetted Rank or other Gazetted Officer employed in Engineering or Administrative duties in an Engineering Department of the Government of India is allowed to work as a contractor for a period of one year after his retirement from Government service, without the prior permission of the Government of India in writing. This contract is liable to be cancelled if either the contractor or any of his employees is found any time to be such a person who had not obtained the permission of the Government of India as aforesaid before submission of the bid or engagement in the contractor's service.
18. The bid for the works shall remain open for acceptance for a period of Sixty (60 ) days from the date of opening of technical bid in case bids are invited on tow / three bid envelop system(strike out as the case may be). If any bidder withdraws his bid before the said period or issue of letter of acceptance, whichever is earlier, or makes any modifications in the terms and conditions of the bid which are not acceptable to the department, then the Government shall, without prejudice to any other right or remedy, be at liberty to forfeit 50% of the said earnest money as aforesaid. Further the bidder shall not be allowed to participate in the re-bidding process of the work.
19. This Notice Inviting Bid shall form a part of the contract document. The successful bidder / contractor, on acceptance of his bid by the Accepting Authority shall within 15 days from the stipulated date of start of the work, sign the contract consisting of:-
a) The Notice Inviting Bid, all the documents including additional conditions, specifications and drawings, if any, forming part of the bid as uploaded at the time of invitation of bid and the rates quoted online at the time of submission of bid and acceptance thereof together with any correspondence & negotiation leading thereto.
b) Standard C.P.W.D. Form 7 amended up to DG/CON/298 dated 29.09.2017 or other Standard C.P.W.D. Form as applicable
20. For Composite Bids
20.1.1 The Executive Engineer in Charge of the major component will call bids for the composite work. The Earnest Money will be fixed with respect to the combined estimated cost put to tender for the composite bid.
20.1.2 The bid document will include following three components:
Part A:- CPWD-6, CPWD-7 including Schedule A to F for the major component of the work, Standard General Conditions of Contract for CPWD, 2014 as amended / modified upto DG/CON/298 dated 29.09.2017.
Part B:- Particular Specifications and Special conditions, specifications and schedule of quantities as applicable to major component of the work.
Part C:- Schedule A to F for minor component (Electrical) of the work. E.E. (E) in charge of major component shall also be competent authority under clause 2 and clause 5 as mentioned in Schedule A to F for minor components). Special Conditions, additional terms & conditions, specifications and schedule of quantities applicable to minor component(s) of the work.
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20.1.3
The bidders must associate himself, with agencies of the appropriate class eligible to bid for each of the minor component individual.
For electrical works, the bidder should have valid electrical license from competent authority in the name of the contractor. However, the contractors is allowed to participate in tender with an undertaking that they will either obtain valid electrical license at the time of execution of electrical work or associate contractors having valid electrical license of eligible class.
20.1.4 The eligible bidders shall quote rates for major component as well as for minor components of work.
20.1.5 After acceptance of the bid by competent authority, the EE in-charge of major component of the work shall issue letter of award on behalf of the Director AIIMS Bhopal. After the work is awarded, the main contractor will have to enter into one agreement with EE in charge of major component.
20.1.6 Entire work under the scope of composite bid including major and all minor components shall be executed under one agreement.
20.1.7 Security Deposit will be worked out separately for each component corresponding to the estimated cost of the respective component of work.
20.1.8 If required, the main contractor has to associate agency(s) for minor component(s) conforming to eligibility criteria as defined in the bid document and has to submit detail of such agency(s) to Engineer-in-Charge of minor component(s) within prescribed time. Name of the agency(s) to be associated shall be approved by Engineer-in-Charge of minor component(s).
20.1.9 In case the main contractor intends to change any of the above agency/agencies during the operation of the contract, he shall obtain prior approval of Engineer-in-charge of minor component. The new agency/agencies shall also have to satisfy the laid down eligibility criteria. In case Engineer-in-Charge is not satisfied with the performance of any agency, he can direct the contractor to change the agency executing such items of work and this shall be binding on the contractor.
20.1.10 The main contractor has to enter into agreement with contractor(s) associated by him for execution of minor component(s). Copy of such agreement shall be submitted to EE(E) in charge of each minor component as well as to EE in charge of major component. In case of change of associate contractor, the main contractor has to enter into agreement with the new contractor associated by him.
20.1.11 Running payment for the major component shall be made by EE of major discipline to the main contractor. Running payment for minor components shall be made by the Engineer-in-charge of the discipline of minor component directly to the main contractor.
20.1.12(A) The composite work shall be treated as complete when all the components of the work are complete. The completion certificate of the composite work shall be recorded by Engineer -in -charge of major component after record of completion certificate of all other components.
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20.1.12(B) Final bill of whole work shall be finalized and paid by the EE of major component. Engineer(s) in charge of minor component(s) will prepare and pass the final bill for their component of work and pass on the same to the EE of major component for including in the final bill for composite contract.
21.0 In case any discrepancy, is noticed between the documents as uploaded at the time of submission of the bid online and hard copies as submitted physically in the office of Executive Engineer, then the bid submitted shall become invalid and the Government shall, without prejudice to any other right or remedy, be at liberty to forfeit 50% of the said earnest money as aforesaid. Further the tenderer shall not be allowed to participate in the re-tendering process of the work.
22.0 A new provision of Integrity Pact(IP) was introduced in GCC-2014 vide DG/CON/281 dated 04/08/2014. In the OM it is mentioned that at the time of submission of bid, it shall be mandatory to sign the pact by the bidder failing which the bidder will stand disqualified from the tendering process and such bid would be summarily rejected. In case of e-tendering, Integrity Pact shall be treated in the same manner as other components of the bid document. In e-tendering, the intending bidder does not sign any document physically and entire bid document is submitted through digital signature. Since IP is a part of bid document no separate physical submission is required with other documents to be submitted in the office of tender opening authority. In addition to other component of bid document, the Integrity Pact along shall also be signed between Executive Engineer and successful bidder after acceptance of bid.
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ABEU
INTEGRITY PACT
To,
Sub:
Additional Construction work for Gas Manifolds room in Main services building of main at AIIMS Bhopal,
Dear Sir,
It is here by declared that AIIMS Bhopal is committed to follow the principle of transparency, equity and competitiveness in public procurement.
The subject Notice Inviting Tender (NIT) is an invitation to offer made on the condition that the Bidder will sign the integrity Agreement, which is an integral part of tender / bid documents, failing which the tenderer / bidder will stand disqualified from the tendering process and the bid of the bidder would be summarily rejected.
This declaration shall form part and parcel of the Integrity Agreement and signing of the same shall be deemed as acceptance and signing of the Integrity Agreement on behalf of the AIIMS Bhopal.
Yours faithfully,
Executive Engineer (E) AIIMS Bhopal
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The Executive Engineer,
Sub:
Additional Construction work for Gas Manifolds room in Main services building of main at AIIMS Bhopal,
Dear Sir,
I / We acknowledge that AIIMS Bhopal is committed to follow the principles thereof as enumerated in the Integrity Agreement enclosed with the tender/bid document.
I / We agree that the Notice Inviting Tender (NIT) is an invitation to offer made on the condition that I/We will sign the enclosed integrity Agreement, which is an integral part of tender documents, failing which I/We will stand disqualified from the tendering process. I/We acknowledge that THE MAKING OF THE BID SHALL BE REGARDED AS AN UNCONDITIONAL AND ABSOLUTE ACCEPTANCE of this condition of the NIT.
I/We confirm acceptance and compliance with the Integrity Agreement in letter and spirit and further agree that execution of the said Integrity Agreement shall be separate and distinct from the main contract, which will come into existence when tender/bid is finally accepted by CPWD. I/We acknowledge and accept the duration of the Integrity Agreement, which shall be in the line with Article 1 of the enclosed Integrity Agreement.
I/We acknowledge that in the event of my/our failure to sign and accept the Integrity Agreement, while submitting the tender/bid, AIIMS Bhopal shall have unqualified, absolute and unfettered right to disqualify the tenderer/bidder and reject the tender/bid is accordance with terms and conditions of the tender/bid.
Yours faithfully
(Duly authorized signatory of the Bidder)
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To,
To be signed by the bidder and same signatory competent / authorised to sign the relevant contract on behalf of AIIMS.
INTEGRITY AGREEMENT
This Integrity Agreement is made at .............................. on this .............. day of. ............. 20
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BETWEEN
President of India represented through Executive Engineer, ........................................................ , (Name of Division) AIIMS Bhopal , ........................................................................ , (Hereinafter referred as the (Address of Division)
'Principal / Owner', which expression shall unless repugnant to the meaning or context hereof include its successors and permitted assigns)
AND
(Name and Address of the Individual/firm/Company) through ................................................................................. (hereinafter referred to as the (Details of duly authorized signatory) “ Bidder/Contractor ” and which expression shall unless repugnant to the meaning or context hereof include its successors and permitted assigns)
Preamble
WHEREAS the Principal /Owner has floated the Tender (NIT No. 05/EE/ABEU/2017-18) ................................... ) (hereinafter referred to as “ Tender/Bid ”) and intends to award,under laid down organizational procedure, contract for “Additional Construction work for Gas Manifolds room in Main services building of main at AIIMS Bhopal.” hereinafter referred to as the “ Contract ”.
AND WHEREAS the Principal / Owner values full compliance with all relevant laws of the land, rules, regulations, economic use of resources and of fairness/transparency in its relation with its Bidder(s) and Contractor(s).
AND WHEREAS to meet the purpose aforesaid both the parties have agreed to enter into this Integrity Agreement (hereinafter referred to as “ Integrity Pact ” or “ Pact ”), the terms and conditions of which shall also be read as integral part and parcel of the Tender/Bid documents and Contract between the parties.
NOW, THEREFORE, in consideration of mutual covenants contained in this Pact, the parties hereby agree as follows and this Pact witnesses as under:
Article 1: Commitment of the Principal / Owner
1) The Principal/Owner commits itself to take all measures necessary to prevent corruption and to observe the following principles:
(a) No employee of the Principal/Owner, personally or through any of his/her family members, will in connection with the Tender, or the execution of the Contract, demand, take a promise for or accept, for self or third person, any material or immaterial benefit which the person is not legally entitled to.
(b) The Principal/Owner will, during the Tender process, treat all Bidder(s) with equity and reason. The Principal/Owner will, in particular, before and during the Tender process, provide to all Bidder(s) the same information and will not provide to any Bidder(s) confidential / additional information through which the Bidder(s) could obtain an advantage in relation to the Tender process or the Contract execution.
(c) The Principal / Owner shall endeavour to exclude from the Tender process any person, whose conduct in the past has been of biased nature.
2) If the Principal/Owner obtains information on the conduct of any of its employees which is a criminal offence under the Indian Penal code (IPC) / Prevention of Corruption Act, 1988 (PC Act) or is in violation of the principles herein mentioned or if there be a substantive suspicion in this regard, the Principal / Owner will inform the Chief Vigilance Officer and in addition can also initiate disciplinary actions as per its internal laid down policies and procedures.
Article 2: Commitment of the Bidder (s) / Contractor (s)
1. It is required that each Bidder / Contractor (including their respective officers, employees and agents) adhere to the highest ethical standards, and report to the Government / Department all suspected acts of fraud or corruption or Coercion or Collusion of which it has knowledge or becomes aware, during the tendering process and throughout the negotiation or award of a contract.
2. The Bidder(s) / Contractor(s) commit himself to take all measures necessary to prevent corruption. He commits himself to observe the following principles during his participation in the Tender process and during the Contract execution:
a) The Bidder(s) / Contractor(s) will not, directly or through any other person or firm, offer, promise or give to any of the Principal / Owner's employees involved in the Tender process or execution of the Contract or to any third person any material or other benefit which he/she is not legally entitled to, in order to obtain in exchange any advantage of any kind whatsoever during the Tender process or during the execution of the Contract.
b) The Bidder(s) / Contractor (s) will not enter with other Bidder (s) into any undisclosed
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agreement or understanding, whether formal or informal. This applies in particular to prices, specifications, certifications, subsidiary contracts, submission or non-submission of bids or any other actions to restrict competitiveness or to cartelize in the bidding process.
c) The Bidder(s) / Contractor(s) will not commit any offence under the relevant IPC/PC Act. Further the Bidder(s) / Contract(s) will not use improperly, (for the purpose of competition or personal gain), or pass on to others, any information or documents provided by the Principal/Owner as part of the business relationship, regarding plans, technical proposals and business details, including information contained or transmitted electronically.
d) The Bidder(s)/ Contractor(s) of foreign origin shall disclose the names and addresses of agents / representatives in India, if any. Similarly Bidder(s)/Contractor(s) of Indian Nationality shall disclose names and addresses of foreign agents/representatives, if any. Either the Indian agent on behalf of the foreign principal or the foreign principal directly could bid in a tender but not both. Further, in cases where an agent participate in a tender on behalf of one manufacturer, he shall not be allowed to quote on behalf of another manufacturer along with the first manufacturer in a subsequent/parallel tender for the same item.
e) The Bidder(s)/ Contractor(s) will, when presenting his bid, disclose (with each tender as per performa enclosed) any and all payments he has made, is committed to or intends to make to agents, brokers or any other intermediaries in connection with the award of the Contract
3. The Bidder(s) / Contractor(s) will not instigate third persons to commit offences outlined above or be an accessory to such offences.
4. The Bidder(s) / Contractor(s) will not, directly or through any other person or firm indulge in fraudulent practice means a willful misrepresentation or omission of facts or submission of fake/forged documents in order to induce public official to act in reliance thereof, with the purpose of obtaining unjust advantage by or causing damage to justified interest of others and/or to influence the procurement process to the detriment of the Government interests.
5. The Bidder(s) / Contractor(s) will not, directly or through any other person or firm use Coercive Practices (means the act of obtaining something, compelling an action or influencing a decision through intimidation, threat or the use of force directly or indirectly, where potential or actual injury may befall upon a person, his / her reputation or property to influence their participation in the tendering process).
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Article 3: Consequences of Breach
Without prejudice to any rights that may be available to the Principal/Owner under law or the Contract or its established policies and laid down procedures, the Principal / Owner shall have the following rights in case of breach of this Integrity Pact by the Bidder(s)/Contractor(s) and the Bidder / Contractor accepts and undertakes to respect and uphold the Principal / Owner's absolute right:
1. If the Bidder (s) / Contractor(s), either before award or during execution of Contract has committed a transgression through a violation of Article 2 above or in any other form, such as to put his reliability or credibility in question, the Principal/Owner after giving 14 days notice to the contractor shall have powers to disqualify the Bidder(s)/Contractor(s) from the Tender process or terminate / determine the Contract, if already executed or exclude the Bidder/Contractor from future contract award processes. The imposition and duration of the exclusion will be determined by the severity of transgression and determined by the Principal / Owner. Such exclusion may be forever or for a limited period as decided by the Principal/Owner.
2. Forfeiture of EMD / Performance Guarantee / Security Deposit:
If the Principal/Owner has disqualified the Bidder(s) from the Tender process prior to the award of the Contract or terminated/determined the Contract or has accrued the right to terminate/determine the Contract according to Article 3(1), the Principal/Owner apart from exercising any legal rights that may have accrued to the Principal/Owner, may in its considered opinion forfeit the entire amount of Earnest Money Deposit, Performance Guarantee and Security Deposit of the Bidder / Contractor.
3. Criminal Liability: If the Principal/Owner obtains knowledge of conduct of a Bidder or Contractor, or of an employee or a representative or an associate of a Bidder or Contractor which constitutes corruption within the meaning of Indian Penal code (IPC)/Prevention of Corruption Act, or if the Principal/Owner has substantive suspicion in this regard, the Principal/Owner will inform the same to law enforcing agencies for further investigation.
Article 4: Previous Transgression
1) The Bidder declares that no previous transgressions occurred in the last 5 years with any other Company in any country confirming to the anticorruption approach or with Central Government or State Government or any other Central/State Public Sector Enterprises in India that could justify his exclusion from the Tender process.
2) If the Bidder makes incorrect statement on this subject, he can be disqualified from the Tender process or action can be taken for banning of business dealings/ holding listing of the Bidder/Contractor as deemed fit by the Principal/ Owner.
3) If the Bidder/Contractor can prove that he has resorted / recouped the damage caused by him and has installed a suitable corruption prevention system, the Principal/Owner may, at its own discretion, revoke the exclusion prematurely.
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Article 5: Equal Treatment of all Bidders/Contractors/Subcontractors
1) The Bidder(s) / Contractor(s) undertake(s) to demand from all subcontractors a commitment in conformity with this Integrity Pact. The Bidder / Contractor shall be responsible for any violation(s) of the principles laid down in this agreement/Pact by any of its Sub- contractors/sub-vendors.
2) The Principal / Owner will enter into Pacts on identical terms as this one with all Bidders and Contractors.
3) The Principal / Owner will disqualify Bidders, who do not submit, the duly signed Pact between the Principal/Owner and the bidder, along with the Tender or violate its provisions at any stage of the Tender process, from the Tender process.
Article 6- Duration of the Pact
This Pact begins when both the parties have legally signed it. It expires for the Contractor / Vendor 12 months after the completion of work under the contract or till the continuation of defect liability period, whichever is more and for all other bidders, till the Contract has been awarded.
If any claim is made/lodged during the time, the same shall be binding and continue to be valid despite the lapse of this Pacts as specified above, unless it is discharged/determined by the Competent Authority, CPWD.
Article 7- Other Provisions
1) This Pact is subject to Indian Law, place of performance and jurisdiction is the Head quarters of the Division of the Principal / Owner, who has floated the Tender.
2) Changes and supplements need to be made in writing. Side agreements have not been made.
3) If the Contractor is a partnership or a consortium, this Pact must be signed by all the partners or by one or more partner holding power of attorney signed by all partners and consortium members. In case of a Company, the Pact must be signed by a representative duly authorized by board resolution.
4) Should one or several provisions of this Pact turn out to be invalid; the remainder of this Pact remains valid. In this case, the parties will strive to come to an agreement to their original intentions.
5) It is agreed term and condition that any dispute or difference arising between the parties with regard to the terms of this Integrity Agreement / Pact, any action taken by the Owner/Principal in accordance with this Integrity Agreement/ Pact or interpretation there of shall not be subject to arbitration.
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AIIMS
Article 8- LEGAL AND PRIOR RIGHTS
All rights and remedies of the parties hereto shall be in addition to all the other legal rights and remedies belonging to such parties under the Contract and/or law and the same shall be deemed to be cumulative and not alternative to such legal rights and remedies aforesaid. For the sake of brevity, both the Parties agree that this Integrity Pact will have precedence over the Tender / Contract documents with regard any of the provisions covered under this Integrity Pact.
IN WITNESS WHEREOF the parties have signed and executed this Integrity Pact at the place and date first above mentioned in the presence of following witnesses:
(For and on behalf of Principal/Owner)
(For and on behalf of Bidder/Contractor)
WITNESSES:
1. . .................................................. (Signature, name and address)
2. . .................................................... (Signature, name and address)
Place: -
Dated: -
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fufonk T E N D E R
eSaus@geus dk;Z ds fy, fufonk vkea=.k lwpuk] vuqlwph d][k]x]?k] M-] vkSj p] ykxw fofunsZ'k] uD'ks ,oa fMtkbu] lkekU; fu;e ,oa funsZ'k] Bsds ds mica/k] fof'k"V 'krsZ] nj vuqlwph ,oa vU; dkxtkr rFkk Bsds dh 'krksZ esa fn, x, fu;e rFkk fufonk dkxtkr esa mfYyf[kr vU; ckrksa dks i<+ o tkap fy;k gSA
I/We have read and examined the notice inviting tender, schedule, A,B,C,D,E & F, specifications applicable, Drawings & Designs, General Rules and Directions, Conditions of Contract, clauses of contract, Special conditions, Schedule of Rate & other documents and Rules referred to in the conditions of contract and all other contents in the tender document for the work.
eS@ge] ,rr~}kjk funs'kd] vf[ky Hkkjrh; vk;qfoZKku laLFkku] Hkksiky ds fy, vuqlwph ^p* esa fofufnZ"V le; ds Hkhrj fofufnZ"V dk;Z] ;Fkk&ek=kvksa dh vuqlwph rFkk lHkh lacaf/kr fofunsZ'kksa] fMtkbuksa] uD'kksa ds vuq:i rFkk lkekU; fu;ekoyh ds fu;e&1 vkSj Bsds dh 'krksZ ds [kaM&11 esa mfYyf[kr fyf[kr vuqns'kksa ,oa ,slh lkefxz;ksa] tks iznku dh tkrh gS vkSj mlds laca/k esa] ,slh 'krsZ tks ykxw gks] ds vuq:i fu"iknu gsrq fufonk nsrk gwa@nsrs gSa A
I/We hereby tender for the execution of the work specified for the Director AIIMS Bhopal within the time specified in Schedule 'F', viz., schedule of quantities and in accordance in all respects with the specifications, designs, drawings and instructions in writing referred to in Rule-1 of General Rules and Directions and in Clause 11 of the Conditions of contract and with such materials as are provided for, by, and in respects in accordance with, such conditions so far as applicable.
I/We agree to keep the tender open for Sixty (60) days from the due date of opening of technical bid and not to make any modification in its terms and conditions.
55,163/- dh /kujkf'k] /kjksgj jkf'k ds :Ik esa Vsªtjh pkyku jlhn@vuqlwfpr cSad dh ekax tek jlhn@ vuqlwfpr cSad dh lko/kh tek jlhn @vuqlwfpr cSad dk fMekaM Mªk¶V@ vuqlwfpr cSad }kjk tkjh cSad xkjaVh ds :Ik esa blds lkFk Hksth tk jgh gSA ;fn eSa @ ge fu/kkZfjr fu"iknu xkjaVh dks fu/kkZfjr le; vof/k esa izLrqr djus esa vlQy jgrs gSa rks eSa@ ge ;g eatwj djrs gS fd funs'kd] vf[ky Hkkjrh; vk;qfoZKku laLFkku] Hkksiky ;k muds dk;kZy; ds mRrjkf/kdkjh fdlh vU; vf/kdkj ;k mipkjh mik; ij izfrdwy izHkko Mkys fcuk mDr /kjksgj jkf'k tCr djus ds fy, iw.kZr;k Lora= gksaxs A blds vykok] ;fn eSa@ge fofufnZ"V dk;Z izkjaHk djus esa vlQy jgrs gSa rks eSa@ ge ;g eatwj djrs gSa fd Hkkjr ds jk"Vªifr ;k muds dk;kZy; ds mRrkf/kdkjh dkuwu esa miyC/k fdlh vU; vf/kdkj ;k mipkjh mik; ij izfrdwy izHkko Mkys fcuk mDr /kjksgj jkf'k] rFkk fu"iknu xkjaVh tCr djus ds fy, iw.kZr;k Lora= gksaxs vU;Fkk mDr /kjksgj jkf'k fufonk dkxtkr ds vuqlkj mlesa fufgr 'krksZa o fuca/kuksa ds vuqlkj dk;kZs ds fu"iknu ,oa vkfn"V fopyuksa dks vuqlwph ^p* esa of.kZr izfr'kr ls vuf/kd o fufonk izi= ds [k.Mksa 12-2 o 12-3 esa fufgr izko/kkuksa ds vuqlkj fuf'pr dh tkus okyh njksa ij ml lhek ls vf/kd ds fopyuksa ds djus ds fy, muds }kjk izfrHkwfr&fuis{k ds :Ik esa jksd yh tk,xhA blds vfrfjDr eSa@ge lger gSa fd c;kuk jkf'k ;k c;kuk jkf'k rFkk mi;ZqDr fu"iknu xkjaVh tCr gks tkus ds ekeys esa eq>s@gesa dk;Z dh iqu% fufonk izfdz;k esa Hkkx ysus ls jksd fn;k tk,xk A
A sum of 55,163/-is hereby forwarded in Cash/ Receipt Treasury Challan/ Deposit at Call Receipt of a Scheduled Bank/ Fixed Deposit Receipts of a Scheduled Bank/ Demand Draft of a Scheduled Bank/ Bank Guarantee issued by a Scheduled Bank as earnest money. A copy of the earnest money in Receipt Treasury Challan/ Deposit at Call Receipt of a Scheduled Bank/ Fixed Deposit Receipts of a Scheduled Bank/ Demand Draft of a Scheduled Bank/ Bank Guarantee issued by a Scheduled Bank is scanned and uploaded (strike out as the case may be). If I/We, fail to furnish the prescribed performance guarantee within prescribed period, I/we agree that the said Director AIIMS Bhopal or his successors, in office shall without prejudice to any other right or remedy, be at liberty to forfeit the said earnest money absolutely. Further, if I/We fail to commence work as specified, I/We agree that President of India or his successors in office shall without prejudice to any other right or remedy available in law, be at liberty to forfeit the said performance guarantee absolutely. The said Performance Guarantee shall be guarantee to execute all the works referred to in the tender documents upon the terms and conditions contained or referred to those in excess of that limit at the rates to be determined in accordance with the provision contained in Clause 12.2 and 12.3 of the tender form. Further, I/we agree that in case of forfeiture of earnest money or performance guarantee as aforesaid, I/We shall be debarred for participation in the re-tendering process of the work.
I/We undertake and confirm that eligible similar work(s) has / have not been got executed through another contractor on back to back basis. Further that, if such a violation comes to the notice of Department, then I/We shall be debarred for tendering in CPWD in future forever. Also, if such a violation comes to the notice of Department before date of start of work, The Engineer – in – Charge shall be free to forfeit the entire amount of Earnest Money Deposited / Performance Guarantee.
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eSa@ge ,rr~}kjk ?kks"k.kk djrs gS fd eS@ge fufonk dkxtkrksa] uD'kksa vkSj dk;Z ls lacaf/kr vU; vfHkys[kksa dks xqIr@xksiuh; dkxtkr ds :Ik esa j[ksxs vkSj muls izkIr@yh xbZ tkudkjh fdlh vU; dks] ftUgsa eSa@ge lwfpr djus ds fy, izkf/kd`r gks] ls fHkUu fdlh dks]ugha crk,xsa ;k tkudkjh dks fdlh ,sls :i esa iz;ksx ugh djsaxs tks jkT; dh lqj{kk ds fy, izfrdwy gksA
I/We hereby declare that I/we shall treat the tender documents drawings and other records connected with the work as secret/confidential documents and shall not communicate information/derived therefrom to any person other than a person to whom I/We am/are authorized to communicate the same or use the information in any manner prejudicial to the safety of the State.
rkjh[k Dated #.....................
Bsdsnkj ds gLrk{kj Signature of Contractor# Mkd dk irk Postal Address#
lk{kh Witness : #
irk Address: #
mithfodk Occupation : #
# To be filled in by the contractor/witness as applicable
Lohd`fr ACCEPTANCE
eS funs’kd] vf[ky Hkkjrh; vk;qfoZKku laLFkku] Hkksiky dh vksj ls rFkk muds fy, ------------------------- ¼:i, -------------------------------*---------------------½ dh jkf’k ds fy, mi;qZDr fufonk ¼v/kksfyf[kr i=ksa ds vuqlkj ifjofrZr½ Lohdkj djrk gwaA
The above tender (as modified vide letters mentioned hereunder) is accepted by me for and on behalf of the
Director AIIMS Bhopal for a sum of. ____________ (Rupees_______________________________________)
uhps fn, x, i= bl Bsdk djkj dk fgLlk gksaxsA
The letters referred to below shall form part of this contract Agreement:-
a)
b)
c)
funs’kd] vf[ky Hkkjrh; vk;qfoZKku laLFkku] Hkksiky dh vksj ls rFkk muds fy,
For & on behalf of the Director AIIMS Bhopal
gLrk{kjSignature ....................................
rkjh[k Dated ......................
inuke Designation .........................
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vuqlwph ^d* SCHEDULE 'A'
ek=kvksa dh vuqlwph ¼layXu½
Schedule of quantities (As per PWD-3) (Enclosed) Page No. 76 To 81 (Civil)
vuqlwph ^[k* SCHEDULE 'B'
Bsdsnkj dh fuxZr dh tkus okyh lkefxz;ksa dh vuqlwph
Schedule of materials to be issued to the contractor.
__________________________________________________________________________________
Øe- la- en fooj.k
ek=k
ftl nj ij lkefxz;ka Bsdsnkj dks
fuxZr LFkku
S.No. Description of item Quantity
izHkkfjr gksxh og nj vadksa ,oa 'kCnksa esa
Place of Issue
Rates in figures & words at which the material will be charged to the contractor
vuqlwph ^x* SCHEDULE 'C'
Bsdsnkj dks HkkM+s ij fn, tkus okys vkStkj ,oa la;=
Tools and plants to be hired to the contractor
__________________________________________________________________________________
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EE(P)
PART-B
vuqlwfp;ka SCHEDULES [ FOR MAJOR (CIVIL) COMPONENT]
vuqlwph '^?k* SCHEDULE 'D'
dk;Z ds fy, fo'ks"k vis{kk,a@nLrkost] ;fn dksbZ gksa] dh vfrfjDr vuqlwph
Extra schedule for specific requirements/documents for the work, if any. -----Nil-----
vuqlwph ¼M½ SCHEDULE 'E'
Bsds dh lkekU; 'krksZ dk lanHkZ
1. Reference to General Conditions of contract
General Conditions of Contract for CPWD Works, 2014 as amended upto DG/CON/298
dated 29.09.2017
dk;Z dk uke Name of work :
Additional Construction work for Gas Manifolds room in Main services building of main at AIIMS Bhopal, dk;Z dh vuqekfur ykxr Estimated cost of work
(i) /kjksgj jkf'k Earnest money:
(ii)fu"iknu xkjaVh Performance guarantee :
(iii) izfrHkwfr fu{ksi% Security Deposit:
vuqlwph ^p* SCHEDULE 'F'
lkekU; fu;e ,oa fn'kkfunsZ'k%
lkekU; fu;e ,oa fn'kkfunsZ'k%
lkekU; fu;e ,oa fn'kkfunsZ'k% lkekU; fu;e ,oa fn'kkfunsZ'k%
General Rules & Directions:
fufonk vkea=.k djus okyk izkf/kdkjh
Officer inviting tender - dk;Z dh enksZ dh ek=k ds fy, vf/kdre izfr'kr ftlls vf/kd fu"ikfnr enksa ds fy, njksa dk fu/kkZj.k [k.M 12-2 vkSj 12-3 ds vuqlkj gksxk
Maximum percentage for quantity of items of work to be executed beyond which rates are to be determined in accordance with Clauses 12.2 & 12.3.
Civil : 19,10,948/-
Electrical : 8,47,165/-
Composite Cost : 27,58,113/-
55,163/- (To be returned after receiving Performance Guarantee)
5% of tendered value.fufofnr ewY; dk 5 izfr'kr
2.5% of tendered Value
EE(E), AIIMS Bhopal
fuEukuqlkj see below
Definitions:
2(v) Hkkjlk/kd bathfu;j Engineer-in-Charge
2(viii) Lohdkj drkZ izkf/kdkjh
Accepting Authority
2(x)
2(xi)
vfrfjDr vkSj ykHkksa dks iwjk djus ds fy, Je ,oa lkefxz;ksa dh ykxr ij izfr’krrk
Percentage on cost of materials and labour to cover all overheads and profits.
njksa dh ekud vuqlwph
Standard schedule of Rates
2(xii) foHkkx aDepartment
9(ii) ekud ds-yks-fu-fo- Bsdk QkeZ Standard CPWD contract Form
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For Civil Component
Executive Engineer(E), AIIMS Bhopal
S.E. AIIMS Bhopal
15% (Fifteen per cent)
Delhi Schedule of Rate 2016(Civil) with correction slips issued up to date of receipt of tender.
ABEU AIIMS BHOPAL
CPWD Form 7 (Print edition -2014) as modified & corrected up to DG/CON/ 298 dated 29.09.2017
EE(P)
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VERWRITING __
For Civil:-
`
[k.M Clause 1
(i)
Lohd`fr i= tkjh gksus dh rkjh[k ls fu"iknu xkjaVh ds izLrqrhdj.k ds fy, vuqer le; Time allowed for submission of performance guarantee, programme chart (Time & Progress) and applicable labour licenses, registration with EPFO, ESIC and BOCW welfare board or proof of applying thereof : from the date of issue of letter of acceptance: 7 days
(ii)
¼mi;qZDri½ esa nh xbZ vof/k ds Ik'pkr~ vf/kdre
vuqes; ,DlVsa'ku
Maximum allowable extension with late fee @ 0.10% per day of performance
guarantee amount beyond
the period as provided in (i) above: 7 days
[k.M [k.M [k.M [k.MClause 2
[k.M 2 ds rgr izfrdkj fuf'pr djus okyk izkf/kdkjh
Authority for fixing
Superintending Engineer, AIIMS Bhopal
compensation under clause 2
[k.M [k.M [k.M [k.MClause 2A
D;k [k.M 2 d ykxw gksxk
Whether clause 2A shall be applicable
Yes
[k.M [k.M [k.M [k.MClause 5
dk;Z vkjaHk dh rkjh[k dh x.kuk ds fy, Lohd`fr i= ds tkjh gksus dh rkjh[k ls fnuksa dh la[;k
No. of days from the date of issue of letter of acceptance for reckoning date of start
14 days.
Schedule of handing over the siteAvailable
[k.M [k.M [k.M [k.MClause 5.2
Nature of Hindrance Register (either Physical or Electronic)
Physical.
y{; uhps nh xbZ lkj.kh ds vuqlkj
y{; uhps nh xbZ lkj.kh ds vuqlkj
y{; uhps nh xbZ lkj.kh ds vuqlkj y{; uhps nh xbZ lkj.kh ds vuqlkj
Milestone(s): - As per Table given below
y{; ¼ehy&iRFkj½ lkj.kh
Table of milestone(s)
Table of Mile stones:
| Sl. No. | Description of Mile stone (Financial) | Time allowed in Months (From date of start) for achieving milestone |
|---|---|---|
| 1. | 1/2 of the tendered amount. | 1 Months |
| 1. | 1/4 of the tendered amount. | 2 Months |
| 2. | FULL | 3 Months |
NOTE:
1. Withheld amount shall be released if and when subsequent milestone is achieved within respective time specified. However, in case milestones are not achieved by the Bidder for the work, the amount shown against milestone shall be withheld.
2. Intending bidder may submit phasing of activities/milestones based on their resources and methodology at the time of bidding corresponding to physical milestones / financial milestone/ stages indicated in the above table. These shall be formed part of the agreement after approval of the accepting authority, otherwise it would be assumed that agency agrees with the above mentioned physical / financial milestones.
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Time allowed for execution of work :
Authority to decide
(i) Extension of Time
(ii) Rescheduling of mile stones
(iii) Shifting of date of start in case of delay in handing over of site
[k.M Clause 6, 6A
[kaM ykxw&¼6 ;k 6 d½ Clause applicable
[k.M Clause 7
varfje Hkqxrku ds fy, ik= gksus ds fy, vafre ,sls Hkqxrku ds ckn dqy Hkqxrku ,df=r lkefxz;ksa ds vfxzeksa ds lek;kstu lfgr fd;k tkus okyk dqy dk;Z Gross work to be done together with net payment/adjustment of advances for material collected, if any since the last such payment for being eligible to interim payment
[k.M [k.M 7777 dddd Clause7A
Weather clause 7 A shall be applicable
3 Months
Executive Engineer, AIIMS Bhopal
Superintending Engineer, AIIMS Bhopal
Superintending Engineer, Bhopal Central Circle CPWD, Bhopal or his successor
6 A
Rs. 9.00 Lakhs
Yes
(No running Account Bill shall be paid for the work till the applicable labour licenses, registration with EPFO, ESIC and BOCW Welfare Board, whatever applicable are submitted by the contractor to the Engineer-in-charge)
[k.M 10 d Clause10A
dk;ZLFky iz;ksx’kkyk esa Bsdsnkj }kjk miyC/k djk;s tkus ijh{k.k midj.k dh lwph
List of testing equipment to be provided by the contractor at site lab.
As required
[k.M Clause10B(ii)
D;k [k.M 10 [k(ii) ykxw gksxk
Whether clause 10B (ii) shall be applicable Yes
[k.M
Clause10C
Component of labour expressed as : Percent of value of work
25%
[k.M [k.M [k.M [k.MClause10CA
: NA
[k.M [k.M [k.M [k.MClause10CC
: NA
[k.M [k.M [k.M [k.MClause 11
dk;Z fu"iknu ds fy, vuqikyu Specifications to be followed for execution of work
For Civil : CPWD Specification 2009, Volume-I & II with correction slips upto date of receipt of tender.
[k.M Clause 12 Type of Work
Composite Work
12.2 & 12.3
fopyu lhek ftlds ijs [k.M 12-2 rFkk 12-3 Hkou fuekZ.k
dk;Z ds fy, ykxw gksaxs
Deviation limit beyond which clauses 12.2 & 12.3
30%
shall apply for building work (Other than foundation)
12.5
(i) Deviation limit beyond which clauses 12.2 & 12.3 shall apply for foundation work (except earth work)
30%
12.6
(ii) Deviation limit for items in earth work subhead of
DSR or related items
100%
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[k.M Clause 16
?kVh gqbZ njs fu/kkZfjr djus dh fy, l{ke izkf/kdkjh Competent Authority for deciding reduced rates
For CIVIL WORK
Superintending Engineer AIIMS Bhopal
[k.M [k.M Clause 18
dk;ZLFky ij Bsdsnkj }kjk yxk;s tkus okyh vfuok;Z e’khujh vkStkj ,oa l;a=ksa dh lwph %&
List of mandatory machines, tools and plants to be deployed by the contractor at site.
As Required
[k.M Clause 25
Place of arbitration
To be decided by competent authority at the time of appointment of Arbitrator.
For Total Claim upto Rs. 25 Lakhs
| Designation | Constitution of Dispute Redressal Committee (DRC) |
|---|---|
| Chairman | |
| Member | |
| Member Secretary | |
| Presenting Officer | |
For Total Claim above Rs. 25 Lakhs
| Designation | | Constitution of Dispute Redressal Committee (DRC) |
|---|---|---|
| | Chairman | Director AIIMS Bhopal |
| | Member Secretary | Dpty. Director AIIMS Bhopal |
| | Member | F.A. AIIMS Bhopal |
| | Presenting Officer | Superintending Engineer, |
[k.M Clause 31
Whether clause 31 shall be applicable
Yes
[k.M Clause 36(i)
| S.NO | Requirement of Technical staff | Nos. | Minimum experience (Years) | Designation of Technical staff | Rate at which recovery shall be made from the contractor in the event of not fulfilling provision of Clause 36(i) |
|---|---|---|---|---|---|
| 1 | Graduate Or Diploma | 1+1 (Civil +Elect.) | 2 Or 5 respectively | Site Supervisor (Civil/Electrical) | Rs. 15,000/- per month per person |
Note:
1. Assistant Engineers retired from Government services that are holding Diploma will be treated at par with Graduate Engineers. Diploma holder with minimum 10-years relevant experience with a reputed construction company can be treated at par with Graduate Engineers for the purpose of such deployment subject to those diploma holders should not exceed 50% of requirement of degree engineers.
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[k.M Clause 42
I) d½ lhesUV vkSj fcVqeu dh vuqekuewy ek=k fu/kkZfjr djus ds fy, firstname.lastname@example.org
dsyksfufo }kjk eqfnzr fnYyh nj vuqlwph 2016
ds vk/kkj ij
I) (a) Schedule/statement for determining theoretical quantity of cement & bitumen
On the basis of Delhi Schedule of Rates 2016 printed by C.P.W.D. with correction slips issued up to date of receipt of tender.
II) vuqekuewyd ek=kvksa esa vuqeR; fopyu Variations permissible on theoretical quantities.
d½ lhesUV ftu dk;ksZ ds fy, fufonk easa vuqekfur ewY; :- 5 yk[k ls vf/kd u gks
a) Cement for works with estimated cost put to tender not more than Rs. 5 lakhs
Not Applicable
ftu dk;ksZ ds fy, fufonkesa vuqekfur
2 izfr'kr tek@?kVk
ewY; :- 5 yk[k ls vf/kd gks
for works with estimated cost put to
2 % plus/minus.
tender more than Rs. 5 lakhs
[-k½
fcVqeu lHkh dk;ksZ ds fy,
2-5 izfr'kr dsoy tek vkSj ?kVk ds i{k esa 'kwU;
b)
Bitumen for all works
2.5% plus only &Nil on minus side.
x½ bLikr izR;sd O;kl] dksV vkSj Js.kh ds fy, iwuoZyu vkSj lajpukRed bLikr dkV
2 izfr'kr tek@?kVk
c)
Steel Reinforcement and structural steel sections for each diameter, section and
2% plus/minus
category.
?k½
lHkh vU; lkefxz;ka
'kwU;
d) All other materials
Nil.
vuqeR; fopyu ls vf/kd dh ek=kvksa ds fy, olwyh njsa vuqeR; fopyu ls vf/kd dh ek=kvksa ds fy, olwyh njsa vuqeR; fopyu ls vf/kd dh ek=kvksa ds fy, olwyh njsa vuqeR; fopyu ls vf/kd dh ek=kvksa ds fy, olwyh njsa RECOVERY RATES FOR QUANTITIES BEYOND PERMISSIBLE VARIATION
__________________________________________________________________________________
---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
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PARTICULAR SPECI FICATIONS&SPECIAL CONDITIONS
1. GENERAL
1.1 Wherever any reference to any Indian Standard Specifications of BIS or other International standards of ASTM / BS/EN occurs in the documents relating to this contract, the same shall be inclusive of all amendments issued there-to or revisions thereof, if any, up to the date of receipt of tenders.
1.2 The contractor shall work according to the programme of work as approved by the Engineer-incharge, for which purpose, the contractor shall submit a programme of the work within 15 days from the stipulated date of start of the work based on computer software such as MS Project etc. and shall update the same every fortnight.
The contractor shall submit monthly progress report of the work in a computerized form. The progress report shall contain the following, apart from whatever else may be required as specified :
(i) Project information, giving the broad features of the contract of the work under the contract, and the broad structural or other details.
(ii) Introduction, giving a brief scope of the work under the contract, and the broad structural or other details.
(iii) Construction schedule of the various components of the work through a bar chart for the next three quarters (or as may be specified), showing the milestones, targeted tasks and upto date progress.
(iv) Progress chart of the various components of the work that are planned and achieved, for the month as well as cumulative upto the month, with reasons for deviations, if any, in a tabular format.
(v) Plant and machinery statement, indicating those deployed in the work, and their working status.
(vi) Man-power statement, indicating individually the names of all the staff deployed in the work, along with their designations.
(vii) Financial statement, indicating the broad details of all the running account payments received upto date, such as gross value of work done, advances taken, recoveries effected, amounts withheld, net payments, details of cheque payments received, etc.
(viii) A statement showing the extra and substituted items submitted by the contractor, and the payments received against them, items pending for sanction/decision by the Department, broad details of the Bank Guarantees, indicating clearly their validity periods, broad details of the insurance policies taken by the contractor, if any, the advances received and adjusted.
(ix) Progress photographs, in colour, of the various items/components of the work done upto date, to indicate visually the actual progress of the work.
(x) Quality assurance and quality control tests conducted during the month, with the results thereof.
(xi) Videography at various stages of construction right from the day of start of work to date of completion/occupation, covering all major events, inspections, visits by dignitaries etc.
1.3 The contractor shall take instructions from the Engineer-in-charge for stacking of materials at site. No excavated earth or building materials shall be stacked on areas where the buildings, roads, services or compound walls are to be constructed.
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AIIMS
1.4 Unless otherwise provided in the Schedule of quantities, the rates tendered by the contractor shall be all inclusive and shall apply to all heights, lifts, leads and depths of the building and nothing shall be payable to him on this account.
1.5 The working drawings appearing at para 8.1(iii) of conditions of contract in the form CPWD-7/8, shall mean to include both architectural and structural drawings respectively. The structural and architectural drawings shall be properly correlated before executing the work. In case of any difference noticed between architectural and structural drawings, final decision, in writing of the Engineer-in-charge shall be obtained by the contractor before proceeding further.
1.6 Some restrictions may be imposed by the security staff etc. on the working and for movement of labour, materials etc. The contractor shall be bound to follow all such restriction / instructions including issue of identity cards to all persons authorized by him to do work / visit the work site and nothing shall be payable on this account.
1.7 The contractor shall make his own arrangements for obtaining electric connections, if required, and make necessary payments directly to the department concerned.
1.8 The contractor shall conduct his work, so as not to interfere with or hinder the progress or completion of the work being performed by other contractor (s) or by the Engineer-in-Charge and shall as far as possible arrange his work and shall place and dispose off the materials being used or removed, so as not to interfere with the operations of other contractors, or he shall arrange his work with that of the others in an acceptable and coordinated manner and shall perform it in proper sequence to the complete satisfaction of Engineer-in-Charge. The contractor shall be responsible for any damage due to hindrance caused by him.
1.9 Cast iron pipes and fittings without ear shall be used. However, pipes and fittings with ears may be accepted without any extra payment. In such cases, clamps are not required and no extra payment shall be made for fixing the pipes in a different manner.
1.10 Any cement slurry added over base surface for bond or for continuation of concreting, for protecting reinforcement bars, its cost shall be deemed to have been included in the respective items, unless specified otherwise and nothing extra shall be payable nor extra cement shall be considered in the cement consumption on this account.
1.11 Stacking of materials and excavated earth including its disposal shall be done as per the directions of the Engineer-in-Charge. Double handling of materials or excavated earth if required at any stage shall have to be done by the contractor at his own cost.
1.12 No claim for idle establishment & labour, machinery & equipments, tools & plants and the like, for any reason whatsoever, shall be admissible during the execution of work as well as after its completion.
1.13 Only Star headed Stainless Steel screws shall be used unless otherwise specified.
1.14 Work shall be carried out in professional manner with finished product serving the intended purpose with specified strength, durability and aesthetics.
1.15 Work activities shall be executed in well thought out sequences such that consequent activities not adversely affecting previously done work. Nothing extra shall be payable to protect the works already done.
1.16 The contractor shall prepare all the needed shop drawings well in advance and get them approved before placing the order and execution of the item.
1.17 The contractor shall, at his risk and cost, make all arrangements and shall provide all facilities as the Engineer-in-Charge may require for collecting, and preparing the required number of samples for such tests at such time and to such place or places as may be directed by the Engineer - in -Charge and bear all charges and cost of testing unless specifically provided for otherwise elsewhere in the contract or specifications.
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1.18 The contractor shall not store /dump construction material or debris on metalled road.
1.19 The contractor shall get prior approval from Engineer-in-charge for the area where the construction material or debris can be stored beyond the metalled road. This area shall not cause any obstruction to the free flow of traffic / inconvenience to the pedestrians. It should be ensured by the contractor that no accidents occur on account of such permissible storage.
1.20. The contractor shall take appropriate protection measures like raising wind breakers of appropriate height on all sides of the plot / area using CGI sheets or plastic and / or other similar material to ensure that no construction material dust fly outside the plot area.
1.21 The contractor shall ensure that all the trucks or vehicles of any kind which are used for construction purposes / or are carrying construction material like cement, sand and other allied material are fully covered. The contractor shall take every necessary precautions that the vehicles are properly cleaned and dust free to ensure that enroute their destination, the dust, sand or any other particles are not released in air / contaminate air.
1.22 The contractor shall provide mask to every worker working on the construction site and involved in loading, unloading and carriage of construction material and construction debris to prevent inhalation of dust particles.
1.23 The contractor shall provide all medical help, investigation and treatment to the workers involved in the construction of building and carry of construction material and debris relatable to dust emission.
1.24 The contractor shall ensure that C&D waste is transported to the C & D waste site only and due record shall be maintained by the contractor.
1.25 The contractor shall compulsory use of wet jet in grinding and stone cutting.
1.26 The contractor shall comply all the preventive and protective environmental steps as stated in the MoEF guidelines, 2010.
1.27 The contractor shall carry out on-Road-Inspection for black smoke generating machinery. The contractor shall use cleaner fuel.
1.28 The contractor shall ensure that all DG sets comply emission norms notified by MoEF.
1.29 The contractor shall use vehicles having pollution under control certificate. The emissions can be reduced by a large extent by reducing the speed of a vehicle to 20 kmph. Speed bumps shall be used to ensure speed reduction. In cases where speed reduction cannot effectively reduce fugitive dust, the contractor shall divert traffic to nearby paved areas.
1.30 The contractor shall ensure that the construction material is covered by tarpaulin. The contractor shall take all other precaution to ensure that no dust particles are permitted to pollute air quality as a result of such storage.
1.31 The paving of the path for plying of vehicles carrying construction material is more permanent solution to dust control and suitable for longer duration projects.
1.32 The agency is permitted for erect the site office, store yard and ground water extraction facility temporarily near the place of construction free of cost. Contractor shall remove such structures on completion of work.
2.0 FLOORING, SKIRTING, VENEERING, DADO, TREADS & RISERS OF STEPS, JAMBS, SILLS & SOFFITS
2.1 Nothing extra shall be payable for using combination of marble, granite and kota in the required pattern at various locations unless otherwise specified.
2.2 Flooring in toilets, verandah, kitchen, courtyard and at other places if required shall be laid to the required slope/gradient as per the directions of the Engineer-in-Charge and nothing extra shall be paid on account of the same.
2.3 The pattern, spacing and locations of joints shall be as per drawings and direction of the Engineer-in-Charge and nothing extra shall be paid on account of the same.
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3.0 SPECIALISED ITEMS
3.1 LIST OF SPECIALISED ITEMS:
1. Water proofing treatment work
2. Laying of granite stone flooring
3. Special foundations including all types of piles.
4. Fibrous plaster ceiling.
5. Acoustic treatment and other decorative items such as glass ceiling.
6. Aluminum doors and windows, aluminum partition.
7. Underground & overhead RCC tank.
8. Guniting, Ready mix concrete.
9. Aluminum composite panel.
10. Swimming pool.
11. Fabrication and erection of space frame including covering with lightweight poly carbonate roofing.
12. Diaphragm walls.
13. Anti-termite chemical treatment.
14. Stainless steel cladding and stainless steel railing.
15. Structural glazing work,
16. Fiber glass doors.
17. Stone works such as:
(a) Ashlar stone masonry work.
(b) Stone jali work.
(c) Italian marble work.
18. Superior water supply fittings such as Jacuzzi steam cabins, cascades, etc.
19. Sensor operated system for flushing.
20. Plumbing with copper/polypropylene pipes using advanced technology for jointing.
21. Textured finishing work.
22. Signage's
23. Wooden flooring
24. Polycarbonate sheet roofing
3.2 Procedure for Execution of the Specialized Items:
Such items should be got executed only through associated agencies specialized in these fields. The contractor shall indicate the name(s) of his associated specialized agencies those fulfilling the conditions described in para 16.5 of CPWD Works Manual-2014 as early as possible and within one month of award of work to Engineer-in-Charge for approval of competent authority.
3.3 Specialized Agencies
3.3.1 Specialized agencies for ACP & Polycarbonate sheet roofing is one who have satisfactorily completed three works of 40% or two works of 60% or one work of 80% of the cost of corresponding work in last seven years, duly certified by not less than rank of Executive Engineer is to be approved by the competent authority. The contractors shall quote the rates after careful study of contract conditions, specifications, drawings & schedule of quantities.
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3.3.2 It shall be the responsibility of main contractor to sort out any dispute / litigation with the Specialized Agencies without any time & cost overrun to the Department. The main contractor shall be solely responsible for settling any dispute / litigation arising out of his agreement with the Specialized Agencies. The contractor shall ensure that the work shall not suffer on account of litigation/ dispute between him and the specialized agencies / sub-contractor(s). No claim of hindrance in the work shall be entertained from the Contractor on this account. No extension of time shall be granted and no claim what so ever, of any kind, shall be entertained from the Contractor on account of delay attributable to the selection/rejection of the Specialized Agencies.
3.3.3 For specialized items, the main contractor cannot work as a specialized agency unless his name is already included in the list of approved specialized agencies for these items. The contractor shall get these items executed through the specialized agencies as approved by competent authority.
3.4 RATES
3.4.1 The rates quoted by the Contractor are deemed to be inclusive of site clearance,
setting out work, profile, setting lay out on ground, establishment of reference bench mark(s), installing various signage, taking spot levels, survey with total station, construction of all safety and protection devices, compulsory use of helmet and safety shoes, and other appropriate safety gadgets by workers, imparting continuous training for all the workers, barriers, preparatory works, construction of clean, hygienic and well ventilated workers housings in sufficient numbers as per drawing supplied by Engineer in charge, working during monsoon or odd season, working beyond normal hours, working at all depths, height, lead, lift, levels and location etc. and any other unforeseen but essential incidental works required to complete this work. Nothing extra shall be payable on this account and no extension of time for completion of work shall be granted on these accounts.
3.4.2 The rates quoted by the tenderer, shall be firm and inclusive of all taxes and levies (including works contract tax but excluding service tax).
3.4.3 No foreign exchange shall be made available by the Department for importing (purchase) of equipment, plants, machinery, materials of any kind or any other items required to be carried out during execution of the work. No delay and no claim of any kind shall be entertained from the Contractor, on account of variation in the foreign exchange rate.
3.4.4 All ancillary and incidental facilities required for execution of work like labour camp, stores, fabrication yard, offices for Contractor, watch and ward, temporary ramp required to be made for working at the basement level, temporary structure for plants and machineries, water storage tanks, installation and consumption charges of temporary electricity, telephone, water etc. required for execution of the work, liaison and pursuing for obtaining various No Objection Certificates, completion certificates from local bodies etc., protection works, testing facilities / laboratory at site of work, facilities for all field tests and for taking samples etc. during execution or any other activity which is necessary (for execution of work and as directed by Engineer-inCharge), shall be deemed to be included in rates quoted by the Contractor, for various items in the schedule of quantities. Nothing extra shall be payable on these accounts. Before start of the work, the Contractor shall submit to the Engineer-in-Charge, a site / construction yard layout, specifying areas for construction, site office, positioning of machinery, material yard, cement & other storage, fabrication yard, site laboratory, water tank etc.
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3.4.5 For completing the work in time, the Contractor might be required to work in two or more shifts (including night shifts). No claim whatsoever shall be entertained on this account, not withstanding the fact that the Contractor may have to pay extra amounts for any reason, to the laborers and other staff engaged directly or indirectly on the work according to the provisions of the labour and other statutory bodies regulations and the agreement entered upon by the Contractor with them.
3.4.6 All material shall only be brought at site as per program finalized with the Engineer-in-Charge. Any pre-delivery of the material not required for immediate consumption shall not be accepted and thus not paid for.
3.5 CLEANLINESS OF SITE
The Contractor shall not stack building material / malba / muck/ rubbish on the land or road of the local development authority or on the land owned by the others, as the case may be. So the muck, rubbish etc. shall be removed periodically as directed by the Engineer-in-Charge, from the site of work to the approved dumping grounds as per the local byelaws and regulations of the concerned authorities and all necessary permissions in this regard from the local bodies shall be obtained by the Contractor. Nothing extra shall be payable on this account. In case, the Contractor is found stacking the building material / malba as stated above, the Contractor shall be liable to pay the stacking charges / penalty as may be levied by the local body or any other authority and also to face penal action as per the rules, regulations and bye-laws of such body or authority. The Engineer –in-Charge shall be at liberty to recover, such sums due but not paid to the concerned authorities on the above counts, from any sums due to the Contractor including amount of the Security Deposit and performance guarantee in respect of this contract agreement.
3.6 INSPECTION OF WORK
In addition to the provisions of relevant clauses of the contract, the work shall also be open to inspection by the senior officers of CPWD in addition of the Engineer-in-Charge and his authorized representative. The contractor shall at times during the usual working hours and at all times at which reasonable notices of the intention of the Engineer-in-Charge or other officers as stated above to visit the works shall have been given to the Contractor, either himself be present to receive the orders and instructions or have a responsible Site Engineer duly accredited in writing, to be present for that purpose Senior Officers of CPWD Authorities shall be inspecting the on-going work at site at any time with or without prior intimation.
3.7 GUARANTEE FOR WATER PROOFING TREATMENT:
The contractor shall give Ten years performance guarantee in the prescribed proforma for the water proofing treatment. In addition 10% (Ten percent) of the cost of water proofing items shall be retained as security, to watch the performance of the work executed. However, half of this amount (withheld) shall be released after five years, after the completion of the work, if no defect comes to notice. If any defect is noticed during the guarantee period, it shall be rectified by the contractor within Seven days after serving the notice by Department and, if not attended to, the same shall be got done through other agency at the risk and cost of the contractor. In any case the guaranteeing firms during the guarantee period shall inspect and examine the treatment once every year and make good any defect observed and Certificate to that effect shall be submitted to Department every year. However, the 10 % security deposit referred above can be replaced with bank guarantee of equivalent amount for relevant period.
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4.0 Stainless Steel Railing/Handrails:
4.1 GENERAL
The contractor shall apply all materials, labour, tools, ladders, scaffolding and other equipments necessary for the completion and protection of all stainless steel work.
4.2 MATERIAL
All stainless steel pipes and plates shall conform to AISI 304 in 18/8 composition. 18 will be chromium and 8 will be Nickel and carbon content will be 0.03 maximum and the relevant clauses associated with this grade of steel to be followed.
4.3 SURFACE FINISH
Surface finish of all the stainless steel materials will be in 240 grit satin finish / matt finish.
4.4 ACCESSORIES
Fixing will be done by stainless steel expansion bolts of approved size and make as per Engineer-in-charge and welding to be done by using organ welding rods and the surface being duly finished and cleaned by K2 passivation, which is nitric acid plus floric acid solution treatment by which the chances of corrosion will be eliminated and any burn out makes on the metal will also be eliminated.
4.5 COATING MASS
All stainless steel material will have to be coated by a solution of Inox to avoid finger in prints and avoidance of settlement of environment / atmospheric dust.
4.6 MEASUREMENT
All the stainless steel finished parts shall be weighed correct to a gram and paid on weight basis.
4.7 RATE
The rate shall include the cost of all the materials, machinery and labour involved in all the operations described above including cartage, lifts and all taxes like Sales Tax / VAT, Excise duty, Octroi etc. as applicable.
Any incidental additional requirements for execution of this item to the satisfaction of Engineerin-Charge shall also be treated as included in the item and shown in attached drawing and nothing extra will be paid for such extra work.
installation drawings for approval of the Engineer-in-charge-in-Charge and no work shall be performed until the approval of these drawings is obtained.
4.8 CONTRACTORS
CO-OPERATION WITH OTHER CONTRACTORS/SPECIALIZED AGENCIES / SUB-
4.8.1 The Contractor shall take all necessary precautions to prevent any nuisance or inconvenience to the owners, tenants or occupants of the adjacent properties and to the public in general .The Contractor shall take all care, as not to damage any other adjacent property or other services running adjacent to the plot. If any damage is done, the same shall be made good by the Contractor at his own cost and to the entire satisfaction of the Engineer-in-Charge. The Contractor shall use such methodology and equipments for execution of the work, so as to cause minimum environmental pollution of any kind during construction. Further, the Contractor shall take all precautions to abide by the environmental related restrictions imposed by Madhya Pradesh Pollution control board, Govt. of Madhya Pradesh.
Almost care shall be taken to keep the noise level to the barest minimum so that no disturbance as far as possible is caused to the occupants / users of adjoining buildings. No claim what so ever on account of site constraints mentioned above or any other site constraints, inadequate availability of skilled, semi-skilled or unskilled workers in the near vicinity, non-availability of construction machinery spare parts and any other constraints not specifically stated here, shall be entertained from the Contractor. Therefore, the Tenderers are advised to visit site and get firsthand information of site constraints. Accordingly, they should quote their tenders. Nothing extra shall be payable on this account.
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4.8.2 The Contractor shall cooperate with and provide the facilities to the sub-Contractors and other agencies working at site for smooth execution of the work. The contractor shall indemnify the client / user department against any claim(s) arising out of such disputes.
4.8.3. The Contractor shall:
(i) Allow use of scaffolding, toilets, sheds etc.
(ii) Properly co-ordinate their work with the work of other Contractors.
(iii) Provide control lines and benchmarks to his Sub-Contractors and the other Contractors.
(iv) Provide electricity and water at mutually agreed rates.
(v) Provide hoist and crane facilities for lifting material at mutually agreed rates.
(vi) Co-ordinate with other Contractors for leaving inserts, making chases, alignment of services etc. at site.
(vii) Adjust work schedule and site activities in consultation with the Engineer-in-Charge and other Contractors to suit the overall schedule completion.
(viii) Resolve the disputes with other Contractors/ sub-contractors amicably and the Engineer-inCharge shall not be made intermediary or arbitrator.
4.8.4 The work should be planned in a systematic manner so as to ensure proper co-ordination of various disciplines viz. sanitary & water supply, drainage, rain water harvesting, electrical, fire fighting, information technology, communication & electronics and any other services.
4.8.5 Other agencies will also simultaneously execute and install the works of sub-station / generating sets, air-conditioning, lifts, etc. for the work and the contractor shall afford necessary facilities for the same. The contractor shall leave such recesses, holes, openings trenches etc. as may be required for such related works (for which inserts, sleeves, brackets, conduits, base plates, clamps etc. shall be supplied free of cost by the department unless otherwise specifically mentioned) and the contractor shall fix the same at time of casting of concrete, stone work and brick work, if required, and nothing extra shall be payable on this account.
4.8.6 The contractor shall conduct his work, so as not to interfere with or hinder the progress or completion of the work being performed by other contractor(s) or by the Engineer-In-Charge and shall as far as possible arrange his work and shall place and dispose off the materials being used or removed so as not to interfere with the operations of other contractor or he shall arrange his work with that of the others in an acceptable and in a proper co -ordination manner and shall perform it in proper sequence to the complete satisfaction of others.
5.0 CONDITION FOR CEMENT :-
5.1 The Contractor shall procure 43 grade Ordinary Portland cement (conforming to IS : 8112) or Portland slag cement (conforming to IS : 455) or Portland Pozzolana Cement (PPC) (Fly ash based) – conforming to IS : 1489 (Part-I) as required in the work, from reputed manufactures of cement such as ACC, Ultratech, Vikram, Shree Cement, Birla Gold, Ambuja & J.K. Cement or from any other reputed cement Manufacturer having a production capacity not less than one million tonnes per annum as approved by ADG for that sub region.
The tenderers may also submit a list of names of cement manufacturers which they propose to use in the work. The tender accepting authority reserves right to accept or reject name(s) of cement manufacture(s) which the contractor proposes to use in the work. No change in the tendered rates will be accepted if the tender accepting authority does not accept the list of cement manufacturer, given by the tenderer, fully or partially.
Supply of cement shall be taken in 50 Kg bags bearing manufacturer's name and ISI marking. Samples of cement arranged by the contractor shall be taken by the Engineer-in-charge and got issue in accordance with provisions of relevant BIS codes. In case test results indicate that the cement arranged by the Contractor does not conform to the relevant BIS codes, the same shall
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stand rejected and shall be removed from the site by the Contractor at his own cost within a week's time of written order from the Engineer-in-charge to do so.
If Portland Pozzolana cement or Portland slag cement is used, suitable modification in deshuttering time etc. shall be done if need be as per specifications and standards and as directed by Engineer – in – charge and nothing extra shall be payable on this account.
No extra payment / deduction shall be made from the payment to the contractor for using any of the above type of cement.
5.2 The cement shall be brought at site in bulk supply of approximately 50 tonnes or as decided by the Engineer - in - charge.
5.3 For each grade / type, cement bags shall be stored in two separate godowns, one for tested cement and the other for fresh cement (under testing) constructed by the contractor at site of work as per sketch shown in General conditions of contract for CPWD works 2014 with weather proof roofs and walls, for which no extra payment shall be made. The size of the cement godown is indicated in the sketch for guidance only. The actual size of godown shall be as per site requirements and as per the direction of the Engineer in charge and nothing extra shall be paid for the same. The decision of the Engineer-in-charge regarding the capacity required/needed will be final. However, the capacity of each godown shall not be less than 100 tonnes. Each godown shall be provided with a single door with two locks. The keys of one lock shall remain with CPWD Engineer-in-charge or his authorized representative and that of other lock with the contractor at the site of work so that the cement is issued from godown according to the daily requirement with the knowledge of both the parties. The account of daily receipt and issue of cement shall be maintained in a register in the prescribed Performa and signed daily by the contractor or his authorized agent in token of its correctness.
5.4 The cement shall be got tested by Engineer –in –Charge and shall be used on the work only after satisfactory test results have been received. The contractor shall supply free of charge the cement required for testing including its transportation cost to testing laboratories. The cost of tests shall be borne by the contractor / Department in the manner indicated below:
(a) By the contractor, if the results show that the cement does not conform to relevant BIS codes.
(b) By the Department, if the results show that the cement conforms to relevant BIS codes.
5.4.1 All other charges of sampling, packing and transportation of sample shall also be borne by the Contractor.
5.5 The actual issue and consumption of cement on work shall be regulated and proper accounts maintained separately for each type of cement, as provided in clause 10 of the contract. The theoretical consumption of cement shall be worked out as per procedure prescribed in Clause 42 of the contract and shall be governed by conditions laid therein. However, for consumption lesser beyond permissible theoretical variation recovery shall be made in accordance with conditions of contract at Schedule A to F (CPWD-7), without prejudice to action for acceptance of work/item at reduced rate or rejection as the case may be. In case of excess consumption no adjustment shall be made.
5.6 Cement brought to site and cement remaining unused after completion of work shall not be removed from site without written permission of the Engineer-in-charge.
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6.0 CONDITIONS FOR REINFORCEMENT STEEL :-
6.1 The contractor shall procure TMT bars of Fe 415 / Fe 415D / Fe 500D / Fe 550 / Fe 550D grade from primary producers such as SAIL, Tata Steel Ltd., RINL, Jindal Steel & Power Ltd. and JSW Steel Ltd. or any other producer as approved by CPWD who are using iron ore as the basic raw material / input and having crude steel capacity of 2.0 Million tonne per annum and above.
In case of non-availability of steel from primary producers, use of TMT reinforcement bars procured from steel producers having integrated steel plants (ISPs) or secondary producers using iron ore as the basic raw material for production of crude steel which is further rolled into finish shapes in-house having crude steel capacity of 0.5 million tonne per annum or more will be allowed subject to fulfillment of following conditions:
a. The grade of the steel such as Fe 415 / Fe 415D / Fe 500D / Fe 550 / Fe 550D or other grade to be procured is to be specified as per BIS : 1786 - 2008.
b. The secondary producers must have valid BIS licence to produce HSD bars conforming to IS 1786 : 2008. In addition to BIS licence, the secondary producer must have valid licence from either of the firms Tempcore, Thermex, Evcon Turbo & Turbo Quench to produce TMT Bars.
c. The TMT bars procured from primary producers and ISPs shall conform to manufacturer's specifications.
d. The TMT bars procured from secondary producers shall conform to the specifications as laid down by Tempcore, Thermex, Evcon, Turbo and Turboquench as the case may be.
e. TMT bars procured either from primary producers, ISPs or secondary producers, the specifications shall meet the provisions of IS 1786 : 2008 pertaining to Fe 415 / Fe 415D / Fe 500D / Fe 550 / Fe 550D or other grade of steel as specified in the tender.
6.2 Samples shall also be taken and got tested by the Engineer-in-Charge as per the provisions in this regard in relevant BIS codes. In case the test results indicate that the steel arranged by the contractor does not conform to the specifications as defined under para (d) & (e) above, the same shall stand rejected, and it shall be removed from the site of work by the contractor at his cost within a week time of written orders from the Engineer-in-Charge to do so.
In case contractor is permitted to use TMT reinforcement bars procured from secondary producers then:
(i) The base price of TMT reinforcement bars as stipulated under schedule 'F' shall be reduced by Rs. 6700/- MT. However, for operation of provisions of clause 10CA in such case, the indices for TMT reinforcement bars of secondary producers will be considered same as for primary producers.
(ii) The rate of providing & laying TMT reinforcement bars as quoted by the contractor in the tender shall also be reduced by Rs. 8.00 per kg.
6.3 The steel reinforcement bars shall be brought at site in bulk supply of 25 tones or more as decided by the Engineer in charge.
6.4 The steel reinforcement bars shall be stored by the contractor at site of work in such a way as to prevent distortion and corrosion and nothing extra shall be paid on this account. Bars of different sizes and lengths shall be stored separately to facilitate easy counting and checking.
6.5 For checking nominal mass, tensile strength, bend test, re-bend test, etc. specimen of sufficient length shall be cut from each size of the bar at random at frequency not less than that specified below:
6.6 The contractor shall supply free of charge the steel required for testing including its transportation to testing laboratories. The cost of tests shall be borne by the contractor.
6.7. All other charges of sampling, packing and transportation of sample shall also be borne by the Contractor.
6.8 The actual issue and consumption of steel on work shall be regulated and proper accounts maintained as provided in clause 10 of the contract. The theoretical consumption of steel shall be worked out as per procedure prescribed in clause 42 of the contract and shall be governed by conditions laid therein. In case the consumption is less than theoretical consumption including permissible variations, recovery at the rate so prescribed shall be made. In case of excess consumption no adjustment need to be made.
6.9 Steel brought to site and remaining unused shall not be removed from site without the written permission of Engineer-in-Charge.
6.9 (i) Reinforcement including authorized spacer bars and lappages shall be measured in length for different diameters as actually (not more than as specified in the drawings) used in the work nearest to a centimeter. Wastage and unauthorized overlaps shall not be measured.
(ii) The standard sectional weights referred to shall be as in Table 5.4 in para 5.3.4 in revised CPWD specifications 2009 Vol. I will be considered for conversion of length of various sizes of TMT bars in to standard weight.
(iii)Record of actual sectional weights shall also be kept dia wise and lot wise. The average sectional weight for each diameter shall be arrived at from samples from each lot of steel received at site. The decision of the Engineer in Charge shall be final for the procedure to be followed for determining the average sectional weight of each lot. Quantity of each diameter of steel received at site of work each day will constitute one single lot for the purpose. The weight of steel by conversion of length of various sizes of bars based on the actual weighted average sectional weight shall be termed as Derived Actual Weight.
(a) If the derived weight as in sub-para (iii) above is less than the standard weight as in sub-para
(ii) above, then the Derived Actual Weight shall be taken for payment.
(b) If the derived actual weight is found more than the standard weight, than standard weight as worked out in sub para (ii) above shall be taken for payment. Nothing shall be paid extra for the difference in Derived/ Actual Weight and standard weight.
6.10 Every care should be taken to avoid mixing different types of grades of bars in the same structural members as main reinforcement to satisfy relevant clause of IS: 456. In case of buildings, wherever the situation necessitates, the change over shall be permitted only from any one level onwards. In case of foundations, all foundation elements (footings and grade beams) shall have the same kind of steel. In the case of columns, all structural elements up to the level of change, where the change over is taking place should have the same kind of steel as those in columns.
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| Dia of bar | For consignment below 100 tones |
|---|---|
| Under 10 mm | One sample for each 25 tonnes or part thereof |
| 10 mm to 16mm | One sample for each 35 tonnes or part thereof |
| Over 16mm | One sample for each 45 tonnes or part thereof |
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6.11 The reinforcing steel brought to site of work shall be stored on brick / timber platform of 30/40cm height, nothing extra shall be paid on this account.
7.0 REINFORCED CEMENT CONCRETE WORK
7.1 DESIGN MIX CONCRETE
7.1.1 The RCC work shall be done with Design Mix Concrete unless otherwise specified. In the nomenclature of items wherever letter M has been indicated, the same shall imply for the Design Mix Concrete. For the nominal mix in RCC, CPWD Specifications shall be followed. The Design Mix Concrete will be designed based on the principles given in IS: 456-2000. The contractor shall design mixes for each grade of concrete indicating that the concrete ingredients and proportions will result in concrete mix meeting requirements specified. In case of use of admixture and or white cement, the mix shall be designed with these ingredients as well.
9.1.2 The concrete mix design will be carried out by the contractor through one of the following laboratories / Test houses and ready mix concrete shall conform to accepted design mix. a) MANIT, Bhopal. b) Govt. Engineering College, Vidisha Or C) As per approved RMC plant
9.1.3 In the event of all the above laboratories being unable to carry out the requisite design / testing the contractor shall have to get the same done from any other laboratory with prior approval of the Engineer-in-Charge.
9.1.4 The contractor shall submit the mix design report from any of above approved laboratories for approval of Engineer-in-Charge within time given by Engineer –in –Charge from the date of issue of letter of acceptance of the tender.
9.1.5 In case of white Portland cement and the likely use of admixtures where CC/RCC is done with concrete pumps in concrete with ordinary Portland/white Portland cement, the contractor shall design and test the concrete mix by using trial mixes with white cement and /or admixtures also, for which nothing extra shall be payable.
9.1.6 Each time when there is change of source or characteristic properties of the ingredients used in the concrete mix during the work, a revised mix design shall be done and approval obtained from the approved Laboratory or as per the direction of the Engineer-in-Charge. Preferably only single source of cement shall be kept for the work. In case contractor decides to use more than one source of approved cement brand then for each brand separate design mix shall be done and got approved by Engineer-in-charge.
9.1.7 The Mix shall be designed to produce the grade of concrete having required workability and characteristic strength not less than as specified.
9.1.8 The mix design for a specified grade of concrete shall be done for a target mean compressive strength T ck = F ck + 1.65 Ѕ
Where,
F ck = Characteristic compressive strength at 28 days.
S= Standard deviation
The standard deviation for each grade of concrete shall be calculated separately.
The degree of quality control for this work is "Good" for which the standard deviation (s) obtained for different grades of concrete shall be as follows:-
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9.1.9 Out of the six specimen of each set, three shall be tested at seven days and remaining three at 28 days. The preliminary tests at seven days are intended only to indicate the strength likely to be attained at 28 days. All cost of mix designing and testing connected therewith including charges payable to laboratory shall be borne by the Contractor.
9.1.10 The samples of cement, aggregate (fine & coarse) to be sent to the laboratories shall be sealed in the presence of the Engineer- in -Charge and shall have his signature and cost of packaging, sealing, transportation, loading, unloading, cost of samples and the testing charges for Mix design in all cases shall be borne by the contractor.
9.1.11 Not with standing the approval granted by Engineer-in-Charge in aforesaid manner, the contractor shall be fully responsible for quality of concrete including input control, transportation and placement etc.
9.1.12 The Engineer-in-Charge reserves the right to exercise control over the ingredients, water and admixtures, purchased, stored and to be used in the concrete including conducting of tests for checking quality of materials fit or unfit for use in production of mix.
9.1.13 The Contractor shall submit the test data of the material used for concrete mix-design in the laboratories, so the material being used at site can be compared with those data / size etc.
9.1.14 In case of change of parameters of ingredients (fine aggregate, cement, coarse aggregate) fresh concrete mix-design to be done as mentioned in paras 9.1.1, 9.1.2 & 9.1.6 to 9.1.10 above and got approved from the Engineer-in-Charge before execution.
9.1.15 The contractor shall make arrangement to install a mini laboratory at site for accelerated testing of design mix concrete as per IS : 9013. The department reserves right to take samples of design mix concrete from the mass production of the concrete for testing and compare with the laboratory's results.
9.1.16 nothing shall be paid extra for installation and cost of batching plant and other arrangement for making necessary test of design mix concrete.
9.1.17 The item of design mix cement concrete shall be inclusive of all the ingredients including admixtures if required, labour, machinery T & P etc. (except shuttering which will be measured & paid for separately) required for a design mix concrete of required strength and workability. The rate quoted by the agency shall be net & nothing extra shall be payable on account of change in quantities of concrete ingredients like aggregates and admixtures as per the approved mix design.
9.1.18 Concrete shall be handled from the place of mixing to the place of final deposit / placement by methods, which prevent segregation, or loss of any ingredients and contamination.
9.1.19 Where concrete is conveyed by chutes, the chute shall be made of metal or fitted with metal lining. The approval of the Engineer-in-charge shall be obtained for the use of chutes in excess of 3 metres length and in such cases the concrete shall be remixed if so required by the Engineerin-Charge or closed bottom buckets shall be used. If concrete is placed by pumping, the conduit shall be primed properly. Once pumping is started, it shall not be interrupted as far as possible. Concrete shall not be dropped into place from a height more than 1.5m.
9.1.20 Concreting of any portion of the work shall be done in presence of the representative of the Engineer-in-Charge and shall be done only after approval of the Engineer-in-Charge.
9.1.21 Concreting shall be carried out continuously between constructions joints shown on the drawings or as agreed by the Engineer-in-Charge. The contractor shall closely follow the sequence of concreting where it is specified in the drawings. If concreting is interrupted before reaching the predetermined joint an approved construction joint shall be provided. Construction joints shall be minimized as far as possible. These shall be set at right angles to the general direction of the member. The surface film of the first placed concrete should preferably be removed while the concrete is still green to expose the aggregate and leave a sound irregular surface. However care shall be taken not to disturb the concrete already laid.
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9.1.22 Admixtures: Wherever required, admixtures of approved quality only shall be mixed with concrete as specified. The admixtures shall conform to IS: 9103. The chloride content in the admixture shall satisfy the requirements of BS: 5075. The total amount of chlorides in the admixture mixed concrete shall also satisfy the requirements of IS 456-2000.
9.1.23 Use of ready mixed concrete (RMC) may also be permitted, with prior approval of Engineer –in – Charge, without any extra payment. Separate account of design mix concrete and RMC shall however be kept. The ready mixed concrete shall conform to the requirement of durability, workability and strength as laid down for design mix concrete.
9.2 Use of Fly Ash and Fly Ash Blended Cements in RCC Structures :-
9.2.1. General
188.8.131.52 IS : 456-2000 Code of Practice for plain and Reinforced Concrete (as amended up to date) shall be followed in regard to Concrete mix Proportion and its production as under :-
184.108.40.206.1 The concrete mix design shall be done as "Design Mix Concrete" as prescribed in clause – 9 of IS 456 mentioned above.
220.127.116.11.2 Concrete shall be manufactured in accordance with clause 10 of above mentioned IS:456 covering quality assurance measures both technical and organizational, which shall also necessarily require a qualified Concrete Technologist to be available during manufacture of concrete for certification of quality of concrete.
18.104.22.168 Minimum M25 grade of concrete shall be used in all structural elements made with RCC both in load bearing and framed structure.
22.214.171.124 The mechanical properties such as modulus of elasticity, tensile strength, creep and shrinkage of flyash mixed concrete or concrete using flyash blended cements (PPCs) should not likely to be significantly different and their values are to be taken same as those used for concrete made with OPC. Fly ash when used in the production of concrete shall be strictly in conformity with IS : 3812 (Para 1 & 10).
126.96.36.199 To control higher rate of carbonation in early ages of concrete both in flyash admixed as well as PPC based concrete, water / binder ratio shall be kept as low as possible, which shall be closely monitored during concrete manufacture. If necessitated due to low water / binder ratio, required workability shall be achieved by use of chloride free chemical admixtures conforming to IS : 9103. The compatibility of chemical admixtures and supper plasticizers with each set OPC, flyash and / or PPC received from different sources shall be ensured by trials.
188.8.131.52 In environment subjected to aggressive chloride or sulphate attack in particular, use of flyash admixed or PPC based concrete is recommended. In cases, where structural concrete is exposed to excessive magnesium sulphate, flyash substitution / content shall be limited to 18% by weight. Special type of cement with low C3A content may also be alternatively used. Durability criteria like minimum binder content and maximum water / binder ratio also need to be given due consideration in such environment.
184.108.40.206 Wet curing period shall be enhanced to a minimum of 10 days or its equivalent. In hot and arid regions, the minimum curing period shall be 14 days or its equivalent.
9.2.2. Use of Flyash Admixed Cement Concrete (FACC) in RCC Structures :- There shall be no bar on use of FACC in RCC structures subject to following additional conditions :-
220.127.116.11 Flyash shall have its chemical characteristics and physical requirements etc. conforming to IS : 3812 (Part-10) and shall be duly certified.
18.104.22.168 To ensure uniform blending of flyash with cement in conformity with IS : 456, a specific facility needs to be created at site with complete computerized automated process control to achieve design quality or with similar facility from Ready Mix concrete (RMC) plants.
22.214.171.124 As per IS : 1489 (Part-I), Maximum 35% of OPC by mass is permitted to be substituted with flyash conforming to IS : 3812 (Part-I)and same is reiterated.
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126.96.36.199 Separate storage for dry flyash shall be provided. Storage bins or silos shall be weather proof and permit a free flow and efficient discharge of flysh. The filter or dust control system provided in the bins or silos shall be of sufficient size to allow delivery of flyash maintained at specified pressure to prevent undue emission of flyash dust, which may interfere weighing accuracy.
9.2.3. Use of Fly Ash Blended Cements in Cement Concrete (PPCC) in RCC structures
188.8.131.52 Subject to General Guidelines detailed out as above, PPC manufactured conforming to IS:1489 (Part-I) shall be treated at par with OPC for manufacture of Design Mix Concrete for structural use in RCC.
184.108.40.206 Till the time, BIS makes it mandatory to print the %age of flyash on each bag of cement, the certificate from the PPC manufacturer indicating the same shall be insisted upon before allowing use of such cements in works.
220.127.116.11 While using PPC for structural concrete work, no further admixing of fly ash shall be permitted.
10.0 PARTICULAR SPECIFICATIONS FOR AAC BLOCK MASONRY:
10.1 The AAC Blocks shall be procured from approved manufacturers.
10.2 The blocks shall be stored at site in stacks on a level dry surface.
10.3 Deleted.
10.4 The thickness of joints in the masonry shall not exceed 10 mm and shall be of uniform thickness.
10.5 Maximum height of wall built on any day shall not be more than 1.2 metres (i.e. 6 layers).
10.6 The joints in the masonry shall be recessed and no flush pointing shall be done.
10.7 A slip membrane with PVC sheet shall be introduced as per the recommendation of blocks manufacturer before laying the first course on the plinth beam.
10.8 The blocks shall not be soaked in water and instead they shall be dipped in water and taken out immediately to have only moist surface.
10.9 The vertical joints of the masonry shall be broken to have a minimum overlap of 100 mm.
10.10 Bed joint 2 Nos 6mm dia reinforcement bars may be placed in the joints after every 3rd course in two successive layers as per the recommendation of the manufacturers to have good lateral stability.
10.11 It shall be ensured that the lintels are rest at either end of window opening only on full block and not on half or part blocks reinforcement shall be placed in the sill course of window openings in two successive horizontal joints and extend the same at least to 600 mm on either side of the jamb surface.
10.12 At a RCC column interface an MS anchor ("L" shape) may be placed and fixed with screws at every 4th course so as to anchor the wall with RCC column for better lateral stability. The anchor shall be got approved from Engineer-in-Charge.
10.13 Curing of the masonry shall be done only by spraying water and no flooding shall be done by water jets / buckets.
10.14 The chases in the wall surface for electrical conduits shall be done only by means of electrically operated saw to cut two parallel lines and the portion between the cuts shall be chiseled carefully. The depth of vertical chases should be limited to 1/3 rd of wall thickness and horizontal chases should not be more than 1/6th of wall thickness. The chases have to be properly packed with cement mortar 1:4 (1 cement: 4 sand) between pipes and chases.
10.15 The blocks shall be cut using a carpenter saw to have half blocks or any other suitable size block to close the masonry course or to break the vertical joint from the bottom course. Hammer or a masons trowel shall not be used to cut the blocks.
10.16 GI wire mesh shall be fixed on all column wall and beams- wall junctions before taking up the plaster work.
10.17 The rates of the item include all the elements described above except para No. 10.10 and 10.16 (These shall be paid separately if executed).
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11.0 EQUIPMENTS AND PLANTS (Refer Clause 18 of Schedule 'F')As Per Site requirement
11.1 The contractor has to deploy necessary tools & plants as per site requirement to ensure smooth & timely execution of work, at his own cost & risk as per the requirement of work at different stages. The decision of Engineer-in-Charge shall be final regarding use of particular T&P(s) at a particular time(s) & the contractor has to adhere to the same strictly. The following description & quantum of T&P is given for general guidance which is not mandatory. However, the successful contractor shall give a list of tools and plants which he proposes to deploy to ensure smooth and timely execution as per different milestone fixed and timely completion of work while submitting the programmed and progress chart.
11.2 To achieve the program of work as per programme the contractor must bring at site the required shuttering materials required for cement concrete and RCC work etc. within 30 days from the date of start of work. All other equipments shall be brought, installed and commissioned at site of work at least one week before their actual planned use at site. Work shop facilities for fabrication/addition and alterations, and other allied works shall be arranged by the contractor at his own cost.
11.3 The list of equipment/T&P/machinery as per para 11.1 is for general guidance. In addition to these, machinery / equipment as required shall be arranged by the contractor in case the requirement at any stage exceeds as per the programme finalized at his own cost and nothing extra whatsoever on this account shall be paid. This include equipment for arrangement of concrete from RMC producing plants also.
11.4 All the equipment, T&P and machinery shall be kept in good condition.
12.0 SAFETY MEASURES AT CONSTRUCTION SITE
In order to ensure safe construction, following shall be adhered for strict compliance at the site:-
(i) The work site shall be properly barricaded.
(ii) Adequate singnages indicating 'Work in Progress – Inconvenience caused is regretted' or Diversion Signs shall be put on the sites conspicuously visible to the public even during night hours. These are extremely essential where works are carried out at public places in use by the public.
(iii) The construction malba at site shall be regularly removed on daily basis.
(iv) All field officials and the workers must be provided with safety helmets, safety shoes and safety belts.
(v) Proper MS pipe scaffoldings with work – platforms and easy-access ladders shall be provided at site to avoid accidents.
Necessary First-Aid kit shall be available at the site.
The above provisions shall be followed in addition to the provisions of General Condition of Contract.
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13.0 LIST OF EQUIPMENT FOR SITE TO BE MADE AVAILABLE BY THE CONTRACTOR AT HIS OWN COST (Refer Clause 10 A of Schedule 'F')
A. Field testing instruments.(Following instruments in sufficient quantity as directed by the Engineer- in- Charge shall be made available by the contractor. It shall be ensured that the instruments always remain in serviceable condition else the same will be replaced.
(1) Steel tapes – 3 m.
(2) Vernier Calipers.
(3) Micrometer screw 25 mm gauge.
(4) A good quality plumb bob.
(5) Spirit level, minimum 30 cms long with 3 bubbles for horizontal vertical.
(6) Wire gauge (circular type) disc.
(7) Foot rule.
(8) Long nylon thread.
(9) Rebound hammer for testing concrete
(10) Dynamic penetro-meter.
(11) Magnifying glass
(12) Screw driver 30 cms long
(13) Ball pin hammer, 100 gms.
(14) Plastic bags for taking samples
(15) Moisture meter for timber
(16) Earth resistance tests (for Electrical Divisions)
(17) Meggar (for Electrical Divisions)
(18) Total station
14.0 SPECIFICATIONS FOR FLY ASH BRICKS - All fly ash bricks as brought to the site shall conform to the strength & durability parameters as prescribed in the tender and CPWD specifications.
15.0 The contractor shall submit 'Method Statement' for the approval soon after the award of work. 'Method Statement' is a statement by which the construction procedures for important activities of construction are stated, checked and approved. Method Statement shall have description of the item with elaborate procedures in steps to implement the same. The specification of the materials involved their testing and acceptance criteria, equipments to be used, precautions to be taken, mode of measurements etc.
16.0 TESTING OF MATERIALS.
16.1 The contractor shall arrange carrying out of all tests required under the agreement through the laboratory as approved by the Engineer-in-Charge and shall bear all charges in connection therewith including fee for testing unless specified otherwise. In all cases cost of samples and to & fro carriage shall be borne by the contractor. Contractor shall establish a laboratory at site of work at his own cost. The laboratory shall be equipped with all necessary equipment as per requirement of specification or as per direction of Engineer-in-Charge. A list of laboratory equipments to be maintained by the contractor is enclosed at para 13 page 49 & 50. Establishing the laboratory at site shall not absolve the contractor from fulfilling the criteria of getting the test done in independent approved laboratories as per DG/MAN/308. The decision of the Engineer-in-Charge of allowing any test in the site laboratory shall be final.
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16.2 Even ISI marked materials may be subjected to quality test at the discretion of the Engineer-incharge besides testing of other materials as per the specifications described for the item/material. Whenever ISI marked materials are brought to the site of work the contractor shall, if required by the Engineer-in-charge, furnish manufacturer test certificate or test certificate from approved testing laboratory to establish that the material procured by the contractor for incorporation in the work satisfy the provisions if IS codes relevant to the material and/or the work done.
16.3 Sub-standard Material/Work : In case any material/work is found substandard the same shall be rejected by the Engineer-in-Charge and the same shall be removed from the site of work within 48 hour, failing which the same shall be got removed by the Engineer-in-Charge at the risk and cost of the contractor without giving any further notice and time.
17.0 CONDITIONS OF CONTRACT SPECIFIC TO GREEN BUILDING PRACTICES
The contractor shall strictly adhere to the following conditions as part of his contractual obligations:
17.1 SITE
17.1.1 The contractor shall ensure that adequate measures are taken for the prevention of erosion of the top soil during the construction .The contractor shall prepare and implement the Erosion and Sedimentation Control Plan (ESCP) provided to him after approval by the Engineer- in- Charge as part of the larger Construction Management Plan (CMP). The contractor shall obtain the Erosion and Sedimentation Control Plan (ESCP) Guidelines if required from the Engineer in Charge and then prepare "working plan" for the following month's activities as a CAD drawing showing the construction management, staging & ESCP. At no time soil should be allowed to erode away from the site and sediments should be trapped where necessary. The contractor shall ensure that all the top soil excavated during construction works is neatly stacked and is not mixed with other excavated earth. The contractor shall take the clearance of the Engineer in Charge before any excavation. Top soil should be stripped to a depth of 20 cm (centimeters) from the areas to be disturbed, for example proposed area for buildings, roads, paved areas, external services and area required for construction activities etc. It shall be stockpiled to a maximum height of 40 cm in designated areas, covered or stabilized with temporary seeding for erosion prevention and shall be reapplied to site during plantation of the proposed vegetation or as directed by the engineer in charge. Top soil shall be separated from subsoil, debris and stones larger than 50 mm (millimetre) diameter. The stored top soil may be used as finished grade for planting areas.
17.1.2 The Contractor should follow the construction plan as proposed by the Architect / Engineer in Charge to minimize the site disturbance such as soil pollution due to spilling. If required use of staging and spill prevention and control plan to restrict the Spilling of the contaminating material on site needs to be resorted. Protection of top soil from erosion by collection storage and reapplication of top soil, constructing sediment basin, contour trenching, mulching etc., may also be directed by the engineer in charge.
17.1.3 No excavated earth shall be removed from the campus unless suggested otherwise by Engineer in Charge. All subsoil shall be reused in backfilling/landscape, etc as per the instructions of the Engineer in Charge. The surplus excavated earth shall be disposed of by the contractor as per the direction of the engineer in charge at his own cost for reuse. A certificate of reuse as required by the Engineer-in-Charge shall be submitted by the contractor.
17.1.4 The contractor shall not change the natural gradient of the ground unless specifically instructed by the Engineer in Charge. This shall cover all natural features like water bodies, drainage gullies, slopes, mounds, depressions, etc. Existing drainage patterns through or into any preservation area shall not be modified unless specifically directed by the Engineer-in-Charge.
17.1.5 The contractor shall not carry out any work which results in the blockage of natural drainage.
17.1.6 The contractor shall ensure that existing grades of soil shall be maintained around existing vegetation and lowering or raising the levels around the vegetation is not allowed unless specifically directed by the Engineer-in-Charge.
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17.1.7 Contractor shall reduce pollution and land development impacts from automobiles use during construction.
17.1.8 Overloading of trucks is unlawful and creates the erosion and sedimentation problems, especially when loose materials like stone dust, excavated earth, sand etc. are moved. Proper covering shall be used by the contractor. Also, no overloading shall be permitted.
17.2 CONSTRUCTION PHASE AND WORKER FACILITIE
17.2.1 The contractor shall specify and limit construction activity in pre-planned/designated areas and shall start construction work after securing the approval for the same from the Engineer in Charge. This shall include areas of construction, storage of materials, and material and personnel movement.
17.2.2 Preserve and Protect Landscape during Construction
a. The contractor shall ensure that no trees, existing or otherwise, shall be harmed and damage to roots. These shall be prevented during trenching, placing backfill, driving or parking heavy equipment, dumping of trash and protected from oil, paint, and other materials detrimental to plant health. These activities shall be restricted to the areas outside of the canopy of the tree, or, from a safe distance from the tree/plant by means of barricading. Trees will not be used for support; their trunks shall not be damaged by cutting and carving or by nailing posters, advertisements or other material. Lighting of fires or carrying out heat or gas emitting construction activity within the ground, covered by canopy of the tree is not at all permitted.
b. The contractor shall take steps to protect trees or saplings if any identified for preservation within the construction site using tree guards of approved specification.
c. Contractor should limit all construction activity within the specified area as per the Construction Management Plan (CMP) approved by Engineer in Charge.
d. The contractor shall avoid cut and fill in the root zones, through delineating and fencing the drip line (the spread limit of a canopy projected on the ground) of all the trees or group of trees. The zones of movement of heavy equipment, parking, or excessive foot traffic shall be separated from the fenced plant protection zones.
e. The contractor shall ensure that maintenance activities during construction period shall be performed as needed to ensure that the vegetation remains healthy.
17.2.3 Contractor shall be required to develop and implement a waste management plan, quantifying material diversion goals. He shall establish goals for diversion from disposal in landfills and incinerators, if required, and adopt a construction waste management plan to achieve these goals. A project wide policy of "Nothing leaves the Site" shall be followed. The Contractor's ingenuity is especially called towards meeting this prerequisite/ credit (as per IGBC LEED India, New Construction v1.0 & GRIHA , MNRE ) and may consider recycling cardboard, metal, brick, acoustical tile, concrete, plastic, clean wood, glass, gypsum wallboard, carpet and insulation, designating a specific area(s) on the construction site for segregated or commingled collection of recyclable material, and track recycling efforts throughout the construction process, identifying construction haulers and recyclers to handle the designated materials at his cost. The diversion may include donation of materials to charitable organizations and salvage of materials on-site.
17.2.4 Contractor shall collect all construction waste generated on site. He may consider at segregating astes based on their utility and examine means of sending such waste to manufacturing units which use them as raw material or other site which require it for specific purpose. Typical construction debris could be broken bricks, steel bars, broken tiles, spilled concrete and mortar etc.
17.2.5 The contractor shall provide potable water and other amenities for all workers as per the contract.
17.2.6 The contractor shall provide the minimum level of sanitation and safety facilities for the workers at site as described in CPWD General Conditions of contract. The contractor shall ensure cleanliness of workplace with regard to the disposal of waste and effluent; provide clean drinking water and latrines and urinals as per applicable provisions. Adequate toilet facilities shall be provided for the workmen within easy access of their place of work. The total no. to be provided shall not be less than 1per 30 employees in any one shift. Toilet facilities shall be provided from the start of building operations, connection to a sewer shall be made as soon as practicable. Every toilet shall be so constructed that the occupant is sheltered from view and protected from the weather and falling objects. Toilet facilities shall be maintained in a sanitary condition. A sufficient quantity of disinfectant shall be provided and natural or artificial illumination shall also be provided.
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17.2.7 The contractor shall ensure that air pollution due to dust/generators is kept to a minimum, preventing any adverse effects on the workers and other people in and around the site. The contractor shall ensure proper screening, covering stockpiles, covering brick and loads of dusty materials, wheel-washing facility, gravel pit, and water spraying. Contractor shall also ensure the following activities to prevent air pollution during construction:
- Clear vegetation only from areas where work will start right away
- Vegetate / mulch areas where vehicles do not ply.
- Apply gravel / landscaping rock to the areas where mulching / paving is impractical
- Identify roads on-site if applicable that would be used for vehicular traffic. Upgrade vehicular roads (if these are unpaved) by increasing the surface strength by improving particle size, shape and mineral types that make up the surface & base and add surface gravel to reduce source of dust emission to limit amount of fine particles (smaller than 0.075mm) to 10 – 20%
- Water spray, through a simple hose for small projects, to keep dust under control. Fine mists should be used to control fine particulate. However, this should be done with care so as not to waste water. Heavy watering can also create mud, which when tracked onto paved public roadways, must be promptly removed. Also, there must be an adequate supply of clean water nearby to ensure that spray nozzles don't get plugged.
- Water spraying shall be done on:
18.104.22.168 Any dusty materials before transferring, loading and unloading
22.214.171.124 Area where demolition work is being carried out
126.96.36.199 Any un-paved main haul road
188.8.131.52 Areas where excavation or earth moving activities are to be carried out
- The contractor shall ensure that the speed of vehicles within the site is limited to 10 km/hr.
- All material storages should be adequately covered and contained so that they are not exposed to situations where winds on site could lead to dust / particulate emissions.
- Spills of dirt or dusty materials will be cleaned up promptly so the spilled material does not become a source of fugitive dust and also to prevent of seepage of pollutant laden water into the ground aquifers. When cleaning up the spill, ensure that the clean-up process does not generate additional dust. Similarly, spilled concrete slurries or liquid wastes should be contained / cleaned up immediately before they can infiltrate into the soil / ground or runoff in nearby areas
- Provide hoardings of not less than 3m high along the site boundary, next to a road or other public area at his cost.
.
- Provide dust screens, sheeting or netting to scaffold along the perimeter of the building at his cost
- Cover stockpiles of dusty material with impervious sheeting at his cost.
- Cover dusty load on vehicles by impervious sheeting before they leave the site at his cost.
17.2.8 Contractor shall be required to provide an easily accessible area that serves the entire building and is dedicated to the separation, collection and storage of materials for recycling including (at a minimum) paper, corrugated cardboard, glass, plastics, and metals. He shall coordinate the size and functionality of the recycling areas with the anticipated collections services for glass, plastic, office paper, newspaper, cardboard, and organic wastes to maximize the effectiveness of the dedicated areas. Consider employing cardboard balers, aluminum can crushers, recycling chutes, and collection bins at individual workstations to further enhance the recycling program.
17.2.9 The contractor shall ensure that no construction leachate (e.g. cement slurry etc.), is allowed to percolate into the ground. Adequate precautions will be taken to safeguard against this including reduction of wasteful curing processes, collection, basic filtering and reuse. The contractor shall follow requisite measures for collecting drainage water run-off from construction areas and material storage sites and diverting water flow away from such polluted areas. Temporary drainage channels, perimeter dike/swale, etc. shall be constructed to carry the pollutant-laden water directly to the treatment device or facility (municipal sewer line).
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17.2.10 staging (dividing a construction area into two or more areas to minimize the area of soil that will be exposed at any given time) should be done to separate undisturbed land from land disturbed by construction activity and material storage.
17.2.11 The contractor shall comply with the safety procedures, norms and guidelines (as applicable) as outlined in the document Part 7 Constructional practices and safety, 2005, National Building code of India, Bureau of Indian Standards. A copy of all pertinent regulations and notices concerning accidents, injury and firstaid shall be prominently exhibited at the work site. Depending upon the scope & nature of work, a person qualified in first-aid shall be available at work site to render and direct first-aid to causalities. A telephone may be provided to first-aid assistant with telephone numbers of the hospitals displayed. Complete reports of all accidents and action taken thereon shall be forwarded to the competent authorities.
17.2.12 the contractor shall ensure the following activities for construction workers safety, among other measures at his cost.
- Guarding all parts of dangerous machinery.
- Precautionary signs for working on machinery
- Maintaining hoists and lifts, lifting machines, chains, ropes, and other lifting tackles in good condition.
- Durable and reusable formwork systems to replace timber formwork and ensure that formwork where used is properly maintained.
- Ensuring that walking surfaces or boards at height are of sound construction and are provided with safety rails or belts.
- Provide protective equipment; helmets etc.
- Provide measures to prevent fires. Fire extinguishers and buckets of sand to be provided in the fire-prone area and elsewhere.
- Provide sufficient and suitable light for working during night time.
17.2.13 The storage of material shall be as per standard good practices as specified in Part 7, Section 2 - Storage, Stacking and Handling practices, NBC 2005 and shall be to the satisfaction of the Engineer in Charge to ensure minimum wastage and to prevent any misuse, damage, inconvenience or accident. Watch and ward of the Contractor's materials shall be his own responsibility. There should be a proper planning of the layout for stacking and storage of different materials, components and equipments with proper access and proper maneuverability of the vehicles carrying the materials. While planning the layout, the requirements of various materials, components and equipments at different stages of construction shall be considered.
17.2.14 The contractor shall provide for adequate number of garbage bins around the construction site and the workers facilities and will be responsible for the proper utilization of these bins for any solid waste generated during the construction. The contractor shall ensure that the site and the workers facilities are kept litter free. Separate bins should be provided for plastic, glass, metal, biological and paper waste and labeled in both Hindi and English with suitable symbols.
17.2.15 The contractor shall prepare and submit 'Spill prevention and control plans' before the start of construction, clearly stating measures to stop the source of the spill, to contain the spill, to dispose the contaminated material and hazardous wastes, and stating designation of personnel trained to prevent and control spills. Hazardous wastes include pesticides, paints, cleaners, and petroleum products.
184.108.40.206 Contractor shall collect & submit the relevant material certificates for materials if directed by the Engineer in charge with high recycled (both post-industrial and post-consumer) content, including materials like RMC mix with fly-ash, glass with recycled content, calcium silicate boards etc.
17.2.16 Contractor shall collect the relevant material certificates for rapidly renewable materials such as bamboo, wool, cotton insulation, agrifiber, linoleum, wheat board, strawboard and cork etc.
17.2.17 Where possible, the contractor shall select materials / vendors, harvested and manufactured regionally, within a 800-km radius of the project site.
17.2.18 Contractor shall adopt an IAQ (Indoor Air Quality) management plan to protect the HVAC system during construction, control pollutant sources, and interrupt pathways for contamination. He shall sequence installation of materials to avoid contamination of absorptive materials such as insulation, carpeting, ceiling tile, and gypsum wallboard. He shall also protect stored on-site or installed absorptive materials from moisture damage.
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17.2.19 The contractor shall ensure that a flush out of all internal spaces is conducted prior to handover. his shall comprise an opening of all doors and windows for 14 days to vent out any toxic fumes due to paints, varnishes, polishes, etc.
17.2.20 Contractor shall make efforts to reduce the quantity of indoor air contaminants that are odorous or potentially irritating harmful to the comfort and well-being of installer and building occupants. Contractor shall ensure that the VOC (Volatile Organic Compounds) content of paints, coatings and primers used must not exceed the VOC content limits mentioned below in case items of such paints are/is available in schedule of quantities.
Paints
Non-flat - 150 g/L Flat (Mat) - 50, g/L Anti corrosive/ anti rust - 250 g/L
Coatings / Clear wood finishes
Varnish - 350 g/L Lacquer - 550 g/L Floor coatings - 100 g/L Stains - 250 g/L
Sealers
Waterproofing sealer - 250 g/L Sanding sealer - 275 g/L Other sealers - 200 g/L
17.2.21 The VOC (Volatile Organic Compounds) content of adhesives and sealants used if prescribed in the schedule of quantities must be less than VOC content limits mentioned: Architectural Applications VOC Limit (g/l less water)
Indoor Carpet adhesives - 50 g/L, Carpet Pad Adhesives - 50 g/L, Wood Flooring Adhesive - 100 g/L, Rubber Floor Adhesives - 60 g/L, Sub Floor Adhesives – 50 g/L, Ceramic Tile Adhesives - 65 g/L, VCT and Asphalt Tile adhesives - 50 g/L, Dry Wall and Panel Adhesives - 50 g/L, Structural Glazing Adhesives - 100 g/L, Multipurpose Construction Adhesives – 70 g/L, Substrate Specific Application VOC Limit (g/l less water), Metal to Metal - 30 g/L, Plastic Foams - 50 g/L, Porous material (except wood) - 50 g/L, Wood - 30 g/L, Fiber Glass – 80 g/L
17.2.22 Wherever required, Contractor shall meet and carry out documentation of all activities on site, supplementation of information, and submittals in accordance with IGBC LEED India New Construction v1.0 or GRIHA program standards and guidelines. Towards meeting the aforementioned building environmental rating standard(s) expert assistance shall be provided to him up on request.
17.2.23 Water Use during Construction Contractor should spray curing water on concrete structure and shall not allow free flow of water. Concrete structures should be kept covered with thick cloth / gunny bags and water should be sprayed on them. Contractor shall do water pounding on all sunken slabs using cement and sand mortar.
17.2.24 The Contractor shall remove from site all rubbish and debris generated by the Works and keep Works clean and tidy throughout the Contract Period. All the serviceable and non-serviceable (malba) material shall be segregated and stored separately. The malba obtained during construction shall be collected in well formed heaps at properly selected places, keeping in a view safe condition for workmen in the area. Materials which are likely to cause dust nuisance or undue environmental pollution in any other way, shall be removed from the site at the earliest and till then they shall be suitable covered. Glass & steel should be dumped or buried separately to prevent injury. The work of removal of debris should be carried out during day. In case of poor visibility artificial light may be provided.
17.2.25 The contractor shall provide O & M Manuals wherever applicable.
17.2.26 The contractor shall make himself conversant with the Site Waste Management Program Manual and actively contribute to its compilation by estimating the nature and volume of waste generated by the process/installation in question.
MATERIALS & FIXTURES FOR THE PROJECT
a) Contractor will produce wherever feasible certificate regarding distance of the source of the relevant material.
b) Unless otherwise stated cement used at site for reinforced concrete, precast members, mortar, plaster, building blocks, etc shall be PPC (Portland Puzzolana Cement). The PPC must meet the requirements of IS 1489 (Part I) as regards to fly ash content in cement The contractor shall obtain from the PPC manufacturer the certificate regarding fly ash content in the PPC in each batch of consignment.
c) The contractor has to comply as per MoEF issued notification 8.0.763(E) dated 14th Sept.1999 containing directive for greater fly ash utilization. Every construction agency engaged in the construction of buildings within a radius of 50 km radius of a Thermal Power Plant, have to use of 100% fly ash based bricks/blocks in their construction.
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d) The contractor shall ensure that all paints, polishes, adhesives and sealants used both internally and externally, on any surface, shall be Low VOC products. The contractor shall get prior approval from the Engineer in Charge before the application of any such material.
e) All plumbing and sanitary fixtures installed shall be as per the prescription of the Engineer in Charge and shall adhere to the minimum LPM (litres per minute) and LPF (litres per flush) mentioned. The contractor shall employ 100% zero ODP (ozone depletion potential) insulation; HCFC (hydro-chlorofluorocarbon)/ and CFC (chlorofluorocarbon) free HVAC and refrigeration equipments and / halon-free fire suppression and fire extinguishing systems.
f) The contractor shall ensure that all composite wood products/agro-fibre products used for cabinet work, etc do not contain any added urea formaldehyde resin.
17.2.28 RESOURCES CONSUMED DURING CONSTRUCTION
a. The contractor shall ensure that the water and electricity is not wasted during construction. The Engineer in Charge can bring to the attention any such wastage and the contractor will have to ensure that such bad practices are corrected.
b. The contractor shall install necessary meters and measuring devices to record the consumption of water, electricity and diesel on a monthly basis for the entire tenure of the project.
c. The contractor shall ensure that all run-off water from the site, during construction is collected and reused to the maximum.
d. The contractor shall use treated recycled water of appropriate quality standards for construction, if available.
e. No lights shall be turned on during the period between 6:00 AM to 6:00 PM, without the permission of the Engineer in Charge.
17.2.29 CONSTRUCTION WASTE
Contractor shall ensure that wastage of construction material is within 3%.
a) All construction debris generated during construction shall be carefully segregated and stored in a demarcated waste yard. Clear, identifiable areas shall be provided for each waste type and measures employed to segregate the waste on site into inert, chemical, or hazardous wastes.
b) All construction debris shall be used for road preparation, back filling, etc, used if described in the schedule of quantities and as per the instructions of the Engineer in Charge, with necessary activities of sorting, crushing, etc.
c) No construction debris shall be taken away from the site, without the prior approval of the Engineer in Charge.
d) The contractor shall recycle the unused chemical/hazardous wastes such as oil, paint, batteries, and asbestos.
e) If and when construction debris is taken out of the site, after prior permissions from the Engineer in Charge, then the contractor shall ensure the safe disposal of all wastes and will only dispose of any such construction waste in approved dumping sites.
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17.2.30 Documentation
a) The contractor shall, during the entire tenure of the construction phase, submit the following records to the Engineer in Charge on a monthly basis:
i) Water consumption in litres
ii) Electricity consumption in 'kwh' units
iii) Diesel consumption in litres
iv) Quantum of waste (volumetric/weight basis) generated at site and the segregated waste types divided into inert, chemical and hazardous wastes.
v) Digital photo documentation to demonstrate compliance of safety guidelines as specified here and in the Appendix on Safety Conditions.
b) The contractor shall, during the entire tenure of the construction phase, submit the following records to the Engineer in Charge on a fortnightly basis:
i) Quantities of material brought into the site, including the material issued to the contractor by the Engineer in charge.
ii) Quantities of construction debris (if at all) taken out of the site
iii) Digital photographs of the works at site, the workers facilities, the waste and other material storage yards, pre-fabrication and block making works, etc as guided by the Engineer in Charge.
c)
The contractor shall submit a document after construction of the buildings, a brief description along with photographic records to show that other areas have not been disturbed during construction. The document should also include brief explanation and photographic records to show erosion and sedimentation control measures adopted. (Document CAD drawing showing site plan details of existing vegetation, existing buildings, existing slopes and site drainage pattern, staging and spill prevention measures, erosion and sedimentation control measures and measures adopted for top soil preservation during construction.
d) The contractor shall submit to the Engineer in Charge after construction of the buildings, a detailed as built quantification of the following:
i. Total materials used,
ii. Total top soil stacked and total reused
iii. Total earth excavated
iv. Total waste generated,
v. Total waste reused,
vi. Total water used,
vii. Total electricity, and
viii. Total diesel consumed.
e) The contractor shall submit to the Engineer in Charge, before the start of construction, a site plan along with a narrative to demarcate areas on site from which top soil has to be gathered, designate area where it will be stored, measures adopted for top soil preservation and indicate areas where it will be reapplied after construction is complete.
f) The contractor shall submit to the Engineer in Charge, a detailed narrative (not more than 250 words) on provision for safe drinking water and sanitation facility for construction workers and site personnel.
g) Provide supporting document from the manufacturer of the cement specifying the fly-ash content in PPC used in reinforced concrete.
h) Provide supporting document from the manufacturer of the pre-cast building blocks specifying the fly ash content of the blocks used in an infill wall system.
i) The contractor shall, at the end of construction of the buildings, submit to the Engineer in Charge, submit following information, for all material brought to site for construction purposes, including manufacturer's
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certifications, verifying information, and test data, where Specifications sections require data relating to environmental issues including but not limited to:
i) Source of products: Supplier details and location of the supplier.
ii) Project Recyclability: Submit information to assist Owner and Contractor in recycling materials involved in shipping, handling, and delivery, and for temporary materials necessary for installation of products.
iii) Recycled Content: Submit information regarding product post industrial recycled and post consumer recycled content. Use the "Recycled Content Certification Form", to be provided by the Commissioning Authority appointed for the Project.
v) Product Recyclability: Submit information regarding product and product's component's recyclability including potential sources accepting recyclable materials where ever applicable.
j) Provide final certification of well-managed forest of origin to provide final documentation of certified sustainably harvested status: Acceptable wood "certified sustainably harvested" certifications shall include:
a) Wood suppliers' certificate issued by one of the Forest Stewardship Council-accredited certifying agencies;
b) Suppliers' invoice detailing the quantities of certified wood products for project;
c) Letter from one of a certifying agency corroborating that the products on the wood supplier's invoice originate from certified well-managed forests.
i) Clean tech: Provide pollution clearance certificates from all manufacturers of materials
ii) Indoor Air quality and Environmental Issues: Submit emission test data, sourced from the manufacturers, produced by acceptable testing laboratory listed in Quality Assurance Article for materials as required in each specific Specification section.
a) Certifications from manufacturers of Low VOC paints, adhesives, sealant and polishes used at this particular project site.
b) Certification from manufacturers of composite wood products/agro fibre products on the absence of added urea formaldehyde resin in the products supplied to them to this particular site.
c) Submit environmental and pollution clearance certificates for all diesel generators installed as part of this project.
Provide total support to Engineer in Charge and Green Building Consultants appointed by the Engineer- inCharge in completing all Green Building Rating related formalities, including signing of forms, providing signed letters in the contractor's letterhead whenever required.
17.2.31 EQUIPMENT
a) To ensure energy efficiency during and post construction all pumps, motors and engines used during construction or installed, shall be subject to approval and as per the specifications of the Engineer in Charge.
b) All lighting installed by the contractor around the site and at the labour quarters during construction shall be CFL bulbs of the appropriate illumination levels. This condition is a must, unless specifically prescribed.
The contractor is expected to go through all other conditions of the LEED & GRIHA rating stipulations.
Failure to adhere to any of the above mentioned items, without approval of the Engineer in Charge, shall be deemed as a violation of contract and the contractor shall be held liable for penalty as per terms of the agreement.
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18.1 Formwork for exposed concrete surfaces:-
18.1.1 Where it is specifically shown on the drawings to have original fair face finish of concrete surface without any rendering of plastering, formwork shall be carried put by using plywood on steel plates of approved quality.
18.1.2 The forms shall be constructed so as to produce a uniform and consistent texture and pattern on the face of the concrete. The formwork shall be placed so that all horizontals are constructed of lumber and are not paneled and the formwork joints shall be staggered.
18.1.3 To achieve a finish which shall be free of board marks, the formwork shall be faced with plywood or equivalent material in large sheets. The sheets shall be arranged in an approved pattern. Whenever possible, joints between sheets shall be arranged to coincide with architectural feature, sills, window heads or change in direction of surface. All joints between panels shall be vertical or horizontal unless otherwise directed. Suitable joints shall be approved between sheets. The joints shall be arranged and fitted so that no blemish or mark is imparted to the finished surfaces.
18.1.4 Forms for exposed concrete surfaces shall be constructed with grade strips (the underside of which indicate top of pour) at horizontal constructions joints, unless the use of groove strips is specified on the drawings. The reset forms shall be tightened against the concrete so that the forms will not be spread and permit abrupt irregularities or loss of mortar. Supplementary form ties shall be used as necessary to hold the reset forms tight against the concrete.
18.1.5 For fair faced concrete, the position of through bolts will be restricted and generally as indicated on the drawings.
18.1.6 Plywood and steel plates used in the formwork for obtaining exposed surfaces shall be got approved from Engineer-in-Charge on each use. However no forms will be allowed for reuse if it is doubtful to produce desired texture of exposed concrete.
18.1.7 Cement of only approved shade shall be used preferably of single lot to achieve integrity of texture.
18.2 Class of Surface Finish:-
18.2.1 for Beams & Slabs:
The finish shall be uniform, dense and smooth. no grout, no grain pattern, no crazing and no major blemishes shall be permitted. Abrupt irregularities not exceeding 3mm and gradual irregularities less than 5mm in 2m length only shall be permitted.
18.2.2 For Columns/Wall/Fins :
The finish shall be uniform and smooth leveling the surface of the compacted concrete shall be done with a screed board with power floating the surface and over that steel toweling the surface under firm pressure characteristics of finish shall be brush marks < 3mm gradual irregularities less than 10mm in 2m.
18.3 Tolerance in Finished Concrete:-
The formwork shall be so made as to produce a finished concrete true to shape, lines, level, plumb and dimensions as shown in the drawings subject to the following tolerance unless otherwise specified in this specification or drawings.
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18.4 WALL/COLUMN/FINS:
17.4.1 Variation from the plumb
± 6mm
Upto 3m height
18.4.2 Variation from the plumb of
± 6mm
Upto 6m height
Conspicuous liner
18.4.3 Variation in the size of
(+)15mm
wall openings
(-) 6mm
18.4.4 Variation in parapet wall thickness
(a) Upto 30cm thickness
± 6mm
18.5 SLAB, BEAM & GIRDER FORMS:
18.5.1 Variation from the level or from the specified grid for beam soffit before removal of shores,
(a) In any 3m
± 6mm
(b) In any 6m
± 10mm
All the tolerances mentioned above shall apply to concrete dimensions only, and not to positioning of vertical steel or dowels. The tolerances given above are specified for local aberration in the finished concrete surface and should not be taken as tolerance for the entire structure taken as whole for the setting and alignment of formwork. Any error, within the above tolerance limits, or any other if noticed in any of the structure after part or portion stripping of forms, shall be corrected in the subsequent work to bring back the structure to its true line, level and alignment.
19.0 Ultrasonic pulse velocity method test for RCC as per technical circular No. 18 issued vide CE(CSQ) letter No. G-2/SE(QA)/CSQ/69 dated 12.02.2013 shall be carried out as a routine test to assess the homogeneity and uniformity of concrete. The fulfilling criteria and other conditions shall be as detailed, as per the method stated in the aforesaid circular.
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Annexure - I
(SPECIMEN)
(Ref. para 3.7 of Particular Specifications and Special conditions)
GUARANTEE TO BE EXECUTED BY CONTRACTORS FOR REMOVAL OF DEFECT AFTER COMPLETION IN RESPECT OF WATER PROOFING WORKS
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The Agreement made this ………….day of ……………two thousand and ……… between …………son of ………….of ………….(hereinafter called the Guarantor of the one part) and the PRESIDENT OF INDIA (hereinafter called Government of the other part).
WHEREAS this agreement is supplementary to a contract (hereinafter called the Contract) dated ……….. and made between the GUARANTOR of the one part and the Government of the other part, whereby the Contractor, inter alia, undertook to render the buildings and structures in the said contract recited completely water and leak – proof.
AND WHEREAS GUARANTOR agreed to give a guarantee to the effect that the said structures will remain water and leak- proof for ten years from the date of giving of water proofing treatment.
NOW THE GUARANTOR hereby guarantees that water proofing treatment given by him will render the structures completely leak-proof and the minimum life of such water proofing treatment shall be ten years to be reckoned from the date after the maintenance period prescribed in the contract.
Provided that the guarantor will not be responsible for leakage caused by earthquake or structural defects or misuse of roof or alteration and for such purpose;
(a) Misuse of roof shall mean any operation which will damage water proofing treatment, like chopping of firewood and things of the same nature which might cause damage to the roof;
(b) Alteration shall mean construction of an additional storey or a part of the roof or construction adjoining to existing roof whereby proofing treatment is removed in parts;
(c) The decision of the Engineer-in-charge with regard to cause of leakage shall be final.
During this period of guarantee the guarantor shall make good all defects and in case of any defect being found, render the building water –proof to the satisfaction of the Engineer-in-Charge at his cost, and shall commence the work for such rectification within seven days from the date of issue of the notice from the Engineer-in-Charge calling upon him to rectify the defects, failing which the work shall be got done by the Department by some other contractor at the GUARANTOR’S cost and risk. The decision of the Engineer-in-Charge as to the cost, payable by the Guarantor shall be final and binding.
That if GUARANTOR fails to execute the water proofing or commits breach thereunder then the GUARANTOR will indemnify the Principal and his successors against all loss, damage, cost, expense or otherwise which may be incurred by him by reason of any default on the part of the GUARANTOR in performance and observance of this supplementary agreement. As to the amount of loss and / or damage and / or cost incurred by the Government the decision of the Engineer – in – Charge will be final and binding on the parties.
IN WITNESS WHEREOF these presents have been executed by the Obligor …………. and by ……….. and for and on behalf of the PRESIDENT OF INDIA on the day, month and year above written.
Signed, sealed and delivered by OBLIGOR in the presence of –
1.
……………….
2.
……………….
Signed for and on behalf of THE PRESIDENT OF INDIA by ………..in the presence of –
1. ……………….
2. ……………….
ANNEXURE – 'A'
FORM OF EARNEST MONEY DEPOSIT (BANK GUARANTEE B ON D)
WHEREAS, contractor .................................... (Name of contractor) (hereinafter called "the contractor") has submitted his tender dated ............................................ (date) for the construction of (name of work) (hereinafter called "the Tender")
KNOW ALL PEOPLE by these presents that we ................................................................................... (name of bank) having our registered office at ............................................................................................................ (hereinafter called "the Bank") are bound unto ........................................................................................................... (Name and division of Executive Engineer) (hereinafter called "the Engineer-in-Charge") in the sum of Rs. ............ (Rs. in words ........................................................................................................................................................ ) for which payment well and truly to be made to the said Engineer-in-Charge the Bank binds itself, his successors and assigns by these presents.
SEALED with the Common Seal of the said Bank this ......................................................... day of ........................... 20... .
THE CONDITIONS of this obligation are:
(1) If after tender opening the Contractor withdraws, his tender during the period of validity of tender (including extended validity of tender) specified in the Form of Tender;
(2) If the contractor having been notified of the acceptance of his tender by the Engineer-in-Charge: (a) fails or refuses to execute the Form of Agreement in accordance with the
Instructions to contractor, if required; OR
(b) fails or refuses to furnish the Performance Guarantee, in accordance with the provisions of tender document and Instructions to contractor.
We undertake to pay to the Engineer-in-Charge either up to the above amount or part thereof upon receipt of first written demand, without the Engineer-in-Charge having to substantiate his demand, provided that in his demand the Engineer-inCharge will note that the amount claimed by him is due to him owing to the occurrence of one or any of the above conditions, specifying the occurred condition or conditions.
This Guarantee will remain in force up to and including the date.* after the deadline for submission of tender as such deadline is stated in the Instructions to contractor or as it may be extended by the Engineer-in-Charge, notice of which extension(s) to the Bank is hereby waived. Any demand in respect of this Guarantee should reach the Bank not later than the above date.
DATE
SIGNATURE OF THE BANK
WITNESS
SEAL
(SIGNATURE, NAME AND ADDRESS)
*Date to be worked out on the basis of validity period of 120 days for two bid system from last date of receipt of tender.
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ABEU
Price BID
PART B (CIVIL WORKS)
Name of Work- Additional Construction work for Gas Manifold room in Main services building of main at AIIMS Bhopal
| Sr. No. | Description | Unit | QTY | Rate | Amount |
|---|---|---|---|---|---|
| | Earth Work | | | | |
| 1 | Earth work in excavation by mechanical means (Hydraulic excavator) /manual means in foundation trenches or drains (not exceeding 1.5 m in width or 10 sqm on plan), including dressing of sides and ramming of bottoms, lift upto 1.5 m, including getting out the excavated soil and disposal of surplus excavated soil as directed, within a lead of 50 m. | | | | |
| a) | All kinds of soil. | Cum | 10.80 | 197.40 | 2132 |
| 2 | Earth work in excavation by mechanical means (Hydraulic excavator) /manual means in foundation trenches or drains (not exceeding 1.5 m in width or 10 sqm on plan), including dressing of sides and ramming of bottoms, lift upto 1.5 m, including getting out the excavated soil and disposal of surplus excavated soil as directed, within a lead of 50 m. | | | | |
| a) | Ordinary rock | Cum | 43.20 | 327.23 | 14136 |
| 3 | Filling available excavated earth excluding rock) in trenches, plinth,sides of foundations etc. in layers not exceeding 20cm in depth, consolidating each deposited layer by ramming and watering, lead up to 50 m and lift upto 1.5 m. | Cum | 139.55 | 149.17 | 20818 |
| | Concrete Work - 04 | | | | |
| 4 | Providing and laying in position cement concrete of specified grade excluding the cost of centering and shuttering - All work up to plinth level | | | | |
| a) | 1:4:8 (1 cement : 4 coarse sand (zone-III) sand : 8 graded stone aggregate 40 mm nominal size) | Cum | 18.58 | 5312.30 | 98690 |
| | Centering and shuttering including strutting, propping etc. and emoval of form work for : | | | | |
| 5 | Foundations, footings, bases for columns | Sqm | 11.02 | 230.08 | 2535 |
| | Reinforced Cement Concrete - 05 | | | | |
| 6 | Centering and shuttering including strutting, propping etc. and removal of form for all heights : | | | | |
| 7 | Foundations, footings, bases of columns, etc. for mass concrete | Sqm | 15.12 | 230.08 | 3479 |
| | Foundations(For RCC) | | | | |
| 8 | Lintels, beams, plinth beams, girders, bressumers and cantilevers | Sqm | 41.67 | 406.77 | 16950 |
| 9 | Columns, Pillars, Piers, Abutments, Posts and Struts | Sqm | 54.00 | 555.00 | 29970 |
| | Columns | | | | |
| 10 | Small lintels not exceeding 1.5 m clear span, moulding as in cornices, window sills, string courses, bands, copings, bed plates, anchor blocks and the like | Sqm | 0.37 | 230.08 | 85 |
| a) | Steel reinforcement for R.C.C. work including straightening, cutting, bending, placing in position and binding all complete above plinth level. | | | | |
| 11 | Thermo-Mechanically Treated bars of grade Fe-500 D or more | Kg | 3135.05 | 67.14 | 210496 |
ABEU
Providing and laying in position machine batched and machine mixed design mix M-25 grade cement
concrete for reinforced cement concrete work, using
| a) | All works upto plinth level | Cum | 23.52 | 7647.23 | 179862 |
|---|---|---|---|---|---|
| b) | All works above plinth level upto floor V level | Cum | 2.61 | 8600.52 | 22409 |
| | Brick work | | | | |
| 13 | Brick work with non modular fly ash bricks conforming to IS:12894,class designation 10 average compressive strength in super structure above plinth level up to floor V level in : | | | | |
| a) | Cement mortar 1:6 (1 cement : 6 Coarse sand) | Cum | 9.71 | 7315.96 | 71021 |
| | SH: 8.0 MARBLE & GRANITE WORK | | | | |
| 14 | Providing and fixing 18 mm thick gang saw cut, mirror polished, premoulded and prepolished, machine cut for kitchen platforms, vanity counters, window sills , facias and similar locations of required size, approved shade, colour and texture laid over 20 mm thick base cement mortar 1:4 (1 cement : 4 coarse sand), joints treated with white cement, mixed with matching pigment,epoxy touch ups, including rubbing, curing, moulding and polishing to edges to give high gloss finish etc. complete at all levels. | | | | |
| a) | Raj Nagar Plain white marble/ Udaipur green marble/ Zebra black marble | | | | |
| b) | Area of slab upto 0.50 sqm (window sill) | Sqm | 1.08 | 2312.57 | 2498 |
| | 9.0 WOOD AND P. V. C. WORK | | | | |
| 15 | Providing and fixing 75mm thick acoustic sound proof door made out of teak wood frame size of 75mmx125mm with 9mm BWP grade ply on both side with1mm thick lamination on both side with 50mm insulation pad fill up in air gap with having duty 5" spring S.S. hinges on fream and vision pannel of size 0.2x0.3m in each shutter wirh 5.5 mm thick glass including all arrangemnt in fixing in dry sound proof partations etc complete. | | | | |
| a) | Gas Manifold room | Sqm | 9.68 | 10225.8 | 98935 |
| 16 | Providing and fixing aluminium sliding door bolts ISI marked anodised (anodic coating not less than grade AC 10 as per IS: 1868) transparent or dyed to required colour or shade with nuts and screws etc. complete. | | | | |
| a) | 300 x 16mm | Each | 3.00 | 252.02 | 756 |
| 17 | Providing and fixing bright finished brass tower bolt (barrel type) with necessary screws etc. complete. | | | | |
| a) | 250x10 mm | Each | 6.00 | 104.51 | 627 |
| 18 | Providing and fixing aluminium handles, ISI marked, anodised (anodic coating not less than grade AC 10 as per IS : 1868) transparent or dyed to required colour or shade, with necessary screws etc. complete | | | | |
| CORRECTION__NIL____ INSERTION NIL ______ |
|---|
| CUTTING __NIL____OVERWRITING __NIL_______ AE(P) EE(P) |
77
AIIMS
Providing and fixing aluminium hanging floor door
| a) | Twin rubber stopper | Each | 6.00 | 45.08 | 270 |
|---|---|---|---|---|---|
| | STEEL WORK | | | | |
| 20 | Steel work welded in built up sections/ framed work, including cutting, hoisting, fixing in position and applying a priming coat of approved steel primer using structural steel etc. as required. | | | | |
| a) | In gratings, frames, guard bar, ladder, railings, brackets, gates and similar works | kg | 4295.11 | 101.96 | 437929 |
| | Truss | | | | |
| | 12.85x9.55=86.49 kg.(considering 35kg per sqm) | | | | |
| 21 | Dismentling and re-fixing rolling available shutters at desired laocation for medical gases room services building complete. | | | | |
| a) | 80x1.25 mm M.S. laths with 1.25 mm thick top cover | sqm | 13.44 | 550 | 7392 |
| | FLOORING | | | | |
| 22 | 62 mm thick cement concrete flooring with concrete hardener topping,under layer 50 mm thick cement concrete 1:2:4 (1 cement : 2 coarsesand : 4 graded stone aggregate 20mm nominal size) and top layer 12mm thick cement hardener consisting of mix 1:2 (1 cement hardener mix : 2 graded stone aggregate, 6mm nominal size) by volume, hardening compound mixed @ 2 litre per 50 kg of cement or as per manufacture’s specifications. This includes cost of cement slurry, but excluding thecost of nosing of steps etc. complete | Sqm | 109.87 | 722.50 | 79379 |
| 23 | Cement plaster skirting up to 30 cm height, with cement mortar 1:3 (1cement : 3 coarse sand), finished with a floating coat of neat cement. | | | | |
| a) | 18 mm thick | Sqm | 4.28 | 415.25 | 1777 |
| | Roofing | | | | |
| 24 | Providing corrugated G.S. sheet roofing including vertical / curved surface fixed with polymer coated J or L hooks, bolts and nuts 8 mm diameter with bitumen and G.I. limpet washers or with G.I. limpet washers filled with white lead, including a coat of approved steel primer and two coats of approved paint on overlapping of sheets complete (up to any pitch in horizontal/ vertical or curved surfaces), excluding the cost of purlins, rafters and trusses and including cutting to size and shape wherever required. | | | | |
| a) | 1.00 mm thick with zinc coating not less than 275 gm/m² | Sqm | 122.72 | 1043.50 | 128056 |
| 25 | Providing and fixing 15 cm wide, 45 cm overall semi- circular plain G.S. sheet gutter with iron brackets 40x3mm size, washers etc., including making necessary connections with rainbolts, nuts and water pipes complete. | | | | |
| CORRECTION__NIL____ INSERTION NIL ______ |
|---|
| CUTTING __NIL____OVERWRITING __NIL_______ AE(P) EE(P) |
ABEU
AIIMS
26 Providing and fixing tiled false ceiling of specified
| a) | GI Metal Ceiling Lay in perforated Tegular edge global white color tiles of size 595x595 mm and 0.5 mm thick with 8 mm drop; made of GI sheet having galvanizing of 100 gms/sqm (both sides inclusive) and 20% perforation area with 1.8 mm dia holes and having NRC (Noise Reduction Coefficient ) of 0.5, electro statically polyester powder coated of thickness 60 microns (minimum),including factory painted after bending and perforation, and backed with a black Glass fiber acoustical fleece. | sqm | 122.72 | 1380.70 | 169436 |
|---|---|---|---|---|---|
| 27 | Providing and fixing thermal insulation with Resin Bonded Fibre glass wool conforming to IS: 8183 having density 24 kg/m3, 50 mm thick, wrapped in 200G Virgin Polythene Bags fixed to wall with screw,rawel plug & washers and held in position by criss crossing GI wire etc. complete as per directions of Engineer-in-Charge. | Sqm | 122.72 | 303.39 | 37231 |
| | 13.0 FINISHING | | | | |
| 28 | 12 mm cement plaster of mix : | | | | |
| a) | 1:6 (1 cement: 6 coarse sand) | Sqm | 42.21 | 199.59 | 8424 |
| 29 | Distempering with 1st quality acrylic distemper (ready mixed) of approved manufacturer, of required shade and colour complete, as per manufacturer's specification. | | | | |
| a) | Two or more coats on new work | Sqm | 42.21 | 63.05 | 2661 |
| 20 | Providing and applying white cement based putty of average thickness 1 mm, of approved brand and manufacturer, over the plastered wall surface to prepare the surface even and smooth complete. | Sqm | 42.21 | 103.62 | 4374 |
| CORRECTION__NIL____ INSERTION NIL ______ |
|---|
| CUTTING __NIL____OVERWRITING __NIL_______ AE(P) EE(P) |
Washed stone grit plaster on exterior walls of height up to 10 m above level in two layers 12 mm cement
plaster 1:4 (1 cement : 4 coarse sand ) furrowing the under layer with scratching tool, applying cement
| 22 | Forming groove of uniform size in the top layer of washed stone grit plaster as per approved pattern using wooden battens, nailed to the under layer including removal of wooden battens, repair to the edges of panels and finishing of the groove complete as per specifications and directions of Engineer - in - Charge. | | | | |
|---|---|---|---|---|---|
| a) | 15 mm wide and 15 mm deep groove | | Mts | 117 | 40.81 |
| | Dismantling and Demolishing | | | | |
| 23 | Dismantling doors, windows and clerestory windows (steel or wood) shutter including chowkhats, architrave, holdfasts etc. complete and stacking within 50 metres lead : | | | | |
| a) | Of area beyond 3 sq. metres | Each | | 1 | 256.71 |
| | ALUMINIUM WORK | | | | |
| 24 | Providing and fixing aluminium work for doors, windows, ventilators and partitions with extruded built up standard tubular sections/appropriate Z sections and other sections of approved make conforming to IS: 733 and IS: 1285, fixing with dash fasteners of required dia and size, including necessary filling up the gaps at junctions, i.e. at top, bottom and sides with required EPDM rubber/neoprene gasket etc. Aluminium sections shall be smooth, rust free, straight, mitred and jointed mechanically wherever required including cleat angle, Aluminium snap beading for glazing / paneling,C.P. brass / stainless steel screws, all complete as per architectural drawings and the directions of Engineer-in-charge. (Glazing, paneling and dash fasteners to be paid for separately) : | | | | |
| a) | For fixed portion | | | | |
| 25 | Polyester powder coated aluminium (minimum thickness of polyester powder coating 50 micron) | Kg | | 38.50 | 464.78 |
| 26 | For shutters of doors, windows & ventilators including providing and fixing hinges/ pivots and making provision for fixing of fittings wherever required including the cost of EPDM rubber / neoprene gasket required (Fittings shall be paid for separately | | | | |
| a) | Polyester powder coated aluminium (minimum thickness of polyester powder coating 50 micron) | Kg | | 39.00 | 536.67 |
| 27 | Providing and fixing glazing in aluminium door, window, ventilator shutters and partitions etc. with PVC/ neoprene gasket etc. complete as per the architectural drawings and the directions of engineer- incharge . (Cost of aluminium snap beading shall be paid in basic item): | | | | |
| a) | With float glass panes of 5.50 mm thickness | Sqm | | 3.60 | 1190.96 |
CORRECTION__NIL____ INSERTIONNIL______
CUTTING __NIL____OVERWRITING __NIL_______
AE(P) EE(P)
80
AIIMS
| 28 | Providing and fixing in position wall panelling at all heights with integral densified calcium silicate panels/tiles of size 595 x 595mm,having NRC (Noise Reduction coefficient) of 0.50 (minimum) as per IS 8225:1987, Light reflectance of 85% (minimum). Non combustible as per BS:476 (part-4), fire performance as per BS:476 (part 6 &7), humidity resistance of 100%, thermal conductivity < 0.043 W/m K as per ASTM 518:1991, comprising of a frame made from especially fabricated galvanised mild steel sheet 0.50 mm thick pressed section (galvanizing @120 grams per sqm including both sides) i.e.vertical studs of size 48 x 34 x 36 mm are placed at 600mm center to center in a floor and ceiling channel section of size 50 x 32m fixed to the floor and soffit at 600mm centers using 12mm dia,50mm long wedge type expanded zinc alloy dash fastner with 10mm bolt. This same channel is then to be fixed in horiziontal direction at 600mm center to center so as to form a grid of 600mm x 600mm. Glasswool of 50mm thickness is then to be inserted in the slots and finally calcium silicate non combustible panels/tiles are to be screw fixed with self tapping pan head nickel coated mild steel screws of size 13 x 3.2mm on to this grid leaving an even groove of 1 mm between the panels. The joints between the panels are to be duly jointed and finished using recommended jointing calcium silicate based compound and fiber joint tape roll 50mm wide (90 metre )roll and two coats of primer suitable for panelling as per manufacturer's specification as per direction of Engineer-in-Charge all complete. | | | | |
|---|---|---|---|---|---|
| a) | With 15 mm thick fully perforated square/butt edge light weight calcium silicate panels/ tiles | Sqm | 79.43 | 2550.72 | 202591 |
| | Total of B (CIVIL WORKS) | | | | 1910948 |
CORRECTION__NIL____ INSERTIONNIL______
CUTTING __NIL____OVERWRITING __NIL_______
AE(P) EE(P)
ABEU
PRICE BID
(PART-C ELECTRICAL WORKS)
Name of work: Estimate for additional construction work for mainifold room in main building at AIIMS Bhopal.
| Sr. No | Discription of Item | Unit | Qty | DSR 2016 Rate | Amont |
|---|---|---|---|---|---|
| | WIRING | | | | |
| 1 | Wiring for light point/ fan point/ exhaust fan point/ call bell point with 1.5 sq.mm FRLS PVC insulated copper conductor single core cable in surface / recessed steel conduit, with modular switch, modular plate, suitable GI box and earthing the point with 1.5 sq.mm FRLS PVC insulated copper conductor single core cable etc. as required. | | | | |
| | Group C | Point | 36 | 1037.00 | 37332.00 |
| 2 | Wiring for light/ power plug with 2X4 sq. mm FRLS PVC insulated copper conductor single core cable in surface/ recessed steel conduit alongwith 1 No. 4 sq. mm FRLS PVC insulated copper conductor single core cable for loop earthing as required. | meter | 50 | 239.00 | 11950.00 |
| 3 | Wiring for light/ power plug with 4X4 sq. mm FRLS PVC insulated copper conductor single core cable in surface/ recessed steel conduit alongwith 2 Nos. 4 sq. mm FRLS PVC insulated copper conductor single core cable for loop earthing as required. | meter | 50 | 366.00 | 18300.00 |
| 4 | Wiring for circuit/ submain wiring alongwith earth wire with the following sizes of FRLS PVC insulated copper conductor, single core cable in surface/ recessed steel conduit as required. | | | | |
| | 2 X 1.5 sq. mm + 1 X 1.5 sq. mm earth wire | meter | 30 | 181.00 | 5430.00 |
| 5 | Supplying and drawing following pair 0.5 mm dia FRLS PVC insulated annealed copper conductor, unarmored telephone cable in the existing surface/ recessed steel/ PVC conduit as required. | | | | |
| | 4 Pair | meter | 50 | 28.00 | 1400.00 |
| 6 | Supplying and drawing co-axial TV cable RG-6 grade, 0.7 mm solid copper conductor PE insulated, shielded with fine tinned copper braid and protected with PVC sheath in the existing surface/ recessed steel/ PVC conduit as required. | meter | 50 | 29.00 | 1450.00 |
| 7 | Supplying and fixing of following sizes of steel conduit along with accessories in surface/recess including painting in case of surface conduit, or cutting the wall and making good the same in case of recessed conduit as required. | | | | |
| | 20 mm | meter | 120 | 126.00 | 15120.00 |
| 8 | Supplying and fixing two module stepped type electronic fan regulator on the existing modular plate switch box including connections but excluding modular plate etc. as required. | Each | 10 | 288.00 | 2880.00 |
| 9 | Supplying and fixing modular blanking plate on the existing modular plate & switch box excluding modular plate as required. | Each | 15 | 24.00 | 360.00 |
Supplying and fixing suitable size GI box with modular
10
plate and cover in front on surface or in recess, including providing and fixing 3 pin 5/6 A modular socket outlet
Each 6 313.00 1878.00
| 11 | Supplying and fixing suitable size GI box with modular plate and cover in front on surface or in recess, including providing and fixing 6 pin 5/6 A & 15/16 A modular socket outlet and 15/16 A modular switch, connections etc. as required. | Each | 6 | 406.00 | 2436.00 |
|---|---|---|---|---|---|
| 12 | Supplying and fixing 3 pin, 5 A ceiling rose on the existing junction box/ wooden block including connections etc. as required. | Each | 24 | 46.00 | 1104.00 |
| 13 | SITC of LED Down lighter with die cast heat sink High efficiency diffuser PC Reflector lumens output not less then 1200 lumen, Wattage not more 18 Watt ,CRI>70 ,PF>0.9, colour temp. 6500K Suitable for (220- 240)V,50Hz complete with necessary mounting arrangement i/c connection in complete as required With model no. DN 193B LED 12S -6500 PSU WH of Philips/C&S/Lighting Technology/Wipro/NTL Lumnis/With similar specification | Each | 12 | 2388.00 | 28656.00 |
| 14 | Supply installation testing and commissioning of LED light fitting complete size of 2x2 grid ceiling , lumen out put not less then 3500 lumen ,wattage not more 38w with model no. RC 380B LED34S-6500 L60W60 PSD OD S1 phillips (Make Phillips/Wipro/NTL lumnis/lighting Technology) with similer spesification | Each | 8 | 7037.00 | 56296.00 |
| 15 | Supplying, Installation, testing & commissioning of 1200 mm, 5 star rating energy saving ceiling fans (BEE certified ) complete set but without regulator including wiring the down roads of standard length (upto 30 cm) with 1.5 sq mm FR PVC insulated copper conductor single core cable etc. as reqd. (Make : Usha/Crompton/Orient) | Each | 10 | 2105.00 | 21050.00 |
| 16 | Supplying and fixing extra down rod of 10 cm length G.I. pipe,15mm dia, heavy gauge including painting etc. as required. (Note: More than 5 cm length shall be rounded to the nearest 10 cm and 5 cm or less shall be ignored) | Each | 50 | 22.00 | 1100.00 |
| 17 | Numbering of ceiling fan/ exhaust fan/ fluorescent fittings as required. | Each | 34 | 28.00 | 952.00 |
| 18 | Supply,Installation of exhaust fan of following in the existing opening, including making good the damage, connection, testing, commissioning etc. as required. | | | | |
| | 305 mm sweep | Each | 2 | 2719.00 | 5438.00 |
| | 510 mm sweep | Each | 2 | 3262.00 | 6524.00 |
| 19 | Extra for fixing the louvers/ shutters complete with frame for a exhaust fan of all sizes. | Each | 4 | 99.00 | 396.00 |
| 20 | Supplying and drawing of UTP 4 pair CAT 6 LAN Cable in the existing surface/ recessed Steel/ PVC conduit as required. | | | | |
| | 1 run of cable | meter | 20 | 34.00 | 680.00 |
| | MCCB, MCB & DB’S | | | | |
| CORRECTION__NIL____ INSERTION NIL ______ |
|---|
| CUTTING __NIL____OVERWRITING __NIL_______ AE(P) EE(P) |
Supplying and fixing following way, single pole and neutral, sheet steel, MCB distribution board, 240 V, on
21
surface/ recess, complete with tinned copper bus bar,
| | 8 way, Double door | Each | 1 | 1061.00 | 1061.00 |
|---|---|---|---|---|---|
| 22 | Supplying and fixing of following ways surface/ recess mounting, vertical type, 415 V, TPN MCB distribution board of sheet steel, dust protected, duly powder painted, inclusive of 200 A, tinned copper bus bar, common neutral link, earth bar, din bar for mounting MCBs (but without MCBs and incomer) as required. | | | | |
| | 12 way, Double door | Each | 1 | 5664.00 | 5664.00 |
| 23 | Supplying and fixing 5 A to 32 A rating, 240/415 V, 10 kA, “C” curve, miniature circuit breaker suitable for inductive load of following poles in the existing MCB DB complete with connections, testing and commissioning etc. as required. | | | | |
| | Single pole | Each | 29 | 173.00 | 5017.00 |
| | Triple pole | Each | 3 | 700.00 | 2100.00 |
| 24 | Supplying and fixing following rating, double pole, 240 V, isolator in the existing MCB DB complete with connections, testing and commissioning etc. as required. | | | | |
| | 63 A | Each | 1 | 254.00 | 254.00 |
| 25 | Supplying and fixing following rating, four pole, 415 V, isolator in the existing MCB DB complete with connections, testing and commissioning etc. as required. | | | | |
| | 63 A | Each | 1 | 678.00 | 678.00 |
| 26 | Supplying and fixing 20 A, 240 V, SPN Industrial type socket outlet, with 2 pole and earth, metal enclosed plug top along with 20 A, “C” curve, SP, MCB, in sheet steel enclosure, on surface or in recess, with chained metal cover for the socket out let and complete with connections, testing and commissioning etc. as required. | Each | 1 | 980.00 | 980.00 |
| 27 | Supplying and fixing 20 A, 415 V, TPN Industrial type socket outlet, with 4 pole and earth, metal enclosed plug top alongwith 20 A, “C” curve, TPMCB, in sheet steel enclosure, on surface or in recess, with chained metal cover for the socket out let and complete with connections, testing and commissioning etc. as required. | Each | 1 | 1455.00 | 1455.00 |
| 28 | Supplying and fixing 30 A, 415 V, TPN Industrial type socket outlet, with 4 pole and earth, metal enclosed plug top alongwith 30 A, “C” curve, TPMCB, in sheet steel enclosure, on surface or in recess, with chained metal cover for the socket out let and complete with connections, testing and commissioning etc. as required. | Each | 1 | 2488.00 | 2488.00 |
| | Layeng of cable | | | | |
| 29 | Supply &Laying of Armoured conductor XLPE insulated Aluminium cable of 1.1 Kv grade as per IS 7098 (part-I) and 1988 in the existing pipe | | | | |
CORRECTION__NIL____ INSERTIONNIL______
CUTTING __NIL____OVERWRITING __NIL_______
AE(P) EE(P)
| | 3½ X 300 sq. mm (70 mm) | meter | 200 | 1541.00 | 308200.00 |
|---|---|---|---|---|---|
| 30 | Supply &Laying of Armoured conductor XLPE insulated Aluminium cable of 1.1 Kv grade as per IS 7098 (part-I) and 1988 in the existing surface | | | | |
| | 3½ X 150 sq. mm (50 mm) | meter | 20 | 771.00 | 15420.00 |
| | 3½ X 300 sq. mm (70 mm) | meter | 20 | 1471.00 | 29420.00 |
| | MV CABLE JOINTING & END TERMINATION | | | | |
| 31 | Supplying and making end termination with brass compression gland and aluminium lugs for following size of PVC insulated and PVC sheathed / XLPE aluminium conductor cable of 1.1 kV grade as required. | | | | |
| | 3½ X 150 sq. mm (50 mm) | Each | 2 | 592.00 | 1184.00 |
| | 3½ X 300 sq. mm (70 mm) | Each | 2 | 1106.00 | 2212.00 |
| 32 | Providing, laying and fixing following dia RCC pipe NP2 class (light duty) in ground complete with RCC collars, jointing with cement mortar 1:2 (1 cement : 2 fine sand) including trenching (75 cm deep) and refilling etc. as required. | | | | |
| | 150 mm dia | Meter | 220 | 405.00 | 89100.00 |
| | TOTAL of C (Electrical Works) | | | | 847165.00 |
| | TOTAL OF B + C (CIVIL + ELECTRICAL ) | | | | 2758113/- |
CORRECTION__NIL____ INSERTIONNIL______
CUTTING __NIL____OVERWRITING __NIL_______
AE(P) EE(P)
ABEU
86
ALL INDIA INSTITUTE OF MEDICAL SCIENCES BHOPAL
N.I.T. No: 05/EE/ABEU/2017-18
Name of work:- Additional Construction work for Gas Manifold room in Main services building of main at AIIMS Bhopal
PERCENTAGE SOQ
Name of the Contractor
| Sl.No. | Name of component | Estimated cost | Percentage above or below the estimated cost | % in Figures |
|---|---|---|---|---|
| 1 | Civil Work | 1910948 | | |
| 2 | Electrical Work | 847165 | | |
| | Total Cost | 2758113 | | |
CORRECTION__NIL____ INSERTIONNIL______
CUTTING __NIL____OVERWRITING __NIL_______
AE(P) EE(P)
vuqlwph ^d* SCHEDULE 'A'
ek=kvksa dh vuqlwph ¼layXu½
Schedule of quantities (Enclosed) Page No. 82 to 85 Electrical
vuqlwph ^[k* SCHEDULE 'B'
Bsdsnkj dh fuxZr dh tkus okyh lkefxz;ksa dh vuqlwph
Schedule of materials to be issued to the contractor.
__________________________________________________________________________________
------- NIL --------
vuqlwph ^x* SCHEDULE 'C'
Bsdsnkj dks HkkM+s ij fn, tkus okys vkStkj ,oa la;=
Tools and plants to be hired to the contractor
__________________________________________________________________________________
CORRECTION__NIL____ INSERTIONNIL______
CUTTING __NIL____OVERWRITING __NIL
AE(P)
_______
58
EE(P)
PART - C
vuqlwfp;ka SCHEDULES [FOR MINOR (ELECTRICAL) COMPONENT]
vuqlwph '^?k* SCHEDULE 'D'
dk;Z ds fy, fo'ks"k vis{kk,a@nLrkost] ;fn dksbZ gksa] dh vfrfjDr vuqlwph
Extra schedule for specific requirements/documents for the work, if any. NA
vuqlwph ¼M½ vuqlwph ¼M½ vuqlwph ¼M½ vuqlwph ¼M½ SCHEDULE ‘E’
Bsds dh lkekU; ’krksZ dk lanHkZ General Conditions of Contract for CPWD Works, 2014 as amended upto DG/CON/298 dated 29.09.2017
1.
Reference to General Conditions of contract
dk;Z dk uke Name of work :
Additional Construction work for Gas Manifolds room in Main services building of main at AIIMS Bhopal
dk;Z dh vuqekfur ykxr Estimated cost of work
Civil : 19,10,948/-
Electrical : 8,47,165/-
Composite Cost : 27,58,113 /-
(i) /kjksgj jkf’k Earnest money:
55,163/- (To be returned after receiving Performance Guarantee)
(ii)fu"iknu xkjaVh Performance guarantee :
5% of tendered value. fufofnr ewY; dk 5 izfr’kr
(iii) izfrHkwfr fu{ksi% Security Deposit:
2.5% of tendered Value
vuqlwph ^p* vuqlwph ^p* vuqlwph ^p* vuqlwph ^p* SCHEDULE ‘F’ lkekU; fu;e ,oa fn’kkfunsZ’k% lkekU; fu;e ,oa fn’kkfunsZ’k% lkekU; fu;e ,oa fn’kkfunsZ’k% lkekU; fu;e ,oa fn’kkfunsZ’k% General Rules & Directions:
fufonk vkea=.k djus okyk izkf/kdkjh
Officer inviting tender -
E.E.(E) AIIMS Bhopal
dk;Z dh enksZ dh ek=k ds fy, vf/kdre izfr’kr ftlls vf/kd fu"ikfnr enksa ds fy, njksa dk fu/kkZj.k [k.M 12-2 vkSj 12-3 ds vuqlkj gksxk
fuEukuqlkj
Maximum percentage for quantity of items of work to be executed beyond which rates are to be determined in accordance with Clauses 12.2 & 12.3.
see below
Definitions:
2(v) Hkkjlk/kd bathfu;j
Engineer-in-Charge
E.E.(E) AIIMS Bhopal
2(viii) Lohdkj drkZ izkf/kdkjh
Accepting Authority
S.E. AIIMS Bhopal
2(x) vfrfjDr vkSj ykHkksa dks iwjk djus ds
fy, Je ,oa lkefxz;ksa dh ykxr ij izfr'krrk
Percentage on cost of materials and labour to cover all overheads and profits.
15% (Fifteen per cent)
2(xi) njksa dh ekud vuqlwph
Standard schedule of Rates
For Electrical:-
Delhi Schedule of rate 2016 for internal electrical works and schedule of rate 2016 for External electrical works with correction slips issued upto date of receipt of tender.
2(xii) foHkkx
a Department
ABEU AIIMS Bhopal
9(ii) ekud ds-yks-fu-fo- Bsdk QkeZ
As per part A
CORRECTION__NIL____ INSERTIONNIL______
CUTTING __NIL____OVERWRITING __NIL
AE(P)
_______
59
[k.M Clause 1
(i)
Lohd`fr i= tkjh gksus dh rkjh[k ls fu"iknu xkjaVh ds izLrqrhdj.k ds fy, vuqer le;
Time allowed for submission of performance guarantee from the date of issue of letter of acceptance vuqes; ,DlVsa’ku
: Same as Part B
Maximum allowable extension with late fee @ 0.10% per day of performance
guarantee amount beyond
the period as provided in (i) above: Same as Part B
[k.M Clause 2
[k.M 2 ds rgr izfrdkj fuf'pr djus okyk izkf/kdkjh
Authority for fixing:
Same as Part B with recommendation of E.E.(E)
compensation under clause 2
[k.M Clause 2A
D;k [k.M 2 d ykxw gksxk
Whether clause 2A shall be applicable
Same as Part B
[k.M Clause 5
dk;Z vkjaHk dh rkjh[k dh x.kuk ds fy, Lohd`fr i= ds tkjh gksus dh
rkjh[k ls fnuksa dh la[;k
No. of days from the date of issue of letter of acceptance for reckoning date of start
Same as Part B
y{; uhps nh xbZ lkj.kh ds vuqlkj
y{; uhps nh xbZ lkj.kh ds vuqlkj
y{; uhps nh xbZ lkj.kh ds vuqlkj y{; uhps nh xbZ lkj.kh ds vuqlkj
Milestone(s): - as per Table given below
y{; ¼ehy& y{; ¼ehy&iRFkj½ lkj.kh iRFkj½ lkj.kh Table of milestone(s) : Same as Part B
dk;Z fu"ikfnr djus ds fy, vuqeR; le;
Time allowed for execution of work Authority to decide
3 (THREE) Months
(i) Extension of Time
Executive Engineer(E), AIIMS Bhopal
(ii) Rescheduling of mile stones
Superintending Engineer, AIIMS Bhopal
(iii) Shifting of date of start in case of
Superintending Engineer, AIIMS Bhopal
delay in handing over of site
[k.M Clause 6, 6A
[kaM ykxw&¼6 ;k 6 d½ Clause applicable
6 A
[k.M Clause 7
varfje Hkqxrku ds fy, ik= gksus ds fy, vafre ,sls Hkqxrku ds ckn dqy Hkqxrku ,df=r lkefxz;ksa ds vfxzeksa ds lek;kstu lfgr fd;k tkus okyk dqy dk;Z Gross work to be done together with net payment/adjustment of advances for material collected, if any since the last such payment for being eligible to interim payment
Rs 9.00 Lakhs
[k.M Clause 7 A
Yes, As part B
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[k.M 10 d Clause10A
dk;ZLFky iz;ksx'kkyk esa Bsdsnkj }kjk miyC/k djk;s tkus ijh{k.k midj.k dh lwph
List of testing equipment to be provided by the contractor at site lab.
if required
[k.M Clause10B(ii)
D;k [k.M 10 [k (ii) ykxw gksxk
Whether clause 10B (ii) shall be applicable Yes
[k.MClause10C
Component of labour expressed as Percent of value of work
As Per Part B
[k.MClause10CA
NA
[k.MClause10CC
[k.M 10 xx mu lafonkvksa ij ykxw gksxk ftlesa dk;Z lekiu dh vof/k] vxys dkye esa n’kkZbZ xbZ vof/k ls vf/kd vuqcaf/kr gSA
Clause 10CC to be applicable in contracts with sipulated period of compensation exceeding the period shown in next column: Not Applicable
[k.M Clause 11
dk;Z fu"iknu ds fy, vuqikyu Specifications to be followed for execution of work
For Electrical : CPWD specification for electrical works Part-I (Internal) 2016, Part-II (external) 2006 , Part V Wet riser and Sprinkler 2006 and Fire alarm – amended upto date of receipt of tender.
[k.M Clause 12
12.2 & 12.3
fopyu lhek ftlds ijs [k.M 12-2 rFkk 12-3 Hkou fuekZ.k dk;Z ds fy, ykxw gksaxs
Deviation limit beyond which clauses 12.2 & 12.3 shall apply for building work (Other than foundation)
Same as Part B
12.5
og fopyu lhek ftlds ijs [k.M 12-2rFkk 12-3 uhao dk;Z ds fy, ykxw gksaxs
Deviation limit beyond which clauses 12.2 & 12.3
shall apply for foundation work
Same as Part B
[k.M Clause 16
?kVh gqbZ njs fu/kkZfjr djus dh fy, l{ke izkf/kdkjh
Competent Authority for deciding
reduced rates.
Superintending Engineer AIIMS
Bhopal
[k.M Clause 18
dk;ZLFky ij Bsdsnkj }kjk yxk;s tkus okyh vfuok;Z e’khujh vkStkj ,oa l;a=ksa dh lwph %&
List of mandatory machines, tools and plants to be deployed by the contractor at site.
As required by Engineer in Charge
[k.M Clause 25
As per Part B
[k.M Clause 31
Whether clause 31 shall be applicable
As per Part B
[k.M [k.M Clause 36(i)
As per Part B
[k.M
[k.M [k.M [k.MClause 42 (Not applicable for Electrical works)
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SPECIAL CONDITIONS FOR ELECTRICAL WORKS i.e. ELECTRICAL INSTALLATION FOR COMPOSITE TENDERS
1. In case the main contractor is himself eligible for sale of tender for the specific electrical component ( Electrical Installation) and intends doing the job himself, he may not associate agency for the specific electrical component
2. Main agency shall have to submit credential of the proposed associated agencies for verification and approval of the department in Performa at Annexure I. Consent letter of such selected agencies for association shall also be enclosed in the prescribed format (Annexure-II). Main agency may propose up to three names of eligible associates.
3. After obtaining concurrence of department for such association, the main agency shall finalize one associate for execution of the electrical installation /down comer component of the work. The main contractor has to enter into agreement with the contractor associated by him for execution of minor component. Copy of such agreement shall be submitted to EE (E) in charge of electrical component for approval by competent authority as well as to EE(E) in charge of major component. (As per Annexure III)
4. All technical discussions shall be attended by the associate agency and the main agency. Commercial / Technical submissions for the electrical works shall be signed and submitted by the associate agency along with the main agency.
5. Price-bid for electrical component shall be submitted by the main agency.
6. Award of work shall be made by the Engineer-in-charge of the major component to the main agency for complete work.
7. The main contractor shall be entirely responsible and answerable for all the works done by his associated electrical contractor regarding their quality, adherence to the laid down specification, terms and conditions, warranty/guarantee etc and he shall be liable to bear any compensation that may be levied by the department under any of the clauses of the agreement.
8. The manufacturer's guarantee/warrantee for all the electrical accessories shall be for minimum period for 12 months from the date of taking over of the installation by the department. Necessary documents of handing / taking over of the installation will be duly signed by the three parties namely EE (E) the main contractor and the associate contractor. The main contractor will ensure that the maintenance during the guarantee period shall also be carried out by the associate electrical contractor. one year guarantee is to be provided free of cost as per item in the schedule of quantity.
9. The main contractor shall also give necessary general power of attorney under the contract to the associated electrical contractor to enable him to receive instructions from electrical engineers of the department at site, sign the site order book, bills MBs for acceptance of measurement and receive stipulated materials etc.
10. The main contractor shall be responsible for coordinating the activities of all the works and will ensure progress of all works as per the laid down program. The main contractor shall also arrange for proper storage of the electrical accessories at site and will be responsible for their watch and ward.
11. Associate electrical agency shall submit the fortnightly labour report. Material for use at work shall be procured by the electrical agency. For this purpose invoice / delivery challan shall be submitted to the department by the associate agency.
12. Sample of materials like conduits wires, of each size to be tested in the laboratory approved by Engineer in charge, nothing shall be paid on this account; testing fees etc. shall be paid by the contractor.
13. Materials like switch sockets boards MCB DB wire conduits MCB box raceway shall be approved by Engineer-In-Charge before use at site.
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14. Fish wire shall be provided in each conduit where wiring is not carried out.
15. Extra item substitute item deviation etc. shall be carried out only with written permission of competent authority.
16. For power wiring/computer point wiring GI box of 6/8 module shall be in horizontal pattern only.
17 For Composite Tenders
17.1.1 The Executive Engineer in charge of the major work will call tenders for the composite work. The cost of tender document and Earnest money will be fixed with respect to the combined estimated cost put to tender for the composite tender.
17.1.2 The tender document will include following three components:
Part -A : CPWD - 6, CPWD-7/8 including schedule A to F for the major component of the work, Standard General conditions of Contract for CPWD 2014 amended / modified upto last date of receipt of tender or latest edition as applicable with all amendments / modifications up to last date of receipt of tender.
Part -B : General / specific conditions, specifications and schedule of quantities applicable to major component of the work.
Part-C : Schedule Package B for minor component of the work (SE/EE in charge of Work shall also be competent authority under clause 2 and clause 5 as mentioned in schedule A to F for major components) General / specific conditions, specifications and schedule of quantities applicable to minor component(s) of the work.
17.1.3 The tenderer must associate with himself, agencies of the appropriate class or experience eligible to tender for each of the minor component individually.
17.1.4 The eligible tenderers shall quote rates for all items of major component as well as for all items of minor components of work.
17.1.5. After acceptance of the tender by competent authority, the EE in charge of the work shall issue letter of award on behalf of the President of India.
17.1.6 Entire work under the scope of composite tender including major and all minor components shall be executed under one agreement.
17.1.7 The main contractor has to associate agency(s) for minor component(s) conforming to eligibility criteria as defined below and has to submit detail of such agency(s) to Engineer-in-charge within 15 days of award of work. Name of the agency(s) to be associated shall be approved by Executive Engineer(E) of minor component(s) .
17.1.8 In case the main contractor intends to change any of the above agency/agencies during the operation of the contract, he shall obtain prior approval of competent authority, who had earlier approved the same. The new agency/agencies shall also have to satisfy the laid down eligibility criteria. In case Engineer-in-charge is not satisfied with the performance of any agency, he can direct the contractor to change the agency executing such items of work and this shall be binding on the contractor.
17.1.9 The main contractor has to enter into agreement with contractor(s) associated by him for execution of minor component(s). Copy of such agreement shall be submitted to EE. In case of change of associate contractor, the main contractor has to enter into agreement with the new contractor associated by him.
17.1.10 It will be obligatory on the part of the firm/ agency to sign the tender documents for all components before the first payment is released.
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Annexure I
PROPOSAL FOR ASSOCIATING ELECTRICAL AGENCIES for ELECTEICAL INSTALLATION, AND DOWN COMER
We hereby propose the following electrical agencies as per details mentioned against each. Their consent letters are also attached as per Annexure II
| S No. | Name of electrical contractor/ Firm | Category and class of registration in CPWD/ Work experience | Registration No. | Monetary limit of work | Validity of registration |
|---|---|---|---|---|---|
| 1 | | | | | |
| 2 | | | | | |
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Note :- A copy of registration order/ Work experience shall be attached for each agency.
Contractor's signature
ABEU
EE(P)
Annexure II
CONSENT LETTER
I/We hereby give my/ our consent to work as electrical contractor till the completion of work and I/we will be responsible for necessary action to hand over the work and for rectification of defects and repair during the maintenance period. I/we will execute the work as per CPWD specification and addition conditions of the works.
I/we will also engage suitable Engineer for the work as per condition of work. I further certify that the above particulars pertaining to me are correct.
Signature of Electrical contractor
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Memorandum of understanding
Rs. 100/- Non-judicial stamp
This Memorandum of Understanding (MOU) is made on the _________ at __________
Between
M/s _____________________________ (Main Contractor) having his registered office at _____________________ which expression shall unless repugnant to the subject or context include its administrators, successors and assigns.
And
M/s _____________________ (Associate contractor) registered in AIIMS as class : _______ Electrical contractor and having his registered office at _____________________ which expression shall unless repugnant to the subject or context include its administrators, successors and assign.
Whereas, the ABEU , have issued tender papers to quote for the following work to M/s __________________(Main Contractor).
Name of work :
Whereas, This Memorandum of Understanding has been entered into to execute the above work by the Main Contractor and Associate Contractor.
Whereas, both the parties have gone through and understood the various conditions and clauses of the tender and willingly agree to abide by them.
This MOU shall be valid till the duration of completion of above work and shall be extended if so required by the AIIMS.
Now, therefore it is agreed between the parties here to as follows :-
1 :- The associated electrical contractor shall completely execute, perform and do all the works mentioned and described in the main agreement for its electrical components according to the specifications, terms and conditions etc. of the main agreement.
2 :- The associated electrical contractor shall execute and complete the works in all respect up to full satisfaction of the CPWD officers and attend to them during their inspection at site, meetings etc., whenever required by the CPWD officers.
3 :- The cost of electrical works executed by the associated electrical contractor will include the cost of all the materials, accessories, equipments, tools & plants, laborers technical persons required etc. in all respect.
4 :- The associated electrical contractor is responsible for getting recorded measurements and preparation, submissions & pursuance of payment of the bills of the work done for electrical portion of the main agreement.
5 :- The rate will be as per the schedule enclosed.
6 :- The Quantity will be as per actual measurement as received from AIIMS to main contractor and the rate will be as per the mutually agreed.
7 :- The payment to associate contractor will be released after the payment to main contractor is made by the AIIMS.
8 :- The technical staff required for the associate discipline shall be of associate contractor.
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Annexure III
ABEU
9 :- The guarantee of the installation after the completion of the work shall be responsibility of the associate electrical contractor as required by the AIIMS.
10 :- There is no service tax liability; work being related to the construction of the Central Govt. Deptt. However, if any liability of the service tax is imposed on the associated electrical contractor then it will be paid by main contractor.
11 :- Either party shall not repudiate the contract in mid way without the consent of each other. Otherwise it will be treated as breach of agreement for any reason whatsoever.
12 :- The main agency shall be solely responsible for deferment & rescheduling of each milestone fixed as per contract documents and in such eventuality, the consequences arising out of the same rests on main agency.
13 :- The main contractor only shall be responsible for getting extension of delay regularized and liability what so ever flowing out shall lies with them. There shall be no direct or indirect impact on associate contractor.
14 :- TDS shall be deducted by the main contractor as per Income Tax law from associated agency. In case liability of tax other than Income Tax(Such as vat, service tax, or any other mechanism formed) is levied on associated contractor then the main agency will reimburse it in full to associated agency.
15 :- The associated contractor shall be bound to execute work upto a deviation limit of 30% in quantities of items of work at the agreement rate. Beyond deviation limit the rates will be decided by main & Associated contractor on mutually agreed basis.
16 :- For the items such as extra items, substitute items and new items other than the items of main agreement, if any incorporated in the work, then the main contractor shall pay the full amount so approved to the associate contractor.
17 :- The validity of rates shall be ______ months after finalization & acceptance of MOU by the competent authority.
18 :- In case main contractor delays the payment to associated contractor after the payment is released by department to the main contractor then on receipt of delay in payment from associate contractor the CPWD shall directly make the payment to associated contractor.
19 :- The main contractor shall at their cost provide necessary requisite arrangement for storage of material.
20 :- Sand & cement used in the electrical work shall be provide by main contractor.
21 :- Security Deposit as deducted by the AIIMS will be reimbursed by main contractor to associate contractor. However associated electrical contractor will deposit 2 ½ % of Agreement amount of Rs. ______________ in shape of FDR towards S/D to be retained by main contractor which will refunded to electrical contractor after completion of electrical work.
22 :- The Income tax, Commercial tax and labour cess tax deducted by the AIIMS from the bills of electrical work shall be reimbursed by the main contractor in favour of the associated electrical contractor accordingly.
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In witness whereof we have put our hand seal on date _________________.
Enclose :- Schedule of rates.
Signature Signature
(Associate Contractor) (Major Contractor)
Address : _________________ Address : __________________
GENERAL TERMS AND CONDITIONS APPLICABLE FOR ALL E&M COMPONENTS
1. GENERAL
The work shall be generally carried out in accordance with tender/bid specifications and the following specifications / rules.
a) CPWD General Specifications for Electrical work Part I Internal – 2013, as amended upto date
b) CPWD General Specifications for Electrical work Part II External - 1995, as amended upto date
c) Commercial and Additional conditions for this work.
d) The Indian Electricity Act, 2003, as amended upto date
e) Indian Electricity Rules 1956 amended upto date
Order of Preference:
Should there be any difference or discrepancy between the description of items as given in the Schedule of Quantities, technical specifications for individual items of work (including additional and commercial conditions) and IS Codes etc., the following order of preference shall be followed:
a) Schedule of quantities
b) Commercial and Additional conditions for this work
c) General Conditions of Contract for CPWD Works
d) CPWD General Specifications
e) Relevant IS or any other International code in case IS code is not available.
These Commercial and Additional conditions are to be read in conjunction with above and in case of variations, specifications given in these additional conditions shall apply. However, nothing extra shall be paid on account of these additional specifications and conditions, as the same are to be read along with schedule of quantities for the work.
This specification covers manufacture, testing as may be necessary before dispatch, delivery at site, all preparatory work, assembly and installation, commissioning putting into operation of equipment of all E&M components of the tender
The tenderer should in his own interest visit the site and get familiarize with the site conditions before tendering.
No T &P shall be issued by the Department and nothing extra shall be paid on account of this.
2. COMMERCIAL CONDITIONS
Type of Contract: The work to be awarded by this tender shall be treated as indivisible works contract.
3. Income tax, work contract tax, labour cess & other statutory deductions etc. shall be made at source as per the prevalent laws. The deductions of Security Deposit, Income-Tax, Works Contract Tax etc. shall be done after calculation of the due payments and net payment shall be reduced accordingly.
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4. RATES
4.1 The rates quoted by the tenderer, shall be firm and inclusive of all taxes (including works contract tax, labour cess), duties levies, octroi etc. and all charges for packing forwarding, insurance, freight and delivery, installation, testing, commissioning etc. at site including temporary construction of storage, risks, over head charges, general liabilities/obligations and excluding Service Tax. However EPF and ESIC shall be initially paid by the contractor and shall be reimbursed to him by the department after verification of payment receipts etc.
4.2 The department will not issue Octroi exemption certificate.
4.3 The contractor has to carry out preventive maintenance and service as per manufacturer's standards for a period of 12 months from the date of handing over. Nothing extra shall be paid on this account.
4.4 In case the same item appears more than once in the schedule of work under the same sub head or among the different subhead of works, the lowest rate quoted for that item elsewhere shall be considered for other items also during evaluation of tender.
5. COMPLETENESS OF TENDER
All sundry equipment, fittings, unit assemblies, accessories, hardware items, foundation bolts, termination lugs for electrical connections, and all other items which are useful and necessary for efficient assembly and installation of equipment and components of the work shall be deemed to have been included in the tender irrespective of the fact whether such items are specifically mentioned in the tender documents or not.
6. STORAGE AND CUSTODY OF MATERIALS
The space , if available, may be used for storage of sundry materials and erection equipments or else the agency has to make his own arrangements. No separate storage accommodation shall be provided by the department. Watch and ward of the stores and their safe custody shall be the responsibility of the contractor till the final taking over of the installation by the department.
7. CARE OF THE BUILDING:
Care shall be taken by the contractor while handling and installing the various equipments and components of the work to avoid damage to the building. He shall be responsible for repairing all damages and restoring the same to their original finish at his cost. He shall also remove at his cost all unwanted and waste materials arising out of the installation from the site of work. 8
8. COMPLETION PERIOD
The completion period indicated in the tender documents is for the entire work of planning, designing, approval of drawings etc., arrangement of materials & equipments, delivery at site including transportation, installation, testing, commissioning and handing over of the entire system to the satisfaction of the Engineer-in-charge.
9. GUARANTEE
9.1 All equipments shall be guaranteed for a period of 12 months, from the date of taking over the installation by the department, against unsatisfactory performance and/or breakdown due to defective design, workmanship or material. The equipments or components, or any part thereof, so found defective during guarantee period shall be forthwith repaired or replaced free of cost, to the satisfaction of the Engineer-in Charge. In case, it is felt by the department that undue delay is being caused by the contractor in doing this, the same will be got done by the department at the risk and cost of the contractor. The decision of the Engineer-in-charge in this regard shall be final & building on the contractor.
9.2 The tender shall guarantee among other things, the following:
a. Quality, strength and performance of the materials used as per manufacturers standards.
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b. Safe mechanical and electrical stress on all parts under all specified conditions of operation.
c. Satisfactory operation during the maintenance period.
9.3 Testing of quality of Treated Water from STP. The quality of filtered water from the sewage treatment plant shall be got checked for characteristics like P.H, BOD, COD, TSS Oil and grease, Hardness, NH4-N, N- total and Feccal Coliform etc., Water quality analysis shall be got done at the time of commissioning of the STP and subsequently at least once in three months by the contractor or as decided by the Engineer-in-charge from State/ Central Government owned Public Health Care Departments or boards/ Pollution Control boards/ or Government testing laboratories during the defect liability period and Comprehensive maintenance contract period. The contractor shall make all arrangements for the testing which include collection of samples, sending samples and collection of reports etc., The expenditure incurred for such tests during initial commissioning and during the defect liability period are not reimbursable. However, the fee paid for testing during Comprehensive maintenance contract period shall be reimbursed to the contractor on submission of the receipt of lab. The reports and the record of such tests shall be maintained and shall be handed over to the department.
10. POWER SUPPLY:
The contractor has to make his own arrangement for power supply required for execution of the work.
11. WATER SUPPLY:
The contractor has to make his own arrangement for water supply required for execution of the work.
12. PREFERRED MAKES OF VARIOUS EQUIPMENTS:
The preferred makes of various equipments/components/accessories have been indicated in "Preferred Makes" in appendix attached with the tender documents. The tenderer shall work out the cost of the offer on this basis. Any other makes are not acceptable.
13. DATA MANUAL AND DRAWINGS TO BE FURNISHED BY THE TENDERER:
13.1 After award of work
The successful tenderer would be required to submit the following drawings after award of work for approval before commencement of installation.
a) General arrangement drawing of all equipments of E&M components as per individual E&M component b) Details of foundations for the equipments and the weights of assembled equipments.
c) Dimensions and position of all tanks viz. Equalisation tank, MBBR/ FAB/ FMR tank, Tube settler, Sludge tank, Treated water tank etc., for construction by civil contractor.
d) Any other drawings necessary for the job.
14. The successful tenderer should furnish well in advance three copies of detailed instructions and manuals of manufacturers for all items of equipments regarding installation, adjustments operation and maintenance including preventive maintenance & trouble shooting together with all the relevant data sheets, spare parts catalogue etc. all in triplicate.
15. EXTENT OF WORK
15.1 The work shall comprise of entire labour including supervision and all materials necessary to make a complete installation and such tests and adjustments and commissioning, as may be required by the department. The term complete installation shall not only mean major items of the plant and equipments covered by specifications but all incidental sundry components necessary for complete execution and satisfactory performance of installation with all layout charts whether or not those have been mentioned in details in the tender document in connection with this contract .
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15.2 The cables and other items shall be brought at site after taking correct measurements
15.3 In addition to supply, installation, testing and commissioning, of all E&M equipment, following works shall be deemed to be included within the scope of work to be executed by the tenderer of this job.
a) Minor building works necessary for installation of equipments, foundation, making of opening in walls or in floors and restoring them to their original condition finish and necessary grouting etc. as required.
b) All necessary supports may be arranged.
c) Testing of PTs/CTs for metering & protection purpose & relay calibration & setting.
16. Exclusion and work to be done by other agencies:
The following shall be excluded from the scope of the work:
a) Major dismantling of any existing building work.
b) Electricity supply in sub-station building.
17. COMPLIANCE WITH REGULATIONS AND INDIAN STANDARDS:
17.1 All works shall be carried out in accordance with relevant regulation, both statutory and those specified by the Indian Standards related to the works covered by this specification. In particular, the equipment and installation will comply with the following:
i) Factories Act.
ii) Indian Electricity Rules.
iii) B.I.S. & other standards as applicable.
iv) Workmen's compensation Act.
v) Statutory norms prescribed by local bodies like ,MPPCB,CEA, Power Supply Co., etc.
17.2 Before execution contractor submit the design & drawing before design contractor take the influent 4 to 5 sample in alternate day and send the laboratory and as per report be take input design data.
17.3 Nothing in this specification shall be construed to relieve the successful tenderer of his responsibility for the design, manufacture and installation of the equipment with all accessories in accordance with currently applicable statutory regulations and safety codes.
18. INDEMNITY:
The successful tenderer shall at all times indemnify the department, consequent on this works contract. The successful tenderer shall be liable, in accordance with the Indian Law and Regulations for any accident occurring due to any cause and the contractor shall be responsible for any accident or damage incurred or claims arising there from during the period of erection, construction and putting into operation the equipments and ancillary equipment under the supervision of the successful tenderer in so far as the latter is responsible. The successful tenderer shall also provide all insurance including third party insurance as may be necessary to cover the risk. No extra payment would be made to the successful tenderer on account of the above.
19. ERECTION TOOLS:
No tools and tackles either for unloading or for shifting the equipments for erection purposes would be made available by the department. The successful tenderer shall make his own arrangement for all these facilities.
20. COOPERATION WITH OTHER AGENCIES:
The successful tenderer shall co-ordinate with other contractors and agencies engaged in the construction of buildings, if any, and exchange freely all technical information so as to make the execution of this work/contract smooth. No remuneration should be claimed from the department for such technical cooperation. If any unreasonable hindrance is caused to other agencies and any completed portion of the work has to be dismantled and re-done for want of cooperation and coordination by the tenderer during the course of work, such expenditure incurred will be recovered from the successful tenderer if the restoration work to the original condition or specification of the dismantled portion of the work was not undertaken by the tenderer himself.
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21. The work will be carried out with least disturbance during shifting & shut down taken in consultation with the client department.
22. INSURANCE AND STORAGE:
All consignments are to be duly insured upto the destination from warehouse at the cost of the contractor. The insurance covers shall be valid till the equipment is handed over duly installed, tested and commissioned.
23. VERIFICATION OF CORRECTNESS OF EQUIPMENT AT DESTINATION:
The contractor shall have to produce all the relevant records to certify that the genuine equipments from the manufacturers has been supplied and erected.
24. PAINTING:
This shall include cost of painting of the entire installation. The major equipments like HT panel, transformers, L T panel, bus duct, cable trays etc. shall be factory final finish painted. The agency shall be required to do only touching to the damages caused to the painting during transportation, handling & installation at site, if there is no major damage to the painting. However hangers, supports etc. of bus trunking & cable tray etc. shall be painted with required shade including painting with two coats of anticorrosive primer paint at site.
25. TRAINING:
The scope of works includes the on job technical training of four to six persons of client Department at site. Nothing extra shall be payable on this account.
26. MAINTENANCE:
Sufficient trained and experienced staff shall be made available to meet any exigency of work during the guarantee period of one year from the handing over of the installation. The maintenance, routine as well as preventive, for one year from the date of taking over the installation as per manufacturer's recommendations shall be carried out as per OEM standards.
27. Approval of drawings, makes and models of equipment/materials for all E&M components :
27.1 The agency shall submit drawings and details such as makes and models of the equipments/materials offered by him along with specifications for all E&M components to the Engineer-in-charge of the work, before ordering the equipment/materials for approval of the department.
27.2 The Engineer-in-charge shall scrutinize the proposal and approve the makes and models which are acceptable as per the schedule, specifications, conditions of the agreement and inform the agency for procurement.
27.3 After approval of the equipment/materials by the department, the agency shall procure the equipment/materials from the OEM/authorized distributor/dealer as the case may be:
28. Adequate care that only tested and genuine materials of proper quality are used in work shall be ensured by firm. The firm shall also ensure that:
i. Material will be ordered & delivered at site only with the prior approval of the department to ensure timely delivery.
ii. As and when the order is placed for the fittings/ fixtures, cables, switchgears, poles, other main items etc, its copy shall be endorsed to the CPWD Engineer-in-charge.
iii. Inspection at factory or at godown, if required, shall be arranged by the firm for a mutually agreed date.
iv. Delivery of material shall be taken up only with the consent of department, after clearance of the material.
v. Department shall reserve the right to waive inspection in lieu of suitable test certificate, at its discretion.
vi. All the materials to be supplied by the contractor shall be procured & brought to site as per requirement at site of work in consultation with department so that these materials are not damaged & their manufacturer's warrantee is not lost.
CORRECTION__NIL____ INSERTIONNIL______
CUTTING __NIL____OVERWRITING __NIL
AE(P)
_______
72
ABEU
29. Safety Codes & Statutory Regulations:
a. Nothing in this specification shall be construed to relieve the successful tenderer of his responsibility for the design, manufacture and installation of the equipment with all accessories in accordance with currently applicable statutory regulations and safety codes.
b. Successful tenderer shall arrange for compliance with statutory provisions of safety regulations and departmental requirements of safety codes in respect of labour employed on the work by the tenderer. Failure to provide such safety requirement would make the tenderer liable for penalty of Rs.1000/- for each default. In addition, the department will be at liberty to make arrangement for the safety requirements at the cost of tenderer and recover the cost thereof from him.
CORRECTION__NIL____ INSERTIONNIL______
CUTTING __NIL____OVERWRITING __NIL
AE(P)
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ABEU
LIST OF APPROVED MATERIALS (CIVIL)
Note:
1. Unless otherwise specified, the brand/make of the material as specified in the item nomenclature or in the particular specifications or in the list of approved materials attached in the tender, shall be used in the work.
2. The Contractor shall obtain prior approval from the Engineer-in-charge before placing order for any specific material/ Brand/ Make.
3. Whenever the specified brand of material is not available than, the Engineer-in-charge may approve any material equivalent to that specified subject to proof being offered by the Contractor for its equivalence and its non-availability to his satisfaction.
| | CIVIL WORK |
|---|---|
| 1 | Cement |
| 2 | Ready Mix Concrete |
| 3 | Reinforcement steel |
| 4 | Concrete Additive |
| 5 | Adhesive for door work |
| 6 | Door Lock |
| 7 | Flush Door Shutters |
| 8 | Hardware |
| 9 | Laminates |
| 10 | Plywood/ Blockboard/veneered Particle Board |
| 11 | Stainless Steel D-Handles |
| 12 | Ceramic Tiles |
| 13 | Ceramic Tiles Adhesive |
| 14 | Compressed Chequered tiles |
| 15 | Glazed Tiles |
| 16 | Vitrified Tiles |
| 17 | Water Proofing |
| 18 | Clear Glass/ Clear Float Glass/ Toughened Glass |
| 19 | Gypsum Board |
| 20 | Gypsum False Ceiling |
| 21 | Mineral Fibre Ceiling |
| 22 | Powder coating Material Pure Polyester |
| 23 | Polycarbonate Sheet |
| 24 | Paver Blocks |
| 25 | Welding Rods |
| 26 | Acrylic Distemper, Emulsion, Synthetic Enamel Paint and Primer. |
| 27 | Epoxy Adhesive |
| 28 | Aluminum Composite Panel |
| 29 | Aluminum Extrusions |
| 30 | Aluminum Sections |
| 31 | Annealed Float Glass |
| 32 | Bitumen |
| 33 | Calcium Silicate Board / Tiles |
| 34 | Dash fastener, Expansion Bolt |
CORRECTION__NIL____ INSERTIONNIL______
CUTTING __NIL____OVERWRITING __NIL_______AE(P)
| 35 | Epoxy Grouting Compound |
|---|---|
| 36 | Epoxy Primer & Paints |
| 37 | Galvanized/Stainless Steel Anchor Fasteners |
| 38 | GI Sheet |
| 39 | Hardener |
| 40 | Polysulphide / Silicon Sealent |
| 41 | Structural steel section |
| 42 | Stainless Steel clamps |
| 43 | Stainless Steel Sheet |
| 44 | Stainless Steel Nut Bolts, washers and screws |
| 45 | Super plasticizer / admixture |
| 46 | Wall Putty |
| 47 | Water Proofing Compound (Liquid) |
| 48 | White Cement |
| 49 | Acrylic Sheet |
| 50 | Brick |
| 51 | Hydraulic Door closer, Floor springs |
| 52 | Flush Doors (ISI Mark only) |
LIST OF APPROVED MATERIALS (ELECTRICALS)
| S.No . | Item |
|---|---|
| 1 | PVC insulated copper conductor Wire/ Cable |
| 2 | HDPE DWC Pipe |
| 3 | Modular 6/16 Amp/ switch, Socket, Blanking Plate, Metal Switch box (the guage of switch box shall not less than 18 SWG & of the same make that of switch) Front plates, Telephone, TV outlets sockets, Fan Regulator & other Modular accessories |
| 4 | MCCBs |
| 5 | MCB DB, MCB & Industrial Socket |
| 6 | MS Conduit (ISI Marked) |
| 7 | LAN Cable |
| 8 | GI Pipe (ISI Marked) |
| 9 | Exhaust Fan |
| 10 | Wall Mounting Fan |
CORRECTION__NIL____ INSERTIONNIL______
CUTTING __NIL____OVERWRITING __NIL
AE(P)
_______
75
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URBAN WASTE WATER TREATMENT D
Procedures and Criteria in relation to Storm Water Overflows
Contents
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1 . Introduction
The Urban Waste Water Treatment Directive 9 1 1271 /EEC (UWWTD) which came into effect on 30 June, 1993 provides a framework for action to deal with the pollution threat from urban and industrial waste water. In relation to urban waste water, specific requirements apply to the provision of collecting systems and treatment plants and Member States must also decide on measures to limit the pollution from storm water overflows. This paper is intended to assist local authorities and their consulting engineers in the evaluation of requirements for implementation of the latter aspect of the UWWTD. In particular, the paper indicates the general approach and the design criteria to be followed and discusses the way these criteria might be implemented.
The overall approach is to ensure that the efficiency of the collecting system is considered in addition to the efficiency o f . the ultimate treatment process. In this way, the overall performance of the sewerage system is defined rather than that of the treatment plant only.
The European Commission has commissioned a consultant to carry out a review study of stormwater pollution control systems used in EU Member States. The purpose of the study is to do a comparative analysis. of current practices in terms of environmental benefit and economic consequences, to develop general and technical guidelines< and recommendations for good practice which can be adopted by waste water operators, and to propose suitable variantsto the general guidelines to meet local needs where appropriate. The criteria and guidelines set out in this paper will be reviewed in due course in the light of any ' . recommendations of the study report which is due to be completed shortly.
2, ~irective's Requirements
Article 3 of the ~irective requires Member States to "ensure that al1,agglomerations are provided with collecting systems for urban waste water,
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at the latest by 31 December, 1998 for those with a population equivalent of more than 10,000 discharging into a sensitive area
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at the latest by 31 December, 2000 for those with a population equivalent (p.e.) of more than 15,000, and
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at the latest by 31 December, . 2005 for those with a population equivalent of between 2,000 and 15,000.
It further requires that collecting systems satisfy the requirements of Annex 1(A) ,of the Directive which stipulates that
"The design, construction and maintenance of collecting systems shall be undertaken in accordance with the ,best technical knowledge not entailing excessive costs, notably regarding:
- volume and characteristics of urban waste water,
- . prevention of leaks,
- the limitation of pollution of receiving waters due to storm water overflows."
In a footnote to the above requirements, the Directive recognises that it is not possible in practice to construct collecting - systems and,treatment plants in a way.such that all waste water -can be treated during situations such as unusually heavy rainfall. As a result, it requires Member States to decide on measures to limit pollution from storm water overflows and suggests that such measures:-
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( 1 ) could be based on
- dilution rates, or
- capacity in relation to dry weather flow, or I' I ,+I 6,
( 2 ) could specify.a certain acceptable number of overflows per year.
3. Quality Standards
3.1 General
Apart from the specific requirements of the UWWTD, certain quality standards or objectives for the aquatic environment must be considered in relation to the provision of upgraded or new storm water overflows. These comprise standards in the following European Union Directives:-
- Council Directive of 8 December 1975 concerning the quality of bathing water ( 7 6 / 1 6 0 / ~ ~ ~ )
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- Council Directive of 1 8 July 1978 on the quality of fresh - waters needing protection or improvement .in order to support fish life ( 7 8 / 6 5 9 / ~ ~ ~ )
- Council Directive . of 30 October 1979 on the quality required of shellfish waters ( 7 9 / 9 2 3 / ~ ~ ~ )
- Council Directive of 1 6 June 1 9 7 5 concerning the quality required of surface water intended for the abstraction of drinking water in Member States ( 7 5 / 4 4 0 / ~ ~ ~ )
~ h e s e standards have been given legal effect in Ireland in each case by means of the following national Regulations:-
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S.I. No. 155 of 1992 Quality of Bathing Water Regulations, 1992 and S.I. No. 145 of 1994 Quality of Bathing Waters (Amendment) Regulations, 1994;
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- S.I. No. 293 of 1988 European Communities (Quality of Salmonid waters) Regulations, 1988;
- S.I. No. 200 of 1994 Quality of Shellfish Water Regulations, 1994;
- S.I. No. 29.4 of 1989 European Communities (Quality of surface water intended for the abstraction of drinking waters) Regulations, 1989.
These Regulations generally require compliance with the imperative (I) standards prescribed but, in the case of bathing waters, it should be noted that the guide values therein must be the aim, since it is adherence to the guide values (and not the mandatory I values) which enables areas to qualify for Blue Flag status.
Apart from the need to ensure that the standards set in Regulations are complied with, sanitary authorities must also consider standards (or objectives) set down in Water Quality Management Plans as well as the standards/objectives recommended by the Technical Committee on Effluent and Water Quality Standards in its "~emorandum No 1 : Water Quality Guidelines (1,979 Report). Information Note: In regard to the latter Memorandum, the Department is at present considering the making of regulations under Section 26 of the Water Pollution Act 1977 setting quality standards in regard to waters generally for a range of List I1 Dangerous Substances pertinent to the Irish situation.
3.2 Bathins Waters
As regards the protection of bathing waters, restricted spill frequency and volume of storm water discharged is required during the bathing season from mid-May to August.
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The use of Time Series Rainfall for storm events confined to these months allows I s the determination of frequency and volume of spill using the calibrated hydraulic model of the cetwork. Iterative use of the model with a variety of storage volumes will determine the solution to satisfy the limits adopted.
The National Rivers Authority (NRA) in the UK has set out standards for consenting storm water overflows into or in close proximity to bathing areas and water contact/recreational use waters and these standards can be summarised as follows:
- The maximum number of independent storm events discharged via the SWO must not, on average, exceed 3 per bathing season for identified bathing waters unless if' can (be shown thati the design will achievebthe uater qualityistar!dards of the Bathing Water Directive for at least 98.2% of the time.
The maximum number of independent storm events discharging via storm water, overflows af f ecting water contact/recreational use waters must not, on average, I exceed 7 times pe= bathing season. I ' I I / /r 1 . , I I. , j ! ' I f * , 6, -
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1 The soffit level of the /ov~~rflow' outfall must be located ' li below the level of the low water mark of mean spring tides il ( M L W S ) ; other,wise a spill frequency criterion of 1 spill in 5 ibathing sedsons will apply.
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~drmall~ the incoming flow must exceed that calculated from "E'ormula A'" before the storm water overflow spills unless I there are high dilutions available. I
- Discharge flows are required to be screened to at least 10mm and where the frequency of spill is greater than once per year, 80% of the volume should be screened to at least.
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Network models using the WALLRUS software package can be used fo establish the storage.volume requirements to meet the criteria for potential SWO spills to the identified bathing waters.
The type of screen used to achieve the requirements should be of the screenings retention type and not of the removal type. That is, the screenings intercepted by the screen should be retained in the sewer system and not removed for separate disposal. This will reduce running and maintenance costs of screening at storm water overflows.
3 . 3 Sensitive Areas
The requirements for effluent treatment prior to discharge to sensitive areas is for a minimum percentage reduction of 80% of total phosphorus and 70-80% of total nitrogen. It would appear r-easonable that a volume reduction in storm sewage spill of this magnitude would be a consistent standard in this area. That is, the volume overflows as a percentage of rainfall run-off volume to the foul sewer would be a maximum of 20%.
..*This will require that a combination of storage and other sewerage improvements be considered to contain 80% of storm water run-off using Time Series Rainfall analysis in the Wallrus models for the contributing catchments. This level of containment(80%) would be a minimum value and should correspond to a proportionately higher percentage containment of nutrients since part of the nutrient load -is carried in suspended solids, retention of which would be maximised in the design of the overflow structures.
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4 . Assessment Criteria for,Existins SWO's
In assessing the operation of an existing SWO, one must determine if it:
( 1 ) causes significant visual or aesthetic impact and public complaints,
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( 2 ) causes deterioration in water quality in the receiving water, J* $'
(3) gives rise to failure in meeting the requirements of national Regulations on foot of EU Directives(Bathing Waters, etc. )
( 4 ) operates in dry weather.
5. Options followinq Assessment
Following assessment of an SWO on the basis of the criteria set out above, there are a number of options which can be considered in the context of remedying any capacity constraints. The first and most widely used option is an upgrading of the existing system. As the design considerations associated with upgrading also apply to new SWO'S, these are dealt with together in section 6 below. Other options are "use of storage" and "active control". The use of storm water storage tanks is increasingly recommended as an alternative to the up-si'zing of downstream capacity and this is dealt with in section 7 below. Active control, which involves effective use of spare storage capacity of sewer networks, is a relatively new approach and is dealt with in section 8 below.
6 - Uwradinq ~SWO'.S/N~W SWO ' s
6 .'I Desiqn criteria
The general criterion for the future design of storm water overflows is defined as an absence of visible signs of sewagederived debris (e.g. oil slicks, foaming etc. ) and of deposits' or algal growths caused by sewage discharge. This requires that the effects of organic/nutrient loads deposited in bed sediments must also be considered.
Design criteria for storm water overflows must take into consideration the following:
- beneficial uses of receiving waters and corresponding standards and water quality objectives,
the nature and strength of sewage including the effects of re-suspension and "first foul flush" effects which may increase rather than diminish sewage strength 'in the sewer with increasing flow, and policy in relation to industrial discharges to the sewer,
the siting of overflow discharges and their potential for aesthetic nuisance, and
- the type of overflow and its efficiency in containing as far as possible floating debris and solids generally, i-e. maximum solids separation. k
6 . 2 ' Desisn Principles
The main difficulty in relation to setting standards for storm water overflows is the lack of information available on the effects. of transient shock loadings on the receiving water and the difficulty of predicting their effects. Random physico-chemical sampling may not identify pollution associated with overflows. Biological sampling and assessment of receiving waters and bed sediments provides a more accurate assessment of on-goi-ng environmental conditions. Such sampling will be expected to indicate the biological impact of transient pollution.
The minimum setting for storm water overflows has traditionally been six times dry weather flow (6 DWF). In the UK this approach was replaced by ormu mu la.^" following the report of the Technical , 1 il
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Committee on Storm Overflows and the Disposal of Storm Sewage (HMSO 1 9 7 0 ) ' .
This is defined as follows: ,
Formula A = DWF + 1 .36P + 2E m3/ day
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I/ I where 'P' is the population selrved and :E' is the industrial effluent flow. ,
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This provides broadly for 6 DWF from the domestic contribution but uses only a factor of 2 on the industrial effluent I flow. This abpears very low where industrlial effluent comprises a significant proportion of the total flow and constitutes high strength was,tes with potentially toxic impacts. This was recognised in the report with a recommendation to increase the term ' 2 ~ ' in such situations.
Formula A should be considered as the minimum overflow setting in all situations whilst, at the same time, recognising its limitations in that
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no account is taken of the impermeable area draining to the overflow,
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no account is taken of the flow regime or use of the receiving water,
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there is no set method for making allowances for industrial discharges,
- no account is taken of the impact of intermittent pollution on the quality of the receiving water.
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In addition, the following steps should also be applied:
(i) subjective criteria should be applied to exclude spills to minor watercourses and small, relatively clean, streams and such receiving waters should be deemed unsuitable for such discharges,
(ii) storm overflow structures should be designed in accordance with the WRc publication ~ ~ 3 0 4 with acceptable types of overflow structure limited to high side weir, stilling basin and vortex chamber overflows designed to achieve efficient solids separation and retention,
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(iii) outlet control should maximise the retained flow at near constant rate within the system capacity,
(iv) such an overflow should be designed for effective containment of detritus and floating debris, .- - --
overflow structures should be capable of being properly maintained with provision for adequate ventilation, safe access and lighting,
. overflow discharge points should be discreetly located and for, coastal outfalls, should be taken, where practical, to low water level,
(vii) traditional structures of the low side weir type and ad-hoc overflows of the hole-in-the-wall type should in time be replaced by properly designed overflows, rationalised where possible to a ,minimum number of overflow structures for each system.
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The preliminary assessment of each overflow should also have regard to possible,""first foul flush" - , effects. These will depend on tile ~~ature of the s 3 w a c j e and the nature of the sewers cpstream and their gradients. Such flows have the potential for severe pollution due to extremely high BOD5 levels, potentially toxic levels of ammonia and hydrogen sulphide, and long term degradation associated with a high level of organic solids deposited on the bed of the receiving water which continue to depress dissolved oxygen levels and release nutrients.
.In general, research has shown that sewage strength frequently increases significantly during this "first foul flush" period, which tends to approximate to the time of concentration ' T ~ ' , following which the strength decreases and the effects of dilution become evident.
6.3 Detailed Desisn Requirements
A well designed and effective SWO must be capable of meeting the following general requirements:
( 1 ) good hydraulic control,
(2) good separation of gross pollutants,
(3) reliability,
(4) minimal maintenance requirements, and
( 5 ) reasonable cost.
Generally, SWOs designed to WRc Report ER304E will meet these requirements though the hydraulic control (in particular for smaller SWOs) and the separation of gross solids needs careful consideration.
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~ydraulic control at SWOs may be achieved by orifice plate, throttle pipe, vortex regulators or by adjustable penstocks. The WRC Report recommends that orifice throttles should have a diameter of opening of at least 200mm to reduce the risk of blockage. Likewise the diameter of a throttle pipe should not be less than 200mm and its length should ideally be between 3m and 30m long. Where penstocks are used, a clear ope capable of passing a 200 mm sphere should be provided. A vortex regulator may be used where the minimum required dimension of opening of 200mm cannot be met . These are usually of stainless steel construction and are fitted into the entrance of the continuation pipe. This device restricts the flow pasking forward while allowing solid objects to pass through unrestricted. Generally each device is designed for the specific appl.ication and will require some maintenance from time to time.
Recommended chamber dimensions are given in the WRc Report for high side weir and stilling pond overflows to ensure. good separation of gross polluting, solids. The Report notes that, as performance is sensitive to minor changes in configuration, care should be taken not to deviate from the recommended chamber dimensions. Vortex overflows do not rely on a stilling effect to separate gross solids but require a significant drop in invert ( 1 . 5 times inlet diameter) and are therefore best suited to sewers with steeper gradients.
Hydro-dynamic separators are now available in prefabricated form which facilitates installation. These operate in a similar manner to vortex overflows with peripheral spill. Care should be taken in the selection of such devices to ensure that effective solids separation and hydraulic control is achieved.
The WRc Report recommends that screens should only be used in > exceptionalcircumstances, for example, where the receiving water has a high amenity value. Where they are used, proper attention should be given to their location, the velocity of flow through the screens, raking and maintenance arrangements.
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6 . 4 Plannins Methodolosies
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Vazious methods arz availaZle or are currently being developed for establishing discharge settings and acceptable spill regimes. available dilution, and the classification of the receiving water at the location of the overflow. The use of a particular method is dependent on the level of significance placed on the particular overflow and the receiving water at the discharge point. This should be based on a combined assessment of the size of the contributing catchment, the
The Urban Pollution Management Steering Group(UK) have developed criteria for the initial assessment. Table 1 in Appendix 1 sets out the criteria for freshwaters and Table 2 those for coastal waters and estuaries. Recommended approaches depending on the level of significance of the overflow are set out in Appendix 2. These appendices are included for general guidance only; it will be necessary to examine each situation on its merits.
7. Use of Storase.
The use of storm water storage tanks is increasingly recommended as an alternative to the up-sizing of downstream capacity for reducing or eliminating storm water overflows. ~ h e s e tanks can be on-line or off-line and operate on the principle that flows in excess of the downstream capacity can be contained until the storm has sufficiently abated to allow the stored storm water to be returned to the sewer.. The downstream .capacity of the system is therefore maximised and overflows are minimised. The tanks are generally sized to contain the overflow that would arise from a storm with a specific return period, the 'design event' . Typically, a storm of one hour duration with a return period of five years is used for a built-up area.
Calibrated hydraulic models of sewer networks are being developed which will be used in conjunction with Time Series ~ a i n f a l l ~ to caicuiate overflow frequency and volumes. Use of ssmpling data of recognised parameters will allow estimates to be made of the pollution loads associated with such overflows.
Experience has shown that relatively modest storage volumes can appreciably reduce the frequency of overflows. While the reduction in the volume of overflow'may not be as significant, overflows from major storm events will be relatively dilute discharges coinciding with relatively high flows in receiving waters. These conclusions are evident from consideration of the pattern of rainfall - occasional extreme events of high intensity and critical duration as compared with the majority of rainfall which tends to be of relatively low intensity.
The design of storm water storage tanks to effectively retain floatables and for ease of cleaning out and maintenance is very important. Traditionally, small storm tanks have been circular tanks designed exactly as for settling tanks. Larger storm tanks have tended to be rectangular in shape containing chain driven scraper equipment for cleaning out of settleable solids. A number of methods have now been developed including the "tipping bucket" method to wash out flood deposits at the end of tank use. This system comprises a container fabricated from stainless steel mounted on bearings on the end wall of the tank. The shape of the container is designed so that it automatically tips and empties when full thus flushing the settled deposits on the floor of the tank to the return sump. The number and capacity of tipping buckets required to effectively clean the tank is a function of the dimensions of the tank.
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8. Active Control
Sewer systems, particularly large trunk sewer networks in cities 3x2 large towns, fkbe iqniflcant sfdrage volilmes which could be more effectively utilised to reduce pollution from SW-0s. Active (or real time) control of a combined sewer system will result in optimised performance from existing control structures and more cost effective upgrading of the system. Sewer system controls using telemetry to collect information and remotely operated control structures have been introduced in some major cities in Europe and the U.S. to' take advantage of these benefits thus reducing the amount of capital investment required. he tools necessary to be capable of implementing active control in a sewer system are:
- spare capacity in the sewers,
- spatial variability in rainfall,
- knowledge of rainfall pattern and the response of the sewer network,
- data collection sensors,
decision making system,
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operating hardware including telemetry control system.
Such systems will bring the operation of sewerage networks into a new era of management control which to date has been employed only on the distribution of potable water. The key to such control is data collection and an understanding of the way the . sewerage network responds to rainfall events. Such an understanding will allow the operator derive maximum benefit from the existing infrastructure and make informed decisions on cost effective improvements. From an Irish perspective, the potential for using active control would be limited to the larger urban centres where justification may be found for the costs involved.
9. Catchment Manaqement
Future developments will undoubtedly include a more integrated approach to catchment management. This will result in river models together with sewage treatment works models and sewer network models being used to predict impacts of discharges on receiving waters for parameters such as dissolved oxygen, BOD5, SS etc. This will lead to a better understanding of impacts on river water quality and will require that a much broader approach be adopted by engineers involved in the design and management of urban wastewater systems.
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Table I - UPM Ir~dicative Impact Assessment Criteria for Storm Overflows to Freshwaters
Low Sicnificn rlce
Dilution > 8 : 1 ( foul DWF @ 95% ile flow) No interaction with other discharges
Medium Sipnificance
Dilution < 8 : 1
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Liinited or no interaction with other discharges
Cyprinid fishery
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2,000 population equivalent only if all these criteria apply.
I-Iieh Significance
Dilution < 2 : 1
Interaction with other discharges
>10,000 population equivalent
Cyprinid or salmo~lid fishery orlly if all of these criteria apply
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Table 2 UI'M ltldicative Irsipact Assessrrre~at Criteria for Stortn Overflows to Constnl Waters and Estuaries
Low Si~nificance
Estuarial and coastal waters not containing EC identified bathing waters and sllellfisll waters
Medi~rm Si~nificance
Population equivalent 2,000 - 10,000 Affects identified bathing waters and shellfish waters
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only if both criteria apply.
Hiph Sipnificance
Population equivalent > 10,000
Affects identified bathing waters and shellfish waters only if both criteria apply.
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A . Low Siqnificance SWOs
For overflows of low significance minimum data techniques such as "F'ormula A", SDD ~ e t h o d ~ , and QUALSOC~ would be used. The SDD Method developed by the Scottish Development Department is an improvement on ormu mu la A" in that an account, albeit arbitrary, is made of the available dilution in the receiving water to recommend the size o f storage tanks to be provided at an overflow. These recommendations are reproduced in Table 3 attached. It should be noted that the dilution factor used is that normally used for treatment works discharges and is therefore not a measure of the dilution of the ove,rflow discharge but simply a measure of the relative size of the sewerage system and the river. Apart from this improvement, the limitations listed above with regard to o or mu la A" apply equally to the SDD Method.
QUALSOC was the next improvement to the use of o or mu la A" and was developed by the Welsh Water Authority. In principle the method is a dilution model which estimates the flow and pollutant concentration being discharged from the overflow, dilutes this with the estimated flow in the river and compares the resulting pollutant concentration with desirable limits. 'However, it does this by estimating discharges without having a model of the sewerage network or of the river to calculate the impact of discharges from particular events. The results therefore require careful interpretation to determine what they actually mean. The main limitations of. this approach are that considerable skill is required to answer the following questions:
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- what flow is likely in the river when the overflow is occurring?
- how frequently wjll the overflow occur?
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- what effect will a "first fsul flush" have?
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- is there interaction with other discharges?
Table 4 attached shows the National Rivers Authority (U.K.) guidance standards for the use of QUALSOC.
Relatively little data about the sewer network or receiving water is required for any of these methods. Shortcomings include the limited consideration given to the environmental impact of the discharge and the inability to size any in-sewer flow attenuation facilities to counter restricted downstream capacity. Solutions identified by these methods may not be the most cost effective as a result.
B. Medium Sisnificance SWOs,
For overflows of medium significance the use of a hydraulic model such as WALLRUS for the sewer network and what are known as the interim Procedure and CARP^, (Comparative ~cce*table Riverr Pollution), would be appropriate.
The Interim Procedure estimates concentrations of various pollutants in overflow discharges and was first introduced in the second edition of the Sewerage Rehabilitation ~ a n u a l ~ . It was designed to be used with a sewer hydraulic model which would predict the volume of overflow spill. The Procedure is based on a simplifying assumption that the pollutant concentration can be represented by an average concentration that was constant throughout the spill and that was the same for each rainfall event. The pollutant concentrations can be obtained in three
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ways, given here in order of increasing cost:
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1 . Use the figures published with the Procedure which were derived from taking samples of overflow spill from about eight catchments and are reproduced in Table 5 attached.
2. Measure concentrations in the dry weather flow and use'the dilution factors published with the Procedure which were d~erived from the same catchments and are reproduced in Table 6 attached.
3. Install sampling equipment at overflows and measure concentrations during a number of spill events to produce site specific average concentrations.
The CARP technique was developed by the WRc to give a methoe of comparing the impact of discharges to a receiving water. m his involved looking not just at the total load of pollutant in a year, but at the pattern of discharge of pollutants throughout the year. It also developed a measure of the impact of the discharge which should be independent of the river size. There are limitations to the use of this procedure:
-
The average concentrations for pollutant discharge are intentionally chosen to represent the highest likely concentration, and so will overestimate the spill.
-
-
Thesaverage concentrations do not take into account change in concentration during an event i n particular "first foul flush" effects or the beneficial effects of storage tanks in capturing the "first foul flush" and only spilling the later, cleaner flow.
Only one standard river has been defined for this procedure which is for a Class 2, fast flowing stream. There is a doubt as to whether the standard applies to rivers of different character, for example, lowland rivers or very large rivers.
-
The results can be influenced by the choice o f r i v e r r e a c h l e n g t h u s e d i n t h e calculations.
For coastal discharges the hydraulic network model can be used directly to assess compliance with a spill frequency criterion. While there is a need for a considerably larger amount of data for these methods, their use in addition to t a k i n g t h e i m p a c t o n t h e r e c e i v i n g w a t e r s i n t o consideration, also allows storm water detention facilities to be sized with some confidence.
C. Hish Sisnificance Overflows
For overflows of high significance, the use of complex models is justifiable, For the inland waters a sewer quality simulation model such as MOSQITO~ and a dynamic impact model such as MIKE 1 l 9 would be employed, in addition to the WALLRUS model, together with a method to generate suitable Time Series Rainfall data where adequate historical records do not exist.
MOSQITO has been developed to simulate the changing quality of sewage throughout a storm event and models BOD, COD Suspended Solids and Ammonia. Standard pollutant mixture characteristics are given for use where local data are not available. Characteristics are also given for pipe sediments in combined systems and for pollutants initially in gully pots. Verification of the model is essential and is structured so that the standard values used to construct the model are replaced by measured values in stages, and only if necessary. This ensures that only essential data need be collected and a catchment which is accurately represented using the standard values can'be modelled with the minimum of data collection.
MIKE 1 1 is a software package for simulating river water quality for selected parameters which can be used to assess the impact of storm water overflow discharges and check compliance with water quality objectives.
For marine situations, a marine advection/dispersion model would be required to assess the bacteriological impact relative to the criteria set down in the Bathing Water Directive.
As the costs associated with data collection, setting up, c a l i b r a t i o n and verification o f these models a r e substantial their use should be restricted to the major urban schemes with high significance overflows. Where they are used, the benefits of having a detailed model of the existing system and the ability to test the effects of various options allows much greater confidence in the proposed solution. This should lead to more cost effective solutions being proposed.
The level of inyestnent that should be put into the preparation of these models should, of course, be assessed by taking into consideration, not alone the likely savings to be made in the short .term by the construction of the more cost effective solutions that will be developed by their use, but also by the ongoing benefits such models will provide in assessing the performance of the augmented sewer network.
filudon factor = Average DWF / 95% ile flow.
References
1. Technical Committee on Storm Overflows and the Disposal of Storm Sewage; Final Report. Ministry of Housing and Local Government. HMSO 1970.
2 , A guide to the design of storm overflow structures. Water Research Centre Report ER304E 1988.
3. Time Series Rainfall. Water Research Centre Report ER195E.
4. Storm Sewage Separation and Disposal. - Scottish Development Department HMSO 1977.
5. QUALSOC. Storm Sewage Overflow Policy Group, October 1988. Welsh Water Authority.
6. Interim Water Quality Planning Procedures for Controlling Intermittent Pollution from Storm Sewage Overflows. Water Research Centre Report ER317E 1988.
7. Sewerage Rehabilitation Manual - 2nd Edition. WRc 1986.
8. MOSQITO User Manual. HR Wallingford 1991.
9. MIKE 1 1 User Guide. Danish Hydraulic Institute 1990.
|
October 14 th 2020
Project Titan – Phase A
Political-societal analysis Strictly confidential
Scope and process: quality, depth and available information
Limited
None
None
Limited
1) See 'concretisering afwegingskader’ for more information on the scope of the conducted work
This report contains the political-societal analysis on Titan
Our understanding of the situation
Background
* COVID-19 has severely affected the airline industry globally as unprecedented restrictions have resulted in significant financial damage as a result of cancellation and decreasing demand for business and leisure travel
* Titan is a regional airline founded in 1961 and owned by the state of St. Maarten (92,05%) and the state of Netherlands (7,95%)
* From St. Maarten, Titan operates flights to various Windward Islands, such as Saba, St. Eustatius, St. Barts, Nevis, Dominica, Tortola
* Titan has received support from the state of St. Maarten in the form of payroll support (60%, May 27) – the government has indicated to be unable to provide additional support
* Titan has formally requested support from the Dutch government on June 15 th , specifically $10 million in the form of increasing of a capital injection, a subordinated convertible loan or firm guarantee
* An additional, short-term request came on July 11 th , when Titan indicated it sought $ 2 million to alleviate pressure from creditors and prevent bankruptcy
* This project is conducted as part of project Calypso for the Dutch Ministry (strategic advice in state support requests of individual companies)
1) See 'afwegingskader steun individuele bedrijven' for additional information on the ministerial decision making process and analysisStrictly confidential –for internal deliberation
Objective
* The Ministry of Infrastructure and Water Management, the Ministry of Interior and Kingdom relations and the Ministry of Economic Affairs & Climate Policy ('Ministry') are looking to gain insight into the political-societal value of Titan to support ministerial decision making on Titans support request
* The political-societal analysis is carried out as Phase A of the 'afwegingskader steun individuele bedrijven' and with a focus on the impact on on St. Maarten, Saba and Eustatius 1
* This document contains the outcomes of Phase A
The report covers the analysis according to the politicalsocietal analysis of 'afwegingskader steun indiv. bedrijven'
Structure of this document
Chapter
1
2
3
Topics covered and key points addressed
Who is Titan and
which services
does it provide?
Are services
provided by Titan
important?
Are other parties
likely/ able to take
over services
provided by Titan?
Introduction
Unicity
Societal impact
Company profile
•
Company information
•
Business model
•
Financial results
•
History
•
Ownership structure
•
Products, markets and customers
Alternatives
Economy
Welfare
Autonomy
•
Air carriers
•
Ferries
•
Connection loss impact
•
Tourism dependency
•
Employment impact
•
Hospital services
•
Health travel
alternatives
•
Education dependency
•
Declaration human rights
•
Vital infrastructure
(incl. post)
High level analysis M&A candidates
High level analysis route attractiveness
•
Types of parties: airlines & investment firms
•
Drivers possible for take-over:
−Synergy opportunities
−Risk & cultural fit
−Deal readiness & “willingness”
•
Expected route profitability:
−St. Maarten – Saba
−St. Maarten – St. Eustatius
−St. Maarten – Curacao Strictly confidential –for internal deliberation
Titan is a regional airline based in St. Maarten, providing safe, viable and reliable connectivity within the region
Introduction to Titan
Company Information
Headquarter:
Princess Juliana International Airport, St. Maarten
Employees (2019): 142 FTE
Sector:
Airline
Main Activities:
Regional passenger air travel, cargo flights, private charter
Passengers:
294 488 (2019)
Region:
15 destinations, including St. Maarten, Aruba, Curacao, Bonaire, St. Eustatius, Saba
Management:
- Michael Cleaver (CEO)
- Roberto Gibbs (CFO)
Competitors:
(depending on routes – non- exhaustive) Air Antilles, Air Sunshine, Air Caraïbes
Founding year:
1961
Ownership structure:
- St. Maarten (92.05%)
- The Netherlands (7.95%)
Business Model
* Titan is a state owned airline in the Caribbean region, founded over 55 years ago with the purpose to accelerate air travel within the region
* The vast majority of Titan's revenues flows from commercial passenger transport, facilitating flights for tourism, medical reasons, and local-to local (incl. business) transport
* Titan flies to 15 different locations including:
* Countries within the Kingdom of the Netherlands (Aruba, Curacao, St. Maarten)
* Special municipalities in the Netherlands (Bonaire, Saba, St. Eustatius)
* Various surrounding islands and countries (e.g. Haïti, St. Barts, Puerto Rico, British Virgin Islands)
Source: Jaarverslag Beheer Staatsdeelnemingen (2020)
Financials
As a fully state-owned airline, Titan grew into being the only carrier serving all Dutch Caribbean Islands
History and Ownership Structure
History
1)
Source
Jaarverslag beheer staatsdeelnemingen 2019;
Ownership Structure
7
: Internal documentation of Titan, Council of Ministers presentation
Titan mainly facilitates commercial passenger flights on 19 routes within the Caribbean region
Overview of services
Type of Flights
* The vast majority of Titan's revenues is driven by passenger travel (91%, 2019)
* Other revenue streams are third party (6%), cargo (2%) and other (1%)
* Titan mainly operates commercial, complemented with special-purpose flights:
−Medical flights initiated by ZVK 1 for St. Eustatius – St. Maarten
−Special aid flights, in particular after Hurricane Irma
* Titan is part of Carib Sky Alliance in order to link flights of mutual customers
Flight Characteristics
* Titan's current fleet consists of two types of planes:
−De Havilland Canada 6-300 TWIN Otter – 4 aircrafts (16p capacity)
−ATR42 – 500/600 – 2 aircrafts, operated by Air Antilles (48p capacity)
* All planes in the fleet are leased to Titan by Unity (aircraft leasing and maintenance organization, smaller aircrafts) and Air Antilles (flight operator, larger aircrafts)
Type of travelers
DestinationsStrictly confidential –for internal deliberation
*
Titan services three types of travelers
−Tourists (roughly one-third): non-local population travelling for leisure
−Medical (roughly one-third): local population travelling from locations with limited offering of health services to larger hospitals / specialists 3
−Local & business (roughly one-third): local travelling between islands/ countries for various reasons incl. visiting friends / family, education, or business purposes
* Split between types of travelers based on last available public figures (2010)
* In total, Titan operates on 19 different routes between 15 locations (December, 2019), with a variety of routes added to the portfolio over the last couple of years
* Prior to the Covid-19 crisis, Titan expressed to focus on strengthening its position on existing routes (e.g.: increasing utilization of existing flights) instead of adding new routes 4
1) Zorgverzekeringskantoor BES, which is part of the Dutch Ministry of Health, Welfare and Sport
2) Titan, Air Antilles and LIAT - LIAT recently acquired by the states of Antigua & Barbuda and Dominica
3) High level estimation based on Titan's internal information from 201
4) Internal documentation Tita
The report covers the analysis according to the politicalsocietal analysis of 'afwegingskader steun indiv. bedrijven'
Structure of this document
Chapter
Topics covered and key points addressed
A loss of air services provided by Titan is expected to impact economies & societies of St. Maarten, Saba and St. Eustatius
Summary of Societal impactStrictlyconfidential–forinternaldeliberation
Societal Impact of reduced accessibility of the islands
Economy
* Tourism is a key economic driver in the regions in scope, indirectly contributing to ~61% of GDP;
−Tourists strongly rely on air transport to arrive to Saba and St. Eustatius
−Within St. Maarten, tourists arriving by air contribute to a large share of total expenditures of tourists
* Titan also directly impacts employment in the region, employing approximately ~1% of the total labor force
* High-level analysis indicates a sizeable portion (over one-third) of the workforce is employed in sectors dependent on accessibility of islands in scope
Welfare
* Saba and St. Eustatius require reliable transport connections to St. Maarten in order to access vital healthcare; this is primarily provided via scheduled Titan flights
* With Titan currently grounded, alternative means of transport have been organized via utilization of - more costly - private charters
* Air transport used to provide access to education, both to locals studying outside of Saba and St. Eustatius, and students entering the islands (mainly Saba – where incoming students play an important economic role)
Autonomy
Importance of air connectivity for accessibility of the islands
Alternatives
* The overall connectivity of St. Maarten, Saba and St. Eustatius depends on the combined effectiveness of modes of transport to and from the islands
* Air transport between the islands in-scope of this report relies on Titan, which is the sole carrier on routes between St. Maarten-Saba, and St. Maarten-St. Eustatius
* It is possible to travel these routes via ferry transport, which is less costly but also infrequent (twice a day on selected days) and more time-consuming
* SEO (2018) concluded that travel by ferry is not a viable alternative to travel by plane and estimated substantial welfare loss to passengers as a result of (temporary) air connection outages
* In collaboration with the Dutch Ministries, a pilot was planned in 2020 to improve ferry connectivity between the islands (higher frequency at lower prices for a period of 2 years), which is currently on hold due to COVID-19 1)
* Absence of accessibility negatively impacts the wellbeing of inhabitants of otherwise almost isolated islands, as it limits their freedom to move
* From a regulatory perspective, air connection is in general deemed vital - as indicated by both BES aviation law and European PSO rules
* Titan currently plays a role in postal services on St. Maarten, Saba and St. Eustatius – viability of mail via sea could be considered – main precondition implementation of necessary security guidelines
1) Pilot outcomes will be crucial information to test if ferry connectivity is indeed not a viable alternative to travel by plane; further (qualitative) research on travel behavior in the absence of / reduced flight connectivity on the islands in scope was not feasible based on currently available public information
Alternatives
Titan is active on several routes with currently no or limited alternative carriers present Analysis based on currently available flight information – schedules may be impacted by COVID-19 (extracted on 13-10-2020)
Overview of alternatives on Titan routes
INDICATIVE
Alternative air
connections
1
Route
2
Connects
Type of traveler
Ferry
alternative
Municipality
Kingdom NL
Other
Tourist
NL Health
4
Local
0 altern
a
t
ive
carriers
3
St. Maarten
Saba
St. Maarten
St. Eustatius
St. Maarten
St. Kitts
1
alternative
carrier
3
St. Maarten
Antigua
St. Maarten
Dominican Republic
St. Maarten
Curacao
St. Maarten
British Virgin Islands
Curacao
Haiti
Guadeloupe
Dominica
≥ 2
alternative
carriers
Curacao
Aruba
Curacao
Bonaire
Curacao
Dominican Republic
St. Maarten
Puerto Rico
St. Maarten
St. Barts
St. Maarten
Haiti
Dominica
St. Maarten
No air connection
Reliance on alternative mode of
travel via ferry (see page 13)
One carrier remaining;
lower competition and impact
price/ quality level likely
More than one carrier
remaining; limited impact
on competition and stable
price/ quality level expected
Possible impact Exit Titan
Titan mainly sole carrier for
Dutch municipalities &
countries within Kingdom NL
Titan sole carrier on routes
which support health travel
Dutch municipalities
PwC Strategy&
1) Alternative air connections involve all direct flights and indirect flights with reasonable connection (<2 hours travel time deviation in comparison to direct flights); 2) Routes based on Titan's operational schedule on December 2019, excluding non-active routes (SXM-NEV, SXM-DCF, ANU-DCF, SBH-SAB, CUR-SXM, SXM-PAP); 3) Excluded infrequent carriers which conduct flights during peak season, included flights from Saint Martin in overview of alternative carriers 4) Focuses on necessary health travel to nearest hospital (more details in Welfare section); Source: Titan internal documentation, Strategy& Analyses on flight and ferry data via skyscanner, flightconnections, flightradar24, openflights.org, rome2rio extracted on 13 October 2020
Alternatives
Alternative to air travel is by sea (which is slower but less costly); planned investments may strengthen potential of ferry transport
Comparison of regular ferry services as alternatives to air travel
| Service Focus | Routes | | | Frequency | | | | | | | Duration | Price |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| High-end tourism, connecting St. Barts & St. Maarten | St. Maarten – Saba | | Saba – St. Eustatius | Multiple daily roundtrips St. Maarten - St. Barts 7:30am and 18:30pm2 | | | | | | | ~90 minutes | $100 roundtrip $75 one way1 |
| | | | | M | | | T | F | S | S | | |
| Basic ferry and cargo services | St. Maarten – Saba | | | 3 roundtrips per week leaving from Saba at 7:00 am, return 4:30 am | | | | | | | ~90 minutes | $110 roundtrip $55 one way1 |
| | | | | | T | | T | | S | | | |
| Tourist day trips | St. Maarten – Saba | | | 3 roundtrips per week leaving from St. Maarten 9:00 am, return 3:30 am | | | | | | | ~90 minutes | $130 roundtrip $65 one way |
| | | | | | | W | | F | | S | | |
| Tourist, medical and local travelers | St. Maarten – Saba | St. Maarten – St. Eustatius | | 3 roundtrips daily between St. Maarten, Saba & St. Eustatius | | | | | | | Most frequent & transport, at hig ~15-20 minutes | fastest mode of hest price-pointStrictly confidential –for internal deliberation +/- $200 roundtrip |
| | | | | M | T | W | T | F | S | S | | |
1) Reduced prices for residents; Great Bay Ferry offers discounts of 35 – 40% of the non-resident fare; Saba C Transport also announces resident discounts
2) Shown charter services are the only regular ferry services and can be booked on request at all providers
Sources: Company websites, stmartinbookings.com, queensaba.com, Voortgangsrapportage ijkpunt bestaanszekerheid Caribisch Nederland 2020, Economische steunmaatregelen Caraïbisch Nederland, 2020
Alternatives
Welfare loss incurred by passengers as a result of (temporary) flight connection outages is estimated to be substantial
Welfare loss incurred by passengers due to decreased connectivity
INDICATIVE, SEO 2018
Welfare loss for passengers in several scenarios
Total annual Welfare loss per route caused by a loss of air connection (in $M)
Insights based on SEO ReportStrictly confidential –for internal deliberation
* SEO Research (2018) estimates loss of welfare for passengers by comparing generalized costs for passengers and their willingness to pay for a flight
* Main driver of welfare loss is deemed a lack of realistic transport alternatives
* Conclusions highlight importance safeguarding connectivity within the Caribbean Netherlands, both in case of temporarily loss of connection and following permanent exit of large airlines
* PSOs are brought forward as an option to safeguard reliability of air transport and therefore minimize risk on projected welfare loss
* Following this report, initiatives have been taken to create alternatives for air transport in the form of a stronger ferry transport network (pilot to be started in 2020, delayed due to Covid-19)
Applicability of results
The analysis considers consumer welfare loss for all passengers:
* Broader set of travelers than only inhabitants of the islands included
* Economic impact on all sectors present on the islands not included
1) Based on 15.000 passengers between SXM – EUX / SAB and 40.000 passengers between SXM – CUR
Source: SEO (July 2018). Connectiviteit Caribische deel van het Koninkrijk – Ontwikkelingen, publieke belangen en opties voor borging van connectiviteit
Caribbean islands are generally dependent on tourism to drive the economy, former NL Antilles in top-3 largest contribution
Tourism sector in the Caribbean
Tourism drives Caribbean GDP
1)
Tourism is an important driver of economy of former NL Antilles
The World Travel & Tourism Council (WTTC) estimates the travel and tourism sector contributes to the Former Netherlands Antilles in a variety of ways (2019):
* 23% of direct and 38% wider GDP contribution (see definition below)
* 41% of total employment
* 20% of total capital investments directly to travel and tourism
In addition, tourism is important for balance of payments of St. Maarten, as access to US Dollars limits exchange rate risk for import of fuel and other commodities (Currency of Saba and St. Eustatius is the US Dollar)
Impact of tourism on GDP is direct, indirect and induced 1
Direct contribution includes internal spending on Travel & Tourism:
* Tourists consuming commodities including accommodation, transportation, entertainment, attractions, etc.
* Government individual spending on industries directly linked to visitors including cultural or recreational purposes
Wider contribution of tourism includes the effect of:
* Indirect contribution of investment spending (e.g. hotel construction), government collective spending (e.g. tourism promotion, aviation industry), and purchases of tourist sectors (e.g. hotel supplies, plane fuel)
* Induced contribution measuring spending of those who are directly or indirectly employed by the Travel & Tourism industry
WTTC (2019)
2) Lower overall contribution driven by limited dependency on tourism of several larger countries (Puerto Rico, Haiti)
St. Maarten derives most value from tourists arriving via air – majority of tourists arrive in Saba & St. Eustatius via air
Tourism Profiles & Expenditures
St. Maarten tourist arrivals & value
Saba & St. Eustatius tourist arrivals,
Contribution of tourist expenditure is higher for tourists arriving via air due to longer length of stay (~6.5 days air tourism, <24 hours cruise tourism)
Indicative total annual expenditure tourists ($M, by arrival mode) 2
Saba
* Stay-over tourists can arrive in Saba via air or by ferry – majority of tourists arrive via air
* Cruise ship tourism is a small share of total tourism – with two smaller cruise ships arriving in Saba in 2019
* St. Eustatius mainly relies on tourist arrival by air, which remained stable over the last three years
* Cruise tourism is not common in St. Eustatius, caused by the set-up of the harborStrictly confidential –for internal deliberation
1) Air tourism assumed to be equal to stay-over tourists – reported stay-over tourists was in the period 2012-2016 equal to tourists arriving by air (Statistical Yearbook 2017)
2) Not provided by the department of statistics; indicative figure calculated as number of tourists (2019) x average daily spend (2018; $ 103.73 by air vs. $109.95 by cruise) x average length of stay (2018)
Source: Department of Statistics, St. Maarten, CBS, Strategy& analysis
St. E
High level sector analysis of employment figures indicates sizeable part of employment requires islands to be accessible
Air Connectivity Dependency
Relation between labor and island accessibility
Connection between industry and island accessibility
INDICATIVE
Largest industries St. Maarten, Saba and St. Eustatius
1
| Largest industries1 | Strength of Connection |
|---|---|
| Accommodation and food services | Significant |
| Culture, recreation & other services | Significant |
| Health & Social work | Significant |
| Construction | Neutral |
| Transport & ICT | Neutral |
| Public administration | Neutral |
| Business Services | Neutral |
High level indication of connection labor and accessibility
2) Source: CBS, 2020
3) Source: SEO Kerncijfers Caribisch deel Koninkrijk (2019)
Titan expected to employ 146 people in 2020 and supports employment of an additional ~125 employees
Direct employment Titan
Number of employees Titan, 2014-2020 1
Observations
* The labor force (those either currently employed or willing an able to work) of St. Maarten, Saba and St. Eustatius consists of 26 246 people, with the bulk living and in St. Maarten:
−St. Maarten (2018): 23 146
−St. Eustatius (2019): 1 900 3
−Saba (2019): 1 200 3
* Titan expected to employ 146 people within its organization in 2020, driven by additional (pre-COVID-19) jobs for customer service agents, (un)licensed mechanics and dispatchers
* Next to this, Titan also supports the direct employment of an additional ~125 employees who provide on ground and sales services on airports
* Assuming all these employees are from either St. Maarten, St. Eustatius of Saba, Titan directly supports the employment of ~1% of the total labor force
* Titan indicates it facilitates (mandatory) training sessions for employees (P&L budget notes, 2020), mentioning upcoming training for Operations, Customer Service and Flight departments and the yearly recurring Flight Safety Training
1) Source: Jaarverslag beheer staatsdeelnemingen 2019; Brief Winair – Verzoek ondersteuning Winair N.V. (15 juni 2020)
2)
3)
Source
Source
: Caribsky overview 2018
: CBS - Caribbean Netherlands Workforce (2019)
WelfareStrictly confidential –for internal deliberation
Saba and St. Eustatius require connectivity to St. Maarten in order for inhabitants to have access to specialized healthcare
Overview of Healthcare per location
Basic Health Care
General Hospital Care
Specialist Care
General
Practitioners
District
nursing
Dentist
Mental
Health care
Emergency
Care Unit
In-patient
care
Midwife
Dialyses
ICU
Pediatric care
Surgery
St.
Maarten
Saba
Via MHC
1,
collaboration
with different
locations
Serious
trauma
transported
by Helicopter
to St. Maarten
Capacity of
~10 patients
Relies on 1
midwife
Patients fly
to St.
Maarten
Patients fly to St. Maarten
St.
Eustatius
Via MHC
1,
collaboration
with different
locations
Serious
trauma
transported
by Helicopter
to St. Maarten
Limited
capacity
Patients fly
to St.
Maarten
Patients fly to St. Maarten
Bonaire
Illustrative health
care services
(non-exhaustive)
Limited feasibility to treat
patients from Saba and St.
Eustatius due to longer
and costly travel
Available
Limitations
apply
Not available
High
dependency
on St. Maarten
1) Mental Health Caribbean, organizes psychiatric and addiction care to Bonaire, Saba and St. Eustatius
With Titan currently grounded, healthcare transport is arranged via – more costly – private charters
Medical Transport from St. Eustatius and SabaStrictly confidential –for internal deliberation
Medical transport usually via air
COVID-19 altered way of working, driving up transportation costs
* Transport of patients from Bonaire, Saba, and St. Eustatius for health related reasons is the responsibility of (Zorgverzekeringskantoor BES, or ZVK), which is part of the Ministry of Health, Welfare and Sport
* Population of St. Eustatius and Saba is usually transported to St. Maarten via air to receive required health care (other options: Colombia, Dominican Republic, Bonaire):
− Regular flights: book tickets for patients on scheduled flights
− Private charters: rent plane required due to medical situation or if multiple patients fly the same route (in particular which would otherwise require multiple flights, e.g. St. Eustatius – Bonaire via St. Maarten)
* Next to this, ZVK arranges transport of specialists to Saba and St. Eustatius if required
1) Indication of costs based on confidential price information provided by the Ministry
INDICATIVE
* Flights often cancelled or rescheduled, making regular air transport unreliable for medical transport
* In order to support travel for medical purposes, ZVK currently uses private charters, often flying twice a week to from Bonaire to different islands and once a week from St. Maarten to Saba and St. Eustatius
* High level, indicative cost-impact analysis indicates transport costs have increased due to COVID-19 1
−Additional costs when private charter is utilized at half capacity: + 400-500%
−Additional costs when private charter is utilized at full capacity: + 150-175%
* Cost implications strongly depend on ability to combine flights of individuals on private charters and number of flights executed per year
Air transport is currently used to provide access to education, both for locals as well as incoming students
Education on St. Eustatius and Saba
HBO/ WO students mainly educated outside of home island
* Education facilities on Saba and St. Eustatius mainly involve primary and secondary education, both islands are home to one high-school
* Next to this, both St. Eustatius and Saba have some opportunities for vocational education (MBO)
* For higher vocational education (HBO) or academic studies (WO), students have to travel to another island or country (with the exception of Saba University School of Medicine) and are likely to use air travelStrictly confidential –for internal deliberation
Highest Education Obtained (indicative for % of students)
Based on total population (CBS, 2018)
Exception: Saba Medicine, which draws international students
* The Saba University School of Medicine is an international alternative to US and Canadian medical schools
* About ~400 students are enrolled in the program, having a large impact on the local economy (total population of 1 933 in 2020)
−Local population receives significant share of income by renting out homes to the students of the Saba University School of Medicine
−Students contribute to local economy, e.g. retail, restaurants
* The vast majority of students is from outside of Saba and is likely to use air travel to access the university
Autonomy
Absence of accessibility negatively impacts wellbeing of inhabitants of otherwise almost isolated islands
Impact of accessibility on wellbeing
Freedom to move partly drives happiness
2) Response to question, "Are you satisfied or dissatisfied with your freedom to choose what you do with your life?"
Source: World Happiness Report (2020); Inter-American Development Bank (2020) - The inequality crisis
Relationship absence of accessibility and wellbeing
Absence of connectivity
•
Without accessibility, freedom to travel
of inhabitants seriously impacted
•
Lack of affordable travel options may
increase differences in opportunities
between rich and poor:
−Less affluent inhabitants may have
fewer means to receive medical care
−Less affluent inhabitants may have
fewer options to go to school
Decrease
freedom
Increase
inequality
Decrease
GDP
•
Lack of accessibility may leads to a
decrease of economic activity
Lower wellbeing
Autonomy
Vital importance of air connection in general and for isolated islands is specifically indicated by BES & EU PSO regulation
Overview of regulation
Air connection deemed vital in general
BES aviation law
* BES aviation law restricts route permits in the Dutch Caribbean to airlines from Bonaire, St. Eustatius or Saba 1
* BES stipulates operators of flight routes between the Dutch Caribbean to have the following located on/ belong to inhabitants of either Bonaire, St. Eustatius or Saba:
−Location of headquarters
−Execution of main operations
−Majority of shares held
* It is allowed for these airlines in the Dutch Caribbean to make lease arrangements with airlines situated elsewhere
Flight and aircraft handling is deemed vital infrastructureby the Dutch state 2 – which may explain BES stipulations
Air connection isolated islands specifically important due to development impact
European Commission (EC) PSO rules
* EC recognizes that connectivity is key for growth, jobs and social cohesion 2 as a 10% increase in connectivity stimulates:
– GDP growth rate (+1%)
– GDP per capita (additional +0,5%)
– Labor productivity
* Therefore, EU regulations allow countries to impose a public service obligation (PSO) on certain air routes which would otherwise not be sufficiently served to drive development objectives of isolated or developing regions
Conditions to be met to prove vital character of a routeStrictly confidential –for internal deliberation
Proportionality to the economic and social development needs
Inadequacy of alternative transport modes
Reasonable air fares and conditions ensured via PSO
* PSOs may only be imposed on routes which are considered vital for economic and social development of the region served by the airport
Insufficient existing air transport supply
SEO (2018) recommended imposing a PSO on routes between St. Maarten, Saba and St. Eustatius Currently, investments are being made (in close collaboration with Dutch Ministries) to improve adequacy of alternative transport modes, e.g.: transportation via ferry – pilot is currently on-hold due to Covid-19
Autonomy
Titan currently plays a role in the postal service within the Caribbean – further analyses on role and alternatives required
Deep-dive on postal services
Current set-up of postal services
* St. Maarten has a local postal service (PSS: Postal Services St. Maarten) while FXDC Post provides the postal services of Bonaire, St. Eustatius and Saba:
−Mail from the European Netherlands (often government related) is first brought to Bonaire by KLM, transferred to FXDC, sent to St. Maarten and flown to St. Eustatius and Saba
−Mail to the Netherlands is sent via Curacao or St. Maarten, facing strict customs control before being transported to the Netherlands by KLM
−Interisland and international mail is transported by FXDC, details about this are not publicly available
* FXDC has used services of Insel air in the past to transport mail on their routes (Insel air filed bankruptcy in 2019), and is currently transporting mail via Titan – details on collaboration with Titan are not available
* Key concerns regarding postal services in St. Eustatius and Saba include:
−Security regulations imposed on mail transport by air
−Capacity on flights
−Complexity of process, involving multiple carriers and postal services
Source: Toekomstige ontwikkeling van de Nederlandse postsector (2019)
Role of Titan & Alternatives
* Involvement of Titan in providing transport services is assumed since this is currently the only remaining mode of air transport to Saba and St. Eustatius – further analyses required
* Titan also offers its own Cargo and Express Pack services (via Inncargo) with guaranteed delivery to any of its destinations:
− Regular Air Cargo: ship to and from Saba, St. Eustatius, St. Barts, St. Kitts, Nevis, Tortola, Dominica, Guadeloupe
− Express pack service: delivers shipments to all destination airports of Titan
− Door to door pickup & delivery: available on St. Maarten and St. Martin
* As alternatives, transport by sea could be considered – main precondition is the assurance that all necessary security guidelines can be implemented
23Strictly confidential –for internal deliberation
The report covers the analysis according to the politicalsocietal analysis of 'afwegingskader steun indiv. bedrijven'
Structure of this document
Chapter
1
2
3
Topics covered and key points addressed
Who is Titan and
which services
does it provide?
Are services
provided by Titan
important?
Are other parties
likely/ able to take
over services
provided by Titan?
Introduction
Unicity
Societal impact
Company profile
•
Company information
•
Business model
•
Financial results
•
History
•
Ownership structure
•
Products, markets and customers
Alternatives
Economy
Welfare
Autonomy
•
Air carriers
•
Ferries
•
Connection loss impact
•
Tourism dependency
•
Employment impact
•
Hospital services
•
Health travel
alternatives
•
Education dependency
•
Declaration human rights
•
Vital infrastructure
(incl. post)
High level analysis M&A candidates
High level analysis route attractiveness
•
Types of parties: airlines & investment firms
•
Drivers possible for take-over:
−Synergy opportunities
−Risk & cultural fit
−Deal readiness & “willingness”
•
Expected route profitability:
−St. Maarten – Saba
−St. Maarten – St. Eustatius
−St. Maarten – Curacao Strictly confidential –for internal deliberation
An initial high-level analysis aims to determine likelihood of Titan being acquired by competing airlines present on SXM
A
Airline selection & evaluation approach
Filter 1
Presence on SXM
(St. Maarten)
Filter 2
>2 locations from/
to St. Maarten
1
Local Players
(Caribbean only)
2
Regional Players
3
International Players
Classification of Players
High-level
assessment of
fit with Titan
operations
23 airlines
13 airlines
Selection Approach for Airlines
1
Non-exhaustive
2
Selection presents a mix of players with relatively large presence on St. Maarten to provide high level indication of fit Titan – additional airlines with smaller presence could be subject of further analysisStrictly confidential –for internal deliberation
Assessment Approach B
| Description of airline and summary | | | | |
|---|---|---|---|---|
| Current business | Deal drivers | Deal inhibitors | Synergy Opportunities | Risk & cultural fit |
| Size in €M Main Routes | Indication of main reasons why airline would consider purchasing Titan | Indication of main reasons why airline would not consider purchasing Titan | High in case • Route complementarity improves service level • Scale cost base provides savings potential • Cross-selling drives additional sales | High in case • Deal beneficial for economy St. Maarten • Deal complies with regulation (BES)1 • Post integration cultural fit and fit with St. Maarten |
1) Assumed that airline outside of BES territories can purchase Titan, as long as ownership and control of Titan is located on Bonaire, St. Eustatius or Saba or an exception is granted – to be further validated; 2) Other airlines include JetBlue, United Airlines, Air France, Delta, Spirit Airlines, Air Canada and Air Transit
Initial analysis indicates limited likelihood of Titan being acquired by other airlines or investment firms
High-level assessment of likelihood of acquisition
Deal
Readiness
1
1
1
0
0
0
0
| Services in the French Antilles, owned by Euronext listed CAIRE (owner French Air Guyane),€ 70M revenues (2018), 230 employees (2018) | Strong route complementarity and similar size may drive cost; partner Titan in leasing planes and Caribsky Alliance may improve cultural fit | Mainly focused on French Antilles region; as part of a listed firm, likely to have strong focus on route profitability while routes connecting Saba & St. Eustatius are relatively thin |
|---|---|---|
| Services on selected routes within the Caribbean, with small planes (9-19 pax), both scheduled and on-demand | Strong route complementarity and track-record in offering access to isolated areas may drive cost and revenue synergies; on-demand opportunity | Small private company headquartered in Florida; likely to have low deal readiness due to heavy COVID-19 impact as the airline mainly connects touristic locations |
| Services connection Paris to Caribbean (owner Groupe Dubreuil), €437M revenue (2017), 1186 employees (2018) | Potential synergy in providing more routes between Caribbean islands | Recent investors in Groupe Dubreuil focus on cargo freight, different strategic direction vs. extending passenger travel |
| Services selected islands in the Caribbean and surrounding countries (state-owned, Trinidad & Tobago and Jamaica), 1600 employees | Potential synergy in providing more routes between Caribbean islands | Low deal readiness with recent restructuring plan to preserve liquidity; limited cultural fit due to Trinidad & Tobago and Jamaica owned company |
| Global route portfolio, incl. SXM, connecting SXM, Aruba & Bonaire; €11B revenues (2019), 33 026 employees (2019, KLM only) | Relatively large presence in Dutch Caribbean, position possibly strengthened by connecting tourists to final destination | Low deal readiness with recent state aid request and restructuring plan; moreover, deal size likely too small for KLM (<0.5% of revenues) |
| Global route portfolio, incl. routes between US and various Caribbean locations; $10.1B revenues in 2019, 133 700 (2019, AA Group total) | Potential opportunity to connect American tourists to final destination in the region | American Airlines’ (AA) main focus is domestic US and from/to the US; deal size too small to be relevant (<0.5% of rev.); receives federal aid package and evaluates cost measures |
| | Investment in Tourism & Travel in Caribbean; looking for airline to conduct turn-around | Highly volatile market, uncertain sector outlook, unsuccessful recent private investments in local airlines (Insel Air) and political sensitivity of routes & pricing likely detracts potential investors |
Very High
High
Medium
Low Very low
1) Employees and Revenues only listed if publicly available
4 3 2 1 0
1
2
3
Impact COVID-19 on the airline industry suggests that airlines have limited appetite to invest in M&A
COVID-19 severely impacts aviation industry
Airlines not expected to turn cash positive until 2022
InterVISTAS scenario's on impact COVID-19 on aviation
* InterVISTAS estimates 44% - 73% passenger traffic demand loss in 2020
* Airline industry characterized by high (semi-) fixed costs, meaning demand loss will result in significant deterioration of profitability and capital position
Sources: Intervistas, IATA Economic analysisStrictly confidential –for internal deliberation
Airline industry quarterly cash burn forecast ($ bn during quarter)
* International Air Transport Association (IATA, representing ~290 airlines or 82% of air traffic) estimates 2020Q2 to be the worst quarter for airlines as industry faced severe revenue loss (~80% compared to same period previous years) while operating costs were brought down ~50% due to unavoidable semi-fixed costs (e.g.: labor and maintenance)
* 2021 is expected to remain challenging due to lower revenue per traveler (as airlines lower prices to foster demand during COVID-19), typically weak demand in winter and unavoidable fixed costs
Route attractiveness
A selection of Titan routes seems at risk of not being filled by other airlines if Titan were to stop operating these routes
Route Portfolio Risks
Analysis of thin routes to/ from St. Maarten, St. Eustatius and Saba as identified/ performed by SEO (2018)Strictly confidential –for internal deliberation
Commercial viability of routes (indicative, based on SEO findings)
Limited
Strong decrease in demand 2012-17 No other player active in the last 10 years
Limited
Strong decrease in demand 2012-17 Titan reported a loss on of €1.3M on this route in 2019 Titan only frequent player after bankruptcy Insel air
SEO (2018) concludes there is market failure in supply of reliable and cost-effective air transport, making a PSO appropriate to achieve a minimum activity – findings indicate a structural commercial deficiency on thin routes
1) Based on findings SEO report on routes from SMX – further extension and update based on detailed analyses of Titan flights routes may provide additional insight
2) To be verified, some seasonal flights seem to be conducted; current market environment not included in supply/ demand developments SMX-Curacao
3) December 2019; Internal Titan documentation
This Report and any dispute which may arise out of or in connection with it, shall be governed by and construed in accordance with the laws of the Netherlands. www.pwc.nl
© 2020 PwC. All rights reserved. PwC refers to the PwC network and/or one or more of its member firms, each of which is a separate legal entity. Please see www.pwc.com/structure for further details.
|
research-article
1153751 research-article2023
SOR0010.1177/00380261231153751The Sociological ReviewAtiles
Article
Coloniality of anti-corruption: Whiteness, disasters, and the US anti-corruption policies in Puerto Rico
Jose Atiles
Department of Sociology, University of Illinois at Urbana-Champaign, USA
Abstract
This article introduces the concept of 'coloniality of anti-corruption' to help situate and describe contemporary US anti-corruption policies aimed at Puerto Rico. The aim of the concept of coloniality of anti-corruption is to underscore corruption's inextricable relationship to race, class, gender, and other colonial power relations. The article argues that US interventions with the Puerto Rican government, along with its distribution of disaster relief in the wake of Hurricane María (2017) and subsequent earthquakes (2020), are best understood against the backdrop of a long history of corruption narrative implemented by the US. This is a narrative that seeks to legitimate US's colonial and capitalist expansion in Puerto Rico. To demonstrate this, the article explores the application of anti-corruption narratives by the Trump administration to justify its disaster relief policies for Puerto Rico. In particular, the article focuses on Trump's tweets describing Puerto Rican politicians as 'corrupt' and Puerto Rico as 'geography of fraud.' In doing so, the article provides a theoretical account of the uses of corruption and anti-corruption discourses to justify colonial and capitalist's global endeavors. It also illustrates how anti-corruption policies reproduce the idea of the non-white other as the corrupt subject and denotes the humanitarian consequences of such policies.
Keywords
corruption, Donald Trump and Puerto Rico, natural disasters, sociology of law, whiteness
Introduction
This article proposes the concept of coloniality of anti-corruption to describe how colonialism and whiteness have configured contemporary US anti-corruption narratives and policies in Puerto Rico (henceforth PR). PR, an unincorporated territory (or colony) of the US since 1898, 1 has been dealing with a multilayered sociolegal, political, economic, and humanitarian crisis since at least 2006. From the public debt crisis in 2006; the PR
Corresponding author:
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government's bankruptcy in 2016; the legislation of the Puerto Rico Oversight, Management, and Economic Stability Act (PROMESA) 2 and the imposition of a Fiscal Oversight and Management Board (FOMB) by the US Congress in 2016; the devastating Hurricanes Irma and María in 2017, and Fiona in 2022; a series of earthquakes in 2020; to the COVID-19 pandemic, PR's recent history has been defined by sociolegal, political, and economic crises, corruption cases, and anti-corruption policies.
At every stage of this multilayered crisis, corruption and anti-corruption narratives have been instrumentalized by the US federal government to deny access to disaster relief funds and impose additional oversights and legal limitations on the autonomy of PR's government. These anti-corruption discourses served to blame Puerto Ricans for their own suffering, rather than addressing the institutional racism and enduring colonial governance structures that render Puerto Ricans as less deserving of federal government support.
Focusing on the case of PR and the anti-corruption narratives implemented by Donald Trump's administration as a paradigmatic example of the intertwined relation between colonialism, whiteness, and corruption, this article argues that corruption narratives are inextricably tied to race, class, gender, and colonial relations of power. It does so by looking at the use of corruption narratives to describe PR, and Puerto Rican politicians in the wake of Hurricane María (2017) and the series of earthquakes affecting the southwestern region of the island since 2020. Racialized recoveries in the wake of governance failures are not new. For example, there is prolific literature on political corruption in the aftermath of disasters (Escaleras & Register, 2016; Green & Ward, 2004; Wenzel, 2021). This literature has critically engaged with issues surrounding aid relief, disaster capitalism, and colonial and racist definitions of corruption in the global south. This article aims to contribute to this scholarship and to the development of a critical sociology of corruption by bringing whiteness into the colonial critique of anti-corruption initiatives.
Thus, by further focusing on Trump's administration, 3 the article shows how corruption occupied a central role with respect to how communities of color were discursively created through Trump's public rhetoric, which in turn served as a means of denying access to disaster and recovery relief funds. This article argues that Trump's anti-corruption narratives are reflective of a long colonial, capitalist, and racialized system of governance imposed by the US on PR. That is, Trump's white supremacist anti-corruption narratives unravel the ideological foundations by which the colonial state operates in PR.
As Pulido et al. (2019) argue, Trump's spectacular racism obscures the policies implemented in maintaining structures of racial inequality and white supremacy. In their study, Pulido et al. (2019, p. 521) show that Trump's spectacular racism drew massive media attention because of its transgressive nature, whereas his environmental agenda attracted far less scrutiny, as was also the case of corruption and anti-corruption narratives in PR. While Trump's tweets drew attention to his racist views on Puerto Rican colonial subjects, they obscured the painful policies implemented to 'prevent corruption' in the recovery and reconstruction funds. Consequently, by nurturing whiteness via spectacular racism, Trump paved the way for dehumanizing policies, in which colonial, racialized, and gendered subjects are not worthy of full legal and moral consideration. Indeed, they are arguably mere pawns in Trump's political machinations (Pulido et al., 2019, p. 522).
In my data collection, I used Factba.se., 4 and the Trump Twitter Archive, 5 which contain every public declaration made by the former president Donald Trump. I focused on Trump's declarations on the US unincorporated territories, where I found: 488 results for PR; 46 for Guam; 40 for US Virgin Islands; 1 for American Samoa; and 1 for Northern Marianas. Out of these declarations, I focused on Twitter, not only because former president Trump was well known for his tweets, but because it also provided a short and direct messaging. Other scholars have conducted similar analysis of Trump's uses of Twitter (Bodnar, 2019; Coe & Griffin, 2021; Kelly, 2020; Schertzer & Woods, 2021). This research focused on statements where Trump uses the term corruption, corrupt, and/or directed corruption allegations at Puerto Rican politicians (18 tweets out of 62). No declarations or anti-corruption narratives for the other four unincorporated territories were found in these databases. This is supplemented by critical policy analysis of the anticorruption and corruption practices focused on PR post Hurricane María.
This article is divided into two parts. The first provides a discussion of the field of sociology of corruption and lays down a critique to the global north anti-corruption narratives, and develops the concept of coloniality of anti-corruption, by showing the intertwined relationship between colonialism, law, whiteness, and corruption. The second part provides a brief overview of the Puerto Rican history before introducing the analysis of the Trump public narrative about corruption in PR and discussion of some of the policies limiting the uses of the disaster recovery and relief funds. The article demonstrates how, in PR, corruption has been inextricably tied to racialized, gendered, and classed processes of colonization and capitalist dominations. Thus, producing a coloniality of anti-corruption.
Critical sociology of anti-corruption
There is abundant criminological, political science, public administration and public policy research on corruption, anti-corruption, and the role of transnational organizations in promoting anti-corruption legislation and reforms (Brown & Cloke, 2006). This scholarship has broadly defined corruption as the abuse of entrusted power for private gain. Key in the development of policies and legal reforms have been transnational organizations such as the United Nations (UN), the World Bank (WB), and the International Monetary Fund (IMF), among others. Similarly, transnational NGOs, like Transparency International, have contributed to the popularization of the definitions of corruption, quantification, indexation, and the promotion of anti-corruption policies and legal reform among global south countries ranked as corrupt.
Fighting corruption has become equated with development, modernization, and more importantly, democratic governance. Thus, fighting corruption reflects a widely accepted four-pronged approach to anti-corruption involving public education, prevention, investigation, and prosecution. Furthermore, the most common anti-corruption policies recommended by transnational organizations include asset and interest declarations; beneficial ownership; transparency in political financing; whistleblowing; transparency in lobbying; and open contracting.
Several scholars have questioned these conceptualizations of corruption and anticorruption policies by pointing out the neoliberal, colonial, and neocolonial agenda, and the methodological and epistemic flaws of this scholarship (Brown & Cloke, 2006; De Maria, 2008; Murphy & Brindusa, 2018; Pertiwi & Ainsworth, 2021; Whyte, 2007b). This article engages and follows this critical scholarship and aims to contribute to the development of the emerging field of global south sociology and sociolegal studies of corruption, by developing the concept of coloniality of anti-corruption. Hence, coloniality of anti-corruption entails a critical approach to the knowledge and policies produced by transnational organizations that insist on labeling global south and racialized communities as corrupt.
It is important to note that sociological engagement with corruption has been limited. As Osrecki (2017) has shown, sociological engagement with corruption has been largely defined by functionalist approaches and developmental theories. In his historical overview, Osrecki (2017) has demonstrated that the sociological study of corruption has, to a great extent, comprised economic models and quantitative approaches, which emphasized on numerically comparing, correlating, and ranking corruption. For Osrecki (2017) this has led to a loss in counter-intuitive analysis of corruption, resulting in an 'anticorruption discourse that builds its legitimacy not on creative ways of dealing with the social world, but on the technicality of measuring the obvious' (Osrecki, 2017, p. 122).
Similarly, Zaloznaya (2013, 2017) has demonstrated that corruption has not received adequate attention in comparative sociology and in sociolegal studies. Zaloznaya (2013, 2017) argues that the lack of sociological studies of corruption has generated an understanding of this phenomenon that inaccurately describes the reasons and consequences of corruption. Furthermore, these limited understandings of corruption have become part of what Sampson (2010) has called anti-corruptionism or the anti-corruption industry. The anti-corruption industry refers to the transnational movements coordinated by western business and political elites and carried out by international and local NGOs, national governments, and grassroots organizations. Sampson (2010) has demonstrated how the anti-corruption industry is an ever-expanding field of opportunities in which anti-corruption programs enable the anti-corruption industry to coexist along with the corruption it ostensibly is combating.
Zaloznaya (2013) provides an excellent critique of the methodological approaches implemented by 'anti-corruptionism,' as permeated with inaccurate and profoundly nonsociological assumptions. Accordingly, anti-corruptionism is largely based on three problematic methodological and epistemic assumptions.
First, corruption is a deviation from the rational-legal bureaucratic context, uniformly detrimental to the moral fabric of a society. Zaloznaya (2013) points out that conceptualization of bureaucracy as a mode of social organization is foreign to many non-western societies. These societies are often characterized by underdefined and flexible boundaries between private and public spheres, and a spillover of kin obligations, spirituality, and other private rationales into public domains. Zaloznaya (2013) develops the principle of embeddedness and invites sociologists to focus on understanding how the context and local knowledge determine whether a practice is received as corrupt.
Second, for anti-corruptionism, corruption is motivated by an instrumental calculus (Zaloznaya, 2013). As a primarily economic movement, anti-corruptionism embraces a utilitarian model of action that assumes that behavioral choices reflect actors' cost-andbenefit calculus. Based on this body of research that links corruption to poor economic performance and weak democratic institutions, the WB and other international financial institutions (IFIs) have declared corruption the single greatest obstacle to economic and social development worldwide (Zaloznaya & Reisinger, 2020, p. 78). As a result, IFIs currently invest significant amounts of time and effort on initiatives that are not fundamentally different from colonialism (Whyte, 2007b).
According to Whyte (2007b), anti-corruption policies play a central role in neoliberalism and in the financialization of the economy. Furthermore, development aid has been largely based on the imposition of anti-corruption policies foreign to the global south countries (David-Barrett & Fazekas, 2020). Anti-corruption reforms in this manner are used prescriptively as a precondition to grant aid, debt relief, economic development packages, or membership to international bodies (Whyte, 2007b).
Third, for anti-corruptionism, corruption is bad, and absence of corruption is good. This approach, as Zaloznaya (2013) shows, lacks nuance, complexity, and a concrete understanding of localized power. Perhaps one of the most consistent critiques to this approach is the hyper-emphasis on surveying, indexing, and comparing the degree of corruption in each country a la Corruption Perception Index (Andersson & Heywood, 2009). Methodologically, the index-based studies use homogenized indicators to analyze corruption, which favors global north countries, while undermining global south countries. This results in pre-made homogeneous anti-corruption reform packages that are applied indiscriminately in sociolegal and political contexts.
Taking into consideration critiques of the anti-corruption industry, and the substantial critical scholarship on corruption, this article aims to sketch a critical understanding of anti-corruption from the standpoint of global south, colonial, and racialized communities. Corruption narratives have direct ontological implication going beyond policy and having direct impact on the national identity (Pertiwi & Ainsworth, 2021). This article engages with critical scholarship that has, for a long time, tried to unsettle the anti-corruption industry and the above described 'normative' study of corruption. Thus, it aims to articulate a critical analysis that demonstrates the implications of coloniality of anti-corruption and to contribute to the development of a critical sociology of corruption. That is, it elucidates the connection between coloniality, whiteness, law, and corruption, and what anti-corruption discourses uncover. It is precisely in this context that Trump's colonial and white supremacist anti-corruption discourses about PR become illustrative. In what follows I conceptualize the key elements of coloniality of anticorruption, and demonstrate how corruption is tied to race, class, gender, and other power relations.
Coloniality of anti-corruption: Colonialism, whiteness, and the non-western other
This article adopts a similar definition to Doshi and Ranganathan's (2019b, p. 68), whereby corruption is not viewed as a set of fixed practices but rather invoked as 'an interpretive rubric that serves to make sense of and distinguish what is ethical or not, what is harmful or not, and what matters or not (and to whom) in the ordinary processes of wealth accumulation and dispossession that define capitalism as we know it.' Doshi and Ranganathan (2019b, p. 69) further note that 'corruption is a capacious and slippery language put to a variety of opportunistic uses. Ironically, talk of corruption may be wielded by those who are most guilty of it.' It is under this rubric of the malleable nature of corruption that Doshi and Ranganathan (2019a, p. 448) propose a working definition of corruption as a 'normative discourse about the abuse of entrusted power and resulting social decay that are always implicitly positioned relative to a perceived normal or previously "uncorrupted" state of affairs.' By entrusted power, they mean 'more than just power held by the state, but also mean power held by private or blurred public-private authorities that ostensibly serve a public purpose' (2019a, p. 448). Furthermore, they suggest that 'corruption should be understood first and foremost as a shifting and situated discourse that is yoked to symbolic, material, and territorial power relations and contestations in late capitalism' (Doshi & Ranganathan, 2019a, p. 437). Following this description of corruption, the present article shows how colonialism and whiteness sit at the root of US anti-corruption policies in PR.
Colonization is always-already a racialized and gendered process and is impacted by racial and gender hierarchies and social structures imported both from the metropole and the existing colonized territory. According to Maldonado (2007) coloniality refers to long-standing patterns of power that emerged as a result of colonialism, but that defined culture, labor, intersubjective relations, and knowledge production well beyond the strict limits of colonial administration. Maldonado (2007) further points out that coloniality has three core manifestations: coloniality of power, knowledge, and being. Maldonado (2007, p. 257) develops the concept of coloniality of being, arguing that it appears in historical projects and ideas of civilization which advance colonial projects of various kinds inspired or legitimized by the idea of race. The coloniality of being in turn produces the ontological colonial difference, deploying a series of fundamental existence characteristics and symbolic realities (Maldonado, 2007, p. 252). Corruption narratives serve as ontological colonial differences, in which the non-western other is categorized as inherently corrupt. It is under such racialized understandings that colonies and colonized people are constructed as corrupt.
Corruption discourses, and descriptions of colonial territories and subjects as corrupt, are a constitutive part of western colonialism (Apata, 2019; Go, 2000; Pertiwi & Ainsworth, 2021). Muir and Gupta (2018, p. s6) argue that corruption, as a key category of modern political economy, typically indexes the nonmodern. Similarly, Haller and Shore (2005) point out that ideas of corruption and economic backwardness have consistently featured in imperialist and racialized historical narratives that invoke the primitiveness of less-developed states in order to justify colonial interventions. Thus, corruption narratives were, and continue to be, a key technology for justifying the colonialism of non-western societies.
In this colonial narrative of the corrupt other, western rule of law and 'democratization' are bestowed as anti-corruption technologies for the colonies (Saha, 2013). Colonial and postcolonial countries are often described as disorganized, lacking the legal institutions needed to maintain order, and unable to prevent corruption. In the colonial anticorruption narrative, lacking bureaucratic liberal institutions, the rule of law, market economy, and a strong private sector are almost always equated with corruption (Whyte, 2007a, 2007b). Mattei and Nader (2008) argue that the imposition of western 'rule of law' in colonial contexts is viewed as the best alternative to counteract corruption, and promote transparency and political stability. Anti-corruption technology has played an essential role in legitimizing and normalizing the corruption of the powerful (Whyte, 2007b), thus creating a legal framework permitting plundering, wealth extraction, and dispossession of colonial subjects. Thus, the rule of law, while criminalizing and imposing strong sanctions on individual forms of corruption, is also legalizing and normalizing the corruption of the powerful (Green & Ward, 2004; Whyte, 2007a). This knowledge of corruption and the configuration of a national identity, or colonial subject as corrupt became central in Trump's discourse about PR.
Colonial anti-corruption narratives have mutated together with global capitalist dynamics and economic policies, becoming part of the hegemonic global economic system, institutionalized by the history of colonization and sustained by the structural forces of capitalism. That is, corruption has been key to the historical transformation of the global capitalist framework, from colonialism to neoliberal globalization. This shows that the dialectic of corruption and anti-corruption is in constant motion, as each anticorruption effort transforms the logic of corrupt practices, and each corrupt practice calls forth new kinds of anti-corruption measures.
Muir and Gupta (2018, p. s11) have also shown that 'perception of corruption can map all too easily onto longstanding racialized sociodemographic distinctions of development and modernity. Racialized distinctions can also play out in the intimate spaces of everyday life.' Ranganathan and Doshi (2017) have previously shown that the 'corruption narrative powerfully harnesses different worldviews, including those deriving from political and economic ideologies, as well as those based on bigotry, patriarchy, and xenophobia.' Following critical race theorists, Ranganathan and Doshi (2017) emphasize that 'whiteness is a foundational system of laws, ideas, economic relations, and cultural normative codes that normalizes racial and economic hierarchy.' They further argue that 'whiteness is a form of amnesia that erases the processes of racial capitalism, imperialism, and patriarchy in which racialized dispossession is embedded' (Ranganathan & Doshi, 2017).
Similarly, Bonds and Inwood (2021) argue that whiteness is not simply a racial identity or category, but a relation that produces differential life chances and material advantages. Despite whiteness and colonialism shaping the way in which scholars, policy makers, and politicians think and talk about corruption, these factors remain largely unaddressed. This contradictory engagement with corruption, paired with legacies of race-blind or race-neutral assumptions of sociological theory and research, produces an epistemic regimen in which whiteness, patriarchy, and colonialism underline and shape sociology, but they are rarely openly acknowledged as central.
The whiteness of anti-corruption narratives becomes clear when looking at the long history of racialized, gendered, and colonial processes that helped codify certain criminal or administrative offenses as corrupt. This includes clientelism, patrimonialism, nepotism, and patronage and their historical association with non-white politicians or public servants in the global south. Concepts such as state capture, narco-state, and kleptocracies are often instrumentalized (and reserved) to describe global south states. Moreover, when NGOs, the OECD, and Transparency International (and other international organizations) discuss corruption and offshore financial centers, tax havens, and illicit financial flow, they often refer to the global south and Caribbean colonized territories as primary examples. Yet, critical scholars have shown the City of London, the US, and Luxembourg are key players in these dynamics of tax evasion (Shaxson, 2019). Likewise, global north scholars and policy makers often discuss, anecdotally, how transnational corporations must have a separate budget to pay briberies or kickback if they wish to conduct business in the global south. When corruption scandals break out in the news, such as Odebrecht, the Panama Papers, or the Pandora Papers, these stories were framed as having their cause in some corrupt individuals or failed states in the global south. There is no discussion of how these global and transnational corruption cases are largely tied to, and often the result of, the global north tax and anti-corruption policies.
Thus, the way in which corruption is discussed at the local and transnational level erases whiteness and colonialism and preserves global structures of white supremacy. As Ranganathan and Doshi (2017) argue, what reinforces whiteness will always be perceived as morally superior to what challenges it; this is the perverse morality of whiteness in our times.
For Ranganathan and Doshi (2017), talk of corruption helps legitimate authoritarianism and is often the deciding factor for who gets to decry and be absolved of corruption. There are several examples of how corruption has become a key tool of authoritarians and conservatives. Drybread's (2018) discussion of Brazil provides a useful example of how whiteness has played a fundamental role concerning whether politicians and 'individuals in the private sector' are labeled as corrupt. Drybread (2018) shows that race and gender played a key role in accusation of corruption made against Luis Inácio Lula and Dilma Rousseff, while Bolsonaro's deviant and criminogenic behavior has largely remained unaddressed by the criminal justice system. Such corruption can be opportunistic and win elections by stoking popular discontent (Ranganathan & Doshi, 2017).
Under such global understanding of corruption, Trump's anti-corruption narratives possess a semantic force rarely witnessed in any American political speech made in recent memory. Ranganathan and Doshi (2017) propose that in the current political conjuncture, fixing corruption and the 'establishment' is an affective subtext concerned with asserting whiteness and its imagined corollary, 'Americanness' – reaffirming whiteness in subtle and not so subtle ways. As Casey and Jaffee (2020) show, one cannot currently make sense of whiteness and corruption in the US, or across the globe, without an engagement with what Trump has said, done, and what he stands for in the context of entrenched white supremacy.
Much research on former president Trump has focused on the 'populist' character of his message, without further interrogating what makes white nationalist sentiment popular enough to mobilize supporters (Casey & Jaffee, 2020). Further research from critical whiteness studies on the impact of Trump and his supporters on the broader phenomenon of whiteness would be valuable (Casey & Jaffee, 2020). While there are several analyses of Trump's white supremacist agenda and its impact (see Bonds & Inwood, 2021; Donnor, 2020; Inwood, 2021; Kelly, 2020), the connection with corruption remains undertheorized.
This article theorizes how whiteness and coloniality are at the center of Trump's anticorruption discourses about PR. Thus, I aim to shed light on one of the multiple dimensions in which corruption, colonialism, and whiteness operated within Trump's public rhetoric. The public performance of anti-corruption deployed by Trump is embedded in long-standing colonial and racialized discourses of corruption. These narratives reproduce racial hierarchies and a particular logic of white supremacy as the antithesis of the corrupt other. As I show below, Trump made PR a particular example of colonial and racialized corrupt subjects, and therefore employed a colonial anti-corruption narrative.
The Puerto Rican multilayered crisis in sociolegal context
Puerto Rico is a Caribbean archipelago consisting of the Isla Grande, the island municipalities of Vieques and Culebra, and a series of smaller islands. As a result of the Spanish–American War, the US invaded PR in 1898, and after the signing of the Treaty of Paris 6 between Spain and the US, PR was transferred to the US. Later, PR became a domain of the US Congress under the Territorial Clause of the US Constitution. 7 In 1900, the US Congress legislated the Foraker Act, 8 which established a civil government in PR and granted Puerto Ricans limited representation in the local government. In 1917, the Jones Act 9 was passed, granting US citizenship to Puerto Ricans.
Simultaneously, between 1899 to 1922, in a series of cases known as the Insular Cases, the US Supreme Court ruled what would become the legal definition of PR and the US legal and political relationship with its territories (Atiles, 2020; Rivera Ramos, 2001). Concomitant with the legal and political practices of other western empires, the US used the corruption and economic backwardness of PR as justification for the legal accommodation developed in the Insular Cases. The opinions of the Court in the Insular Cases are embedded in racist and gendered descriptions of Puerto Ricans as unable to rule themselves given their inherent corruption (Rivera Ramos, 2001). This, I argue, constitutes an early manifestation of the coloniality of anti-corruption, in which self-rule was denied by the US government based on racialized understandings that saw PR culture and society as corrupt by nature.
The Americanization of PR, meant, among other things, the imposition of the US legal-political system, which was to move PR from its backwardness to western/ American ways. Go (2000) has shown that education and transfer of political knowledge typically associated with Americanization were seen as the alternative to dealing with the inherently corrupt nature of Puerto Ricans. Those processes of transformation and 'education' of Puerto Ricans did not end with the elimination of the Spanish legal-political system during the first decades of the 20th century (a system considered corrupt by the US government), but the US has experimented with various technologies of subjectivation and anti-corruption policies throughout the colonial history. The ongoing colonial practices mean that an anti-corruption narrative and policies are constantly being rearticulated to justify US intervention in PR. As Villanueva (2019, p. 190) points out, 'corruption discourses served to justify the US government's denial of Puerto Ricans' right to self-rule. As a result, the "corrupted" colonial subjects were forced to endure an intense policing regime to correct their behavior.' Likewise, when analyzing the legal and political development of US colonialism in PR, it can be seen how corruption has served a double function: (1) corruption has been the narrative that legitimized US colonialism in PR, and (2) US capitalism has routinely pushed for instrumental anti-corruption measures and exceptional practices to ensure wealth extraction and profit-making while functionally pathologizing local leaders as untrustworthy, deviant, or otherwise 'corrupt.'
While the discussion of the historical constitution of Puerto Ricans as corrupt subjects is beyond the scope of this article, it is important to recognize that Trump's public rhetoric is not new, nor unique in the 124 years of US colonialism in PR.
The colonial status of PR took a new turn in 1952 with the creation of the Commonwealth of PR, which allowed Puerto Ricans to draft their own constitution. This law, however, did not imply a substantial change in the US–PR political relationship; a telling example is that almost all the areas related to trade, money, international agreements, immigration, and tariffs are still under US control. Economic stagnation in the 1980s culminated in a transition of PR's economic and political-legal systems. This transition materialized in the 1990s with the transformation of PR's economy into a predominantly postindustrial one based on consumption, tourism, and speculative finances. PR has experienced economic hardship since 2006, resulting from the US Congress's decision, in 1996, to eliminate the tax exemption known as Section 936 of the US Internal Revenue Code (1976); 10 a high level of public indebtedness; and the global economic crisis of 2008. As a result, Puerto Ricans have endured two decades of budgetary cuts, privatization and externalization of public services, low corporate taxation, and high dependence on bonds and debt issuance. These measures led to the bankruptcy of the PR government in 2016, when the public debt amounted to $72 billion.
After the default in 2016, US Congress passed Public Law No. 114-118, known as the Puerto Rico Oversight, Management, and Economic Stability Act (PROMESA). PROMESA is the US's solution to PR's crisis, and it is accompanied by the imposition of a Financial Oversight and Management Board (FOMB). Largely justified under the pretext of public corruption in the PR government, PROMESA and the FOMB have been the US government's solutions for ensuring the survival of the capitalist financial system, guaranteeing the payment of the public debt, and bringing PR back into financial and stock markets.
Against this background, in September 2017 Hurricanes Irma and María wreaked destruction on the archipelago in September 2017, leaving behind as much as $94 billion of damage. Then, on January 7, 2020, a 6.4 magnitude earthquake struck the southern region of PR. The earthquake caused the displacement of 6,400 residents, over 8,300 damaged houses, and an estimated $3.1 billion of damage.
As a result, when the COVID-19 global pandemic arrived in March 2020, PR was in a more precarious position than any other state or territory of the US. PR faced a $9.7 billion direct economic impact, the loss of approximately $2 billion in tax revenue, 11 the permanent loss of over 100,000 jobs, 12 and the loss of over 4,200 lives as result of the pandemic. Additionally, since the 1990s PR has been experiencing a public health crisis driven by limited resources allocated for preventive health care and primary care privatization. Finally, in September 2022, five years after Hurricane María, Hurricane Fiona landed in PR leaving behind a severely damaged electricity grid, and millions of dollars of damage.
It is precisely in this context of economic decline, social vulnerability, and multilayered crisis that the analysis of coloniality of anti-corruption becomes relevant. As will be shown, local communities have had to face a multiplicity of crises and disasters for which they lack any social protection or support from the US or PR governments.
The Puerto Rican experiences with corruption and anti-corruption laws and policies have received limited attention within sociolegal and sociological scholarship, despite PR's experiences with high-profile cases of corruption. Conversely, corruption has been largely covered by independent journalists, local NGOs, and by some political science and public administration scholars (Bobonis et al., 2016; Pérez-Chiqués & Rubin, 2022). Thus, this article constitutes a first attempt to map how coloniality of anti-corruption has operated in PR, and its sociological and legal implications in the wake of Hurricane María and the earthquakes.
Coloniality of anti-corruption and corruption narratives in Puerto Rico
The US government has historically used corruption as a means for colonial subjectification in PR. Corruption and backwardness were constantly brought up by members of the US Congress, the Supreme Court, and among the American legal academia in public debates on annexing PR to the US or not (Rivera Ramos, 2001). This is exemplified by former president Trump's tweets about PR politicians, as well as by the restrictions imposed on federal disaster relief funds in the aftermath of Hurricane María and the series of earthquakes beginning in January 2020. For example, Trump tweeted on August 28, 2019 (9:45 am EDT):
Puerto Rico is one of the most corrupt places on earth. Their political system is broken and their politicians are either Incompetent or Corrupt. Congress approved Billions of Dollars last time, more than any place else have ever gotten, and it is sent to Crooked Pols. No good!. . .
This tweet, which was posted while PR was preparing for the possible impact of Hurricane Dorian, caused countless political figures to react indignantly against the president (especially for falsely claiming that PR had received $91 million in recovery funds). 13 Likewise, after the series of earthquakes of January 2020, Trump's administration declined to send disaster relief funds to PR given the 'corruption of its politicians' (Sommerfeldt, 2020). Trump retweeted on January 21, 2020, at 8:12 pm EDT: '@realDonaldTrump repeatedly warned against incompetent & corrupt politicians in Puerto Rico managing disaster aid.'
Between September 19, 2017, and January 22, 2020, Trump posted 52 tweets directly mentioning PR. Many described PR and its politicians as corrupt, crooked, and incompetent. These tweets show the constitutive process of coloniality of anti-corruption. That is, these tweets demonstrate a process of subjectification of Puerto Ricans in the US colonial and white supremacist imagination. These tweets can be divided into three categories: (1) those that portray Puerto Rican politicians as corrupt and crooked; (2) those that emphasize the federal relief funds after Hurricane María and how Puerto Ricans are taking advantage of the US; and (3) those that portray Trump as 'the best thing that happened to PR.' By focusing on these tweets, I am not interested in fact-checking Trump, but rather reflecting on the constitutive process of an anti-corruption narrative. That is, how Trump's white supremacist and colonial discourse about corruption in PR is embedded in a particular history of colonial discourses about PR that have justified public and legal intervention with the archipelago and its politicians.
Consider those tweets that described Puerto Rican politicians as corrupt. For example, on September 14, 2018, at 5:23 pm EDT, Trump tweeted:
The story of Puerto Rico is the rebuilding that has occurred. The President has done an extraordinary job of cleanup, rebuilding electrical stuff and everything else. "The people of Puerto Rico have one of the most corrupt governments in our country." (Emphasis added)
Similarly, President Trump tweeted on October 23, 2018, at 8:24 am EDT:
The people of Puerto Rico are wonderful but the inept politicians are trying to use the massive and ridiculously high amounts of hurricane/disaster funding to pay off other obligations. The U.S. will NOT bail out long outstanding & unpaid obligations with hurricane relief money!
These tweets present a double imaginary. First, Puerto Ricans are represented as undeserving victims of corrupt politicians that are going to (mis)use the federal disaster relief funds for the payment of the debt. Debt that is further described as the result of the mismanagement and corruption of colonial politicians, and in which the role of the US government and Wall Street is neglected to be described. This narrative is embedded in a colonial-patriarchal rationality that infantilizes colonial subjects, portraying them as incapable of self-rule and administering their own economy. This narrative reifies colonial and white supremacist understandings of corruption, which simultaneously dehumanize racialized and gendered communities and justify interventions as a form of protecting colonized people from the evils of corrupt politicians.
Moreover, this narrative is particularly salient when Trump disputed the number of casualties and deaths resulting from Hurricane María. Originally, the PR government reported 64 casualties 14 as a result of the hurricane, then a report by Kishore et al. (2018) found that over 4,645 had died in the aftermath of Hurricane María. Finally, the George Washington University Milken Institute School of Public Health published a report identifying 2,975 excess deaths in PR due to Hurricane María between September 2017 and February 2018. 15 Trump took issue with these different reported numbers and argued that they were part of an intent to discredit him and his administration from doing a 'great job with the almost impossible situation in PR. Outside of the Fake News or politically motivated ingrates. . .' (October 1, 2017, 8:22:14 am EDT)
In what follows, I highlight Trump's tweets concerning the excess deaths in PR as they further evidence his strategy of undermining Puerto Ricans. As Trump states:
3000 people did not die in the two hurricanes that hit Puerto Rico. When I left the Island, AFTER the storm had hit, they had anywhere from 6 to 18 deaths. As time went by it did not go up by much. Then, a long time later, they started to report really large numbers, like 3000. . . (September 13, 2018, 8:37:27 am EDT)
. . .This was done by the Democrats in order to make me look as bad as possible when I was successfully raising Billions of Dollars to help rebuild Puerto Rico. If a person died for any reason, like old age, just add them onto the list. Bad politics. I love Puerto Rico! (September 13, 2018, 8:49:12 am EDT; emphasis added)
They say all these people died in the storm in Puerto Rico, yet 70% of the power was out before the storm. So when did people start dying? At what point do you recognize that what they are doing is a political agenda couched in the nice language of journalism? (September 14, 2018, 6:35:00 pm EDT; emphasis added)
. . .GWU Research to tell them how many people had died in Puerto Rico (how would they not know this?). This method was never done with previous hurricanes because other jurisdictions know how many people were killed. FIFTY TIMES LAST ORIGINAL NUMBER - NO WAY! (September 14, 2018, 10:23:26 pm EDT)
In this thread alone, one can identify just how the colonial subjects become, as Pulido et al. (2019) suggest, mere pawns in Trump's political machinations. These tweets show how racialized and colonialized bodies do not count as real victims, but rather their deaths are just part of a corrupt plan implemented by Puerto Rican and Democratic politicians as an attempt to discredit Trump's benevolence to PR. As Trump putted away at his golf course on August 28, 2019, he stated, 'And by the way, I'm the best thing that's ever happened to Puerto Rico!' (August 28, 2019, 10:45:28 am EDT). This logic, in which the pain, suffering, and death of racialized bodies only count insofar as it helps manufacture a moral narrative of a benevolent leader, is deeply embedded in coloniality and whiteness. That is, racialized bodies and colonial subjects are always-already dead in the colonial imagination. This does not only apply to the Trump administration, but Ricardo Rosselló's administration also deployed a series of insensitive, racialized, and colonial discourses 16 similar to Trump's discourses (see next section). This constitutes a paradigmatic moment in how coloniality of anti-corruption is reproduced at both the US national and local level.
Second, Trump constructed himself and his government as providers occupying a moral high ground. 17 This imaginary assembled a neoliberal moral economy of colonialism. The logic behind this narrative is to deny Puerto Rican politicians from administrating the resources provided by the federal government. Thus, the private sector and the federal government become the only reliable institutions to properly guarantee the uses of these funds. Tied to this rationale were Trump's tweets against Puerto Rican politicians posted between April and June 2019. In four key tweets posted between April 1 and 2 of 2019, Trump wrote:
The Democrats today killed a Bill that would have provided great relief to Farmers and yet more money to Puerto Rico despite the fact that Puerto Rico has already been scheduled to receive more hurricane relief funding than any "place" in history. The people of Puerto Rico. . . (April 1, 2019, 7:50 pm EDT)
. . .are GREAT, but the politicians are incompetent or corrupt. Puerto Rico got far more money than Texas & Florida combined, yet their government can't do anything right, the place is a mess - nothing works. FEMA & the Military worked emergency miracles, but politicians like. . . (April 1, 2019, 8:11 pm EDT; emphasis added)
. . .The best thing that ever happened to Puerto Rico is President Donald J. Trump. So many wonderful people, but with such bad Island leadership and with so much money wasted. Cannot continue to hurt our Farmers and States with these massive payments, and so little appreciation! (April 2, 2019, 4:45 am EDT; emphasis added)
Puerto Rico got 91 Billion Dollars for the hurricane, more money than has ever been gotten for a hurricane before & all their local politicians do is complain & ask for more money. The pols are grossly incompetent, spend the money foolishly or corruptly & only take from USA. . . (April 2, 2019, 7:33 am EDT)
In the above tweets Trump adds a new device to his narrative, in this case it is the tension between deserving Farmers (who are imagined within racialized and gendered categories as White-Christian-Men) and States (e.g., Republican states of Texas and Florida) and undeserving colonial subjects (imagined as racialized and gendered others). In this narrative, the deserving 'real citizens' are taken advantage of by those corrupt colonial subjects abusing US generosity. This narrative openly reinforces white nationalist discourses of the 'forgotten and abandoned' that Trump strategically articulated in his 2016 and 2020 campaigns. As Pulido et al. (2019, p. 522) argue, 'Trump employs racial fix by blaming racial others and immigrants to offer the white nation a psychological wage.' This wage does not merely validate white people's superiority, rather it addresses their emotional dislocation, fear, and resentment of a changing world affirming their status as the true nation. Bond and Inwood (2021) helpfully point out, this illuminates how whiteness is always and everywhere under siege, justifying both state and extra-legal forms of violence to sustain hierarchies of difference and institutionalized systems of white supremacy.
Corruption is also portrayed through a geographical imagination of inoperability and fraud. These geographies of fraud as the tweets demonstrate enable waste, messiness, and chaos. For example, Trump tweeted on August 27, 2019, 12:09 pm EDT: 'Wow! Yet another big storm heading to Puerto Rico. Will it ever end? Congress approved 92 Billion Dollars for Puerto Rico last year, an all-time record of its kind for anywhere.' Hence, PR, as a geography of fraud, represents a threat to the moral economy of normative white farmers. The presidential narrative presupposes a continuation of colonial discourses of corruption discussed earlier, and the inclusion of Puerto Ricans in the racialized universe of threatening minorities.
Yet, in the summer of 2019 Trump incorporated an additional device to his public narrative. In the following tweets, Trump suggests that former governor Ricardo Rosselló is under siege (which refers to the demonstrations carried in summer 2019 [see Atiles, 2022]), and Carmen Yulin, Mayor of San Juan, PR, becomes the embodiment of the corrupt politician.
A lot of bad things are happening in Puerto Rico. The Governor is under siege, the Mayor of San Juan is a despicable and incompetent person who I wouldn't trust under any circumstance, and the United States Congress foolishly gave 92 Billion Dollars for hurricane relief, much. . . (July 18, 2019, 7:54 am, EDT; emphasis added)
. . .of which was squandered away or wasted, never to be seen again. This is more than twice the amount given to Texas & Florida combined. I know the people of Puerto Rico well, and they are great. But much of their leadership is corrupt & robbing the U.S. Government blind! (July 18, 2019, 7:54 am EDT; emphasis added)
If the Puerto Rican leadership is corrupt and robbing the US government blind, it is clear that: . . . And by the way, I'm the best thing that's ever happened to Puerto Rico! (August 28, 2019, 7:45 am EDT)
It is important to note how Trump uses gendered and misogynic language to describe Carmen Yulin, Mayor of San Juan. These narratives are very similar to those used against Hillary Clinton in his 2016 presidential campaign. In the Trumpian imaginary, women in position of power become corrupt, crooks, or despicable.
Trump assembled a public narrative that placed himself and his administration not only as the victims of corrupt colonial, racialized, and gendered politicians, but as the benevolent leaders that, despite the fraudulent behavior of the colonial subjects, continue to provide and guarantee citizens their social welfare. Interestingly, this colonial narrative does not resort to legality or to discourses of the lack of rule of law as the reason for Puerto Rican corruption. Corruption in this narrative is not the result of specific illegalities, but is based on a geography of fraud, messiness, and undeserving racialized subjects taking advantage of hard-working white Americans. Similarly, in this narrative, there is no private sector, capital, or history. Corruption, though, is one of the forms in which the colonial being manifests in this case.
US colonial anti-corruption policies after Hurricane María
The spectacular racism of Trump's administration has obscured the detrimental anticorruption policies implemented by his administration in PR. These anti-corruption narratives are useful for framing my approach toward the logic of disaster aid evaluation and the ways distribution excludes, disciplines, and discriminates against marginalized populations. Firstly, PROMESA and the FOMB were legislated in 2016 under the guise that PR required technical and nonpartisan solutions for addressing the 14 years-long economic and fiscal crisis. The main rationale for this legislation was that the PR government and its politicians had been historically engaged in unscrupulous spending, debt issuance, and overall practices of corruption. Therefore, an external, apolitical, expertled FOMB was imposed to deal with the systemic corruption that precipitated PR into its economic and financial crisis.
However, the nomination of the members of the FOMB prove to be quite the opposite. For example, Trump appointed Justin M. Peterson, who, as a managing partner of DCI Group, had actively lobbied to oppose comprehensive bankruptcy protections and served as an advisor to hedge funds and bondholders known for having pushed for exorbitant debt payments (Hedge Clippers, 2021). This list includes Antonio Medina, former executive of Merck and executive director of the Puerto Rico Industrial Development Company (Hedge Clippers, 2021); and John Nixon, an accountant who actively participated in the austerity measures that led to the Flint water crisis (Hedge Clippers, 2021). These appointments, as Dennis (2020) has pointed out, raise ethical and accountability concerns, and illustrate the revolving doors between private and public services.
Secondly, the case of the Federal Emergency Management Administration (FEMA) and the US government restrictions and limitations to PR regarding access to recovery funds further reveal the coloniality of anti-corruption. FEMA insisted on imposing preconditions, such as the creation of accountability structures and transparency measures that guarantee the proper use of funds. It was due to this pressure that former governor Ricardo Rosselló's administration created the Central Office for Recovery, Reconstruction and Resilience (COR3). 18 This newly created office was mandated under the guise of transparency and anti-corruption and was placed under the umbrella of the recently created Puerto Rico Public-Private Partnership Agency. 19 Although it is true that Rosselló's and former governor Wanda Vázquez's administrations have been under investigation for possible mismanagement of public funds, 20 behind these restrictions and requirements lie racialized and colonial understandings of corruption. This is exemplified by the fact that these restrictions and preconditions were not required of the Government of Texas in the aftermath of Hurricane Harvey. 21
The denial of funds came from more than just the presidency, but also from other agencies of the executive branch. For example, Sommerfeldt (2020) reported that the Department of Housing and Urban Development (HUD) was initially supposed to distribute $9.7 billion in aid to PR in September 2019 to help address the devastation caused by Hurricane María. However, on January 12, 2020, HUD released only about $1.5 billion of those funds, of which PR only used $5.8 million. President Trump and HUD cited corruption and financial mismanagement as the reason for refusing to distribute the aid fund.
Later that week, after numerous Puerto Rican diasporic groups and Congress members pressured the Republican administration to release the funds, President Trump approved a major disaster declaration for PR, of an additional $8.2 billion in disaster mitigation. Nevertheless, the release of aid relief came with a new layer of federal supervision and anti-corruption measures. 22
For example, FEMA appointed Alexis Amparo as the Federal Coordinating Officer for federal recovery operations in the affected areas, and HUD appointed Robert M. Couch as the Federal Financial Monitor to oversee the grant administration and disbursement process of disaster recovery funds. 23 Likewise, the local government and the COR3 created a Transparency Portal that accounts for all the funds that are distributed in PR. 24 These multiple layers of supervision have proven inefficient, since they focus on petty corruption while ignoring the corruption of the powerful. Similarly, these so-called anticorruption measures, and the imposition of federal supervision, have undermined PR's preparedness to address other potential future disasters, as Hurricane Fiona illustrated. This is exemplified by the HUD's Community Development Block Grant-Disaster Recovery Program funds not being distributed since Hurricane María (Torres-Cordero, 2020), which in turn shows that coloniality of anti-corruption exacerbated populations' vulnerability and manufactured new conditions for disasters.
The fraud prevention and anti-corruption narrative upholds neoliberal disaster governance, informs state incredulity around ownership claims, and disciplines state–survivor interactions. The importance of this cannot be understated since disaster fraud prevention is a significant (and well-funded) concern of the federal government (Molinari, 2022). Nevertheless, what the Puerto Rican experience shows is that these disaster fraud preventions often operate along racial and gendered lines.
Furthermore, Trump was reticent to sign the PR Earthquake Supplemental legislation (Bill H.R. 5687), which would have provided an additional $4.7 billion for a broad range of disaster recovery and reconstruction activities, as well as providing additional tax exemptions (Sierra, 2020). Trump's veto threat was based on the misleading argument that there was enough money in PR's disaster pipeline. Sierra (2020) argues that this claim is misleading for two reasons: the federal government had not released the bulk of the recovery-and-reconstruction funds almost three years after Hurricane María; and the $45 billion was authorized to be spent on hurricane-related activities, not earthquakes.
All these objections and limitations to the recovery funds illustrated the double movement of Trump's anti-corruption narratives. On the one hand, Trump's spectacular racism generates the condition for undermining and dehumanizing Puerto Ricans; and, on the other hand, this creates the conditions for detrimental policies that in turn impeded the recovery in the wake of the disasters. Thus, the coloniality of anti-corruption is exemplified in PR in two fundamental ways: (1) the colonial history of PR, and the political constitution of Puerto Ricans as corrupt-colonial subjects; the description of colonial and racialized subjects as corrupt is not limited to the US, but also takes place at the local level, when the ruling classes (or local politicians) define dispossessed Puerto Ricans as corrupt; (2) the imposition of PROMESA and the FOMB to 'tackle' the economic crisis, and the aftermath of Hurricanes Irma and María. The latter was marked by numerous scandals of corruption involving FEMA, the US Army Corps of Engineers, and federal and local governments.
Conclusion
As Maldonado (2019, p. 337) stated, 'the story of Puerto Rico cannot be told without reference to Western modern catastrophe and coloniality.' Hurricane María was a catastrophic event that, among other things, exposed the vulgarity of Puerto Rico's colonial relationship with the US. 'Listening to Donald Trump's inaccurate comparisons between Hurricane Katrina and Hurricane María or his complaints that Puerto Rico was throwing the US budget "out of whack" and watching him throw paper towels to Puerto Ricans in need could not but recall Cornel West's warning that a Trump presidency would be a "neofascist catastrophe"' (Maldonado, 2019, p. 337). This catastrophe, and the uses of anti-corruption narratives must be understood as central features of coloniality of anti-corruption.
The US government and Trump administration's anti-corruption interventions in PR, as well as the description of Puerto Ricans as corrupt subjects, have directly undermined PR's capacity to respond to natural disasters. More importantly, these descriptions portray an important connection between narratives of corruption, whiteness, and colonialism, which I have named 'coloniality of anti-corruption.' This article has shown that corruption is an essential part of colonial and racialized power structure and policies in PR.
This entails a significant contribution to the development of the emerging global south and critical sociology of corruption. What the concept of coloniality of anti-corruption demonstrates is that anti-corruption narratives and reforms are largely embedded in western or global north imperialism. Thus, the analysis conducted in this article of Trump's narrative of corruption in PR, I argue, can be replicated, in other global south, colonized and racialized communities. The epistemic and policy development of an anti-corruption industry manufactured the language and narrative about global south countries and their inherent corruption, which was then articulated by the Trump administration in PR. Similarly, by centering the experiences of those who faced the effects of anti-corruption policies, this article has aimed to underscore the impact that homogeneous, Eurocentric, and global north anti-corruption policies have in communities of color and global south countries.
Trump's tweets about Puerto Rican politicians are historically and sociopolitically embedded in the US imperial project and in the contemporary populist narrative of white supremacy. Colonial discourses on the corrupt nature of Puerto Ricans remain part of the fabric of US colonial history and of its sociopolitical practices in PR. Trump's spectacular racism simultaneously demonstrates the long history of colonialism in PR, and obscures the detrimental policies imposed by the colonial state in the wake of disasters. Anti-corruption, when used in colonial settings, becomes a technology used for maintaining unequal power relations, largely grounded in race, gender, and class.
Thus, the racialized and colonial interpretations of Puerto Ricans as corrupt, and PR as a geography of fraud, have justified, throughout US colonial history, limitations on PR's autonomy and a denial of self-determination for Puerto Ricans. Trump's tweets and the various anti-corruption policies imposed by his administration cannot be dissociated from the racialized interpretations used to legitimize US colonialism in PR. That is, the coloniality of anti-corruption.
Acknowledgements
I would like to thank David Whyte, Kenneth Sebastian León, Kirsteen Paton and the reviewers for their encouraging and insightful comments on this article and for all their help in preparing it for its final publication.
Funding
The author received no financial support for the research, authorship, and/or publication of this article.
Notes
1. For an in-depth analysis of the US racialized-colonial history in PR see Godreau and Bonilla (2021) and Lloréns (2014).
2. Public Law 114-187 of 2016.
3. Barak (2022) has demonstrated how sociological criminology can engage in a systemic analysis of Donald Trump, his administration, and the impact of his deviant behavior on the general population. This article aims to underscore the colonial and racial implication of the criminogenic practices analyzed by Barak (2022).
4. See: https://factba.se/trump/
5. See: www.thetrumparchive.com
6. Treaty in which Spain transferred sovereignty over PR, Guam, and the Philippines to the US.
7. US Constitution Article IV-3, Clause 2.
8. Foraker Act of April 12, 1900 (cap. 191, 31 Stat.77).
9. Jones Act, ch. 190, 39 Sta. 951 § 2 (1917).
10. 26 U.S. Code § 936 – Puerto Rico and possession tax credit. This law came to an end on December 31, 2005.
11. See: www.bloomberg.com/news/articles/2020-05-14/covid-19-may-cost-puerto-rico-2billion-in-taxes-board-says
12. See: www.estudiostecnicos.com/pdf/Update-COVID-3-ENG-May-18.pdf
13. See: www.washingtonpost.com/politics/trump-feuds-with-san-juan-mayor-as-tropical-stormtakes-direct-aim-at-puerto-rico/2019/08/28/6b5170e2-c990-11e9-be05-f76ac4ec618c_story. html/
14. See: www.latimes.com/science/sciencenow/la-sci-sn-hurricane-maria-deaths-20180529story.html
15. See: https://publichealth.gwu.edu/sites/default/files/downloads/projects/PRstudy/Acertainment %20of%20the%20Estimated%20Excess%20Mortality%20from%20Hurricane%20 Maria%20in%20Puerto%20Rico.pdf
16. See: https://periodismoinvestigativo.com/2019/07/the-889-pages-of-the-telegram-chat-between -rossello-nevares-and-his-closest-aides/
17. As I have shown throughout this article, corruption discourses are typically instrumental and self-serving. In this sense, both the Trump administration and international organizations develop comparative global metrics of corruption often designed in a way that favors global north countries and further pathologizes global south countries.
18. See: P.R. Exec. Order No. 2017-065 (Oct. 23, 2017) (creating 'Central Recovery and Reconstruction Office of Puerto Rico'); see also P.R. Exec. Order No. 2017-069 (Nov. 10, 2017). Two of the main arguments to create this new office were: (1) to organize the recovery efforts under one agency; and (2) to guarantee transparency on the spending of federal funds, especially after the numerous cases of corruption or mismanagement of public funds in the aftermath of Hurricane María.
19. See: 2009 P.R. Laws 29 (establishing the Public Private Partnership Authority).
20. See: https://abcnews.go.com/Politics/federal-watchdog-launches-investigation-potential-interferencedistribution-millions/story?id=61957794/
21. For a comparative analysis of the disaster response in PR, Florida, and Texas see, Willison et al. (2022).
22. See: www.politico.com/news/2020/01/15/trump-to-lift-hold-on-82b-in-puerto-rico-disasteraid-099139
23. See: www.hud.gov/press/press_releases_media_advisories/HUD_No_20_008
24. See: https://recovery.pr/es
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C arolina NURSING C arolina NURSING
Engagement in the Community
Dean
Dear Alumni and Friends,
During this springtime of global unrest, I am especially proud of the many ways in which School of Nursing students, faculty, and staff are engaged in partnerships with communities, local and global, and with our alumni, through the work of the Alumni Association and the SON Foundation Board. These partnerships shape how we learn, what we learn and the nature of the citizens we become in this world.
In January, I had the opportunity to develop a stronger understanding of our world as I represented the School of Nursing at a meeting in Bangkok, Thailand, that included the boards of the Kenan Institute Asia (KI Asia) and the Kenan
Dean Wipada Kunaviktikul and Associate Dean for International Relations Dr. Achara Sukonthasarn of Chiang Mai University with Dean Cronenwett.
Institute for Private Enterprise. The Provost and deans from three UNC schools had the privilege of interacting with the former prime minister of Thailand, a variety of UNC-Chapel Hill alumni and Thai government and business officials as we sought ways to enhance student and faculty exchanges throughout Southeast Asia.
KI Asia made local arrangements for me with the nursing leaders of Thailand. In Bangkok, I worked with the dean and directors from Mahidol-Ramathibodi and Mahidol-Siriraj to plan the international conference on chronic illness that our School will co-sponsor with Mahidol and Yale Universities in January 2006. At Chiang Mai University, the dean and I began negotiations for a partnership similar to the one we have with Mahidol University, where our faculty participates in doctoral education of Thai nurses.
The trip was an incredible experience, enhanced each day by the warmth and hospitality of our Thai nursing colleagues. I spent evenings in Bangkok with our recent doctoral graduate, Kwan Amnatsatsue, and with Renu Pookboonmee, a faculty member from Mahidol-Ramathibodi, who recently completed a post-doc year in Chapel Hill. In Chiang Mai, I visited with current doctoral student Nada Lukkahatai and her mother, the head of nurse-anesthesia at Chiang Mai Hospital. Faculty members and deans at both universities graciously hosted events where
Dean Cronenwett with Dr. Kobkul Phancharoenworakul, dean of the faculty of nursing at Mahidol University, Siriraj, and Dr. Supanee Senadisai, director of nursing, faculty of medicine, at Mahidol University, Ramathibodi.
I could learn about Thai culture, food and religion, in addition to learning about Thai nursing education and research.
One is forever changed by immersion in another culture. It is why the faculty of this School and University promote cross-cultural experiences at home and abroad. I hope you enjoy reading about the many ways in which your School is engaged in the world in this issue of Carolina Nursing. If you are far away from Chapel Hill, I also hope you remember the dogwoods and the way the campus looks in the full bloom of spring.
Linda Cronenwett, PhD, RN, FAAN Dean
Carolina Nursing is published by the University of North Carolina at Chapel Hill School of Nursing for the School's alumni and friends.
Dean
Linda R. Cronenwett, PhD, RN, FAAN
The Office of Advancement
Norma Hawthorne, Director Anne Aldridge Webb, Associate Director, Alumni Affairs and Annual Fund Sunny Smith Nelson, Associate Director, Public Relations and Communications Cami Harwood, Public Information Assistant LaToya Wills and Sarah Wood, Health Affairs Communications Interns Shelley Clayton, Work-Study Intern
Editor
Sunny Smith Nelson
Contributing Writers
Cami Harwood Norma Singleton Hawthorne Marcia Kaye Sarah McConnaghy Merle Mishel, PhD, RN, FAAN Anne Aldridge Webb Sarah Wood Natasha Worthington
Photography
Barbara Germino, PhD, RN, FAAN Steve Exum Sunny Smith Nelson Merle Mishel, PhD, RN, FAAN Ann Doxey Turner Anne Aldridge Webb John Young
Design and Production
Alison Duncan Design
School of Nursing
The University of North Carolina at Chapel Hill Carrington Hall, CB #7460 Chapel Hill, NC 27599-7460 (919) 966-4619 E-mail: firstname.lastname@example.org http://www.unc.edu/depts/nursing
ENGAGEMENT IN THE COMMUNITY ISSUE
Local Community
6 You Get What You Give: SON Students Aid Community, Build Skills through Volunteer Efforts
8 New Service-Learning Project Creates Campus-Community Partnership
Statewide Community
10 Sustainable Solutions: Nursing Education for Golden Leaf Counties
12 Just What the Nurse Manager Ordered: A New Leadership Program for Clinical Managers
National Community
14A Partnership in Reducing Health Disparities
16 Nurse Educators: How the SON Is Helping Supply Meet Demand
International Community
18"Uncertainty" Comes to South Korea
20 A Powerful Exchange of Ideas: The UNC-Mahidol University Nursing Scholar Exchange Program
REGULAR FEATURES
2 Roll Call
4 SONdries
22 Alumni News
29 Noteworthy Nurses
30 Development News
33 Alumni Notes
34 Calendar of Events
Congratulations to Dr. Judy Miller on being the Carolina recipient of the UNC Board of Governors Award for Excellence in Teaching. Established in 1994 by the BOG, the awards are given to a tenured faculty member from each UNC campus to recognize and reward excellence in teaching. Miller will receive a $7,500 stipend and a bronze medallion to mark the honor.
Dr. Joanne Harrell received the American Heart Association's 2002 Katharine A. Lembright Award in honor of her contributions to cardiovascular nursing research. The award was established in 1987 in honor of an AHA staff member who played a significant role in the development of the AHA Council on Cardiovascular Nursing.
Congratulations to Drs. Jo Ann Dalton and Sheila Englebardt, winners of North Carolina Nurses Association awards at the 2002
annual conference. Dalton was honored with the NCNA Board of Directors Award for her outstanding contributions to nursing in North Carolina. Englebardt received the Informatics Nurse of the Year Award in recognition of her innovation and leadership in the field of nursing informatics and educational technology.
Dr. Diane Kjervik has been appointed as a leadership fellow in UNC's Institute for the Arts and Humanities Academic Leadership Program for 2003.
In addition to providing a stipend, the award will allow Kjervik to expand her scholarship related to women's health,
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leadership and therapeutic jurisprudence.
Congratulations to Dr. Diane Holditch-Davis, recipient of the Southern Nursing Research Society's 2003 Distinguished Researcher Award. She was chosen in recognition of her established program of research that has enhanced the science and practice of nursing in the Southern region.
Dean Linda R. Cronenwett has been chosen to serve as a research group member for the Hastings Center's Ethical Issues in Improving Healthcare Quality and Safety Project. She will serve for two years.
Congratulations to North Carolina State University doctoral candidates Kathy Alden, SON clinical assistant professor, and Carol Durham, SON clinical associate professor, who were inducted into Phi Kappa Phi, NCSU's oldest and most prestigious honor society. Only 1% of the university's graduate students were inducted this spring.
Congratulations to Drs. Dennis Cheek and Sandy Funk, both of whom accepted fellowships in prestigious national organizations this past fall. Cheek was honored with becoming a fellow of the American Heart Association and the Council of Cardiovascular Nursing, while Funk was elected an honorary fellow of the American Academy of Nursing.
Jane Campbell, a SON adjunct faculty member and clinical nurse specialist in gerontology at UNC Hospitals, was selected as one of the top 100 nurses in North Carolina in practice and commitment to the profession by The Great 100, Inc.
Dr. Susan Pierce was elected by the American Nurses Association House of Delegates to serve on the 15-member ANA Congress on Nursing
Practice and Economics. She will serve a four-year term and her duties will include focusing on nursing's approach to emerging trends within the socioeconomic, political and practice spheres of the health-care industry; recommending policy alternatives to the ANA Board of Directors; and updating, disseminating and assuring implementation of the Code of Ethics for Nurses. In addition to serving as a member of the congress, Pierce was selected by ANA's governmental affairs office to serve on ANA's Committee on Legislation.
Kim Larson, a SON PhD student, has been appointed dean of the Barton College School of Nursing in Wilson, North Carolina.
Rebecca Gary, also a SON PhD student, won a Dean's Award for Graduate Student Research Benefitting North Carolina. Her winning research submission was "The effectiveness of homebased exercise in older women with diastolic heart failure." The Universitywide award was presented to Gary in March as a part of the UNC-Chapel Hill Graduate School's centennial celebration.
Several SON students won prestigious academic scholarships recently from the North Carolina League of Nursing. They include doctoral students Kim Larson and Kerry Thompson and master's students Kelly Berry and Melanie Stephens. The NCLN Academic Scholarship Fund is administered by the Foundation for the Carolinas.
New Full-Time Faculty Appointments
Dr. Gail Mazzocco accepted the position of statewide Area Health Education Centers (AHEC) nursing liaison, joining the faculty in February 2003. Mazzocco formerly served as an associate professor at the University of Maryland School of Nursing and was involved with Maryland's AHEC program since its inception.
Dr. Vicki Kowlowitz joined the SON this fall as the director of the School's Center for Instructional Technology and Educational Support and a clinical associate professor. Before joining the SON she served as a research assistant professor in the UNC-Chapel Hill Department of Family Medicine.
Dr. Rumay Alexander has accepted the position of director of the SON's Office of Multicultural Affairs, joining the faculty in April 2003. Alexander formerly served as president of a health-care consulting company specializing in change management, leadership development and workforce and diversity issues. She has held positions with the Tennessee Hospital Association, most recently as the senior vice president for clinical and professional services, and served as a board member and chair of the diversity committee for the American Organization of Nurse Executives.
Dr. Shielda Rodgers joined the SON faculty in July 2002 as a clinical associate professor. She comes to UNC from North Carolina Central University where she served for four years as an associate professor.
Dr. Debra Brown, a newly appointed assistant professor, joined the SON this past summer. Most recently, she served as a program associate for the Office of Multicultural Affairs at the University of Michigan School of Nursing.
Kathy Moore, director of admissions and students services, recently accepted a faculty appointment as a clinical assistant professor.
,
In a move to recognize the strong working partnership between the School of Nursing and UNC Hospitals, Dean Linda R. Cronenwett and Dr. Mary Tonges UNC Hospitals senior vice president and chief nursing officer, have accepted positions within one another's institutions. Cronenwett will serve as the associate chief nursing officer for academic affairs at UNC Hospitals, and Tonges will serve as the associate dean for UNC Health Care at the School of Nursing.
S P R I N G 2 0 0 3 3
Cultural Competence: A Visiting Scholar Shares Her Expertise
Cultural competence: it's one of the hottest topics in health-care education today. But what is it and how does one go about getting it? The SON's Ethnic Minority Visiting Scholars Task Force invited Dr. Nilda Peragallo, an associate professor and the director of the PanAmerican Health Organization/World Health Organization Collaborating Education and Practice Center at the University of Maryland at Baltimore School of Nursing, to share her perspective on the issue in late January. Dr. Peragallo is a leader in the cause to promote culturally competent HIV/AIDS prevention education among Hispanics in the United States and has devoted the majority of her career to outreach efforts with Hispanic communities. Here are a few of the suggestions she gave during her visit for developing cultural competence.
Remember that excellent nursing competence supports cultural competence. Learn to routinely and skillfully ask patients to describe themselves, including the history and
4CAROLINA NURSING
context of prejudice, racism, heterosexism and intolerance in their lives.
"more" of a particular disease or condition.
Ask useful assessment questions with an immigrant population. Answers to questions like "Where were you born?" or "How long have you been in this country?" and "How many years of school did you receive before and after coming here?" can provide preliminary information on the acculturation of the patient and their literacy capabilities. The country of origin may be relevant to the health issue at hand.
Overcome biases and distance through coordinated activities. Develop ongoing linkages with target communities through volunteer work or audit local university or community college classes and programs that explore diversity and cultural competence.
Seek out learning opportunities by developing experiences with clients who are different from your cultural group. Examples of learning activities include focusing on a particular disparity and tracking the issue through several clients or critiquing the larger aggregate risk and epidemiological facts and figures of clients in order to tease apart the socioeconomic and prejudicial practices that make a particular group look like they have
Dr. Peragallo suggested several resources for learning more about cultural competence. One such resource is the US Department of Health and Human Services' Health Resources and Services Administration website found at http://www.ask.hrsa.gov/Minority.cfm. It features many free publications on minority health. Another good resource is the DHHS' Office of Minority Health website found at http://www.omhrc.gov. You can learn more about statistics on minority health, upcoming conferences and OMH's new initiative to make recommendations for national standards to assure cultural competence in health care.
Minority Students and Faculty Attend National Conferences
The School's Ethnic Minority Visiting Scholars Task Force chose and granted stipends to several minority students and faculty members to attend national nursing conferences in the summer of 2002. The initiative is a way to promote mentoring relationships and encourage minority students to pursue nursing leadership roles.
National Black Nurses Association conference in Houston, Texas, July 24–28, 2002, and Carlos Jara-Acosta and Monica Sanchez attended the National Association of Hispanic Nurses conference in Miami Beach, Florida, July 17–19, 2002.
Students Nena Harris, Nancia Odum and Wendell John attended the
Each was chosen based on their academic excellence, service to the community and School and the ability to be ambassadors for the SON.
Audrey Booth (MSN '57) led an initiative to honor the memory of the SON's first dean, Dr. Elizabeth L. Kemble, with a grave marker noting her important role in the School of Nursing.
A Fitting Memorial for a Nursing Pioneer
Dean Elizabeth L. Kemble led the School of Nursing from its founding in 1950 until her retirement in 1969. During her 19-year tenure as the School's first dean she touched many students' lives, including that of Audrey Booth, the School's first MSN graduate in 1957. Booth credits Dean Kemble with giving her the knowledge and skills to develop a successful nursing career and inspiring her to serve the SON herself as an associate dean for a number of years.
Booth visited Dean Kemble's grave a few years ago during the SON's fiftieth anniversary celebration. What she found there, however, was a great disappointment to her. "I delivered a floral arrangement from one of our events to the Kemble grave in the new Chapel Hill cemetery and was struck by the lack of information there on her leadership role in the first years of the history of the School which we were so enthusiastically celebrating," she recalls.
we—faculty, students and alumni— remedy this oversight by placing an informational plaque on the grave site."
The plaque, pictured here, was placed on Dean Kemble's grave on July 23, 2001. Today, thanks to the efforts of a particularly grateful student, all visitors who pass by Dean Kemble's grave can learn about her important role in making the SON one of the top nursing schools in the country.
"I proposed to Dean Cronenwett that
The NBNA Conference: A Student's Perspective
BY WENDELL JOHN MSN student
This past July the National Black Nurses Association held it's thirteenth annual institute and conference in the beautiful city of Houston, Texas. The affair gave Nena, Nancia and me a wonderful opportunity to interact with outstanding minority nurses who have excelled in their education and careers.
The purpose of the conference was to bolster the value of health screening and detection and to identify various strategies to decrease the morbidity and mortality of minority populations.
Workshops ranged from how to obtain research funding to pain management and from bioterrorism to complementary health. During the institute, we attended various focus groups and discussed ways to incorporate the social dynamic into the mitigation of minority health issues. These workshops and the conference as a whole enhanced our professional development and provided a plethora of master's and doctoral prepared mentors to provide guidance and inspiration in our endeavors.
Nena, Nancia and I truly appreciated the generous assistance of the Ethnic Minority Visiting Scholars Task Force and the UNC-Chapel Hill School of Nursing Foundation that made attending the conference possible.
S P R I N G 2 0 0 3 5
A Semester at Sea
Sonya Montgomery, a SON clinical instructor, was selected from a highly competitive pool of applicants to serve as a nurse practitioner this past fall for the University of Pittsburgh's Semester at Sea program. She cared for 650 undergraduate students, faculty and staff while onboard the ocean liner that took them to places such as China, Japan, Kenya, South Africa, India, Brazil and Cuba. The purpose of the trip was to comparatively study structural changes occurring in the world today. "The most rewarding aspect of Semester at Sea is the fact that we were not traditional tourists," explains Montgomery. "The program allows for home stays in each country, and we had the opportunity to interact with national leaders such as South African Bishop Desmond Tutu, winner of the Nobel Peace Prize. He told the group, 'To whom much is given, much is expected.' He said we must not forget what we've seen and that we have a responsibility. I think this experience taught me that we as a nation have to look beyond our own communities."
You Get What You Give
SON Students Aid Community, Build Skills Through Volunteer Efforts
BY SARAH MCCONNAGHY
around 10 to 10:30 p.m., but we stay until the last patient is seen."
Every Wednesday evening, students from the School of Nursing join their peers from UNC's fellow health science schools to operate a free medical clinic in Carrboro.
working on her own during the summer. She will work through the spring and train the next set of new volunteers that will take over after she graduates.
These volunteers are members of the Student Health Action Coalition (SHAC), an organization comprised of students in nursing, dentistry, medicine, pharmacy, physical therapy, public health and social work. Formed by students in 1968, SHAC is the oldest student-run free clinic in the country.
SHAC allows students to learn from each other, especially because of the interdisciplinary interaction, and serve the community's medical needs. Patients come from traditionally underserved communities that often face economic and language barriers. SHAC provides efficient health care that attempts to educate recipients and prevent further medical problems.
"SHAC serves a wonderful and much-needed purpose," says SON senior Melissa Dedmond, who began volunteering with SHAC last spring. Older and outgoing volunteers trained her so she could start
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Students coordinate and staff the clinic, which is hosted by the Carrboro Community Health Center, and work Wednesday nights. Faculty members from each of the schools accompany them to serve as their clinical and administrative advisors. Dr. Ed Halloran is the SON's faculty representative.
"I think it is wonderful that the people who can't afford health-care services can come to a student-run clinic for no charge at all," Dedmond says. "The patients get the care they need, and students get to improve their skills."
SON senior Jenny Neifeld is one student who thinks SHAC has improved her clinical skills. "I have really enjoyed working with SHAC, especially in the lab," she says. "Because of SHAC, I feel very comfortable with my immunization and blood drawing skills."
Neifeld gets to the lab around 5:20 p.m. and checks in on the onsite pharmacy. Patients come to the lab after their check-ups with thirdand fourth-year medical students. She says that her main tasks are immunizations and blood work, both of which involve lots of paperwork.
Neifeld's night "usually ends
In addition to their Wednesday clinic, SHAC students also sponsored special sport physicals and kindergarten clinics that were held on Saturdays from 9 a.m. to 3 p.m. this fall. Neifeld worked at both programs and says, "They were both great opportunities to focus on specific physicals that together can take a long time on a normal SHAC night." Shots For Tots, a program to give kindergarten-bound children their necessary immunizations, used to be a special event, but now is available during the regular Wednesday medical clinic.
SHAC is not the only way that SON students volunteer in their community. In November 2002, the SON Alumni Association and BSN students teamed up for a second time and sponsored a blood drive. Senior Amy Brenneman and junior Erin Seitz were class leaders for the event in which enough blood was donated to serve 120 people.
Brenneman, who is on the 2003 Senior Class Board, started the blood drive in April 2002. "I thought it was a good way to get the nursing students to give back to the community that is helping to educate us," she says.
Seitz and Brenneman met with a Red Cross organizer to plan the date and time for the event and e-mailed SON faculty, students and staff to encourage their participation. On the day of the blood drive, they set up the registration area in the
"I think it is wonderful that the people who can't afford health-care services can come to a student-run clinic for no charge at all," Dedmond says. "The patients get the care they need, and students get to improve their skills."
Jenny Neifeld, standing, often practices the skills she uses with her SHAC patients with fellow classmate and SHAC volunteer, Melissa Dedmond.
ground floor lobby of Carrington Hall. During the event, they helped sign in, register and recruit donors. After the donors are signed in, they go to the Blood Mobile, a Red Cross bus that comes to donors to collect the blood.
Association want to make the blood drive a tradition. "I'd love to see more donors and more pints collected," says Seitz.
Both the students and Alumni hopes future drives continue to reach their blood product goals.
The blood donated by the School stays in the area, so it could directly affect patients that students interact with in the near future. Brenneman
"As student nurses we are learning how to care for patients, and giving our patients blood products will eventually be part of our job."
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New Service-Learning Project Creates Campus-Community Partnership
BY SUNNY SMITH NELSON
"This project gives high school students a sense of hope that they can develop the skills and motivation to enroll in our University and become a nurse.…"
DR. RICHARD REDMAN
Wednesday, November 20, 8:55 a.m., Medical Drive outside of Carrington Hall
They come tumbling off the yellow school bus, one by one, zipping their jackets against the cold, swiping errant strands of hair from their eyes, making jokes with their classmates and feeling rather important and grown-up. These sophomores and juniors from Cedar Ridge High School in Hillsborough, North Carolina, have arrived at the School of Nursing after nearly four months of classroom preparation, eager to learn what college—and a career in health sciences—is really all about.
They are participants in the SON's new Service-Learning Project—high school students who have spent the semester in a health occupations career education class learning about the many professions available in the healthcare field and at least two hours a week in tutoring sessions with a SON student mentor. Now that they have learned about the many educational and professional options open to them, they are ready to see health care in action.
10 a.m., The Clinical Education and Resource Center, Carrington Hall
Divided into four groups, the students rotate throughout different CERC labs, listening to heart and
8CAROLINA NURSING
Meghan Linthicum and Ryan Bateman were fascinated by the SON's human patient simulator. They were able to visit real patients at UNC Hospitals later that day.
lung sounds, mischievously checking one another's reflexes in a sensory testing session and, most importantly as the word in the hallway goes, visiting "Stan the Man," the School's human patient simula- tor. Eyes a-glow and questions a-flying, the students are proof-positive that the project is working. Their SON student mentors who are helping lead the tours know that those many hours of helping with science
Taneesha Stephenson tested Ashley Brooks' reflexes during one of the interactive skills labs.
and math homework, giving pep talks and lending a listening ear to fears and aspirations have been worth the effort.
Dr. Richard Redman, the SON's associate dean for academic affairs, and Kathy Moore, director of the Office of Admissions and Student Services, check in on the students periodically. Redman and Moore are the "proud parents" of the project, having created it through a grant from UNC's Assisting People in Planning Learning Experiences Service-Learning Program (APPLES) as a service-based honors project that would engage senior nursing students in the community while helping them earn credit toward graduating with honors.
The three senior SON honors students who have been instrumental in helping Redman and Moore get the project off the ground are Mary Elaine James, Terri Sue Giles and Crystal Hudson-Blackwell. They look at the project as more than a way of graduating with honors.
"More than anything, I believe I have gained a deeper understanding of working with the community," says James. "I have found working with the community to be extremely challenging, but also very rewarding. It also has helped reinforce and supplement the principles I have been learning in my community health and clinical education classes."
As student leaders for the project, James, Giles and Hudson worked with Redman, Moore and faculty advisors from Cedar Ridge to design a tutor/mentor training program, develop a system of scheduling and coordinate the twice-weekly tutorials. Moore also helped them design a volunteer bank of undergraduate and graduate nursing students to serve as mentors throughout the year. Weekly meetings with faculty advisors and a reflection journal helped round out the experience.
The daylong visit to the Carolina campus, coordinated once a semester by the nursing students, was the culmination of their efforts.
"Community partner-defined goals and students' reflection are critical components that distinguish service-learning from other types of clinical or fieldwork experiences that students typically have in nursing education," says Redman. "The students reflect on their experience and relate it to the larger social issues behind the needs he or she is responding to in the community. Our hope is that our students will realize the impact of civic engagement and continue their involvement throughout their career."
Noon, UNC Hospitals
It's now after lunch, and the high schoolers have moved on to UNC Hospitals to visit the NC Jaycee Burn Center. James and fellow mentor Ben Furnas lead them through the hallways, telling them about the nature of the unit and what to expect. The students are excited about the prospect of seeing actual patients and nurses in person.
The day for the SON mentors is long, and answering question after question from these inquisitive teens can be a little overwhelming, but it is well worth the effort, they say.
"I hope that working with the students has helped them consider nursing as a career," says James. "I know after this experience that service activities will continue to be a part of my career and private life. I have found nothing more fulfilling than working for others in order to better the entire community."
Once the students are boarded up on the bus for their return to Cedar Ridge, Redman and Moore reflect on the effectiveness of the day and the new program. Their comments echo one another, saying that everyone benefitted from the visit and the effort that went into the months leading up to it.
"This project gives high school students a sense of hope that they can develop the skills and motivation to enroll in our University and become a nurse, and it provides nursing students the opportunity to model nursing as a career option while critiquing the social factors and structures that influence life circumstances among students from varied backgrounds," says Redman.
Moore nods her head in agreement. "This program offers a winwin situation for both their students and ours. We all grow as we learn more from, and about, each other."
Getting hands-on experience with Stan the Man was one of the highlights of the students' visit. Pictured here are (lr) Whitney Mitchell, Jasmine Torian, Ashley Brooks, Danielle Wilson and Taneesha Stephenson.
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Sustainable Solutions
Nursing Education for Golden LEAF Counties
"We believe this program has the potential to build a group of nurse practitioners that will earn higher salaries, remain in their communities to contribute to the workforce, stimulate the economic life of the area and serve as role models for others to follow."
DR. JEAN GOEPPINGER
It is August 2002 and the deadline for the Golden LEAF grant proposal is approaching. A team of School of Nursing faculty members, administrative leaders and advancement officers, led by Dr. Jean Goeppinger, a faculty member who holds joint appointments with the Schools of Nursing and Public Health, comb through the grant guidelines to prepare a response.
They submit "Sustainable Solutions to Economic Distress, Tobacco Dependence, Limited Health Care Access and the Nursing Shortage: Nursing Education for Golden LEAF Counties," one of five proposals submitted by UNC-Chapel Hill schools and departments. Soon, the SON team learns that there are 384 applicants statewide requesting more than $96 million.
making it the only UNC-Chapel Hill project to be funded by the organization. The grant will support a collaborative effort to prepare associate degree- and baccalaureate degreeeducated registered nurses in Alamance, Durham, Edgecombe, Granville, Halifax, Nash, Vance and Wilson counties to become nurse practitioners. A major goal of the grant is to make it easier for nurses to continue working, living and contributing in their home communities while they are students in the SON's RN to MSN and MSN programs.
the SON director of admissions and student services, says the prospective students with whom she has spoken are most interested in the family nurse practitioner (FNP) and adult nurse practitioner (ANP) programs. "They're telling me that they want to contribute to their communities where there is an insufficient supply of health-care providers or lack of access to providers for uninsured patients," she says. "They like this option because it will prepare them to fill a provider gap that is in their communities."
Golden LEAF, Inc., created by the State of North Carolina in 1999 to receive and distribute half the funds from the settlement of litigation against tobacco product manufacturers, plans to make about $15 million in awards in 2003 for programs benefitting areas in the state considered rural, economically challenged and tobacco-dependent. The SON waits.
In late November Golden LEAF announces its awards and the SON learns that it will receive $200,000,
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To offer the RN to MSN and MSN programs to the eight counties, the SON is partnering with area community college nursing programs and NC Area Health Education Centers to design new ways of delivering the programs. The grant also provides for scholarships that will cover the cost of tuition, books, a laptop computer, access to an Internet service provider and a small stipend.
As soon as the announcement of the grant is made, inquiries begin to come into the Office of Admissions and Student Services from prospective students living in the counties targeted for the program, five of which are designated as shortage areas for health professionals such as nurse practitioners. Kathy Moore,
Many of the people Moore has heard from have been working for more than 10 years and are at a point in their careers where they are ready to do something different. She says they're excited about the prospect of enrolling and feel the program is tailor-made to fit their needs.
Keeping highly skilled healthcare workers in the area will contribute to improved health-care access and a healthier workforce and economy for each of the counties, another goal of the grant, explains Goeppinger.
"We believe this program has the potential to build a group of nurse practitioners that will earn higher salaries, remain in their communities to contribute to the workforce, stimulate the economic
Photo by Steve Exum life of the area and serve as role models for others to follow," she says. "We see this as a unique opportunity to introduce change in the healthcare infrastructure and in the workforce of these communities."
When students graduate they will be prepared to contribute to their home communities as nurse practitioners in community and migrant health centers, public health departments, hospitals, schools, nursing homes and retirement communities, occupational health clinics and private medical practices, among a host of other options, she says.
By the end of February the School establishes an advisory board that will help shape the model that will work best for offering the necessary instruction. It is comprised of leaders from the SON and community college associate degree nursing programs and the AHECs located in the eight counties. Recruitment activities in those areas will include on-site briefing sessions and a direct mail brochure intended to inform all nurses about the program. Sessions will explain the curriculum, specialty options, part-time and full-time options, prerequisites, and application and admissions process. Applicants will be invited to Chapel Hill to meet faculty members and current students to begin valuable mentoring relationships. The School also will offer GRE preparation support in cooperation with the AHECs since this often seems to be one of the biggest barriers to the application process. "We want to help overcome this perceived obstacle and provide the needed support to help people succeed," says Moore.
As community-based health professionals, nurse practitioners have tremendous potential to help members of vulnerable populations make decisions about their health and their lives, explains Goeppinger. Nurse practitioners build community capacity, and as more people gain advanced health-care expertise in Golden LEAF counties, there will be more opportunity for entrepreneurial health services to develop, thereby potentially stimulating the local economy.
"The Golden LEAF priorities to create and retain jobs, provide job training and skills development and create a competitive workforce are all being addressed through this program," she says. "More nurses will be educated to take a participatory approach that involves working with the family and community to define their health problems and seek solutions."
For more information, please contact the Office of Admissions and Student Services at (919) 966-4260 or email@example.com.
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A Golden LEAF grant is enabling the SON to offer its RN to MSN and MSN programs in innovative ways to registered nurses in eight NC counties.
Just What the Nurse Manager Ordered
A New Leadership Program for Clinical Managers
One of the most critical positions in any nursing department today is that of front-line manager ... They are running small businesses when you consider the number of employees and the size of their budget.
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BY CAMI HARWOOD
All that hard work has finally paid off. You've just been promoted to nurse manager of your unit and you can see the rewards waiting in the wings—more respect, more money, more opportunities to show off those leadership skills. But wait—you haven't been in this kind of leadership position before. How do you balance your unit's evergrowing needs with limited resources? How do you juggle the needs of your patients with those of your staff? And how do you keep morale up in the face of increasing patient workloads? It's enough to make some nurse managers secondguess their decisions.
Continuing Education Department, Dr. Richard Redman, SON associate dean for academic affairs, and Dr. Cheryl Jones, an associate professor and MSN coordinator of the Health Care Systems option, heard the same message from chief nursing officers, members of the North Carolina Nurses Association and constituents of the North Carolina Hospital Association: clinical middle managers need more leadership training to prepare them for their role.
Leading figures in North Carolina's health-care industry know a lack of leadership experience or education is a problem for many of the state's clinical middle managers. Dr. Barbara Jo Foley, the director of the School of Nursing's
"One of the most critical positions in any nursing department today is that of front-line manager," explains Redman. "The responsibilities and demands in any nurse manager position today are incredible. Often these clinicians are promoted into their managerial positions with little formal education in management, yet they are running 'small businesses' when you consider the number of employees and the size of their budget."
Heeding the call, Foley, Redman and Jones worked with SON faculty members and staff in the CE Department to design the Certificate in Leadership program, a weeklong conference that centers on discussion of communication issues, ethical dilemmas, organizational culture issues, issues of leadership style and budget and quality care. A management project and follow-up two-day institute round out the program. Reallife issues and everyday dilemmas presented through stories and case studies form the basis of program.
participant fee includes instruction, faculty support for the required managerial project, a clinical management textbook, all handout materials and breakfast and lunch each day of the program.
The SON's initial offering of the program was held in September at Wayne Memorial Hospital in Goldsboro, North Carolina. Twentythree participants from WMH and three from Roanoke-Chowan Hospital attended and reported positive experiences overall. "The faculty incorporated real issues into the course teaching," and "I loved the ability to
be informal, flexible and able to discuss topics that were important to our facility," were some of the comments Foley received.
"I found the participants to be energized and engaged in the program," says Redman. "I think they were very impressed that their employer would support their participation and free them up for a week so they could acquire additional skills to become more effective and confident in their responsibilities. This program provides an excellent opportunity for health-care organizations to invest in their clinical managers and to help them acquire the skills necessary for carrying out their responsibilities."
The next certificate program will begin this spring at the William and Ida Friday Center for Continuing Education in Chapel Hill. The
According to Foley, the demand for the program continues to grow. "I expect the demand for this program to remain high for the next three to five years," she explains. "Upon completion of the program, our graduates will be able to describe successful leadership styles, identify key human resources management issues, describe basic cost and budgetary concepts, and identify elements that are necessary to create a climate of clinical excellence. Research has shown that the nurse manager is critical to creating the kind of work environment that is satisfying and rewarding for nurses, and that includes themselves."
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Miriam Greene, clinical lead for UNC Hospitals' Gynecology/ Gynecological Oncology unit, and nurse manager Nancy Cartledge work closely together to ensure smooth opteration of their unit.
A Partnership in Reducing Health Disparities
BY SUNNY SMITH NELSON
North Carolina's African Americans are more than two times as likely to die of diabetes, and its recent Hispanic immigrants are two to three times more likely to acquire the disease than the state's majority population.
Hispanics are more than three times as likely and African Americans are more than 10 times as likely to die from AIDS than non-Hispanic whites in North Carolina.
North Carolina's African Americans are more than four times as likely and Hispanics are nearly five times as likely to die due to homicide compared with the majority population.
Health disparity, both in the quality and availability of care, is a major concern for the nation's minority populations. Getting to the roots of the problem, from differences in the safety of neighborhoods and access to affordable health care to the lack of minority representation in health-care research, service and education, is a daunting yet crucial task.
The National Institute of Nursing Research and the National Center for Minority Health and Health Disparities, both branches of the National Institutes of Health, recently combined efforts to address
14 C A R O L I N A N U R S I N G
health disparities. The result: $15 million to fund health disparity research centers between partnered universities. Eight centers were established across the country, and among those universities chosen to host a center were Winston-Salem State University and North Carolina Central University, both historically black universities, and the University of North Carolina at Chapel Hill. The Center is appropriately named the Center for Innovation in Health Disparities Research.
Why one Center shared among three universities? According to Dr.
Chris McQuiston, an associate professor and Center director from UNC-Chapel Hill, they are stronger as a team than separate entities. "The partnership among the universities is one of the Center's greatest strengths," she explains. "We all bring a different type of expertise to the Center and will learn from and teach one another as we share the common vision of reducing health disparities and promoting social change."
McQuiston, who shares the title of Center director with Dr. Betty Dennis, chair of the Department of Nursing at NCCU, and Dr. Sylvia Flack, dean of the WSSU School of Health Sciences, says the Center was created to advance three primary goals: to increase the number of minority nurse researchers; develop programs of health disparities research; and improve the way researchers collaborate with and conduct research with minority populations and communities. This latter item is one of the most important aspects of the Center,
McQuiston believes.
"We want to build community capacity," she says. "We will be asking community members to identify their needs and, based upon their responses, match researchers and students with expertise to identified areas of need. We believe this philosophy is critical to developing the innovative methodologies that will be necessary to further the agenda of health disparity research." The Center's community partners to date include El Centro Hispano in Durham; El Centro Latino in Carrboro; University/ Community Wellness Center in Winston-Salem; and community groups in Bertie County, North Carolina.
"We are looking forward to a true partnership with our partner schools and communities," says McQuiston. "We are attempting to level the balance of power between partner schools and participants in research programs—particularly racial, ethnic and cultural minorities."
NINR/NCMHD-Funded Health Disparity Research Centers
University of North Carolina at Chapel Hill
University of Pennsylvania, Philadelphia
North Carolina Central University, Durham, NC
Winston-Salem State University
Johns Hopkins University, Baltimore, MD
North Carolina Agricultural and Technical State University, Greensboro, NC
University of California, San Francisco
University of Puerto Rico Medical Sciences, San Juan
University of Michigan, Ann Arbor
University of Texas Health Science Center, San Antonio
Hampton University, Hampton, VA
University of Texas, Austin New Mexico State University, Las Cruces
University of Washington, Seattle
University of Hawaii, Honolulu
Yale University, New Haven, CT Howard University, Washington, DC
S P R I N G 2 0 0 3 15
Drs. Betty Dennis, Chris McQuiston, Dean Linda Cronenwett and Dr. E. Joyce Roland celebrated the inauguration of the Center for Innovation in Health Disparities Research with a ceremony at NCCU in February.
Nurse Educators
How the SON is Helping Supply Meet Demand
BY SUNNY SMITH NELSON
According to a recent survey, faculty shortages were the reason for not accepting all qualified candidates into entry-level bacalaureate programs. That translates into 6,000 potential nurses turned away.
Sure, you've heard the facts about the nursing shortage: in 2000, according to a study by the US Department of Health and Human Services, the shortage of full-time equivalent registered nurses was estimated at 110,000, or six percent. By 2010, the shortage is expected to increase to 12 percent. And by 2020, if current trends continue, the shortage will reach an estimated high of 29 percent. Staggering statistics, to be sure. But what do you know about the nursing educator shortage?
nity colleges know the reality of the nursing shortage all too well. The shortage of nursing educators isn't just limited to nursing schools, either. Nurse administrators and educators in hospitals, rehabilitation centers, assisted living facilities and other health-care agencies also feel the effects of the nursing educator shortage. So how can the educational demands of complex academic and health-care environments and future generations of nurses be met in the face of this shortage?
"These innovative programs were created to challenge students to integrate knowledge and skills in nursing with education to understand how educational theory, curriculum development, evaluation strategies and the use of educational technology apply to nursing education," explains Jones. "We believe these options will prepare students to fill important educational roles in academic, staff development or patient care arenas."
According to a survey conducted by the American Association of Colleges of Nursing in 2000, more than one-third of nursing schools that responded to a poll said faculty shortages were the reason for not accepting all qualified candidates into entry-level baccalaureate programs. That translates into nearly 6,000 potential nurses turned away because there was no one there to teach them. Shrinking budgets, aging faculty and competition from the private sector for well-educated, highly skilled nurses are all contributing factors to this shortage.
Nursing faculty in North Carolina's universities and commu-
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Carolina's School of Nursing is trying to address this critical concern. Dr. Bonnie Angel, a SON clinical associate professor, Dr. Cheryl Jones, Health Care Systems coordinator and associate professor, and Dr. Barbara Jo Foley, director of Continuing Education and clinical associate professor, are spearheading an effort to craft three educational options to prepare future nursing faculty and help current nursing educators learn the best practices in teaching: the Health Care SystemsEducation Option in the master's program, the Health Care SystemsEducation Option in the post-master's program, and the Certificate in Nursing Education.
Both the Health Care Systems Area—Education master's and post-master's options provide indepth learning experiences about educational theory and practice relevant to nursing. "These options are designed to give nurses advanced knowledge and skills to succeed in educational leadership roles and prepare graduates to develop, implement and measure the impact of nursing educational innovations in academic and health-care organizations," says Jones.
Because the classes are offered through a combination of traditional classroom settings and web-enhanced technologies, they offer students flexibility in meeting learning and educational needs.
"Students who enroll in the master's degree program complete 40-credit hours of coursework and an intensive residency in a related educational or practice site with expert nurse educators," explains Jones. The post-master's option is targeted at nurses who already have a master's degree, and who are interested in gaining advanced knowledge and skills in nursing education to complement their previous degree. Post-master's students take 15-credit hours of coursework that also includes an intensive residency experience. Both master's and post-master's options are offered for students interested in part-time or full-time study.
update in teaching theory and strategies. It is comprised of two four-day institutes on basic and advanced principles of teaching, two focused teaching workshops and an education project. There are no prerequisites to meet prior to enrollment, and the program can be completed in one to two year's time. Nurses earn at least 76 CE credits for completing the program.
The Certificate in Nursing Education, first offered in the spring of 2002, is a continuing education program open to all registered nurses who want to learn more about nursing education or who desire an
"We believe the activities included in both institutes provide a rich learning environment that promotes interaction and collegiality among participants. The institutes are also arranged to be flexible so that working nurses can fit them into their schedules. The educational project provides an opportunity for participants to integrate program content with a real-life educational need that is relevant to their jobs and practice," explains Angel, the program coordinator. "We had a
Dr. Bonnie Angel, center, is the program leader for the Certificate in Nursing Education. The program is one of three options now available at the SON for nurses interested in learning the latest skills and knowledge in nursing education.
tremendous response in our initial offering of the program, and we encourage all registered nurses who desire to increase their teaching effectiveness in clinical or academic settings to apply for the next session."
Additional information is available for all of these opportunities. To learn more about the Master's or Post-master's Health Care Systems Area—Education Option, please contact the Office of Admissions and Student Services at (919) 966-4260 or firstname.lastname@example.org. Information may be viewed on the web at http://nursing.unc.edu/ degree/index.html.
For more information on the Certificate in Nursing Education continuing education program, please contact the Office of Continuing Education at (919) 9663638 or email@example.com. Information on the Certificate in Nursing Education is also available on the web at http://nursing.unc. edu/lifelong/nursing_ed_cert.html.
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"Uncertainty" Comes to South Korea
BY MERLE MISHEL, PHD, RN, FAAN AND MARCIA KAYE
audience, comprised of faculty members, doctoral students, nursing administrators and nurses in clinical practices, were for the most part familiar with the Mishel Uncertainty in Illness Theory, and a few had even performed their own research on uncertainty and the scales for measuring it. I found the research techniques and theory development of the faculty and students with whom I spoke to be very advanced.
Dr. Cho-Ja Kim, advisor to SON visiting scholar Dr. Hee Young Song, and Dr. Merle Mishel discussed the Mishel Uncertainty in Illness Theory before Mishel's presentation on the subject at Yonsei University.
The questions [asked at the conference} were very complex, thoughtful and proved that the doctoral students in this university are well trained in critical thinking and nursing theory.
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Each of the several hundred attendees brought a manual to my keynote speech entitled "Uncertainty in Illness: Theory, Intervention, and Application across All Age Groups." Following opening speeches by Dr. Moon Sook Jung, the director of nursing, Dr. Dal Ung Kim, the president of the university, and Dr. Byung-Chul Park, the dean of the medical school, I presented an explanation of the uncertainty theory and supporting research.
In the sessions that followed, I lectured on uncertainty in chronic illness and uncertainty nursing intervention. Janet presented "Uncertainty in Childhood Illness: Parent and Child Perspectives" and
Uncertainty: it's a feeling that has touched the lives of countless people who are suffering or have suffered from chronic illnesses. I've dedicated my career to researching how to help patients manage the uncertainty that arises from not knowing which treatment to pursue or not knowing how to handle their emotions in the face of a recurrence. I've been fortunate that my research on the topic has touched people around the world, so it was with pleasure I accepted an invitation last March to speak on uncertainty at the 2002 International Conference on Middle Range Nursing Theory at Kyunpook National University in Daegu, South Korea. Janet Stewart, a doctoral student whom I mentor, accompanied me on the journey and joined me in presenting talks at the conference.
My presentations covered managing uncertainty in chronic illness, the reconceptualization of the uncertainty theory and uncertainty management intervention. The
val going on in the city and since I had forgotten my sun hat, I browsed through the stalls looking for one. What did I find? A UNC baseball cap! No, I did not buy it. I bought something a little more native to the area. But it shows that even far from home UNC is never that far away!
Janet and I were fortunate enough to squeeze in some time to explore the city and the countryside of Daegu both before and after the conference and found it to be a most beautiful city. We went on a city bus tour, which took us to Dosun-Sa, a very beautiful temple, with at least 100 steps to climb to the top. Once at the temple, a threestory tall stone Buddha, singing monks and a mountain range in the background greeted us. It was a scene right out of Shangri-La. As luck would have it, there was a festi-
After our time in Daegu and our brief excursions, we traveled north toward Seoul, home of Yonsei University. Most of the cities in South Korea have universities that offer doctoral programs in nursing, and we traveled here to give another presentation on the Mishel Uncertainty in Illness Theory. Janet and I enjoyed meeting Dr. Cho-Ja Kim, advisor to our own SON visiting scholar Dr. Hee Young Song, and the approximately 85 faculty and doctoral students who attended the two-hour presentation. The students at this university also were well informed and asked insightful, thought-provoking questions.
As all good things must come to an end, so did our time in South Korea. Upon leaving, I was presented with a wonderful gift of two celadon tea mugs, a most kind gesture.
Through this international exchange I found that South Korea is a beautiful country with excellent universities and doctoral programs in nursing. The people are gracious and friendly. We enjoyed our time together while we mutually gained an even greater appreciation for the use of theory as a basis for research and an understanding of the process for developing theory. By sharing knowledge and incorporating it into one another's research, our universities grow. It is the proverbial "winwin" situation.
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Dr. Merle Mishel and PhD student Janet Stewart gave several presentations on managing uncertainty while visiting South Korea last spring.
"Nurses in Thailand are going through many of the same struggles that we did in the United States in developing nursing research."
DR. BARBARA GERMINO
A Powerful Exchange of Ideas
The UNC-Mahidol University Nursing Scholar Exchange Program
BY SARAH WOOD
In the summer of 2002, the schools of nursing at the University of North Carolina at Chapel Hill and Mahidol University in Bangkok, Thailand, initiated an international faculty and doctoral student exchange program. Dr. Barbara Germino, UNC-Chapel Hill Beerstecher Blackwell Professor in Thanatology, was the first SON faculty member to participate in the program. She spent three weeks in Thailand that summer, two of which were spent teaching an intense seminar-style version of a doctoral course on theories of management in chronic conditions.
ment of a doctoral nursing program featuring internationally trained, doctorally prepared faculty and more research opportunities and government funding, administrators at Mahidol wanted to develop a program that would further support and complement their efforts to develop nursing knowledge in Thailand.
of several schools of nursing, including UNC-Chapel Hill. Usually one or two students go to each school with which Mahidol has established an agreement. They are assigned a mentor to help them with their doctoral research and they audit classes that fit their interests. Two students from the international doctoral program in nursing at Mahidol University, Sermsri Santati and Pennapa Pakdewong, are attending the SON this academic year. There also is an option for Mahidol University nursing faculty to act as visiting scholars at UNC for up to a semester, as well as opportunities for postdoctoral work.
Mahidol University approached the SON a few years ago about developing an international exchange program to help them build their nursing research capabilities. With the recent establish-
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In the exchange program, a faculty member from the SON travels to Thailand to teach a particular course in his or her area of expertise each year. The faculty member is chosen based on the compatibility of their area of expertise and the courses that Mahidol University plans to offer. The next SON faculty member to participate will be Dr. Merle Mishel, who will travel to Thailand in February 2004.
Doctoral students from Mahidol University can elect to spend up to a year in the United States at any one
"Nurses in Thailand are going through many of the same struggles that we did in the United States in developing nursing research," explains Germino. "It is imperative to help each other as the world is becoming even smaller and more
Dr. Germino posed before a tile mural in one of the temple buildings of the Grand Palace in Bangkok. The Palace is actually a complex of palaces, temples and public buildings that represent hundreds of years of Thai history, culture and architecture.
intensely involved. This international program will prepare people who have familiarity with and knowledge of Western nursing research literature, as well as Asian research literature, which is growing."
health care for many women in Thailand, particularly for older women or women in rural areas, with less education or with less exposure to modern medicine, explains Germino.
Germino says it was interesting to find that Thailand has many of the same health concerns as the United States does, but their ways of addressing and treating these concerns can be unlike our own due to cultural differences. Heart disease, substance abuse and cancer are all major problems common to both the US and Thailand, but the specific kinds of cancer most prevalent are different. Cervical cancer, which can be treated effectively in its early stages in the United States due to correct diagnosis through pap smears, is the number one killer of women in Thailand. Pap smears are not a part of routine
Germino says she learned many valuable aspects about the culture of the Thai during her visit, as well as the feeling of community they have with other Asian countries. "Hospitality is a very important aspect of Thai culture, and the faculty, staff and students at Mahidol University School of Nursing were incredible hosts. They enabled me to see and learn a great deal about Thailand and its culture in a very short time and to gain an appreciation for the beauty and richness of Thai history and traditions." She was happy to learn that the Thai government has invested significantly in nursing research, and the "progress nursing science has made in the last ten years there is amazing." She hopes to return for a planned international conference on chronic illness, which will be co-hosted by Mahidol University and the SON in January 2006.
Chiang-Mai University in northern Thailand recently approached the SON about arranging a similar exchange program there. According to Dean Linda Cronenwett, that decision will be made this spring.
"Both institutions gain opportunities to enhance cross-cultural learning and understanding among our students and faculty through this type of program," says Cronenwett, "as well as new opportunities for collaborative research and teaching."
S P R I N G 2 0 0 3 21
Dear Alumni, Friends and Colleagues,
First of all, thank you for electing me to serve as president of our Alumni Association. I am honored, as I know I lead one of the most elite groups of alumni anywhere!
If you are unfamiliar with the Alumni Association, let me take a minute to introduce you to our Association. Our Alumni Association is composed of over 6000 alumni. By virtue of graduation, you become an alumni member. (It's that simple—no hidden inductions, fees or commitments!) A Board of Directors guides the Association. These 23 alumni represent the diversity of our School in
22 C A R O L I N A N U R S I N G
FROM THE ALUMNI ASSOCIATION
President
that they come from various ethnic backgrounds, different class years, different geographical areas (including outside our state) and different nursing backgrounds. In fact, perhaps the only thing that is common among the members of the Board of Directors is graduation from our School of Nursing!
group of future nurses or serve as a mentor to a current nursing student! But, we have many areas in which you can also serve as alumni, and we would love to hear from you regarding your interests and have your participation.
The mission of the Alumni Association is to "stimulate, nurture, and support positive interaction between the school and its alumni." One of the tasks of the Board of Directors is to see that this mission is accomplished. Through the many projects that are carried out by committees within the Association, we are able to accomplish the mission. You may read about these projects in Carolina Nursing. In this issue of Carolina Nursing, you will read about the annual meeting of the Alumni Association and the panel presentation on nursing given in November to the current junior class and the 14-month second-degree students. I doubt I am alone when I say that there is no greater feeling of accomplishment than to talk to a
Chances are there are many ways that you could contribute within the Alumni Association. We need input and direction from you—fellow alumni. I invite you to become active with the Alumni Association. If alumni are to be the voice of the School, then we need to hear from each of you! Please feel free to contact me, or the Alumni Association's executive director, Anne Webb, at either firstname.lastname@example.org or (919) 966-4619.
I look forward to hearing from you and hearing your ideas for our alma mater!
Tonya Rutherford Hemming, MSN, ANP, RN (1993, 2001)
ALUMNI NEWS
(LEFT) Melissa LeVine (BSN '77, MSN '81) checked Stan the Man's heartbeat in the Monroe Human Patient Simulator Laboratory for Critical Care Skills Development.
(BELOW) Olivia Griffin (BSN '67) investigated one of the SON's clinical labs.
Alumni Day 2002
On November 2, 2002, over 120 alumni, family and friends gathered at Carrington Hall for the annual School of Nursing Alumni Day celebration. The morning was filled with greeting friends and exploring new areas of the School. Alums got hands-on experience with the new human patient simulator and spent time touring the Biobehavioral Laboratory. They also enjoyed information sessions about the new building addition, continuing education opportunities and a display of historical SON memorabilia.
comed the group. Members of the Alumni Association Board Recognition Committee presented three outstanding alumni awards. Katherine Harper Kent (BSN '95) was presented with the Carrington Award for Community Service and two alums were co-recipients of the 2002 Alumni of the Year Award. Mae Massey Carroll (BSN '67) and Jacqueline Lytle Gonzalez (BSN '79) shared the honor. Senior Laura Correll spoke to the group on behalf of the current BSN students and proved that some aspects of being a nursing student never change.
Helen Bridges (BSN '79) posed with a one of the uniforms that SON students wore in the '60s. "Can you imagine wearing one of these nowadays?" she said.
Lunch was served on Carrington Lawn where Alumni Association President Tonya Rutherford Hemming (BSN '93, MSN '01) wel-
The BSN Class of '67 had the most members present as they celebrated their 35th class reunion, but the BSN Class of '62 and MSN Class of '87 also had strong reunion groups. After the lunchtime festivities most alumni headed to Kenan Stadium for football and a continuation of their Carolina memories.
Mark your calendars now for the next Alumni Day celebration on October 18, 2003!
S P R I N G 2 0 0 3 23
Classes of '62, '67 and '87 Celebrate with Reunions
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Alumni Day is a time for all alumni to come back to the SON and enjoy fun and fellowship together, but there is something really special about sharing it all with former class members. This year several classes did just that as they built reunions around alumni weekend.
MSN Class of '87 members Deborah Betts and Gary Crotty said they had a wonderful time discussing SON memories with Gary's wife, Pat, at their 15th reunion.
Classmates from the MSN Class of '87 celebrated their 15-year reunion in style as they caught up with one another while dining at the Weathervane Cafe. Classmate Gary Crotty has published a newsletter since the group graduated, which keeps them informed about each other's lives and helps them stay in touch. Copies of the class newsletters printed over the past 15 years were distributed to those in attendance.
Thirty-five years had passed since members of the BSN Class of '67 studied at the SON, but they fit right in during alumni weekend. The group met for dinner at the Sheraton Hotel on Friday night where they first reunited for the weekend. Dean Linda Cronenwett gave the class an update on the state of the School and they enjoyed a great party. Saturday they attended the school's Alumni Day celebration and proudly had the most class
members present at the gathering. That evening they enjoyed a casual dinner together and continued to share news and memories.
The BSN Class of '62 had a great turnout for their 40th reunion. They began the weekend with a gathering with Dean Cronenwett at the Radisson Governor's Inn on Friday evening. Saturday was spent on campus at the SON festivities and visiting the old hangout, the Rathskeller. Saturday evening the entire group gathered for dinner at the Governor's Inn. They enjoyed not only the fun of catching up on new events, but also discussing their nursing school escapades.
Organizer Anne Doxey Turner said, "The weekend was enjoyed by all. Mark your calendars— we want 100% attendance in five years!"
Alumni Career Panel Shares Working Experiences, Advice with BSN Students
"What is it really like to be a new grad in nursing?" This and many other questions were answered honestly and with much humor by a panel of Alumni Association Board members who spoke to junior and 14-month option BSN students this fall. The career panel was a way to bring the practical knowledge and experience of School of Nursing alumni to current nursing students, but everyone learned something from the lively and informative exchange.
Panelists Derek Chrisco (BSN '91), Meg Gambrell (BSN '01), Mary Holtschneider (BSN '95), Zelda Moore (BSN '78), Courtney Rawls (BSN '01) and Tonya Rutherford Hemming (BSN '93, MSN '01) shared their diverse perspectives based on their varying years of experience and areas of specialty. However, they all had one thing in common with each other and the audience: starting out as a Carolina nursing student.
The idea, which was eagerly embraced by the students, is a result of the Alumni Association's enhanced goal of serving the student population through education and mentoring. "The career panel was a wonderful experience for both students and Board members," says Hemming.
A future career panel is being planned with different alumni representatives. If you would like to share your experiences as part of a future panel, please contact the Alumni Association at email@example.com or (919) 966-4619.
Meg Gambrell (BSN '01), Derek Chrisco (BSN '91) and Courtney Rawls (BSN '01) enjoyed sharing their perspectives as nurses working in diverse fields with students at the Alumni Career Panel.
S P R I N G 2 0 0 3 25
The Class of '67 boasted the largest reunion turnout for Alumni Day. Pictured here are (l-r) Betty Jones, Vivian Varner, Pay Haynes, Nancy Crutchfield, Cherry Howe, Margaret Raynor, Carole Wilmot, Susie Tonski, Barbara Jo Foley and Olivia Griffin.
The University of North Carolina at Chapel Hill School of Nursing Alumni Association Board of Directors
Executive Committee:
Tonya Rutherford Hemming (BSN '93, MSN '01) President
BJ Lee Simpson (BSN '93, MSN '97) President-Elect
Susan King-Zeller (BSN '95) Treasurer
Meg Gambrell (BSN '01) Secretary
Carolyn Graham (PhD '97) Past President
Bonnie Angel (BSN '79) Faculty Representative
Bret Temming (BSN '03) Undergraduate Representative
At-Large Members:
Prentiss Anne Allen (BSN '67)
Mary Lou Booth (BSN '57)
Derek Chrisco (BSN '91)
Abby Ensign (BSN '00)
Mary Holtschneider (BSN '95)
Michael Joyner (MSN '00)
Geraldine Laport (BSN '55)
Heather Mackey (MSN '01)
Jo-Anne T. Martin (BSN '69)
Susan Minnix (BSN '95)
Becky Olson (BSN '74)
Robin Perry (BSN '96)
Courtney Rawls (BSN '01)
Greg Simpson (MSN '01)
Alyshia Smith (BSN '89)
Carole Barrow Warren (BSN '71) Jo Lentz Williams (BSN '69)
ALUMNI NEWS
Alumni Association Board Holds Annual Meeting
The SON Alumni Association Board of Directors celebrated their achievements and made plans for the future at their annual board meeting on November 1, 2002. This group of Carolina nurses from diverse backgrounds, class years and specialties enjoyed a lively, daylong discussion about the SON and the importance of its alumni. Dean Linda Cronenwett, Assistant Dean Maggie Miller and Advancement Director Norma Hawthorne worked with the Board in the morning and gathered feedback from these alumni representatives. One of the SON's most recent alumni, Ben Roberts, also spoke to the group about the new 14-month option.
The Board had an active year in 2002 under a new structure of working subcommittees. They implemented an alumni survey, ran strong recognition and scholarship programs and formed partnerships with student groups through special events. This year the focus will be on offering continuing education, reaching out to alumni in different geographic areas and mentoring students. Recognizing Carolina nurses for their accomplishments and encouraging participation from all alumni are also goals for 2003. The Board will support the campaign for the new building addition by purchasing and naming a brick for the brick walkway.
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President Tonya Rutherford Hemming (BSN '93, MSN '01)was installed as was President-Elect BJ Lee Simpson (BSN '93, MSN '97) and Secretary Meg Gambrell (BSN '01). Seven new board members were installed and outgoing members Helen Bridges (BSN '79), Zelda Moore (BSN '78) and Melanie Bunn (BSN '83) were recognized for their service. Carolyn Graham (PhD '97) was given special recognition for her role as past president and remains on the board for one year as past president.
The Board constantly seeks input and participation from all alumni. Please contact Executive Director Anne Webb at (919) 966-4619 or firstname.lastname@example.org to get involved.
Dean Linda Cronenwett and Dr. Marcia Van Riper enjoyed sharing the latest information on genetics research and the state of the school at a Charlotte CE event. Pictured here are (first row, l-r) Jane Mayes Link (BSN '74), Brenda Gail Summers (BSN '74, MSN '81), Amy Walters Courson (BSN '98), Tonya Rutherford Hemming (BSN '93, MSN '01) and Alene Fuller Cooley (BSN '70); (second row, l-r) Danita Winchester Terrell (BSN '75), Glenda Sue Wooten (BSN '82), Dr. Van Riper and Dean Cronenwett.
Alumni Association Hosts Regional CE Events
In addition to hosting social and networking events, the SON Alumni Association Board of Directors is providing personal and professional development opportunities for alumni. A current focus of this effort is continuing education. The Association worked this spring to create top-notch programs at a low cost for several groups of SON alums in the communities where they live and work.
of March. Dr. Marcia Van Riper, an associate professor at the SON, presented "Genetics and Nursing in the 21st Century." Following the education session, participants enjoyed brunch and an update on the School from Dean Linda Cronenwett. Not only did the event offer 1.5 contact hours of ANCC credit at a special rate, it also gave local alumni the opportunity to meet one another and learn together.
The first of these programs was held in Charlotte during the month
Charlotte alum Glenda Wooten (BSN '82) helped arrange logistics for the event, which was held in the auditorium of Carolinas Medical Center. Another regional continuing education session, featuring a legal issues update, is planned for the Winston-Salem area on July 12. Local alumnae Heather Thompson Mackey (MSN '01) and Pat Dodson Hayes (BSN '67) are helping to plan the day. If you would like more information on this event, please contact Anne Webb at (919) 9664619 or email@example.com.
Alumni Association Awards Scholarships
As part of its plan for student outreach, the Alumni Association Board again awarded scholarships for the spring semester to several deserving nursing students. Recipients included Master's student Andrea Biondi, seniors Debra Davis and Jewel Scott and junior Mary Glenn Smith. Members of the Board's scholarship committee reviewed nearly 30 strong applications for the four awards. Dean Cronenwett and Alumni Association President Tonya Rutherford Hemming honored the recipients at a celebration luncheon on February 20. Both agreed that these outstanding students will bring strong talents to the nursing profession.
Alumni Association President Tonya Rutherford Hemming and Dean Linda Cronenwett offered their congratulations to scholarship award winners (lr) Jewel Scott, Mary Glenn Smith, Andrea Biondi and Debra Davis at a celebratory luncheon this spring.
S P R I N G 2 0 0 3 27
SON Alums Keep in Touch through Regional Events
Alums are strengthening school ties and getting the most out of their Carolina nursing connections through a new regional alumni program. The program was put in place to draw together alums in various communities and bring a bit of the SON to them. Three groups have formed in North Carolina and spent time with each other and Dean Linda Cronenwett this past fall. The participants enjoyed meeting other alums and comparing notes on career opportunities, health-care networks and even social and family life. Greensboro, Southern Pines and Wilmington were all places where regional events took place this fall. In Greensboro, Bonnie Fields
(BSN '80), Beth Jaekle (BSN '80, MSN '85) and Nancy Caddy (BSN '71) were alumni organizers for an afternoon reception in October. Area alumna Ann McPhaul (BSN '65) provided a location for the meeting. In addition to getting to know each other, the group heard an update on School events and had a lively discussion about nursing education and the role of the SON in the state. "The event gave many of us the opportunity to reconnect with old friends, but perhaps even more importantly it gave us the opportunity to make new ones," says Fields. "The breadth and depth of our alumni network is quite amazing and these events give us the opportunity to link and get to know one
28 C A R O L I N A N U R S I N G
another in our local area."
Southern Pines-area alumni enjoyed lunch with Dean Cronenwett in September. Cheryl Banks Bachelor (BSN '79) helped organize this gathering of alums from various classes.
A Wilmington-area committee formed in 2001 and has been very active. Headed by alum and faculty member Betty Woodard (MSN '87), these SON graduates have hosted two events so far and hope to continue getting together. Committee members are co-chair Donna Bost (BSN '76), Tyler Baucom (BSN '96), Beth Chadwick (BSN '81), Denise Darden (BSN '77), and Robin Harper (BSN '86). Together they represent a wide range of nursing knowledge and also enjoy having fun with fellow UNC grads. The committee put together one event just to get to know younger alumni in the area who recently started careers and can benefit from the advice of other Carolina nurses.
Bringing the School out to alumni is also a goal of this year's Alumni Association Board of Directors. "Gathering feedback from alumni who are doing the work that we train our students to do is invaluable to the School," says Anne Webb, Alumni Association director. "Getting together with fellow alumni seems to be a real benefit for our graduates and is always lots of fun." If you are interested in helping form a group in your area, please contact Webb at firstname.lastname@example.org or (919) 966-4619.
Noteworthy Nurses:
The 2002 Alumni of the Year
BY NATASHA WORTHINGTON
SERVICE. COMPASSION. EXCELLENCE. All words that describe nurses who on a daily basis care for patients who span the human diaspora of age, race, creed and color. The School of Nursing recently honored three of its most outstanding nursing alums at the 2002 Alumni Day celebration with awards that recognized their significant contributions to the profession.
Mae Massey Carroll, BSN '67, MSN, RN
Jacqueline Lytle Gonzalez, BSN '79, MSN, CNAA, RN
Katharine Harper Kent, BSN '95, OCN, RN
Carroll is co-recipient of the 2002 Alumna of the Year Award, an award given to SON graduates known for their outstanding service in the area of nursing, either through scholarly efforts, promotion of health care or service to the field of nursing.
Carroll works as a psychiatric clinical specialist at the Veterans Affairs Medical Center in Salisbury, North Carolina, where she developed the first post-traumatic stress disorder outpatient clinic for veterans. She also developed STOP (Salisbury Transitional Outpatient Program), a program that allows homeless veterans to participate in a wellness program at the center during the day and reside at the local Rowan Helping Ministries during the night while awaiting admission into an appropriate rehab or treatment program.
Carroll earned recognition as the first African American to teach nursing at the Louise Harkey School of Nursing at Cabarrus College of Health Sciences in Concord, North Carolina, and the Decker School of Nursing at Binghamton University in Binghamton, New York. She also broke ground as the first African American female to serve as commander at the JC Price American Legion, Post 107, in Salisbury, North Carolina, where she introduced health education for Legionnaires.
Gonzalez is the other recipient of the 2002 Alumna of the Year Award. She has served as vice president of patient care services and chief nursing officer at Miami Children's Hospital in Miami, Florida, since 1998.
After graduating from Carolina in 1979, she began her career at Charlotte Memorial Hospital (now Carolinas Medical Center) in Charlotte, North Carolina, as a staff nurse. In 1980 she moved to Miami to work as a staff nurse at Miami Children's Hospital, where she has held several nursing positions since then, including assistant head nurse, head nurse, nursing supervisor, associate director of nursing and director of operations.
Gonzalez is active in her local nursing community, having served as adjunct and guest faculty at Florida International University School of Nursing, University of Miami School of Nursing and Florida Atlantic University College of Nursing. She works with a number of Miami-area health-care councils and organizations, including Parent to Parent, an organization devoted to the support of families of children with disabilities, and is a member of several nursing organizations, including the National Association of Children's Hospitals, American Organization of Nurse Executives and the Nursing Shortage Consortium of South Florida.
Kent is the recipient of the 2002 Carrington Award for Exceptional Community Service, given to an individual who has given remarkable service to the community, state or other beneficiary organizations (though not necessarily through direct nursing activity) and who has reflected favorably on the SON through this remarkable service.
Kent started her nursing career as an oncology nurse at Frye Regional Medical Center in Hickory, North Carolina. Not long afterward, she was hired as a breast health nurse at the Center for Breast Health at Caldwell Memorial Hospital in Lenoir, North Carolina.
In her capacity as a breast health nurse, she performs clinical breast examinations, coordinates breast health outreach programs, writes grants for breast health awareness programs and counsels breast cancer patients and their families. She also works as a volunteer with the Susan G. Komen Breast Cancer Foundation and helped start a local affiliate of the foundation in the North Carolina foothills. She currently serves on the Dallas Komen Foundation's National Advocate Grant Review Committee.
If you know of any noteworthy nursing alumni who deserve recognition, please fill out and return the alumni award nomination form found in the back of this magazine.
S P R I N G 2 0 0 3 29
Mae Massey Carroll thanked the Alumni Association and her fellow alums for the day's honor.
Katharine Kent received a corsage from Alumni Affairs Director Anne Webb to note her special place at the SON on Alumni Day.
The University of North Carolina at Chapel Hill School of Nursing Foundation, Inc. Board of Directors
Executive Committee: Margaret Ferguson Raynor (BSN '67) President
Franklin Clark, III Past President
Nancy Scott Fuller Vice President
Karen Coley Harrison (BSN '65) Secretary
Greer Cawood
Treasurer
At-Large Members:
Evelyn Scott Alexander (BSN '56)
Denise Taylor Darden (BSN '77)
Barbara Jo Foley (BSN '67)
Terry Graedon
Pamela Jameson (BSN '76)
Steve Martin
Joyce Page
Gary Park
Mary "Bebe" Rose (BSN '64)
Gwen Russell
Janet Askew Sipple (MSN '70)
Carolyn Underwood (BSN '79)
Honorary Emeritus Members:
Audrey Booth (MSN '57)
Frances Fox Hill
Carolyn London (BSN '56)
Thomas Norris, Jr.
Mary Ragsdale
The Generosity of Friends
Dear Alumni and Friends,
This was one of those extraordinary days when the generosity and thoughtfulness of alumni, friends and faculty gives me pause. I have just opened four envelopes. They were postmarked from Salisbury, North Carolina, Richmond, Virginia, Rochester, New York, and Milwaukee, Wisconsin. One of them contained five one-dollar bills with a note to apply the gift wherever there was greatest need and the cheer, "Go Heels." This gift was as touching as the other gifts I opened from family and friends who wished to honor the memory of a wonderful alumna and her mother, both of whom died of cancer.
she and her husband had just completed their wills and it is their intention to leave a major (and anonymous) bequest to the School to use for scholarships. She plans to complete a planned gift information sheet so that we can document this and count it toward our campaign goal. During lunch today Dean Cronenwett and I met with a group of Raleigh alumni from the classes of '59, '70, '73 and '74. Each woman told stories about how her nursing education and UNC-Chapel Hill experience was a constant thread of dependability in their lives and a source of support as they built upon personal and professional successes.
express this in the work you do and the many ways you give back to us. We have now reached 42% of our $15 million campaign goal, and have brought over $6 million in private gifts to the School of Nursing. This is accomplished as much by small donations as it is by large gifts. We still have some distance to go. Yet, I am reassured by your love for Carolina nursing and know that because of this, we will fully fund our new building and establish the scholarships and professorships we need to create our future.
With heartfelt thanks,
Earlier, a highly regarded faculty member came into my office, closed the door, sat down and confided that
You constantly remind me of your compassion and your values that are demonstrated by your desire to give to others and create a future for those who come after you. You
Norma Singleton Hawthorne, MS Director of Advancement
SON Foundation Board Update
During an all-day planning session called by President Margaret Raynor (BSN '67) on November 14, 2002, the Board of Directors of the School of Nursing Foundation, Inc., met to establish a new working committee structure and identify strategic goals that would help the School reach its $15 million campaign goal.
Carolyn Underwood (BSN '79) facilitated the fall 2002 Foundation Board meeting with group exercises and brainstorming sessions.
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monies to build early loyalty.
The meeting was facilitated by Carolyn Underwood (BSN '79), president and CEO of Artecel Sciences, Inc., a Research Triangle Park biotechnology company, who led individual and group visioning exercises that explored ways to grow major gifts and bequests, develop corporate and foundation contacts and create stronger ties to alumni, students and friends of the School.
By the end of the day, the working committees had identified nine major goals that included holding a gala event in spring 2003, identifying family foundations that could support the School and supporting student recognition cere-
Dr. Janet Askew Sipple (MSN '70) will chair the Major Gifts Committee and plans to co-host a fall 2004 reception for alumni and friends in the eastern part of the state with Paul Chused. To support the Campaign, Denise Taylor Darden (BSN '77) plans to entertain Wilmington alumni and friends in her home this summer. President Raynor will further explore efforts to link students more closely with Foundation Board goals with new board member Gwen Russell, parent of Kim Russell (BSN '02).
The Board also welcomed new member Joyce Page of Durham. She joined directors Evelyn Alexander (BSN '56), Greer Cawood, Dr. Franklin Clark III, Dr. Barbara Jo Foley (BSN '67), Nancy Scott Fuller, Dr. Terry Graedon, Karen Coley Harrison (BSN '65), Pam Jameson (BSN '76), Gary Park and Bebe Rose (BSN '64) in the lively discussion that established the action plan for the immediate future.
Class Gifts to Carolina First: Leveraging the Power of Individuals
When Bette Davis (BSN '55) called her classmates to urge them to support a class gift that would name the Alumni Welcome Center Reception Room in their honor, she hoped to get 100% participation. And, thanks to the generous support of her classmates, she did. On November 9, many of the first to graduate from the School of Nursing reunited at Aurora Restaurant in Chapel Hill to celebrate a collective $60,000 gift to the building fund. Joy Burton, Gwen Butler, Martha Cline, Winnie Cotton, Bette Davis, Patsy Johnson, Geri Laport, Mary Leggette, Janet Littlejohn, Gloria Peele, Ramelle Starnes and Louise Thomas were all in attendance. Those who made individual gifts or pledges of $5,000 or more will receive added recognition on the Wall of Honor plaque in the entry lobby of the new building. Ed Starnes (AB '56), painter and husband of Ramelle Starnes, is creating a commemorative watercolor to hang in the reception room when the new building is dedicated in 2005, also the 50th reunion of the class.
scholarship or a room in the new building in honor of the class. They plan to survey classmates about preferences soon.
Some of the most recent graduates are also getting involved. Courtney Rawls and Meg Gambrell have launched a BSN Class of '01 effort to support the brick campaign and have their class well represented on the paved walkway alongside the new building addition.
Classmates Karen Coley Harrison and Helen Wilson (BSN '65), along with husbands David Harrison and Ronny Wilson, gathered before the UNC v. UConn basketball game to begin exploring a Class of '65 gift to the Carolina First Campaign. Their hope is to present it at their 2005 reunion. They discussed options, including naming an endowed
The Class of '69 also recently kicked off an initiative to support the new building. At this time, they are looking at several possible rooms for the class to name. Jo Lentz Williams and Jo-Anne Trowbridge Martin are leading the effort.
Class of '93 members Tonya Rutherford Hemming, BJ Lee Simpson and Jennifer Christian Wilkins are organizing a class effort to coincide with their upcoming 10th reunion. They are planning a collective gift to the building fund and will present it at Alumni Day this fall.
These group gifts will add to those made by the Class of '56 ($350,000) and the Faculty Emeriti ($140,000).
If you'd like to know more about organizing a steering committee of your classmates for a class gift, please contact Norma Hawthorne or Anne Webb at (919) 966-4619 or email@example.com.
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Class Gift Notes
A "class gift" represents the sum of individual gifts made by each classmate to the building fund. This collective gift can have a substantial positive impact on the future of the SON. If an average individual gift or pledge is $25,000 to $50,000, a class gift could generate enough collective impact to name, for example, the dean's suite ($200,000) or the undergraduate computer laboratory ($400,000) in honor of a class.
A significant gift from an individual who contributes toward the class gift will also have a naming opportunity in the building.
We are unable to count bequests toward a class gift, as they cannot be used for capital building funds.
All gifts over $5,000 will be recognized on the Wall of Honor.
All gifts of whatever size are valued and welcomed.
Planned Giving: For Something You Believe In
Making a bequest to the School of Nursing testifies to your concern for the welfare of others and for your commitment to the future of the School, its faculty and students. By informing the University of your intention to benefit Carolina, you give us the opportunity to thank you now for your generosity. For some, the combination of a campaign gift or pledge and a deferred gift can result in significant financial advantages.
* You do not need to send us a copy of your will to document a bequest.
* An easy, one-page deferred giving information sheet is the only necessary paperwork.
* The University understands that people's intentions may change and they may want to make later modifications. A documented bequest is considered a revocable gift to the University.
* All information is confidential and anonymous unless you tell us otherwise.
* Documented bequests count toward the Carolina First Campaign.
* This is a VERY important way you can help us reach our $15 million goal.
Please visit www.carolinafirst.unc.edu\ giftplanning to learn more.
DEVELOPMENT NEWS
The George Livas Leadership Award
In March and June of each year the faculty who teach undergraduate BSN students are asked to submit names of two graduating seniors, one from the 14month option and one from the 24month option, who they feel best exemplify nursing leadership qualities. Ballots are prepared, faculty votes are tallied and the dean honors the recipients at a special ceremony or during commencement.
Turn back the clock. 1956. A group of senior BSN classmates gather daily at the Carolina Coffee Shop where owner George Livas makes a place for them at the front window alongside Chapel Hill's civic and business leaders. Nursing students are among the first women on campus, and Mr. Livas wants them to feel comfortable. Sometimes, when they are short on change, he treats them to lunch or a soda and offers help to solve a particularly perplexing mathematical problem. They make him an honorary class member as they prepare to graduate. His warmth and good nature are supportive and encouraging.
When Mr. Livas died suddenly that year, still a relatively young man, the women wanted to pay special tribute to his memory. They established the George Livas Leadership Award and solicited contributions from some of Franklin Street's notables. A small fund was established and over the years it has grown
George Livas Leadership Award recipients from the past 10 years:
32 C A R O L I N A N U R S I N G
modestly, with the interest accrued each year enough to make two small awards.
When Mrs. Sophia Livas came to visit Dean Linda Cronenwett in October 2002 with daughter Elaini Bingham, she recounted the era with Carolyn London (BSN '56) and Jeff Dudley (BSN '02), last year's 14-month option Livas Award recipient. Jeff, who is now working at UNC Hospitals, says the award is especially meaningful to him because it represents special recognition by the faculty and is a long-standing tradition in the School.
Carolyn London remembered how classmates Landy Fox, Jess Carraway Heizer, Coolie Monroe, Jane Sox Monroe and she were accepted by Mr. Livas and what it was like to be a student at that time. Their recollections have inspired the SON to look for ways to build the Livas Award fund. If you are interested in contributing to this special fund, please contact Norma Hawthorne at (919) 9664619 or firstname.lastname@example.org.
1999: Jonathon Rector
Gwen Dorminey Sherwood
(MSN) was inducted into the American Academy of Nursing in 2001 and became president-elect of the International Association for Human Caring. She is a professor and associate dean for practice and outreach at the University of TexasHouston School of Nursing.
1973
Maryann Patterson Ingersoll
(BSN) has returned to live in the United States after three years in Kuwait, though her husband still travels back and forth for business. She keeps busy with volunteer work at Houston Children's Hospital, KUHF Radio and the Houston Museum of Fine Arts. She is a member of the Holistic Nursing Association and hopes to certify in aromatherapy soon.
Suzanne Limparis Ward(BSN) is now a licensed and nationally certified massage therapist in Maryland. She is also a part-time costume designer.
1974
Carol Zimmerman Garrison (BSN) began her tenure as president of the University of Alabama at Birmingham September 1, 2002. She completed her MSN from UAB and her PhD in Epidemiology from the University of North Carolina in 1982.
1983
Mary Maddrey Chandler (BSN) is in the post-masters FNP program at the University of Virginia and looks forward to her graduation in May 2003. She completed her MSN at UVA in 1992. She is married to the Rev. Dr. John Chandler (BA '83). They have two sons, Preston and Roland.
1984
Nancy Walters Harman (BSN) marked seven years at Womack Army Medical Center in Ft. Bragg, North Carolina, in June 2002 as a staff nurse midwife. In August, she opened Birthwise of Central North Carolina in Chatham County, which provides home birth services and well woman care. She stays busy growing organic vegetables and herbs on her family farm, volunteering with the Chatham County Social Health Council, directing the choir at her church and raising her three teenage sons.
1985
Cynthia Cumbo Klaess (BSN) received certification in case management. She now works as a cardiovascular surgery case manager at Rex Healthcare in Raleigh, North Carolina.
1987
Gary Crotty (BSN '84, MSN '87) finished his term as president and past president of the Tennessee Nurses Association.
1994
Cherie Smith-Miller (BSN) presented "Why Are We Talking About Hearing Loss? I Have Lives To Save!" at the 26th Annual Congress and Nursing Symposium of the Society of Otorhinolaryngology and Head-Neck Nurses held in San Diego, California, September 20-24, 2002.
1996
Susan Kyle Foster (BSN) gave birth to Megan Kyle Foster in December 2001. Megan's older sister, Emily Kathryn Foster, is three years old.
1997
Ginger Baity Ervin (BSN) completed her MSN at UNC-Charlotte and is now working as a family nurse practitioner in an internal medicine practice.
Yvette M. Pype Gramins (BSN) moved back to North Carolina after living overseas with her husband, who is a surgeon in the US Navy, and works at Presbyterian Hospital in Charlotte.
BJ Lee Simpson (BSN '93, MSN '97) was awarded the National Association of Nurse Practitioners in Women's Health Nurse Practitioner of the Year Award during the 2002 NPWH conference in Scottsdale, Arizona. The award honors her dedicated service promoting women's health care and issues in rural North Carolina.
Julie M. Schneider (BSN) has been promoted to manager of Transplant Services at Memorial Hermann Hospital in Houston, Texas.
Niki Peaden Speri (BSN) and husband Bill (BSBA '97) became the proud parents of daughter Taylor Daune in August 2001. She also has been promoted to operating room manager at NC Specialty Hospital in Durham, NC.
S P R I N G 2 0 0 3 33
For more information on School events, contact the Office of Advancement.
E-mail: email@example.com
Phone: (919) 966-4619
FAX: (919) 843-8241 http://nursing.unc.edu
For more information or to register for a Continuing Education program, contact the School of Nursing Office of Continuing Education.
E-mail: firstname.lastname@example.org
Phone: (919) 966-3638
FAX: (919) 966-0870
http://nursing.unc.edu/ lifelong/index.html
Calendar of Events
Nurse Practitioner Review Course
June 3–5, 2003
History Taking and Physical Examination: Sharpening Your Skills
June 6, 13 and 20, 2003
Critical Teaching Strategies for Critical Thinking
June 7, 2003
■ Nursing Exploration Week
June 22 – June 27, 2003
July
1st Annual Advanced Teaching Excellence Institute: Advanced Principles of Teaching in Nursing
July 29 – August 1, 2003
August
■ 14-month Second Degree BSN Option Commencement
August 10, 2003
Writing for Publication with Elizabeth Tornquist
August 22, 2003
■ First Day of Classes
August 26, 2003
Legal Update
August 29, 2003
September
Career Opportunities in Clinical Research: Understanding the Roles & Responsibilities of CRA and CRC
September 2 – November 18, 2003
Strokes: Preventing & Managing "Brain Attacks"
September 4, 2003
HIV Update 2003: Caring for the HIV Patient
September 11, 2003
Teaching using Stories
September 13, 2003
The Cutting Edge: Balancing Your Life
September 18 – 19, 2003
Diabetes Management in the Hospital Setting
September 30, 2003
■ Distinguishes School of Nursing events from Continuing Education events
34 C A R O L I N A N U R S I N G
Please send your survey and news to:
MAKE YOUR OPINIONCount
Associate Director of Alumni Affairs, School of Nursing UNC-Chapel Hill, Carrington Hall, CB #7460 Chapel Hill, NC 27599-7460 Fax: (919) 843-8241 E-mail: email@example.com
We want to know how we can best serve you, the nearly 6,000 distinguished alumni who are an important part of the School of Nursing family. Please take a moment to fill out and return this short survey to make your opinion count.
WHAT’S NEW With You?
Keeping up with each other is hard to do these days. Please let Carolina Nursing share your news! Whether it’s a new job, a new address, or a special accomplishment, we’ll be happy to get the word out for you.
Name (please include maiden name):
Class Year: Degree:
❑ My address has changed. My new address is:
News:
1. What kinds of alumni programs interest you?
Please rank each of the following on a scale of 1–5.
1 = very interesting 2 = somewhat interesting 3 = neutral 4 = not so interesting 5 = not interesting at all
Academic/Continuing Education Programs 1 2 3 4 5
Regional Programs
1 2 3 4 5
Athletic Events
1 2 3 4 5
Other: ________________________ 1 2 3 4 5
2. What types of articles do you most enjoy reading in Carolina Nursing magazine? Please rank each of the following on a scale of 1–5.
1 = very interesting 2 = somewhat interesting 3 = neutral 4 = not so interesting 5 = not interesting at all
Stories about alumni
1 2 3 4 5
Stories about the school and faculty
1 2 3 4 5
Student features
1 2 3 4 5
Current issues in nursing
1 2 3 4 5
Other: ________________________ 1 2 3 4 5
3. Would you like to plan a reunion for your class?
❑ No❑ Yes
4. Are you interested in participating on the Alumni Board?
❑ No❑ Yes
5. Are you interested in helping to plan or host an alumni activity?
❑ No
❑ Yes, I'd like to help with:_________________________________________________________
6. What can your Alumni Association do to better serve you?:
______________________________________________________________________________ ______________________________________________________________________________
Name (please include maiden name):_____________________________Class Year: ____ Degree:____________
S P R I N G 2 0 0 3 35
Please send your nominations to:
Associate Director of Alumni Affairs, School of Nursing UNC-Chapel Hill, Carrington Hall, CB #7460
Chapel Hill, NC 27599-7460
Fax: (919) 843-8241 E-mail: firstname.lastname@example.org
For additional info, contact Anne Webb at (919) 966-4619
AlumniAward NOMINATIONS
The School of Nursing is accepting nominations for awards to be presented each year during Alumni Day. Please nominate that colleague or friend who has meant much to the profession and to the School of Nursing. Additional supporting material may be attached to this nomination form if necessary. A member of the awards committee may contact you for additional information.
The ALUMNA/US OF THE YEAR AWARD is awarded to the UNC School of Nursing graduate who is known for distinction in nursing through scholarly endeavors, promotion of health care or professional service.
Name of Nominee:
Class:
Reasons why nominee should receive this award:
The CARRINGTON AWARD FOR EXCEPTIONAL COMMUNITY SERVICE is awarded to the UNC School of Nursing graduate who has given remarkable service to the community, state or other beneficiary organizations and has reflected favorably on the School of Nursing through efforts to benefit society (though not necessarily through direct nursing activity).
Name of Nominee:
Class:
Reasons why nominee should receive this award:
The HONORARY ALUMNA/US AWARD is awarded to a professional who possesses distinction in the nursing profession and has demonstrated outstanding support to the School of Nursing. This person is a non-graduate of the UNC-Chapel Hill School of Nursing.
Name of Nominee:
Class:
Reasons why nominee should receive this award:
Your Name:
Class:
Phone:
FIRST MAIDEN LAST
FIRST MAIDEN LAST
FIRST MAIDEN LAST
36 C A R O L I N A N U R S I N G
|
温室气体核查声明
以下组织的 2019 年 1 月 1 日至 2019 年 12 月 31 日温室气体盘查清册
武汉新芯集成电路制造有限公司
注册地址：中国湖北省武汉市东湖开发区高新四路 18 号
组织边界：中国湖北省武汉市东湖开发区高新四路 18 号
已由 SGS 依据 ISO14064-3:2006 进行了核查并满足以下要求
ISO14064-1:2006
直接排放量
24,247.35 吨二氧化碳当量
能源间接排放量
131,895.45 吨二氧化碳当量
直接，能源间接总排放量
156,142.8 吨二氧化碳当量
签署
签署日期：2020 年 11 月 24 日
通标标准技术服务有限公司 认证与企业优化
北京市阜成路 73 号世纪裕惠大厦 16 层
100142
第 1 页 共 3 页
SGS 与武汉新芯集成电路制造有限公司（下文称作“客户”）签订合同，依据
**ISO 14064-3:2006**
核查由武汉新芯集成电路制造有限公司（下文称作“责任方”）以温室气体报告形式提供的温室气体声明，涵盖从 2019 年 1 月 1 日至 2019 年 12 月 31 日（下文称作“报告期”）的直接和能源间接温室气体排放。
**角色和责任**
责任方的管理者负责组织的温室气体信息系统、依据该系统建立和维护记录及报告程序，包括计算和决定温室气体排放信息及报告的排放量。
SGS 有责任对由责任方提供的报告期的温室气体声明作出独立的温室气体核查意见。
SGS 于 2020 年 11 月 20 日依据 ISO14064-3:2006 要求对责任方提供的温室气体声明符合 ISO 14064-1:2006 的要求进行了第三方核查。核查是基于客户与 SGS 于 2020 年 11 月 20 日商定的核查范围、目标和准则。
**保证等级**
商定的保证等级为合理保证。
**适用范围**
客户委托 SGS 进行一次独立核查，以确保责任方所报告的温室气体排放量，在下述的核查范围内符合 ISO 14064-1:2006 的要求。责任方的温室气体声明是以历史数据与信息来编制。
这一协议覆盖组织边界内人类活动引起的温室气体排放的核查，且协议基于 ISO14064-3:2006。
- 组织边界的建立是遵循营运控制权。
- 活动标题或描述：为责任方核查 2019 年的温室气体盘查清册。
- 活动地点/边界：中国湖北省武汉市东湖开发区高新四路 18 号
- 组织的基础设施、活动、技术和流程：12" 集成电路的制造
- 温室气体源、汇和/或库包括：责任方 2019 年温室气体报告中所提出的温室气体源。
- 温室气体种类包括：二氧化碳 (CO₂)、甲烷 (CH₄)、氧化亚氮 (N₂O)、氢氟碳化物 (HFCs)、全氟化碳 (PFCs) 和六氟化硫 (SF₆)。
- 采用的全球变暖潜能：IPCC 第 5 次评估报告。
- 以下期间的温室气体信息已被核查：2019 年 1 月 1 日至 2019 年 12 月 31 日。
- 核查声明的预期使用者：私人使用者
**目标**
本次核查之目的是通过客观证据审查：
- 温室气体排放是否如组织的温室气体声明所述
- 所报的数据是准确的、完整的、一致的、透明的和没有实质错误或遗漏。
**准则**
核查依据的准则是 ISO 14064-3:2006。
**实质性**
基于温室气体声明的预期使用者的需要，本次核查的实质性定为 5%。
结论
责任方提供了基于 ISO14064-1:2006 的要求的温室气体声明。在报告期内的温室气体信息所披露的 156,142.8 吨二氧化碳当量，经 SGS 核查达到合理保证等级，与商定的核查范围、目标和准则一致。
SGS 的方法是基于风险，理解所报告的温室气体排放信息相关的风险并加以控制，从而减轻风险。我们的检查包括评估与排放量有关的证据和组织温室气体排放量的披露。
SGS 计划并执行工作来获取必要的信息、解释和证据，以提供合理保证等级，确保能公正地陈述在报告期内的责任方的温室气体排放。
SGS 核查责任方以温室气体报告的方式提供的温室气体声明，包括评估温室气体信息系统和报告计划或协议。这次评估包括收集用以支持所报数据的证据，以及检查所参考的协议的条款是否一致地和适当地应用。
责任方递交的温室气体声明
- 是为实质正确的，且为温室气体数据和信息之确实展现，及
- 是依据 ISO14064-1:2006 对温室气体量化和报告而制备的。
本声明必须与责任方温室气体报告的方式提供的温室气体声明作为一个整体进行解释说明。
注：通标标准技术服务有限公司 ("SGS") 按 SGS 温室气体审定与核查服务通用条款发放此温室气体核查声明。此声明的内容基于核查结果编制。可向责任方查询获取此温室气体核查声明及责任方温室气体声明(温室气体报告的副本。此核查声明不可解除客户应遵守国家法律法规的责任。此核查声明不对 SGS 造成约束，SGS 没有责任面对除其客户以外的任何一方。
Greenhouse Gas Verification Statement
The inventory of Greenhouse Gas emissions in 01 January 2019 to 31 December 2019 of
Wuhan XINXIN Semiconductor Manufacturing Co., Ltd.
Business address: No. 18, Gao Xin 4th Road, Donghu New Technology Development Zone, Wuhan City, Hubei Province, P.R. China
Organization boundary: No. 18, Gao Xin 4th Road, Donghu New Technology Development Zone, Wuhan City, Hubei Province, P.R. China
has been verified in accordance with ISO 14064-3:2006 as meeting the requirements of
ISO 14064-1:2006
Direct Emissions
24,247.35 tonnes of CO₂e
Energy Indirect Emissions
131,895.45 tonnes of CO₂e
Total Direct and Energy Indirect Emissions
156,142.8 tonnes of CO₂e
Authorised by
DATE: 24 November 2020
SGS-CSTC Standard Technical Services Co., Ltd Certification and Business Enhancement Country Headquarter 16/F Century Yuhui Mansion, No.73, Fucheng Road Beijing China
This document is issued by the Company subject to its General Conditions of Certification SGS Terms and Conditions at www.sgs.com/terms_and_conditions.htm. Attention is drawn to the limitations of liability, indemnification and jurisdictional issues established therein. The authenticity of this document may be verified at http://www.sgs.com/en/certified-clients-and-products/certified-client-directory. Any unauthorised alteration, forgery or falsification of the content or appearance of this document is unlawful and offenders may be prosecuted to the fullest extent of the law.
SGS has been contracted by Wuhan XINXIN Semiconductor Manufacturing Co., Ltd. (hereinafter referred to as “CLIENT”), for the verification of direct and energy indirect Greenhouse Gas emissions in accordance with
**ISO 14064-3:2006**
as provided by Wuhan XINXIN Semiconductor Manufacturing Co., Ltd. (hereinafter referred to as “RESPONSIBLE PARTY”), in the Greenhouse Gas (GHG) Assertion in the form of GHG Report covering GHG emissions of the period 01 January 2019 to 31 December 2019 (hereinafter referred to as “REPORT PERIOD”).
**Roles and responsibilities**
The management of the RESPONSIBLE PARTY is responsible for the organization’s GHG information system, the development and maintenance of records and reporting procedures in accordance with that system, including the calculation and determination of GHG emissions information and the reported GHG emissions.
It is SGS’s responsibility to express an independent GHG verification opinion on the GHG assertion as provided by the RESPONSIBLE PARTY for the REPORT PERIOD.
SGS conducted a third-party verification of the provided GHG assertion against the requirements of ISO 14064-1:2006 in the period 20 November 2020. The verification was based on the verification scope, objectives and criteria as agreed between the CLIENT and SGS on 20 November 2020.
**Level of Assurance**
The level of assurance agreed is that of reasonable assurance.
**Scope**
The CLIENT has commissioned an independent verification by SGS-CSTC Standards Technical Services Co., Ltd. to assure the reported GHG emissions of RESPONSIBLE PARTY, in conformance with ISO 14064 requirements within the scope of the verification as outlined below. The data and information supporting the GHG assertion were historical in nature.
This engagement covers verification of emission from anthropogenic sources of greenhouse gases included within the organization’s boundary and is based on ISO 14064-3:2006.
- The organizational boundary was established following Operational control approach.
- Title or description activities: GHG verification of year 2019 for RESPONSIBLE PARTY.
- Location/boundary of the activities: No. 18, Gao Xin 4th Road, Donghu New Technology Development Zone, Wuhan City, Hubei Province, P.R. China
- Physical infrastructure, activities, technologies and processes: Manufacture of 12 inches integrated circuit
- GHG sources, sinks and/or reservoirs included: GHG sources as presented in the 2019 GHG Report of the RESPONSIBLE PARTY.
- Types of GHGs included: CO₂, CH₄, N₂O, HFCs, PFCs, SF₆.
- GWP adopted: IPCC 5 Assessment Report.
- GHG information for the following period was verified: 01 January 2019 to 31 December 2019
- Intended user of the verification statement: Private user.
Objective
The purposes of this verification exercise are, by review of objective evidence, to independently review:
- Whether the GHG emissions are as declared by the organization’s GHG assertion
- The data reported are accurate, complete, consistent, transparent and free of material error or omission.
Criteria
Criteria against which the verification assessment is undertaken are the requirements of ISO 14064.
Materiality
The materiality required of the verification was considered by SGS to 5%, based on the needs of the intended user of the GHG Assertion.
Conclusion
The RESPONSIBLE PARTY provided the GHG assertion based on the requirements of ISO14064-1:2006. The GHG information for the REPORT PERIOD disclosing emissions of 156,142.8 tonnes of CO₂ equivalent are verified by SGS to a reasonable level of assurance, consistent with the agreed verification scope, objectives and criteria.
SGS’s approach is risk-based, drawing on an understanding of the risks associated with reporting GHG emissions information and the controls in place to mitigate these. Our examination includes assessment of evidence relevant to the amounts and disclosures in relation to the organization’s reported GHG emissions.
We planned and performed our work to obtain the information, explanations and evidence that we considered necessary to provide a reasonable level of assurance that the GHG emissions for the REPORT PERIOD are fairly stated.
We conducted our verification with regard to the GHG assertion of GHG Report of the RESPONSIBLE PARTY which included assessment of GHG information system and reporting plan/protocol. This assessment included the collection of evidence supporting the reported data, and checking whether the provisions of the protocol reference, were consistently and appropriately applied.
In SGS’s opinion the presented GHG assertion
- is materially correct and is a fair representation of the GHG data and information,
- and
- is prepared in accordance with ISO14064-1:2006 on GHG quantification and reporting.
This statement shall be interpreted with the GHG assertion of GHG Report of the RESPONSIBLE PARTY as a whole.
Note: This Statement is issued by SGS-CSTC Standards Technical Services Co., Ltd. (“SGS”) under its General Conditions for Greenhouse Gas Validation & Verification Services. The findings recorded hereon are based upon a verification performed by SGS. A full copy of this statement, the findings and the supporting GHG Assertion may be consulted from RESPONSIBLE PARTY. This Statement does not relieve Client from compliance with any by laws, federal, national or regional acts and regulations or with any guidelines issued pursuant to such regulations. Stipulations to the contrary are not binding on SGS and SGS shall have no responsibility vis-à-vis parties other than its Client.
|
Pacific Health Review
Making Education Easy
Issue 27 – 2020
In this issue:
High multimorbidity rates in free clinic population
Avoidable mortality and inequalities in life expectancy
Impact of multimorbidity on health status
Underdiagnosis of depression and anxiety disorders
Suicide mortality in Pacific New Zealanders
Understanding end users of digital mental health tools
Mental wellbeing of elite rugby players
Adolescent drinking and healthcare access
Abbreviations used in this issue
COPD = chronic obstructive pulmonary disease
DHB= District Health Board
DNA= did not attend
NMNP = non-Māori/non-Pacific
POAC = Primary Options for Acute Care
WINZ = Work and Income New Zealand
Independent Content: The selection of articles and writing of summaries and commentary in this publication is completely independent of the advertisers/sponsors and their products.
Privacy Policy: Research Review will record your email details on a secure database and will not release them to anyone without your prior approval. Research Review and you have the right to inspect, update or delete your details at any time.
Disclaimer: This publication is not intended as a replacement for regular medical education but to assist in the process. The reviews are a summarised interpretation of the published study and reflect the opinion of the writer rather than those of the research group or scientific journal. It is suggested readers review the full trial data before forming a final conclusion on its merits.
Research Review publications are intended for New Zealand health professionals.
www.pacifichealthreview.co.nz
KINDLY SUPPORTED BY
Kia orana, Fakaalofa lahi atu, Talofa lava, Malo e lelei, Bula vinaka, Taloha ni, Kia ora, Greetings.
We are pleased to bring you a selection of recent publications relevant to Pacific health, focused on issues including mental health, long-term conditions, multimorbidity and life expectancy. The articles highlight the increasing and diverse range of evidence about Pacific health available in New Zealand. The evidence has been collected from a range of sources using diverse research methods. For example, research in this issue includes a review of 17 years of suicide data; analysis of large datasets (national mortality data, the New Zealand Attitudes and Values Study and the Youth'12 Survey) and of primary care clinical data, as well as primary research using surveys, interviews, workshops and focus groups. The increasing inclusion of Pacific-specific data and analysis in research is a welcome trend. However, the challenge of synthesising the range of data into information that can inform policy and practice is significant and a greater emphasis on the translation of evidence into action is required to address the longstanding disparities in equity in health outcomes experienced by Pacific peoples.
Welcome to this issue of Pacific Health Review.
Faafetai tele to all our commentators. We welcome your comments and feedback. Kind regards,
Dr Debbie Ryan MNZM, BSc, MBChB, MPM (Dist), MInstD
Principal
Pacific Perspectives email@example.com
Pacific Health Review is supported by funding from the New Zealand Ministry of Health.
Multimorbidity and multiple social disadvantage in a New Zealand high-needs free primary healthcare clinic population
Authors: Sreedhar S, et al.
Summary: A high prevalence of multimorbidity was determined in a cross-sectional study of all patients registered with a Dunedin free 'third sector' (non-government, non-profit) primary healthcare clinic. Three in every 4 patients had multimorbidity and 1 in every 2 patients had long-term physical and mental health comorbidities. Mental health conditions accounted for 7 of the 10 most prevalent long-term conditions. The prevalence of multimorbidity increased with age, was high across all ethnic groups and was associated with at least 1 multiple social disadvantage domain in the majority of patients.
Comment (Debbie Ryan): The setting for this research was a free general practice clinic in Dunedin staffed by volunteer clinicians and counsellors who provide care for people with high needs. The study used data from electronic medical records to analyse the number and type of long-term conditions by age, sex, social disadvantage and patient engagement with a range of health services. The total number of patients was 375, with Pacific only 4% (15 patients) compared with 60% New Zealand European and 27% Māori. The low number of Pacific patients reflects the Pacific population of Dunedin. Despite the limitation of small numbers, there are relevant findings for primary healthcare policy for Pacific and other groups that are marginalised in the current New Zealand health system. The high prevalence of multimorbidity and the finding that many patients had mental health issues as well as other long-term conditions highlights the need for improved models of care that integrate health, mental health, disability and also social services. This is yet to be realised in New Zealand. The study also highlights, for high-needs patients, the need to address cost barriers to primary healthcare as well as the importance of defining access as more than just affordability of healthcare. Accessible healthcare is defined as providers, organisations and systems that are approachable, acceptable, available and affordable for the populations they serve. The study also demonstrated the potential for use of primary care electronic medical records for monitoring and service improvement.
Reference: N Z Med J. 2019;132(1490):42-51.
Abstract
Pacific Health Review
The contribution of avoidable mortality to the life expectancy gap in Māori and Pacific populations in New Zealand
Authors: Walsh M, Grey C.
Summary: Avoidable causes of death were found to be large contributors to the life expectancy differentials in Māori and Pacific populations in a decomposition analysis of death registration data and population data for New Zealand between 2013 and 2015. Potentially avoidable deaths were identified in 47% of deaths in Pacific people and 53% of deaths in Māori compared with 23% of deaths in non-Māori/non-Pacific (NMNP) populations. The largest contributors to the differential in life expectancy in Pacific males and females were coronary disease, diabetes and cerebrovascular disease.
Comment (Debbie Ryan): This study makes an important contribution to efforts to improve the inequity in health outcomes experienced by Māori and Pacific people compared with NMNP populations in Aotearoa. Life expectancy for Pacific peoples is now more than 6 years lower than that of NMNP peoples, and although life expectancy at birth for Pacific peoples has improved over time, the gap compared to NMNP peoples has not decreased substantially over the last 20 years. By analysing the causes of death which contribute to ethnic specific inequalities in life expectancy, this research provides insight into the impact of healthcare and wider health and social policy on health outcomes. This is done by classifying deaths using the indicator 'avoidable mortality', defined as amenable mortality or causes of death that could have been avoided through access to high quality healthcare; and 'preventable mortality', deaths that could be avoided by addressing health risk factors, socioeconomic status and environmental factors. The research found that nearly half of all deaths in Pacific peoples (and over half in Māori) are potentially avoidable compared with less than one quarter for NMNP populations. The life expectancy gap for Pacific peoples is mainly due to long-term conditions, including cardiovascular disease, diabetes and cancer. The main conditions contributing to disparities for Māori were coronary disease, and cancers of the trachea, bronchus and lungs. Notable differences in conditions leading to differential outcomes were reported, for example for Pacific women, uterine cancer was the leading avoidable cancer; and for Māori men, avoidable injuries (including accidents and suicide) were significant. These findings support the need for equity policy that is informed by ethnic-specific data that focuses on improving access to high quality health services as well as addressing the socioeconomic determinants of health.
Reference: N Z Med J. 2019;132(1492):46-60.
Abstract
CONTRIBUTORS TO THIS ISSUE
Dr Maryann Heather is a General Practitioner at South Seas Healthcare and Senior Pacific Health Lecturer at the School of Population Health, Faculty of Medical and Health Sciences, University of Auckland.
Ms Amio Ikihele is the Innovations Lead for Moana Research, a registered nurse and PhD candidate with the University of Auckland. Her research aims to explore the use of mobile phones as a means of supporting Niue women living in New Zealand to reduce their risk of developing cardiovascular disease (CVD) and the associated comorbidities. Amio is from Niue and Te Whānau-ā-Apanui.
Dr Aniva Lawrence is Samoan and is a GP working in Northland and the Clinical Director of Primary Care across Northland. She is also the vice Chair of the Pacific chapter of the RNZCGP.
Dr Troy Ruhe is a PhD candidate with the Otago University School of Physical Education, Sport and exercise Science. Troy is Cook Islands Māori from the beautiful island of Mauke, and in Aotearoa Nga Puhi and Tuwharetoa.
Dr Seini Taufa is the Research and Evaluation Lead for Moana Research. She is also an evaluator for TOKO Collaborations (an ethnic specific suicide prevention programme) and researcher for projects such as Taulanga – building health literacy about rheumatic fever in South Auckland. Seini is Tongan.
Dr Jemaima Tiatia is a Pacific Health Lecturer at the School of Population Health, Faculty of Medical and Health Sciences, University of Auckland.
The impact of multimorbidity on people's lives
Authors: Stairmand J, et al.
Summary: The serious impact of multimorbidity on patients' health status was described in a cross-sectional survey of 234 adults with multimorbidity enrolled in two primary health organisations in New Zealand. Self-reported general health was described as 'fair' or 'poor' by 41% of participants compared with the general population estimate of 13.5% from the New Zealand Health Survey. Results were similar for self-reported physical and mental health with poorer health reported by Māori and Pacific participants. Work productivity was affected in 70% of participants and financial difficulty related to health needs was reported by 20% of participants.
Comment (Maryann Heather): Pacific people are the fourth largest ethnic group in New Zealand representing 7% of the population. By 2026 the number of Pacific people living in New Zealand is estimated to reach 480,000, which is a concern as in primary care we are already struggling with the current models of care and they do not meet the needs of Pacific patients. This survey emphasised the serious impact multimorbidity has on patients' health status compared to the general population. The data are consistent with what we see in primary care in South Auckland as reflected in our large Pacific population.
South Seas Healthcare is a pioneer Pacific primary care organisation based in the heart of South Auckland with an enrolled population of approximately 5300 (94%) Pacific patients. Approximately half the population are over 50 years old and many have multimorbidities. We have over 800 patients with diabetes and a majority have more than one comorbidity (gout, hypertension, asthma, COPD, cancer, mental illness). Many are in the quintile 5 deprivation level so the impact of low socioeconomic status plays a huge part in their care. We often have to advocate and write support letters to WINZ, housing and social service agencies. We provide primary care and wrap-around services such as Whanau Ora, Well Child services, antenatal care and problem gambling services.
This survey is only a snapshot of 234 patients (19% Pacific) from 75 practices self-reporting from discharge summaries. These numbers are patients who are admitted to hospitals, but we need to look beyond the scope of this paper and consider a much larger-scale study. There are large numbers of patients who are managed at the primary care level and with use of POAC and funding for radiology in Counties Manukau DHB, many are not admitted.
It remains a concern that numbers aren't improving with longterm conditions, especially with multimorbidity in the Pacific older population in New Zealand. We continue to see poor health outcomes and status especially with diabetes prevalence in South Auckland with no improvement over the last 10 years. This survey supports the development of holistic patient-centred care models designed to improve patient outcomes. Programmes with money pumped in are not the answer. Perhaps the solution lies with how we deliver a model of care that targets health equity, unconscious bias, and racism, and in teaching cultural competency to people who deal with Pacific patients, but most of all there needs to be a huge change in how we deliver healthcare to Pacific patients in New Zealand. Models of care and health programmes need to be holistic and Pacific specific. What we have now does not work and in all honesty has not made a difference. Time for a change. We can do better, we must do better, we are obligated to do better in order to see an improvement and address the serious issue of health equity in our Pacific patients in New Zealand.
Reference: N Z Med J. 2018;131(1477):78-90.
Abstract
Pacific Health Review
Ethnic inequality in diagnosis with depression and anxiety disorders
Suicide mortality among Pacific peoples in New Zealand, 1996–2013
Authors: Lee CH, et al.
Summary: Ethnic inequality in doctor-diagnosed depression or anxiety disorders was found in the 2014/2015 New Zealand Attitudes and Values Study (NZAVS), with Māori, Pacific and Asian New Zealanders more likely to be under-diagnosed relative to European New Zealanders. A total of 15,822 respondents completed the Kessler-6 scale (a screening measure of non-specific psychological distress over the last month) and reported whether a doctor had diagnosed them with depression or an anxiety disorder any time in the last 5 years. Māori, Pacific and Asian New Zealanders were more likely to score in the 'at risk' range of the Kessler-6 scale, indicating an increased likelihood of depression or anxiety, but European New Zealanders had the highest rate of diagnosed depression or anxiety.
Comment (Jemaima Tiatia): As part of the NZAVS where 15,822 participants in 2014/2015 took part, it was found that Māori and Pacific peoples had the highest rates of being at risk of depression and anxiety in Aotearoa in comparison to their New Zealand European counterparts. After an even closer look, the authors discovered that Pacific peoples were most likely to be underdiagnosed and the least likely to engage with mental health services. This is not surprising, clearly as ethnic inequities in the mental health and wellbeing space are rife with a myriad of barriers: cultural incompetence, institutional racism, unconscious bias, language, cost, access and expectations from and style of communication with medical professionals. These findings provide an invaluable contribution to the discourse of perpetual negative mental health and wellbeing outcomes for Pacific peoples.
Reference: N Z Med J. 2017;130(1454):10-20.
Abstract
Tofa Saili:
about health equity
A review of evidence for Pacific Peoples
in New Zealand
Available as a free download at www.pacificperspectives.co.nz
Authors: Tiatia-Seath J, et al.
Summary: The average annual number of Pacific suicides was at least 22 in a review of all recorded suicide deaths for Pacific peoples in New Zealand from 1996 to 2013. There was a total of 380 suicides in Pacific peoples over the 17-year period accounting for 4.1% of the 9307 total suicides reported nationally for New Zealand.
Comment (Seini Taufa): Every suicide is a tragedy that affects families, communities and entire countries, leaving long-lasting effects on the people left behind. In New Zealand, statistically, the prevalence of suicide affects some ethnic communities more than others. For example, Pacific youth are disproportionately 3 times more likely to attempt suicide than youth in the general population. As a result, research on Pacific people and suicide is needed now more than ever. While research on Pacific suicide has grown over the decade, the growing body of literature has been predominantly qualitative. Though qualitative research allows for an exploration of people's experiences with suicidal ideation and suicide, this quantitative piece highlights variables that may put Pacific people at elevated risk. For example, this study shows that the prevalence of suicides increases with deprivation across all Pacific ethnic groups and the prevalence is higher in the New Zealand-born group compared to the overseas-born group. There are other key findings throughout this publication such as the relationship between alcohol/drug use and suicide, variations by age group, gender, ethnicity, DHB and method of suicide. All of which allow for a targeted approach to suicide prevention, intervention and postvention, based on the variations noted and for Pacific groups who are most vulnerable. This publication highlights the need for ongoing research on suicide mortality among Pacific peoples in New Zealand in order to understand if there are inter-ethnic or intra-ethnic variations in suicide rates. It also highlights the need to use the data to inform practice in the space of Pacific suicide prevention.
Reference: N Z Med J. 2017;130(1454):21-29.
Abstract
This Research Review has been endorsed by The Royal New Zealand College of General Practitioners (RNZCGP) and has been approved for up to 1 CME credit for the General Practice Educational Programme (GPEP) and Continuing Professional Development (CPD) purposes. You can record your CME credits in your RNZCGP Dashboard
Time spent reading this publication has been approved for CNE by The College of Nurses Aotearoa (NZ) for RNs and NPs. For more information on how to claim CNE hours please CLICK HERE
The Ministry of Health 2020 Pacific Health Scholarships are now open! Apply online by visiting
www.health.govt.nz
The Pacific Health Scholarships provide financial assistance to students who are undertaking a course in health or disabilityrelated studies accredited by the New Zealand Qualifications Authority (NZQA) or the New Zealand Vice Chancellors Committee.
a RESEARCH REVIEW™ publication
Pacific Health Review
The importance of user segmentation for designing digital therapy for adolescent mental health
Fleming T, et al.
Authors:
Summary: A series of interactive workshops and focus groups with 58 participants highlighted the importance of preliminary scoping processes in designing and fostering engagement with digital mental health tools for teenagers. The scoping process identified the diverse preferences of adolescents in terms of the look and feel of the digital mental health tool with preferences ranging from a gamified/fun approach to a straight-talking serious approach. End users preferred tools that provided an immediate response to a range of issues and were not solely reliant on youth help-seeking.
Comment (Amio Ikihele): The World Health Organisation recognises the power of digital health technologies as essential for achieving universal health outcomes. This study however provides a timely reminder that while digital health interventions represent a unique opportunity to expand the availability and quality of mental health treatment, these are only successful if end users engage with these digital interventions. Though it is assumed that young people are 'digital natives' and would be more inclined to access digital health interventions when experiencing distress, the findings from this study suggest otherwise, highlighting 'digital mental health tools are unlikely to be successful if they rely solely on youth help-seeking', further adding that 'a single approach is unlikely to appeal to all'. Although young people in this study were inclined to use a range of other strategies when dealing with distress (e.g. social withdrawal, alcohol, self-harming), they were open to digital suggestions such as an online intervention if connected to social support, gamified approaches or digital mental health tools that provided an immediate response to challenges. This highlights an important point. Before any digital health tools are designed, it is essential human-centred design approaches are adopted, such as co-design, where end users are engaged from the beginning and an ongoing partnership is created to understand and explore the needs of such users. This is a necessary step towards designing digital health interventions that are accessible, culturally relevant, engaging, salient, and sustainable.
Reference: JMIR Ment Health. 2019;6(5):e12656. Abstract
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Young Pacific male rugby players' perceptions and experiences of mental wellbeing
Authors: Marsters C, Tiatia-Seath J.
Summary: Maintenance of a well-balanced athletic identity and positive social relations were deemed central to sustaining mental wellbeing in a qualitative study involving face-to-face interviews with 20 young Pacific males (16–24 years) engaged in elite rugby union and rugby league programmes in Auckland, New Zealand. Mental wellbeing was perceived as the culmination of several interconnected factors, including reciprocal family support, a 'well-balanced' life, athletic performance, and personal development away from sports.
Comment (Aniva Lawrence): This article and qualitative research project is well situated to give insight to how Pacific elite athletes perceive their own mental and emotional wellbeing. Using cultural methods has been successful and helped the key themes to emerge which are Pacific specific and are centred around family connectedness and responsibility, social connection beyond sports, athletic performance and spirituality. The author has reflected well on their findings and other literature and how this research fits contextually within this space. It is refreshing to see the recommendation for professional sports to take a holistic approach to the development of elite players and the challenging of masculinisation of the industry. However due to the sample size being small there are limitations of the findings and because it only sampled Auckland there may be geographical variation not identified by this study. The reflection around sampling older retired athletes and also female athletes as potential future groups to research and compare is warranted. Recently we have identified a statistically significant relationship between sports and emotional wellbeing for Māori males within New Zealand secondary school students so it would be interesting to see if there is any similar relationship for Pacific males. There is also a lot of international research into youth and the impact of individual resilience on mental wellbeing and I would have liked to have seen the researchers explore this more within these interview questions and discussion, particularly how participants overcame adversity such as injury or non-selection. Very relevant learnings for anyone working with young Pacific males.
Reference: Sports (Basel). 2019;7(4):83.
Abstract
New Zealand adolescents' concerns about their alcohol use and access to services
Ameratunga S, et al.
Authors:
Summary: A national survey of 8500 New Zealand high school students about alcohol use found that Māori and Pacific youth were more likely than their New Zealand European peers to be concerned about their drinking. Māori and Pacific drinkers were also more likely to report difficulties accessing healthcare and alcohol and drug services.
Comment (Troy Ruhe): This study utilised data in New Zealand adolescents (aged 12–19 years) from the 2012 national survey examining adolescents' concerns about their alcohol use and access to help. Data for Pacific peoples were extrapolated and offered potential insights to future research development of safe and effective Pacific alcohol consumption support networks. The representation of Pacific adolescents (14%) reported 4 main points. Firstly, Pacific adolescents tend to be more concerned about their drinking habits than their European counterparts. Secondly, the patterns of Pacific alcohol consumption tend to be less often, but in higher quantities. Thirdly, Pacific adolescents are more likely to have trouble accessing general healthcare and even less likely to seek alcohol and drug help. Lastly, Pacific drinkers are less likely to seek help from parents in preference to teachers or school nurses. As Māori and Pacific report inequities in alcohol-related incidences, these findings provide a platform for further investigation, such as exploration of factors that are conducive to a support network for Pacific adolescents that respect cultural custom and barriers around alcohol consumption as a taboo subject. Understanding the nuances of creating a safe environment for these communities may potentially make Pacific adolescents more aware of their behaviours, limit the barriers to accessing healthcare, and make them less likely to engage in hazardous drinking behaviours.
Reference: J Ethn Subst Abuse. 2019;18(4):634-653.
Abstract
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Volleyball Coaches’ Committee
(Listed by Districts)
(1)
Nancy Shoquist
Mary Montgomery
email@example.com
Bi-District Carol Turner
Citronelle
firstname.lastname@example.org
(2)
Jamie Wiggins
Enterprise
jwiggins/2enterpriseschools.net
(3)
Julie Gordon
Montgomery Acad. email@example.com
Bi-District Virginia Franklin,
Carver
Vranklin9755Wcharter.net
(4)
Pam Robinson
Benjamin Russell
coachrob @acsk12.net
(5)
Perry Robinson
Pelham
firstname.lastname@example.org
Bi-District Karen Riggins
Hewitt-Trussville
email@example.com
(6)
Wendy McKibbin
Oxford
firstname.lastname@example.org
(7)
Ryan Roberson
Brooks
email@example.com
Bi-District Candace Byrd
R.A. Hubbard
firstname.lastname@example.org
(8)
Jimmy Latta
Guntersville
email@example.com
The Championship Program
First Practice – Aug. 6 First Game – Aug. 23
Online Requirements For All Sports
POSTING SCHEDULES
Schools must post season schedules on the AHSAA website in the Members' Area by the deadline dates listed below. Failure to do so could result in a fine assessed to the school. Schools may go online and make any changes immediately as they occur.
Deadlines for posting schedules:
June 1 – fall sports (cross country, swimming & diving, volleyball)
May 1 – fall sports (football only)
Sept. 15 – winter sports (basketball, indoor track, wrestling)
Jan. 15 – spring sports (baseball, golf, outdoor track, soccer, softball, tennis)
POSTING ROSTERS
Schools are required to post team rosters prior to its first contest of the season.
POSTING SCORES
Schools are also required to post scores of contests online immediately following all contests in the regular season (and within 24 hours after regular season tournaments) and in the playoffs or be subject to a fine.
In the post-season playoffs, failure to report scores immediately after a contest will subject the school to a fine.
1. Schools are divided into seven classes – 1A, 2A, 3A, 4A, 5A, 6A and 7A. Each class is divided into 16 areas.
2. Each high school is limited to 15 regular season playing dates plus tournaments on nonschool time. The 15 playing dates include all dual and tri-matches played prior to the area, super regional and state tournaments. Tournaments are not counted as playing dates.
One tournament may be played during the week with no loss of school time. All other tournaments must be held on weekends with no loss of school time.
Each junior high or middle school is limited to 10 regular season playing dates plus tournaments on non-school time. Each tournament must be held with no loss of school time.
Note: Note: A tournament is defined as an organized event in a sport when 3 or more teams participate and multiple games are played. All volleyball events (except for trimatches) invovling 3 or more teams must be santioned (See Rule III. Contests. Section 3. Sanctioning Events, page 44 AHSAA Handbook.) A tournament is usually played at one site.
3. Each school must create its roster online and submit to its area tournament director at the area drawing meeting or via email. (see pg. 257)
4. All matches will be played under National Federation rules and the decision of the officials will be final. Protests are not allowed. Rules of note are:
(b) For regular season and area tournament matches, teams may remain on the same benches throughout the match with the option to change benches if conditions warrant, (i.e. sunshine, spacing, uneven net, etc.) Decision must be made and communicated prior to first
(a) When the host school does not pad the standards, floor/wall cables and referee's platform according to Rule 3-1-3, the match shall not be played and the AHSAA shall be notified.
set. Changing benches at regional and state tournaments is not allowed.
(d) All matches at all levels of play consist of the best 3-out-of-5 games with the fifth game 15 points. A modified format (best 2-out-of-3 games with the third game 15 points) may be used for non area varsity tri-matches, varsity invitational tournaments and sub-varsity matches. (Adoption of Rule 1-2-3, Note 2).
(c) Two officials must be used for all matches. (Rule 5-1-1)
(e) All matches in championship play (regular season area matches and area, super regional and state tournament matches) must be the best 3-out-of-5 games with the fifth game 15 points.
(f) All tournaments held during the regular season must use the AHSAA tiebreaking procedure.
5. It is the responsibility of each member school to make sure all officials used are registered with the AHSAA. Please see officials' fee information on page 258.
6. Each school may hold spring practice any time between the end of the basketball season and the end of school for a maximum of 5 days during any consecutive 10 school-day calendar period. Each school is permitted one spring practice period, which shall be open to incoming new students from feeder schools. A jamboree or regulation match is not permitted.
7. Forfeit time is 30 minutes after the scheduled starting time. If the host team is notified prior to the scheduled starting time that an emergency situation will delay the visiting team's arrival, the forfeit time may be delayed.
8. A Wilson ball with the NFHS Authenticating Mark must be used in all matches in championship play (regular season area play, area tournaments, super regional and state tournament). Balls with color panels (3 colors and the remaining surface of ball to be white) may be used according to the preference of the home team. Red-White-Blue colored balls will be used in the State Tournament.
Special Playoff Rules
1. Any school hosting an area tournament MUST provide a facility that meets the specifications outlined in Rules 2 and 3 of the National Federation Rules book.
2. In tournament play a team that is five minutes late for the scheduled match time will forfeit one set. A team 10 minutes late will forfeit the match.
3. Host schools will furnish Wilson game balls with the NFHS Authenticating Mark for all area games, and the area tournament.
4. A team may bring a team party of 20 to area, 22 to super regional and 20 to the state tournament matches:
(b) Two (2) managers (or one manager and one scorer)
(a) Fifteen (15) players in uniform (All players must be eligible under AHSAA rules.)
(c) Three (3) AHSAA coaches
(d) Schools must provide two (2) additional ball persons for super regional.
5. Awarding of trophies in area tournaments is left to the discretion of the teams in the tournament. If awards are made, the maximum specifications are:
(b) Second Place: $35, 10-inch (height) trophy or 8" x 10" plaque
(a) First Place: $40, 12-inch (height) trophy or 11" x 14" plaque
Awards in the State Tournament are:
(2) Plaque for Most Valuable Player in each class.
(1) Trophies for champion and runner-up teams in each class.
6. Officials must be registered with the AHSAA. For the area, super regional and state tournament matches, assignment of officials will be coordinated by the AHSAA.
Two officials and two line judges will be assigned to each area tournament match. Please see official's fee information on page 258.
Tie-Breaking Procedure
This tie-breaking procedure will be used for placement of teams in a regular season tournament if there are any percentage ties after the completion of pool play.
Regular Season Tournaments
In the event of a percentage tie for any specific place, the team with the highest ranking will be determined by applying the following factors in the order listed, beginning with (a) if two teams tie or (aa) if more than two teams tie.
After the highest-ranked team is determined, the next ranked team will be determined by applying the factors, beginning with (a) or (aa) as applicable, for all other teams involved in the tie. If one factor does not resolve the tie, then the next factor will be applied for all teams involved in the tie.
The factors:
(a) Head-to-head competition during pool play. (The winner will be put in the specific place, the loser in the next highest place.)
Two-Team Tie
More Than Two Teams Tie
If two teams tie for the highest "games won percentage," the team that won their headto-head competition during pool play will be put in the specific place, the other in the next highest place.
(aa) Games won percentage against all teams involved in the tie. (To calculate: total games won DIVIDED BY total games played.)
(bb) Points won percentage against all teams involved in the tie. (To calculate: total points won DIVIDED BY total points played.)
If two teams tie for the highest "points won percentage," the team that won their headto-head competition during pool play will be put in the specific place, the other in the next highest place.
(dd) Apply factor (bb) against the team(s) in pool play not involved in the tie.
(cc) Apply factor (aa) against the team(s) in pool play not involved in the tie.
(ee) Playoff using one 15-point game per match. (Three-way tie format: One team draws bye, the other two teams play. Winner of first match plays the team that drew the bye.)
Area Tournaments
In the event of a percentage tie for any specific place, the team with the highest ranking will be determined by applying the following factors in the order listed, beginning with (a) if two teams tie or (aa) if more than two teams tie.
This tie-breaking procedure will be used for placement of teams in an area tournament if there are any percentage ties after the completion of regular season play.
After the highest-ranked team is determined, the next ranked team will be determined by applying the factors, beginning with (a) or (aa) as applicable, for all other teams involved in the tie. If one factor does not resolve the tie, then the next factor will be applied for all teams involved in the tie.
The factors:
(a) Head-to-head competition during regular season area play. (The winner will be put in the specific place, the loser in the next highest place.)
Two-Team Tie
(b) Games won percentage against the other tied team during regular season area play. (To calculate: total games won DIVIDED BY total games played.) The team with the highest "games won percentage" will be put in the specific place, the other in the next highest place.
(d) Apply factor (b) against all area teams not involved in the tie.
(c) Points won percentage against the other tied team during the regular season area play. (To calculate: total points won DIVIDED BY total points played.) The team with the highest "points won percentage" will be put in the specific place, the other in the next highest place.
(e) Apply factor (c) against all area teams not involved in the tie.
(f) By a flip of a coin.
More Than Two Teams Tie
If two teams tie for the highest "games won percentage," the team that won their headto-head competition during regular season play will be put in the specific place, the other in the next highest place.
(aa) Games won percentage against all teams involved in the tie. (To calculate: total games won DIVIDED BY total games played.)
(bb) Points won percentage against all teams involved in the tie. (To calculate: total points won DIVIDED BY total points played.)
(cc) Apply factor (aa) against area teams not involved in the tie.
If two teams tie for the highest "points won percentage," the team that won their headto-head competition during regular season play will be put in the specific place, the other in the next highest place.
(dd) Apply factor (bb) against area teams not involved in the tie.
(ee) By a flip of a coin.
Area Seeding
In order to qualify for the area tournament, each team must play each area opponent one or two regular season matches or two regular season matches prior to the seeding meeting. Which format must be determined prior to the start of the regular season. All matches must be 3 of 5. If an area does not decide prior to the season the number of matches required against each area opponent, the first match played against each area opponent will be used in computing standings for seeding purposes.
Brackets for the area tournaments will be drawn up at the site of the winner of regular season play not later than Oct. 16, 2018 for all classes. (The drawing meeting may be held by a conference call, e-mail, etc.) All area teams must be represented. The last day for playing area matches is Oct. 16, 2018.
The No. 1-seeded team will host the area tournament. If the No. 1-seeded team does not wish to host the area tournament or cannot provide a facility that meets the gym criteria minimum standards, the No. 2-seeded team will host the area tournament.
The coach of each team, including the host team, must submit its tournament roster (create online) and a $75 entry fee (payable to the host school) to the area tournament director.
TOURNAMENT DIRECTOR'S RESPONSIBILITIES
Complete the area tournament bracket form on the AHSAA website, including the site of the tournament, and email to the AHSAA (firstname.lastname@example.org) by 10 a.m. Oct. 17, 2018.
Area Tournaments
Area tournaments for classes 2A, 3A, 5A and 6A will be played Oct. 22, 2018. Area tournaments for classes 1A, 4A and 7A will be played Tuesday, Oct. 23, 2018. Admission is $6. (Host school is responsible for furnishing tickets.)
Each area in all seven classes will conduct an area tournament with single-elimination play using a best 3-out-of-5 games format. A two-team area will also use a best 3-out-of-5 games format. The AHSAA tie-breaking procedure will be used to break area ties. All teams will need to provide their own warm-up balls.
The host school principal will serve as tournament director. Area winners and runners-up will advance to a super regional tournament.
COACHES' RESPONSIBILITY: Prior to the area tournament, coaches of all teams must send a high resolution digital team photo and team roster (excel format) to tournament program coordinator Dennis Victory at AHSAA@ cfxsports.com.
TOURNAMENT DIRECTOR'S RESPONSIBILITIES
2. Prepare and submit a financial report to the AHSAA and send copies to each of the participating schools. A financial form for this purpose will be available on the AHSAA website.
1. Make sure schools involved post results online to the AHSAA website.
3. The financial report must be filed immediately after the tournament is completed.
(1) Officials
(A) Expenses will be paid from gate receipts (after taxes if applicable) and entry fees, to the extent available, in the following order:
a. Fees ($45 per off cial per match)
i
c. Line Judge – $15 per official per match
b. Officials Mileage – $15 per official per day
d. Line Judge Mileage – $10 per official per day
(3) (15%) of Gate Receipts and Entry Fees to AHSAA
(2) 25% of Gate Receipts and Entry Fees to host school
(4) Trophies (maximum $150 if awarding All-Tournament awards. Maximum is $75 if only awarding winner and runner-up.))
(1) Transportation – 48 cents per mile one way (not to exceed 1/3 of net).
(B) Divide among participants as shown below:
(2) Divide any balance equally among all participating schools.
WINNING COACH'S RESPONSIBILITY: The coach of each area tournament winner must post results online to the AHSAA website 30 minutes after completion of the tournament. (Using the Playoff Score Report link).
Regular Season:
Volleyball Officials Fees
High School Varsity = $40.00 per official per match.
Junior High (7-9) = $30.00 per official per match.
Junior Varsity = $35.00 per official per match.
Line Judge = $15 per person per match (If an official).
Mileage Allowance (Over 60 Miles) = $10.00 per official per day.
Mileage Allowance = $8.00 per official per day.
Championship Playoffs:
Officials will be assigned and paid by the AHSAA. The host school will submit the game report to the state office.Officials fees for area tournament is $120 per match, plus a $10 travel fee for each official per day, and a $2 arbiter fee per official per day.
The game fee per official for area and super regional tournaments will be $45.00 plus the Mileage Allowance.
The game fee per official for the State Tournament will be $50.00 plus the Mileage Allowance.
Super Regional Tournaments
DATE: In each class, the winner and runner-up of each area tournament will compete in one of two super regional tournaments Thursday-Saturday, Oct. 25-27. Each super regional will use six (6) courts, keeping the allotted 15 minutes between matches, and equitable playing time at each court for all tournament teams. Super regional play will begin at 9 a.m. each day. All teams will need to provide their own warm-up balls.
FORMAT: Play is single elimination with a 3-out-of-5 games format. Each area winner will play a runner-up from another area in the first round of the bracket.
Area winners and runners-up will advance to super regional tournaments as follows:
```
South Super Regional – Areas 1-8 (Classes 1A-6A); Areas 1-4 (Class 7A) North Super Regional – Areas 9-16 Classes 1A-6A); Areas 5-8 (Class 7A)
```
The first four finishers in each super regional tournament will advance to the state tournament. A consolation match will be played to determine the third- and fourth-place teams.
SITES: The South Super Regional Tournament will be played at the Multiplex at Cramton Bowl in Montgomery. The North Super Regional Tournament will be played at the Von Braun Center in Huntsville (South Hall).
ENTRY FEE: $100 per team (payable to the AHSAA) must be submitted at the team sign-in table at the players' entry gate PRIOR to a team's first contest in the tournament.
TEAM PARTY: See item 4 on page 255.
ADMISSION: $8 per day. Tickets may be purchased online using the AHSAA website, www. ahsaa.com or at www.gofan.com
RESPONSIBILITY OF COACHES OF TOP FOUR TEAMS: Email team roster and picture (digital) to state tournament program coordinator Dennis Victory at email@example.com if picture was not emailed prior to area tournament.
1A South Bracket 2018
2A South Bracket 2018
3A South Bracket 2018
4A South Bracket 2018
5A South Bracket 2018
6A South Bracket 2018
7A South Bracket 2018
1A North Bracket 2018
2A North Bracket 2018
3A North Bracket 2018
4A North Bracket 2018
5A North Bracket 2018
6A North Bracket 2018
7A North Bracket 2018
2018 VOLLEYBALL SUPER REGIONAL 3-DAY
Thursday
| 3A G1 | 3A G2 | 3A G3 | 3A G4 | 3A G5 |
|---|---|---|---|---|
| 3A G7 | 3A G8 | 5A G1 | 5A G2 | 5A G3 |
| 2A G1 | 2A G2 | 5A G5 | 5A G6 | 5A G7 |
| 2A G3 | 2A G4 | 2A G5 | 2A G6 | 2A G7 |
| 6A G1 | 6A G2 | 6A G3 | 6A G4 | 6A G5 |
| 6A G7 | 6A G8 | 3A G9 (quarter) | 3A G10 (quarter) | 3A G11 (quarter) |
| 5A G9 (quarter) | 5A G10 (quarter) | 5A G11 (quarter) | 5A G12 (quarter) | 2A G9 (quarter) |
| 6A G9 (quarter) | 6A G10 (quarter) | 6A G11 (quarter) | 6A G12 (quarter) | 2A G11 (quarter) |
Friday
09:00 AM
10:15 AM
11:30 AM
12:45 PM
02:00 PM
03:30 PM
05:00 PM
06:30 PM
| 4A G1 | 4A G2 | 4A G3 | 4A G4 | 4A G5 |
|---|---|---|---|---|
| 4A G7 | 4A G8 | 1A G1 | 1A G2 | 1A G3 |
| 7A G1 | 7A G2 | 1A G5 | 1A G6 | 1A G7 |
| 7A G3 | 7A G4 | 3A G13 (semi) | 3A G14 (semi) | 5A G13 (semi) |
| 2A G13 (semi) | 2A G14 (semi) | 6A G13 (semi) | 6A G14 (semi) | 4A G9 (quarter) |
| 1A G9 (quarter) | 1A G10 (quarter) | 1A G11 (quarter) | 1A G12 (quarter) | 4A G11 (quarter) |
| 2A G15 (finals) | 2A G16 (consol) | 3A G15 (finals) | 3A G16 (consol) | 5A G15 (finals) |
| | | 6A G15 (finals) | 6A G16 (consol) | |
Saturday
State Tournament ALL CLASSES
DATE: Oct. 31-Nov.1
SITE: Birmingham CrossPlex & Harris Arena
COACHES MEETING: A mandatory meeting for head coaches will be held at 6 p.m., Oct. 30, 2018 at the CrossPlex.
FORMAT: The eight teams in each class will be placed in pre-drawn single elimination brackets. Play will be 3-of-5-game matches. Quarter-finals and semi-finals will be played Wednesday on six (6) courts. Finals will be played Thursday in Harris Arena. All teams will need to provide their own warm-up balls.
BALL: Wilson red-white-blue colored balls will be furnished.
ADMISSION: $10 per day. (Advance tickets may be purchased at www.gofan.com)
TROPHY PRESENTATION: It is the expectation of the AHSAA that all athletes and coaches display excellent character and sportsmanship during awards presentations. Failure to respond accordingly will result in a monetary fine and possible probation and/or suspension.
SCHEDULE (by class):
Wednesday (6 courts)
State Tournament Bracket
The top four teams in each Super Regional Tournament qualify for the State Tournament. Teams on the top half of each bracket will be considered the home team. Please refer to the State Tournament Schedule on page 262 for match times and court assignments (example: Court 1, 8:00 a.m., Class 1A, S-1 vs. N-4; Court 2, 8:00 a.m., Class 1A, S-3 vs. N-2, etc.).
Area Alignment
Class 1A
Area 1
Area 2
Coordinator: Jamelle Sauls
McIntosh
Fruitdale
McIntosh
Millry
Area 3
Coordinator: Chris Moseley
Elba
Brantley
Elba
Kinston
Area 5
Coordinator: Steven Hunter
Maplesville
Autaugaville
Billingsley
Isabella
Maplesville
Area 7
Coordinator: Jason Williams
South Lamar
Berry
Holy Spirit Catholic
Pickens County
South Lamar
Area 9
Coordinator: Tim Gallahar
Talladega County
Alabama School for the Deaf
Ragland
Talladega County-Central
Victory Christian
Coordinator: Rodney Nichols
Pleasant Home
Florala
McKenzie
Pleasant Home
Red Level
Area 4
Coordinator: Roderick Hamilton
Linden
Ellwood Christian Academy
Keith
Linden
Sweet Water
Area 6
Coordinator: Emily Harris
Winterboro
Lanett
Notasulga
Wadley
Winterboro
Area 8
Coordinator: Bill Brown
Jefferson Christian
Cornerstone
Heritage Christian
Jefferson Christian
Westminster School at Oak Mountain
Area 10
Coordinator: Dr. Tommy Miller
Jacksonville Christian
Donoho
Faith Christian
Jacksonville Christian
Sacred Heart
Class 1A
Area 11
Area 12
Coordinator: Jonathan Cleveland
Appalachian
Appalachian
Coosa Christian
Gaylesville
Spring Garden
Area 13
Coordinator: Randall Adams
Athens Bible
Athens Bible
Falkville
R.A. Hubbard
Saint Bernard Prep.
Area 15
Coordinator: Jamie Darwin
Woodville
Lindsay Lane Christian
Oakwood Adventist
Whitesburg Christian
Woodville
Coordinator: Todd Tittle
Lynn
Brilliant
Lynn
Marion County
Meek
Area 14
Coordinator: Keith Smith
Phillips
Belgreen
Covenant Christian, Tuscumbia
Hackleburg
Phillips
Area 16
Coordinator: Pamela Worsham
Cherokee
Cherokee
Mars Hill Bible
Shoals Christian
Waterloo
Area 1
Coordinator: Jimmy Messer
Cottage Hill
Chickasaw
Cottage Hill Christian
Elberta
Area 3
Coordinator: Ashley Sanders
Geneva County
Cottonwood
Daleville
Geneva County
Houston County
Area 5
Coordinator: Josh Herring
Ariton
Abbeville
Ariton
Barbour County
Long, G.W.
Area 7
Coordinator: Vol Newsome
Southern Choctaw
Choctaw County
Hatch, R.C.
Southern Choctaw
Area 9
Coordinator: Jeff Thompson
Woodland
Horseshoe Bend
LaFayette
Ranburne
Woodland
Class 2A
Area 2
Coordinator: Donald Baggett
J.U. Blacksher
Blacksher, J.U.
Leroy
Washington County
Area 4
Coordinator: Robert Hamilton
Samson
New Brockton
Samson
Zion Chapel
Area 6
Coordinator: Jamie Howard
Luverne
Goshen
Highland Home
Luverne
Area 8
Coordinator: Amy Smith
Fayetteville
Central, Coosa
Fayetteville
Reeltown
Thorsby
Area 10
Coordinator: Amy Banaszek
Tarrant
Altamont
Sumiton Christian
Tarrant
Vincent
Area 11
Coordinator: Bobby Tittle
Ohatchee
Gaston
Ohatchee
Westbrook Christian
Area 13
Coordinator: Jeffrey Cole
Winston County
Addison
Sulligent
Tharptown
Winston County
Area 15
Coordinator: Ricky Bryant
Fyffe
Fyffe
Ider
North Sand Mountain
Class 2A
Area 12
Coordinator: David Dixon
West End
Cleveland
Cold Springs
Southeastern
West End
Area 14
Coordinator: Ben East
Sand Rock
Asbury
Cedar Bluff
Collinsville
Sand Rock
Area 16
Coordinator: Brent Gillespie
Hatton
Colbert County
Decatur Heritage Christian
Hatton
Sheffield
Tanner
Area 1
Coordinator: David Pahman
Mobile Christian
Mobile Christian
St. Luke's Episcopal
St. Michael Catholic
Area 3
Coordinator: Amanda Inabinett
Opp
Geneva
Houston Academy
Slocomb
Wicksburg
Area 5
Coordinator: John McWilliams
Montgomery Academy
Pike Road
Prattville Christian
Southside, Selma
The Montgomery Academy
Area 7
Coordinator: Ronnie Garner
Hale County
Greene County
Hale County
Holt
Area 9
Coordinator: Thomas Smitherman
Locust Fork
Fultondale
Holy Family Catholic
Locust Fork
Midfield
Class 3A
Area 2
Coordinator: Ron Snell
T.R. Miller
Excel
Flomaton
Miller, T.R.
Thomasville
Area 4
Coordinator: Cheryl Smith
Wicksburg
Opp
Pike County
Straughn
Area 6
Coordinator: Judson Warlick
B.B. Comer
Beulah
Comer, B.B.
Dadeville
Area 8
Coordinator: Christopher Hayes
Walter Wellborn
Randolph County
Saks
Walter Wellborn
Area 10
Coordinator: Joseph Claborn
Carbon Hill
Carbon Hill
Lamar County
Oakman
Winfield
Class 3A
Area 11
Area 12
Coordinator: Dr. Adam Clemons
Piedmont
Glencoe
Piedmont
Pleasant Valley
Weaver
Area 13
Coordinator: Kim Butler
Holly Pond
East Lawrence
Holly Pond
Vinemont
Area 15
Coordinator: Westley King
Sylvania
Geraldine
Pisgah
Plainview
Sylvania
Coordinator: Jimmy Collins
Hanceville
Hanceville
Pennington, J.B.
Susan Moore
Area 14
Coordinator: Mike Little
Brindlee Mountain
Brindlee Mountain
New Hope
Westminster Christian
Area 16
Coordinator: Keith Hairrell
Clements
Clements
Colbert Heights
Lauderdale County
Lexington
Area 1
Coordinator: Patricia Frazier
W.S. Neal
Bayside Academy
Escambia County
Neal, W.S.
UMS-Wright
Williamson
Area 3
Coordinator: Matthew Humphrey
Dale County
Ashford
Dale County
Headland
Providence Christian
Area 5
Coordinator: Wes Rogers
Elmore County
Elmore County
Handley
Holtville
Area 7
Coordinator: Cindy Long
Northside
American Christian
Northside
Sipsey Valley
West Blocton
Class 4A
Area 2
Coordinator: Debra Dennis
Clarke County
Andalusia
Clarke County
Hillcrest, Evergreen
Monroe County
Area 4
Coordinator: Justin Castanza
Montgomery Catholic
Alabama Christian
LAMP
Montgomery Catholic
Trinity Presbyterian
Area 6
Coordinator: Jessica Constant
Greensboro
Dallas County
Greensboro
Sumter Central
Area 8
Coordinator: Quentin Lee
Childersburg
Childersburg
Indian Springs
Leeds
Montevallo
Oak Grove
Area 9
Area 10
Coordinator: Jay Hooks
Lincoln
Anniston
Cleburne County
Lincoln
Talladega
Coordinator: Scott Calhoun
Hokes Bluff
Cherokee County
Hokes Bluff
Jacksonville
White Plains
Class 4A
Area 11
Area 12
Coordinator: Janet Johnson
Ashville
Ashville
Fairview
Good Hope
Oneonta
Area 13
Coordinator: Mark Mason
Priceville
Danville
Priceville
St. John Paul II
West Morgan
Area 15
Coordinator: Bill Tribble
Elkmont
Brooks
Elkmont
West Limestone
Coordinator: Jeremy Madden
Fayette County
Cordova
Curry
Fayette County
Haleyville
Area 14
Coordinator: Ryan Liese
Randolph
DAR, Katie D. Smith
North Jackson
Randolph
Area 16
Coordinator: Gary Horton
Wilson
Central, Florence
Deshler
Rogers
Wilson
Area 1
Coordinator: William Henderson, Jr.
LeFlore Magnet
Faith Academy
LeFlore Magnet
Satsuma
Vigor
Area 3
Coordinator: Sean Clark
Carroll
Carroll
Charles Henderson
Greenville
Rehobeth
Area 5
Coordinator: Blaine Hathcock
Demopolis
Bibb County
Central, Tuscaloosa
Demopolis
Area 7
Coordinator: Timothy Young
Munford
Central, Clay County
Munford
Sylacauga
Area 9
Coordinator: Jarvis Watkins
Pleasant Grove
Fairfield
Parker, A.H.
Pleasant Grove
Wenonah
Class 5A
Area 2
Coordinator: Josh Verkouille
Satsuma
Citronelle
Jackson
Wilcox Central
Area 4
Coordinator: Dr. Bryan Oliver
Saint James
Beauregard
Brewbaker Tech. Magnet
Saint James
Tallassee
Valley
Area 6
Coordinator: Diane Calloway
Jemison
Chilton County
Jemison
Marbury
Shelby County
Area 8
Coordinator: Cassandra Fells
Ramsay
Briarwood Christian
Ramsay
Woodlawn
Area 10
Coordinator: Virgil Winslett
Springville
Center Point
Moody
Saint Clair County
Springville
Area 11
Coordinator: Allen Hargett
Hayden
Corner
Dora
Hayden
Jasper
Mortimer Jordan
Area 13
Coordinator: Debra Hall
Crossville
Boaz
Crossville
Douglas
Sardis
Area 15
Coordinator: Bradley Dudley
Scottsboro
Arab
Brewer, A.P.
Guntersville
Scottsboro
Class 5A
Area 12
Coordinator: Dr. Stephen Hall
Etowah
Alexandria
Etowah
Southside, Gadsden
Area 14
Coordinator: Thomas Jones
Lawrence County
Hamilton
Lawrence
Russellville
West Point
Area 16
Coordinator: Louis Berry, Jr.
East Limestone
Ardmore
East Limestone
Madison Academy
Madison County
Area 1
Coordinator: Jerome Woods
Blount
B.C. Rain
Mattie T. Blount
Saraland
St. Paul's Episcopal
Area 3
Coordinator: Stan Ethridge
Dothan
Dothan
Eufaula
Northview
Area 5
Coordinator: William Bergeron
Stanhope Elmore
Selma
Stanhope Elmore
Wetumpka
Area 7
Coordinator: Mark Franks
Brookwood
Brookwood
Hillcrest, Tuscaloosa
Northridge
Paul Bryant
Area 9
Coordinator: Joe Garner
Hueytown
Bessemer City
Hueytown
McAdory
Class 6A
Area 2
Coordinator: Cindy Veazey
Gulf Shores
Baldwin County
Daphne
Gulf Shores
Robertsdale
Spanish Fort
Area 4
Coordinator: Gary Hall
Carver, G.W. (MGM)
Carver, G.W. (MGM)
Lanier, Sidney
Park Crossing
Area 6
Coordinator: Dr. Farrell Seymore
Opelika
Benjamin Russell
Opelika
Russell County
Area 8
Coordinator: Joel Dixon
Calera
Calera
Chelsea
Helena
Pelham
Area 10
Coordinator: Dr. Antijuan Marsh
Shades Valley
Homewood
Huffman
Shades Valley
Area 11
Coordinator: Kalvin Eaton
Minor
Carver, G.W. (BHM)
Gardendale
Minor
P.D. Jackson-Olin
Area 13
Coordinator: Heath Harmon
Oxford
Albertville
Fort Payne
Oxford
Area 15
Coordinator: Travis Schrimsher
Athens
Athens
Columbia
Muscle Shoals
Class 6A
Area 12
Coordinator: Dr. Anthony Dowdy
Pell City
Clay-Chalkville
Pell City
Pinson Valley
Area 14
Coordinator: Dr. Johnny Berry
Decatur
Cullman
Decatur
Hartselle
Area 16
Coordinator: Lynette Alexander
Mae Jemison
Buckhorn
Hazel Green
Lee-Huntsville
Mae Jemison
Area 1
Coordinator: Marion Firle
Mary G. Montgomery
Alma Bryant
Baker
Davidson
Mary G. Montgomery
Theodore
Area 3
Coordinator: Bobby Abrams
Jeff Davis
Enterprise
Jeff Davis
Lee, R.E.
Prattville
Area 5
Coordinator: Wesley Hester
Thompson
Hoover
Oak Mountain
Thompson
Tuscaloosa County
Area 7
Coordinator: Chris Shaw
Sparkman
Gadsden City
Grissom
Huntsville
Sparkman
Class 7A
Area 2
Coordinator: Jon Cardwell
Fairhope
Fairhope
Foley
McGill-Toolen
Murphy
Area 4
Coordinator: Tommy Vickers
Central, Phenix City
Auburn
Central, Phenix City
Smiths Station
Area 6
Coordinator: Amanda Hood
Mountain Brook
Hewitt-Trussville
John Carroll Catholic
Mountain Brook
Spain Park
Vestavia Hills
Area 8
Coordinator: Dr. Brian Clayton
James Clemens
Austin
Bob Jones
Florence
James Clemens
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|
Praxis Contents Tests as of 16 July 2018
ETS Praxis Subject Assessments content tests and scores for Iowa program completion
| Iowa Endorsement Number/Title | Praxis Content Knowledge Test/Number | | Required |
|---|---|---|---|
| | | | Score |
| | | | BEFORE |
| | | | 1 August 2018 |
| 100 - Teacher-- Prekindergarten through grade three, including special education | Interdisciplinary Early Childhood Education 5023 | 172 | |
| 102 - Teacher Elem Classroom K-6 | Elementary Education: Content Knowledge 5018 | 152 | |
| 103 - Early Childhood Teacher Pre K-K | Early Childhood: Content Knowledge 5025 | 151 | |
| 104 - ESL Teacher-K-12 | English to Speakers of Other Languages 5362 | 168 | |
| 106 - Pre-K to grade 3 Teacher- Pre K-3 | Early Childhood: Content Knowledge 5025 | 151 | |
| 107 - Talented Gifted-K-12 | Gifted Education 5358 | 154 | |
| 108 - Teacher Librarian-K-8 | Library Media Specialist 5311 | 154 | |
| 109 - Teacher Librarian-5-12 | Library Media Specialist 5311 | 154 | |
| 112 - Agriculture-5-12 | Agriculture 5701 | 159 | |
| 113 - Art-K-8 | Art: Content and Analysis 5135 | 154 | |
| 114 - Art-5-12 | Art: Content and Analysis 5135 | 154 | |
| 1171 - Business - All - 5-12 | Business Education 5101 | 158 | |
| 119 - English/Language Arts-K-8 | Middle School English Language Arts 5047 | 152 | |
| Iowa Endorsement Number/Title | Praxis Content Knowledge Test/Number | | Required | Required Score AFTER 1 August 2018 |
|---|---|---|---|---|
| | | | Score | |
| | | | BEFORE | |
| | | | 1 August 2018 | |
| 120 - English/Language Arts-5-12 | English Language Arts: Content and Analysis 5039 | 164 | | |
| 1201 -Language Arts - All - 5-12 | English Language Arts: Content and Analysis 5039 | 164 | | |
| 121 - Chinese-K-8 | Chinese (Mandarin): World Language 5665 | 177 | | |
| 122 - Chinese-5-12 | Chinese (Mandarin): World Language 5665 | 177 | | |
| 123 - FrenchK-8 | French: World Language 5174 | 153 | | |
| 124 - French-5-12 | French: World Language 5174 | 153 | | |
| 125 - German-K-8 | German: World Language 5183 | 150 | | |
| 126 - German-5-12 | German: World Language 5183 | 150 | | |
| 129 - Latin-K-8 | Latin 5601 | 157 | | |
| 130 - Latin-5-12 | Latin 5601 | 157 | | |
| 133 - Spanish-K-8 | Spanish: World Language 5195 | 151 | | |
| 134 - Spanish-5-12 | Spanish: World Language 5195 | 151 | | |
| 137 - Health-K-8 | Health Education 5551 | 154 | | |
| Iowa Endorsement Number/Title | Praxis Content Knowledge Test/Number | | Required | Required Score AFTER 1 August 2018 |
|---|---|---|---|---|
| | | | Score | |
| | | | BEFORE | |
| | | | 1 August 2018 | |
| 139 - Family and Consumer Science - General-5-12 | Family and Consumer Sciences 5122 | 151 | | |
| 140 - Industrial Technology- 5-12 | Technology Education 5051 | 167 | | |
| 141 - Journalism-5-12 | Journalism 5223 | 157 | | |
| 142 - Mathematics-K-8 | Middle School Mathematics 5169 | 151 | | |
| 143 - Mathematics-5-12 | Mathematics: Content Knowledge 5161 | 135 | | |
| 144 - Music-K-8 | Music: Content Knowledge 5113 | 155 | | |
| 145 - Music-5-12 | Music: Content Knowledge 5113 | 155 | | |
| 146 - Physical Education- K-8 | Physical Education: Content and Design 5095 | 159 | | |
| 147 - Physical Education- 5-12 | Physical Education: Content and Design 5095 | 159 | | |
| 148 - Reading-K-8 | Teaching Reading 5204 | 156 | | |
| 149 - Reading-5-12 | Teaching Reading 5204 | 156 | | |
| 150 - Science-Basic-K-8 | Middle School Science 5440 | 137 | | |
| 151 - Biology-5-12 | Biology: Content Knowledge 5235 | 148 | | |
| 152 - Chemistry-5-12 | Chemistry: Content Knowledge 5245 | 141 | | |
| Iowa Endorsement Number/Title | Praxis Content Knowledge Test/Number | | Required | Required Score AFTER 1 August 2018 |
|---|---|---|---|---|
| | | | Score | |
| | | | BEFORE | |
| | | | 1 August 2018 | |
| 153 - Earth Science-5-12 | Earth and Space Science: Content Knowledge 5571 | 148 | | |
| 1541 - Basic Science 5-12 | General Science: Content Knowledge 5435 | 145 | | |
| 156 - Physics-5-12 | Physics: Content Knowledge 5265 | 130 | | |
| 157 - American Government- 5-12 | Government/Political Science 5931 | 149 | | |
| 158 - American History-5-12 | World and U.S. History: Content Knowledge 5941 | 145 | | |
| 160 - Economics-5-12 | Economics 5911 | 137 | | |
| 161 - Geography-5-12 | Geography 5921 | 158 | | |
| 162 - History-K-8 | Middle School: Social Studies 5089 | 149 | | |
| 163 - Psychology-5-12 | Psychology 5391 | 154 | | |
| 164 - Social Studies-K-8 | Middle School: Social Studies 5089 | 149 | | |
| 165 - Sociology-5-12 | Sociology 5952 | 160 | | |
| 166 - World History-5-12 | World and U.S. History: Content Knowledge 5941 | 145 | | |
| 167 - Speech Comm/Theatre-K-8 | Speech Communication 5221 or Theater 5641 | 5221: 150 | | |
| 168 - Speech Comm/Theatre-5-12 | Speech Communication 5221 or Theater 5641 | 5641: 159 | | |
| Iowa Endorsement Number/Title | Praxis Content Knowledge Test/Number | | Required | Required Score AFTER 1 August 2018 |
|---|---|---|---|---|
| | | | Score | |
| | | | BEFORE | |
| | | | 1 August 2018 | |
| 174 - Teacher Librarian-K-12 | Library Media Specialist 5311 | 154 | | |
| 176 - Reading Specialist- K-12 | Reading Specialist 5301 | 173 | | |
| 185 - All Science-9-12 | General Science: Content Knowledge 5435 | 145 | | |
| 186 - All Social Studies-5-12 | Social Studies: Content Knowledge 5081 | 150 | | |
| 262: Early childhood Special education | Early Childhood: Content Knowledge 5025 | 152 | | |
| 263: K-12 Instructional Strategist II: BD/LD | Fundamental Subjects: Content Knowledge 5511 | 160 | | |
| 264: K-12 Instructional Strategist II: MD | Fundamental Subjects: Content Knowledge 5511 | 160 | | |
| 265: K-12 Instructional Strategist II: Physically Handicapped | Fundamental Subjects: Content Knowledge 5511 | 160 | | |
| 266: Birth-21 Deaf or Hard of Hearing | Fundamental Subjects: Content Knowledge 5511 | 160 | | |
| 267: Birth-21 Visually Impaired | Fundamental Subjects: Content Knowledge 5511 | 160 | | |
|
RENIE INOW
Renie Inow was 10 years old when she travelled alone on the Kindertransport in 1939, leaving her parents behind in Germany. She continued to receive letters from them until 1939. Renie still has these letters, and some of them are shared here.
'When I said goodbye to my parents at Cologne train station, although there were many parents and children around I can only remember my parents and looking at their faces and thinking I might never see them again.'
Renie Inow (pronounced Renny) was born in Wuppertal, Germany in 1929 and was raised in a traditional Jewish family. Born to her father Max and mother Beatrice, she had an older sister, Margalit and brother, Alfred.
When Renie was six years old, her sister was sent to live in Sweden, where she remained until the end of the war. Renie's parents, understanding that their future might be in danger, decided the safest place for the family was away from Germany, so they tried to find ways to leave.
In 1939, tensions in Germany were high. The Nazis had been making life difficult for the Jewish population for a long time, but it was getting steadily worse. Renie remembers the feeling of hate that was building towards the Jews.
When Renie's brother Alfred was sent to Dachau concentration camp, the family feared the worst. Her parents were able to get a visa for Renie to leave Germany and travel to England on her own on the Kindertransport. She was 10 years old.
The Kindertransport was a unique humanitarian programme which ran between November 1938 and September 1939. Approximately 10,000 children, the majority of whom were Jewish, were sent away from their homes and families in Germany, Austria and Czechoslovakia, and went to Great Britain.
Renie began her new life in England, living with her Aunt Hedwig and her three cousins. She received many letters from her parents in Germany, which she treasured and still has in her possession today. From the letters they exchanged, we are able to tell a lot about Renie's life as a Kindertransportee.
We know that the journey for Jewish children was daunting and scary. Renie's father wanted to hear all about it. For many children it was the first time they would be away from their parents. He said in a letter to her:
'We are looking forward to reading your report about the journey, how you travelled, what you saw, how long you were on the way and where you stayed overnight. And what do you think of the sea and the large ships? The ships are much bigger than those you have seen on the Rhein.'
Renie's brother Alfred was released from Dachau concentration camp and allowed to join her in England in 1940.
Although life was very difficult for Renie's parents in Germany, in all their letters they wanted to maintain a positive tone of voice, so that Renie would not worry about them. A lot of the letters they sent were censored: the Nazis didn't want people outside the country to get any information about what was happening or what conditions were like for Jewish people. Therefore in their written exchanges they often recounted the times they spent together before the war. Her father wrote:
'Do you remember our prank with the blueberries? We sometimes used to buy some fruit before we returned home from our rambles in order to show Mother how much we had picked. A pity only that we could not keep our secret and soon we had to admit to Mother that we had cheated.'
The first birthday that Renie spent in England was bittersweet, and she received letters from many of her family members. Her mother wrote:
'My dear Renie, my very best wishes for your birthday. May you remain lovable and happy and a source of joy to everybody. Father and I think of you all the time.'
A few months after Renie moved to London, she was one of many children evacuated from the city to the countryside, away from the danger of Nazi air raids. Despite living safely in Hertfordshire and later in Worcestershire, Renie still felt isolated, and that no one understood what she was feeling. She recalls:
'I remember Mr and Mrs Barnes asking if I wanted to call them Mum and Dad. I was shocked as I wasn't ready to stop thinking about my mother and father in Germany. I resolved to call them 'Mum and Dad' but the words would mean the same as 'Mary and John' to me. I was living inside a bubble where I never felt like I fitted in.'
Renie stopped receiving letters from her parents in September 1939. She and her siblings did not know why. Her mother and father had been transported to Nazioccupied Poland. In 1941, they were taken from the Łódź Ghetto and murdered.
After the war Renie moved back to London from Worcestershire and completed a course in tailoring and learned dress making and cutting, although she did not enjoy this. She continued to write letters to her sister and brother. Later in her life she spent time in Israel and visited her home town of Wuppertal in Germany to tell her story to groups of schoolchildren.
The letters between Renie and her parents help us to think about what life was like for Jewish children who came to Britain in the war and what it was like for those who stayed in Germany and other Nazi-occupied countries.
Find out more...
The Holocaust: hmd.org.uk/holocaust
TheKindertransport: hmd.org.uk/kindertransport
RENIE INOW
Roedd Renie Inow'n 10 oed pan deithiodd ar ei phen ei hun ar y Kindertransport ym 1939, gan adael ei rhieni ar ôl yn yr Almaen. Parhaodd i dderbyn llythyrau ganddyn nhw nes 1939. Mae gan Renie'r llythyrau hyn o hyd ac mae rhai ohonyn nhw'n cael eu rhannu yma.
Ymddiriedolaeth
Diwrnod Cofio'r
Holocost
'pan ffarweliais â fy rhieni yng ngorsaf drenau Cologne, er bod yna lawer o rieni a phlant yno, yr unig gof sydd gen i yw fy rhieni a'u hwynebau a meddwl efallai na welwn i fyth mohonyn nhw eto'
Ganwyd Renie Inow (sy'n cael ei ynganu fel Renny) yn Wuppertal, yr Almaen ym 1929. Fe'i magwyd mewn teulu Iddewig traddodiadol, gyda'i thad, Max, ei mam, Beatrice, a'i chwaer a'i brawd hŷn, Margalit ac Alfred.
Pan oedd Renie'n chwech oed, cafodd ei chwaer ei hanfon i Sweden, ac yno y bu nes diwedd y rhyfel. Roedd rhieni Renie yn sylweddoli eu bod nhw mewn perygl felly dyma nhw'n penderfynu y byddai'r teulu'n fwy diogel i ffwrdd o'r Almaen ac felly fe aethon nhw ati i chwilio am ffyrdd o adael.
Ym 1939, roedd llawer iawn o densiwn yn yr Almaen. Roedd y Natsïaid wedi bod yn gwneud bywyd yn anodd iawn i'r boblogaeth Iddewig, ond roedd pethau'n raddol waethygu. Mae Renie'n cofio'r teimlad o atgasedd a oedd yn tyfu tuag at Iddewon.
Pan gafodd Alfred, brawd Renie, ei anfon i wersyll crynhoi Dachau, roedd y teulu'n ofni'r gwaethaf. Llwyddodd ei rhieni i gael fisa i Renie allu gadael yr Almaen a theithio i Loegr ar ei phen ei hun ar y Kindertransport. Roedd hi'n 10 oed.
Roedd y Kindertransport yn rhaglen ddyngarol unigryw a fu ar waith rhwng Tachwedd 1938 a Medi 1939. Cafodd tua 10,000 o blant, y mwyafrif yn Iddewon, eu hanfon o'u cartrefi a'u teuluoedd yn yr Almaen, Awstria a Tsiecoslofacia, i Brydain.
Dechreuodd Renie ei bywyd newydd yn Lloegr, yn byw gyda'i modryb Hedwig a'i thri chefnder. Derbyniodd lawer o lythyrau gan ei rhieni yn yr Almaen. Roedd hi'n trysori'r llythyrau ac mae wedi dal gafael arnynt hyd heddiw. O ddarllen y llythyrau rhyngddynt, gallwn ddysgu llawer am fywyd Renie fel Kindertransportee.
Gwyddom fod y daith i blant Iddewig yn un llawn ofn a phryder. Roedd tad Renie eisiau clywed popeth am y daith. I lawer o blant, dyma'r tro cyntaf iddyn nhw fod i ffwrdd o'u rhieni. Meddai ei thad mewn llythyr ati:
'Rydym ni'n edrych ymlaen at ddarllen hanes y daith, sut gwnest ti deithio, beth welaist ti, am faint fuest ti'n teithio a ble arhosaist ti dros nos. A beth wyt ti'n meddwl am y môr a'r llongau mawr? Mae'r llongau'n fwy o lawer na'r rhai rwyt ti wedi'u gweld ar y Rhein'
Cafodd Alfred, brawd Renie, ei ryddhau o wersyll crynhoi Dachau ac ymunodd â hi yn Lloegr ym 1940.
Er bod bywyd yn anodd iawn i rieni Renie yn yr Almaen, roedden nhw am swnio'n bositif yn eu llythyrau i gyd fel na fyddai Renie yn poeni amdanyn nhw. Cafodd llawer o'r llythyrau yr anfonon nhw eu sensro: doedd y Natsïaid ddim eisiau i bobl y tu allan i'r wlad gael unrhyw wybodaeth am yr hyn oedd yn digwydd neu sut amodau oedd yn wynebu'r bobl Iddewig. Felly yn eu llythyron bydden nhw'n aml yn sôn am yr amser iddyn nhw ei dreulio gyda'i gilydd cyn y rhyfel. Ysgrifennodd ei thad:
'Wyt ti'n cofio'r tric gyda'r llus? Weithiau bydden ni'n prynu ffrwyth ar y ffordd adre ar ôl bod am dro er mwyn dangos i Mam faint roedden ni wedi'i gasglu. Trueni nad oedden ni'n gallu cadw'r gyfrinach a'n bod ni wedi gorfod cyfaddef i Mam ein bod ni wedi twyllo.'
Roedd y pen-blwydd cyntaf a dreuliodd Renie yn Lloegr yn un chwerw-felys, a derbyniodd lythyron gan sawl aelod o'r teulu. Ysgrifennodd ei mam:
'Fy annwyl Renie, dymuniadau gorau ar gyfer dy benblwydd. Boed i ti aros yn annwyl ac yn hapus a dod â llawenydd i bawb. Mae dy dad a minnau'n meddwl amdanat drwy'r amser.'
Rai misoedd ar ôl i Renie symud i Lundain, cafodd hi a llawer o blant eraill eu symud o'r ddinas i'r wlad, i ffwrdd oddi wrth ymosodiadau'r Natsïaid o'r awyr. Er iddi fyw'n ddiogel yn Swydd Hertford ac yna yn Swydd Gaerwrangon, roedd Renie'n dal i deimlo'n unig, ac yn teimlo nad oedd unrhyw un deall sut roedd hi'n teimlo. Mae'n cofio:
''Rwy'n cofio Mr a Mrs Barnes yn gofyn i fi a o'n i am eu galw nhw'n Mam a Dad. Cefais sioc oherwydd doeddwn i ddim yn barod i stopio meddwl am fy mam a 'nhad yn yr Almaen. Penderfynais eu galw nhw'n 'Mam a Dad' ond byddai'r geiriau'n golygu'r un fath â 'Mair a Jac' i fi. Roeddwn i'n byw mewn breuddwyd a ddim yn teimlo fy mod i'n perthyn.'
Ni chafodd Renie ragor o lythyrau gan eu rhieni ar ôl Medi 1939. Doedd hi a'i brawd a chwaer ddim yn gwybod pam. Roedd ei mam a'i thad wedi cael eu cludo i Wlad Pwyl a oedd yn nwylo'r Natsïaid. Ym 1941, cawsant eu cymryd o Geto Łódź a'u llofruddio.
Ar ôl y rhyfel, symudodd Renie yn ôl i Lundain o Swydd Gaerwrangon a chwblhaodd gwrs teilwra a dysgodd sut i wnïo dillad a chreu patrymau dillad, ond doedd hi ddim yn mwynhau'r gwaith. Daliodd i ysgrifennu at ei chwaer a'i brawd. Maes o law treuliodd amser yn Israel ac aeth yn ôl i'r dref lle'i magwyd, Wuppertal yn yr Almaen, i rannu ei hanes gyda phlant ysgol.
Mae'r llythyron rhwng Renie a'i rhieni yn ein helpu i feddwl sut beth oedd bywyd i'r plant Iddewig ddaeth i Brydain yn ystod y rhyfel a sut beth oedd bywyd i'r rheini a arhosodd yn yr Almaen ac mewn gwledydd eraill a oedd yn nwylo'r Natsïaid.
hmd.org.uk/holocaust
Y:
hmd.org.uk/kindertransport
@hmd_uk
@holocaustmemorialdaytrust hmd.uk
Yr Holocost:
Kindertransport
|
IN THE UNITED STATES DISTRICT COURT FOR THE MIDDLE DISTRICT OF ALABAMA NORTHERN DIVISION
SECURITIES AND EXCHANGE COMMISSION,
)
)
)
Plaintiff,)
)
v.
)
CASE NO. 2:02-CV-1372-WKW
)
ASSET RECOVERY AND MANAGEMENT TRUST, S.A., et al.,
)
)
)
Defendants.)
MEMORANDUM OPINION AND ORDER
Before the court is Plaintiff Securities and Exchange Commission's ("Commission" or "SEC") Motion for Summary Judgment (Doc. # 231) on the Commission's claims against Defendant Milton E. Vaughn ("Mr. Vaughn"). The motion is accompanied by evidence and a memorandum of law. (Doc. # 232.) Mr. Vaughn filed a two-paragraph, unsupported statement in response to the Commission's motion. (Doc. # 233.) After careful consideration of the arguments of counsel, the relevant law and the record as a whole, the court finds that the motion is due to be granted.
I. JURISDICTION AND VENUE
The court properly exercises subject matter jurisdiction over this action pursuant to 28 U.S.C. § 1331. The parties do not contest personal jurisdiction or venue, and the court finds adequate allegations of each.
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II. STANDARD OF REVIEW
Summary judgment should be granted only "if the pleadings, the discovery and disclosure materials on file, and any affidavits show 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). Under Rule 56, the moving party "always bears the initial responsibility of informing the district court of the basis for its motion." Celotex Corp. v. Catrett, 477 U.S. 317, 323 (1986). "[T]he court must view all evidence and make all reasonable inferences in favor of the party opposing summary judgment." Haves v. City of Miami, 52 F.3d 918, 921 (11th Cir. 1995). The movant can meet this burden by presenting evidence showing that there is no genuine issue of material fact, or by showing that the non-moving party has failed to present evidence in support of some element of its case on which it bears the ultimate burden of proof. Celotex Corp., 477 U.S. at 322-23.
Once the moving party has met its burden, "an opposing party may not rely merely on allegations or denials in its own pleading; rather, its response must – by affidavits or as otherwise provided in this rule – set out specific facts showing a genuine issue for trial." Fed. R. Civ. P. 56(e)(2). To avoid summary judgment, the nonmoving party "must do more than simply show that there is some metaphysical doubt as to the material facts." Matsushita Elec. Indus. Co. v. Zenith Radio Corp., 475 U.S. 574, 586 (1986). A genuine factual dispute exists if "a reasonable jury could return a verdict for the non-moving party." Damon v. Fleming Supermarkets, Inc., 196 F.3d 1354, 1358 (11th Cir. 1999) (internal quotation marks and citation omitted). After the nonmoving party has responded to the motion for summary judgment, the court must grant summary judgment if there is no genuine issue of material fact and the moving party is entitled to judgment as a matter of law. Fed. R. Civ. P. 56(c).
III. FACTS 1
A. Introduction
The SEC commenced this action based on allegations that, beginning in late 1999 and continuing at least into 2002, Mr. Vaughn and others participated in an Internet-based "Prime Bank" scheme through an entity called Asset Recovery and Management Trust, S.A., a/k/a Armtrust, S.A. ("ARM" or "Armtrust"). "Prime Bank" schemes are "common fraud[s] in 2 which the perpetrators solicit investments by telling prospective investors that the investors' money will be invested in high-yield bank-issued securities not available or even known to the general public." Sec. & Exch. Comm'n v. Lyttle, 538 F.3d 601, 602 (7th Cir. 2008).
As described more fully below, the SEC has presented evidence that the ARM scheme defrauded numerous U.S. investors out of at least $1.2 million. Primarily through its website, ARM offered two things: (1) "recovery services" in which ARM would attempt to recover lost or stolen funds for individual who had invested in other Prime Bank trading programs; and (2) investments in ARM's own supposed high-yield offshore trading programs. In
These facts are undisputed. Mr. Vaughn's opposition to the Commission's motion for 1 summary judgment, which consists of a two-sentence denial of liability, included no materials rebutting the factual submissions by the SEC. (Doc. # 233.)
ARM also was named as a defendant in this action. By Order dated October 6, 2008, the court 2 allowed the SEC's motion for default judgment against ARM (Doc. # 238) and entered judgment in favor of the SEC and against ARM (Doc. # 239). Based on the SEC's subsequently-filed motion (Doc. # 241) and evidence garnered by the SEC in its additional investigation of the minimum loss to the investors whom Defendants defrauded, the court by separate Order has amended that judgment to reflect the additional losses and that liability among Defendants is joint and several.
particular, the SEC submits evidence that ARM targeted victims of a prior scam by nowdeceased Defendant Frank Johnson ("Mr. Johnson") called the International Benevolent Fund Trust ("IBFT").
Through emails and its website, ARM told investors they could earn between eight and sixteen times their original investments in a matter of months. ARM also guaranteed that the investors' principal was "fully secured" and never at risk. However, ARM's trading programs never existed. Investors were instructed to send funds to ARM's office in Costa Rica. Once it received the funds, ARM provided investors with documents and correspondence claiming that it had invested the monies in the purported trading programs, along with periodic updates on how the programs supposedly were progressing. When investors attempted to recoup their investments, however, ARM refused to provide the promised profits.
B. Mr. Johnson's Previous Prime Bank Scheme
On October 14, 1999, in an information, the United States Attorney for the Middle District of Alabama charged Mr. Johnson with engaging in the IBFT Prime Bank scheme and defrauding IBFT investors of approximately $625,000. (Doc. # 114 (SEC's App. to Mot. Summ. J., Tab 14).) As charged, Mr. Johnson managed IBFT, controlled the fund and maintained contact with IBFT investors. (Doc. # 114 (Tab 14).) When investors were not paid according to schedule, Mr. Johnson caused a phone message to be made accessible to IBFT investors in which Mr. Johnson falsely represented that he did not receive compensation, commissions or benefits from IBFT when, in fact, he used their money for his own benefit and to purchase real property for his benefit. (Doc. # 114 (Tab 14).) Mr. Johnson pleaded guilty to the information which charged him with wire fraud, in violation of 18 U.S.C. § 1343. (Doc. # 232 (Suppl. Ex. 1 to SEC's Mot. Summ. J.).)
C. Mr. Johnson's Introduction of ARM to His IBFT Victims
In November 1999 – one month after entering his plea agreement but still eight months before being incarcerated – Mr. Johnson informed IBFT investors by a signed letter that the IBFT trading program had earned profits, but that the profits had been illegally withheld by certain individuals and/or companies that administered IBFT's trading. (Doc. # 114 (James E. Smith Dep. at 26-31, Tab 9); Doc. # 114 (Johnson letter to IBFT investors, Tab 17); Doc. # 232 (Suppl. Ex. 2).) To solve this problem, Mr. Johnson stated that he had contracted with ARM – "a renowned international organization" – to recover these supposed profits. (Doc. # 114 (Tab. 17).) Mr. Johnson represented that IBFT had "carefully studied and considered every aspect of [ARM's] services and elected to retain [ARM] to represent IBFT." (Doc. # 114 (Tab. 17).) Mr. Johnson directed IBFT investors to ARM's website stating that they would be receiving an informational package from ARM shortly. In addition, at least one investor received a letter purporting to be from Mr. Johnson advising the investor that his IBFT profits could be reinvested in ARM's trading programs. Mr. Johnson also referred investors to ARM's website through a voice recorded messaging service that he periodically used to update IBFT investors regarding their investments. (Doc. # 114 (Smith Dep. at 60-62, Tab 9); Doc. # 114 (Timothy McKenzie Dep. at 11-12, Tab 8).) In addition, investors received correspondence from ARM – specifically addressed to "Clients of I.B.F.T." – which referenced the fact that ARM had entered into an agreement with IBFT and "Reverend Johnson" to recover funds owed to IBFT investors. (Doc. # 114 (Tab 13A); Doc. # 232 (Suppl. Ex. 3).)
After Mr. Johnson referred his IBFT victims to ARM, ARM's operations continued and additional investors were contacted. On December 23, 1999, Mr. Vaughn and codefendant Carlos Fernandez Alfaro ("Mr. Alfaro") registered ARM as a Costa Rican corporation. (Doc. # 114 (Tab 18).) ARM also began sending letters to IBFT investors stating that it had been retained to recover IBFT's profits. (Doc. # 114 (Tabs 13A & 17; Doc. # 232 (Suppl. Ex. 2).) At the same time, ARM offered IBFT investors the opportunity to join ARM's own high-yield, offshore trading programs, which were similar to IBFT's supposed programs. (Doc. # 114 (Tab 13A).) ARM, however, claimed its programs were safe because investors' funds remained in ARM's account during the trading period and could be withdrawn by investors at any time. (Doc. # 114 (Tab 12B).) According to ARM, this factor eliminated the risk of middlemen absconding with investor funds, which ARM claimed was what had happened to the IBFT funds. (Doc. # 114 (Tab 13A).)
D. ARM's Trading Programs
Between November 1999 and July 2000, ARM enticed investors to join its purported trading programs. (Doc. # 114 (Tab 11A, Tab 12A, Tab 13B).) ARM's programs, which were described in documents provided to investors and on ARM's website, allegedly involved trading debt instruments known as "bank debentures" and "standby letters of credit" through "world trading banks." (Doc. # 114 (Tab 11A, B, C; Tab 12B, C, D; Tab 13B, C,
D, E).) ARM's website stated that these instruments were traded in forty-week cycles, conformed to the practices set forth by the "International Chamber of Commerce," and were fully secured by a bank endorsed guarantee. (Doc. # 114 (Tab 12B).) ARM's website further stated that these programs were not generally known and were typically available only to select investors with millions of dollars. (Doc. # 114 (Tab 12B).) ARM stated, however, that by pooling funds together, investors could participate in its programs for as little as $100 per person. (Doc. # 114 (Tab 12B).)
ARM offered investors the opportunity to participate in various trading programs. None of ARM's offerings was ever registered with the Commission. To participate in the trading programs, investors entered into "joint venture contracts" with ARM. (Doc. # 114 (Tab 11A, Tab 12A, Tab 13C).) Under the contracts, ARM claimed it would pool investor funds and trade them through world banks, with expected returns of between eight and fifteen times the principal invested in three to ten months. (Doc. # 114 (Tab 11A, Tab 12A, Tab 13C).) ARM assured investors that their principal was secure and could be withdrawn at any time and encouraged investors to solicit others to join ARM's trading programs. (Doc. # 114 (Tab 11B, Tab 12A, Tab 13C, D).)
From the outset, through its recorded updates and in emails, ARM informed investors that its trading programs were producing the expected profits. (Doc. # 114, Tommy Buckley Dep. at 39 (Tab 2); Linda Crowe Dep. at 20-22 (Tab 3); Marlene Hall Dep. at 38-42 (Tab 4).) As the joint venture contracts supposedly matured, ARM offered investors the opportunity to roll the funds into new programs or withdraw their principal and profits. When some investors requested their funds, however, ARM either failed to pay out the purported profits or provided investors with a nominal "partial payout." (Doc. # 114 (Tab 2 at 40-44); Doc. # 114 (Tab 4 at 42-46).) In other instances, ARM provided several varying and false explanations for delaying payments. For example, in May 2001, ARM claimed that a hurricane hit an island where the payments were administered, disrupting trading and delaying payments. (Doc. # 114 at 40 (Tab 2).) In September 2001, ARM claimed that the heightened scrutiny of money transfers in the aftermath of September 11th prevented it from making payments. (Doc. # 114 (Tab 11E).) Beginning in June 2001, ARM advised investors that the SEC's investigation was hindering the distribution of profits and stated that anyone who assisted the investigation would lose both his principal investment and profits. (Doc. # 114 (Tab 11D; Tab 12I, J).) The SEC's investigation uncovered only one investor who received any profits from ARM's programs. (Doc. # 114 (Tab 2 at 40-41; Tab 3 at 17-18; Tab 4 at 45-46; Tab 9 at 46-58).) The investor who saw a return of funds did so only after repeated entreaties and threats to ARM. (Doc. # 114 (Tab 9 at 48-58).)
E. The Flow of Investors' Funds
ARM raised at least $1.2 million through its scam. (Doc. # 242 (Keith Prive Decl. ¶¶ 4-5).) The SEC's investigation revealed records of correspondent accounts held by Costa Rican banks at U.S. banks; those records showed that there were four Costa Rican banks into which investor funds were deposited. (Doc. #114 (Tabs 20-24).) No data was presented from the Costa Rican banks themselves. 3
ARM directed its investors to send their cashier's checks directly to Costa Rica. (Doc. # 114 (Tab 2 at 22; Tab 3 at 9-10; Tab 4 at 9).) From there, ARM deposited more than $900,000 of investor funds into The Reserve Fund, a New York-based investment company. (Doc. # 242 (Prive Decl.).) Mr. Vaughn and Mr. Alfaro had signature authority over ARM's account at The Reserve Fund. (Doc. # 114 (Tab 20).) Mr. Vaughn drew on those funds to pay certain of ARM's expenses; however, the vast majority of the funds were sent back offshore. (Doc. # 232 (Suppl. Ex. 5 at 113-115, 118-21).) The records from The Reserve Fund include hundreds of checks and money orders from investors that were made payable to ARM, including some that flowed through Bantec Internacional, S.A., one of ARM's Costa Rican banks. (Doc. # 242 (Prive Decl. ¶ 6).) ARM also deposited about $20,000 directly into an account held in the name of AAA Management Services, Inc., a company Mr. Vaughn controlled. (Doc. # 114 (Tabs 20 & 22).)
F. The Roles of Mr. Johnson and Mr. Vaughn in the ARM Fraud
The Commission asserts that ARM was designed to make it difficult to trace the company's operations to particular individuals. ARM communicated with investors only in impersonal ways: by messages on its website, through email, in fax transmissions, and through call-in access to prerecorded voice mail messages. As the investor depositions and
The SEC indicated that it was unable to get documentation from the Costa Rican banks 3 directly. Although Letters Rogatory were sent from the United States to Costa Rica seeking this information, there was no response. (Doc. # 242 (Prive Decl. ¶ 4).)
documentation show, ARM's correspondence typically was signed simply "Armtrust" or "J.W. Williamson." (Doc. # 114 passim.) Records from Interland, Inc., the firm that hosted ARM's website, show that ARM paid for the service through a credit card issued by Bantec Internacional, S.A., a Costa Rican bank at which ARM had an account. (Doc. # 114 (Tab 16).) The name on the credit card was "R.W. Williamson." (Doc. # 114 (Tab 16).) Like the "J.W. Williamson" whose name appears on some of the ARM correspondence, there is no evidence that any such person exists. ARM's designated representative at Bantec was Carlos Fernandez, which is a shortened version of Mr. Alfaro's full name. ARM investors have never been able to speak directly with any ARM personnel. (Doc. # 114 passim.) In short, the evidence shows that the individuals behind ARM went to great lengths to hide their identities. Notwithstanding those efforts, evidence ties Mr. Johnson and Mr. Vaughn to the fraud perpetrated by and through ARM.
1. Frank R. Johnson
Shortly after pleading guilty to wire fraud in connection with the IBFT fraud, Mr. Johnson directed – by letter and voice mail recordings – IBFT investors to ARM's website, claiming that he had retained ARM to recover IBFT's funds. Mr. Johnson encouraged investors to support ARM and vouched for ARM's integrity. (Doc. # 114 (Tab 9 at 26-31); (Tab 17); Doc. # 232 (Suppl. Ex. 2).) In addition, on May 27, 2001, Mr. Johnson was appointed to ARM's board of directors and named its treasurer. (Doc. # 232 (Suppl. Ex. 4).)
Additional evidence from January 2002 links Mr. Johnson to ARM and its operations. On January 11, 2002, and January 12, 2002, in an email updating its investors, ARM indicated that it had discovered another money-making opportunity that would help investors meet their immediate financial needs. (Doc. # 114 (Tab 19).) This opportunity was the chance to invest in a multi-level network marketing program operated by The Legacy Foundation International ("Legacy"). Legacy sought members to join its program, which provided online educational materials. New Legacy members would solicit others to join Legacy and receive commissions for each recruit, each recruit's recruit, and so on. In its January 11 and 12 emails, ARM told its investors that most of its management had joined Legacy, and offered to enroll interested ARM investors in Legacy's program. (Doc. # 114 (Tab 19).) Because of the structure of Legacy's payment scheme, those ARM investors who signed up for Legacy's program would generate commissions for ARM or for the individual behind ARM, on whose behalf the solicitation was being done. (Doc. # 114 (Tab 19).)
Mr. Johnson was one of the individuals responsible for ARM's January 11 and 12 emails. One of the individuals whom ARM contacted with its solicitation about Legacy was Michael Pope ("Mr. Pope"). (Doc. # 114 (Tab 19).) Mr. Pope was an IBTF investor who lost money in IBTF and then was referred to ARM by Mr. Johnson. (Doc. # 114 (Tab 19).) Mr. Pope informed ARM that he wished to participate in the Legacy program. (Doc. # 114 (Tab 19).) After he enrolled, and was assigned the report number 103409, emails generated by Legacy identified Mr. Johnson as the person responsible for enrolling Mr. Pope and benefitting from his participation. (Doc. # 114 (Jan. 14, 2002 email, Tab 19); Edward Hilovsky Dep. at 9-25 (Tab 5); Bruce Lauzon Dep. at 4-10 (Tab 7).)
2. Milton E. Vaughn
Mr. Vaughn was a cofounder of ARM and its president. (Doc. # 114 (Tab 18).) Mr. Vaughn was a signatory on one of ARM's accounts at The Reserve Fund and made payments from that account for ARM's telephone and fax services. (Doc. # 114 (Tabs 15 & 20).) ARM also deposited about $20,000 directly into an account of an entity Mr. Vaughn controlled. (Doc. # 114 (Tab 22).)
Mr. Vaughn asked Mr. Alfaro to register ARM as a corporation in Costa Rica. (Doc. # 114 (Tab 22 at 34-35).) Mr. Vaughn also requested that ARM be able to receive mail at Mr. Alfaro's offices in Costa Rica. (Doc. # 232 (Suppl. Ex. 5 at 35-36).) Mail addressed to ARM and related entities went to Mr. Vaughn or individuals associated with Mr. Vaughn. (Doc. # 232 (Suppl. Ex. 5 at 63-67).) Mr. Alfaro, from his dealings with and observations of ARM, identified Mr. Vaughn as the "boss" of that entity. (Doc. # 232 (Suppl. Ex. 5 at 69-70, 188-90).)
Acting at Mr. Vaughn's direction, Mr. Alfaro opened up bank accounts for ARM in Costa Rica. (Doc. # 232 (Suppl. Ex. 5 at 91-105).) And, at Mr. Vaughn's direction or at the direction of those who were directed by Mr. Vaughn, Mr. Alfaro used those accounts to pay ARM's expenses and to send wire transfers of investor monies. Some of these wire transfers were to financial institutions in Latvia. (Doc. # 232 (Suppl. Ex. 5 at 125-33).) The money used to pay ARM expenses and transferred internationally was money from investors. (Doc. # 232 (Suppl. Ex. 5 at 152-55).)
IV. DISCUSSION
A. Defendant Vaughn Committed Securities Fraud
1. The Applicable Securities Law
Section 17(a) of the Securities Act prohibits the following misconduct in the offer or sale of securities: (1) devices, schemes or artifices to defraud; (2) obtaining money or property by means of materially false or misleading statements; and (3) transactions, practices or courses of business that operate as a fraud or deceit. 15 U.S.C. §77q(a). Section 10(b) of the Exchange Act and Rule 10b-5 thereunder prohibit similar misconduct in connection with the purchase or sale of securities. 15 U.S.C. § 78j(b); 17 C.F.R. § 240.10b-5.
A misstatement or omitted fact is material if there is a substantial likelihood that a reasonable investor would attach importance to the fact misrepresented or omitted in determining his or her course of action. Basic, Inc. v. Levinson, 485 U.S. 224, 231-32 (1988); Sec. & Exch. Comm'n v. Carriba Air, Inc., 681 F.2d 1318, 1323-24 (11th Cir. 1982). Unlike a private plaintiff, however, the Commission need not prove that investors actually relied upon the misrepresentations. Sec. & Exch. Comm'n v. Rana Research, Inc., 8 F.3d 1358, 1364 (9th Cir. 1993); Sec. & Exch. Comm'n v. Infinity Group Co., 993 F. Supp. 324, 327 (E.D. Pa. 1998), aff'd, 212 F.3d 180 (3d Cir. 2000). Even were the SEC held to the higher standard, the evidence in this case establishes that investors relied on the misrepresentations of Defendants, including Mr. Vaughn.
Violations of Section 17(a)(1), Section 10(b) and Rule 10b-5 require a showing of scienter. Aaron v. Sec. & Exch. Comm'n, 446 U.S. 680, 686 & n.5, 697 (1980); Ernst & Ernst v. Hochfelder, 425 U.S. 185, 194 & n.12 (1976); Ross v. Bank South, N.A., 885 F.2d 723, 728 (11th Cir. 1989). Recklessness satisfies the scienter requirement. Sec. & Exch. Comm'n v. Southwest Coal & Energy Co., 624 F.2d 1312, 1320 (5th Cir. 1980). "Reckless 4 conduct" is "defined as a highly unreasonable omission, involving not merely simple, or even unexcusable negligence, but an extreme departure from the standards of ordinary care, and which presents a danger of misleading buyers or sellers that is either known to the defendant or is so obvious that the actor must have been aware of it." Id. at 1321 n.17.
As set forth below, Mr. Vaughn committed securities fraud for purposes of Section 17(a)(i), Section 10(b) and Rule 10b-5. The evidence establishes that his conduct was intentional. ARM was a sham. Mr. Vaughn, one of ARM's principal actors, acted intentionally to carry out ARM's solicitations of investors, and the management of ARM, with that direct knowledge. His actions also satisfy the "reckless" standard; any reasonable person in his position – as a principal of ARM – who made even the most cursory review of ARM's business activities would discern that those activities were not legitimate and that they were designed to defraud those who were targeted as investors.
In Bonner v. City of Prichard, the Eleventh Circuit adopted as binding precedent all decisions 4 of the former Fifth Circuit issued prior to October 1, 1981. See 661 F.2d 1206, 1209 (11th Cir. 1981) (en banc).
2. Mr. Vaughn, via ARM, Made Material Misrepresentations to Investors
Mr. Vaughn, directly and indirectly, made false and misleading statements to the investors about the existence of the purported trading program, the expected profits, and the guarantees for the investment. ARM's purported trading program – trading in obscure bank instruments by unidentified persons in undisclosed locations, generating extraordinary returns – is a typical "prime bank" scheme. See, e.g., Lyttle, 538 F.3d at 602-03 (discussing "prime bank" schemes). The misrepresentations were material because a reasonable investor would want to know that the investments in question did not exist and that the risk of loss was very high. See Sec. & Exch. Comm'n, No. 95cv3099, 1997 WL 767570, at *3 (S.D.N.Y. Dec. 10, 1997) (fictitious "prime bank guarantees"); Sec. & Exch. Comm'n, No. 94cv5737, 1995 WL 562180, at *3 (S.D.N.Y. Sept. 20, 1995) (fictitious "prime bank notes"). As the Seventh Circuit has explained,
An elementary form of such misrepresentation is misrepresenting an interest as a security when it is nothing of the kind. Konex told Lauer that the $ 10 million (later $ 14 million) that he was investing with Konex would be used along with investments by other investors to purchase Prime Bank Instruments. The effect was to represent Lauer's interest as being an investment contract. It was nothing of the kind. It was the perilous deposit of money with a fraud.
Sec. Exch. Comm'n v. Lauer, 52 F.3d 667, 670-71 (7th Cir. 1995).
3. The Misrepresentations Were in connection with the Purchase or Sale of Security For two reasons, the court finds that the misrepresentations by Mr. Vaughn were made in connection with the purchase or sale of a security. First, investments in the trading program were "investment contracts" and were "securities." Section 2(a)(1) of the Securities Act and Section 3(a)(l0) of the Exchange Act both define "security" to include "investment contract." 15 U.S.C. § 77b(a)(1); 15 U.S.C. § 78c(a)(10). An "investment contract" requires: "(1) the investment of money (2) in a common enterprise (3) with an expectation of profits to be derived solely from the efforts of the promoter or a third party." Sec. Exch. Comm'n v. SG Ltd., 265 F.3d 42, 46 (1st Cir. 2001).
Here, all three prongs are satisfied. First, the investors parted with their money in "anticipation of investment gains." Id. at 49. Second, there was a common enterprise because the investors' funds were to be pooled "in such a manner that all share in the profits and risks of the enterprise." Id. at 50. Third, the expectation of profits rested solely on the efforts of others (those responsible for the operations of ARM). Id. at 53.
Courts readily have concluded that investments in similar trading programs constituted investment contracts and thus securities. See Sec. Exch. Comm'n v. Deyon, 977 F. Supp. 510, 516-17 (D. Me. 1997) (joint venture to trade in prime bank debentures was "investment contract" because investor funds were pooled and fortunes of investors and promoters were linked), aff'd., 201 F.3d 428 (1st Cir. 1998) (unpublished); Sec. Exch. Comm'n v. Pinckney, 923 F. Supp 76, 82 (E.D.N.C. 1996) (investment program involving letter of intent from "top five U.S. bank" was "investment contract" because promoters' and investors' profits were linked).
For this purpose, it does not matter that ARM's trading program did not actually exist. As the Eleventh Circuit has observed, "[T]he fact that an investment company's operations are a sham . . . does not mean that the investment company can avoid" the federal securities laws. Sec. Exch. Comm'n v. Unique Fin. Concepts, Inc., 196 F.3d 1195, 1200 (11th Cir.
1999). Indeed, in the same opinion, the Eleventh Circuit approved the Seventh Circuit's observation that "'[i]t would be a considerable paradox if the worse the securities fraud, the less applicable the securities laws.'" Id. (quoting Lauer, 52 F.3d at 670). For this reason, several courts have concluded that the federal securities laws apply to non-existent "prime bank" schemes. See, e.g., Lauer, 52 F.3d at 670-71; Sec. Exch. Comm'n v. Bremont, 954 F. Supp. 726, 730-31 (S.D.N.Y. 1997); Sec. Exch. Comm'n v. Gallard, No. 95cv3099, 1997 WL 767570, at *5 (S.D.N.Y. Dec. 10, 1997).
4. Mr. Vaughn Acted Recklessly
Because "prime bank" instruments do not exist, courts repeatedly have held that the promoters of such schemes acted recklessly. See, e.g., Infinity Group, 212 F.3d at 194 (final judgment); Deyon, 977 F. Supp. at 516 (final judgment); Bremont, 954 F. Supp at 730 (interim asset freeze); Gallard, 1997 WL 767570, at *4 (summary judgment). The reason is apparent. What "prime banks" claim to offer – a combination of huge returns and no risk – is "inconceivable on its face" and imposes a heightened duty to investigate. Deyon, 977 F. Supp. at 517; Sec. Exch. Comm'n v. Milan Capital, No. 00cv108, 2000 WL 1682761, at *5 (S.D.N.Y. Nov. 9, 2000). Hence, in Gallard, Deyon and Infinity Group, notwithstanding the promoters' protestations that they genuinely believed in such programs, the courts concluded that, because the promoters failed to conduct adequate investigations, they acted with the requisite scienter. In Gallard, for example, the defendant recruited investors for such a program even though he did not try to verify the existence of the prime bank instruments and was aware of no one who had successfully invested in such a program. 1997 WL 767570, at *4. In Deyon, the defendant failed to perform a background check and proceeded with the program even though his request for a bank statement was ignored. 977 F. Supp. at 517-518. In Infinity Group, the defendants failed to obtain certified financial statements, to ask about guarantees or insurance, or to obtain a legal opinion or certificates of good standing. 212 F.3d at 194-95.
Here, there is no evidence to indicate that Mr. Vaughn genuinely believed that ARM's investment programs were real. Even if there were such evidence, Mr. Vaughn's conduct in raising investor funds for the program similarly was reckless. Moreover, although it is not necessary to the analysis above, nor to the court's conclusion, Mr. Vaughn's assertion of his Fifth Amendment rights against self-incrimination throughout this proceeding reinforces that conclusion. A court in a civil action may draw an adverse inference against a party that asserts its Fifth Amendment right against self-incrimination. See Baxter v. Palmigiano, 425 U.S. 308, 318 (1976); LiButti v. United States, 107 F.3d 110, 121-24 (2d Cir. 1997). Such inferences are not uncommon in SEC enforcement actions. See, e.g., Sec. Exch. Comm'n v. Zimmerman, 854 F. Supp. 896, 899 (N.D. Ga. 1993); Pagel, Inc. v. Sec. Exch. Comm'n, 803 F.2d 942, 947 (8th Cir. 1986); Milan Capital Group, Inc., 2000 WL 1682761, at *7. Because Mr. Vaughn asserted his Fifth Amendment right against self-incrimination throughout this proceeding (at deposition, in response to interrogatories, and in response to requests for the production of documents), the court draws an adverse inference against him. (See Doc. # 114 (Tabs 1, 6, 10).)
B. Mr. Vaughn and ARM Offered and Sold Unregistered Securities
Sections 5(a) and 5(c) of the Securities Act prohibit the offer or sale of unregistered securities in the absence of an applicable exemption from registration. 15 U.S.C. § 77e(a), (c). Here, as set forth above, the investments in ARM's purported trading program were "securities" for purposes of the federal securities laws. ARM sold the securities, since the company dealt directly with the investors, conceived of or planned the scheme by which the securities were sold, and was a substantial factor in the sale of the securities. See Sec. Exch. Comm'n v. Friendly Power, 49 F. Supp. 2d 1363, 1371 (S.D. Fla. 1999); see also Sec. & Exch. Comm'n v. Southwest Coal & Energy Co., 624 F.2d 1312, 1315 (5th Cir. 1980). Mr. Vaughn sold the securities because he (with others) was responsible for the operation of ARM. ARM and the individual defendants did not register the interests in the trading program with the Commission. Accordingly, Mr. Vaughn and ARM violated Sections 5(a) and 5(c) of the Securities Act.
C. Relief
1. Permanent Injunction against Mr. Vaughn
Having found that the SEC is entitled to summary judgment against Mr. Vaughn on liability, the court turns to the issue of relief. The SEC asks for a permanent injunction against further violations of the federal securities laws pursuant to Section 20(b) of the Securities Act and Section 21(d)(1) of the Exchange Act. 15 U.S.C. § 77t(b); 15 U.S.C. § 78u(d)(1). Such a remedy is appropriate if the defendant's conduct indicates that there is a reasonable likelihood of further violations. Sec. Exch. Comm'n v. Savoy Indus., 587 F.2d 1149, 1168 (D.C. Cir.
1978); Sec. Exch. Comm'n v. Manor Nursing Centers, Inc., 458 F.2d 1082, 1100 (2d Cir. 1972). When assessing the likelihood of recurrence, courts have considered, among other things, the nature of the defendant's conduct, the degree of scienter, and whether the violation is an isolated or repeated occurrence. Sec. Exch. Comm'n v. Universal Major Indus., 546 F.2d 1044, 1048 (2d Cir. 1976); Sec. Exch. Comm'n v. Ingoldsby, No. 88-1001, 1990 WL 120731, at *2 (D. Mass. May 15, 1990).
Here, the need for injunctive relief against Mr. Vaughn is compelling. Over the course of more than two years, Defendants defrauded hundreds of investors of at least $1.2 million for an imaginary trading program, promising enormous, and ultimately unattainable, returns on investments. Accordingly, the court will enjoin Mr. Vaughn from further violations of the federal securities laws.
2. Disgorgement
Disgorgement is an equitable remedy "designed to deprive a wrongdoer of his unjust enrichment and to deter others from violating the securities laws." Sec. Exch. Comm'n v. First City Fin. Corp., 890 F.2d 1215, 1230 (D.C. Cir. 1989). It has long been recognized that the "deterrent effect of an SEC enforcement action would be greatly undermined if securities law violators were not required to disgorge illicit profits." Manor Nursing, 458 F.2d at 1104. The amount of disgorgement "need only be a reasonable approximation of profits causally connected to the violation." First City Fin. Corp., 890 F.2d at 1231-32.
Here, the court finds that the basis for an order of disgorgement is apparent, since Mr. Vaughn defrauded hundreds of investors. The SEC seeks a disgorgement order against Mr.
Vaughn in the amount of $1.2 million. (Doc. # 241 at 3.) The court finds that the undisputed evidence supports and justifies the SEC's request. Namely, the SEC has submitted a declaration from Keith Prive and supporting documents, which establish that at least $1.2 million in profits was "causally connected to the violation." Id. Accordingly, the court will order that Mr. Vaughn pay $1.2 million in disgorgement, plus prejudgment interest calculated in accordance with the rate used by the Internal Revenue Service for tax underpayments compounded quarterly. 17 C.F.R. § 201.600(a). Liability is joint and several in this case, in which Defendants had a close relationship, see supra footnote 2; among other things, Mr. Vaughn caused Armtrust to be founded and was "the boss" according to one knowledgeable witness. (Doc. # 232 (Suppl. Ex. 5 at 69-70, 188-90)); see, e.g., Sec. Exch. Comm'n v. Calvo, 378 F.3d 1211, 1215-16 (11th Cir. 2004).
C. Civil Monetary Penalty
Section 20(d)(2) of the Securities Act and Section 21(d)(3) of the Exchange Act authorize a civil monetary penalty for certain violations of the federal securities laws. 15 U.S.C. § 77t(d)(2); 15 U.S.C. § 78u(d)(3). By enacting these penalty provisions, "Congress sought to achieve the dual goals of punishment of the individual violator and deterrence of future violations." Sec. Exch. Comm'n v. Moran, 944 F. Supp. 286, 296 (S.D.N.Y. 1996). For violations involving fraud, deceit or manipulation and that directly or indirectly result in or create the risk of substantial losses to others, it is permissible to impose a third-tier penalty in an amount up to the greater of $120,000 or the defendant's gross pecuniary gain as a result of each violation. 15 U.S.C. § 77t(d)(2); 15 U.S.C. § 78u(d)(3); 17 C.F.R. §§ 201.1001, 1002. The exact amount of the penalty is for the court's discretion.
In this case, as described above in the disgorgement discussion, the ill-gotten gains from the Armtrust scam totaled at least $1.2 million. Mr. Vaughn was a principal of
Armtrust. In its summary judgment motion, the Commission asks for a "substantial penalty"
against Mr. Vaughn in light of what it calls his "flagrant misconduct." (Doc. # 232 at 21.)
In a more recent filing, the Commission asks for a civil penalty of $1.2 million against Mr.
Vaughn, citing the egregiousness of the violations, the harm to innocent third parties, and the degree of
scienter. (Doc. # 241 at 3-4.)
Having considered the SEC's argument in light of the facts, the court finds that the requested penalty is warranted. Accordingly, the court will
See order that Mr. Vaughn pay a civil penalty of $ 1.2 million.
15 U.S.C. § 77t(d)(2)(C), 15
U.S.C. § 78u(d)(3)(B)(iii).
V. CONCLUSION
For the foregoing reasons, it is ORDERED that Plaintiff Securities and Exchange Commission's Motion for Summary Judgment (Doc. # 231) is GRANTED. An appropriate judgment will be entered.
DONE this 3rd day of November, 2008.
/s/ W. Keith Watkins
UNITED STATES DISTRICT JUDGE
|
PULSE TUBE OXYGEN LIQUEFIER *
E.D. Marquardt and Ray Radebaugh
National Institute of Standards and Technology Boulder, Colorado 80303, USA
ABSTRACT
The performance of a single-stage coaxial pulse tube refrigerator used as an oxygen liquefier is discussed. The liquefier is a half-size laboratory unit for NASA/JSC to demonstrate the technology of liquefying and storing oxygen on Mars. The liquefier would be part of a plant that extracts oxygen from the Martian carbon dioxide atmosphere and stores the oxygen in liquid form. The liquid oxygen could then be used either for the oxidizer of a fuel or for breathing in a manned mission. The pulse tube and regenerator, which are arranged coaxially, provide 18.8 W of cooling at 90 K with 222 W of PV input power. The resulting coefficient of performance (COP) is 20.0% of the Carnot value based on PV input power, among the highest ever achieved. Liquid nitrogen was produced at a rate of 1.75 g/min (2.17 cm 3 /min) with 215 W of PV input power. Oxygen should be produced at about 2.7 g/min (2.37 cm 3 /min). While this cooler is not a flight version, it is a flight-like design similar to what would be used on a mission. This paper presents details of the liquefier geometry and results of thermal performance tests.
INTRODUCTION
Manned missions to Mars will require in situ resource production 1 (ISRP), the use of resources found on Mars. The robotic missions planned over the next decade will be used to prove some of the technology required for ISRP. One primary requirement is oxygen for both breathing and as an oxidizer for fuel. NASA is currently developing the technology to produce oxygen from the carbon dioxide atmosphere of Mars. Another requirement is the long-term storage of the oxygen in liquid form. NASA/JSC is building an environmental chamber to simulate the Martian environment to study the complete system of oxygen production and storage. This liquefier will be used within that chamber.
* Contribution of the National Institute of Standards and Technology, not subject to copyright in the U.S. Research partially funded by NASA/JSC and NASA/Ames.
Vol. 45, Plenum (2000) pp. 457-464.
LIQUEFIER DESIGN
The pulse tube liquefier is made of several components: the compressor, connecting lines, aftercooler, regenerator, cold end, cold end heat exchanger, pulse tube, warm end heat exchanger, orifice, inertance tube, reservoir volume, and condensing fins. Table 1 lists the performance goals. The design of the cold head is summarized in Table 2.
In order to be used as a liquefier, the pulse tube cold head must completely fit within the neck of a dewar. Clearly, an in-line pulse tube would not be appropriate and a U-tube geometry would require a larger dewar neck. A coaxial pulse tube makes the integration with the dewar easy. Performance will suffer compared to an in-line design by about 510%. Figure 1 shows a photo of the complete system. Figure 2 shows a schematic diagram.
Compressor
The compressor, designed with a swept volume of 20 cm 3 and a resonant frequency of 40 Hz, is capable of delivering 300 W of PV power. It uses a clearance seal and linear-arm flexure bearings for long life. In this system, it is being used with a swept volume of 15.5 cm 3 at 45 Hz. The compressor is not very efficient, partially because it is operating off the resonant frequency. Thus, we will report PV power in this paper. Under the liquefier operating conditions, the compressor converts AC electrical power to PV power at 62% efficiency. The most advanced linear compressors have an efficiency of 80% to 85%.
Connecting Lines
The connecting line between the cold head and compressor has a diameter of 4.62 mm and a length of 111.3 mm. Next, it splits into two lines, each with a diameter of 3.80 mm
Table 1. Liquefier design goals
| Parameter | Goal |
|---|---|
| Operating temperature | 90 K |
| Cooling load | 15 W |
| Heat rejection temperature | 300 K |
| Oxygen Liquefaction rate | 2.2 g/min 1.93 cm3/min |
| Assumed compressor efficiency (PV Power/Electrical) | 85% |
| PV Input Power | 260 W |
| Specific Power (load/PV Power) | 17.3 W/W |
| % Carnot (based on PV power) | 13.5 % |
Table 2. Cold head design
Figure 1. Pulse tube liquefier system.
| Parameter | Value |
|---|---|
| Frequency | 45 Hz |
| Average pressure | 2.0 MPa |
| PV Input Power | ~220 W |
| Compressor swept volume | ~15.5 cm3 |
| Regenerator | 28 mm OD x 12.75 mm ID (annular) x 50 mm length 400 mesh SS screen |
| Pulse tube | ∅12.45 mm ID x 70 mm length, 8.52 cm3 volume |
| Inertance tube | ∅2.57 mm ID x 2.20 m length |
| Secondary orifice | ∅0.25 mm x 1.25 mm length |
and a length of 22.5 mm. The split lines end in an annular space, for remixing, which has a 22.86 mm OD, 15.24 mm ID, and a 1.78 mm depth. The compressor pressure is measured here. Also connected to the annular space is a line 2.53 mm in diameter and 14.5 mm long, connected to one side of the secondary bypass orifice.
Aftercooler
The aftercooler is a radial parallel plate design. It is composed of 104 radial gas flow passages, each with a gap 150 µm by 4.11 mm, and 17.40 mm long. A radial slot heat exchanger is a very good match for a coaxial pulse tube. The pulse tube fits into the large central hole of the annular slots. Uniform slots are cut from the large central hole using a wire electro-discharge machine (EDM). This results in a heat exchanger with a low pressure drop, low void volume, and high heat transfer area.
Regenerator
The regenerator is placed in the annular space surrounding the pulse tube. The outer diameter of the regenerator tube is 28.57 mm, the wall thickness is 0.28 mm, and the length is 50.0 mm. The outer diameter of the pulse tube, which forms the inner wall of the regenerator, is 12.75 mm. The annular space is filled with 400 mesh stainless steel screen with a wire diameter of 25 µm and a porosity of 68.7%. The regenerator tube is made of 718 Inconel. Testing a coaxial pulse tube makes it difficult to independently change the size of the regenerator and pulse tube. A possible way to change the regenerator length is to insert a spacer in place of some of the screen at the warm end. The spacer must be designed to have low pressure drop, void volume, and heat transfer. We have made two spacers, 5 and 10 mm long. They were made of stainless steel with the same inner and outer diameters as the regenerator but with 16 radial slots cut from the inner diameter. Each gap was 0.44 mm by 6.35 mm.
Cold End
The cold end reverses the flow between the regenerator and the pulse tube. This is an important part of a coaxial pulse tube design as it is easy to add extra undesirable void volume; we must balance pressure drop and void volume. We have used 16 slots each with a gap 200 µm by 7.00 mm, and length of 15.50 mm. After the slots, the flow enters a small volume below the cold end heat exchanger with a volume of 18.9 mm 3 . The slots also act as part of the cold end heat exchanger, providing about 25% of the required heat transfer.
Cold End Heat Exchanger
The cold end heat exchanger is made of 100 mesh, 114 µm diameter wire, copper screen. It is 12.75 mm in diameter and 8.08 mm long. This provides the bulk of the heat transfer and provides flow straightening for the pulse tube.
Pulse Tube
The pulse tube is made of stainless steel tubing with an outer diameter of 12.75 mm and a wall thickness of 0.15 mm. The length is 70 mm and the volume is 8.52 cm 3 . In a coaxial design, the pulse tube volume may be changed by using a thin walled insert; G-10 composite with its low thermal conductivity, is a good choice of material. To prevent turbulence, the insert must extend the entire length of the pulse tube. It is also possible to taper the insert, allowing for the cancellation of any flow streaming 2 within the pulse tube. We did not experiment with any inserts.
Warm End Heat Exchanger
The warm end heat exchanger is made of 100 mesh, 114 µm diameter wire, copper screen. The diameter is 12.75 mm and the length is 7.32 mm. There is a volume of 0.19 cm 3 after the heat exchanger where the pulse tube pressure is measured. Between this volume and the orifice is a connecting line with a diameter of 2.53 mm and length of 18.7 mm.
Orifice
The pulse tube can be run with either a single orifice, double orifice, and/or with an inertance tube. Each of the two orifices, shown in Figure 3, is a plug into which a channel may be cut. The orifices fit together in a recess on the side of the aftercooler into which three lines enter: one each to the compressor, pulse tube warm end, and the reservoir volume. A cover plate allows access. Two orifices are required, although the secondary orifice is sometimes filled with a blank plug. When the inertance tube is used, the primary orifice is a channel 2.5 mm wide, 1.25 mm high, and 2.5 mm long. This provides only a small pressure drop and is considered 'wide open'. The secondary orifice is more difficult to make. A symmetric pressure drop element cannot be used since it will (and did) cause a very large DC flow 3 through the pulse tube and regenerator. With a symmetric pressure drop element, such as the one used for the primary orifice, the system achieved only temperatures of around 270 K. Figure 3b and 3c show an asymmetric pressure drop element, which can eliminate the DC flow as indicated by the temperature gradient along the regenerator tube. The flow rate is controlled by the hole size connecting the top and bottom sides, typically with a diameter ranging up to 0.6 mm. Following the primary orifice
is a connecting line with a diameter of 3.18 mm and length of 100 mm. Next follows another connecting line of 2.62 mm diameter and 52 mm length. Then comes either the inertance tube or the reservoir volume.
Inertance Tube
The best performance was achieved with an inertance tube 4,5 in place but the system was also run without the inertance tube. The best performing single diameter inertance tube had an inner diameter of 2.57 mm and a length of 2.20 m. The best overall results were obtained using a double inertance tube made with two different diameters with a smooth transition between them. These two stainless steel tubes were: 2.57 mm ID, 1.20 m long and 4.23 mm ID, 3.10 m long, with the larger tube adjacent to the reservoir volume.
Reservoir Volume
Most tests were performed with an external reservoir volume of 500 cm 3 . The final configuration uses a 500 cm 3 volume internal to the compressor but with a separate pressure boundary from the backside of the compressor.
Condensing Fins
The condensing fins were of gold plated copper with a diameter of 42.5 mm and height of 18.9 mm. In this block, 9 slots 2.0 mm wide and 15.7 mm deep were cut. This allows a large surface area to be exposed to the fluid while not allowing a meniscus to form in any slot, even in the 0.38 g gravity on Mars.
EXPERIMENTAL RESULTS AND DISCUSSION
Background Heat Leak
The background heat leak was measured by observing the warm up rate of the cold end with the compressor off and with different applied heat loads. By assuming the thermal degradation factor 6 for the regenerator screens to be 0.1, we can separate the radiation and conduction terms. This method assumes that all the heat capacity is at the cold end. We have about three times as much mass in the cold head as in the regenerator. Table 3 summarizes the thermal background losses measured with a cold end temperature of 90 K.
Cryocooler Refrigeration Performance
All experiments use the same pulse tube and regenerator. We have not experimentally optimized the pulse tube or regenerator volumes. The volumes used were those optimized from our modeling, not from experimental tests. For this pulse tube and regenerator, we
Table 3. Thermal losses at 90 K
Table 4 summarizes the results of four experiments. The first run was done with a single diameter inertance tube. Run two was done with a double inertance tube; both lengths were optimized. Run three optimized the
| Parameter | with MLI | No MLI |
|---|---|---|
| Regenerator tube | 0.95 W | 0.95 W |
| Regenerator screen | 0.76 W | 0.76 W |
| Pulse tube | 0.32 W | 0.32 W |
| Helium | 0.04 W | 0.04 W |
| Radiation | 0.17 W | 0.90 W |
have found the optimized inertance tube length for a calculated diameter and for a double inertance tube. We also experimentally determined the optimized secondary orifice size.
Table 4. Experimental results at 90 K
Vco: Compressor swept volume
| Parameter | Run 1 | Run 2 | Run 3 | Run 4 |
|---|---|---|---|---|
| Inertance tube (ID x length) | ∅2.57 mm x 2.20 m | ∅2.57 mm x 1.20 m/ ∅4.23 mm x 3.10 m | ∅2.57 mm x 1.20 m/ ∅4.23 mm x 3.10 m | ∅2.57 mm x 1.20 m/ ∅4.23 mm x 3.10 m |
| Secondary orifice | closed | closed | ∅0.25 mm x 1.25 mm | ∅0.25 mm x 1.25 mm |
| MLI | none | none | none | aluminized mylar |
| No load temp. | 45.35 K | 42.49 K | 42.61 K | 40.38 K |
| Cooling power | 16.18 W | 17.51 W | 18.07 W | 18.78 W |
| Rejection temp. | 302 K | 302 K | 302 K | 302 K |
| PV input power | 221.5 W | 217.3 W | 221.7 W | 221.6 W |
| Specific power | 13.7 W/W | 12.4 W/W | 12.3 W/W | 11.8 W/W |
| % Carnot | 17.2 | 19.0 | 19.2 | 20.0 |
| V co | 15.49 cm3 | 15.50 cm3 | 15.47 cm3 | 15.57 cm3 |
| P co | 0.303 MPa | 0.317 MPa | 0.320 MPa | 0.320 MPa |
| P pt | 0.221 MPa | 0.244 MPa | 0.244 MPa | 0.247 MPa |
| m& res | 1.184 g/s | 1.741 g/s | 1.710 g/s | 1.712 g/s |
| m& pt | 1.08 g/s | 1.14 g/s | 1.12 g/s | 1.12 g/s |
| <W& > pt | 36.3 W | 37.3 W | 30.2 W | 30.2 W |
| Regenerator loss | 9.2 W | 7.0 W | 5.7 W | 5.7 W |
| FOM pt | 0.78 | 0.74 | 0.885 | 0.885 |
| PA m& res | -24.8 degrees | -56.2 degrees | -56.3 degrees | -56.2 degrees |
| PA m& pt | -7.8 degrees | -33.9 degrees | -43.0 degrees | -43.0 degrees |
| PA V co | 148.9 degrees | 148.6 degrees | 148.0 degrees | 148.2 degrees |
| PA P co | 13.1 degrees | 12.2 degrees | 12.4 degrees | 12.3 degrees |
Pco: Pressure amplitude measured at the compressor
& mres : Mass flow rate amplitude measured at the reservoir volume
Ppt: Pressure amplitude measured at the pulse tube
& mpt : Mass flow rate amplitude calculated at the pulse tube warm end
PA & m
res
: Phase angle by which the reservoir volume mass flow leads the pulse tube pressure
PA & m
pt
V
P
: Phase angle by which the warm end pulse tube mass flow leads the pulse tube pressure
PA
PA
co
: Phase angle by which the compressor swept volume leads the pulse tube pressure co
: Phase angle by which the co
mp re
ssor pressure leads the pulse tube pressure secondary orifice with the double inertance tube. Run four repeated run three except the cold head was wrapped in about 10 layers of aluminized mylar. Figure 4 shows a performance plot of the cryocooler with the double inertance tube, a secondary orifice, and aluminized mylar (run 4). The Carnot efficiency of 20% relative to PV power is among the highest ever achieved with a pulse tube refrigerator or any other small cryocooler.
We can define a figure of merit for the pulse tube, FOMpt, as the ratio of the timeaveraged enthalpy flow, < > & H pt , to the hydrodynamic work flow, < > & W pt , through the pulse tube. The hydrodynamic work flow is the time average of the instantaneous product of the volumetric flow and pressure. The best way to measure the enthalpy flow along the pulse tube is to measure the heat rejected at the warm end heat exchanger. In our coaxial pulse tube, this is not possible since the warm end heat exchanger is built inside the aftercooler. We can also measure the enthalpy flow by adding the thermal loss terms to the net cooling power, & Q c . We have measured the conduction, & Q cond , plus radiation term, & Q rad , but we must calculate the regenerator loss, & Q reg , from a numeric model. We then have
In general FOMpt for a cryogenic pulse tube will be 1.0 if all losses in the pulse tube are zero. We cannot eliminate the boundary layer or non-adiabatic losses, but other pulse tube losses could be due to turbulence or acoustic flow streaming, which we can reduce. Rawlins et. al. 7 have shown that typical small pulse tubes have a FOMpt of 0.60 to 0.85. Swift et. al. 8 described a large tapered pulse tube (1.5 kW cooling power) with a FOMpt of 0.96. Figures of merit between 0.74 and 0.885 have been measured here.
Liquefier Performance
The condensing fins were added to the cold head and the dewar was filled with nitrogen gas at atmospheric pressure. Nitrogen has a specific enthalpy difference similar to that of oxygen from room temperature to the liquid state at atmospheric pressure, but has a lower liquefaction temperature. For safety reasons, we chose to liquefy nitrogen.
There was a 1.4 K temperature difference between the cold head and the liquid. This shows that the condenser surface area was acceptable. The liquefaction rate decreased slightly with time. The initial reduction was probably due to a reduction in average pressure of the cryocooler caused by a small helium leak. After about 23 hours, the temperature difference between the cold head and liquid increased to 1.5 K and the liquefaction rate decreased somewhat more, due probably to contamination on the condenser.
Figure 5 shows the experimental results for a period of about 27 hours. Thermocouples were placed at three locations along the neck of the dewar as well as on the cold head and at the bottom of the dewar (placement is shown in Figure 2). First, the dewar had to be cooled to the liquefaction temperature by convection. This process took about 12 hours. Liquid began to condense and drip to the bottom of the dewar after about 9 hours. After about 13 hours, the liquefaction process reached its equilibrium and liquid was produced at a rate of 1.75 g/min (2.17 cm 3 /min) with 215 W of PV input power. The dewar had a measured heat leak of 0.15 g/min or 1.1 W. The liquefier should produce about 2.7 g/min (2.37 cm 3 /min) of liquid oxygen.
The cooler was switched off after about 25.5 hours; this would be normal operation for the liquefier running on solar energy, where it would be switched off at night. We were interested in finding the equilibrium temperature of the cooler to determine the background heat leak at night. The boil-off caused by this heat leak would have to be recondensed in the morning before the full liquefaction rate could be resumed. The cold fins remained at about 134 K with the cooler off, resulting in an additional heat leak of about 2.5 W from the cold head. This means that for every hour the cooler is off, it must run for 11.7 minutes to recondense the boil-off from the cold head. While this cooler was designed for optimum performance, it may be possible to optimize the cold head for less off-state thermal conduction for a system design where the liquefier will run for only part of a day. A longer, smaller diameter regenerator may not perform as well but it will not have to re-liquefy as much boil-off and the liquefier may use less energy over the entire day/night cycle.
REFERENCES
1. L. J. Salerno, P. Kittel, "Cryogenics and the Human Exploration of Mars", Cryogenics 39, pp. 381-388, Elsevier Science (1999).
3. D. Gedeon, "DC Gas Flows in Stirling and Pulse Tube Cryocoolers," Cryocoolers Vol. 9, pp. 385-392, Plenum Press (1996).
2. J. R. Olson, G. W. Swift, "Acoustic Streaming in Pulse Tube Refrigerators: Tapered Pulse Tubes", Cryogenics 37, pp. 769-776, Elsevier Science (1997).
4. K. M. Godshalk, J. C. Kwong, Y. K. Hershberg, G. W. Swift, R. Radebaugh, "Characterization of 350 Hz Thermoacoustic Driven Orifice Pulse Tube Refrigerator: Measurements of the Phase of the Mass Flow and Pressure," Advances in Cryogenic Engineering Vol. 41, pp. 1411-1418, Plenum Press (1996).
6. M. Lewis, T. Kuriyama, F. Kuriyama, R. Radebaugh, "Measurement of Heat Conduction Through Stacked Screens," Advances in Cryogenic Engineering Vol. 43, pp. 1611-1618, Plenum Press (1997).
5. R. Radebaugh, "Advances in Cryocoolers,"16th International Cryogenic Engineering Conference, pp. 3344, Elsevier Science (1996).
7. W. Rawlins, R. Radebaugh, K. D. Timmerhaus, "Energy Flows in an Orifice Pulse Tube Refrigerator," Advances in Cryogenic Engineering Vol. 39, pp. 1449-1456, Plenum Press (1993).
8. G. W. Swift, M. S. Allen, J. J. Wollan, "Performance of a Tapered Pulse Tube," Cryocoolers Vol. 10, pp. 315-320, Plenum Press (1998).
|
各位股東：
致新登記股東之函件 — 選擇收取公司通訊之方式及語文版本
根據《香港聯合交易所有限公司證券上市規則》（「《上市規則》」）及九龍倉置業地產投資有限公司（「本公司」）組織章程細則， 本公司將提供下列方式予 閣下以收取本公司日後所有公司通訊 1 （「公司通訊」）：
(1) 於本公司網站www.wharfreic.com 瀏覽日後所有公司通訊（「網站方案」），以代替收取印刷本，並以郵寄方式收取關於 公司通訊已在本公司網站發布之通知；或
(2) 日後僅收取所有公司通訊之英文印刷本；或
(3) 日後僅收取所有公司通訊之中文印刷本；或
(4) 日後同時收取所有公司通訊之英文及中文印刷本。
為節約用紙和節省印刷及郵遞費用，本公司建議 閣下選擇上述之網站方案（即第(1)項）。為方便 閣下作出選擇，請在隨 附的回覆表格（「回覆表格」）上的適當空格內劃上「√」號及簽署，並將回覆表格以郵寄（如在本港投寄， 閣下可利用已提供 之郵寄標籤，而無需支付郵費）或人手遞交方式交回本公司（由本公司香港股份過戶登記分處卓佳證券登記有限公司（「股份 過戶登記分處」）代收，其地址為香港皇后大道東183號合和中心54樓）。
如本公司於二○二一年五月三日仍未收到 閣下已填寫及簽署妥當的回覆表格，或並無收到 閣下表示反對的回應， 則 閣下將被視為已同意網站方案，而本公司將就有關公司通訊在網站發布之事宜，以郵寄方式通知 閣下，直至 閣下 向本公司發出恰當的書面預先通知（由股份過戶登記分處代收）以作出其它選擇為止。
閣下可隨時向本公司發出恰當的書面（以郵寄或人手遞交方式送遞）或電郵預先通知，以更改收取公司通訊之方式及╱或語 文版本，相關的書面通知須送達股份過戶登記分處，或電郵至wharfreicemail@example.com 。如 閣下已選擇（或 被視為已同意選擇）網站方案，但因任何原因以致 閣下在收取或瀏覽公司通訊方面出現困難， 閣下可向本公司發出書面 要求（由股份過戶登記分處代收）或電郵至wharfreicfirstname.lastname@example.org 要求收取公司通訊的印刷本，本公司會 應 閣下的書面要求儘快向 閣下免費寄上。
敬請注意， 閣下可向本公司及股份過戶登記分處索取日後所有公司通訊的中英文印刷本，亦可於本公司網站 www.wharfreic.com （由首次刊登日期起計存放不少於五年）及香港交易及結算所有限公司網站www.hkexnews.hk 瀏覽。
如 閣下對本函有任何疑問，請於星期一至五（香港公眾假期除外）上午九時至下午五時，致電股份過戶登記分處客戶服務 熱線(852) 2980-1333查詢。
九龍倉置業地產投資有限公司 董事兼公司秘書 許仲瑛 代行
二○二一年四月一日
Ref. 01997-6
九龍倉置業地產投資有限公司
（於開曼群島註冊成立的有限公司）
股份代號： 1997
6.
當
WHARF REAL ESTATE INVESTMENT COMPANY LIMITED
九龍倉置業地產投資有限公司
(Incorporated in the Cayman Islands with limited liability)
（於開曼群島註冊成立的有限公司）
Stock Code股份代號： 1997
Means of Receipt and Language of Corporate Communications 公司通訊之收取方式及語文版本
REPLY FORM 回覆表格
To: Wharf Real Estate Investment Company Limited (the “Company”)
(Stock Code: 1997)
c/o Tricor Investor Services Limited (the "Branch Share Registrar")
Level 54, Hopewell Centre,
183 Queen's Road East, Hong Kong
致： 九龍倉置業地產投資有限公司 （「本公司」）
（股份代號： 1997）
由卓佳證券登記有限公司（「股份過戶登記分處」）代收
香港皇后大道東183號
合和中心54樓
I/We would like to receive all future Corporate Communications 6 of the Company in the manner as indicated below:
本人╱吾等希望以下列方式收取本公司日後所有公司通訊
6：
(Please mark (√) in ONLY ONEof the following boxes)
（請於下列空格只選取 其中一個 空格在其內劃上「√ 」號）
to read all future Corporate Communications published on the Company ’ s website at www.wharfreic.com in lieu of receiving printed copies, and to receive notifications of the publication of the Corporate Communications on the Company’s website by post; OR 於 本公司網站 www.wharfreic.com 瀏覽日後所有公司通訊，以代替收取印刷本，並以郵寄方式收取關於公司通訊已在本公司網站發布之通知； 或
to receive printed English version only of all future Corporate Communications; OR 日後僅收取所有公司通訊之英文印刷本；或
to receive printed Chinese version only of all future Corporate Communications; OR 日後僅收取所有公司通訊之中文印刷本；或
to receive both printed English and Chinese versions of all future Corporate Communications. 日後同時收取所有公司通訊之英文及中文印刷本。
Name(s) of Shareholder(s)
股東姓名
Signature
簽署
Please use BLOCK CAPITAL 請用正楷填寫
Contact telephone number 聯絡電話號碼
Date
日期
Notes 附註：
1. If the Company does not receive the duly completed and signed Reply Form or receive a response indicating objection from you by 3 May 2021 and until you inform the Company c/o the Branch Share Registrar by reasonable prior notice in writing of your change of choice, you will be deemed to have consented to receive all future Corporate Communications on the Company's website only, and receiving notifications of the publication of the Corporate Communications on the Company's website in future by post. 如本公司於 2021 年 5 月 3 日仍未收到 閣下已填寫及簽署妥當的回覆表格或並無收到 閣下表示反對的回應， 閣下將被視為已同意於本公司網站收取日後所有之公司通訊，而
本公司將就有關公司通訊在網站發布之事宜，於日後以郵寄方式通知 閣下，直至 閣下向本公司發出恰當的書面預先通知（由股份過戶登記分處代收）以更改選擇為止。 2. By choosing to read all the Company's future Corporate Communications on the Company's website in lieu of receiving printed copies, you have expressly consented to waive the right to receive the Corporate Communications in printed form.
一經選擇在本公司網站瀏覽本公司日後所有公司通訊以代替收取印刷本， 閣下已明確同意放棄收取公司通訊印刷本的權利。
3. If your shares are held in joint names, the shareholder whose name stands first on the register of members of the Company in respect of the joint holding should sign on this Reply Form in order to be valid.
如屬聯名股東，則本回覆表格須由在本公司股東名冊上就聯名持有股份而其姓名排列首位的股東簽署，方為有效。
4. The above instruction will apply to all future Corporate Communications to be sent to shareholders of the Company until you notify the Company otherwise by giving the Company c/o the Branch Share Registrar reasonable prior notice in writing or by email to email@example.com. 上述指示適用於本公司日後向本公司股東發出之所有公司通訊，直至 閣下向本公司發出恰當的書面或電郵預先通知以作出其它選擇為止，相關的書面通知須送達本公司（由股
份過戶登記分處代收），或電郵至wharfreicfirstname.lastname@example.org。
5. Shareholders can change the choice of means of receipt and/or language of the Company's Corporate Communications at any time by reasonable prior notice either in writing or by email to email@example.com to the Company c/o the Branch Share Registrar. For the avoidance of doubt, we do not accept any special instructions written on this Reply Form.
股東有權隨時向本公司發出恰當的書面或電郵預先通知，要求更改有關公司通訊之收取方式及╱或語文版本，相關的書面通知須送達本公司（由股份過戶登記分處代收），或電
郵至wharfreicfirstname.lastname@example.org。為免出現疑問，任何在本回覆表格上手寫的額外指示，將不予處理。
Corporate Communications refer to annual/interim reports, notices, circulars, proxy forms of the Company, including any "Corporate Communication" as defined in the Listing Rules.
公司通訊指本公司的年報╱中期報告書、通告、通函、代表委任表格（包括《上市規則》內所指的任何「公司通訊」）。
Personal Information Collection Statement
收集個人資料聲明
Your supply of your name(s) and other personal data is on a voluntary basis for the purpose of processing your instructions as stated in this Reply Form for receiving the Corporate Communications (the "Purpose"). We may transfer such data provided by you to the Branch Share Registrar and agent(s) for the Purpose or such other parties who are authorised by law to request the information. The data will be retained for such period as may be necessary for our verification and record purposes. You have the right to request access to and/or correction of the relevant personal data in accordance with the provisions of the Personal Data (Privacy) Ordinance (Cap. 486 of the laws of Hong Kong) and any such request should be made in writing to the Personal Data Privacy Officer of Tricor Investor Services Limited at Level 54, Hopewell Centre, 183 Queen's Road East, Hong Kong.
閣下是自願提供 閣下的姓名及其它個人資料，以用於處理 閣下在本回覆表格上所述有關收取公司通訊的指示（「該等用途」）。我們可能因該等用途向我們的股份過戶登記分處及代理 人，或其他獲法例授權而要求取得有關資料的人士轉交此等資料。 閣下所提供的資料將在適當時間保留作核實及記錄用途。 閣下有權隨時按照香港法例第 486 章《個人資料（私隱） 條例》要求存取及╱或更正相關個人資料。任何有關要求須以書面方式向卓佳證券登記有限公司（地址為香港皇后大道東 183 號合和中心 54 樓）的個人資料私隱主任提出。
Ref. 01997-7
Please cut and stick the mailing label (on the right) on the envelope to return this Reply Form to us. No postage stamp is required for local mailing.
閣下寄回此回覆表格時，請將右方的郵寄標籤剪貼於信封上。
如在本港投寄， 閣下無須貼上郵票。
Mailing Label 郵寄標籤
Tricor Investor Services Limited 卓佳證券登記有限公司 Freepost No. 簡便回郵號碼 37 Hong Kong 香港
|
ΕΜΠΟΡΙΚΗ ΟΝΟΜΑΣΙΑ
OCTONION
ΠΕΡΙΓΡΑΦΗ
Φυτικό σιρόπι /Συμπλήρωμα διατροφής για ενήλικες.
Φυτικό σιρόπι που ανακουφίζει από τα συμπτώματα του κρυολογήματος (βήχας, κατάρροι), καταπράσινει τον ερεθισμένο λαιμό και ενισχύει την άμυνα του οργανισμού, λόγω των συστατικών του.
Συμπλήρωμα διατροφής, πόσιμο, με ξηρό εκχύλισμα Φλώμου, Αλθαίας, Θυμαρίου, Φασκόμηλου, Ευκάλυπτου, κόκκινο Φραγκοστάρυλου, Βιταμίνη C 1000 mg ημερήσια κατανάλωση και μέλι Ακακίας.
Κατάλληλο για διαβητικούς (περιέχει Stevia και Φρουκτόζη, δεν περιέχει τεχνικές χρωστικές, δεν περιέχει Άλκοολ).
ΣΥΝΘΕΣΗ
Συστατικά: Ξηρό εκχύλισμα Φλώμου (Verbascum Thapsus 150mg/10ml), Αλθαίας (Althaea Officinalis 120mg/10ml), Θυμαρίου (Thymus Vulgaris 75mg/10ml), Φασκόμηλου (Salvia Officinalis 10mg/10ml), Ευκάλυπτου (Eucalyptus Globulus 50mg/10ml), κόκκινο Φραγκοστάρυλου, Βιταμίνη C 1000 mg ημερήσια κατανάλωση και μέλι Ακακίας, Γεύση/Αρώμα (Flavor) 25mg/10ml.
| βιταμίνη C | 3,33% |
|-----------|-------|
| ανά δόση 10ml | 333mg |
| %*ΣΗΠ | 1250% |
*Συνιστώμενη ημερήσια πρόσληψη
Γλυκαντικό - Βάση αφροποιού: Stevia/Fructose/Acacia Honey/Limpid Red curacant
Υδατάνθρακες: 1,7 g/10ml κ.α
ΟΔΗΓΙΕΣ ΧΡΗΣΗΣ-ΔΟΣΟΛΟΓΙΑ
Ανακαίνιστε καλά πριν την χρήση. Μπορεί να χρησιμοποιηθεί ως έχει ή διαλυμένο σε χυμό φρούτων ή γάλα. Διατίθεται με ευχάριστη γεύση.
Δοσολογία: 10ml (1 κουταλιά της σούπας)
3 φορές την ημέρα
Περιέχει δοσομετρητή
200 ml
ΠΡΟΦΥΛΑΞΕΙΣ
Διατηρείται σε θερμοκρασία δωματίου.
Κατανάλωση εντός 2 μηνών μετά το άνοιγμα.
Μην υπερβαίνετε την συνιστώμενη δοσολογία.
Να μην χρησιμοποιείται μετά το πέρας της ημερομηνίας λήξεως.
Τα συμπλήρωμα διατροφής δεν πρέπει να χρησιμοποιούνται ως υποκατάστατα μιας ισορροπημένης διατροφής.
Να φυλάσσεται μακριά από παιδιά.
Να μην χρησιμεύεται σε περιπτώσεις κύπησης ή/και γαλουχίας, λόγω απουσίας επαρκών δεδομένων από χορήγηση στον άνθρωπο κατά τις αντίστοιχες αυτές περιπτώσεις.
Μετά την έναρξη της χορήγησης και στην περίπτωση που τα συμπλήρωμα επιμένουν για διάστημα περισσότερο από μια εβδομάδα επιβάλλεται η άμεση ενημέρωση του γιατρού σας.
Να μην χρησιμεύεται σε περιπτώσεις που προϋπάρχουν γιαστεντερικές φλεγμονώδεις διαταραχές η πιστική ανεπάρκεια.
ΓΕΝΙΚΕΣ ΠΛΗΡΟΦΟΡΙΕΣ
Η διάθεση του προϊόντος γίνεται αποκλειστικά από φαρμακεία.
Αρ. Γνωστοποίησης ΕΟΦ 56725/31-7-2012.
Ο αριθμός γνωστοποίησης στον ΕΟΦ δεν επεχεί θέση αδείας κυκλοφορίας από τον ΕΟΦ.
Παράγεται στην Ελλάδα από την Sikalias Laboratories για την Medical Pharmaquality AE.
MEDICAL PHARMAQUALITY A.E
Ελαιών 54, 14564, Κηφισιά
ΤΗΛ. 210 3506 000, ΦΑΞ 210 8079 888
www.medicalpq.gr
TRADE NAME
OCTONION
DESCRIPTION
Herb syrup / food supplement for adults
Natural syrup which relieves, due to its constituents, the symptoms of common cold (cough, catarrh), it soothes sore throat and it enhances body’s defense.
Food supplement with dry extract of Verbascum Thapsus, Athaea officinalis, Thymus Vulgaris, Salvia Officinalis, Eucalyptus Globulus, Limpid Red curacant, Vitamin C 1000 mg per day and Acacia honey.
Suitable for diabetics (it contains Stevia and fructose, no colorings, alcohol free)
COMPOSITION
Constituents: dry extract of Verbascum Thapsus 150 mg/10ml, Althaea officinalis 120 mg/10ml, Thymus Vulgaris 75 mg/10ml, Salvia Officinalis 10 mg/10ml, Eucalyptus Globulus 50 mg/10ml, Limpid Red curacant, Vitamin C 1000 mg per day, Acacia honey and flavoring 25 mg/10ml.
| Vitamin C: | 3,33% |
|-----------|-------|
| Per dose of 10 ml: | 333mg |
| %RDI* | 1250% |
*Recommended daily intake
Sweetener- syrup base: fructose / Acacia Honey / Limpid Red curacant etc.
Carbohydrates: 1.7 g/10 ml
DIRECTIONS TO USE - DOSAGE
Shake well before use. May be used as it is, or diluted in fruit juice or milk. Available with pleasant taste.
Dosage : 10 ml (1 tablespoon) 3 times a day.
It contains a dosimeter.
200 ml
PRECAUTIONS
Keep in room temperature.
To be consumed within 2 months from opening.
Do not exceed recommended dosage.
Do not use after expiry.
Food supplements should not be used in replacement of a balanced diet.
To be stored and kept away from children.
Due to lack of conclusive data on human consumption, do not use in cases of pregnancy or/and lactation.
After the onset of consumption and in case that symptoms persist for more than 1 week, it is imperative to contact your treating doctor promptly.
Do not use in cases of gastrointestinal inflammatory disorders or liver insufficiency.
GENERAL INFORMATION
This product is available exclusively in pharmacies.
Notification Number EOF :56725/31-7-2012.
This number of notification from EOF is not serving as marketing authorization position by EOF.
Produced in Greece by Sikalias Laboratories for Medical Pharmaquality SA.
MEDICAL PHARMAQUALITY SA
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Robust Recovery of Signals From a Structured Union of Subspaces
Yonina C. Eldar, Senior Member, IEEE, and Moshe Mishali, Student Member, IEEE
Abstract—Traditional sampling theories consider the problem of reconstructing an unknown signal x from a series of samples. A prevalent assumption which often guarantees recovery from the given measurements is that x lies in a known subspace. Recently, there has been growing interest in nonlinear but structured signal models, in which x lies in a union of subspaces. In this paper, we develop a general framework for robust and efficient recovery of such signals from a given set of samples. More specifically, we treat the case in which x lies in a sum of k subspaces, chosen from a larger set of m possibilities. The samples are modeled as inner products with an arbitrary set of sampling functions. To derive an efficient and robust recovery algorithm, we show that our problem can be formulated as that of recovering a block-sparse vector whose nonzero elements appear in fixed blocks. We then propose a mixed `2=`1 program for block sparse recovery. Our main result is an equivalence condition under which the proposed convex algorithm is guaranteed to recover the original signal. This result relies on the notion of block restricted isometry property (RIP), which is a generalization of the standard RIP used extensively in the context of compressed sensing. Based on RIP, we also prove stability of our approach in the presence of noise and modeling errors. A special case of our framework is that of recovering multiple measurement vectors (MMV) that share a joint sparsity pattern. Adapting our results to this context leads to new MMV recovery methods as well as equivalence conditions under which the entire set can be determined efficiently.
ticular, it can be shown that under mild technical conditions, a signal lying in a given subspace can be recovered exactly from its linear generalized samples using a series of filtering operations [4]–[7].
Index Terms—Block restricted isometry property, block sparsity, compressed sensing, mixed-norm recovery, multiple measurement vectors (MMV), union of linear subspaces.
I. INTRODUCTION
S AMPLING theory has a rich history dating back to Cauchy. Undoubtedly, the sampling theorem that had the most impact on signal processing and communications is that associated with Whittaker, Koteln´ikov, and Shannon [1], [2]. Their famous result is that a bandlimited function can be recovered from its uniform samples as long as the sampling rate exceeds the Nyquist rate, corresponding to twice the highest frequency of the signal [3]. More recently, this basic theorem has been extended to include more general classes of signal spaces. In par-
Manuscript received July 25, 2008; revised March 27, 2009. Current version published October 21, 2009. This work was supported in part by the Israel Science Foundation under Grant 1081/07 and by the European Commission in the framework of the FP7 Network of Excellence in Wireless COMmunications NEWCOM++ under Contract 216715. The material in this paper was presented in part at the 16th International Conference on Digital Signal Processing (DSP'2009), Santorini, Greece, July 2009.
The authors are with the Department of Electrical Engineering, Technion–Israel Institute of Technology, Technion City, Haifa 32000, Israel (e-mail: firstname.lastname@example.org; email@example.com).
Communicated by J. Romberg, Associate Editor for Signal Processing.
Color versions of Figures 1–5 in this paper are available online at http://ieeexplore.ieee.org.
Digital Object Identifier 10.1109/TIT.2009.2030471
Recently, there has been growing interest in nonlinear signal models in which the unknown does not necessarily lie in a subspace. In order to ensure recovery from the samples, some underlying structure is needed. A general model that captures many interesting cases is that in which lies in a union of subspaces. In this setting, resides in one of a set of given subspaces , however, a priori it is not known in which one. A special case of this framework is the problem underlying the field of compressed sensing (CS), in which the goal is to recover a length- vector from linear measurements, where has no more than nonzero elements in some basis [8], [9]. Many algorithms have been proposed in the literature in order to recover in a stable and efficient manner [9]–[13]. A variety of conditions have been developed to ensure that these methods recover exactly. One of the main tools in this context is the restricted isometry property (RIP) [9], [14], [15]. In particular, it can be shown that if the measurement matrix satisfies the RIP with an appropriate constant, then can be recovered by solving an minimization algorithm.
Another special case of a union of subspaces is the setting in which the unknown signal has a multiband structure, so that its Fourier transform consists of a limited number of bands at unknown locations [16], [17]. By formulating this problem within the framework of CS, explicit sub-Nyquist sampling and reconstruction schemes were developed in [16], [17] that ensure perfect recovery at the minimal possible rate. This setup was recently generalized in [18], [19] to deal with sampling and reconstruction of signals that lie in a finite union of shift-invariant subspaces. By combining ideas from standard sampling theory with CS results [20], explicit low-rate sampling and recovery methods were developed for such signal sets. In [21], an extension was considered to a special case of an infinite union of shift-invariant subspaces. The infinite union is a result of the fact that each generator of the space has an unknown time delay. Another example of a union of subspaces is the set of finite rate of innovation signals [21]–[23], that are modeled as a weighted sum of shifts of a given generating function, where the shifts are unknown.
In this paper, our goal is to develop a unified framework for efficient recovery of signals that lie in a structured union of subspaces. Our emphasis is on computationally efficient methods that are stable in the presence of noise and modeling errors. In contrast to our previous work [16]–[19], [21], here we consider unions of finite-dimensional subspaces. Specifically, we restrict
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our attention to the case in which resides in a sum of subspaces, chosen from a given set of subspaces . However, which subspaces comprise the sum is unknown. This setting is a special case of the more general union model treated in [24], [25]. Conditions under which unique and stable sampling are possible were developed in [24], [25]. However, no concrete algorithm was provided to recover such a signal from a given set of samples in a stable and efficient manner. Here, we propose a convex optimization algorithm that will often recover the true underlying , and develop explicit conditions under which perfect recovery is guaranteed. Furthermore, we prove that our method is stable and robust in the sense that the reconstruction error is bounded in the presence of noise and mismodeling; namely, when does not lie exactly in the union. Our results rely on a generalization of the RIP which fits the union setting we treat here.
Our first contribution is showing that the problem of recovering in a structured union of subspaces can be cast as a sparse recovery problem, in which it is desired to recover a sparse vector that has a particular sparsity pattern: the nonzero values appear in fixed blocks. We refer to such a model as block sparsity. Clearly, any block-sparse vector is also sparse in the standard sense. However, by exploiting the block structure of the sparsity pattern, recovery may be possible under more general conditions.
Next, we develop a concrete algorithm to determine a blocksparse vector from given measurements, which is based on minimizing a mixed norm. This problem can be cast as a convex second-order cone program (SOCP), and solved efficiently using standard software packages. A mixed norm approach for block-sparse recovery was also considered in [26], [27]. By analyzing the measurement operator's null space, it was shown that asymptotically, as the signal length grows to infinity, and under ideal conditions (no noise or modeling errors), perfect recovery is possible with high probability. However, no robust equivalence results were established between the output of the algorithm and the true block-sparse vector for a given finite-length measurement vector, or in the presence of noise and mismodeling.
Generalizing the concept of RIP to our setting, we introduce the block RIP, which is a less stringent requirement. We then prove that if the measurement matrix satisfies the block RIP, then our proposed convex algorithm will recover the underlying block sparse signal. Furthermore, under block RIP, our algorithm is stable in the presence of noise and mismodeling errors. Using ideas similar to [13], [28] we then prove that random matrices satisfy the block RIP with overwhelming probability. Moreover, the probability to satisfy the block RIP is substantially larger than that of satisfying the standard RIP. These results establish that a signal that lies in a finite structured union can be recovered efficiently and stably with overwhelming probability if the measurement matrix is constructed from a random ensemble.
An interesting special case of the block-sparse model is the multiple measurement vector (MMV) problem, in which there is a set of unknown vectors that share a joint sparsity pattern. MMV recovery algorithms were studied in [20], [29]–[32]. Equivalence results based on mutual coherence for a mixed program were derived in [30]. These results turn out to be the same as that obtained from a single measurement problem. This is in contrast to the fact that in practice, MMV methods tend to outperform algorithms that treat each of the vectors separately. In order to develop meaningful equivalence results, we cast the MMV problem as one of block-sparse recovery. Our mixed method translates into minimizing the sum of the row-norms of the unknown matrix representing the MMV set. Our general results lead to RIP-based equivalence conditions for this algorithm. Furthermore, our framework suggests a different type of sampling method for MMV problems which tends to increase the recovery rate. The equivalence condition we obtain in this case is stronger than the single measurement setting. As we show, this method leads to superior recovery rate when compared with other popular MMV algorithms.
The remainder of the paper is organized as follows. In Section II, we describe the general problem of sampling from a union of subspaces. The relationship between our problem and that of block-sparse recovery is developed in Section III. In Section IV, we explore stability and uniqueness issues which leads to the definition of block RIP. We also present a nonconvex optimization algorithm with combinatorial complexity whose solution is the true unknown . A convex relaxation of this algorithm is proposed in Section V. We then derive equivalence conditions based on block RIP. The concept of block RIP is further used to establish robustness and stability of our algorithm in the presence of noise and modeling errors. This approach is specialized to MMV sampling in Section VI. Finally, in Section VII, we prove that random ensembles tend to satisfy the block RIP with high probability.
Throughout the paper, we denote vectors in an arbitrary Hilbert space by lower case letters e.g., , and sets of vectors in by calligraphic letters, e.g., . Vectors in are written as boldface lowercase letters e.g., , and matrices as boldface uppercase letters e.g., . The identity matrix of appropriate dimension is written as or when the dimension is not clear from the context, and is the transpose of the matrix . The th element of a vector is denoted by . Linear transformations from to are written as upper case letters . The adjoint of is written as . The standard Euclidean norm is denoted and is the norm of . The Kronecker product between matrices and is denoted , and is the vector obtained by concatenating the columns of . The following variables are used in the sequel: is the number of samples, is the length of the input signal when it is a vector, is the sparsity or block sparsity (to be defined later on) of a vector , and is the number of subspaces. For ease of notation, we assume throughout that all scalars are defined over the field of real numbers; however, the results are also valid over the complex domain with appropriate modifications.
II. UNION OF SUBSPACES
A. Subspace Sampling
Traditional sampling theory deals with the problem of recovering an unknown signal from a set of samples where is some function of . The signal can
be a function of time , or can represent a finite-length vector . The most common type of sampling is linear sampling in which
for a set of functions [4], [33]–[39]. Here denotes the standard inner product on . For example, if is the space of real finite-energy signals then
When for some
Nonlinear sampling is treated in [40]. However, here our focus will be on the linear case.
When the unknown as well as the sampling functions are vectors in . Therefore, the samples can be written conveniently in matrix form as , where is the matrix with columns . In the more general case in which or any other abstract Hilbert space, we can use the set transformation notation in order to conveniently represent the samples. A set transformation corresponding to sampling vectors is defined by
for all . From the definition of the adjoint, if , then . Note that when , and . Using this notation, we can always express the samples as
where is a set transformation for arbitrary , and an appropriate matrix when .
Our goal is to recover from the samples . If the vectors do not span the entire space , then there are many possible signals consistent with . More specifically, if we define by the sampling space spanned by the vectors , then clearly for any . Therefore, if is not the trivial space then adding such a vector to any solution of (5) will result in the same samples . However, by exploiting prior knowledge on , in many cases uniqueness can be guaranteed. A prior very often assumed is that lies in a given subspace of [4]–[7]. If and have the same finite dimension, and and intersect only at the vector, then can be perfectly recovered from the samples [6], [7], [41].
B. Union of Subspaces
When subspace information is available, perfect reconstruction can often be guaranteed. Furthermore, recovery can be implemented by a simple linear transformation of the given samples (5). However, there are many practical scenarios in which we are given prior information about that is not necessarily in the form of a subspace. One such case studied in detail in [41]
is that in which is known to be smooth. Here we focus our attention on the setting where lies in a union of subspaces
where each is a subspace. Thus, belongs to one of the , but we do not know a priori to which one [24], [25]. Note that the set is no longer a subspace. Indeed, if is, for example, a one-dimensional space spanned by the vector , then contains vectors of the form for some but does not include their linear combinations. Our goal is to recover a vector lying in a union of subspaces, from a given set of samples. In principle, if we knew which subspace belonged to, then reconstruction can be obtained using standard sampling results. However, here the problem is more involved because conceptually we first need to identify the correct subspace and only then can we recover the signal within the space.
Previous work on sampling over a union focused on invertibility and stability results [24], [25]. In contrast, here, our main interest is in developing concrete recovery algorithms that are provably robust. To achieve this goal, we limit our attention to a subclass of (6) for which stable recovery algorithms can be developed and analyzed. Specifically, we treat the case in which each has the additional structure
where are a given set of disjoint subspaces, and denotes a sum over indices. Thus, each subspace corresponds to a different choice of subspaces that comprise the sum. We assume throughout the paper that and the dimensions of the subspaces are finite. Given samples
and the knowledge that lies in exactly one of the subspaces , we would like to recover the unknown signal . In this setting, there are possible subspaces comprising the union.
An alternative interpretation of our model is as follows. Given an observation vector , we seek a signal for which and in addition can be written as
where each lies in for some index .
A special case is the standard CS problem in which is a vector of length , that has a sparse representation in a given basis defined by an invertible matrix . Thus, where is a sparse vector that has at most nonzero elements. This fits our framework by choosing as the space spanned by the th column of . In this setting , and there are subspaces comprising the union.
Another example is the block sparsity model [26], [42] in which is divided into equal-length blocks of size , and at most blocks can be nonzero. Such a vector can be described
in our setting with by choosing to be the space spanned by the corresponding columns of the identity matrix. Here and there are subspaces in the union.
A final example is the MMV problem [20], [29]–[32] in which our goal is to recover a matrix from measurements , for a given sampling matrix . The matrix is assumed to have at most nonzero rows. Thus, not only is each column -sparse, but in addition the nonzero elements of share a joint sparsity pattern. This problem can be transformed into that of recovering a -block sparse signal by stacking the rows of and , leading to the relationship
The structure of leads to a vector that is -block sparse.
C. Problem Formulation and Main Results
Given and the subspaces , we would like to address the following questions.
1) What are the conditions on the sampling vectors in order to guarantee that the sampling is invertible and stable?
2) How can we recover the unique (regardless of computational complexity)?
3) How can we recover the unique in an efficient and stable manner?
The first question was addressed in [24], [25] in the more general context of unions of spaces (without requiring a particular structure such as (7)). However, no concrete methods were proposed in order to recover . Here we provide efficient convex algorithms that recover in a stable way for arbitrary under appropriate conditions on the sampling functions and the spaces .
Our results are based on an equivalence between the union of subspaces problem assuming (7) and that of recovering block-sparse vectors. This allows us to determine from the given samples by first treating the problem of recovering a block -sparse vector from a given set of measurements. This relationship is established in Section III. In the reminder of the paper we therefore focus on the block -sparse model and develop our results in that context. In particular, we introduce a block RIP condition that ensures uniqueness and stability of our sampling problem. We then suggest an efficient convex optimization problem which approximates an unknown block-sparse vector . Based on block RIP we prove that can be recovered exactly in a stable way using the proposed optimization program. Furthermore, in the presence of noise and modeling errors, our algorithm can approximate the best block- sparse solution.
III. CONNECTION WITH BLOCK SPARSITY
Consider the model of a signal in the union of out of subspaces , with as in (6) and (7). To write explicitly, we choose a basis for each . Denoting by the set transformation corresponding to a basis for , any such can be written as
where are the representation coefficients in , and denotes a sum over a set of indices. The choice of indices depend on the signal and are unknown in advance.
To develop the equivalence with block sparsity, it is useful to introduce some further notation. First, we define as the set transformation that is a result of concatenating the different , with
Next, we define the th subblock of a length- vector over . The th subblock is of length , and the blocks are formed sequentially so that
We can then define by
When for some , is a matrix and is the matrix obtained by column-wise concatenating . If for a given the th subspace does not appear in the sum (7), or equivalently in (11), then .
Any in the union (6), (7) can be represented in terms of of the bases . Therefore, we can write where there are at most nonzero blocks . Consequently, our union model is equivalent to the model in which is represented by a sparse vector in an appropriate basis. However, the sparsity pattern here has a unique form which we will exploit in our conditions and algorithms: the nonzero elements appear in blocks.
Definition 1: A vector is called block -sparse over if is nonzero for at most indices where .
An example of a block-sparse vector with is depicted in Fig. 1. When for each , block sparsity reduces to the conventional definition of a sparse vector. Denoting
where is an indicator function that obtains the value if and otherwise, a block -sparse vector can be defined by .
Evidently, there is a one-to-one correspondence between a vector in the union, and a block-sparse vector . The measurements (5) can also be represented explicitly in terms of as
where is the matrix defined by
We can therefore phrase our problem in terms of and as that of recovering a block- sparse vector over from the measurements (16).
Note that the choice of basis for each subspace does not affect the sparsity pattern of our model. Indeed, choosing alternative bases will lead to where is a block diagonal matrix with blocks of size . Defining , the block sparsity pattern of is equal to that of . On the other hand, the basis can affect the properties of the resulting matrix . This point is beyond the scope of the present paper; further discussion can be found in [42].
Since our problem is equivalent to that of recovering a block sparse vector over from linear measurements , in the reminder of the paper we focus our attention on this problem.
IV. UNIQUENESS AND STABILITY
In this section, we study the uniqueness and stability of our sampling method. These properties are intimately related to the RIP, which we generalize here to the block-sparse setting.
The first question we address is that of uniqueness, namely, conditions under which a block-sparse vector is uniquely determined by the measurement vector .
Proposition 1: There is a unique block- sparse vector consistent with the measurements if and only if for every that is block -sparse.
We next address the issue of stability. A sampling operator is stable for a set if and only if there exists constants , such that
(18) for every , in . The ratio provides a measure for stability of the sampling operator. The operator is maximally stable when . In our setting, is replaced by , and the set contains block- sparse vectors. The next proposition follows immediately from (18) by noting that given two blocksparse vectors , their difference is block- sparse.
Proposition 2: The measurement matrix is stable for every block -sparse vector if and only if there exists and such that
for every that is block -sparse.
It is easy to see that if satisfies (19) then for all block -sparse vectors . Therefore, this condition implies both invertibility and stability.
A. Block RIP
Property (19) is related to the RIP used in several previous works in CS [9], [14], [15]. A matrix of size is said to have the RIP if there exists a constant such that for every -sparse
Extending this property to block-sparse vectors leads to the following definition.
Definition 2: Let be a given matrix. Then has the block RIP over with parameter if for every that is block -sparse over we have that
By abuse of notation, we use for the block-RIP constant when it is clear from the context that we refer to blocks. Block-RIP is a special case of the -restricted isometry defined in [25]. From Proposition 1, it follows that if satisfies the RIP (21) with , then there is a unique block-sparse vector consistent with (16).
Note that a block -sparse vector over is -sparse in the conventional sense where is the sum of the largest values in , since it has at most nonzero elements. If we require to satisfy RIP for all -sparse vectors, then (21) must hold for all -sparse vectors . Since we only require the RIP for block sparse signals, (21) only has to be satisfied for a certain subset of -sparse signals, namely, those that have block sparsity. As a result, the block-RIP constant is typically smaller than (where depends on ; for blocks with equal size , ).
To emphasize the advantage of block RIP over standard RIP, consider the following matrix, separated into three blocks of two columns each:
where is a diagonal matrix that results in with unit-norm columns, i.e., . In this example, and . Suppose that is block- sparse, which corresponds to at most two nonzero values. Brute-force calculations show that the smallest value of satisfying the standard RIP (20) is . On the other hand, the block-RIP (21) corresponding to the case in which the two nonzero elements are restricted to occur in one block is satisfied with . Increasing the number of nonzero elements to , we can verify that the standard RIP (20) does not hold for any . Indeed, in this example there exist two -sparse vectors that result in the same measurements. In contrast, satisfies the lower bound in (21) when restricting the four nonzero values to two blocks. Consequently, the measurements uniquely specify a single blocksparse .
In (5), we will see that the ability to recover in a computationally efficient way depends on the constant in the block RIP (21). The smaller the value of , the fewer samples are needed in order to guarantee stable recovery. Both standard and block RIP constants are by definition increasing with . Therefore, it was suggested in [13] to normalize each of the columns of to , so as to start with . In the same spirit, we recommend choosing the bases for such that has unit-norm columns, corresponding to .
B. Recovery Method
We have seen that if satisfies the RIP (21) with , then there is a unique block-sparse vector consistent with (16). The question is how to find in practice. Below we present an algorithm that will in principle find the unique from the samples . Unfortunately, though, it has exponential complexity. In Section V, we show that under a stronger condition on we can recover in a stable and efficient manner.
Our first claim is that can be uniquely recovered by solving the optimization problem
To show that (23) will indeed recover the true value of , suppose that there exists a such that and . Since both , are consistent with the measurements
where so that is a block -sparse vector. Since satisfies (21) with , we must have that or .
In principle, (23) can be solved by searching over all possible sets of blocks whether there exists a that is consistent with the measurements. The invertibility condition (21) ensures that there is only one such . However, clearly this approach is not efficient.
V. CONVEX RECOVERY ALGORITHM
A. Noise-Free Recovery
We now develop an efficient convex optimization problem instead of (23) to approximate . As we show, if satisfies (21) with a small enough value of , then the method we propose will recover exactly.
Our approach is to minimize the sum of the energy of the blocks . To write down the problem explicitly, we define the mixed norm over the index set as
The algorithm we suggest is then
Problem (26) can be written as an SOCP by defining . Then (26) is equivalent to
which can be solved using standard software packages.
The next theorem establishes that the solution to (26) is the true as long as is small enough.
Theorem 1: Let -sparse vector . If be measurements of a block satisfies the block RIP (21) with then
1) there is a unique block- sparse vector consistent with ;
2) the SOCP (27) has a unique solution;
3) the solution to the SOCP is equal to .
Before proving the theorem, we note that it provides a gain over standard CS results. Specifically, it is shown in [15] that if is -sparse and the measurement matrix satisfies the standard RIP with , then can be recovered exactly from the measurements via the linear program
Since any block -sparse vector is also -sparse with equal to the sum of the largest values of , we can find of Theorem 1 by solving (28) if is small enough. However, this standard CS approach does not exploit the fact that the nonzero values appear in blocks, and not in arbitrary locations within the vector . On the other hand, the SOCP (27) explicitly takes the block structure of into account. Therefore, the condition of Theorem 1 is not as stringent as that obtained by using equivalence results with respect to (28). Indeed, the block RIP (21) bounds the norm of over block sparse vectors , while the standard RIP considers all possible choices of , also those that are not -block sparse. Therefore, the value of in (21) can be lower than that obtained from (20) with , as we illustrated by an example in Section III. This advantage will also be demonstrated by a concrete example at the end of the section.
Our proof below is rooted in that of [15]. However, some essential modifications are necessary in order to adapt the results to the block-sparse case. These differences are a result of the fact that our algorithm relies on the mixed norm rather than the norm alone. This adds another layer of complication to the proof, and therefore we expand the derivations in more detail than in [15].
Proof of Theorem 1: We first note that guarantees uniqueness of from Proposition 1. To prove parts 2) and 3) we show that any solution to (26) has to be equal to . To this end, let be a solution of (26). The true value is nonzero over at most blocks. We denote by the block indices for which is nonzero, and by the restriction of to these blocks. Next, we decompose as
where is the restriction of to the set which consists of blocks, chosen such that the norm of over is largest, the norm over is second largest, and so on. Our goal is to show that . We prove this by noting that
In the first part of the proof, we show that . In the second part, we establish that , which completes the proof. Since , we have . Using the fact that
Part I: . We begin by noting that
From the parallelogram identity and the block-RIP it can be shown that
for any two-block -sparse vectors with disjoint support. The proof is similar to [15, Lemma 2.1] for the standard RIP. Therefore
and similarly for . Substituting into (39)
From the Cauchy–Schwarz inequality, any length- vector satisfies . Therefore
where the last equality is a result of the fact that and have disjoint support. Substituting into (42) and using (32), (34), and (36)
where the last inequality follows from Combining (44) with the RIP (21) we have
Since
, (45) can hold only if.
,
which completes the proof.
We conclude this subsection by pointing out more explicitly the differences between the proof of Theorem 1 and that in [15]. The main difference begins in (32); in our formulation, each of the subvectors may have a different number of nonzero elements, while the equivalent equation in [15] (10) relies on the fact that the maximal number of nonzero elements in each of the subvectors is the same. This requires the use of several mixed
Therefore, it is sufficient to bound for . Now
where we defined . The first inequality follows from the fact that for any block -sparse
The second inequality in (32) is a result of the fact that the norm of each block in is by definition smaller or equal to the norm of each block in . Since there are at most nonzero blocks, . Substituting (32) into (31)
where the equality is a result of the fact that if and are nonzero on disjoint blocks. To develop a bound on note that since is a solution to (26), . Using the fact that and is supported on we have
from which we conclude that
The last inequality follows from applying Cauchy–Schwarz to any block -sparse vector
Substituting (36) into (34)
which completes the first part of the proof.
Part II:.
We next show that must be equal to . In this part we invoke the RIP.
norms in our setting. The rest of the proof follows the spirit of [15], where in some of the inequalities conventional norms are used, while in others the adaptation to our setting necessitates mixed norms.
B. Robust Recovery
We now treat the situation in which the observations are noisy, and the vector is not exactly block- sparse.
Specifically, suppose that the measurements (16) are corrupted by bounded noise so that
where . In order to recover , we use the modified SOCP
In addition, given a , we denote by the best approximation of by a vector with nonzero blocks, so that minimizes over all block -sparse vectors . Theorem 2 shows that even when is not block -sparse and the measurements are noisy, the best block- approximation can be well approximated using (47).
Theorem 2: Let be noisy measurements of a vector . Let denote the best block -sparse approximation of , such that is block -sparse and minimizes over all block -sparse vectors , and let be a solution to (47). If satisfies the block RIP (21) with then
Before proving the theorem, note that the first term in (48) is a result of the fact that is not exactly -block sparse. The second expression quantifies the recovery error due to the noise.
Proof: The proof is very similar to that of Theorem 1 with a few differences which we indicate. These changes follow the proof of [15, Theorem 1.3], with appropriate modifications to address the mixed norm.
Denote by the solution to (47). Due to the noise and the fact that is not block -sparse, we will no longer obtain . However, we will show that is bounded. To this end, we begin as in the proof of Theorem 1 by using (30). In the first part of the proof we show that where and is the restriction of onto the blocks corresponding to the largest norm. Note that . In the second part, we develop a bound on .
Part I: Bound on.
We begin by decomposing as in the proof of Theorem 1. The inequalities until (35) hold here as well. Instead of (35) we have
Therefore
where we used the fact that . Combining (34), (37), and (50) we have
where
Part II: Bound on
Using the fact that
From (21)
Since both and are feasible and (53) becomes
Substituting into (52)
Combining with (42) and (44)
Using (37) and (50) we have the upper bound
On the other hand, the RIP results in the lower bound
From (58) and (59), or.
.
, we have
TABLE I
OMPARISON OF
C
A
LGORITHMS FOR
S
IGNAL
R
ECOVERYFROM
yyy=D D Dccc +zzz
The condition ensures that the denominator in (61) is positive. Substituting (61) results in
(62)
which completes the proof of the theorem.
To summarize this section, we have seen that as long as satisfies the block-RIP (21) with a suitable constant, any blocksparse vector can be perfectly recovered from its samples using the convex SOCP (26). This algorithm is stable in the sense that by slightly modifying it as in (47) it can tolerate noise in a way that ensures that the norm of the recovery error is bounded by the noise level. Furthermore, if is not block -sparse, then its best block-sparse approximation can be approached by solving the SOCP. These results are summarized in Table I. In the table, refers to the block RIP constant.
C. Advantage of Block Sparsity
The standard sparsity model considered in CS assumes that has at most nonzero elements, however it does not impose any further structure. In particular, the nonzero components can appear anywhere in the vector. There are many practical scenarios in which the nonzero values are aligned to blocks, meaning they appear in regions, and are not arbitrarily spread throughout the vector. One example in the structured union of subspaces model we treat in this paper. Other examples are considered in [27].
Prior work on recovery of block-sparse vectors [26] assumed consecutive blocks of the same size. It was shown that in this case, when , go to infinity, the algorithm (26) will recover the true block-sparse vector with overwhelming probability. Their analysis is based on characterization of the null space of
. In contrast, our approach relies on RIP which allows the derivation of uniqueness and equivalence conditions for finite
dimensions and not only in the asymptotic regime. In addition,
Theorem 2 considers the case of mismodeling and noisy obser- vations while in [26] only the ideal noise-free setting is treated.
To demonstrate the advantage of our algorithm over standard basis pursuit (28), consider the matrix of (22). In Section V, the standard and block RIP constants of were calculated and it was shown that block RIP constants are smaller. This suggests that there are input vectors for which the mixed method of (26) will be able to recover them exactly from measurements while standard minimization will fail. To illustrate this behavior, let be a -sparse vector, in which the nonzero elements are known to appear in blocks of length . The prior knowledge that is -sparse is not sufficient to determine from . In contrast, there is a unique block-sparse vector consistent with . Furthermore, our algorithm which is a relaxed version of (23), finds the correct while standard minimization fails in this case; its output is .
We further compare the recovery performance of minimization (28) and our algorithm (26) for an extensive set of random signals. In the experiment, we draw a matrix of size from the Gaussian ensemble. The input vector is also randomly generated as a block-sparse vector with blocks of length . We draw nonzero entries from a zero-mean unit variance normal distribution and divide them into blocks which are chosen uniformly at random within . Each of the algorithms is executed based on the measurements . In Fig. 2, we plot the fraction of successful reconstructions for each over 500 experiments. The results illustrate the advantage of incorporating the block-sparsity structure into the optimization program. An interesting feature of the graph is that when using the block-sparse recovery approach, the performance is roughly constant over the block length ( in this example). This explains the performance advantage over standard sparse recovery.
VI. APPLICATION TO MMV MODELS,
We now specialize our algorithm and equivalence results to the MMV problem. This leads to two contributions which we discuss in this section: The first is an equivalence result based on RIP for a mixed-norm MMV algorithm. The second is a new measurement strategy in MMV problems that leads to improved performance over conventional MMV methods, both in simulations and as measured by the RIP-based equivalence condition. In contrast to previous equivalence results, for this strategy we show that even if we choose the worst possible improved performance over the single measurement setting can be guaranteed.
A. Equivalence Results
As we have seen in Section II, a special case of block sparsity is the MMV model, in which we are given a matrix of measurements where is an unknown matrix that has at most nonzero rows. Denoting by , , we can express the vector of measurements as where is a block sparse vector with consecutive blocks of length . Therefore, the results of Theorems 1 and 2 can be specified to this problem.
Recovery algorithms for MMV using convex optimization programs were studied in [30], [32] and several greedy algorithms were proposed in [29], [31]. Specifically, in [29]–[32], the authors study a class of optimization programs, which we refer to as M-BP
where is the th row of . The choice , was considered in [32], while [30] treated the case of and arbitrary . Using and was suggested in [29], [43], leading to the iterative algorithm M-FOCUSS. For , , the program (63) has a global minimum which M-FOCUSS is proven to find. A nice comparison between these methods can be found in [32]. Equivalence for MMV algorithms based on RIP analysis does not appear in previous papers. The most detailed theoretical analysis can be found in [30] which establishes equivalence results based on mutual coherence. The results imply equivalence for (63) with under conditions equal to those obtained for the single measurement case. Note that RIP analysis typically leads to tighter equivalence bounds than mutual coherence analysis.
In our recent work [20], we suggested an alternative approach to solving MMV problems. Our strategy is based on merging the measurement columns with random coefficients and in such a way transforming the multiple measurement problem into a single measurement counterpart. As proved in [20], this technique preserves the nonzero location set with probability one thus reducing computational complexity. Moreover, we showed that this method can be used to boost the empirical recovery rate by repeating the random merging several times.
Using the block-sparsity approach we can alternatively cast any MMV model as a single measurement vector problem by deterministically transforming the multiple measurement vectors into the single vector model . Here, is block- sparse with consecutive blocks of length . In contrast to [20], this does not reduce the number of unknowns so that the computational complexity of the resulting algorithm is on the same order as previous approaches, and also does not offer the opportunity for boosting. However, as seen in the next subsection, with an appropriate choice of measurement matrix this approach results in improved recovery capabilities.
Since we can cast the MMV problem as one of block-sparse recovery, we may apply our equivalence results of Theorem 1 to this setting leading to RIP-based equivalence. To this end, we first note that applying the SOCP (26) to the effective measurement vector is the same as solving (63) with , . Thus, the equivalence conditions we develop below relate to this program. Next, if where is a block -sparse vector and , then taking the structure of into account, where is a size matrix whose th row is equal to , and similarly for . The block sparsity of implies that has at most nonzero rows. The squared norm is equal to the squared norm of the rows of which can be written as
where denotes the Frobenius norm. Since the RIP condition becomes
for any matrix with at most nonzero rows.
We now show that (65) is equivalent to the standard RIP condition
for any length vector that is -sparse. To see this, suppose first that (65) is satisfied for every matrix with at most nonzero rows and let be an arbitrary -sparse vector. If we define to be the matrix whose columns are all equal to , then will have at most nonzero rows and therefore satisfies (65). Since the columns of are all equal, and so that (66) holds. Conversely, suppose that (66) is satisfied for all -sparse vectors and let be an arbitrary matrix with at most nonzero rows. Denoting by the columns of , each is -sparse and therefore satisfies (66). Summing over all values results in (65).
To summarize, if satisfies the conventional RIP condition (66), then the algorithm (63) with , will recover the true unknown . This requirement reduces to that we would obtain if we tried to recover each column of separately, using the standard approach (28). As we already noted, previous equivalence results for MMV algorithms also share this feature. Although this condition guarantees that processing the vectors jointly does not harm the recovery ability, in practice exploiting the joint sparsity pattern of via (63) leads to improved results. Unfortunately, this behavior is not captured by any of the known equivalence conditions. This is due to the special structure of . Since each measurement vector is affected only by the corresponding vector , it is clear that in the worst case we can choose for some vector . In this case, all the 's are equal so that adding measurement vectors will not improve our recovery ability. Consequently, worst case analysis based on the standard measurement model for MMV problems cannot lead to improved performance over the single measurement case.
B. Improved MMV Recovery
We have seen that the pessimistic equivalence results for MMV algorithms is a consequence of the fact that in the worst case scenario in which , using a separable measurement strategy will render all observation vectors equal. In this subsection, we introduce an alternative measurement technique for MMV problems that can lead to improved worst case behavior, as measured by RIP, over the single channel case.
One way to improve the analytical results is to consider an average case analysis instead of a worst case approach. In [44], we show that if the unknown vectors are generated randomly, then the performance improves with increasing number of measurement vectors. The advantage stems from the fact that the situation of equal vectors has zero probability and therefore does not affect the average performance. Here we take a different route which does not involve randomness in the unknown
vectors, and leads to improved results even in the worst case (namely, without requiring an average analysis).
VII. RANDOM MATRICES
To enhance the performance of MMV recovery, we note that when we allow for an arbitrary (unstructured) , the RIP condition of Theorem 1 is weaker than the standard RIP requirement for recovering -sparse vectors. This suggests that we can improve the performance of MMV methods by converting the problem into a general block sparsity problem, and then sampling with an arbitrary unstructured matrix rather than the choice . The tradeoff introduced is increased computational complexity since each measurement is based on all input vectors. The theoretical conditions will now be looser, since block-RIP is weaker than standard RIP. Furthermore, in practice, this approach often improves the performance over separable MMV measurement techniques as we illustrate in the following example.
In the example, we compare the performance of several MMV algorithms for recovering in the model , with our method based on block sparsity in which the measurements are obtained via where and is a dense matrix. Choosing as a block diagonal matrix with blocks equal to results in the standard MMV measurement model. The effective matrices have the same size in the case in which it is block diagonal and when it is dense. To compare the performance of (26) with a dense to that of (63) with a block diagonal , we compute the empirical recovery rate of the methods in the same way performed in [20]. The matrices and are drawn randomly from a Gaussian ensemble. In our example, we choose , , where is the number of rows in . The matrix is generated randomly by first selecting the nonzero rows uniformly at random, and then drawing the elements in these rows from a normal distribution. The empirical recovery rates using the methods of (63) for different choices of and , ReMBO [20] and our algorithm (26) with dense are depicted in Fig. 3. When the index is omitted it is equal to . Evidently, our algorithm performs better than most popular optimization techniques for MMV systems. We stress that the performance advantage is due to the joint measurement process rather than a new recovery algorithm.
Theorems 1 and 2 establish that a sufficiently small block RIP constant ensures exact recovery of the coefficient vector . We now prove that random matrices are likely to satisfy this requirement. Specifically, we show that the probability that exceeds a certain threshold decays exponentially in the length of . Our approach relies on results of [13], [28] developed for standard RIP, however, exploiting the block structure of leads to a much faster decay rate.
Proposition 3: Suppose is an matrix from the Gaussian ensemble, namely . Let be the smallest value satisfying the block RIP (21) over , assuming for some integer . Then, for every the block RIP constant obeys (for large enough, and fixed )
Here, the ratio is fixed, and is the entropy function defined for .
The assumption that simplifies the calculations in the proof. Following the proof, we shortly address the more difficult case in which the blocks have varying lengths. We note that Proposition 3 reduces to the result of [13] when . However, since is independent of , it follows that for and fixed problem dimensions , , , block-RIP constants are smaller than the standard RIP constant. The second exponent in the right-hand side of (67) is responsible for this behavior.
Proof of Proposition 3: Let and define
where , , are the largest and the smallest singular values of , respectively. We use , to denote a column subset of consisting of blocks of length . For brevity, we omit subscripts and denote . The inequalities in the definition of block-RIP (21) imply that
Since is the smallest number satisfying these inequalities we have that . Therefore
Noting that implies we conclude that
We now bound each term in the right-hand side of (73) using a result of Davidson and Szarek [45] regarding the concentration of the extreme singular values of a Gaussian matrix. It was proved in [45] that an matrix with satisfies
Applying a union bound leads to
Using the well-known bound on the binomial coefficient (for sufficiently large )
we conclude that
To utilize this result in (73) we rearrange
and obtain that
(86)
(87)
Similar arguments are used to bound the second term in (73), completing the proof.
The proof of Proposition 3 can be adapted to the case in which are not equal. In this case, the notation , is replaced by and has the following meaning: indicates a column subset of consisting of blocks from . Since contains variable-length blocks, is not constant and depends on the particular column subset. Consequently, in order to apply the union bounds in (76) we need to consider the worst case scenario corresponding to the maximal block length in . Proposition 3 thus holds for . However, it is clear that the resulting probability bound will not be as stringent as in the case of equal , especially when the ratio is large.
Proposition 3 holds as is for matrices from the Bernoulli ensemble, namely, with equal probability. In fact, the proposition is true for any ensemble for which the concentration of extreme singular values holds.
The following corollary emphasizes the asymptotic behavior of block-RIP constants per given number of samples.
Corolla ry 3
: Consider the setting of Proposition 3, and define
. Then
Using (80) leads to
.
Proof: Let . The result then follows by replacing (81)–(83) with where , then satisfies the block-RIP (21) with restricted isometry constant , with probability at least .
To evaluate the asymptotic behavior of block-RIP we note that for every the right-hand side of (88) goes to zero when . Consequently, for fixed
with overwhelming probability. In Fig. 4, we compute for several problem dimensions and compare it with standard RIP which is obtained when . Evidently, as the nonzero entries are forced to block structure, a wider range of sparsity ratios satisfy the condition of Theorem 1.
Although Fig. 4 shows advantage for block-RIP, the absolute sparsity ratios predicted by the theory are pessimistic as also noted in [13], [28] in the case of . To offer a more optimistic viewpoint, the RIP and block-RIP constants were computed brute-force for several instances of from the Gaussian ensemble. Fig. 5 plots the results and qualitatively affirms that block-RIP constants are more "likely" to be smaller than their standard RIP counterparts, even when the dimensions , are relatively small.
An important question is how many samples are needed roughly in order to guarantee stable recovery. This question is addressed in the following proposition, which quotes a result from [46] based on the proofs of [47]; we rephrase the result to match our notation.
Proposition 4 ([46, Theorem 3.3]]): Consider the setting of Proposition 3, namely, a random Gaussian matrix of size and block sparse signals over , where for some integer . Let and be constant numbers. If
As observed in [46], the first term in (91) has the dominant impact on the required number of measurements in an asymptotic sense. This term quantifies the amount of measurements that are needed to code the exact subspace in which the sparse signal resides. Specifically, for block sparse signals
Thus, for a given fraction of nonzeros , roughly measurements are needed. For comparison, to satisfy the standard RIP a larger number is required. Block sparsity reduces the total number of subspaces and therefore requires times less measurements to code the signal subspace. The second term in (91) has a smaller contribution to the number of measurements. This term is proportional to , which is the number of nonzero values. Since the number of nonzeros is the same regardless of the sparsity structure, this term is not reduced in the block setting.
Note that Corollary 4 puts the emphasis on the required problem dimensions to satisfy a given RIP level. In contrast, Proposition 3 provides a tail bound on the expected isometry constant for given problem dimensions.
VIII. CONCLUSION
In this paper, we studied the problem of recovering an unknown signal in an arbitrary Hilbert space , from a given set of linear samples. The signal is known to lie in a union of subspaces, so that where each of the subspaces is a sum of subspaces chosen from an ensemble of possibilities. While previous treatments of this model considered invertibility conditions, here we provide concrete recovery algorithms for a signal over a structured union.
We began by showing that recovering can be reduced to a sparsity problem in which the goal is to recover a block-sparse vector from measurements where the nonzero values in are grouped into blocks. The measurement matrix is equal
to where is the sampling operator and is a set transformation corresponding to a basis for the sum of all . To determine , we suggested a mixed convex optimization program that takes on the form of an SOCP. Relying on the notion of block-RIP, we developed sufficient conditions under which can be perfectly recovered using the proposed algorithm. We also proved that under the same conditions, the unknown can be stably approximated in the presence of noise. Furthermore, if is not exactly block-sparse, then its best block-sparse approximation can be approached using the proposed method. We then showed that when is chosen at random, the recovery conditions are satisfied with high probability.
Specializing the results to MMV systems, we proposed a new method for sampling in MMV problems. In this approach, each measurement vector depends on all the unknown vectors. As we showed, this can lead to better recovery rate. Furthermore, we established equivalence results for a class of MMV algorithms based on RIP.
Throughout the paper, we assumed a finite union of subspaces as well as finite dimension of the underlying spaces. An interesting future direction to explore is the extension of the ideas developed herein to the more challenging problem of recovering in a possibly infinite union of subspaces, which are not necessarily finite-dimensional. Recovery methods for sparse signals in infinite dimensions have been addressed in some of our previous work [16]–[20]. In particular, we have shown that a signal lying in a union of shift-invariant subspaces can be recovered efficiently from certain sets of sampling functions. A first step in the direction of treating infinite unions of infinite subspaces is the example studied in [21] in which we treat an infinite union resulting from unknown time delays. In our future work, we intend to combine these results with those in the current paper in order to develop a more general theory for recovery from a union of subspaces.
A recent preprint [48] that was posted online after the submission of this paper proposes a new framework called modelbased compressive sensing (MCS). The MCS approach assumes a vector signal model in which only certain predefined sparsity patterns may appear. In general, obtaining efficient recovery algorithms in such scenarios is difficult, unless further structure is imposed on the sparsity patterns. Therefore, the authors consider two types of sparse vectors: block sparsity as treated here, and a wavelet tree model. For these settings, they propose generalizations of several known greedy algorithms. The union model developed in this paper is broader than the block-sparse setting treated in [48] in the sense that it allows to model linear dependencies between the nonzero values rather than only between their locations, by appropriate choice of subspaces in (6), (7). In addition, we aim at optimization-based recovery algorithms (26), (47) which require selecting the objective in order to promote the model properties.
ACKNOWLEDGMENT
The authors would like to thank Volken Cevher for fruitful discussions regarding the MCS framework.
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Yonina C. Eldar (S'98–M'02–SM'07) received the B.Sc. degree in physics in 1995 and the B.Sc. degree in electrical engineering in 1996 both from TelAviv University (TAU), Tel-Aviv, Israel, and the Ph.D. degree in electrical engineering and computer science in 2001 from the Massachusetts Institute of Technology (MIT), Cambridge.
From January 2002 to July 2002, she was a Postdoctoral Fellow at the Digital Signal Processing Group at MIT. She is currently an Associate Professor in the Department of Electrical Engineering at the Technion–Israel Institute of Technology, Haifa, Israel. She is also a Research Affiliate with the Research Laboratory of Electronics at MIT. Her research interests are in the general areas of signal processing, statistical signal processing, and computational biology.
Dr. Eldar was in the program for outstanding students at TAU from 1992 to 1996. In 1998, she held the Rosenblith Fellowship for study in Electrical Engineering at MIT, and in 2000, she held an IBM Research Fellowship. From 2002 to 2005, she was a Horev Fellow of the Leaders in Science and Technology program at the Technion and an Alon Fellow. In 2004, she was awarded the Wolf Foundation Krill Prize for Excellence in Scientific Research, in 2005 the Andre and Bella Meyer Lectureship, in 2007 the Henry Taub Prize for Excellence in Research, and in 2008 the Hershel Rich Innovation Award, the Award for Women with Distinguished Contributions, and the Muriel & David Jacknow Award for Excellence in Teaching. She is a member of the IEEE Signal Processing Theory and Methods technical committee and the Bio Imaging Signal Processing technical committee, an Associate Editor for the IEEE TRANSACTIONS ON SIGNAL PROCESSING, the EURASIP Journal of Signal Processing, and the SIAM Journal on Matrix Analysis and Applications, and on the Editorial Board of Foundations and Trends in Signal Processing.
Moshe Mishali (S'07) received the B.Sc. degree in electrical engineering (summa cum laude) from the TechnionIsrael Institute of Technology, Haifa, Israel, in 2000, where he is currently pursuing the Ph.D. degree in electrical engineering.
From 1996 to 2000, he was a member of the Technion Program for Exceptionally Gifted Students. Since 2006, he has been a Research Assistant and Project Supervisor with the Signal and Image Processing Lab, Electrical Engineering Department, Technion. His research interests include theoretical aspects of signal processing, compressed sensing, sampling theory, and information theory.
Mr. Mishali received the Hershel Rich Innovation Award in 2008.
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435452 2012
PUS0010.1177/0963662511435452Gage et al.Public Understanding of Science
Health effects of infant feeding: Information for parents in leaflets and magazines in five European countries
Public Understanding of Science 22(3) 365–379 © The Author(s) 2012 Reprints and permissions: sagepub.co.uk/journalsPermissions.nav DOI: 10.1177/0963662511435452 pus.sagepub.com
Heather Gage 1 , Julia Von Rosen-Von Hoewel 2 , Kirsi Laitinen 3 , Viktoria Jakobik 4 , Elena Martin-Bautista 5 , Martina Schmid 1 , Bernadette Egan 1 , Jane Morgan 1 , Peter Williams 1 , Tamas Decsi 4 , Cristina Campoy 5 , Berthold Koletzko 2 and Monique Raats 1
1University of Surrey, UK 2Ludwig-Maximilians University, Germany 3University of Turku, Finland 4University of Pécs, Hungary 5University of Granada, Spain
Abstract
Parents' decisions about whether to breastfeed their infant, and when to introduce complementary foods, are important public health issues. Breastfeeding has beneficial health effects and is widely promoted. Leaflets and magazine articles on infant feeding were collected in 2005, in five European countries (England, Finland, Germany, Hungary, Spain), and screened for statements that link feeding behaviours to infant health outcomes. A total of 127 leaflets contained 512 statements (0.38 / published page). Magazines contained approximately 1 article / month. Health outcomes were more intensively covered in England and Germany. Most statements referred to short term health implications. Lack of scientific agreement may underlie lack of cover of longer term health effects. Scope may exist to promote improved infant feeding practices by increasing the quantity and specificity of messages about health effects. Further research is required to evaluate the impact of alternative means of providing information on infant feeding practices.
Keywords
European countries, health effects, infant feeding, leaflets, magazines, scientific agreement
Corresponding author:
1. Introduction
Parents' decisions about whether to breastfeed or use formula milks for their infants, and at what age to introduce complementary foods, are important public health issues. Breastfeeding is widely promoted by national and international agencies and health care professionals because of its beneficial health effects. Following an extensive review of available evidence, the World Health Organisation issued a global recommendation that babies should be exclusively breastfed for six months (World Health Organisation, 2001). Formula milks are associated with a range of short term health problems for babies, especially gastric and respiratory tract infections, and the health consequences of not breastfeeding extend to childhood, adolescence and beyond (American Academy of Pediatrics, 2005; World Health Organisation Europe, 2007). The concept of "programming" suggests that the nutritional environment in the early months of life may "set" a child's metabolism and influence lifelong health (Delisle, 2002; Horta et al., 2007), and links poor nutrition in the prenatal and early post-natal period to considerable disease burden, includ ing obesity (von Kries et al., 1999), allergies (Chandra, 2002), diabetes (Virtanen and Knip, 2003) and cardiovascular conditions (Singhal et al., 2003).
Several recent studies have found low rates of breastfeeding and poor weaning practices in Europe, and public health nutrition policy for infants and young children is focussed on increas ing breastfeeding initiation rates and duration (Nichol et al., 2002; World Health Organisation Europe, 2003; European Commission, 2004; Cattaneo et al., 2005; World Health Organisation, 2007a). In this context, the information environment facing consumers is important. The target audience is the parents and other caregivers who make decisions about nutrition on behalf of their babies and young children. Agencies need to ensure that messages about the health advantages of breastfeeding are communicated in a way that will have a positive effect on the behaviours of these decision makers. Caregivers' choices may be influenced by a variety of factors, including convenience and cost (Murphy et al., 1998; Shaw et al., 2003; Stewart-Knox et al., 2003), and the health implications for infants may not be paramount.
One method of informing consumers is to issue policy documents containing practice recom mendations for health care professionals, and other agents, who deliver services to the relevant client groups. These guidelines should evolve from a robust synthesis of available evidence and consensus among stakeholders, including practitioners and service use representatives (Commission for European Communities, 2001; Renfrew et al., 2008). Advice from health care professionals has been shown to have a significant influence on individuals' health-related behaviours (Di Giraldamo et al., 2003; Lee and Garvin, 2003), and verbal communication may be reinforced by a variety of electronic, print and visual media that target consumers directly. To ensure that messages about health risks and benefits are communicated persuasively, conceptual approaches from psychology emphasise a need to focus on cognitive processes that mediate behaviour change (Ogden, 2007). Protection motivation theory (Rogers, 1983), for example, suggests that the likelihood of individu als adopting health protecting behaviours, such as breastfeeding, depends on their perceptions of the severity of the threat (adverse health effects for the infant of not breastfeeding), probability of the threat occurring (or their vulnerability to it), efficacy of the recommended protective behaviour (exclusive breastfeeding for six months), and self efficacy (confidence) that they can perform the preventive behaviour.
This paper reports findings from a study that explored the representation of health implica tions of infant feeding choices in the first year of life (milk feeding and introduction of comple mentary foods) in widely distributed consumer information in five European countries (England, Finland, Germany, Hungary and Spain). It sought to establish whether the content of leaflets and magazine articles on infant feeding covered health effects for the infant, and if so, the range and specificity of outcomes mentioned. It aimed to identify the extent and way in which the "threat" arising from poor infant nutrition practices was communicated to caregivers through these media.
Written materials (leaflets and small booklets) were chosen for study as they are a commonly used means of promoting infant feeding messages to parents. They are inexpensive to produce, easy to distribute (by health professionals, in retail establishments and other public places), and provide convenient reference sources. They have been shown effective at improving knowledge in other health areas (Castle et al., 1999; O'Cathian et al., 2002), and in counteracting misinformation that parents may acquire from other sources such as relatives, friends, or non-validated websites (Caroline Walker Trust, 2007). Similarly articles in parenting magazines have the potential to reach target groups, particularly since readership exceeds published circulation figures through place ment of magazines in locations such as doctors' waiting rooms.
The study reported here was part of a larger project, a parallel component of which investi gated the lifelong health outcomes associated with breastfeeding in policy documents (in the same five countries). This analysis found no consistency within or between countries in the way in which health risks or benefits were cited as factors in recommendations for breast rather than for formula feeding (Martin-Bautista et al., 2010). The observed variability may be attributable to uncertainty in the underlying science. Differences exist, for example, in the extent to which the protective effect of breastfeeding is endorsed with respect to allergy (World Health Organisation, 2001; Agency of Healthcare Research and Quality, 2007; Kramer et al., 2007) and long term conditions (Chandra, 2002; American Academy of Pediatrics, 2005; Agency of Healthcare Research and Quality, 2007). In addition, reservations have been expressed about whether the World Health Organisation (2001) global recommendation of exclusive breast feeding for six months is optimal for all babies (Fewtrell et al., 2007; ESPGHAN, 2008; Cattaneo et al., 2011). Inconclusive or insufficient scientific evidence such as this may also be expected to impact on the content of consumer information, where the additional problem of communicating technical issues in an accurate and understandable way to a lay audience has to also be addressed.
2. Methods
The countries in the study were selected to represent geographical spread within Europe and varied socio-economic structures and health economies. Standard operating procedures were agreed amongst partners through regular face-to-face meetings and email contact to ensure each element of the work was conducted in the same way in each country.
A search for leaflets (defined to include small booklets and information sheets) was con ducted simultaneously in each country between July and October 2005 through an open internet search and by targeting the websites of relevant organisations (national and regional government agencies, professional associations, interest groups, retail and manufacturing industries) using the key words: nutrition, diet, breastfeeding, bottle feeding, formula feeding, weaning, comple mentary feeding, infant feeding and baby (in local languages). Leaflets were collected if they referred to the feeding or nutrition of healthy infants aged 0–12 months and were dated 2000 or later. This cut-off date was selected to ensure recent editions were incorporated, and to keep the volume of data manageable. Materials targeting pregnancy, older children or health profession als or focussing on legal or practical aspects were excluded. Titles, bibliographic information and a brief description of the leaflets (subject area: milk feeding, complementary feeding, both;
authorship: national / regional government, professional association, special interest group, industry; price; number of pages in A4 equivalent; use of illustrations: yes / no) were stored in English.
Each selected leaflet was independently screened by two people in each country and state ments that related breastfeeding, formula feeding or a complementary feeding behaviour to a health outcome for the baby were agreed and extracted. Where a health outcome was repeated in consecutive sentences, only the first occurrence was included for analysis. Statements on non-nutritive substances (e.g. alcohol) and toxicological substances (e.g. mercury), nutrient absorption and supplementation (e.g. vitamins, folic acid), and the effects of special diets (e.g. vegan) or malnutrition were excluded. If in doubt about the eligibility of a statement, research ers were instructed to include it, and that it would be removed, if necessary, at a later stage. Statements were entered verbatim into an SPSS version 15 database to facilitate manipulation of the data. Where necessary, an English translation was provided which was checked by researchers in England and referred back to individual countries for clarification if issues of comprehension arose.
The most popular monthly parenting magazine for each country (defined on the basis of annual average circulation figures) was identified. All 12 issues from January to December 2005 were screened by two independent researchers in each country for articles (including notes or com ments) on the feeding or nutrition of healthy infants aged 0–12 months. Articles on nutrition in pregnancy or for toddlers, and advertisements or promotional text were excluded. Statements that related a feeding behaviour to a health outcome for the baby were identified in each article and processed in the same way as the statements from leaflets.
Coding of statements was undertaken separately for milk feeding and complementary feeding, since the issues and health implications for infants are different. In each case it was driven by the data in the statements, as originally presented. An initial list of 47 health outcomes associated with milk feeding behaviours was compiled from reading of the documents in all five countries. A refined list of 22 health benefits associated with breast rather than formula feeding (in four main categories: health in general; infections; allergy; long term conditions) was produced by researchers in England. This was based on the number of statements in each category, and to ensure consistency with classifications used in national and international documents (Weiner, 2001; American Academy of Pediatrics, 2005; World Health Organisation, 2007b). Coding of health outcomes in statements referring to complementary feeding followed a similar procedure and resulted in the establishment of 23 health effects (in five major categories: food allergy; food poisoning; links to long term health conditions; other health reasons; establishing good eating habits). No distinction was drawn between an outcome that was expressed as a positive statement about breastfeeding (e.g. breastfeeding reduces the risk of gastrointestinal infections) or as a negative statement about formula feeding (e.g. the risk of gastrointestinal infections is higher for babies that are formula fed): both were coded as a statement relating to gastrointestinal infection. Statements referring to milk feeding were additionally coded by type of feeding behaviour (exclusive breastfeeding for unspecified duration, < 4 months, 4–6 months, ≥ 6 months; breast feeding in general of unspecified duration; formula feeding). Coding of health outcome state ments to these reduced lists of categories was undertaken in individual countries.
Two independent researchers in England (HG, JM) reviewed the statement selection and coding across all five countries. This validation stage was important to ensure consistency between coun tries. About a quarter of statements included by researchers in individual countries were dropped at this point: those in leaflets about milk and complementary feeding were reduced from 504 to 395 (21.6%) and 182 to 117 (35.7%) respectively; those in magazines were similarly reduced from 172 to 121 (29.7%, milk feeding) and 115 to 76 (33.9%, complementary feeding). Typically statements were removed because they related to nutrition in childhood and adolescence (rather than in the first year of life), referred to the effect of supplements (e.g. iron or iodine) or special sorts of milk (e.g. soya and probiotic), or to a health benefit for the mother (rather than the infant). Changes to codings allocated to individual statements in individual countries also took place at this stage. All coding amendments were agreed through discussion between the assessors, resulting in an overall revision rate of 12.1% (44/395, 11.1% of statements about milk feeding in leaflets; 15/121, 12.4% milk feeding magazines; 17/117, 14.5% complementary feeding leaflets; 10/76, 13.2% comple mentary feeding magazines). At the end of this process, an internally consistent master database had been established as a basis for analysis. Following principles of documentary analysis, find ings are reported in terms of statements per leaflet and how many times issues are mentioned (May, 1993).
3. Results
Availability of written information: Leaflets and magazines
The search for leaflets revealed 127 separate publications. The majority (n = 58, 45.7%; range 12% Finland to 61% Spain) covered just milk feeding, fewer than one fifth (n = 22, 17.3%) cov ered just complementary feeding, and the rest covered both feeding behaviours. Relatively few of the leaflets were identified in Finland (n = 8) and Germany (13), compared to Spain (33), England (35) and Hungary (38). Most publications were free of charge (or very inexpensive), relatively short and contained pictures or illustrations (Table 1). At least half of the leaflets in Finland and Hungary were produced by special interest groups (e.g. breastfeeding support groups), and in Germany were produced by manufacturers or retailers of formula milk or infant foods. Government sources were involved most often in England and Spain. A total of 512 health outcome statements were identified from these leaflets, an average of 0.38 statements per pub lished page (range 0.13 Finland to 0.85 England). The magazines ranged in price from 1 Euro (Finland) to 3 Euros (England) per issue, and had average annual circulations of between 13 (England) and 148 (Spain) issues per 10,000 inhabitants. Issues were typically around 100 pages, except in England (average 180).
Statements about health outcomes in leaflets and magazine articles that covered milk feeding
A total of 395 statements about the implications for the baby of the choice between breast and formula feeding were extracted from 105 leaflets across the five countries (mean 3.8 per leaflet, range 2.25 Finland to 4.3 England) (Table 2). Over one fifth of leaflets (n = 24, 22.9%, and 12 of 35 (34.3%) in Hungary) contained no statements. About one third of the statements referred to a range of general health benefits from breastfeeding (for example, that it resulted in "better health"), and a further third cited the protection afforded by breastfeeding against infections. The remaining statements were approximately equally divided between long term benefits (including prevention of obesity, diabetes and cardiovascular disease, and enhancement of immune function) and allergy protection.
The analysis of the content of the magazines revealed 56 articles on milk feeding (from a total of 60 issues across the five countries, 0.93 articles per issue), of which 44 (78.6%) mentioned health implications for the baby of the choice between breast and formula feeding in a total of 121
statements. The English magazine contained 86 of the statements (71% of the total). Few articles on infant feeding were found in the magazines in Finland and Hungary (n = 3 and 4 respectively), and the articles themselves contained little on health implications (n = 3 and 5 statements respec tively). Across all countries, protection against infection was the most frequently cited advantage of breastfeeding (33% of all statements).
Variability between countries was observed in the extent to which statements emphasised dif ferent health outcomes. The predominant outcomes represented in leaflets on milk feeding related to infections in England and Spain, long term conditions in Hungary, and general benefits of breastfeeding in Germany and Finland. Statements from magazine articles on milk feeding in England also emphasised infection risks, but the small numbers of statements in the magazines of other countries make it difficult to identify particular patterns. A relatively low proportion of state ments explicitly reflected the World Health Organisation (2001) recommendation for six months' exclusive breastfeeding: 19/395 (4.8%) in leaflets, 21/121 (17.4%) in magazine articles, of which 19 were in England (22% of all English magazine statements).
Statements about health outcomes in leaflets and magazine articles that covered complementary feeding
A total of 117 statements on the health implications for the baby of complementary feeding behav iours were extracted from 69 leaflets across the five countries (Table 3). Overall, only 25 (36.2%) of the leaflets contained health outcome statements, none in Finland or Hungary (vs. n = 10 (100%) in Germany). Advice on complementary feeding focussed mostly on foods to avoid, particularly to protect against allergies (n = 48, 41% of statements), or for other health reasons, such as to prevent dental caries through avoidance of sugary foods or beverages (n = 17, 14.5%). Long term condi tions featured in 21 (18%) of the statements.
The 60 magazines (12 issues in each of five countries) contained 26 articles on complementary feeding (0.43 per issue), of which 25 (96.1%) contained a total of 76 health statements (none in Finland and Spain). Over half of the statements on complementary feeding were from the English magazine and one third from Germany. As with leaflets, allergy was the main health outcome men tioned (n = 35, 46.1% of statements), followed by long term conditions (n = 16, 21%), of which obesity was the most frequently cited.
4. Discussion
The study confirms that a range of infant feeding leaflets (covering both the milk feeding and the introduction of complementary foods) are available in the five countries included in this analysis. The documents are produced by a variety of agencies, and are mostly distributed freely, or are inexpensively priced. Analysis of the content of these materials showed that the health implications of infant feeding decisions are not widely discussed. On average, for every 2.6 published pages, there is one health outcome statement. However, this varies between countries from almost one statement per page in English leaflets to one statement every eight pages in Finland. Nearly one quarter of leaflets related to milk feeding, and two thirds of those related to complementary feed ing, did not include any statements about the health effects for the baby of food choices.
Coverage of infant feeding in articles or notes in the main monthly parenting magazine in each country was also variable. The magazines in England, Germany and Spain publish at least one article on infant feeding per monthly issue (2 per issue in England), but only three or four articles
were identified during the whole 12 month data collection period in each of Finland and Hungary. Articles in magazines were more likely than leaflets to include a health outcome statement relating to complementary feeding (96.1% vs. 36.2%).
Advice on complementary feeding in both leaflets and magazine articles tended to be specific, citing particular foods to avoid (peanuts, tea, honey, etc.) to prevent food allergy or other health problems. The content of statements relating to milk feeding was frequently vague, citing generic health benefits (for example, "breastfeeding is best") and short term implications such as protec tion against infections. Possible long term health effects of feeding choices accounted for around a fifth of both the milk and complementary feeding health outcome statements.
Recent analyses of the cover of other important public health issues in the print media have also reported deficiencies in information on preventive behaviours (Slater et al., 2008; Gollust and Lantz, 2009; Mathews et al., 2009), and variability in the content of messages (Friedman et al., 2010). The main focus of most of the leaflets and magazine articles identified in this study was on the practicalities of breastfeeding and of introducing new foods and beverages, rather than the consequences for lifelong health. Whilst understanding technical aspects of the feeding pro cess has been shown to be important to encourage low income mothers to breastfeed (Hoddinott and Pill, 2000), further explanation of the health implications of decisions may also be warranted to help influence behaviours.
Protection motivation and other theories based in cognitive psychology suggest that communi cation of risks or benefits associated with different actions may help persuade individuals to adopt health promoting behaviours, particularly if a threat is perceived to be serious and they think they are susceptible. Providing information through media sources can improve knowledge and alter attitudes and health behaviours (Brown et al., 2001; Gollust and Lantz, 2009; Slater et al., 2009; Moriarty et al., 2010). The possible adverse effects of poor infant nutrition practices deserve to be fully and consistently explained to caregivers. However, risk perception is a complex psychologi cal construct and behaviour modification is influenced by a variety of factors (including peer pressure, partner support and family circumstances), and the extent to which caregivers respond to education about infant nutrition is an empirical question. Longitudinal studies have found no relationship between the number of magazine articles on breastfeeding and breastfeeding rates (Potter et al., 2000; Foss et al., 2006), but carefully designed and delivered messages could affect views (Brown and Peuchaud, 2008), and such considerations should be investigated.
The greater attention in written materials to short term health effects of infant feeding decisions (e.g. infections or food allergy) rather than longer term consequences (the development of chronic conditions such as obesity, diabetes, cardiovascular disease and cancer later in life) would be con sistent with protection motivation theory that purports that more immediate threats are more likely to be more effective at generating health protecting behaviours than threats that are remote. However, lack of cover of long term health effects, and absence of any mention of programming theories in any identified leaflet or magazine article, may be a reflection of greater uncertainty in the underlying science, and lack of consensus about mechanisms and impact. A parallel analysis of the content of policy documents on infant feeding in the same countries also noted that most atten tion focuses on short term rather than long term health implications (Martin-Bautista et al., 2010). Establishing an association between cause and effect is more difficult for longer term outcomes, and uncertainty surrounds research findings. Where the scientific evidence is insufficient or incon clusive, policies and associated information for consumers may be cautionary (European Union, 2000). On the one hand, there is a responsibility to inform of potential risks, but on the other, it is not known how the presentation of uncertainties and complexities in the scientific evidence affects the attitudes and behaviours of lay audiences. Some sections of the public may find information more trustworthy when uncertainties are reported (Jensen, 2008), but others may become confused and indecisive. More research is needed to explore how people process, interpret and respond to different types of uncertainty, and how personal characteristics and the means of communicating risks affect comprehension and behaviour change (Politi et al., 2007).
Whilst the overall picture across countries is that the health outcomes of infant feeding choices are not given high profile in leaflets and magazines, differences between countries are apparent. Generally there is a higher intensity of statements per document, and a wider range of health outcomes covered in the materials from England and Germany. The reasons underlying this are not known. In both countries, leaflets were issued by a range of types of organisations, although in England, in line with the centralised provision of health care (through the National Health Service) more came from government agencies, whereas in Germany, where health insurance is largely through occupation-based sickness funds, industry was the predominant publisher.
International comparisons of breastfeeding rates are restricted by limited availability of data and methodological differences (Cattaneo, 2009). Information is typically collated from a range of national sources, and indicates large variability amongst the study countries in the proportions of children (around 2005) exclusively breastfed at three and six months: Hungary 95%, 42%; Finland 50%, negligible; Spain 41%, 19%; United Kingdom (UK) 10%, negligible (OECD, 2009). An independent study (around the same time) in one region of Germany reports 42% exclusive breastfeeding at four months and 21% at six months (Kohlhuber et al., 2008). Many complicated cultural and personal factors underpin this international variation. Local policies related to maternity leave do not provide a complete explanation, as evidenced by the difference in breastfeeding rates in Hungary and the UK, both of which have relatively generous leave allowances (OECD, 2009). Written materials provide an opportunity to target country-specific barriers, and particular socio-economic segments of the population where attitudes are more resistant. It is not known whether simple messages, or more detailed and scientific explanations, are more effective at disseminating information and encouraging healthy behaviours, and this may vary both within and between countries. More research is required on this issue so that the content and presentation of documents can be customised accordingly.
The search for leaflets and extraction of health outcomes statements were conducted rigorously, In accordance with methodologies agreed in advance by partners in each country. Researchers met regularly to agree procedures and resolve any issues. The coding of statements was verified across countries by independent assessors. However, the study is limited in several ways. Although the five countries in the study were selected to provide geographical spread across Europe, they may not be representative of all social, political and health care systems. It is possible that leaflets could have been missed by the searches. The analysis of health effects is based on counts of statements. Frequencies have been used in other similar studies (Meister, 2004; Jones et al., 2008), but are not necessarily a good indication of overall significance. The materials were collected in 2005, and although most are still in circulation, referencing of health effects could have altered in later edi tions. Scientific knowledge could have advanced, and the importance of health as a factor influenc ing choices could have changed. However, the shift in the evidence base in this area is slow, and no new policies have been published. Future research is required to explore evolution in the repre sentation of infant feeding messages in written materials for consumers.
In a survey of a sample of new mothers in the study countries, diet as a baby was perceived to be a less important influence on lifelong health than many lifestyle, behavioural and environmental factors, and genetics (Gage et al., 2011). Hence, scope may exist for public health policy makers to raise the profile of health as an influence on decisions that caregivers make about feeding their infant. Written materials are a potentially useful means of achieving this. Amongst the same sample of mothers, leaflets and magazines were ranked fourth and fifth in terms of importance as influences on their infant feeding decisions, behind their partner, antenatal midwife, staff in maternity units and books, and ahead of other relatives, friends, electronic media and television.
There is a need for further research to evaluate the impact on infant feeding practices of alterna tive means of providing information to parents in different socio-economic groups and cultural settings, including the effect of health professional endorsements, family and friends, and the growing importance of the internet and social networking sites. It is also important to explore how the importance of health factors can be enhanced in caregivers' decision making about infant feed ing. Whilst variability is apparent, in general, the health effects of alternative feeding behaviours are not comprehensively or consistently portrayed in leaflets and magazine articles in the countries in this study, and scope may exist to promote improved infant feeding practices by increasing the quantity and specificity of messages about health effects in consumer information. Moreover, progress in this regard awaits definitive research conclusions and policy endorsements to remove existing uncertainties about the influence of infant feeding decisions on lifelong health.
Acknowledgement
The authors are grateful to anonymous reviewers for helpful comments on an earlier draft.
Funding
This study was supported as a part of the European Project "Early Nutrition Programming-EARNEST" within the 6th Framework Programme. Nº FOOD-CT-2005-007036.
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Author biographies
The authors, many of whom are well known in their fields, come from a variety of disciplines, including nutrition, medicine, health services, and statistics. They have a collective interest in the public health impact of infant feeding choices. Heather Gage, contributed to the analysis and wrote the first draft; Julia Von Rosen-Von Hoewel, Kirsi Laitinen, Viktoria Jakobik, Elena Martin-Bautista, Martina Schmid, Bernadette Egan, collected data and contributed to the analysis; Jane Morgan, Peter Williams, contributed to the analysis; Monique Raats conceived the study; all authors contributed to the design and read and approved the final manuscript.
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Volume 5 Issue 3 Summer 2017
The Open Journal of Occupational Therapy
Article 10
7-1-2017
Occupational Therapy in Primary Care: Determining Receptiveness of Occupational Therapists and Primary Care Providers
Sue Dahl-Popolizio Arizona State University, email@example.com
Sherry Lynne Muir Saint Louis University, firstname.lastname@example.org
See next page for additional authors
Credentials Display
Sue Dahl-Popolizio, DBH, OTR/L, CHT; Sherry Muir, PhD, OTR/L; Kaila Stuart, OTD-S; Sabrina Wade, OTD-S; Rachael Voysey OTD-S
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Copyright transfer agreements are not obtained by The Open Journal of Occupational Therapy (OJOT). Reprint permission for this article should be obtained from the corresponding author(s). Click here to view our open access statement regarding user rights and distribution of this article. DOI: 10.15453/2168-6408.1372
Recommended Citation
Dahl-Popolizio, Sue; Muir, Sherry Lynne; Davis, Kaila; Wade, Sabrina; and Voysey, Rachael (2017) "Occupational Therapy in Primary Care: Determining Receptiveness of Occupational Therapists and Primary Care Providers," The Open Journal of Occupational Therapy: Vol. 5: Iss. 3, Article 10.
Available at: https://doi.org/10.15453/2168-6408.1372
This document has been accepted for inclusion in The Open Journal of Occupational Therapy by the editors. Free, open access is provided by ScholarWorks at WMU. For more information, please contact email@example.com.
Occupational Therapy in Primary Care: Determining Receptiveness of Occupational Therapists and Primary Care Providers
Abstract
Background: Primary care (PC) is an emerging practice setting for occupational therapy; however, few occupational therapists currently practice in this setting due to barriers, including uncertainty about reimbursement and the role of occupational therapists. This pilot study aimed to determine if PC providers and occupational therapists are receptive to occupational therapists as integrated interprofessional PC team members if barriers to inclusion are addressed.
Method: After a brief educational paragraph explaining potential occupational therapy contributions to PC teams, the participants accessed a link to survey questions regarding their personal level of receptiveness to occupational therapy in PC. The questions comprised Likert scale and open-ended answers.
Results: Of the Likert scale responses, 94%-99% provided by occupational therapists and 82%-97% provided by PC providers indicated possibly or yes to the inclusion of occupational therapists on the PC team. The descriptive responses were primarily supportive.
Discussion: The majority of the occupational therapists and PC providers surveyed indicated support for including occupational therapists in primary care. This indicates that when barriers are addressed, occupational therapists and PC providers are receptive to the inclusion of occupational therapists as members of the interprofessional PC team.
Keywords
occupational therapy, interprofessional, integrated, primary care, behavioral health
Complete Author List
Sue Dahl-Popolizio, Sherry Lynne Muir, Kaila Davis, Sabrina Wade, and Rachael Voysey
Drawing on definitions from the Institute of Medicine and the Patient Protection and Affordable Care Act, the American Occupational Therapy Association (AOTA), through their primary care position paper, defines primary care as "the provision of integrated, accessible health care services by clinicians who are accountable for addressing a large majority of personal health care needs, developing a sustained partnership with patients, and practicing in the context of family and community" (Roberts, Farmer, Lamb, Muir, & Siebert, 2014, p. 1). Historically in primary care (PC), patients are scheduled for short visits with the physician in a small exam room. Nearly half of these visits are for acute medical needs; the remainder are for preventative care or chronic care management (Bodenheimer & Smith, 2013).
PC is an emerging practice area for occupational therapists (OTs). However, despite the OT's broad skill set, and considering that OTs enhance the interprofessional PC team by addressing patient issues that impact health behaviors, impede function, and affect quality of life (Dahl-Popolizio, Manson, Muir, & Rogers, 2016), there are still few OTs practicing in this field (Donnelly, Brenchley, Crawford, & Letts, 2013, 2014). There are barriers to the inclusion of OTs as members of the interprofessional PC team in the form of perceptions of primary care providers (PCPs) and OTs, including uncertainty about what OTs can contribute in the PC setting and how the service will be funded or reimbursed (Bodenheimer & Smith, 2013; Donnelly et al., 2013; Muir, Henderson-Kalb, Eichler, Serfas, & Jennison, 2014). These barriers must be explored and
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addressed if OTs are to be recognized as members of the interprofessional PC team.
Although OTs are gradually being incorporated into interprofessional PC teams in countries such as Canada, the United Kingdom, and Australia (Cook & Howe, 2003; Dahl-Popolizio et al., 2016; Donnelly et al., 2013, 2014; Letts, 2011; Mackenzie & Clemson, 2014; Mackenzie, Clemson, & Roberts, 2013; Tracy, Bell, Nickell, Charles, & Upshur, 2013; Wood, Fortune, & McKinstry, 2013), the role of OTs in PC needs to be better defined in the United States (Dahl-Popolizio et al., 2016). Many PCPs do not use OTs in PC because they do not understand the occupational therapy scope of practice or the potential role of OTs as members of the interprofessional PC team (Donnelly et al., 2013; Wood et al., 2013). As a result, OTs are overlooked and underused in this setting (AOTA, 2013; Dahl-Popolizio et al., 2016; Donnelly et al., 2013, 2014; Mackenzie et al., 2013). When PCPs have a good understanding of the role of OTs, referrals for occupational therapy services increase; conversely, when PCPs have a poor understanding, the referral rate decreases, resulting in underuse of OTs (Donnelly et al., 2013; Metzler, Hartmann, & Lowenthal, 2012).
Donnelly, Leclair, Wener, Hand, and Letts (2016) completed the first national survey of OTs working in PC in Canada. They discovered wide variability in the activities that OTs were providing. The specific role of OTs in PC depends on the nature and the needs of the community, the interprofessional PC team, and the patient population. This diversity supports the role of OTs as generalists in PC, as they provide intervention
across the life span (Donnelly et al., 2014; Donnelly Leclair, Wener, Hand, & Letts, 2016; Muir, 2012). Using their diverse skill set as generalists to address the plethora of issues that present to PC, OTs in this setting work at the top of their license, meaning that they use their full educational skill set to meet the whole person needs of the individuals and populations of PC. This diverse skill set allows the OTs to complement the interprofessional PC team by helping the team meet the many and diverse patient issues that complicate patient health and result in increased health care costs (Dahl-Popolizio et al., 2016). Considering the barrier of uncertainty regarding the role of OTs in PC, OTs must articulate their skills and contributions to educate the interprofessional PC team about their potential contributions both to patient care and to the team itself in this emerging practice setting.
The AOTA has examined and articulated the fit that OTs have in PC (Roberts et al., 2014). There are many articles providing evidence for and supporting the emergence of PC as a practice setting for OTs. These articles also provide multiple examples of what occupational therapy in PC might look like (AOTA, 2014; Dahl-Popolizio et al., 2016; Muir, 2012; Muir et al., 2014; Roberts et al., 2014). OTs offer a unique contribution—their diverse scope of practice and unique whole person approach addresses patient habits and routines, as well as environmental factors that affect health across the life span and in the context of the patient's life, family, and community (Dahl-Popolizio et al., 2016). According to the AOTA (2014), clinical domains can include life context, physical environments, performance skills, patterns, http://scholarworks.wmich.edu/ojot/vol5/iss3/10
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occupations, and client factors. This broad contextual view of the patient provides a unique lens through which the OTs view, interact with, and treat each patient. Because of this unique view, OTs can help patients who most frequently present to PC offices, and as a result help the interprofessional PC team meet the patients' needs (Dahl-Popolizio et al., 2016). Common issues OTs address include illness, chronic care coordination, self-management, and behavioral health issues that affect patient health. As key members of the interprofessional PC team, OTs in this setting address many personal health issues, such as the promotion of healthy living and the prevention of injury, re-injury, disease, and disability. The OTs' educational background in addressing client issues related to physical, psychological, social, and cognitive function facilitates the role of occupational therapy in the PC setting (DahlPopolizio et al., 2016; Metzler et al., 2012; Muir, 2012). See the Appendix for a case study example of occupational therapy in PC.
The literature supports the cost-effectiveness of occupational therapy in the treatment of chronic illness (Metzler et al., 2012; Rexe, Lammi, & von Zweck, 2013), which affects a large segment of PC populations. With interventions that improve the quality of life of patients and caregivers, OTs provide cost-effective interventions that address many issues faced by the health care system, including issues and conditions common to PC settings, such as chronic pain, chronic disease, agerelated decline, falls prevention, and more (DahlPopolizio et al., 2016; Hart & Parsons, 2015).
Although the health care system in the United States is gradually moving away from the fee-for-service reimbursement model, this model is still the most common payment structure. Altschuler, Margolius, Bodenheimer, and Grumbach (2012) suggested that PCPs delegate responsibilities that do not require the skill set of the physician to other members of the interprofessional PC team. However, physicians are less likely to delegate billable services to other clinicians unless those clinicians are also able to bill for their services (Bodenheimer & Smith, 2013). Therefore, reimbursement concerns are a barrier that OTs must address when educating physicians regarding what they bring to the interprofessional PC team. Chapter 15 of the Medicare Benefit Policy Manual (Centers for Medicare and Medicaid [CMS], 2016) defines the role of OTs as providers (Section 230). PC comprises various practice types of solo and group practice models. This CMS (2016) document also defines these models in the PC setting and outlines how a therapist can bill Medicare appropriately in this setting (Section 230.4). This document is a useful tool to assist therapists in educating the interprofessional PC team regarding reimbursement for their services, and thus can effectively address this barrier.
The literature supports the contention that OTs have a role in PC and that there are barriers to the inclusion of OTs in PC. This exploratory pilot study aimed to answer the research question: If the barriers to inclusion and the uncertainty about occupational therapy's role and reimbursement are
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addressed, are PCPs and OTs receptive to OTs as integrated interprofessional PC team members?
Method
Design
The study consisted of a cross-sectional, descriptive group comparison design using surveys to gather data. The Arizona State University Institutional Review Board determined this study exempt.
Procedures
The researchers decided that a survey format would allow them to use national databases to recruit participants; no appropriate existing survey was found. In collaboration with PCPs and OTs, the researchers developed parallel surveys with questions specific for each provider group to gauge their receptiveness to OTs in PC. The beginning of each survey included a brief educational paragraph reflecting information relevant to each target group regarding the role and value of occupational therapy in PC. In addition to the demographic questions, both surveys consisted of five forced-choice questions and two open-ended questions. The openended questions encouraged the respondents to add information they believed relevant to the study. The forced-choice questions used a 5-point Likert scale where 1 = no, 2 = probably not, 3 = possibly, 4 = yes, 5 = no opinion. The questions to the PCPs focused on whether the PCP, the interprofessional PC team, and the patients could benefit from an OT on the team and whether funding an OT was a barrier. The questions to the OTs focused on whether they believed they are prepared for and should be members of the interprofessional PC team and if they believed
reimbursement was a barrier. The survey was open for 12 weeks, from February to May, 2016. Only data from that period was included in the analysis.
Participants and Recruitment
Our target population included PCPs and OTs. The PCPs included medical doctors (MD), doctors of osteopathic medicine (DO), nurse practitioners (NP), and physician assistants (PA). The OTs included occupational therapists, occupational therapy assistants, and occupational therapy students. Because few OTs currently work in PC, we disseminated the OTs survey to a broad population of OTs across all practice settings. We wanted to understand the receptiveness of OTs across settings to considering PC as a potential work setting, because if more OTs are to work in PC, then they will have to transition from other settings. We included responses received from students for a similar reason: to determine the receptiveness of students to PC as a potential postgraduation work setting. We excluded from the data analysis any respondents who did not fit into the categories of PCP working in PC, occupational therapist, occupational therapy assistant, or occupational therapy student.
An email with a brief explanation and a link to an electronic survey created through SurveyMonkey® was distributed to the respondents through the national professional association email listservs of the following organizations: the American Academy of Family Physicians, the Collaborative Family Healthcare Association, and each American Occupational Therapy Association Special Interest Section. Anyone receiving the email through any of these listservs could respond;
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however, we included only those respondents from our target populations, as outlined above, in our data analysis. We also sent the survey by email to OTs and PCPs who were personal contacts of the researchers, and snowball sampling was encouraged to expand the reach. The first page of the survey included a consent form. Submission of the survey indicated consent. The respondents received only one request to complete the survey; there were no follow-up or reminder emails sent, as access to the professional listservs was limited to one time. As the survey was disseminated via national email listservs, and snowball sampling was encouraged, it is impossible to determine a response rate.
Data Analysis
The responses for each forced-choice question were analyzed using frequency percentages, and the responses to open-ended questions were analyzed by coding and identifying themes. To ensure accurate interpretation of the coding categories, two of the researchers (SDP and SW) independently reviewed the comments then grouped them thematically. These two researchers compared their results. A third researcher (SM) served as an arbitrator in order to reach a consensus when there was disagreement. The themes were developed based on the comments received. The comments were reviewed and categorized according to whether they were supportive of OTs in PC without reservation, with reservation, or if they were unsupportive. The responses that were supportive with reservation were further categorized based on the nature of the reservation, such as reimbursement concerns and uncertainty regarding the role of OTs in PC.
Results
One-hundred and eleven individuals completed the survey. Seventy-one respondents completed the OT survey and 40 respondents completed the PCP survey. All of the OT respondents met the inclusion criteria while 34 of the 40 PCP respondents met the inclusion criteria. The sample size was 105. The OT respondents included 65 (91.5%) occupational therapists, three (4.2%) occupational therapy assistants, and three (4.2%) occupational therapy students. The PCP respondents included 17 (50%) MDs, four (11.8%) DOs, nine (26.5%) NPs, and four (11.8%) PAs.
The majority of the PCPs' responses (82%97%) to each question were 3 or 4 on the Likert scale, indicating an overall receptiveness to OTs on the interprofessional PC team. Table 1 provides details regarding the breakdown of the PCP responses to each of the survey questions.
Table 1 Quantitative Questions Asked of PCP Participants with Likert-scale Answer Options
Note. N = 34.
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Nine of the PCP respondents provided additional descriptive information through comments to the open-ended questions. The descriptive responses suggested that only one respondent was not receptive to hiring OTs. Four of the nine respondents supported OTs as members of the interprofessional PC team, with two of these four respondents suggesting that PCPs need further education regarding the role that OTs can fill in this setting. Three of the respondents were generally supportive of OTs in PC but gave explanations regarding concerns or reservations about working with OTs. Two of the respondents suggested they already refer out to OTs as indicated, or their pediatric patients obtain services through avenues outside of their office. One answer suggested that the respondent viewed OTs in the same light as he or she viewed medical or mid-level students, as a role requiring time-consuming supervision. Table 2 illustrates these results.
Table 2 Categories of Descriptive Responses Provided by PCPs (n = 9)
The majority of the OTs' responses (94%99%) to each question were 3 or 4 on the Likert scale, indicating an overall receptiveness to OTs on the interprofessional PC team. Table 3 outlines these results and provides a breakdown of the responses of the OTs to each survey question.
Table 3 Quantitative Questions Asked of OT Participants with Likert-scale Answer Options
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Note. N = 71.
Twenty-one of the OT respondents provided additional descriptive information. These responses indicated that 95% of the respondents support the concept of OTs in PC. Twelve of these respondents provided supporting comments as well as additional thoughts about the role of OTs in PC. Eight of the 12 respondents provided supporting comments with some concerns outlined. The concerns related to methods for reimbursement and cost-effectiveness, as well as the level of preparedness of OTs for the PC setting. One respondent was not supportive and reported doubt about the patients' acceptance of OTs in this role as an explanation for his/her concerns about OTs being on the interprofessional PC team. Table 4 illustrates these results with categories of the descriptive responses.
Table 4 Categories of Descriptive Responses Provided by OTs (n = 21)
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Discussion
Bodenheimer and Sinsky (2014) report wide-spread burnout and fatigue in PCPs and staff working in PC, and that "burnout is associated with lower patient satisfaction, reduced health outcomes, and it may increase costs" (p. 573). To reduce burnout and fatigue, these authors recommend team documentation, pre-visit planning, preventative care, chronic care health coaching by other providers, and increased efficiency through colocated care. OTs in PC could help to meet these needs. The results of our study indicate that with an increased awareness of the potential OTs' contributions to patient care, PCPs would be receptive to having OTs on their team.
The PCP respondents believed, in general, that their patient populations and their interprofessional PC team could benefit from the skill set of OTs, and the majority of the PCP respondents would be open to working with OTs as team members. OTs are well trained in the skilled documentation required by regulators and payers, which addresses one of the recommendations of Bodenheimer and Sinsky (2014). By seeing some patients before the physician, the OT could complete a general musculoskeletal assessment and an occupational profile focusing on activities of daily living, functional mobility, safety, and health http://scholarworks.wmich.edu/ojot/vol5/iss3/10
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behaviors. Once this information is in the medical record, the physician can focus on acute medical needs. More than 82% of the PCP respondents believed that having OTs see patients who did not require the skill set of the PCP might help streamline their practice. When appropriate, the OT could be the primary provider for a set panel of patients and work with them in pre-visit planning, preventative care, and chronic disease management. More than 97% of the PCP respondents are willing to work with an OT, and more than 85% indicated that if funding for an OT was not a concern, the chance that their practice would hire an OT would increase. This further supports the concept that addressing the barriers discussed here can result in an increased presence of OTs on the interprofessional PC team.
The responding OTs overwhelmingly stated that OTs should be members of the interprofessional PC team. In general, the OT respondents could envision themselves or other OTs working in the PC setting. The majority of the respondents felt that if OTs were able to receive reimbursement without any difficulty, then OTs should be in PC. The OT respondents also believed that OTs would have a larger presence in PC if other health care providers in PC had a better
understanding of occupational therapy's scope of practice.
The findings of this study are consistent with and support the suggestions in the literature advocating that OTs have a distinct role in PC, and that with their diverse skill set, they complement the interprofessional PC team, addressing health conditions and issues that impede daily activities (Dahl-Popolizio et al., 2016; Roberts et al., 2014). This includes the benefits that OTs offer the PC patients and the interprofessional PC team, such as streamlining the practice and meeting the diverse needs of patients in this setting (Dahl-Popolizio et al., 2017; Donnelly et al., 2013, 2014; Metzler et al., 2012; Muir et al., 2014). Overall, the responses from the OTs and the PCPs were positive and demonstrated the receptiveness of both groups to include OTs in PC. The number of respondents that indicated possibly as a response, though not as many as the number who indicated yes, suggests that there continues to be uncertainty that must be addressed prior to integrating OTs effectively as members of the interprofessional PC team. The study outcomes also support the need to address the barriers that are limiting the inclusion of OTs in PC if we are to achieve the goal of increasing the presence of occupational therapy as an integrated interprofessional PC team member. To increase the presence of OTs in this setting, both groups of professionals require additional education regarding the roles that OTs can fill. In addition, OTs, PCPs, and their respective professional organizations must work with payers to address reimbursements challenges.
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Limitations
This pilot study was limited by convenience sampling, non-random selection, and the inability to reach entire populations of interest. This was primarily due to our lack of funding, with recruitment limited to free online sources, such as listservs and email, and the limited availability of those sources. The lack of ability to provide followup reminders may have resulted in a small sample relative to the population of interest as well. From some of the comments, it appeared that some of the respondents did not read or completely understand the consent form and introductory paragraph. The potential bias that only OTs and PCPs who already had a favorable view of the role of occupational therapy in PC took the time to respond to the survey must be considered when contemplating these results. We attempted to limit this bias, as the listservs used for both groups were general and not focused on interprofessional PC teams.
Implications for Future Research
Future research on a larger scale is necessary to determine how the profession can overcome the barriers of lack of knowledge regarding the role of OTs in PC and uncertainty regarding reimbursement for occupational therapy services. If we are to supply the workforce, and should OTs become recognized members of the interprofessional PC team, then future research is also required to determine the willingness of current OTs to change practice settings, as well as the willingness of occupational therapy students to consider PC as a potential practice setting. With a larger study, more demographic information regarding the current practice settings of the
respondents would be helpful to determine if OTs from specific settings are more inclined to consider changing practice settings to PC. This information will be important for effective workforce development in this emerging setting.
Conclusions
The results of this study indicate that if barriers are removed, both OTs and PCPs are receptive to including OTs on the interprofessional PC team. The most common barriers discussed were uncertainty about funding and what the OTs can contribute to the interprofessional PC team. Findings suggest that educating both OTs and PCPs about how to overcome these barriers is a necessary step to advance the movement to include OTs as recognized members of interprofessional PC teams.
Sue Dahl-Popolizio: Doctor of Behavioral Health, Clinical Assistant Professor, and Occupational Therapist/Certified Hand Therapist with the Arizona State University Doctor of Behavioral Health Program, College of Health Solutions.
Sherry Muir: Doctor of Philosophy, Administrator, Faculty Practice and Graduate Admissions, Assistant Professor Occupational Science and Occupational Therapy, Doisy College of Health Sciences and Family and Community Medicine, School of Medicine, Saint Louis University.
Kaila Stuart: Doctor of Occupational Therapy Student, Northern Arizona University
Sabrina Wade: Doctor of Occupational Therapy Student, Northern Arizona University
Rachael Voysey: Doctor of Occupational Therapy Student, Northern Arizona University
References
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Appendix
Case Study of Occupational Therapy in PC
Ally, a 22-year-old college student, came to the PCP with complaints of generalized anxiety and the new onset of panic attacks. The OT was present for the entire physician exam, including questions about routines and habits. Ally disclosed that she was very concerned about her grades in college and was staying up most nights to study, averaging about 3 hr of sleep each night. Recently, she had been sleeping through her alarm and missing her 8 a.m. class, which put her further behind. After consultation with the OT, the PCP decided to give Ally a small daily dose of an anti-anxiety medication, as long as she agreed to get at least 6 hr of sleep each night.
After the PCP moved on to the next patient, the OT provided education on the importance of sleep, especially how lack of sleep was likely negatively impacting cognition and concentration and, subsequently, school performance. The OT used a handout to educate Ally about sleep hygiene, with a specific focus on establishing a consistent, realistic bedtime routine. Together, Ally and the OT designed a very specific bedtime routine that Ally committed to following every weeknight for 3 weeks. The OT called Ally after 1 week to identify any challenges with the routine and made suggestions for adjustments.
When Ally returned to the PC office after 3 weeks for a medication review, the OT again saw the patient with the physician. Ally reported that she was able to follow the new routine nearly every weeknight, as agreed. She had not had a single panic attack, and her overall levels of anxiety had reduced to a manageable level, although she requested to stay on the anti-anxiety medication. Ally asked if the OT could help her with establishing a schedule for studying. The physician moved on to the next patient and the OT stayed in the room to design the next steps of Ally's intervention. At this point, follow up for this issue was done with the OT; the PCP was then free to see other patients requiring the diagnostic and prescriptive skill set of a physician.
http://scholarworks.wmich.edu/ojot/vol5/iss3/10
DOI: 10.15453/2168-6408.1372
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Pesquisa Florestal Brasileira
Brazilian Journal of Forestry Research www.cnpf.embrapa.br/pfb
P B F
Design considerations for tropical forest inventories
Ronald Edward McRoberts 1 , Erkki Olavi Tomppo 2 , Alexander Christian Vibrans 3 , Joberto Veloso de Freitas 4
1Northern Research Station, U.S. Forest Service 1992 Folwell Avenue, Saint Paul, Minnesota, 55108 USA 2The Finnish Forest Research Institute, P.O. Box 18 (Jokiniemenkuja 1) FI-01301, Vantaa, Finland 3Universidade Regional de Blumenau, Rua São Paulo, 3250, CEP 89030-000, Blumenau, SC, Brazil 4Brazilian Forest Service, SCEN, Av. L4 N, Trecho 2, Bl. H, CEP 70818-900, Brasília, DF, Brazil
*Autor correspondente:
firstname.lastname@example.org
Index terms:
Sampling design Plot configuration Remote sensing Uncertainty
Termos para indexação:
Formato de parcelas
Desenho amostral
Sensoriamento remoto
Estudos de caso
Incerteza
Histórico do artigo:
Abstract - Forests contribute substantially to maintaining the global greenhouse gas balance, primarily because among the five economic sectors identified by the United Nations Framework Convention on Climate Change, only the forestry sector has the potential to remove greenhouse gas emissions from the atmosphere. In this context, development of national forest carbon accounting systems, particularly in countries with tropical forests, has emerged as an international priority. Because these systems are often developed as components of or in parallel with national forest inventories, a brief review of statistical issues related to the development of forest ground sampling designs is provided. This overview addresses not only the primary issues of plot configurations and sampling designs, but also to a lesser extent the emerging roles of remote sensing and uncertainty assessment. Basic inventory principles are illustrated for two case studies, the national forest inventory of Brazil with special emphasis on the state of Santa Catarina, and an inventory for Tanzania.
Recebido em 05/09/2012 Aprovado em 19/04/2013 Publicado em 28/06/2013
doi: 10.4336/2013.pfb.33.74.430
Considerações sobre o delineamento de inventários de florestas tropicais
Resumo - As florestas podem contribuir substancialmente para a manutenção do equilíbrio dos gases do efeito estufa, principalmente porque, entre os cinco setores econômicos identificados pela Convenção Quadro das Nações Unidas sobre Mudança do Clima, somente o setor florestal tem potencial para eliminar as emissões de gases de efeito estufa da atmosfera. Neste contexto, o desenvolvimento de sistemas nacionais de contabilização de carbono florestal, particularmente em países com florestas tropicais, surgiu como uma prioridade internacional. Como esses sistemas são, muitas vezes, desenvolvidos como componentes ou em paralelo com os inventários florestais nacionais, é apresentada uma breve revisão de questões estatísticas relacionadas com o desenvolvimento do delineamento da amostragem de áreas florestais. Esta visão geral aborda não apenas as questões primárias de formatos de parcelas e desenhos amostrais, mas também, em menor escala, os papéis emergentes do sensoriamento remoto e da avaliação de incertezas.
Introduction
The biological richness and genetic diversity of forest ecosystems are widely acknowledged to be greater than any other terrestrial ecosystem. More than half the world's life zone classes are dominated by trees (Holdridge, 1947, 1967), and seven of the earth's major habitat types are forest types (Dinerstein et al., 1995). Depending on definitions, 20-30% of the earth's surface is covered by forest and wooded land (FAO 2010). These lands provide habitat for 70% of known animal and plant species (Matthews et al., 2000) and contribute almost half of the terrestrial net primary biomass production (Groombridge & Jenkins, 2002). Thus, forests provide vital economic, social, and environmental benefits by supplying wood and non-wood forest products and services, supporting human livelihoods, supplying clean water, and providing habitat for half the species on the planet.
The forestry sector also contributes substantially to the global greenhouse gas (GHG) balance. Among the five economic sectors identified by the United Nations Framework Convention on Climate Change (UNFCCC) as sources of anthropogenic GHG emissions, the Land Use, Land Use Change and Forestry (LULUCF) sector is the only terrestrial sector with the potential for removal of GHG emissions from the atmosphere. Conversely, the annual conversion of approximately 13 million ha of forest land to other land uses contributes to the net annual forest land decrease of 5.2 million hectares (ha) (FAO, 2010). These forest and related land use changes have been estimated to account for 17% of human-induced carbon emissions (Intergovernmental Panel on Climate Change, 2007). Parties to the UNFCCC treaty recognized the contribution of GHG emissions from deforestation in developing countries to climate change and the need to take action to reduce such emissions. After a two-year process, the Conference of Parties adopted a decision on "Reducing Emissions from Deforestation and Degradation in developing countries: approaches to stimulate action" (REDD), Decision 2/CP.13 (United Nations Framework Convention on Climate Change, 2008). The decision provides a mandate for actions by parties relating to reducing emissions from deforestation and forest degradation in developing countries. In particular, REDD is an effort to offer financial incentives for developing countries to reduce emissions from forest lands and to invest in low-carbon paths to sustainable development. REDD+ goes beyond deforestation and forest degradation, and includes the role of conservation, sustainable management of forests, and enhancement of forest carbon stocks. As part of REDD programs, the importance of national carbon accounting systems has been highlighted (FAO, 2008).
The IPCC Good Practice Guidance (Penman et al., 2003) is a starting point for the development and implementation of MRVs under the auspices of REDD. Additional guidance is provided by the GOFC-GOLD Sourcebook (Global Observation of Forest Cover and Land Dynamics, , 2012). The IPCC guidance focuses on methods for obtaining estimates of activity data and emissions factors. The term approaches is used to categorize methods for estimating activity data: Approach 1 estimates total area for individual land-use categories but does not provide detailed information on area changes between categories and is not spatially explicit other than at regional or national levels; Approach 2 tracks land use changes between categories and produces a non-spatially explicit land use change
As a form of carbon accounting, GHG emissions accounting assesses emissions from the forestry sector. Approaches to emissions accounting are of two types: the stock difference and the gain-loss approach. The stock-difference approach relies heavily on ground sampling and estimates annual emissions as the mean annual difference in carbon stocks between two points in time. The stock-difference approach is fairly easy to implement for countries with well-established national forest inventories (NFI), but may be financially and logistically difficult for developing tropical countries, particularly those with remote and inaccessible forests. For the latter countries, the gain-loss approach may be a more feasible alternative; in fact, the gain-loss approach is often used approach for estimating GHG emissions for national measurement, reporting, and verification (MRV) systems under the auspices of the IPCC. With the gain-loss method, additions to and removals from a carbon pool are estimated as the product of two factors, the area of land use change, called activity data, and the carbon stock changes for particular land use conversions, called emission factors. MRV systems may include a remote sensing-based component for estimating activity data and a ground-based inventory to obtain data for estimating emission factors, calibrating volume or biomass models, and training and/or assessing the accuracy of remote sensing classifiers and predictors.
matrix; and Approach 3 tracks land use changes on a spatial basis and generally requires sampling with broad geographic coverage or remote sensing-based mapping. The IPCC guidance also uses the term tiers to describe methods for estimating GHG emissions and removals by source: Tier 1 uses default emissions factors and spatially coarse estimates of land use change such as national or global deforestation rates; Tier 2 uses emissions factors and fine resolution land use change estimates for specific regions and specialized land-use categories; stock change methods can also be used; and Tier 3 uses fine resolution land use change estimates and estimates of emissions factors obtained using models and inventory measurement systems tailored to address national circumstances. An underlying assumption is that the highest tier possible would be used. Thus, because the stock change method can be readily used with Tier 2, it would not usually be used with Tier 1. Similarly, although the gain-loss method can be crudely implemented with Tier 1, transition to Tier 2 or 3 is usually the goal.
Although MRVs and NFIs share some objectives and features, they are not equivalent. For example, MRVs are typically less comprehensive than NFIs in the sense that they may be restricted to biomass- or carbonrelated variables and lands that are subject to humaninduced GHG emissions. In addition, by definition, a monitoring program emphasizes change and trends so that an MRV may emphasize estimation of change to a greater degree than do traditional NFIs. Nevertheless, despite their differences, the similarities between MRVs and NFIs are such that tropical developing countries often design their NFIs so that they can also serve as MRVs, or they design their MRVs so that they can easily be extended to complete NFIs. As a means of supporting efforts to initiate both MRVs and NFIs in tropical countries, a brief review of issues related to the development of ground sampling designs for both purposes simultaneously follows. In terms of context, multiple tiers and approaches are relevant. First, the stock change method, as included in Tier 2, may be readily implemented using an NFI. Second, estimates of emissions factors as required for both Tiers 2 and 3 may be obtained using either an NFI or an MRV. Finally, the ground sample data obtained for both NFIs and MRVs may be used for both training remote sensing-based classifiers and assessing the accuracy of land cover and land cover change classifications
Plot configuration
Plot configuration choices include determination of whether single contiguous plots, subdivision of plots into subplots, or clusters of plots should be used. All three configurations require size and shape considerations. In addition, for all three configurations, a single sampling point serves as the basis for the locations of subplots within plots or plots within clusters. When plot configurations are characterized as subplots within plots, the subplots are usually relatively small and in close relative geographic proximity to the selected sampling point. In addition, the data for the subplots are usually aggregated and analyzed at the plot level rather than individually by subplot. The Forest Inventory and Analysis program of the U. S. Forest Service, which conducts the NFI of the United States of America (USA), uses a plot configured as a central subplot and three peripheral subplots at azimuths of 0 o , 120 o , and 240 o (McRoberts et al., 2005)
Plot configuration choices also include selection of a method for determining which individual trees should
When plot configurations are characterized as clusters of plots, the individual plots are often at greater distances from the selected sampling point. In addition, data for clusters of plots are typically analyzed on a plot-byplot basis. A large proportion of the cost of measuring a plot in boreal and temperate forests is the cost of travel to and from the plot location. Configuring plots in clusters contributes to minimizing these travel costs by establishing multiple plots in relatively close spatial proximity. This rationale may be even more important for tropical forests which are often remote and difficult to access (Tomppo et al., 2010a, 2011). NFIs use a variety of configurations for plots within clusters, although most select locations for plots within clusters systematically rather than randomly. The Finnish NFI configures plots as square clusters or clusters along L-shaped tracts (Tomppo et al., 2010b). Several factors must be considered when planning a cluster-based sampling design. If distances between pairs of plots are less than the range of spatial correlation, then observations will tend to be similar and the sampling will tend to be less efficient. The number of plots per cluster represents a compromise between the size of individual plots, the total area of all plots necessary to acquire adequate tree data, the number of clusters necessary to assure spatial balance, and the costs associated with travel to and from cluster locations.
be included in the sample. Variable area plots may use angle count (Bitterlich) sampling, which selects trees in proportion to their basal area and is particularly efficient for precisely estimating forest attributes related to tree size. Fixed area plots, which select all trees satisfying criteria such as minimum diameter and maximum distance, are not necessarily optimal for any particular forest attribute. However, they tend to be more compatible with auxiliary data and often represent a reasonable compromise among competing precision factors when sampling is intended to produce estimates of parameters for a wide variety of forest attributes.
If permanent plots are used, their locations must be accurately documented so they can be remeasured at later dates. One approach is to mark plot control points, mask the marks from normal view, and then carefully document the marks relative to conspicuous locations, perhaps several kilometers distant. The control points are masked from normal view so that plot locations are not discovered and treated differently than the surrounding forest area. A sample plot will not be representative if it receives special treatment such as protection from harvesting or other disturbances.
Selection of a configuration for a fixed area ground plot is based on multiple general principles, many of which are the same for boreal, temporal, and tropical inventories, although some are also different. Precise estimation of change is known to be more difficult than precise estimation of current conditions, particularly when the change is small or only for a small area. The precision of change estimates can be increased by remeasuring the same plots on successive occasions. Thus, the emphasis on estimation of change in MRVs argues in favor of a relatively large proportion of permanent plots. Although establishment and measurement of a temporary plot is less expensive than establishment and measurement of a permanent plot, establishment and measurement of two different temporary plots on two occasions is not necessarily less expensive than establishment and measurement of the same permanent plot on two occasions.
Circular plots are generally preferred for boreal and temperate inventories because they require only single control points, the plot centers, whereas strip plots require two control points at the ends of a central transect, and large rectangular plots require four control points, one at each corner. In addition, for a given plot area, a circular plot has a smaller perimeter, meaning that fewer decisions will be necessary as to whether particular trees are or are not on a plot. Also, coordinates for individual trees, which are necessary to relocate them at later dates, require only azimuth and distance from centers of circular plots. However, if visibility on a plot is difficult, as may be the case in dense tropical forests, strip or narrow rectangular plots may be preferable because all trees are only relatively short distances from the long axis of the plot. When strip or long rectangular plots are used, caution must be exercised to check the inclusion of trees. Further, rectangular plots have often been traditional in tropical countries (Kleinn, 2004 Kleinn & Bhandari, 2004) and have been recommended by the Food and Agriculture Organization of the United Nations (Saket et al., 2002).
Plot size is subject to multiple important considerations, all of which are generally related to logistical, cost, and precision considerations (Tomppo et al., 2010a, 2011). First, a plot cluster or a plot with its subplots should be small enough that a field crew can complete all measurements in a single day. As previously noted, a large proportion of the cost of measuring a plot in boreal and temporal forests is the cost of travel to and from the plot location, and this proportion is likely to be even greater for tropical forests. Thus, greater efficiency is achieved if field crews are not required to travel great distances to the same plot location on multiple occasions. Second, plot features such as radius for circular plots and lengths for strip and rectangular plots must be measured on a horizontal plane, not along irregular terrain. Apart from use of electronic distance measuring instruments, determination of horizontal plot boundaries is more difficult for larger plots, particularly in hilly and mountainous terrain. Thus, smaller plots may be preferable. Third, establishment of permanent rather than temporary plots to facilitate estimation of change usually requires either marking or determining coordinates for individual trees. The latter approach is more difficult for large plots in dense tropical forests because more trees will be located between the tree of interest and control points. An argument in favor of larger plots for tropical inventories is that tropical forests are typically more diverse than boreal and temperate forests, meaning that the total area of an inventoried plot or plot cluster should be greater to capture the greater diversity. However, this greater size could be achieved by increasing the number of small plots in the same plot cluster. This approach is cost
efficient when spatial correlations among observations of the variables of interest are large but decrease with increasing distance.
Greater sampling efficiency is also achieved by using smaller nested subplots for measurement of smaller diameter trees. The particular sizes of the subplots and the diameter thresholds corresponding to the subplots should be based on the expected number of trees to be found on the subplots, the expected similarities of trees, and the travel time between plots in the same cluster or subplots of the same plot. Kleinn & Bhandari (2004) recommend plot sizes that, on average, include 15-20 trees, although this average depends on small scale forest variability with respect to attributes such as species composition and size.
Sampling design
Purposive sampling
Sampling design issues pertain primarily to the distribution of sampling points across the landscape. Two general sampling approaches are common: subjective or purposive sampling and probability sampling. Purposive sampling may have varied bases including professional judgment to select sampling points believed to be representative of the entire population, quantitative analyses to optimize criteria such as model parameter estimates, or convenience factors that minimize travel costs. With purposive sampling, the probability of selection for any one potential sampling location is unknown with the result that statistical theory cannot be rigorously applied. Although purposive sampling yields data that accurately describe conditions on the sampled sites, broader populations may not be accurately characterized.
Probability sampling
Probability sampling replaces subjective judgments with objective rules based on known probabilities of selection for each sampling point. The important principle is that probability sampling is an objective method with precise rules and a statistical foundation for estimating population attributes based on a sample. Thus, probability rather than purposive sampling is highly recommended for MRVs and NFIs, at least partially because discrediting the accuracy of population estimates from a purposive sample is much easier than defending the estimates.
Many of the challenges associated with selecting a sampling design arise from two factors: first, sampling units are distributed in a space and, as such, observations of them may be spatially correlated; second, different sampling designs have different costs. Spatial dependence among observations of variables of interest strongly influences selection of sampling designs. Ecological, climatic, and soil factors and forestry management practices cause observations from plots that are near to each other to be more similar than observations from plots that are separated by greater distances. Although spatial dependence does not necessarily invalidate variance estimators, it does contribute to larger variance estimates and, therefore, less efficient sampling.
A common starting point in selecting a sampling design is knowledge of the acceptable upper bounds for the standard errors of the estimates and an upper bound for cost. Optimizing the sampling design requires prior information on sampling variability within the population of interest and involves selecting a procedure for spatially distributing the sampling points in such a way that standard errors are minimized while not exceeding the total allowable costs. A simple random sampling design randomly selects sampling points within the population. Although by chance, the distribution of sampling points may include spatial groups or spatial voids, the sample remains a valid probability sample. The geographic coordinates for each sampling point in a simple random sample may be selected with a random number generator with the allowable coordinates restricted to the sampled population. Otherwise, no consideration is given to safety, difficulty of measuring
In a strict sense, construction of a completely optimal sampling design is an impossible task because the numerous NFI and MRV variables vary quite differently in space. Therefore, because optimal sampling designs would be different for different variables, optimization may require focusing on a single feature such as the standard error of the estimate of a single important variable such as wood volume or on a weighted function of multiple features such as the standard errors for a small number of variables. One partial solution is to minimize the detrimental effects of spatial correlation on efficiency by selecting sampling points as far apart as possible, subject to travel and cost constraints. Finally, the important challenge is to develop a sampling design that is as simultaneously optimal as possible for both an MRV and an NFI.
plots, or travel to and from plot locations. From an inferential perspective, this is the least risky probability sampling design, but it is also usually the least efficient with respect to cost, precision of estimates because of spatial correlation, and spatial balance as characterized by avoidance of large gaps in spatial coverage.
Because NFIs are national in scope, sampling designs must provide spatial coverage of the entire country, albeit not with the same intensity everywhere. Sampling designs for MRVs, however, are not necessarily required to provide coverage for lands that are not subject to human-induced carbon emissions. In addition, because of logistical and budgetary constraints, ground sampling for new NFIs and MRVs may be implemented sequentially with initial priority given to regions with greater emissions. Although substantial regional differences in plot configurations and sampling designs may be accommodated, estimation is facilitated if differences are minimized.
Systematic sampling
A common approach to assuring spatial balance and decreasing the adverse effects of spatial correlation on sampling variability is to use systematic sampling designs based on fixed arrays or rectangular grids. The advantage of systematic sampling is that it maximizes the average distance between sampling points and therefore minimizes spatial correlation among observations and increases statistical efficiency, while yet assuring spatial balance. For example, sampling points could be selected at the intersections of a 10-km x 10-km grid. The starting point and orientation for this grid should be randomly selected, but no other randomization is necessary. Variations on this sampling design are common in forestry. The greatest risk is that the orientation of the grid may, by chance, coincide with or be parallel to natural or man-made features such as roads, rivers, or other topographical features. Systematic aligned sampling designs feature sampling points at regular intervals such as at intersections of grid lines or at centers of array or grid cells, whereas systematic unaligned sampling designs combine features of both simple random and systematic sampling designs by randomly selecting a location within each grid or array cell (Cochran, 1977). Statistical variance estimators used to estimate uncertainty typically assume simple random sampling. When they are used with systematic sampling, variance estimates are usually conservative in the sense that they are slightly too large (Särndal et al., 1992).
For very large geographic areas, consideration should be given to the effects of the orientation of gridlines along lines of longitude. In higher latitudes the converging nature of north-south gridlines causes sampling points to be closer together than in lower latitudes. In such cases, plots located at greater distances from the equator will represent less population area than plots located closer to the equator. Multiple solutions are possible including using different coordinate systems, weighting plot observations, and basing sampling designs on hexagonal arrays rather than rectangular grids (White et al., 1992; McRoberts et al., 2005).
Stratification
Multiple principles guide stratified approaches to sampling. First, strata with stable boundaries are generally preferable. Otherwise, changes to boundaries of strata with different sampling intensities lead to different probabilities of selection and complicate estimation. In particular, stratified sampling designs for which the strata are based on land cover attributes that change present difficulties for two reasons. Second, because land cover attributes, and hence the strata, change, plots may need to be re-allocated to strata for each remeasurement. This means that some plots selected for a previous measurement will be abandoned, and some new plots must be established for the succeeding measurement. Such procedures make precise estimation of change more difficult. If plots are not abandoned or added, then the sampling intensities within the new strata are not uniform which leads to difficulty in re-calculating new probabilities of selection. Third, stratified estimation requires that a plot be assigned to one and only one stratum. If the stratum to which a plot is assigned changes between measurements, then difficulties arise as to the stratum to which a plot change observation
Stratified approaches to sampling are used for multiple reasons but primarily to increase precision or to vary sampling intensities to accommodate criteria related to political and ecological priorities, spatial coverage, logistical effort, and cost. For example, for an MRV that emphasizes geographic regions subject to human-induced carbon emissions, smaller sampling intensities and less precision may be acceptable for remote, inaccessible regions that are less likely to be developed or harvested. In addition, the cost associated with greater sampling intensities in remote regions may be prohibitive. Nevertheless, sampling, albeit perhaps with varying intensities, must be conducted in all regions of the population to achieve spatial balance.
should be assigned. Thus, strata defined by topography, climatic zones, biomes, or political boundaries that are relatively stable may be preferable to strata defined by changing forest attributes such as density or forest type. However, assignment of plots to strata has no effect on the unbiasedness of the stratified estimator; the only effect of different assignments of plot to strata is the degree to which stratified estimation contributes to reducing estimates of population variances.
For tropical countries with remote and nearly inaccessible regions, some form of optimal allocation will usually be necessary to mitigate the excessive costs associated with sampling these regions. Proportional and optimal allocation can be easily implemented using sampling designs based on networks of perpendicular grid lines. With proportional allocation, sampling points are established at grid intersections without regard to the stratum associated with the points. One approach is to overlay a dense systematic grid over the entire country and vary the portion of the grid that is actually used with respect to desired sampling intensity. For example, in regions, topographies, or strata requiring greater sampling intensities, sampling points may be established at all grid intersections or at randomly selected locations in the cells bounded by all grid lines. Where lesser sampling intensities are required, sampling points may be established only at the intersections of every second grid line or at randomly selected locations in cells bounded by every second grid line.
Stratified sampling is most often implemented using one of three plot allocation schemes. With equal allocation, the same number of plots is allocated to all strata, regardless of strata sizes. This scheme is preferred if the objective is estimates for individual strata. With optimal allocation, sampling intensities selected for strata are based on optimization criteria such as measurement costs and/or within-stratum variation of observations of variables of interest such as volume or biomass, or their likely changes. Greater sampling intensities are selected for strata with greater variation and/or lesser measurement costs. With proportional allocation, strata sample sizes are proportional to strata sizes. Cochran (1977) provides a comprehensive discussion regarding alternative strategies.
Even if stratified sampling is not used, stratified estimation may still contribute to substantial increases in precision. For example, McRoberts et al. (2002) showed how an existing, relatively stable land cover classification can be used as the basis for stratification. Stratified variance estimates were smaller by factors ranging from 1.5 to 4.0, depending on the area, than simple random sampling estimates. In addition, post-stratification based on classifications obtained from both optical and lidar data have been demonstrated to be effective (McRoberts et al., 2006, 2012). Beneficial effects may be realized in two ways, either by increasing precision or by permitting reduced sample sizes with no loss in precision.
A popular approach to stratified estimation, as was used for the Tanzania case study discussed in detail below, is a two-phase approach characterized as double sampling for stratification. With this approach, a large number of first-phase plots is randomly distributed throughout the population, often using a systematic sampling design. Evaluation of these plots focuses on strata assessment, is often conducted using aerial photography or high resolution imagery, and produces estimates of stratum weights. In the second phase, a proportion of the first-phase plots is randomly selected for field measurement using any valid probability sampling design. Information from the first phase may be used to optimize the second phase, within-strata sample sizes. An important aspect of double sampling for stratification is that the stratum weights are estimated, whereas when a climatic, topographical, or biophysical map is used as the basis for defining the strata, the stratum weights are often considered to be known.
Variance estimation
Inferences in the form of confidence intervals or tests of hypotheses require estimates of uncertainty which are typically expressed in terms of variances which are defined as ,where E(.) denotes statistical expectation, m is a parameter of interest, and is an estimator of m. Variance is also characterized as mean square error, and often standard error, which is the square root of variance, is reported. Although a complete discussion of issues related to variance is not possible, two items warrant consideration. First, and most importantly, for designbased inference which relies on probability sampling designs for validity, variance estimators are completely dependent on sampling designs. In particular, variance estimators for simple random, clustered, and stratified sampling designs are considerably different. Failure to select the variance estimator appropriate for the sampling design produces erroneous variance estimates and invalidates inferences. Multiple texts address derivation ( )2 ˆ E m m − ˆ m
and selection of variance estimators including Cochran (1977), Särndal et al. (1992), Gregoire & Valentine (2007), Mandallaz (2008), and Tomppo et al. (2011). Second, variances of estimates of change are invariably greater than variances of estimates of current conditions.
Sample size
Determination of sample size is one of the most important steps in constructing a sampling design. If the sample is too small, then uncertainty will be great; if the sample is too large, then the cost will be unnecessarily large. As the number of sampling points increases, the variance of the estimate of a mean decreases, the precision of the estimate increases, and more confidence can be placed in the estimate. With probability samples, the probability that an estimate is within a specified range of the true value may be approximated. These are the roles of confidence intervals which are estimated ranges of estimates of the parameter of interest that are likely to include the true, but unknown, parameter value.
Numerous references for calculation of sample size are available (e.g., Cochran, 1977), and all require preliminary estimates of means and standard deviations of plot observations which may be obtained using existing data, a pilot study, or a small sample of plots. For purposes of an example, assume simple random sampling, that volume (m 3 ha -1 ) was measured on 50 plots, that the mean was x =100 m 3 ha -1 , and that the standard deviation was s =30 m 3 ha -1 . If the precision requirement is to estimate the mean within a specified percentage tolerance (±tol) with confidence 1-a, then the approximate required sample size, n, is,
where Z denotes the percentage points of the Normal or Gaussian distribution. For this example, is used rather than because two-sided confidence intervals are of interest. Thus, for tolerance, tol=±5 percent, and confidence of 1-a=0.95, ,whereas for tol=±1 percent and confidence of 1-a=0.99, .For stratified sampling, these estimates 1 2 Z a − 1 Z a − 2 1.96 30 139 0.05 100 n ⋅ = ≈ ⋅ 2 2.58 30 5991 0.01 100 n ⋅ = ≈ ⋅
pertain to within strata sample sizes. These simple calculations assume independence of the observations; spatial correlation among observations increases sample sizes.
Remote sensing considerations
The use of remotely sensed data to support and enhance forest inventories has become common practice in Europe and North America (McRoberts et al., 2002, 2010; McRoberts & Tomppo, 2007; Tomppo et al., 2008a, 2008b). For tropical forest inventories, the remote and inaccessible nature of forest land means that inventories may have to rely more heavily and in different ways on remotely sensed data. The intent here is not to provide a comprehensive discussion on the topic but rather simply to highlight a few remote sensing issues that merit consideration when selecting a plot configuration and a sampling design. For example, if satellite imagery is used, plots should be large enough to constitute adequate samples of the image pixels that contain plot centers. Further, if plots are configured in clusters, distances between plots in the same cluster should be at least as great as pixel widths. However, the detrimental effects of persistent cloud cover may inhibit acquisition of sufficient cloud-free optical satellite data.
Because field measurements are expensive to acquire, particularly in tropical forests, the requirements for ground data for training remote sensing-based classification and prediction techniques and for
Lidar (light detection and ranging) data, which are mostly acquired from airborne platforms and use laser techniques, are emerging as an attractive and relevant alternative (Næsset, 2002; Næsset & Gobakken, 2008; McRoberts et al., 2010, 2013; Vibrans et al., 2013). If plots are located at the intersections of perpendicular grids, acquisition of lidar data from airborne platforms is facilitated because straight flight lines can be used. To facilitate lidar acquisition even more, grid lines separated by greater distances in one direction than the other may be used whereby plots are placed at grid intersections along the grid lines with the greater intersection intensity. A plot boundary effect that merits consideration for lidar analyses is that biomass within the vertical extension of a plot boundary may be part of a tree whose stem is outside the plot. Circular plots, which minimize the ratio of circumference to area, may help to alleviate this problem.
assessing the accuracy of remote sensing-based products and estimates should be considered in advance. For example, ground data to be used with satellite imagery to construct a land cover map should include samples of all land cover classes of interest. This requirement may necessitate a form of stratified sampling. Similarly, if a map of deforestation is to be constructed, then sufficient numbers of plots whose land cover has changed should be included in the sample. Again, a form of stratified sampling may be required.
In practice, the same sample data are often used for estimation using only the ground data and estimation based on a combination of ground and remotely sensed data. If the remote sensing sampling requirements can be accurately anticipated before sampling, then a single ground sampling design that is efficient for multiple purposes may be possible. If not, the challenge is to develop an accuracy assessment sampling design that satisfies the remote sensing requirements and that can be readily integrated into the original sampling design. Finally, if ground data from sample plots are to be coregistered geographically with satellite image or lidar data, accurate plot locations must be determined which, in turn, requires accurate geographical positioning system (GPS) receivers. Failure to correctly register ground and remotely sensed data means that remotely sensed data may be associated with incorrect ground data. For homogeneous ground cover the consequences may not be severe, but for fragmented or rapidly changing forest conditions the consequences may be quite detrimental. McRoberts (2010b) showed that when GPS receivers with accuracies in the range 15-20 m are used, approximately half of ground plots may be associated with incorrect 30-m x 30-m Landsat pixels. The result is inaccurate classification of the imagery and erroneous estimates based on the classification.
Assessment of total uncertainty
All sources of uncertainty have detrimental effects on the accuracy of estimates, the precision of estimates, or both. For this discussion, accuracy pertains to the deviation of an estimate from the true value, whereas precision is associated with the statistical concept of variance and pertains to the confidence in the estimate.
Multiple sources of uncertainty contribute to lack of accuracy. First, a sample mean may deviate considerably from the true value, even if the sample is properly selected, observations and measurements are correctly obtained, and an unbiased estimator is used. This is simply a case of random effects and natural variability in the population and should not be characterized as "error" which connotes a mistake. The solution is greater sample sizes or more optimal plot configurations. Second, an estimate that is based on model predictions may be inaccurate because the model was incorrectly specified, the data used to calibrate the model were not representative of the population to which the model was applied, or observations and measurements of variables were incorrectly acquired. Uncertainty accruing from this source is correctly designated as error. An example of such error is use of individual tree volume or biomass models that were developed for different climatic, topological, or ecological zones or for different species. The solution is acquisition of sufficient sample data to validate existing models or to construct new models.
Finally, variance estimation for purposes of quantifying precision is often complex and computationally
Multiple sources of uncertainty contribute to lack of precision. First, sample sizes may be inadequate to estimate means or to fit models with sufficient precision. Three additional sources of uncertainty contribute to imprecision in model predictions. The first source, residual variability around model predictions, cannot usually be reduced apart from a better mathematical form of the model or use of additional predictor variables. Second, the input variables for a model may themselves be predicted from other models. In such cases, the uncertainty in the estimates of the input variables should be propagated through to the output variables. An example is the use of model-based estimates of tree height as input to a model that uses tree diameter and tree height to estimate tree volume or biomass. The third source is the uncertainty of the model parameter estimates. Assuming the model is correctly specified, the effects of this source of uncertainty can be reduced by using a larger sample to fit the model. Overall, the total uncertainty of model predictions must accommodate all three sources: residual variability, propagation of uncertainty in predictor variables, and parameter uncertainty. In general, the effects of the first source cannot be reduced; the effects of the second source are often inappropriately ignored; but the effects of the third source can be reduced via construction of a better model and increasing sample sizes.
intensive, particularly when estimates are obtained from remote sensing-based maps. In fact, parametric estimators in the form of simple equations may not be available or may be very difficult to incorporate into estimation software. For some applications, the variance estimators are just now beginning to appear in the literature (McRoberts, 2010a, 2012; McRoberts & Walters, 2012; McRoberts et al., 2013; Gregoire et al., 2011; Næsset et al., 2013). An increasingly popular alternative is to use resampling estimators such as the jackknife (Quenouille, 1949) or the bootstrap (Efron & Tibshirani, 1994; McRoberts, 2010a). However, caution is advised, because these resampling estimators quantify only the portion of uncertainty resulting from sampling, not the uncertainty resulting from model misspecification or lack of fit. In addition, the resampling procedures must mimic the original sampling features such as clustering.
Case studies
Brazil
The main purpose of the NFI-BR is to generate information on forest resources, both natural and plantations, to support the formulation of public policies and projects aiming at forest development, use, and conservation. The NFI is nationwide and multisource and reports information on forest resources based on a 5-year measurement cycle.
The NFI of Brazil (NFI-BR) is conducted by the Brazilian Forest Service (BFS) of the Ministry of Environment. The BFS was created in 2006 as a means of promoting sustainable forest production through forest management in public forests, as well as promoting forest development at the national level. One of its legal mandates is to implement a national forest information system (NFIS) of which the NFI is one of the most important components.
The sampling design for field data collection features plot clusters located at the intersections of a systematic grid of 648 x 648 seconds of geographical distance which, at the Equator corresponds to an approximate 20-km x 20-km grid of potential sampling points. Plots to be measured in the field are visited regardless of their forest or non-forest status. Multiple sub-grids of 10-km x 10-km or 5-km x 5-km can be adopted whenever states and municipalities wish to invest in greater sampling intensity to increase the precision of estimates for forest types of high economic or ecological value or when a state's forested area is small. Fixed-area sampling units are grouped into clusters of four rectangular sample plots located 50 m from a central sampling point in the cardinal directions (Freitas et al., 2010). Plot sizes and shapes are defined according to biome characteristics. Each sample plot is 20-m x 50-m for measurement of trees with diameter at-breast-height (dbh, 1.3 m) of at least 10 cm, although for Amazonian biome the plot is 20-m x 100-m to increase inclusion of large trees with dbh≥ 40 cm. Each sample plot includes 10-m x 10-m and 5-m x 5-m nested subplots for measurement of saplings and seedlings. At the central point of each cluster, a soil sample is collected and two perpendicular 10-m transects are used to collect data on down dead woody material. Data collection on sample clusters includes observation and measurement of both continuous and categorical forest variables such as classical dendrometric variables, species identification, and qualitative variables that are useful for forest ecosystem characterization. NFI-BR is currently being implemented with Santa Catarina and the Federal District as the first states to complete field data collection.
Santa Catarina
Therefore, IFFSC included a floristic survey focused on endangered tree species that included five components: (1) digitalization and integration of Santa Catarina's herbaria data sets, (2) a field inventory, (3) evaluation of the genetic structure of endangered tree populations, (4) analysis of the socio-economic importance of forest resources and (5) an online georeferenced database accessible by decision makers and the public.
As part of NFI-BR, the southern Brazilian State of Santa Catarina, with a surface area of 95,346 km² and representing 1.1 percent of Brazilian territory, completed the data collection portion of its inventory in accordance with the NFI guidelines (Brasil, 2007), between 2007 and 2011. The Floristic and Forest Inventory of Santa Catarina (IFFSC), however, is more detailed in some aspects than the NFI to accommodate special data requirements associated with local socio-economic and conservation purposes. IFFSC was designed to evaluate the conservation status of forest remnants and to support a new forest conservation and land use policy (Vibrans et al., 2010, 2012).
Based on recent remotely sensed data (Santa Catarina, 2005) and the potential vegetation map (Klein, 1978), forest land was evaluated using a systematic sampling
design based on 4,000-m 2 , fixed area clusters, each containing four 20-m x 50-m (1,000-m²) plots located 50 m from the center in the cardinal directions. Grid densities for the design varied: a 10-km x10-km grid was used for coastal rain forests and mixed ombrofhylous forest with Araucaria; a 5-km x5-km grid was used for more threatened and fragmented deciduous forests in order to obtain a minimum number of plots to support statistical analyses; and a 20-km x 20-km grid was used for non-forest land to achieve cost efficiency. Initially the FAO definition of forest (FAO, 2009) was to be used, but mapping and analyses conducted subsequent to field data collection were based on IFFSC criteria that specified woody formations with a minimum age of approximately 15 years, canopy cover greater than 50%, and minimum canopy height of 10 m, as also noted by Ribeiro et al. (2009). Forest regrowth below these threshold values was sampled on non-forest land. On the whole, 421 forest clusters and 157 non-forest clusters were established and are to be remeasured at 5-year intervals; additionally 19 clusters were established independently of the grid-based design in conservation units as examples of forests with attributes more characteristic of primary forests such as greater species and size diversity, greater tree heights, and greater biomass.
For data processing, sample plots were stratified based on two factors: first, spatial distribution patterns of species composition and density, and, second, successional stages. The latter stratification was particularly important for assessing regrowth stages and plant communities in landscapes with highly fragmented
Within the sample units two vegetation classes were measured: the main stratum consisted of all woody individuals with DBH ≥10 cm, and the secondary stratum consisted of regeneration and understory shrubs with height >0.50 m and DBH <10 cm. In each forest class, sample plot dendrometric data for 2-4 sampled trees were collected to support construction of individual tree height and volume models and to validate existing regional biomass models. Epiphyte diversity was specifically assessed by field crews for eight forophytes at 30 selected sample plots using arborism techniques. The floristic survey included collection data for all fertile trees, shrubs, herbs and epiphytes within the sample unit and its surroundings. For all sampled remnants, a detailed physiognomic description was prepared, including disturbance factors and any type of human impact within the sampled forest and its surroundings.
and mostly secondary forests under permanent pressure due to land use changes, intensive agriculture, and forest plantation activities. Using multiple remote sensors and a time series approach, basic landscape ecology analyses are conducted for randomly selected 10-km x10-km windows located on the 20-km x 20-km grid and focus on land-use-changes and landscape metrics such as patch area, density, perimeter and edge classes and connectivity of forest patches.
Tanzania
For a sampling design for Tanzania, Tomppo et al. (2010a) used double sampling for stratification and optimal allocation of plots to strata. The first phase sample consisted of an office assessment of a dense grid of field plots for assignment to volume and cost classes. Based on these assessments, strata were constructed using predicted cluster-level average volume of growing stock and estimated cost to measure a plot cluster. Volume classes were based on volume predictions using satellite imagery, observations for ground plots outside Tanzania, and robust models whose predictions were calibrated using areal volume estimates for Tanzania. Neyman allocation (Cochran, 1977) was used to select boundaries for the volume classes so as to maximize the precision of the overall volume estimate assuming a fixed sample size. Cost classes were based on geographic information system (GIS) analyses and local expert opinion of the number of days (one, two, more than two) necessary to measure a plot cluster. Selection of the class intervals, which affects the gain that can be achieved with stratification, requires greater investigation. The second phase sample consists of field measurement of plots where within-strata sampling intensities were selected using optimal allocation (Cochran, 1977). With optimal allocation, sampling intensities are proportional to the quantity where σ h is the within-stratum standard deviation for observations of the variable of interest (mean growing stock volume) and c h is the average cost in terms of measurement time for a plot cluster in stratum h. The second phase consisted of field measurement of 32,660 plots configured into approximately 3,400 clusters. Concentric circular plots with radii of 15-, 10-, 5- and 1-m, with corresponding dbh thresholds of 20-, 10-, 5- and 1-cm, were used. Measurements for the smallest of these circular plots were acquired only for permanent plots. More details concerning the sampling design and plot configuration can be found in Tomppo et al. (2010a). h h c σ
Lessons learned from case studies
The lack of transportation routes, other than rivers, presents a special challenge for tropical forest inventories such as in the Amazonian biome. For example, roads may be available only a part of the year, approximately six months in the Amazonian biome. In addition, some forests may be designated for nature conservation purposes or for the sole use of indigenous peoples. Stratification based on relevant variables such as the likelihood of changes and measurement costs promote both cost efficiency and adherence to sound statistical inventory principles.
In the tropics, use of available vegetation maps to delineate land into forest and non-forest is sometimes appealing. However, if plot clusters are not established on delineated non-forest land in the same manner as on delineated forest land, map errors could contribute to bias because forest land erroneously delineated as nonforest land will not be sampled. The additional costs associated with sampling delineated non-forest land can be decreased by allocating lesser sampling intensities to these lands. In addition, field measurement of plot clusters entirely outside forest and without growing stock can be often avoided by assessing such clusters with land use information obtained from other reliable sources such as was proposed for Brazil (Establishing…, 2009).
Conclusions
The forestry sector makes substantial contributions to the GHG balance as both a source resulting from deforestation in developing countries and as a sink through sequestration of atmospheric GHG emissions. Development of carbon accounting programs in tropical countries, either through new NFIs or MRVs, requires scientifically valid and credible ground sampling programs.
Although the general statistical principles for configuring plots and constructing sampling designs are the same for tropical forests as for boreal and temperate forests, the particular features may differ considerably. Compelling factors contributing to the unique features of tropical inventories include the remote and inaccessible nature of many tropical forests, greater species diversity, and the necessity of relying on remotely sensed data as a primary data source rather than simply as a means of enhancing estimates obtained from ground sampling. The case studies for the Brazilian NFI, the inventory for the Brazilian state of Santa Catarina, and the NFI for
Tanzania illustrate application of the general principles previously discussed. In addition, they illustrate how specific applications can be tailored to unique ecological, climatic, economic, and demographic conditions. Completion of these inventories, including data analyses and reporting, will permit further modification to accommodate emerging NFI requirements such as biodiversity assessment, carbon accounting, and standards and expectations associated with MRVs conducted under the auspices of the IPCC.
Acknowledgements
The authors acknowledge discussions on the topic of this paper with James Westfall, Andrew Lister, and Charles Scott, all of the Northern Research Station, U.S. Forest Service, Newtown Square, Pennsylvania, USA, and excellent review comments received from Mary C. Christman, MCC Statistical Consulting LLC, Gainesville, Florida, USA; Lutz Fehrmann, Georg-August-University Göttingen, Göttingen, Germany; and Johannes Breidenbach, Norwegian Forest and Landscape Institute, Ås, Norway.
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|
APPENDIX 4D
Half Year Report
for the period ended 25 December 2018
Name of Entity:Ardent Leisure Group Limited (ASX: ALG) (ABN 51 628 881 603)
Results for announcement to the market
$'000
Revenue from ordinary activities
Decreased
14.6% to
226,676
Loss from ordinary activities after tax attributable to members
Increased from
a loss of
(15,644) to a loss of (21,815)
Net loss for the period attributable to members
Increased from
a loss of
(15,644) to a loss of (21,815)
Dividends/Distributions
Amount per stapled security
Current Period:
Interim dividend
Nil
Previous Corresponding Period:
Interim distribution
2.0¢
Record date for determining entitlements to
the dividend
N/A
Provide a brief explanation of any of the figures reported above necessary to enable the figures to be understood:
On 3 October 2018, Ardent Leisure Group announced its proposal (Proposal) to establish a new listed company, Ardent Leisure Group Limited (Company), as the single head entity of the Group, in place of the previous stapled structure.
The Proposal was approved by Ardent Leisure Group securityholders on 20 November 2018 and by the Supreme Court of New South Wales on 28 November 2018. Implementation of the Proposal occurred effective 24 December 2018, by way of company and trust schemes of arrangement, resulting in previously stapled securities being exchanged for wholly owned shares by the newly listed entity. On implementation of the Proposal, eligible security holders were issued shares in the Company in the same proportion as stapled securities previously held.
While this is the first interim financial report with Ardent Leisure Group Limited as parent entity of the Group, the consolidated financial report is accounted for as a corporate reorganisation rather than a business combination. As such, the group's financial statements reflect the financial position and performance of the new group as if the restructure had always been in place and the financial report is therefore a continuation of the financial statements of the previous stapled group.
Current reporting period financial statements include results from 27 June 2018 to 25 December 2018 i.e. 182 days which is 3 days more than the prior corresponding period (1 July 2017 to 26 December 2017 i.e. 179 days).
The Group recorded a net loss after tax of $21.8 million for the period ended 25 December 2018, compared to a net loss of $15.6 million in the prior corresponding period. The prior period included $6.7 million net profit from discontinued operations, comprising the Marinas business (sold in August 2017) and Bowling and Entertainment business (sold in April 2018). Excluding the impact of disposed businesses, the continuing operations reported a slightly improved statutory result from a net loss of $22.3 million in the prior period to a net loss of $21.5 million in the current period.
During the period, the Group reported segment EBITDA from continuing operations of $0.5 million (26 December 2017: EBITDA loss of $15.7 million). Segment EBITDA includes the impact of a number of specific items as disclosed in the Interim Financial Report, the most notable being a prior period valuation loss on the Theme Parks of $22.8 million. After adjusting for the specific items disclosed, EBITDA from continuing operations declined overall by $1.2 million, as a result of an increase of $3.4 million in Main Event being offset by a decline of $4.5 million in Theme Parks, due to continued challenging conditions following the Thunder River Rapids incident and subsequent coronial inquiry hearings.
Refer to the Interim Financial Report for the period ended 25th December 2018 accompanying this Appendix 4D for further information on the financial performance of the Group.
Details of Dividends/Distributions
Refer attached financial statements (Directors Report and Note 9: Dividends and Distributions paid and payable).
Details of Dividend/Distribution Reinvestment Plan
The distribution reinvestment plan was in operation for the final distribution relating to 26 June 2018 which was paid during the half year ended 25 December 2018.
Net Tangible Assets
| | Current period 25 December 2018 | Previous corresponding Period 26 December 2017 |
|---|---|---|
| Net tangible asset backing per security* | $0.73 | $0.94 |
* Under the listing rules NTA Backing must be determined by deducting from total tangible assets all claims on those assets ranking ahead of the ordinary securities (i.e., all liabilities, preference shares, outside equity interests etc).
Control Gained or Lost over Entities during the Period
Details of Associates and Joint Venture entities
N/A
Accounting standards used by foreign entities
N/A
Qualification of audit/review
Not applicable as there is no review dispute or qualification. Refer attached interim financial report for the independent auditor's review report.
Interim Financial Report
for the period 27 June 2018 to 25 December 2018
Interim Financial Report
33
Ardent Leisure Group Limited|Interim Financial Report1
Directors' report
Directors' report to stapled security holders
The Directors of Ardent Leisure Group Limited (Company) present their report together with the consolidated interim financial report of the Company and its controlled entities (collectively, the Group) for the period from 27 June 2018 to 25 December 2018.
Ardent Leisure Group Limited is a company limited by shares, incorporated and domiciled in Australia. Its registered office and principal place of business are Level 8, 60 Miller Street, North Sydney NSW 2060.
The consolidated interim financial report is a continuation of the previously reported combined financial statements of the Ardent Leisure Stapled Group, which comprised Ardent Leisure Trust (Trust) and its controlled entities and Ardent Leisure Limited (ALL) and its controlled entities.
Corporate restructure of the Stapled Group
On 3 October 2018, Ardent Leisure Group announced its proposal (Proposal) to establish a new listed company, Ardent Leisure Group Limited, as the single head entity of the Group, in place of the previous stapled structure.
The Proposal was approved by Ardent Leisure Group securityholders on 20 November 2018 and by the Supreme Court of New South Wales on 28 November 2018. Implementation of the Proposal occurred effective 24 December 2018, by way of company and trust schemes of arrangement, resulting in previously stapled securities being exchanged for wholly owned shares by the newly listed entity. On implementation of the Proposal, eligible security holders were issued shares in the Company in the same proportion as stapled securities previously held.
On 3 October 2018, Ardent Leisure Group also announced a restructure (Restructure), involving the establishment of two new Australian special purpose vehicles, Aust HoldCo and Foreign HoldCo, which will be wholly owned subsidiaries of the Company. The shares of Ardent Leisure Limited and units of Ardent Leisure Trust will be transferred to Aust HoldCo and the overseas assets (i.e. the shares in the US holding company which holds the US Entertainment Centres) will be transferred to Foreign HoldCo. No securityholder approvals are required for the Restructure.
The Proposal and Restructure do not impact key areas of the Group, including:
- The underlying business and assets;
- Funds raised, acquisitions or disposals of businesses or assets;
- The Group Directors and Group management team; and
- Overall investments and interests of eligible securityholders.
Refer to Notes 1, 4(c) and 12 to the financial statements for further details regarding the accounting for the implementation of the Proposal.
While this is the first interim financial report with Ardent Leisure Group Limited as parent entity of the Group, the consolidated financial report is accounted for as a corporate reorganisation rather than a business combination. Accounting for a corporate reorganisation requires that the new group's financial statements reflect the financial position and performance of the new group as if the restructure had always been in place. Therefore, the corporate restructure is deemed to have been in place for the entire period and the Group accounting policies are consistent with the previous Stapled Group's accounting policies except as disclosed in Note 20(a) to the financial statements.
The new parent of the Group, Ardent Leisure Group Limited, was incorported on 18 September 2018. Under section 323D(5) of the Corporations Act 2001 (Act), the first half year of the Company is deemed to be from 18 September 2018 to 17 March 2019. As such, the Company would ordinarily be required to lodge an interim financial report for this half year period with the Australian Securities and Investments Commission (ASIC). The Company has obtained relief from ASIC under section 340(1) of the Act to shorten its first half year to the period from 18 September 2018 to 25 December 2018 to align with the half year end of the Group and remove the dual reporting requirement which would have otherwise arisen.
Directors
The following persons have held office as Directors of the Company and, prior to the corporate restructure, were Directors of Ardent Leisure Management Limited (Manager) (as responsible entity for the Trust) and Ardent Leisure Limited during the period and up to the date of this report unless otherwise stated:
For personal use only
Gary Weiss;
David Haslingden;
Don Morris AO;
Randy Garfield;
Brad Richmond;
Toni Korsanos (appointed 1 July 2018); and
Roger Davis (resigned 17 August 2018).
2Ardent Leisure Group Limited|Interim Financial Report
Directors' report
Principal activities
The Group's principal activity is to invest in and operate leisure and entertainment businesses in Australia and the United States of America. There were no significant changes in the nature of the activities of the Group during the period.
Dividends and distributions
No interim dividend has been paid or declared for the half year ended 25 December 2018 (26 December 2017: Trust distribution of 2.00 cents per security).
Review and results of operations
The Group's strategy is to focus primarily on leisure and entertainment segments within its geographical areas of operation with mass market appeal. During the period, two businesses contributed to the overall result: Main Event and Theme Parks.
The performance of the Group, as represented by the aggregated results of its operations for the period from 27 June 2018 to 25 December 2018 (182 days), was as follows:
| S | egment revenue | | 192,312 | | | 34,362 | | | | 2 | | 226,676 | | | | - | 226,676 |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| S | egment EBITDA | | 22,071 | | | (12,406 | ) | | (9,207 | ) | | 458 | | | (284 | ) | 174 |
| D | epreciation and amortisation | | (18,680 | ) | | (4,756 | ) | | (502 | ) | | (23,938 | ) | | | - | (23,938 |
| S | egment EBIT | | 3,391 | | | (17,162 | ) | | (9,709 | ) | | (23,480 | ) | | (284 | ) | (23,764 |
| B | orrowing costs | | | | | | | | | | | (1,487 | ) | | | - | (1,487 |
| In | terest income | | | | | | | | | | | 1 | 5 | | | - | 1 |
| N | et loss before tax | | | | | | | | | | | (24,952 | ) | | (284 | ) | (25,236 |
| In | come tax benefit | | | | | | | | | | | 3,42 | 1 | | | - | 3,42 |
| N | et loss after tax | | | | | | | | | | | (21,531 | ) | | (284 | ) | (21,815 |
| T f | he segment EBITDA above includes the | | | | | | | | | | | | | | | | |
| | ollowing specific items: | | | | | | | | | | | | | | | | |
| P | re-opening expenses | | (1,472 | ) | | | - | | | - | | (1,472 | ) | | | - | (1,472 |
| D in | reamworld incident costs, net of | - | | | (5,321) | | | - | | | (5,321) | | | - | | | |
| | surance recoveries | | | | | (5,321 | | | | | | (5,321 | | | | | (5,321 |
| R | estructuring and other non-recurring items | | (2,645 | ) | | (1,952 | ) | | (3,476 | ) | | (8,073 | ) | | | - | (8,073 |
| S o | elling costs associated with discontinued | - | | | - | | | - | | | - | | | (284) | | | |
| | perations | | | | | | | | | | | | | | (284 | | (284 |
| G | ain/(loss) on disposal of assets | | 2,02 | 0 | | (50 | ) | | (327 | ) | | 1,64 | 3 | | | - | 1,64 |
| | | | (2,097 | ) | | (7,323 | ) | | (3,803 | ) | | (13,223 | ) | | (284 | ) | (13,507 |
| T t | he income tax benefit above includes | | | | | | | | | | | | | | | | |
| | he following specific items: | | | | | | | | | | | | | | | | |
| I | mpact of destapling and corporatisation | | | - | | - | | | 5,37 | 9 | | 5,37 | 9 | | | - | 5,37 |
| C a | urrent period tax losses not recognised as | - | | | - | | | (7,590) | | | (7,590) | | | - | | | |
| | deferred tax asset | | | | | - | | | (7,590 | | | (7,590 | | | | | (7,590 |
| T | ax impact of specific items listed above | | 44 | 0 | | 2,19 | 7 | | 1,14 | 1 | | 3,77 | 8 | | | - | 3,77 |
| | | | 440 | | | 2,197 | | | (1,070 | ) | | 1,567 | | | | - | 1,567 |
Ardent Leisure Group Limited|Interim Financial Report3
Directors' report
5. Review and results of operations (continued)
The performance of the Group, as represented by the aggregated results of its operations for the period from 1 July 2017 to 26 December 2017 (179 days), was as follows:
| n S | egment revenue | | 155,774 | | | 34,662 | | | | 5 | | 190,441 | | | 75,113 | | | 265,554 | |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| S | egment EBITDA | | 16,429 | | | (25,450 | ) | | (6,683 | ) | | (15,704 | ) | | 14,097 | | | (1,607 | ) |
| D | epreciation and amortisation | | (16,122 | ) | | (4,250 | ) | | (593 | ) | | (20,965 | ) | | (7,483 | ) | | (28,448 | ) |
| o S | egment EBIT | | 307 | | | (29,700 | ) | | (7,276 | ) | | (36,669 | ) | | 6,614 | | | (30,055 | ) |
| B | orrowing costs | | | | | | | | | | | (5,453 | ) | | (53 | ) | | (5,506 | ) |
| In | terest income | | | | | | | | | | | 16 | 1 | | | - | | 16 | 1 |
| N | et (loss)/profit before tax | | | | | | | | | | | (41,961 | ) | | 6,561 | | | (35,400 | ) |
| e In | come tax benefit | | | | | | | | | | | 19,60 | 3 | | 15 | 3 | | 19,75 | 6 |
| N | et (loss)/profit after tax | | | | | | | | | | | (22,358 | ) | | 6,714 | | | (15,644 | ) |
| s T f | he segment EBITDA above includes the | | | | | | | | | | | | | | | | | | |
| | ollowing specific items: | | | | | | | | | | | | | | | | | | |
| u V e | aluation loss - property, plant and | - | | | (22,841) | | | - | | | (22,841) | | | - | | | (22,841) | | |
| | quipment | | | | | (22,841 | | | | | | (22,841 | | | | | | (22,841 | |
| P | re-opening expenses | | (1,966 | ) | | | - | | | - | | (1,966 | ) | | (568 | ) | | (2,534 | ) |
| D l in | reamworld incident costs, net of | - | | | (1,926) | | | - | | | (1,926) | | | - | | | (1,926) | | |
| | surance recoveries | | | | | (1,926 | | | | | | (1,926 | | | | | | (1,926 | |
| a R | estructuring and other non-recurring items | | (1,732 | ) | | | - | | (1,334 | ) | | (3,066 | ) | | | - | | (3,066 | ) |
| G | ain on sale of discontinued operations | | | - | | | - | | | - | | | - | | 4,67 | 8 | | 4,67 | 8 |
| S n o | elling costs associated with discontinued | - | | | - | | | - | | | - | | | (1,586) | | | (1,586) | | |
| | perations | | | | | | | | | | | | | | (1,586 | | | (1,586 | |
| L | oss on disposal of assets | | (653 | ) | | (105 | ) | | (66 | ) | | (824 | ) | | (93 | ) | | (917 | ) |
| | | | (4,351 | ) | | (24,872 | ) | | (1,400 | ) | | (30,623 | ) | | 2,431 | | | (28,192 | ) |
| o | | | | | | | | | | | | | | | | | | | |
| T t | he income tax benefit above includes | | | | | | | | | | | | | | | | | | |
| | he following specific items: | | | | | | | | | | | | | | | | | | |
| s R re | estatement of deferred tax balances to | 14,931 | | | - | | | - | | | 14,931 | | | - | | | 14,931 | | |
| | flect US tax reforms | | 14,93 | | | | | | | | | 14,93 | | | | | | 14,93 | |
| r T | ax impact of specific items listed above | | 1,21 | 8 | | 57 | 9 | | 42 | 0 | | 2,21 | 7 | | 72 | 5 | | 2,94 | 2 |
| | | | 16,149 | | | 579 | | | 420 | | | 17,148 | | | 725 | | | 17,873 | |
The Group recorded a net loss after tax of $21.8 million for the period ended 25 December 2018, compared to a net loss of $15.6 million in the prior corresponding period. The prior period included $6.7 million net profit from discontinued operations, comprising the Marinas business (sold in August 2017) and Bowling & Entertainment business (sold in April 2018). Excluding the impact of disposed businesses, the continuing operations reported a slightly improved statutory result from a net loss of $22.3 million in the prior corresponding period to a net loss of $21.5 million in the current period.
Total revenue for the Group declined by $38.9 million compared to the prior corresponding period due to the lost revenue contribution of $75.1 million from the Marinas and Bowling & Entertainment businesses in the prior period, partially offset by a $36.2 million (19.0%) increase in revenue from continuing operations, driven primarily by the Main Event business. Theme Parks revenue remained flat period-on-period despite the current period being impacted by a number of coronial inquest hearings and reduced availability of rides.
Segment EBITDA for the period includes the impact of a number of specific items as disclosed in the tables above. After adjusting for the specific items disclosed, EBITDA from continuing operations declined overall by $1.2 million, as a result of an increase of $3.4 million in Main Event being offset by a decline of $4.5 million in Theme Parks, due to continued challenging conditions following the Thunder River Rapids ride incident and subsequent coronial inquiry hearings.
4Ardent Leisure Group Limited|Interim Financial Report
Directors' report
5. Review and results of operations (continued)
The performance of continuing operations compared to prior corresponding period is mainly driven by the following factors:
- Incremental revenue and EBITDA in Main Event due to full period contributions from three centres that opened during the prior year and one new centre that opened during the current period;
- Lower pre-opening expenses of $1.5 million (26 December 2017: $2.0 million) due to fewer Main Event centre openings in the current period;
- A reduction in borrowing costs to $1.5 million (26 December 2017: $5.5 million) due to large debt repayments and facility reductions following the sale of the Marinas and Bowling & Entertainment businesses in the prior corresponding period;
- A net gain on disposal of assets of $1.6 million, largely relating to Main Event (26 December 2017: $0.8 million loss);
- A valuation loss relating to Dreamworld of $22.8 million in the prior corresponding period; and
- A $5.4 million tax benefit recorded in the Trust following the completion of the Group destapling and corporatisation in December 2018;
Partly offset by:
- An increase in costs relating to the Thunder River Rapids ride incident at Dreamworld, net of insurance recoveries, which amounted to $5.3 million (26 December 2017: $1.9 million) due to coronial inquest hearings in June, October, November and December 2018;
- An increase in restructuring costs in Main Event, Theme Parks and Corporate, which amounted to $8.1 million (26 December 2017: $3.1 million). The Group was impacted by several one-off expenses as a result of restructuring activity in the current period, including consulting costs, executive severance payments and destapling costs;
- An increase in depreciation and amortisation to $23.9 million (26 December 2017: $21.0 million) due to new Main Event centres opened in the prior year and current period;
- A $14.9 million one-off income tax benefit relating to US tax reforms that lowered the US corporate income tax rate in the prior corresponding period; and
- A $7.6 million tax expense relating to tax losses not recognised as deferred tax assets in the current period.
Value of assets
| | | December | June |
|---|---|---|---|
| | | 2018 | 2018 |
| | | $’000 | $’000 |
| V | alue of total assets | 653,501 | 621,128 |
| V | alue of net assets | 422,756 | 444,118 |
Interests in the Group
The movement in shares/securities of the Group during the period is set out below:
| | | 2018 | 2018 |
|---|---|---|---|
| S | ecurities on issue at the beginning of the period | 471,344,533 | 469,153,284 |
| S | ecurities issued under Distribution Reinvestment Plan | 8,361,483 | 1,510,100 |
| S | ecurities issued as part of ALL's employee security-based payments plans | - | 681,149 |
For personal use only
Auditor's independence declaration
A copy of the auditor's independence declaration as required under section 307C of the Corporations Act 2001 is set out on page 7.
Ardent Leisure Group Limited|Interim Financial Report5
Ernst & Young 200 George Street Sydney NSW 2000 Australia GPO Box 2646 Sydney NSW 2001
Tel: +61 2 9248 5555
Fax: +61 2 9248 5959
ey.com/au
Auditor's Independence Declaration to the Directors of Ardent Leisure Group Limited
As lead auditor for the review of Ardent Leisure Group Limited for the half-year ended 25 December 2018, I declare to the best of my knowledge and belief, there have been:
a) no contraventions of the auditor independence requirements of the Corporations Act 2001 in relation to the review; and
b) no contraventions of any applicable code of professional conduct in relation to the review.
This declaration is in respect of Ardent Leisure Group Limited and the entities it controlled during the financial period.
Ernst & Young
John Robinson Partner 21 February 2019
Income Statement for the half year ended 25 December 2018
Income Statements
For personal use only
8Ardent Leisure Group Limited|Interim Financial Report
Statement of Comprehensive Income for the half year ended 25 December 2018
Statements of Comprehensive Income
The above Statement of Comprehensive Income should be read in conjunction with the accompanying notes.
Ardent Leisure Group Limited|Interim Financial Report9
Balance Sheet as at 25 December 2018
Balance Sheets
For personal use only
The above Balance Sheet should be read in conjunction with the accompanying notes.
Statement of Changes in Equity
for the half year ended 25 December 2018
Statements of Changes in Equity
| T | otal equity at 1 July 2017 | | 662,450 | (1,662) | (26,861) | (102,205) | 531,722 |
|---|---|---|---|---|---|---|---|
| L | oss for the half year | | - | - | - | (15,644) | (15,644) |
| O | ther comprehensive income for the half year | | - | - | 2,602 | - | 2,602 |
| T | otal comprehensive income/(loss) for the half year | | - | - | 2,602 | (15,644) | (13,042) |
| T | ransactions with owners in their capacity as owners: | | | | | | |
| E | quity-based payments | | - | - | (1,751) | - | (1,751) |
| E | quity issue costs | | (6) | - | - | - | (6) |
| E | quity-based payments - securities issued | 11 | 1,313 | - | - | - | 1,313 |
| D | istributions paid and payable | 9 | - | - | - | (4,691) | (4,691) |
| Is | suance of treasury securities | | - | 248 | - | - | 248 |
| D | istributions received from treasury securities | 13 | - | - | - | 8 | 8 |
| T | otal equity at 26 December 2017 | | 663,757 | (1,414) | (26,010) | (122,532) | 513,801 |
| T | otal equity at 27 June 2018 | | 666,731 | (1,405) | (14,246) | (206,962) | 444,118 |
| I | mpact of change in accounting standard | 3, 13 | - | - | - | (1,401) | (1,401) |
| T | otal restated equity at 27 June 2018 | | 666,731 | (1,405) | (14,246) | (208,363) | 442,717 |
| L | oss for the half year | | - | - | - | (21,815) | (21,815) |
| O | ther comprehensive income for the half year | | - | - | 15,642 | - | 15,642 |
| T | otal comprehensive income/(loss) for the half year | | - | - | 15,642 | (21,815) | (6,173) |
| T | ransactions with owners in their capacity as owners: | | | | | | |
| E | quity-based payments | 12 | - | - | (574) | - | (574) |
| C | ontributions of equity, net of issue costs | 11 | 16,302 | - | - | - | 16,302 |
| D | istributions paid and payable | 9 | - | - | - | (30,637) | (30,637) |
| Is | suance of treasury securities | | - | 1,079 | - | - | 1,079 |
| D | istributions received from treasury securities | 13 | - | - | - | 42 | 42 |
| I | mpact of corporate restructure | 11,12 | 94,091 | - | (94,091) | - | - |
The above Statement of Changes in Equity should be read in conjunction with the accompanying notes.
Ardent Leisure Group Limited|Interim Financial Report11
Statement of Cash Flows for the half year ended 25 December 2018
Statements of Cash Flows
The above Statement of Cash Flows should be read in conjunction with the accompanying notes.
For personal use only
Basis of preparation
Corporate restructure
On 3 October 2018, Ardent Leisure Group announced its proposal (Proposal) to establish a new listed company, Ardent Leisure Group Limited (Company), as the single head entity of the Group, replacing the previous stapled structure.
The Proposal was approved by Ardent Leisure Group securityholders on 20 November 2018 and by the Supreme Court of New South Wales on 28 November 2018. Implementation of the Proposal occurred effective 24 December 2018, by way of company and trust schemes of arrangement, resulting in previously stapled securities being exchanged for wholly owned shares by the newly listed entity. On implementation of the Proposal, eligible security holders were issued shares in the Company in the same proportion as stapled securities previously held.
Ardent Leisure Group Limited is a limited company, incorporated and domiciled in Australia, whose shares are publicly traded on the Australian Securities Exchange.
This consolidated interim financial report represents the consolidated financial statements of the Company and its controlled entities (collectively, the Group) for the reporting period ended 25 December 2018 and has been prepared in accordance with the requirements of the Australian Accounting Standards (including AASB 134 Interim Financial Reporting) and the Corporations Act 2001. The consolidated interim financial report is a continuation of the combined financial statements of the Ardent Leisure Stapled Group, which comprised Ardent Leisure Trust (Trust) and its controlled entities and Ardent Leisure Limited (ALL) and its controlled entities.
While this is the first interim financial report with Ardent Leisure Group Limited as parent entity of the Group, the consolidated financial report is accounted for as a corporate reorganisation rather than a business combination. Accounting for a corporate reorganisation requires that the new group's financial statements reflect the financial position and performance of the new group as if the restructure had always been in place. Therefore, the corporate restructure is deemed to have been in place for the entire period and the Group accounting policies are consistent with the previous Stapled Group's accounting policies, except as disclosed in Note 20(a).
Ardent Leisure Group Limited, was incorported on 18 September 2018. Under section 323D(5) of the Corporations Act 2001 (Act), the first half year of the Company is deemed to be from 18 September 2018 to 17 March 2019. As such, the Company would ordinarily be required to lodge an interim financial report for this half year period with the Australian Securities and Investments Commission (ASIC). The Company has obtained relief from ASIC under section 340(1) of the Act to shorten its first half year to the period from 18 September 2018 to 25 December 2018 to align with the half year end of the Group and remove the dual reporting requirement which would have otherwise arisen.
This interim financial report does not include all the notes of the type normally included in the annual financial report. Accordingly, this report is to be read in conjunction with the financial report of the previously stapled Ardent Leisure Group for the year ended 26 June 2018 and any public announcements made by the Group during the interim reporting period in accordance with the continuous disclosure requirements of the Corporations Act 2001.
Refer to Notes 4(c) and 12 for further details regarding the accounting for the implementation of the Proposal.
New and amended accounting standards adopted by the Group
The new or amended accounting standards which became effective for the reporting period commencing on 27 June 2018 are set out below:
- AASB 9 Financial Instruments and relevant amending standards;
- AASB 15 Revenue from Contracts with Customers and relevant amending standards;
- AASB 2016-5 Amendments to Australian Accounting Standards – Classification and Measurement of Share-based Payment Transactions; and
- AASB Interpretation 22 Foreign Currency Transactions and Advance Consideration.
Except as disclosed in Note 3, the adoption of new and amended standards and interpretations has not resulted in a material change to the financial performance or position of the Company.
For personal use only
Historical cost convention
The interim financial statements have been prepared under the historical cost convention, as modified by the revaluation of property, plant and equipment, investments and derivative financial instruments held at fair value.
Ardent Leisure Group Limited|Interim Financial Report13
1. Basis of preparation (continued)
Critical accounting estimates
The preparation of financial statements in conformity with Australian Accounting Standards may require the use of certain critical accounting estimates and management to exercise its judgement in the process of applying the Group's accounting policies. Other than the estimation of the fair values of the Group's assets, which are derived on a consistent basis with that disclosed in the annual financial report of the Group for the year ended 26 June 2018, and assumptions related to deferred tax assets and liabilities, impairment testing of goodwill and Director valuations for some property, plant and equipment, no key assumptions concerning the future, or other estimation of uncertainty at the reporting date, have a significant risk of causing material adjustments to the financial statements in the next reporting period.
Reclassification of comparative information
The Company has reclassified certain amounts related to the prior period financial position to conform to current period presentation. These reclassifications have not changed the results of operations of prior periods.
Deficiency of current assets
As at 25 December 2018, the Group had a deficiency of current assets of $113.0 million (26 June 2018: $58.0 million). This includes $97.6 million of bank loans which have been classified as current liabilities due to these having a maturity date of 10 August 2019 as at the reporting date. As disclosed in Note 21, in February 2019 the Group obtained lender consent to extend the maturity of this debt to 28 February 2020 while the Company is in the process of finalising its US debt refinancing. Excluding this debt, the Group has a deficiency of current assets of $15.4 million. Due to the nature of the business, the majority of sales are for cash whereas purchases are on credit, resulting in a negative working capital position. Surplus cash is used to repay external loans, resulting in deficiencies of current assets. The Group expects to generate positive operating cashflows in the next 12 months and has $14.9 million (26 June 2018: $141.6 million) of unused capacity in its bank loans which can be utilised to fund any deficiency in its net current assets. Refer to Note 14.
Segment information
Business segments
The Group is organised on a global basis into the following divisions by product and service type:
Main Event
This segment operates solely in the United States of America and comprises 42 Main Event sites in Texas, Arizona, Georgia, Illinois, Kentucky, Missouri, New Mexico, Ohio, Oklahoma, Kansas, Florida, Indiana, Pennsylvania, Tennessee, Maryland, Delaware and Colorado.
Theme Parks
This segment comprises Dreamworld and WhiteWater World in Coomera, Queensland and the SkyPoint observation deck and climb in Surfers Paradise, Queensland.
Bowling & Entertainment
This segment was sold in the prior year on 30 April 2018.
This segment was sold in the prior year on 14 August 2017.
Marinas For personal use only
| S | egment revenue | | 192,31 | 2 | | 34,36 | 2 | | | 2 | | 226,67 | 6 | | | - | | - | | - | | - |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| S | egment EBITDA | | 22,07 | 1 | | (12,406 | ) | | (9,207 | ) | | 45 | 8 | | (269 | ) | | (8) | | (7) | | (284) |
| D | epreciation and amortisation | | (18,680 | ) | | (4,756 | ) | | (502 | ) | | (23,938 | ) | | | - | | - | | - | | - |
| S | egment EBIT | | 3,39 | 1 | | (17,162 | ) | | (9,709 | ) | | (23,480 | ) | | (269 | ) | | (8) | | (7) | | (284) |
| B | orrowing costs | | | | | | | | | | | (1,487 | ) | | | | | | | | | - |
| In | terest income | | | | | | | | | | | 1 | 5 | | | | | | | | | - |
| N | et loss before tax | | | | | | | | | | | (24,952 | ) | | | | | | | | | (284) |
| In | come tax benefit | | | | | | | | | | | 3,42 | 1 | | | | | | | | | - |
| N | et loss after tax | | | | | | | | | | | (21,531 | ) | | | | | | | | | (284) |
| T | he segment EBITDA above includes the following specific items: | | | | | | | | | | | | | | | | | | | | | |
| P | re-opening expenses | | (1,472 | ) | | | - | | | - | | (1,472 | ) | | | - | | - | | - | | - |
| D | reamworld incident costs, net of insurance recoveries | | | - | | (5,321 | ) | | | - | | (5,321 | ) | | | - | | - | | - | | - |
| R | estructuring and other non-recurring items | | (2,645 | ) | | (1,952 | ) | | (3,476 | ) | | (8,073 | ) | | | - | | - | | - | | - |
| S | elling costs associated with discontinued operations | | | - | | | - | | | - | | | - | | (269 | ) | | (8) | | (7) | | (284) |
| G | ain/(loss) on disposal of assets | | 2,02 | 0 | | (50 | ) | | (327 | ) | | 1,64 | 3 | | | - | | - | | - | | - |
| | | | (2,097 | ) | | (7,323 | ) | | (3,803 | ) | | (13,223 | ) | | (269 | ) | | (8) | | (7) | | (284) |
| T | he income tax benefit above includes the following specific items: | | | | | | | | | | | | | | | | | | | | | |
| I | mpact of destapling and corporatisation | | | - | | | - | | 5,37 | 9 | | 5,37 | 9 | | - | | | - | | - | | - |
| C t | urrent period tax losses not recognised as a deferred | - | | | - | | | (7,590) | | | (7,590) | | | - | | | - | | - | | - | |
| | ax asset | | | | | | | | (7,590 | | | (7,590 | | | - | | | - | | - | | - |
| T | ax impact of specific items listed above | | 44 | 0 | | 2,19 | 7 | | 1,14 | 1 | | 3,77 | 8 | | - | | | - | | - | | - |
| | | | 44 | 0 | | 2,19 | 7 | | (1,070 | ) | | 1,56 | 7 | | - | | | - | | - | | - |
| T | otal assets | | 475,82 | 5 | | 148,49 | 7 | | 29,17 | 9 | | 653,50 | 1 | | - | | | - | | - | | - |
| A | cquisitions of property, plant and equipment | | 16,48 | 0 | | 22,02 | 1 | | | 9 | | 38,51 | 0 | | - | | | - | | - | | - |
| S | egment revenue | | 155,77 | 4 | | 34,66 | 2 | | | 5 | | 190,44 | 1 | | 72,46 | 0 | | 2,653 | | - | | 75,113 |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| S | egment EBITDA | | 16,42 | 9 | | (25,450 | ) | | (6,683 | ) | | (15,704 | ) | | 8,77 | 4 | | 5,418 | | (95) | | 14,097 |
| D | epreciation and amortisation | | (16,122 | ) | | (4,250 | ) | | (593 | ) | | (20,965 | ) | | (7,483 | ) | | - | | - | | (7,483) |
| S | egment EBIT | | 30 | 7 | | (29,700 | ) | | (7,276 | ) | | (36,669 | ) | | 1,29 | 1 | | 5,418 | | (95) | | 6,614 |
| B | orrowing costs | | | | | | | | | | | (5,453 | ) | | | | | | | | | (53) |
| In | terest income | | | | | | | | | | | 16 | 1 | | | | | | | | | - |
| N | et (loss)/profit before tax | | | | | | | | | | | (41,961 | ) | | | | | | | | | 6,561 |
| In | come tax benefit | | | | | | | | | | | 19,60 | 3 | | | | | | | | | 153 |
| N | et (loss)/profit after tax | | | | | | | | | | | (22,358 | ) | | | | | | | | | 6,714 |
| T | he segment EBITDA above includes the following specific items: | | | | | | | | | | | | | | | | | | | | | |
| V | aluation loss - property, plant and equipment | | | - | | (22,841 | ) | | | - | | (22,841 | ) | | | - | | - | | - | | - |
| P | re-opening expenses | | (1,966 | ) | | | - | | | - | | (1,966 | ) | | (568 | ) | | - | | - | | (568) |
| D | reamworld incident costs, net of insurance recoveries | | | - | | (1,926 | ) | | | - | | (1,926 | ) | | | - | | - | | - | | - |
| R | estructuring and other non-recurring items | | (1,732 | ) | | | - | | (1,334 | ) | | (3,066 | ) | | | - | | - | | - | | - |
| G | ain on sale of discontinued operations | | | - | | | - | | | - | | | - | | | - | | 4,678 | | - | | 4,678 |
| S cl | elling costs associated with discontinued operations | - | | | - | | | - | | | - | | | (1,491) | | | - | | (95) | | (1586) | |
| | assified as held for sale | | | | | | | | | | | | | | (1,491 | | | - | | (95) | | (1586) |
| L | oss on disposal of assets | | (653 | ) | | (105 | ) | | (66 | ) | | (824 | ) | | (64 | ) | | (29) | | - | | (93) |
| | | | (4,351 | ) | | (24,872 | ) | | (1,400 | ) | | (30,623 | ) | | (2,123 | ) | | 4,649 | | (95) | | 2,431 |
| T | he income tax benefit above includes the following specific items: | | | | | | | | | | | | | | | | | | | | | |
| R | estatement of deferred tax balances to reflect US tax reforms | | 14,93 | 1 | | | - | | | - | | 14,93 | 1 | | - | | | - | | - | | - |
| T | ax impact of specific items listed above | | 1,21 | 8 | | 57 | 9 | | 42 | 0 | | 2,21 | 7 | | 636 | | | 89 | | - | | 725 |
| | | | 16,14 | 9 | | 57 | 9 | | 42 | 0 | | 17,14 | 8 | | 636 | | | 89 | | - | | 725 |
| T | otal assets | | 473,99 | 5 | | 181,49 | 7 | | 29,69 | 2 | | 685,18 | 4 | | 167,534 | | | - | | - | | 167,534 |
| A | cquisitions of property, plant and equipment | | 41,07 | 9 | | 5,61 | 1 | | 38 | 5 | | 47,07 | 5 | | 17,795 | | | - | | - | | 17,795 |
Revenue from operating activities
| R | evenue from services | 140,575 | 118,309 |
|---|---|---|---|
| R | evenue from sale of goods | 86,099 | 72,132 |
| O | ther revenue | 2 | - |
Implementation of AASB 15 Revenue from Contracts with Customers
AASB 15 Revenue from Contracts with Customers establishes a new revenue recognition model, changes the basis for deciding whether revenue is to be recognised over time or at a point in time, provides new and more detailed guidance on specific topics, and expands and improves disclosures about revenue.
The most significant impact of the new Standard for the Group is a change in the revenue recognition profile of Theme Parks' annual/season passes. Under the previous standards, revenue was recognised on these passes based on usage and visitation whereas the new Standard requires such income to be recognised on a straight-line basis over the period that the pass allows access to the parks.
The Group adopted AASB 15 using the modified retrospective approach from 27 June 2018. As a result of adopting the standard, the Company recorded a $1.4 million increase to accumulated losses with a corresponding increase in deferred revenue.
In accordance with AASB 15 disclosure requirements, the impact of the adoption of the new Standard on revenue reported for the half year to 25 December 2018 is to reduce revenue from services by $1.1 million with corresponding impacts to accumulated losses and deferred revenue as follows:
| R | evenue from operating activities | 227,817 | (1,141) | 226,676 |
|---|---|---|---|---|
| P | ayables | 58,213 | 2,542 | 60,755 |
| A | ccumulated losses | (259,372) | (1,401) | (260,773) |
Ardent Leisure Group Limited|Interim Financial Report17
Income tax benefit
(a)
Income tax benefit
For personal use only
4. Income tax benefit (continued)
(c) Impact of corporate restructure
Taxation of Trust Income
Under the previous stapled structure, the Trust was a managed investment trust which derived its earnings from passive income, predominantly rent and interest. Under these arrangements, the trustee of the Trust was not liable for payment of income tax provided that its net income, as determined under the Trust Constitution, was fully distributed to its unit holders. As the Trust was treated as a 'flow through' entity for taxation purposes, with its net taxable income being taxed in the hands of its unit holders, it did not recognise any taxation balances in its financial statements.
Following implementation of the corporate restructure, the Trust became a member of a tax consolidated group and, as such its net income is now included in the taxable income of that tax consolidated group. The Group has recognised current and deferred tax balances in its Balance Sheet and an associated tax expense/benefit in its income statement of $13.0 million in respect of the Trust's impact on the taxable income of the tax consolidated group.
Tax base adjustments
For Australian tax purposes, following implementation of the corporate restructure, the Group has a tax consolidated group comprising Ardent Leisure Group Limited, ALL, the Trust and their wholly owned Australian subsidiaries. The application of the tax consolidation provisions required the tax bases of the Trust assets to be reset when the Trust joined the tax consolidated group, resulting in a decrease in deferred tax assets of $7.7 million.
The tax cost base of the ALL assets has not been reset as a result of the capital gains tax rollover that is automatically applied when the ALL shares were exchanged for Company shares.
Property, plant and equipment
| T | heme Parks | (1) (2) (3) | 244,610 | (112,674) | 131,936 | 226,31 | 8 | (112,674) | 113,64 |
|---|---|---|---|---|---|---|---|---|---|
| M | ain Event | | 354,058 | - | 354,058 | 339,91 | 8 | - | 339,91 |
| O | ther | | 1,697 | - | 1,697 | 2,10 | 6 | - | 2,10 |
(1) The book value of Dreamworld and WhiteWater World land and buildings, major rides and attractions and other plant and equipment (including construction work in progress of $24.7 million, intangible assets of $0.5 million (26 June 2018: $0.8 million) and livestock of $0.2 million (26 June 2018: $0.2 million)) is $95.1 million (26 June 2018: $78.5 million). Having regard to independent advice at 25 December 2018 by Jones Lang LaSalle, the Directors have assessed the fair value of land and buildings and major rides and attractions to be $53.6 million. All other plant and equipment are carried at depreciated historic cost of $41.5 million. Refer to additional Theme Parks valuation information below.
(2) The excess land adjacent to Dreamworld has been independently valued by Jones Lang LaSalle at 25 December 2018 at $5.2 million. The Directors have assessed the fair value to be $5.2 million (26 June 2018: $3.6 million).
(3) In an independent valuation performed at 25 December 2018 by Jones Lang LaSalle, the fair value for SkyPoint was assessed to be $32.0 million. The Directors have assessed the fair value of SkyPoint at 25 December 2018 to be $32.0 million.
A reconciliation of the carrying amount of property, plant and equipment at the beginning and end of the current and previous periods is set out below:
| C | arrying amount at the beginning of the period | 455,668 | 636,440 |
|---|---|---|---|
| A | dditions | 37,021 | 112,052 |
| D | isposal relating to the sale of Bowling & Entertainment | - | (127,171) |
| T | ransferred from inventories | 767 | - |
| D | isposals | (148) | (11,033) |
| D | epreciation | (22,154) | (52,519) |
| F | oreign exchange movements | 16,537 | 12,939 |
| R | evaluation decrements | - | (75,753) |
| I | mpairment | - | (39,287) |
Ardent Leisure Group Limited|Interim Financial Report19
5. Property, plant and equipment (continued)
(a) Theme Parks valuation
The tragic incident which occurred on the Thunder River Rapids ride at Dreamworld in October 2016 and subsequent coronial inquiry continues to negatively impact attendance and revenues in the current period, with recovery being slower than expected. In the prior two years, the Group has recognised revaluation decrements to the property, plant and equipment of Dreamworld and WhiteWater World of $167.7 million and a further impairment provision of $1.0 million.
At 25 December 2018, the valuation of Dreamworld and WhiteWater World land, buildings and major rides and attractions has been determined in accordance with AASB 13 Fair Value Measurement, which defines fair value as the price that would be received to sell an asset in an orderly transaction between market participants. This Standard requires that the valuation take account of the benefits attainable under the highest and best use, provided that any alternate uses are physically possible, legally permissible and financially feasible. Under the Standard, uses that are legally permissible take into account any legal restrictions on the use of the asset that market participants would take into account when pricing the asset (e.g. the zoning restrictions applicable to a property).
At 25 December 2018, the Group has obtained independent advice from Jones Lang LaSalle to assist in determining a Directors' valuation of the property. The valuer has considered the work undertaken in the prior year (as set out in the financial report for the year ended 26 June 2018) and reviewed management's updated forecasts in light of the park's performance and market conditions.
The significant unobservable inputs associated with the valuation of the Dreamworld and WhiteWater World valuation are as follows:
| C | apitalisation rate | | 11.50% | 11.50% |
|---|---|---|---|---|
| D | iscount rate | 1 | 4.00% - 14.50% | 14.00% - 14.50% |
| T l | erminal yield | 1 | 1.50% - 12.00% | 11.50% - 12.00% |
| 1 | 0 Year average annual EBITDA ($’000) | | 17,768 | 18,52 |
| a 1 | 0 Year average annual capital expenditure ($’000) | | 7,897 | 8,34 |
In addition, the valuation assumes a gradual recovery of attendances to FY16 (pre-incident) levels over the next eight years, with year one attendances estimated to be approximately 76% of FY16 levels.
The independent valuer has noted the material valuation uncertainty which exists both in terms of market disruption (e.g. liquidity) and availability of inputs (e.g. cash flows, discount rates and capitalisation rates) which could impact the valuation of these assets.
The sensitivity of the fair values of the investment properties and land and buildings in relation to the significant unobservable inputs is set out in the table below:
| F | air value measurement sensitivity to 0.5% increase in rate | | - $2.4 million | | - $2.8 million | | - $1.6 million | N/A |
|---|---|---|---|---|---|---|---|---|
| e F | air value measurement sensitivity to 0.5% decrease in rate | | + $2.6 million | | + $3.0 million | | + $1.7 million | N/A |
| F p a | air value measurement sensitivity to 10.0% increase in | N/A | | N/A | | N/A | | |
| | ssumed attendance levels | | | | | | | |
| | air value measurement sensitivity to 10.0% decrease in | | | | | | | |
When calculating the income capitalisation approach, EBITDA has a strong inter-relationship with the adopted capitalisation rate given the methodology involves assessing the total income receivable from the property and capitalising this in perpetuity to derive a capital value. In theory, an increase in the income and an increase (softening) in the adopted capitalisation rate could potentially offset the impact to the fair value. The same can be said for a decrease in the income and a decrease (tightening) in the adopted capitalisation rate. A directionally opposite change in the income and the adopted capitalisation rate could potentially magnify the impact to the fair value.
There are no other significant inter-relationships between unobservable inputs that materially affect the fair value.
Intangible assets
Detailed impairment testing was performed at 26 June 2018 for goodwill. Refer to Note 12(b) to the financial statements for the year ended 26 June 2018 for further details of the key assumptions used in this testing and sensitivity analysis for each of the business segments.
Construction in progress
Construction in progress inventories relate to Main Event Centres being constructed by the Group but contractually held for resale under an agreement that the Group has entered into with a third party. Once the Group has satisfied the requirements of the agreement and acceptance of the centre by the third party has occurred, the risks and rewards pass to the third party and a sale is recorded. The costs funded by the third party during the course of construction are recorded as a current liability, construction in progress deposits, and upon acceptance of the centre by the third party, this liability and related construction in progress inventories are settled. Any net realisable value adjustment is recorded in the Income Statement as a gain/loss on sale of the construction in progress inventories.
At 25 December 2018, the Group had agreements for construction of two Main Event Centres. These agreements set out agreed construction timetables, estimated costs and other key terms, including the right of the third party to exercise a put option and recover deposits advanced to the Group should construction not be completed within agreed timeframes. At 25 December 2018, construction on these two centres was completed.
Ardent Leisure Group Limited|Interim Financial Report21
7. Construction in progress (continued)
A reconciliation of the carrying amount of the construction in progress inventories at the beginning and end of the current period is set out below:
| n C | onstruction in progress inventories | | |
|---|---|---|---|
| C | arrying amount at the beginning of the period | 24,239 | 56,756 |
| o A | dditions | 8,494 | 11,352 |
| D | isposals | (13,510) | (44,568) |
| F | oreign exchange movements | 1,261 | 699 |
A reconciliation of the carrying amount of the construction in progress deposits liability at the beginning and end of the current period is set out below:
| C | onstruction in progress deposits | | |
|---|---|---|---|
| C | arrying amount at the beginning of the period | 22,397 | 50,050 |
| l D | eposits received | 6,358 | 16,251 |
| a S | ettlements of deposits received | (13,510) | (44,568) |
| F | oreign exchange movements | 1,084 | 664 |
Derivative financial instruments
Forward foreign exchange contracts
The Group has entered into forward foreign exchange contracts to buy US dollars and sell Australian dollars. These contracts total A$0.8 million (26 June 2018: A$0.4 million).
The forward contracts do not qualify for hedge accounting and accordingly, changes in fair value of these contracts are recorded in the Income Statement. Notwithstanding the accounting outcome, the Group considers that these derivative contracts are appropriate and effective in offsetting the economic foreign exchange exposures of the Group.
For personal use only
8. Derivative financial instruments (continued)
(b) Interest rate swaps
The Group has entered into interest rate swap agreements totalling A$8.0 million (26 June 2018: $8.0 million) and US$48.0 million (A$64.7 million) (26 June 2018: US$48.0 million (A$64.7 million)) that entitle it to receive interest, at quarterly intervals, at a floating rate on a notional principal and oblige it to pay interest at a fixed rate. The interest rate swap agreements allow the Group to raise long term borrowings at a floating rate and effectively swap them into a fixed rate.
The interest rate swap agreements do not qualify for hedge accounting. Accordingly, changes in fair value of these swaps are recorded in the Income Statement. Notwithstanding the accounting outcome, the Group considers that these derivative contracts are appropriate and effective in offsetting the economic interest rate exposures of the Group.
Dividends and distributions paid and payable
The following dividends and distributions were paid and payable by the Group to share/security holders:
Dividend
Distribution
(1) No dividend has been paid or declared for the period ended 25 December 2018.
(2) The distribution of 2.00 cents per security for the period ended 26 December 2017 was not declared prior to 26 December 2017.
(Losses)/earnings per share/security
Ardent Leisure Group Limited|Interim Financial Report23
Contributed equity
| | 469,153,284 | S | ecurities on issue | 3 | 0 Jun 2017 | | | | 662,450 |
|---|---|---|---|---|---|---|---|---|---|
| l | 1,510,100 | D | RP issue | 1 | Jul 2017 | (a | ) | | 2,987 |
| n | 681,149 | E | quity-based payments - securities issued | 1 | Jul 2017 | (b | ) | | 1,313 |
| | - | Is | sue costs paid | | | | | | (19) |
| | 471,344,533 | S | ecurities on issue | 2 | 6 Jun 2018 | | | 666,731 | 666,731 |
| o | 8,361,483 | D | RP issue | 1 | Jul 2018 | (a | ) | 16,332 | |
| | - | E | quity-based payments - securities issued | 1 | Jul 2018 | (b | ) | - | |
| | - | I | mpact of corporate restructure | 2 | 4 Dec 2018 | (c | ) | 94,091 | |
| | - | Is | sue costs paid | | | | | (30) | |
Dividend/Distribution Reinvestment Plan (DRP) issues
The Group has established a DRP under which shareholders may elect to have all or part of their dividend entitlements satisfied by the issue of new shares rather than being paid in cash. The discount available on shares issued under the DRP is 2.0% on the market price.
(b)
Equity-based payments
The Group has Deferred Short Term Incentive Plan (DSTI) and Long Term Incentive Plan (LTIP) remuneration arrangements under which performance rights are issued to certain management and other personnel within the Group as part of their remuneration arrangements. These performance rights are subject to vesting conditions as set out in the 26 June 2018 annual report. Upon vesting, the Group issues shares to these personnel.
Impact of corporate restructure
Refer to Note 12.
For personal use only
Reserves
The asset revaluation reserve is used to record increments and decrements on the revaluation of property, plant and equipment.
The cash flow hedge reserve is used to record gains or losses on a hedging instrument in a cash flow hedge that are recognised directly in equity.
Exchange differences arising on the translation of foreign controlled entities are taken to the foreign currency translation reserve. In addition, on consolidation, exchange differences on loans denominated in foreign currencies are taken directly to the foreign currency translation reserve where the loan is considered part of the net investment in that foreign operation.
The security-based payment reserve is used to recognise the fair value of performance rights issued to employees but not yet exercised under the Group's DSTI and LTIP.
Under the corporate restructure Ardent Leisure Group Limited shares were issued to securityholders in return for their stapled securities. Ardent Leisure Group Limited share capital was measured at fair value on the date of the transaction, being the market capitalisation of the Ardent Leisure Stapled Group on the date of implementation ($777.1 million). The difference between the contributed equity of Ardent Leisure Group Limited and the pre-restructure contributed equity of the Ardent Leisure Stapled Group at the date of the transaction was recognised as a corporate restructure reserve.
Ardent Leisure Group Limited|Interim Financial Report25
Accumulated losses
| O l | pening balance | | (206,962) | (102,205) |
|---|---|---|---|---|
| L | oss for the half year | | (21,815) | (15,644) |
| n A | vailable for distribution | | (228,777) | (117,849) |
| I | mpact of change in accounting standard | 3 | (1,401) | - |
| o D | istributions received from treasury shares | | 42 | 8 |
| D | istributions paid and payable | | (30,637) | (4,691) |
Interest bearing liabilities
The term debt is secured by mortgages over all freehold property, registered security interests over all present and after acquired property of key Group companies, and pledged interests over all US property.
The terms of the debt also impose certain covenants on the Group as follows:
- Debt serviceability ratio, being the ratio of debt to EBITDA adjusted for unrealised and one-off items (adjusted EBITDA);
- Fixed charge cover ratio, being the ratio of adjusted EBITDA to fixed rent and interest charges; and
- Capital expenditure.
Term debt has been classified as current liabilities due to this having a maturity date of 10 August 2019 as at the reporting date. As disclosed in Note 21, in February 2019 the Group obtained lender consent to extend the maturity of this debt to 28 February 2020 pending finalisation of US debt refinancing.
For personal use only
14. Interest bearing liabilities (continued)
Credit facilities
As at 25 December 2018, the Group had unrestricted access to the following credit facilities:
The Group has access to A$43.0 million syndicated facilities which will mature on 10 August 2019, and US$49.1 million (A$69.5 million) syndicated facilities which will mature on 10 August 2019. The reduction in the capacity of the available facilities from 26 June 2018 of A$23.7 million and US$27.1 million (A$33.2 million) was agreed to as part of obtaining lender consent for the corporate restructure.
All of the facilities have a variable interest rate. As detailed in Note 8, the interest rates on the loans are partially fixed using interest rate swaps. The weighted average interest rates payable on the loans at 25 December 2018, including the impact of the interest rate swaps, is 4.20% per annum for AUD denominated debt (26 June 2018: 4.64% per annum) and 3.15% per annum for USD denominated debt (26 June 2018: 2.07% per annum).
Net tangible assets
Ardent Leisure Group Limited|Interim Financial Report27
Discontinued operations
(a) Overview
In the prior year, the Group completed the sale of the Bowling & Entertainment business on 30 April 2018, for a sale price of $160.0 million, resulting in a gain in the period of $20.3 million net of selling costs. The Bowling & Entertainment business, previously a reportable segment, comprised 43 bowling centres and seven amusement arcades located in Australia and one bowling centre located in New Zealand.
In the prior year, the Group also completed the sale of the Marinas business on 14 August 2017, for a sale price of $126.0 million, resulting in a gain in the period of $4.7 million net of selling costs. The Marinas business, previously a reportable segment, comprised seven marinas across New South Wales and Victoria.
(b)
Financial performance
The financial performance for the half year ended 25 December 2018 was as follows:
(c)
Cash flow information
The cash flows for the period ended 25 December 2018 were as follows:
| r | | | |
|---|---|---|---|
| N | et cash inflow from operating activities | - | 15,061 |
| e N | et cash (outflow)/inflow from investing activities | (284) | 103,555 |
| N | et cash inflow from financing activities | - | 6,385 |
The net cash inflow from investing activities for the Consolidated Group in the period to 26 December 2017 included an inflow, net of selling costs, of $123.1 million from the disposal of the Marinas business.
For personal use only
16. Discontinued operations (continued)
(d) Details of the sale of the Marinas business
Gain on sale
Carrying value of assets on sale
The carrying amounts of assets and liabilities as at the 14 August 2017 date of sale were:
14 August 2017
$'000
Fair value measurement of financial instruments
(a) Fair value hierarchy
AASB 13 Fair Value Measurement requires disclosure of fair value measurements by level of the following fair value measurement hierarchy:
(a) Quoted prices (unadjusted) in active markets for identical assets or liabilities (level 1);
(b) Inputs other than quoted prices included within level 1 that are observable for the asset or liability, either directly or indirectly (level 2); and
(c) Inputs for the asset or liability that are not based on observable market data (unobservable inputs) (level 3).
Ardent Leisure Group Limited|Interim Financial Report29
17. Fair value measurement of financial instruments (continued)
(a) Fair value hierarchy (continued)
The following table provides the fair value measurement hierarchy of the Group's financial assets and financial liabilities on a recurring basis:
The Group's policy is to recognise transfers into and transfers out of fair value hierarchy levels at the end of the reporting period. The Group did not measure any financial assets or financial liabilities at fair value on a non-recurring basis as at 25 December 2018.
(b)
Valuation techniques used to derive level 2 and level 3 fair values
The fair value of financial instruments that are not traded in an active market (e.g. over–the–counter derivatives) is determined using valuation techniques. These valuation techniques maximise the use of observable market data where it is available and rely as little as possible on entity specific estimates. If all significant inputs required to fair value an instrument are observable, the instrument is included in level 2. If one or more of the significant inputs is not based on observable market data, the instrument is included in level 3.
Specific valuation techniques used to value financial instruments include:
- The use of quoted market prices or dealer quotes for similar instruments;
- The fair value of interest rate swaps is calculated as the present value of the estimated future cash flows based on observable yield curves; and
- The fair value of forward foreign exchange contracts is determined using forward exchange rates at the balance date.
All of the resulting fair value estimates are included in level 2 except for an investment in an unlisted entity which is included in level 3.
(c)
Fair value measurements using significant unobservable inputs
The following table presents the changes in level 3 instruments for the half year ended 25 December 2018:
| O | pening balance | 2,811 | 3,201 |
|---|---|---|---|
| F I | mpairment | - | (390) |
For personal use only
Related party disclosures
There were no new material related party transactions in the half year to 25 December 2018. The financial report for the year ended 26 June 2018 provides further details on the nature of previous related party transactions.
Contingent liabilities
On 25 October 2016, an incident occurred on the Thunder River Rapids ride at Dreamworld resulting in four fatalities at the Theme Park. The incident has been investigated by the Queensland Police Service and Workplace Health and Safety Queensland (WHSQ). A coronial inquest took place over several hearings throughout 2018 and has now concluded. The coroner's findings and recommendations are expected to be handed down later in 2019.
Ardent Leisure Limited, as operator of Dreamworld, expects to be subjected to prosecution action by WHSQ, however formal proceedings have not been instigated against Ardent Leisure Limited as at the date of release of these accounts. Until such time as proceedings are commenced, it is too premature to provide any meaningful or reliable estimate of the quantum or timing of potential pecuniary penalties. A number of civil claims by families and other affected persons have been made against Ardent Leisure Limited and are being dealt with by the company's liability insurer. Ardent Leisure Limited maintains appropriate insurances to respond to all such litigation and regulatory action and associated costs.
Unless otherwise disclosed in the financial statements, the Group has no other material contingent liabilities.
Summary of significant accounting policies
New accounting standards, amendments and interpretations
Certain new standards, amendments and interpretations to existing standards have been published that are mandatory for the Group for accounting periods beginning on or after 1 January 2019 but which the Group has not yet adopted. The Group's assessment of the impact of those new standards, amendments and interpretations which may have an impact is set out below:
AASB 16 Leases (effective from 1 January 2019)
The Australian Accounting Standards Board (AASB) has issued a new Standard for leases which applies to accounting periods commencing on or after 1 January 2019. Given the number of properties the Group leases under operating leases, it is expected that the impact of this Standard will be significant. Specifically, new assets will be recognised (the right to use the leased asset) as well as new liabilities, being the liability to pay rentals. The consolidated Statement of Comprehensive Income will also be affected. The Group is in the process of conducting a detailed assessment of the new Standard which will be first applied in the annual reporting period ending June 2020.
Early adoption of standards
The Group has not elected to apply any pronouncements before their operative date.
Events occurring after reporting date
In February 2019, the Group obtained lender consent to extend the maturity of its current syndicated debt facilities to 28 February 2020 while the Company is in the process of finalising its US debt refinancing.
Since the end of the financial period, the Directors of the Company are not aware of any other matter or circumstance not otherwise dealt with in the financial report or the Directors' report that has significantly affected or may significantly affect the operations of the Group, the results of those operations or the state of affairs of the Group in financial periods subsequent to the half year ended 25 December 2018.
Ardent Leisure Group Limited|Interim Financial Report31
Ernst & Young 200 George Street Sydney NSW 2000 Australia GPO Box 2646 Sydney NSW 2001
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Independent Auditor's Review Report to the Shareholders of Ardent Leisure Group Limited
Report on the Half-Year Financial Report
Conclusion
We have reviewed the accompanying half-year financial report of Ardent Leisure Group Limited (the Company) and its subsidiaries (collectively the Group), which comprises the condensed statement of financial position as at 25 December 2018, the income statement, statement of comprehensive income, statement of changes in equity and statement of cash flows for the half-year ended on that date, notes comprising a summary of significant accounting policies and other explanatory information, and the directors' declaration.
Based on our review, which is not an audit, nothing has come to our attention that causes us to believe that the half-year financial report of the Group is not in accordance with the Corporations Act 2001, including:
a) giving a true and fair view of the consolidated financial position of the Group as at [period date] and of its consolidated financial performance for the half-year ended on that date; and
b) complying with Accounting Standard AASB 134 Interim Financial Reporting and the Corporations Regulations 2001.
Directors' Responsibility for the Half-Year Financial Report
The directors of the Company are responsible for the preparation of the half-year financial report that gives a true and fair view in accordance with Australian Accounting Standards and the Corporations Act 2001 and for such internal control as the directors determine is necessary to enable the preparation of the half-year financial report that is free from material misstatement, whether due to fraud or error.
Auditor's Responsibility
Our responsibility is to express a conclusion on the half-year financial report based on our review. We conducted our review in accordance with Auditing Standard on Review Engagements ASRE 2410 Review of a Financial Report Performed by the Independent Auditor of the Entity, in order to state whether, on the basis of the procedures described, anything has come to our attention that causes us to believe that the half-year financial report is not in accordance with the Corporations Act 2001 including: giving a true and fair view of the Group's consolidated financial position as at 25 December 2018 and its consolidated financial performance for the half-year ended on that date; and complying with Accounting Standard AASB 134 Interim Financial Reporting and the Corporations Regulations 2001. As the auditor of the Group, ASRE 2410 requires that we comply with the ethical requirements relevant to the audit of the annual financial report.
A review of a half-year financial report consists of making enquiries, primarily of persons responsible for financial and accounting matters, and applying analytical and other review procedures. A review is substantially less in scope than an audit conducted in accordance with Australian Auditing Standards and consequently does not enable us to obtain assurance that we would become aware of all significant matters that might be identified in an audit. Accordingly, we do not express an audit opinion.
Independence
In conducting our review, we have complied with the independence requirements of the Corporations Act 2001.
Ernst & Young
John Robinson Partner Sydney 21 February 2019
|
Redesigning Schooling - 2
What kind of teaching for what kind of learning?
Guy Claxton and Bill Lucas September 2013
Authors
Guy Claxton has been co-director of the Centre for Real-World Learning and professor of the learning sciences at the University of Winchester since 2008. He has a double first from Cambridge and a DPhil from Oxford, and is a fellow of the British Psychological Society and the Royal Society of Arts. Guy is also an academician of the Academy of the Social Sciences.
Professor Bill Lucas is director of the Centre for Real-World Learning at the University of Winchester and a former school leader. Bill advises organisations across the world including ACER, GEMS Education, City & Guilds and the Health Foundation. As founding CEO of the Campaign for Learning, he helped to create Family Learning Week and set up the first research project exploring learning-to-learn approaches in schools and colleges in the UK.
Guy and Bill are co-founders of The Expansive Education Network. Both are prolific authors. Their latest book Expansive Education: Teaching learners for the real world, was released earlier this year. Bill is also the author of the forthcoming SSAT title Redesigning Schooling – 6: Why parents and families really matter.
Editor
Peter Chambers
SSAT's purpose
SSAT believes that teachers make students' lives. As the world gets more complex, that vital role becomes ever more demanding. As the hub of the largest, longest-standing network of education professionals in England, SSAT exists to help teachers perform their job even better, more confidently and more professionally than before.
This publication
Audience: Education professionals at all stages and settings
Aims: Professors Guy Claxton and Bill Lucas address the fundamental questions: what are the desired outcomes of learning for each individual school? What kinds of teaching and learning will deliver those outcomes? And what kind of leadership will create those kinds of teaching and learning? In providing a structure and stimulus for answering these questions, the authors clearly explain and integrate much relevant work by international thinkers and leaders in education. Their analysis explains many of the ways in which our education system needs to change. It examines alternative approaches and gives guidance on how school leaders can integrate them into successful pedagogic leadership.
© SSAT (The Schools Network) Ltd, 2013
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A private company limited by shares. Registered in England and Wales. Company no. 8073410. Printed by Quddos. ISBN 978-1-906524-92-0
Introduction
Contents
Introduction
Schools are in urgent need of redesigning. While some are giving their students a genuinely fitting start to life in the 21st century, many are not. We have not yet achieved the critical mass of thinking and practice that will change the system as a whole.
The people who will be doing the requisite thinking, and exploring the necessary and effective shifts in practice, are headteachers and their staffs. Politicians are not in a good position to do this, because their time horizon is based on the five-yearly election cycle. Genuine radical change is certainly too slow and too complicated to be reduced to sound bites and election winners. Even academic educationalists, sadly, won't do it either, because they do not have the requisite sense of urgency. Their bent is mostly to be cautious, balanced, analytical, argumentative and reactive, rather than committed, imaginative and practical. With a few exceptions, they will not take the lead.
SSAT's Redesigning Schooling initiative is therefore absolutely crucial, focusing as it does on inspiring, enthusing and encouraging school leaders, up and down the country, to seize the change agenda and be bold and thoughtful in exploring new directions. Headteachers know
schools well, they know children well, and they have both the understanding and the staying power to see through innovations that will genuinely take root and make the requisite difference.
This paper has been hugely informed by conversations we had with school leaders at events co-ordinated by SSAT in London and Manchester during 2013. We hope it will distil what we have heard into a rallying cry for many others. 1
The Redesigning Schooling initiative is crucial, focusing as it does on inspiring, enthusing and encouraging school leaders to seize the change agenda and be bold and thoughtful in exploring new directions.
Our discussion is structured around four fundamental questions, which sit at the heart of the redesigning schooling process. Every headteacher needs to consider:
1. What are, for your school, the desired outcomes of education (DOEs)?
2. What kinds of learning, in your school, with your students, will deliver your DOEs?
3. What kinds of teaching will lead to the kind of learning that is needed?
4. What kind of leadership is required to create the kinds of teaching and learning which are desired, and so ensure that students leave your school with your DOEs?
The first of these four interlinked questions is obviously of central importance. Every school needs to have a clear, precise specification of the knowledge, abilities, attitudes and values which it wants all its young people – especially those who are not going to be 'winners' at the examination game – to have acquired by the time they leave.
You cannot move on to the second until you have answered it carefully. Different kinds of learning processes are needed to deliver different kinds of outcome. The practical understanding of Ohm's Law needed by an electrician is different from the decontextualised, paper- or screenbased performances required by an A-level physics paper, for example. More fundamentally, the learning that develops a deep disposition to be curious, say, is different from the learning that results in a passive, compliant attitude towards knowledge.
Teaching is a way of engaging different kinds of learning processes in learners' minds, so you can't say what kind of teaching your teachers need to do, to deliver your DOEs, until you have responded to the second question.
Whether you create a studio environment, or sit students around a Harkness table, or set up role-play situations, isn't a matter of some nebulous idea of 'good teaching'. It depends on stimulating and engaging the kinds of learning that will deliver the outcomes you said you valued. This third question is complex because its answers are also dependent on a combination of research, experience and personality, as well as on a range of assumptions and beliefs about the teaching process.
Only when you have some clarity about the first three questions can you begin to prioritise the leadership strategies that will cultivate the necessary kinds of teaching. If you decide that you want students to play a greater role in designing and monitoring their own education (because you have decided you want to build qualities of independence and self-evaluation, say), you may have to organise CPD in the school so that teachers become more confident in sharing increasing amounts of control with their students. (The evidence that orchestrating the nature of professional learning is one of the most important roles for school leaders has been widely promulgated by Dylan Wiliam). 2
Chapter 1
Teaching and learning to what end?
Let's unpick these four questions a little more, starting with the first. Any design process starts from clarity about purpose and function. Whether it be a new computer game, a folding bicycle, or a 21st century school, you cannot know whether your design is any good unless you have a specific idea of what 'good' would look like. What drives design are the questions: what is it meant to do? For whom? All other decisions – What shall we make it of? How expensive is it going to be to make? What colours shall we paint it? And so on – are linked back to and motivated by that fundamental sense of purpose.
So 'redesigning education' has to begin with careful thinking about our old friends vision and values. Specifically, what is the fundamental purpose of compulsory education? What is it that we think all young people need to know, believe, value and be able to do, if they are going to flourish in the complicated and turbulent world of the 21st century? What is it that we can't be sure they would acquire if schools were not there to provide it? Once we have some clarity about the desired outcomes of education we can start to think about how best – most efficiently, economically, reliably and enjoyably, say – to produce them; but not until.
Current thinking about educational reform hardly ever does that. It starts with what we have and tinkers with it, rather than going back to the drawing board. That's why so much so-called reform just sails round in circles. You only have to compare the complaints about education, and the nature of the ensuing debate, from the 1850s with those of today to see that. It was in 1856 that educational reformer Joseph Payne bemoaned excessive testing in his memorable observation:
'Continually pulling up the plants to see the condition of the roots, the consequence of which is that all natural growth is stopped... Making quantity, not quality [of learning] the test of your results, you shall fail in securing either quantity or quality.' 3
Today's political debates are depressingly similar. They are obsessed with literacy and numeracy, with examination results and university entrance, and (a new obsession this) with our nation's position in international league tables of educational performance, as measured by standardised tests. Nothing wrong with those as far as they go – but is that really the gamut of desirable outcomes of education, in and for the 21st century?
Notable examples of national educational redesign
Not for many countries round the world, it isn't. Look at the redesigning that is going on in Singapore, New Zealand, Australia and Ireland, for example. You will find that the DOEs are being couched not in terms of examination results and places at posh universities (with small corners at the bottom of the screen for impressive performances by the 1st XV and the school orchestra). Instead they are couched in terms of the personal qualities that the school system explicitly, deliberately, aims to inculcate.
Singapore's DOEs, for example, include the production of every young Singaporean as
* a confident person who is adaptable and resilient, knows himself, thinks independently and critically, and communicates effectively;
* a self-directed learner who takes responsibility for his own learning, who questions, reflects and perseveres in the pursuit of learning;
* an active contributor who is able to work effectively in teams, exercises initiative, takes calculated risks, is innovative and strives for excellence. 4
These countries – and dozens like them – are also explicitly acknowledging that society has changed, and that the skills and interests of young people have also changed. This means that the aims and designs of schooling have to change too. The new national curriculum in Australia, for instance, states:
'Education must anticipate the conditions in which young Australians will need to function when they complete their schooling… [and] needs to acknowledge the changing ways in which young people will learn.' 5
In all these countries, people are trying to do the hard work of thinking through the implications of these shifts in influences and aspirations for the design of schooling. In this country, we hear not a squeak on such matters from the Secretary of State for Education, just a repetition of tired and groundless assertion about 'rigour', 'standards' and ever 'higher expectations'. 6 In England, more than elsewhere, it is people who work in schools, and run them, who are not only best placed to do this heavy thinking, but the only people who seem inclined to do it. If we are going to make progress with redesigning schooling, we have to cut through the lazy rhetoric. There is no such thing as 'best practice'
in teaching, or a 'world-class' school. Those aspirational epithets are meaningless until you say what the desired outcomes are. Best practice – for what? World class – at what? We must keep remembering those DOEs, and reminding ourselves that, for most of us, they include attitudes and values as well as knowledge and skills. Otherwise, we risk continually falling back into the familiar, unwitting preoccupation with test scores, and with training only the limited abilities to discuss and manipulate knowledge on which those scores depend. And we will then be back chasing our tails, trying to squeeze marginal improvements out of a system that was designed for the 19th rather than the 21st century.
Education as a moral project
Schools are moral enterprises. Their cultures and practices are saturated with value judgements about what is worth learning and knowing (e.g. cerebral vs manual), how best to display your knowledge (e.g. through the written word vs through acting), who has a right to question or adapt knowledge (e.g. students vs not students), the valid hallmarks of intelligence (e.g. knowledge retrieval vs practical expertise), and so on. 7 In redesigning schooling, we cannot afford to be squeamish about these moral bedrocks of school. We cannot opt out, and magic them away with weaselly words like 'standards', 'rigour' and 'high expectations'. Standards – of what? Rigorous – at what? Expectations – about what? Redesigning schooling is not principally a technical matter; it is first and foremost a moral one. Our only choice is to face it or fudge it – and pioneering schools and nations are the ones with the integrity and courage to face it.
As noted, there is a remarkable degree of overlap in the qualities of mind that these countries have singled out as the ones of greatest value for citizens of the 21st century – and therefore the ones they have to figure out how best to cultivate. Some of them are shown in figure 1 below, with their implied antitheses in brackets.
Figure 1: Commonly desired outcomes of education
Prosocial
Epistemic
* Kind (not callous)
* Generous (not greedy)
* Forgiving (not vindictive)
* Tolerant (not bigoted)
* Trustworthy (not deceitful)
* Morally brave (not apathetic)
* Convivial (not egotistical)
* Inquisitive (not passive)
* Resilient (not easily defeated)
* Imaginative (not literal)
* Craftsmanlike (not slapdash)
* Sceptical (not credulous)
* Collaborative (not selfish)
* Thoughtful (not impulsive)
* Ecological (not rapacious)
* Practical (not only 'academic')
The DOEs are broadly of two kinds, which we have called 'prosocial' and 'epistemic'. The prosocial ones are to do with cultivating the attitudes of a good friend, a good neighbour or a good citizen. The epistemic ones are to do with the qualities of mind of the powerful learner: a person who is able to meet difficulty and uncertainty with confidence, capability and enthusiasm. The major challenge for the 21st century school is how to design itself so that it functions, day-in, day-out, as an effective incubator of its chosen virtues. It is all too easy to pack the prospectus or the home page of the school website with fine words, but they famously butter no parsnips. Merely knowing what makes a good friend or a brave learner is no guarantee at all that the knowledge will automatically seep into the daily habits of the school members – students, teachers and other staff. Understanding what it
takes to design a school so that the espoused values do gradually become enacted values: that takes thought, solidarity and determination.
Expansive education across the world
Of course there are a great many variants of figure 1 around, some arising from research in the social and educational sciences. For example, you can find differing versions in Art Costa's 'habits of mind', 8 David Perkins and Ron Ritchhart's 'thinking dispositions', 9 the OECD's 'key competencies', 10 and Guy Claxton and colleagues' 'learning habits'. 11 Each of these initiatives has shown how small shifts in classroom procedures can contribute to both raising attainment and developing successful learners. These are the kinds of evidence-based approaches that school leaders choose, because they wish their students to get good grades as well as developing desired prosocial and epistemic qualities. The expression 'expansive education' collectively describes these and other cognate enterprises. 12 Evidence from across the world shows how schools are implementing such ideas. 13 Examples in our book Expansive education: teaching learners for the real world range from primary schools in the Isle of Man, southern Poland, rural Finland and inner-city Auckland, through Spanish-English bilingual schools in Argentina, to apparently traditional independent schools such as Eton College and Gordonstoun in the UK, Newington and Toorak colleges in Australia, as well as state-run further education colleges in several countries.
In redesigning schooling the important thing seems to be, not deciding which list of DOEs to take off the shelf, but turning these templates into a version that has traction and gets buy-in at an individual school. Whatever the list, it needs to be accessible and appealing to those people who will be working with it: teachers, students, parents and the wider world.
Cultures of and for learning
A school signals its values through different aspects of its culture. There are the visible, public espousals of these values through brochures, websites, speeches, newsletters and other publications. But values are also carried through the kinds of reports that are written about students, and through the honours boards and other ostensible definitions of 'success' such as trophies, photos of noteworthy achievements and displays of students' work.
Most importantly, values are conveyed moment-by-moment by teachers in classrooms. They come out through teachers' running commentary on students' struggles, achievements and behaviour; through the kinds of activities they create; through the way they lay out the furniture in their room, or configure group work; and through the kind of language they use and the example they set. 14
Values are conveyed moment-by-moment by teachers in classrooms – through their running commentary; the kinds of activities they create; the way they lay out the furniture or configure group work; the kind of language they use and the example they set.
For example: do teachers welcome correction from students when they make a mistake, or do they get defensive and indignant? Do they show interest and appreciation when a student asks a difficult question to which the teacher does not have a ready answer, or do they ignore or disparage such 'audacity'? Do they speak in a way that invites critical engagement by students, or does a declamatory tone convey the message 'I am telling you the truth, and your only job is to understand and remember correctly'?
Many people are now arguing that it is the fine detail of teaching that encourages the expression and development of certain habits of mind, and discourages others. The redesigning of schooling has to pay critical attention to pedagogy. Answers to the first of our four questions lead inexorably into discussions on the nature of teaching and learning. This is the ground from which a genuinely 21st century education will ultimately emerge.
Restrictive practices in England today
Since the coalition government took office in the UK in 2010, there have been visible changes to the kinds of schools that make up our system. Some of these were set in train by the previous government – university technical colleges (UTC) and studio schools, for example; others are more recent coinages such as primary academies and free schools. The political rhetoric around these changes signifies greater autonomy for schools and, ostensibly, less centralised regulation.
The perceived reality expressed to us at the SSAT events and in our many visits to schools is different, however. School leaders frequently express degrees of fearfulness about the negative impact that Ofsted judgements, for example, can have on their genuine attempts to take risks in the interest of improving learning. For example the EBacc, as originally conceived by Secretary of State for Education Michael Gove in 2012, has been withdrawn. But many school leaders tell us that recent changes to the ways GCSE scores will be used in league tables is likely to have the same effect – restricting student choice to favoured academic pathways. Government protestations that schools retain considerable discretion, and that 'brave heads' will continue to make full use of them, seem disingenuous in the face of these high-stakes performance indicators. The increased emphasis on end of course 'paper and pencil' examinations seems perverse in the context of the many current attempts to match the method of testing more closely to the real world utility of what has been learned at school.
Apart from the laudable endeavours of some UTCs, there has been little attempt to think seriously about the 50% or so of secondary students for whom the diploma and many vocational qualifications had been and are currently designed. The so-called 'TechBaccs' under current discussion could merely be a wrapper of existing qualifications, not an indication of any more thoughtful redesign. However, both City & Guilds with its TechBac ® and ASDAN with its Modern Baccalaureate are developing interesting attempts to create a genuinely alternative learning and assessment route.
At primary level there have been some sensible changes of heart with regard to the content of English, geography, computing, and design and technology. But the new tests at the end of key stage 2 will rank a cohort of pupils in 10 bands, each containing 10% of the cohort's pupils. Parents will receive a letter from the government telling them exactly where their children are placed in this national ranking of maths learners, for example. It is not difficult to imagine how demotivating that may be for the students who will be at the bottom end of this new league table, just as they progress to their secondary school. At the heart of the government's thinking there seem to be three dubious tenets:
1. Changing organisational structures will, of itself, lead to changed teacher behaviours.
2. Tinkering with assessment procedures will produce more valid gradings and better 21st century learners.
3. Introducing more stringent high-stakes performance indicators for schools will not (or 'should not') lead schools to narrow their curricula and 'teach to the test'.
If the vision laid out in the first part of this paper is to be realised, it will be despite rather than because of such government structures.
Some principles of school redesign
At the SSAT events at which we and school colleagues tried to think our way through these issues, we agreed a number of principles to guide us in our joint work. These principles were designed to combine moral judgements about the purposes of education with evidence from research. The following eight suggested principles represent the results of these discussions with school leaders.
Eight principles of school redesign
1. The role of schools, leaders, teachers and parents is, above all, to equip learners with the dispositions they need to thrive throughout their lives in an uncertain world. One of these specific capabilities, vital for only a short period of their lives, is the ability to achieve success in examination systems.
2. Learning is learnable. It improves when learners have a clear set of metacognitive strategies which they are able to use confidently in a range of contexts, as well as a language to describe their learning experiences.
3. What learners believe about themselves matters a good deal, and a 'growth mindset' is both a powerful motivator and a predictor of success.
4. When teachers actively continue their own learning and model this in their classrooms, learners achieve more.
5. Learning works well when it builds on pupils' prior experiences and is (in some sense) 'authentic'.
6. Learners do best when they have clear and stretching goals and learn in an environment rich with formative feedback, with many opportunities for reflection; the best learning is driven by highly engaging questions.
7. Learning requires opportunities to develop emotionally and intellectually, socially and individually.
8. All learners need a diet of both practical and academic experiences, within and beyond the formal curriculum.
These eight principles take us into our second question.
Chapter 2
What kinds of learning do you need in your school to deliver your desired outcomes of education?
Our answer to this question is two-fold.
First, school leaders might want to strengthen the kinds of learning which lead to young people who possess certain agreed DOEs. For example, they might develop some of the following characteristics:
kind, generous, forgiving, tolerant, trustworthy, morally brave, convivial, ecological, inquisitive, resilient, imaginative, craftsmanlike, sceptical, collaborative, thoughtful and practical.
These are the kinds of valued dispositions (combining the prosocial and epistemic from figure 1) which emerge from expansive education.
Secondly, school leaders might decide they want learning which is grounded in some version of the eight principles.
Let's explore a couple of these candidate valued dispositions, and some of the eight principles, in a little more detail.
Learning that cultivates prosocial and epistemic dispositions
Exactly how schools grow their learners so that they emerge with the desired DOEs is not a precise science. But it is certainly possible to make some general observations. In terms of the prosocial outcomes, while the teaching which takes place in classrooms is very much part of the story, the main focus will be on the kind of moral environment the school creates. Key to this moral milieu will be the behaviour of the headteacher and his or her senior staff, and likewise the way in which form tutors or class teachers go about their pastoral roles.
You might get some hints as to the nature of the prosocial milieu by the way kindness, generosity and forgiveness are manifest in the school, as all three are kinds of giving. What structures are there to ensure that students look after each other? Does the school have a garden or animals that students care for? Does the school genuinely reach out to show kindness within its community, perhaps to a local care home, for example? Are acts of kindness or generosity noticed and celebrated? Perhaps there are awards for children who, on a weekly basis, demonstrate these virtues.
A similar series of observations would relate to the remaining citizenship outcomes. There will also be generically useful approaches such as residential education, mentoring schemes, volunteering, adopting charities, well-run pupil councils, summer schools, parental engagement, collaboration with local business and so forth. All of these can contribute to the moral environment in which prosocial behaviours are likely to flourish.
A powerful contributor to the development of prosocial values is not so much what is on the curriculum but what is implied by the way a school is organised. Most teachers are familiar with the concept of the 'hidden curriculum' 15 – the messages and meanings that students pick up from any school in addition to the formal curriculum of classroom life and the informal curriculum of play or social time. So, for example, if lunchtime supervisors speak to pupils in a kind but firm way as opposed to shouting at them in abrasive and judgemental mode, the messages pupils pick up will be very different. This is the hidden curriculum at work.
The hidden curriculum…(includes) lunchtime supervisors speaking to pupils in a kind but firm way, as opposed to shouting at them in abrasive and judgemental mode.
The epistemic outcomes of education are important for two reasons.
Firstly the less familiar concepts need careful thought if they are to be cultivated effectively, for we are dealing with a complex process of 'epistemic apprenticeship', 16 the development of a learner's identity as they engage with the core activities of learning to think and learning to learn. At the end of 15 years of education students could emerge either as inquisitive and resilient, or passive and easily defeated, for example. The eight epistemic outcomes in figure 1 tend to be seen, by a range of authors, as the core habits of mind of a great learner. Epistemic apprenticeship is a core concept in learning how to learn, just as the hidden curriculum holds powerful sway on the way young people come to see the world as citizens.
Secondly, the epistemic element of schooling often gets overlooked in any system redesign because it is less immediately tangible than, say, changing the curriculum structure or the assessment regime, things much tinkered with by government. This is, perhaps, why the CBI recently chose to make a well-considered contribution to this debate, in its report First Steps: a new approach to our schools. 17 One of its main recommendations was that the UK should develop:
'… a clear, widely-owned and stable statement of the outcome that all schools are asked to deliver. This should go beyond the merely academic, into the behaviours and attitudes schools should foster in everything they do [our italics]. It should be the basis on which we judge all new policy ideas, schools and the structures we set up to monitor them.'
Taking the two desired outcomes of inquisitiveness and resilience as exemplars, here are a few examples of the kinds of learning which a teacher might choose if he or she were using one of the expansive education approaches, Building Learning Power.
To build inquisitiveness, teachers – as many do – could introduce topics by asking students to brainstorm their existing knowledge and then to identify the questions arising, to which they would like answers. These questions can then be incorporated into the unfolding curriculum. (Teachers can usually anticipate, to some extent, the kinds of questions their students will come up with!). Or teachers could train themselves to respond more warmly to students' questions as they arise in lessons, perhaps helping them to learn how to formulate their own questions more clearly or precisely.
Many techniques can help build resilience. 18 Students can be encouraged to monitor their own 'self-talk' as they engage with challenging tasks, learning to replace a defeatist or negative internal commentary with one that is more optimistic and encouraging. Or they can be explicitly introduced to the concepts of self-efficacy and growth mindset, and shown how to apply them to their own learning.
Now let's revisit our eight principles. What kind of learning do they invite? Here they are again in headline form followed in each case by an example of a specific teaching suggestion:
1. A focus on cultivating dispositions as well as developing knowledge
Help learners to be confident about the disposition they are developing (e.g. getting better at dealing with setbacks) as well as what they are learning (e.g. a complex aspect of human geography).
2. A set of learning to learn strategies
Equip learners with a menu of learning strategies which they can deploy according to the context in which they find themselves (e.g. encourage them to make inferences from the information they are given, or to solve a simplified version of the problem first).
3. Growth mindsets for all
Learners see the analysis of and reflection on their mistakes as a sign of strength not weakness.
4. Learners as teachers
All pupils have a regular chance to teach another pupil something (e.g. having older students work as coaches or mentors to younger ones).
Learning sessions start by finding out what learners already know
5. Authentic and connected to prior experiences and inviting them to share this.
6. Stretching goals, feedback-rich environments; all powered by engaging questions
Each half-term schools invite their pupils to explore a big question, which is capable of being investigated at many levels and to which there are no easy answers.
7. Emotional and intellectual, social and individual Schools consciously create opportunities for all four of these
important aspects of learning.
8. Practical and academic experiences, within and beyond the formal curriculum
Learning of all kinds is genuinely and equitably celebrated within and beyond school.
Learning methods that fit well with the development of DOEs and with our eight principles include but are by no means limited to the following approaches to teaching and learning:
* Problem-based learning
* Enquiry-based learning
* Extended projects
* Peer teaching
* Students critiquing each other's work
* Assessment for learning. 19
Now let's turn to our third question.
Chapter 3
What kinds of teaching will create the kind of learning that you want in your school?
School redesign is not a morally neutral process. We must have clarity about desired outcomes of education. The school leaders in our discussions agreed that it is the role of schools to develop learners who are knowledgeable and passionate about a broad range of content areas. They have acquired the kind of prosocial dispositions that will enable them to flourish in an ever-changing world (to be an effective global citizen). And they are powerful learners (epistemic expertise).
The central locus for these developments is, of course, the classroom. And the main means by which they are achieved is through the teacher's approach to pedagogy. We see pedagogy as the 'art, science and craft of teaching and learning' manifested in the choices teachers make. These choices can exist at the macro level (overall course or curriculum design), the meso level (lesson plans), and the micro level, in all the in-the-moment decisions that teachers take.
To help teachers take the kinds of decisions which will lead to the kinds of learning that will itself lead to the kinds of DOEs described, we offered discussants who attended the SSAT-led workshops a
decision-making tool (figure 2). It is a way of framing the kinds of questions teachers may wish to ask to help them be sure that their teaching cultivates these DOEs.
Figure 2: 10 dimensions of expansive pedagogy
High
Authentic
Questioning
Practice
Extended
Workshop
Group
Virtual
Facilitative
Expandable
Attitude to talent
Hidden
Contrived
Certain
Theory
Bell-bound
Classroom
Individual
Face-to-face
Didactic
Fixed
Visibility of process
Nature of activities
Attitude to knowledge
Means of knowing
Organisation of time
Organisation of space
Approach to tasks
Proximity to teacher
Role of the teacher
It is important to point out at this stage that these choices are not binary, either/or decisions. Rather, each is a continuum along which the informed teacher can adjust her practice as she ponders how best to create optimal conditions for learning. So, for example, when teachers are considering their role, they will want to be thinking about which goals or situations call for a more didactic approach and which a more facilitative one.
Neither end of the spectrum is always better than the other. They are a way of framing a set of judgements that require teachers to consider many different variables, such as:
* the nature of the subject matter (does science teaching call for different methods than, for example, learning how to make furniture?)
* the characteristics of the target learners (age, prior experience)
* context (physical environment, assessment regime), and, importantly
* the DOEs that are in the teacher's mind (which may well relate to a wider discussion within her school).
Teachers will want to be thinking about which goals or situations call for a more didactic approach and which a more facilitative one.
While neither end of each dimension is 'right' or 'wrong' there is an ongoing shift in thinking about pedagogic practices across the world which is moving practices broadly to the left of figure 2 for those who are seeking to develop the kinds of DOEs we have been talking about.
No teacher can avoid these choices. From the moment they walk into a room they are faced with a wide range of options. Being explicit about the kinds of choices you are making is important in the context of rethinking – and readjusting – pedagogical habits and so engineering bottom-up redesign of schooling.
We will briefly describe the choices offered in our 10 dimensions, and suggest at least one relevant teaching method for each. We will also offer generalisations about the area with regard to the development of teaching that leads to dispositional DOEs. 20
Attitude to talent – expandable or fixed
Whether you leave school with attitudes of resilience and craftsmanship depends to a large degree on how hard you have pushed yourself, how you have dealt with setbacks and how good you are at staying positive. Whether you possess these dispositions or not is hugely influenced by the kind of learning mindset you have. More than anyone else Carol Dweck's research 21 , already mentioned, has shown just how important it is to ensure that pupils develop mindsets which are founded on the self-belief that they can get better, smarter and more powerful: in other words, possessing what Dweck calls a 'growth mindset'.
Those with a growth mindset are not easily defeated. They see the making of mistakes as an indicator of effective learning. They enjoy stretching themselves and are always looking to see how they could be 'even better if …', whereas those with fixed mindsets are more risk-averse and, wrongly thinking that any talent they possess is innate, see little value in practising and putting in effort. They ascribe their success or failure in life to their genes. Indeed, they can be effort-averse, believing that if you have ability you should not need to exert effort, so that 'having to try' equates to 'being low ability'.
There are a number of pedagogic choices that follow from this body of research. First, teachers can talk to students in ways that transmit a belief in the fluidity of the learner's potential. Rather than reporting that student x 'is not able to' do something, teachers will prefer to say that student x has not 'yet' mastered it, unambiguously stressing the likelihood that they are capable of doing so. Even when something has been mastered, the assumption will always be that there is room for further improvement.
Such stretching views of what is possible bring with them challenges. So, secondly, the teacher seeks to provide support or scaffolding,
in order that learners can set ambitious goals but receive appropriate support. Strategies abound for dealing with setbacks and building resilience. An example from Building Learning Power is the 'stuck' poster, which students develop as an aide-mémoire for themselves to prompt a variety of courses of action they can use when they get stuck (figure 3).Thirdly, teachers who see the power of growth mindsets may choose to focus on helping learners to help themselves by using a specific kind of technique called 'deliberate practice'. 22 Deliberate practice is good practising; practice that really helps you get better at something, whether you are learning a musical instrument, grasping quadratic equations or using idiomatic French.
Visibility of processes: high or hidden
Architects used automatically to hide their buildings' central heating ducts, waste pipes and lighting cables - until Renzo Piano and Richard Rogers, the architects of the Pompidou Centre in Paris, made a feature of them. Theatre directors used to pride themselves on hiding all aspects of stagecraft from the audience – until dramatists like Michael Frayn (in Noises Off) started writing the stagecraft into their plays. And teachers used to think that they should keep many of the processes and methods of learning hidden from students, and focus only on the content and subject at hand – until recently, that is.
It has been known for 50 years that understanding more about the processes of our learning, sometimes called metacognition or metalearning, was potentially a useful thing for learners to do. And in the last decade, study after study has made explicit connections between understanding the processes of learning and the development of successful learning dispositions (as well as higher achievement). 23
The title of John Hattie's well-regarded book Visible Learning underlines the importance of this dimension:
'It is critical that teaching and learning are visible. There is no deep secret called 'teaching and learning'; teaching and learning are visible in the classrooms of successful teachers and students… What is most important is that the teaching is visible to the student and that the learning is visible to the teacher.' 24
The more that learners see what is going on as they are learning it, the better they will be able to understand and apply it in different contexts. Teaching that invites high visibility of processes and focuses on the 'how' of learning takes every opportunity to talk about the nature of learning itself - not as an afterthought but as an integral part of teaching subject knowledge. These teachers try to make the 'pipes' of the learning 'architecture' visible at every stage. Coaching, reflection and
the kinds of feedback that assessment for learning promotes are good practical examples of methods that work to make thinking and learning visible.
High visibility of processes, focusing on the 'how' of learning and the nature of learning, is an integral part of teaching subject knowledge.
Nature of activities: authentic or contrived
American researcher Lauren Resnick initiated a debate about the differences between school learning and learning in the real world in her 1987 Presidential Address to the American Educational Research Association. 25 She pointed out the many ways in which schools offer a version of learning which bears little resemblance to what learners will need when they leave school. Yet schools could be a lot closer to life outside if they chose to be so.
More recently, Harvard's David Perkins describes some of the tensions between learning in the real world and in school really helpfully in his book Making Learning Whole. 26 He makes a compelling case as to why and how schools can teach authentically what he terms 'the whole game of learning'. He puts his finger beautifully on two aberrations common in schools, which he calls 'elementitis' and 'aboutitis'. Both conspire to keep young people away from the rich experience of real world learning.
Elementitis is the habit of breaking complex subjects up into meaningless chunks (learning the game of Scrabble, say, by listing from a dictionary five-letter words beginning with 't').
Aboutitis is the tendency to teach about interesting ideas rather than seeing whether they work in practice. A good example of this was the way some teachers taught students about Howard Gardner's multiple intelligences by having students colour in an imaginary profile of their strengths. Well-intentioned as this doubtless was, it did not help students to understand the deep and interesting ideas behind the theory.
Teachers who seek to be more authentic are more likely to cultivate inquisitive and practical learners.
Attitude to knowledge: questioning or certain
In much school learning, questions are asked and right answers are given. But as we get older we come to realise that the really interesting issues in life often have many possible interpretations and solutions. Take the underlying question in this pamphlet, about the purpose of school. There are many possible standpoints. To take an example: compelling learning, as number 6 of our 8 principles on page 14 suggests, is likely to be driven by compelling questions. Yet even when the subject is complex and interesting, schoolteachers may still have a habit of speaking with a certainty that brooks no challenge or leaves no room for subtlety.
Ellen Langer's research is pivotal here. She has shown that small shifts in a teacher's language can induce a marked change in the kinds of outcomes that learners achieve. Specifically, if a teacher says definitively that something is the case, students take it literally and try to remember it. But if a teacher says, of the same thing, that it could be the case, they become more engaged, more thoughtful, more imaginative and more critical. 'Could be' language invites learners to become more active, inquisitive members of the knowledge-checking, knowledge-developing community, rather than to see themselves as merely doing their best to understand and remember something that is already cut and dried.
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'Could be' language invites learners to become more active,
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inquisitive members of the knowledge-checking, knowledgedeveloping community.
Such tentative language suggests a more facilitative teaching approach, one that invites multiple opinions and creates compelling environments in which learners can explore complex issues. It assumes that there will be many answers to most questions. Of course there are many occasions when certainty is smart – when life is endangered, when dealing with some aspects of morality, when multiplying in base 10 and expecting that 2 x 2 will equal 4, and so on. But on many occasions, a more tentative language that encourages talking things out, enquiring, listening, drafting and giving and receiving feedback are likely to be helpful.
Means of knowing: practice or theory
When do we need the theory before we can learn and when is it better to start messily, trying things out, and piece together the rules? When does theory need to be offered in practical situations, on a needto-know basis, and when is it necessary to develop a good overall conceptual grasp before one dives in to problem-solving? We know that having a theoretical understanding is an essential part of the development of more complex learning outcomes such as the ability to deal with non-routine situations or to transfer learning from one context to another. In both these cases, learners need to be able to see patterns, models and connections in order to be able to access and bring to bear something learned in the past.
The work of David Perkins and Gavriel Salomon shows that such transfer is assisted by:
* extensive practice in different contexts
* specifically encouraging learners to consider, at the point when they first learn something, how they might use it in other contexts
* making as many connections as possible to the learner's existing knowledge
* providing clear models, explanations and mental models at the point of first learning a new skill. 27
If we want learners to be resilient and imaginative, able to flourish in many different situations, they will need to have experience of seeing connections and coming up with models themselves as well as being offered practical heuristic techniques along the way. Knowledge and experience can be invaluable in building the capacity to create novel hypotheses and explanations for oneself.
Organisation of time: extended or bell-bound
Almost every teacher will admit to the frustration of the bell going just when things are getting interesting. It takes time to become immersed in learning and to go deeper. Something happens to the quality of our engagement when we are engrossed in learning for an extended period of time. Mihaly Csikszentmihalyi has studied this phenomenon extensively and coined the word 'flow' to describe the state of mind that learners can achieve if they are deeply absorbed in their learning, an experience in which they find deep fulfilment and in which they become unaware of time. 28 To achieve the state of flow, the task needs to be sufficiently demanding and engaging; the learner needs to have enough skill to be able to tackle the task without undue anxiety or stress; and there needs to be sufficient time available.
'Flow' occurs when learners are deeply absorbed in their learning, and find deep fulfilment… The task needs to be demanding and engaging; the learner needs to have enough time and skill to tackle the task without undue anxiety or stress.
There is clear evidence from Csikszentmihalyi's research that the quality of creativity increases when we are in a state of flow and that the experience of flow is itself inherently beneficial to the learner, who finds such experiences enjoyable and rewarding. Experiences like this do not come easily or when an individual is consciously relaxing. Rather, they involve, to use Csikszentmihalyi's own words, 'painful, risky, difficult activities that stretched the person's capacity and involved an element of novelty and discovery.' 29
In Lois Hetland's work on studio learning at Harvard's Project Zero, 30 projects often extended over a whole day and were carried out over a period of weeks. She links such extended periods of learning with increased engagement and persistence in learners. Extended projects clearly help, as do ways of engaging with learners outside the school and the school day, where activities can spill out beyond the end of classes and beyond the school gates into their homes and into he community. Teaching that expands beyond the bell is likely to encourage the development of inquisitive, imaginative, collaborative and craftsmanlike learners.
Organisation of space: workshop or classroom
When work in progress is deliberately and safely left out, as in a workshop, students are constantly invited to see all learning as an iterative process. When displays remind us of the 'how to' of learning rather than just the end product, we understand more about the ways in which we can do better, as we do when we see a poem's workings revealed or handle prototypes of an invention. Teachers can use space to underscore their learning intentions: craftsmanlike behaviours require constant tinkering, drafting, redesigning of the kinds that workshop milieux encourage. We should, as Roy Pea suggests, 'reorient the educational emphasis from individual, tool-free cognition to facilitating individuals' responsive and novel uses of resources for creative and intelligent activity alone and in collaboration.' 31
Learning methods that are obviously workshop-based include watching, imitating, practising, drafting, sketching, conversation, reflecting – the kinds of things that happen naturally when a group of makers or artists are working in the same space and are curious to see how each other's endeavours are progressing. Learning in studios and workshops tends to be unselfish and collaborative, with the assumption being that everyone can learn from everyone else.
Approach to tasks: group or individual
In the real world, teamwork is an essential way of working and learning. The ability to work collaboratively in groups to solve problems is one of the attributes cited by employers across the world as highly desirable. And this is not a new 'desired outcome'. A century ago, John Dewey argued strongly for a more cooperative approach to learning, variously using phrases like 'cooperative intelligence' and 'collective intelligence'. He argued that for knowledge to be in any real sense useful it has to have expression in relationships and social activity. No man or woman is an island. 32 David Boud has helpfully described this, too:
Students learn a great deal by explaining their ideas to others and by participating in activities in which they can learn from their peers. 33
Jean Lave and Etienne Wenger 34 have shown how groups work and learn together. As they interact and solve problems together, so their learning habits and attitudes rub off on each other. New members
watch carefully how the more established members talk, respond and deal with challenges, like children do when they want to join someone's 'gang'. This stage of what they term 'legitimate peripheral participation' is a key part of the process of developing thoughtful, collaborative, practically minded learners.
In terms of redesigning schooling, teachers may want to consider just how group working can really be valued when much of the assessment system derides it. Collaborative work is hugely valued in life but at school – certainly come exam time – there is a feeling that it is somehow not fair, even a form of cheating.
Proximity to teacher: virtual or face-to-face
No school redesign initiative would be complete without a consideration of the role of technology in teaching and learning, especially the ways it frees us up to think more carefully about the use of teachers, learners and the many experts available online. The internet is forcing us to rethink the way we use the 'face time' we have at school. Students can enjoy TED (technology, entertainment, design) lectures, explore initiatives like the Khan Academy, 35 use YouTube, and learn from countless excellent sites on the web. Online worlds also allow opportunities for simulation, game playing, trial and error, safe practising and, increasingly, peer teaching. Generations Y and Z have learned that proceeding at their own pace and in their own way is the norm on the web. Well-honed scepticism will be an essential desired outcome from such learning, as they constantly seek to distinguish good and bad, reliable and unreliable sources of information on the internet.
Flipped learning is much discussed at the moment. Drawing on work by Eric Mazur 36 and others, the 'flip' here is to assume that, with technology, much of the 'teaching' can be done outside the classroom; time at school can be focused on higher-order interactions between
teacher and learner. 37 Sugata Mitra's work is similarly compelling in demonstrating the formidable learning power generated by a small group of children who are allowed and encouraged to explore and create self-organised learning environments – especially if they have access to a computer and the internet. Teachers are not redundant, but children can get an amazingly long way by themselves. Mitra's 'school in the cloud' concept is an imaginative act of school redesign, 38 especially as it combines collaborative learning – small groups of four or five students – with technology.
Role of the teacher: facilitative or didactic
How should teachers be? What roles should they play? The decisions teachers make about their overall approach, whether it is mainly facilitative or mainly didactic, really matters, because it says much about their approach to knowledge, to learning and to learners. While being facilitative or being didactic may appear at first to be a straight choice of style, in reality it is a complex decision.
The idea of the teacher as facilitator is not new: it has been explicitly part of an approach to learning referred to as 'constructivist' for some hundred years. From a constructivist perspective, learning is created by an interaction between people's ideas and their experiences with other people. The goal of any learning intervention is the generation of new knowledge in collaboration with others. Such an approach requires resourcefulness and group-working skills in large measure. The core principles of the constructivist approach have been usefully summarised by John Savery and Thomas Duffy. 39 They include the creation of
The goal of any learning intervention is the generation of new knowledge in collaboration with others, (which) requires resourcefulness and group-working skills.
authentic tasks that are anchored to the real world; high levels of ownership by learners of the tasks they undertake; learning environments that support and challenge learners' thinking; and opportunities for learners to select as they develop alternative ideas and strategies.
There are those who challenge a totally constructivist approach. For example, Paul Kirschner and colleagues ask us to think more carefully about when teacher guidance rather than freer facilitative approaches are beneficial. They argue that the architecture of the brain, specifically the processes of long-term and working memory, sometimes demands clear instruction rather than endless problembased approaches. To be expert problem-solvers, they remind us, we need plenty of experiences stored in long-term memory. Facilitative styles of enquiry or problem-based learning require more short-term memory capacity and may thus leave less capacity available for thinking and learning. Kirschner and colleagues conclude:
Controlled experiments almost uniformly indicate that, when dealing with novel information, learners should be explicitly shown what to do and how to do it.' 40
Indeed, many of us can recall powerful learning moments from our own schooldays when a passionate teacher instructed us in something. And, providing the processes of learning are made visible, then these kinds of teacherly expositions are a different kind of didacticism from what has been referred to as 'chalk and talk', or the 'sage on the stage' (a teacher talking for a long time at students). So it is not either/or: a good lecture can sit very comfortably within a predominantly studio learning environment, as Lois Hetland and colleagues at Harvard's Project Zero have shown. They describe clearly the value of what they call the 'demonstration lecture' – 'a brief, visually-rich lecture by the teacher to the class (or to a small group) that conveys information that students will use immediately.' Such moments of didacticism work, the Project
What kind of teaching for what kind of learning?
Zero research suggests, because they are focused, efficient, visually engaging, of immediate relevance, short and connected to skills and concepts already introduced. 41
Role of the learner: proactive or dependent
There is an 11th dimension of the classroom, which concerns the learner rather than the teacher. A major outcome, we hope, of the Redesigning Schooling initiative will be an agreed shift in the role of the learner. Learners need to be able to teach themselves and others, be resilient, set challenging goals for themselves, give and receive feedback and generally collaborate in a classroom learning community.
In short, as in figure 4, the 11th dimension and outcome of all of the first 10 is that learners become more proactive and less dependent as they gain in confidence and expertise.
Figure 4
Proactive
Role of the learner
Dependent
Chapter 4
What kind of leadership will create the desired kinds of teaching and learning, so students leave school with your desired learning outcomes?
This kind of change really needs leadership: bluntly, we are not there yet. There are many schools throughout the UK, and indeed worldwide, that are grappling with the questions outlined above, and are making substantial progress. But there is always more that can be done to strengthen the learning culture of a school, and a great many more schools that could join in the adventure of redesigning schooling. Even within good schools, the use of dispositional teaching and expansive education methods can be quite patchy. Many schools, for example, are only just beginning to develop methods for monitoring their own progress and performance, as far as achieving their chosen DOEs is concerned. How you evidence progression in resilience or creativity is a vexed and complex question, yet one that we should not duck. We need to know whether our redesigns are being successful.
A great many more schools could join in the adventure of Redesigning Schooling.
So leadership is paramount. As a whole, schools need a far greater concern with the development of pedagogy – the art, science and craft of teaching and learning. Yet this need to prioritise the minutiae of teaching is happening at a time when external pressures can all too easily distract school leaders from focusing on pedagogy, on creating the conditions in which effective approaches to teaching and learning can thrive.
In thinking about leading these kinds of change, the concept of 'pedagogic leadership' is helpful. Figure 5 describes four elements of pedagogic leadership. 42
Figure 5: Four aspects of pedagogic leadership
3
A focus on the
science, craft and
art of learning
4
A focus on the
changes necessary
to improve learning
2
A culture of
collaborative enquiry,
with students and
teachers learning
together
1
A climate for
outstanding
learning
Pedagogic
leadership
The concept of pedagogic leadership is widely used in schools and early years settings in the USA, South Africa and Australia, and in the education of Maori students in New Zealand. In England, SSAT is one of the few organisations to have promoted such a concept, through the series of meetings with headteachers around the country and subsequent pamphlets on deep leadership by David Hargreaves (2006) 43 and Alma Harris (2009). 44
The concept stimulates a useful set of leadership questions:
1. How do you create a climate for outstanding learning in schools – where 'outstanding' is not measured in terms of a single-minded obsession with test scores, but embraces a wider set of desired outcomes?
While we need to maintain 'standards', as conventionally defined, we need also to devise new ways of teaching that help students develop self-control, concentration, imagination and a sceptical attitude towards knowledge claims (for example). Leading the creation of such a climate is a specialist task.
2. How do you create a culture of collaborative enquiry, with students and teachers learning together in schools?
High levels of collaboration, around problems that are genuinely difficult, are needed for both staff and students. Staff need to be able to talk and plan together in a productive manner, support one another and deal with the inevitable anxieties and uncertainties that change brings. A strong community of enquiry among the staff also creates a contagious mood of openness and enquiry throughout the school as a whole. And students, as well as benefitting from this culture, also need direct help and opportunities to develop a spirit of convivial learning that goes well beyond the traditional use of 'group work'. Building those parallel cultures of collaboration in the staffroom and the classroom is a leadership task that takes time and finesse.
3. How do you ensure a focus on the science, craft and art of learning in schools?
The senior leadership of a 21st century school needs to plan for a distributed model of pedagogical leadership throughout the school. Year heads and heads of department need to be helped to develop a focus on pedagogical leadership and on the design and careful implementation of professional learning communities. These must genuinely and cumulatively contribute to the development of a home-grown, tried and tested bank of craft knowledge that is shared widely across the school. Effort may also need to be put into developing a culture of collaborative learning between students. The competitive, individualistic culture driven by exams needs to be constantly mitigated by encouraging inquisitiveness and collaboration.
4. What does this mean in practice?
Leadership means anticipating and planning for all the pitfalls and irritations that necessarily accompany any significant culture change. How are we to reward the pioneers and champions while spurring on those who are more cautious or even cynical? Which are the areas of the school where we might make quick progress, and which are the ones that might need more 'softening up' before we embark on change? How can we get staff on board when our results are good and many do not see the need to change? And so on. It is on the resolute, creative addressing of such issues that pedagogical leadership stands or falls.
And this is where we want to end this pamphlet, for it has been written deliberately to encourage dialogue. We now want to know what you think. We'll close with a few questions that might help you to frame your thoughts and responses...
* Are our DOEs close to what you believe the outcomes of education should be?
* Do our observations about learning resonate with you?
* Do our eight principles of school redesign make sense?
* Could you make use of our '10 dimensions of expansive pedagogy' tool? If so how could you use it?
* And how would you answer our pedagogic leadership questions above?
Please send your ideas and responses to email@example.com.
Good luck!
Notes and references
1. One event, organised in partnership with City & Guilds, looked specifically at practical and vocational pathways through schools. The structure and argument of this paper draws on discussions in that context, as well as more general events.
2. See, for example, Wiliam, D. (2011), How do we prepare students for a world which we cannot imagine? Paper presented to the Salzburg Global Seminar on Education, December. Available from www.dylanwiliam.org.
3. Quoted in Aldrich, R. (1982), An Introduction to the History of Education. London: Hodder and Stoughton.
4. See www.moe.gov.sg/education/desired-outcomes. You may be struck by how similar these aims are to those of the Scottish National Curriculum for Excellence, or, indeed, the 'disappeared' English curriculum that introduced the cultivation of personal learning and thinking skills as an essential element of key stage 3.
5. See www.acara.edu.au/verve/_resources/National_Report_on_ Schooling_in_Australia_2010_live.pdf.
6. 'Writing in Mail on Sunday in March [2013], Mr Gove said: "Survey after survey has revealed disturbing historical ignorance, with one teenager in five believing Winston Churchill was a fictional character while 58 per cent think Sherlock Holmes was real." Those surveys, the department has now revealed in response to a Freedom of Information request, included research conducted by Premier Inn, the budget hotel chain, UKTV Gold
and "an article by London Mums Magazine". None are known for their work in this field.' Matthew Holehouse, The Telegraph, 13 May 2013. Or see, for example, www.gov.uk/government/speeches/michael-gove-toofqual-standards-summit.
7. The fact that we often forget that these are choices does not make them any the less so. There are cultures, for example, where essential facets of 'intelligence' include kindness and the ability to retell legendary stories with accuracy and panache.
8. Costa, A. and Kallick, B. (2009), Habits of Mind Across the Curriculum: Practical and creative strategies for teachers. Alexandria, VA: ASCD. The phrase 'habits of mind' is originally associated with the functionalist philosophy of John Dewey, who is the 'patron saint' of expansive education. We mostly use the phrase generically, rather than to refer to the specific framework of Costa and Kallick.
9. Perkins, D.N. and Ritchhart, R. (2004), When is good thinking? In D.T. Dai and R.J. Sternberg (eds), Motivation, Emotion and Cognition. Mahwah, NJ: Lawrence Erlbaum.
10. See OECD, www.oecd.org/pisa/35070367.pdf
11. Claxton, G.L., Chambers, M.C., Powell, G. and Lucas, B. (2011), The Learning Powered School: Pioneering 21st Century Education. Bristol: TLO Ltd.
12. Expansive Education partners in the UK include the RSA's Opening Minds, Habits of Mind, SSAT, Building Learning Power, Thinking Schools, Philosophy for Children and ASDAN.
13. Lucas, B., Claxton, G.L., and Spencer, E. (2013), Expansive Education: teaching learners for the real world. Melbourne: Australian Council for Educational Research.
14. This point is developed in Claxton, G.L. (2013), Schools as an Epistemic Apprenticeship: The case of building learning power. 32nd Vernon Wall Lecture, Education Section. Leicester: British Psychological Society.
15. This expression was first coined by Philip Jackson in Jackson, P. (1968), Life in Classrooms. New York: Holt, Rinehart & Winston.
16. For an extended exploration of the concept of epistemic apprenticeship, see Claxton, G.L. (2013), Schools as an Epistemic Apprenticeship: The case of building learning power. 32nd Vernon Wall Lecture, Education Section. Leicester: British Psychological Society.
17. CBI (2012), First Steps: a new approach to our schools. London: CBI, p8.
18. See, for example, Boniwell, I. and Ryan, L. (2012), Personal Well-being Lessons for Secondary Schools: Positive psychology in action for 11 to 14 year olds. Buckingham: Open University Press.
19. See Wiliam, D. (2008), 'Changing classroom practice', Informative Assessment, vol. 65(4): 36–42.
20. In this section we draw heavily on thinking in Lucas, B., Claxton, G.L., and Spencer, E. (2013), Expansive Education: teaching learners for the real world. Melbourne: Australian Council for Educational Research.
21. Dweck, C. (2006), Mindset: The new psychology of success. New York: Ballantine Books.
22. This phrase was coined by Anders Ericsson.
23. See, for example, Watkins, C. (2010), Learning, Performance and Improvement, INSI Resarch Matters No. 34. London: IoE.
24. Hattie, J. (2009), Visible Learning: A synthesis of over 800 meta-analyses relating to achievement. London: Routledge, 2009, p.25.
25. Resnick, L. (1987), 'Learning in school and out', Educational Researcher, 16 (9) 13–20.
26. Perkins, D. (2009), Making Learning Whole: how seven principles of teaching can transform education. San Francisco: Jossey-Bass.
27. Perkins, D. & Salomon, D. (1988), 'Teaching for transfer', Educational Leadership, 46 (1) 22–32.
28. Csikszentmihalyi, M. (1990), Flow: The psychology of optimal experience. New York: Harper and Row.
29. Csikszentmihalyi, M. (1996), Creativity: Flow and the psychology of discovery and invention. New York: HarperCollins.
30. Hetland, L. et al (2007), Studio Thinking: the real benefits of visual arts education. New York: Teachers College Press.
31. Pea, R. (1993), 'Practices of distributed intelligence and designs for education', in G. Salomon (ed.), Distributed cognitions: psychological and educational considerations. Cambridge: Cambridge University Press.
32. Dewey, J. (1916), Democracy and education. New York: Macmillan.
33. Boud, D. (2001), 'Introduction: making the move to peer learning', in Boud, D., Cohen R., & JSampson, J. (eds.), Peer learning in higher education: learning from and with others. London: Kogan Page.
34. Lave, J. and Wenger, E. (1991), Situated learning: legitimate peripheral participation. Cambridge: Cambridge University Press.
35. www.khanacademy.org.
36. For a description of this, see harvardmagazine.com/2012/03/twilight-ofthe-lecture.
37. See, for example, Crouch, C. and Mazur, M. (2001), 'Peer instruction: ten years of experience and results', American Journal of Physics, vol. 69, 9:970.
38. www.ted.com/speakers/sugata_mitra.html
39. Savery, J. and Duffy, T. (1995), 'Problem based learning: an instructional model and its constructivist framework', Educational Technology, 35(5): 31–8.
40. Kirschner, P., Sweller J., and Clark, R. (2006), 'Why minimal guidance during instruction does not work: an analysis of the failure of constructivist, discovery, problem-based, experiential and inquiry-based teaching', Educational Psychologist, vol. 41, 2:75–86.
41. Hetland, L. et al, op. cit.
42. The following are indicative of this literature: Macneill, N., Cavanagh, R., Silcox, S., 'Pedagogic Leadership: Refocusing on Learning and Teaching', 9(2). IEJLL: International Electronic Journal for Leadership in Learning, North America, 9 Jan 2005. Available at: iejll.synergiesprairies.ca/iejll/index. php/ijll/article/view/402, date accessed: 6 Aug 2013. Macfarlane, K. et al (2011), 'Developing and sustaining pedagogical leadership in early childhood education and care professionals - Final Report'. Strawberry Hills, NSW: Australian Learning and Teaching Council. Educational Review Office (2012), Alternative Education: An Evaluation of the Pedagogical Leadership Initiative, Wellington, New Zealand. This concept of pedagogic leadership is currently being developed by Bill Lucas, Guy Claxton and the 157 Group.
43. Hargreaves, D. (2006), Deep leadership - 1. London: SSAT.
44. Harris, A. et al (2009), Deep leadership: Emerging learning from the development and research network. London: SSAT and NCSL.
This pamphlet is the second in SSAT's Redesigning Schooling series to help identify the big questions, look at lessons from other systems, and shape the debate on how we take our education system to world class.
Redesigning Schooling 1: Why change is needed
September 2013
Redesigning Schooling 2: What kind of teaching for what kind of learning? September 2013
Redesigning Schooling 3: Principled curriculum design
October 2013
Redesigning Schooling 4: Working with stakeholders
October 2013
Redesigning Schooling 5: Student impact in the redesigned school
January 2014
Redesigning Schooling 6: Why parents and families really matter
January 2014
Redesigning Schooling 7: Intelligent accountability
January 2014
Redesigning Schooling 8: Assessment
Spring 2014
Redesigning Schooling 9: What the new professionalism means for the UK Spring 2014
For a full list of SSAT publications, visit www.ssatuk.co.uk/library
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Good Governance is Good Business
2022 Proxy Voting Guidelines
Table of Contents
About These Proxy Voting Guidelines...............................................................................................5
2022 Proxy Voting Guidelines
About These Proxy Voting Guidelines
We are obligated by law to set out our policies and procedures with respect to voting rights and by our own Statement of Investment Policies and Procedures to exercise our right to vote.
Our Proxy Voting Guidelines (the Guidelines) support the adoption of the corporate governance principles found in our 4 Pillars of Effective Boards 1 and encourage companies to take actions that we believe are in the best long-term economic interest of shareholders. Each Guideline encourages the board of directors to discharge its responsibilities in the most efficient and objective fashion possible without placing unreasonable or arbitrary burdens on the company or the board while supporting the corporate governance principles articulated in the 4 Pillars of Effective Boards framework.
These Guidelines have been developed over several years and articulate how we intend to vote on commonly raised or potentially contentious issues presented for a shareholder vote. We review and updated the Guidelines annually.
The Guidelines are not regulations and will evolve as circumstances change. We commit to taking a case-by-case approach when applying the Guidelines, being open-minded and pragmatic, and considering the individual circumstances of companies all within the context of our 4 Pillars of Effective Boards.
Since we vote in several global markets, these Guidelines are principles-based and cover a broad range of corporate governance matters to provide us with the flexibility to tailor our approach to reflect market nuances.
We welcome comments or feedback on our guidelines and encourage you to contact us at firstname.lastname@example.org.
1 Visit our website at www.otpp.com for more information on the 4 Pillars of Effective Boards framework.
Our Approach to Proxy Voting
Vote at Every Meeting
We take voting very seriously. Our goal is to vote every share of every company we own at every meeting of that company's shareholders. All issues, routine, or non-routine are reviewed in detail within the context of these Guidelines.
Some ballots provide the option to abstain from voting for or against a proposal. We believe we have a responsibility to cast a definitive vote for or against a proposal and generally avoid abstaining. There are, however, circumstances in which an abstain vote may be appropriate such as when a director withdraws their name from the ballot ahead of the general meeting, or when we do not have sufficient information to cast a definitive vote.
Virtual Shareholder Meetings
We acknowledge that the COVID pandemic has necessitated companies hold virtual only meetings. We recognize that virtual meetings not only provide a safe way to hold a meeting, but also allow for greater inclusion and increased participation by shareholders. We further acknowledge that virtual meetings will continue to be part of the annual meeting cycle. However, we have concerns arising from our experience with virtual meetings, including:
* Virtual meetings can be overly controlled by the company, limiting genuine participation between shareholders, independent directors, and management.
* The full slate of directors are not always present at the meeting nor is their attendance visible to shareholders.
* There may be requirements to submit questions before the meeting and questions from the floor can be disallowed.
As a result of our experience, we have set out the following expectations for virtual meetings:
1. When it is safe to do so, shareholder meetings should be a hybrid meeting – a combination of virtual and in-person.
2. Meetings should allow for maximum shareholder inclusion and participation. Virtual attendees should have the same opportunity to vote, speak, and ask questions as if they are participating in-person.
3. At the very least, the CEO, Board Chair, Lead Director (if applicable), and Committee Chairs should be in attendance and visible to all virtual attendees.
4. There should be a Q&A tool where virtual attendees can ask questions without having to submit them in advance.
5. All questions should be answered. Should there be insufficient time during the meeting to address questions, there should be instructions to access or a link to unanswered questions posted within 72 hours of the meeting.
6. Speakers, whether directors or shareholders, should be on camera so all virtual attendees can see them.
Integrated Assessment Process
Our voting decisions look to enhance the long-term value of our investments. We will consult a variety of sources, including all relevant company filings, proxy research reports and the products and services of third-party research providers to arrive at a vote decision. We may contact the company for more information or clarification.
Where appropriate, each portfolio manager with an interest in the company is consulted, ensuring their perspective is reflected in the vote. Contentious issues or positions are regularly discussed with senior management in the Investment Division as well as the President and CEO. We work closely with our Responsible Investment Team when assessing shareholder proposals on potentially contentious material environmental or social issues for a company.
Disclosure of Votes
We provide a rationale for our voting decisions when voting against a management recommendation, voting on a shareholder proposal, or when a proposal is non-routine in nature. Explanations of our voting decisions are disclosed on our website in advance of the meeting date 2 .
We also support issuers supplying prompt public disclosure of the voting results of each proposal voted on at a meeting of shareholders. In situations where a company maintains a dual class share structure, we expect the timely disclosure of voting results to be broken down by each class of share, as this provides greater transparency to minority shareholders on how the different classes of shareholders' votes were cast.
Voting when a Company is Controlled
Equity Controlled Companies
We recognize that a shareholder controlling a company by owning a significant amount of a company's outstanding equity can create alignment between our interests and those of the controlling shareholder. As such, we acknowledge that divergences in governance practices from expected best practice may be appropriate in these instances.
Multiple Vote Controlled Companies
We generally do not give any special consideration when a shareholder controls a company through ownership in multiple vote shares that provides voting control with a disproportionate (and usually small) equity interest in a company.
2 By providing our decisions on our website, we do not intend to solicit the proxy of any other shareholders nor do we request any other shareholder to execute, not execute or revoke the proxies that have been solicited by management or anyone else. Please see "Important Legal Notice" in our Proxy Voting section of www.otpp.com for more information.
Discourage Bundled Proposals
We expect to have the opportunity to review and vote on resolutions separately. However, companies occasionally "bundle" proposals – combing two or more related and/or unrelated items into one resolution. Bundled proposals can present a dilemma for shareholders as they can often contain matters that shareholders would support and those they would oppose if voted on separately. We discourage bundling proposals as we believe the voting dilemma they can present undermines the shareholder democratic process. If presented with a bundled proposal, we will evaluate each individual item on its own merit and will not vote in support of a bundled resolution if we hold significant reservations about any individual item, even if the bundle contains supportable elements.
Resolutions Pass with a Simple Majority
A simple majority requires more than half of the votes to be cast in favour in order for a resolution to pass. Ontario Teachers' supports simple majority voting, except in situations where a higher majority is required by statute.
Shareholders Vote Confidentially
Confidential voting supports the integrity of the voting process by giving shareholders the ability to vote without fear of coercion or retribution. Therefore, we encourage companies to undertake confidential voting rather than by show of hands or voting by poll.
When companies conduct a vote by poll at a shareholder meeting, they are in effect supporting a one-hand, one-vote standard, where each "hand" present at the meeting receives an equal vote, regardless of the number of voting shares they hold. Voting by poll disenfranchises shareholders as it ignores equity investment and the voting influence that investment should carry as well as penalizing those shareholders who are unable to attend the meeting in person.
Diversity, Equity and Inclusion
Ontario Teachers' believes diversity – defined as the full spectrum of human attributes, perspectives, identities, and backgrounds - has positive impacts on the effectiveness of a board of directors and on the performance of an organization.
Recently, the diversity discussion has refocused to include diversity beyond gender, including (but not limited to) race, age, ethnicity, sexual orientation, gender identity, abilities, diversity of thought, experience and other "non visible" qualities. These discussions have also included promoting greater diversity, equity and inclusive cultures across organizations.
We believe companies that embrace diversity in all its forms and focus on fairness of access, opportunity and advancement for all within an organization create an inclusive culture that is beneficial to the overall success and performance of the organization. Creating this inclusive culture requires eliminating barriers and root causes that have prevented underrepresented groups from full participation within the workplace.
Our home market, Canada, has initiatives and disclosure requirements 3 that endeavor to improve diversity, equity and inclusion, as well as to alleviate anti-Black and Indigenous systemic barriers at publicly listed companies. Our commitments to these initiatives inform and contribute to our position and expectations of companies in this regard.
* We are members of the Canadian Chapter of the 30% Club 4 and regularly communicate this view and engage with companies on the topic.
* Ontario Teachers' is also committed to the alleviation of anti-Black systemic barriers and have signed the CEO Pledge to the BlackNorth Initiative 5 . Among the efforts therein, is the goal of building more robust pipelines of diverse individuals with at least 3.5% representation from the Black leaders in corporate Canada to executive and board roles by 2025.
* We are also founding members of the Investor Leadership Network 6 launched at the 2018 G7 to facilitate and accelerate collaboration by leading global investors on key issues related to sustainability and long-term growth including to develop, promote and deliver action-based and scalable initiatives around diversity, equity and inclusion, climate change and sustainable infrastructure.
Thus, we support, encourage, and expect greater diversity on boards, in management, and across organizations because we believe in the benefits of more diverse, equitable and inclusive organizations.
Expectations of Public Companies on DEI
We expect companies to develop an approach to diversity across the dimensions highlighted that includes an explanation, either through the development of a policy or statement, of a plan with timebound goals towards increasing the participation of underrepresented groups on the board and within senior management aligned to labour pool availability. Furthermore, companies should develop clear and timely disclosures of their diversity efforts, including the achievement against the targets they have set for themselves.
For boards, there should be a minimum of 3 women 7 or 30% female representation on a board. Where there are 12 directors or more, the minimum female director composition will be 30%.
3 Diversity disclosure requirements for boards of directors and senior management for all distributing corporations governed by the Canada Business Corporations Act are to include the following four designated groups: women, Indigenous peoples (First Nations, Inuit and Metis), persons with disabilities; and members of visible minorities. Available online at: <https://www.laws-lois.justice.gc.ca/eng/regulations/ SOR-2001-512/page-5.html#h-1215275>
5 For more information about the BlackNorth Initiative see www.blacknorth.ca.
4 For more information about the 30% Club see https://30percentclub.org/
6 For more information about the ILN see https://investorleadershipnetwork.org
7 The rationale for supporting a minimum of 3 women on a board can be found in the paper "Critical Mass on Corporate Boards: Why Three or More Women Enhance Governance" by Vicki W. Kramer, Alison M. Kondrad and Sumru Erkhut (2006). This view is corroborated in an MSCI report, "The Tipping Point: Women on Boards and Financial Performance" published December 2016 concludes "that having three women on a corporate board represents a "tipping point" in terms of influence, which is reflected in financial performance" (Source: Executive Summary, page 3).
With respect to other dimensions of diversity, boards should set and disclose timebound targets to increase the percentage of the board from underrepresented groups and to report on the achievement against those targets. We further encourage boards to use self-disclosure as a means to demonstrate commitment and progress on creating a board that is diverse beyond gender.
Boards should think holistically about diversity, equity and inclusion, seeking to enhance diversity across all spectrums by considering other factors such as tenure and ongoing board evaluation to as tools to facilitate board refreshment.
Among senior management, DEI initiatives, succession planning, both undertaken by the board and management, should incorporate building a pipeline within the business that supports the upward mobility of individuals from underrepresented groups to ensure a workforce and that is representative of labour pool availability.
Across the organization, management should leverage self-identification data to inform DEI strategies and develop plans to reduce bias in talent decisions as well as create an inclusive culture through recruitment efforts and internal programs such as employee resource groups (ERGs) that connect and celebrate diversity across a number of spectrums.
Expectations of DEI Disclosures
To be able to achieve progress on diversity, equity and inclusion, we rely on publicly available information which is ultimately best informed by self-identification and related disclosures. We strongly encourage boards to be thoughtful about conveying this information in a timely way to investors as it informs decision making on our investment and stewardship activities.
We expect boards to provide shareholders with a complete explanation, which ideally includes a policy or a statement within the board mandate, of how the board is addressing its diversity in its director recruitment process and the diversity goals the board has set out for itself.
Expectations on Climate Change
Ontario Teachers' believes the entire board has ultimate accountability for climate risk oversight, although, similar to other key board responsibilities for audit, compensation, and nomination/governance, we encourage boards to establish climate change responsibility at the committee level. In addition, we expect companies to understand and disclose how climate change materially impacts their current and long-term business and their role in the transition to a low-carbon economy. The board's role in oversight of climate risk should be readily evident and easily understood.
In our assessment of a company's climate-related efforts, we rely on clear, relevant and complete disclosure to understand the risk profile and opportunity set. As such, we expect companies to report based on the frameworks set out by the Sustainability Accounting Standards Board and the recommendations made by the Financial Stability Board's Task Force on Climate-related Financial Disclosures 8 (TCFD).
8 Task Force on Climate Related Financial Disclosures (https://www.fsb-tcfd.org/publications/finalrecommendations-report/).
When reporting on how a company is managing its climate change risk, it is necessary that the disclosures include the metrics being tracked, targets associated with those metrics and the performance against those targets. Furthermore, companies should disclose their carbon footprint and explain how they are calculating their footprint.
Scenario Analysis
When assessing climate risk oversight, we rely on assumptions made by the company in their scenario analysis. Without credible scenario sources, assumptions used and how they were determined, and the range of scenarios used that include a net-zero scenario, it is very difficult to understand the rigor of the analysis and have confidence in the resiliency of companies' business models, and therefore the company's climate risk position. For guidance, we will refer to the Investor Leadership Network's Climate Change Mitigation and Your Portfolio: Practical Tools for Investors 9 .
Emissions Reduction and Net Zero Targets
Companies should demonstrate an understanding of their material emissions and their contribution to climate change. They should provide short-, medium-, and long-term carbon/greenhouse gas emissions reduction targets and their progress towards those targets. Targets should be scaled (i.e., interim target setting) and with an aim towards net zero emissions by the year 2050 (or earlier). We expect a cogent explanation in instances where there is no net zero by 2050 target, or if the target for net zero is beyond 2050.
2022 Proxy Voting Guideline Changes
We have made formatting and content changes to our 2022 Proxy Voting Guidelines.
Formatting changes were made to enhance the readability and focus of the Guidelines. Among the formatting changes are:
* Relocating the discussion on our corporate governance principles using the 4 Pillars of Effective Boards framework to our web site.
* Expanding the "Our Approach to Proxy Voting" section to include our views on a number of broader proxy voting related issues such as virtual shareholder meetings, how we use an integrated assessment process, and our approach to voting when a company is controlled.
* Inserting standalone sections to clearly outline our expectations of boards and companies with respect to diversity, equity and inclusion and climate change.
Content changes were made to articulate our position more clearly on the following issues.
9 See https://www.investorleadershipnetwork.org/wp-content/uploads/2020/09/ILN_Climate-ChangeMitigation-and-Your-Portfolio.pdf for more information.
Virtual Meetings
We recognize the need for virtual meetings and that going forward shareholder meetings will likely be a combination of virtual and in-person events. Based on experiences attending meetings we have outlined several expectations designed to ensure in-person and virtual attendees have the same meeting experience.
Diversity, Equity and Inclusion
As diversity, equity and inclusion continues to gain momentum, we are encouraging boards to begin using self-disclosure to show commitment and progress to creating a board that is diverse beyond gender.
We have also clearly stated in Guideline 1.2.1 Governance and/or Nominating Committee our position that a boards with 12 directors or more should have a minimum of 30% female directors.
Climate Change
To reflect the importance that climate change will have in our proxy voting decisions, we have more clearly stated our expectations with respect to climate change. Companies should demonstrate a clear understanding of how climate risk will materially impact their business and reporting of short-, medium-, and long-term carbon/greenhouse gas emission reduction targets, with the ultimate goal of net zero by 2050 (or sooner). There should be sufficient disclosure to allow for tracking against these targets.
Furthermore, companies should be disclosing their carbon footprint.
Guideline 1 – Board Composition
1.1 Independent Board of Directors
1.1.1 Individual Directors
We support an independent 10 board of directors. Ordinarily, we will not vote against a corporation's director candidates simply because they fail to meet the independence standard. However, we will consider not supporting a director's election to the board if in our view:
* decisions taken by a director have resulted in unsatisfactory corporate performance over a reasonable period of time and/or demonstrate a lack of independence from management;
* a director has (or directors have) demonstrated behaviour that could negatively affect the long-term performance of the corporation;
10 We look to the standards in National Instrument 58-101 of the Canadian Securities Administrators, Disclosure of Corporate Governance Practices, and the corporate governance listing standards of the New York Stock Exchange when determining director independence.
* a director's (or directors') business relationship with the company may compromise their independence; and/or
* a pattern of director behaviour has led to a loss of confidence in their ability to act in the best long-term interests of the corporation. In this case, we may consider not supporting that director's election to any other board for which they are a nominee.
Additional Considerations when determining Director Votes
Environmental and Social (E&S) Risk Management
In cases where a company and/or board has failed to adequately address material or egregious risks stemming from poor management and oversight of environmental or social issues, we may choose to not support individual director(s), chair(s), or committee(s) of the board.
Climate Change Oversight
We view climate change related risks as a set of risks that intersect with, and integrate into, board responsibilities, processes, and practices. As a result, the entire board is ultimately responsible for oversight of these risks. However, we do encourage boards to establish climate change responsibility at the committee level. We will take a case-bycase approach when assessing a board's approach to overseeing climate change risk and, depending on circumstances, will consider not supporting individual director(s), chair(s), or committee(s) when we determine that a board has not taken appropriate action to effectively oversee a company's relevant climate change related risks.
Attendance
We believe attendance at board meetings is a fundamental responsibility of board members. Where a director's attendance falls below 75% per annum without a reasonable explanation provided in proxy materials, we may choose to not support those directors.
Tenure
In situations where we conclude that tenure has had a negative impact on the board's effectiveness, we will take the appropriate action to encourage board refreshment. Depending on the circumstances, such action could be a not support the long-tenured director(s), the Chair of the Nomination Committee (or equivalent) or the entire Nomination Committee.
Former CEO Resignation
A CEO who has announced retirement from their role should also resign from the board upon such retirement date. Should a retired CEO continue to serve as a director past their retirement date without a compelling rationale to support remaining on the board, we will determine the appropriate course of action which, depending on the circumstances, could be to not support the former CEO, the Chair of the Nomination Committee (or equivalent) or the entire Nomination Committee, or any combination thereof. Where warranted, we will typically accept the CEO remaining on the board to facilitate the transition from one CEO to another.
Overboarding of CEO
We believe that given the time commitment required to be both a CEO and a director, it is appropriate to limit a sitting CEO to one public company board outside of their own company board. An overboarded CEO is an active CEO who serves more than one public company board, not including the board of the company for which they are the CEO. We will typically not support the re-election of the director if they are an overboarded CEO.
Director Representation in Proportion to Equity Ownership
In circumstances where an investor has a significant ownership stake in a corporation, we support director representation on the board that is proportional to the investor's economic interest.
Board Size
We believe a board size ranging from five to 16 members reflecting the size and complexity of the business is appropriate. We will typically not support amendments to by-laws which seek to change the size outside of this range or where we do not believe the by-law change supports an effective board structure. Where the addition of a director up for election changes the board size outside of this range, we may choose to not support certain directors if there are other governance concerns that, taken together, are a cause for concern or we may choose not to support the chair of the governance committee given their leadership role in structuring the board. Boards outside our preferred size range do not necessarily result in us taking voting action against any of the directors up for election, unless we determine the size is inhibiting the board's effectiveness.
A vote against director candidates may not be based solely on a single factor such as a lack of independence or unsatisfactory corporate performance but considered in combination with other factors.
1.2 Key Committees
1.2.1 Governance and/or Nominating Committee
We support the establishment of a fully independent governance and/or nominating committee. We will consider not supporting directors if we believe that the absence of a governance and/or nominating committee, its operations, or its decision making have adversely affected the composition of the board and the governance of the corporation. We generally demonstrate our concerns by first voting against the committee chair. If concerns are not addressed, or in extraordinary situations, we will escalate to a vote against the entire committee.
Additional Considerations when determining Governance and/or Nominating Committee Votes
Director Nomination and Evaluation Process
In situations where the board fails to publicly disclose its nomination and evaluation processes, we will consider not supporting the chair of the nominating/governance committee, depending on a number of factors, notably our assessment of the overall composition of the board, and if we believe that the absence of such disclosure has adversely affected the transparency of the board's commitment to director succession planning and evaluation.
Creation and Publication of a Skills Matrix
We encourage and support proposals requesting the adoption and disclosure of a board skills matrix – which should highlight skills and areas of expertise that are relevant in the context of the company's strategy and material risks to the company as a best practice tool to achieve this. We discourage the practice of disclosing a "laundry list" of skills.
Board Gender Diversity
We will consider not supporting the chair of the governance and/or nomination committee or other members of the committee where less than 3 or 30% 11 of directors identify as female and/or the board does not describe its approach to achieving a 3 or 30% goal and/or maintaining its gender diversity. For boards below the 3 or 30% goal, we expect disclosures to include a timebound commitment to achieve that goal. Alternatively, we may decide to engage with a company on the issue, and/or escalate voting action where no progress is evident.
Board Diversity beyond Gender
With respect to other dimensions of diversity, we encourage boards to set and disclose timebound targets to increase the percentage of the board from underrepresented groups and to report on the achievement against those targets. To facilitate assessment of board diversity beyond gender, we encourage directors to self-disclose, where legally permissible, if they are a member of an underrepresented group.
Implementation of Shareholder Proposals
We expect boards to respect the shareholder democratic process. We hold the chair of the governance committee (or equivalent) responsible for ensuring that all proposals put to a shareholder vote receiving majority support are implemented in accordance with the terms of the shareholder proposal or provide a convincing rationale as to why it is in the best interests of the corporation that the board decided to not take action. In situations where a shareholder proposal receives meaningful 12 , but not majority, support, we expect the company to address shareholder concerns. If we decide that the lack of respect for the shareholder democratic process is frequent or serious, we will consider not supporting members of the governance committee or the entire board.
Adopting Bylaws
We expect boards will not enact bylaws or policies that adversely affect shareholder rights without first putting the issue to a shareholder vote. In situations where such a bylaw or policy has been adopted without a shareholder vote, we will, depending on the circumstance, hold the chair or members of the corporate governance committee (or equivalent) responsible and not support their re-election to the board.
11 For clarity, for boards with 12 directors or more we will apply a minimum 30% gender diversity standard. 12 Based on experience, support above 30% would be considered meaningful.
1.2.2 Compensation Committee
We support the establishment of a fully independent compensation committee. We will consider not supporting individual members of the compensation committee if we believe there is evidence of recurring failures of the compensation committee to link pay with performance or if there are extraordinary and unjustified decisions on the part of the committee. We generally escalate our concerns by first not supporting the chair of the committee, if we are not satisfied with the changes implemented, or in extreme cases, we may consider voting against the entire committee.
If there are members of the executive on the compensation committee, we will consider not supporting the executive and the chair of the governance and/or nominating committee.
1.2.3 Audit Committee
We support the establishment of a fully independent audit committee. We will consider not supporting individual members of the audit committee if we believe there is evidence of recurring financial misstatements or other audit failures. We generally escalate our concerns by first not supporting the chair of the committee, if we are not satisfied with the changes implemented, or in extreme cases, we may consider not supporting the entire committee.
Additional Considerations when deciding Audit Committee Votes
Auditor Appointment
We will generally support the choice of auditors recommended by the corporation's directors. The instances of auditors being changed other than as a result of routine rotation will be reviewed on a case-by-case basis. We would be concerned if the same partner of any firm has audited a company for extended periods or if there have been material restatements to the financial statements. In these circumstances, we may not support the auditor, and/or members of the audit committee.
Existence of Alternative Dispute Mechanisms
We will generally not support the reappointment of the auditor if efforts have been made to use binding arbitration between management and the auditors as a means of dispute resolution to limit or reduce an audit firm's liability.
In some jurisdictions it has become common for an audit engagement letter to include binding arbitration. The terms of these provisions may limit the amount of information that can be presented in relevant proceedings and may not allow decisions to be appealed. This restricts the company's ability to seek relief for damages (monetary or otherwise) and, in our view is not conducive to a strong audit process. We will therefore not support the appointment of the auditor if the audit engagement letter includes such provisions.
1.2.4 Audit Fees
A significant majority of revenues generated by the accounting firm through its relationship with the company should come from the audit function proper. Where there is no disclosure or a breakdown of the fees shows the non-audit fee is greater than one third of the total fees without further clarification, we will not support the re-election of the outside auditor.
Where non-audit fees have been detailed, we will consider each fee on a case-by-case basis in determining auditor independence, but we will not support the reappointment of the auditor where in our view it appears that its independence has been compromised.
1.3 Election of Directors
1.3.1 Annual Election
We prefer the annual election of all directors. We will generally not support proposals that create a staggered or classified board 13 . However, we note that a number of companies in jurisdictions around the world have long-standing processes which elect directors to staggered terms. In such cases, we do not believe it is appropriate to vote against directors simply as an indication of disagreement with the manner in which they are elected.
1.3.2 Majority-vote Standard
We support the establishment of a majority-vote standard 14 for the election of directors. In the absence of a majority-vote standard we expect issuers to adopt a majority-vote policy 15 . We typically hold the Chair of the Nomination Committee (or equivalent) responsible to ensure the majority vote policy is implemented in a manner consistent with its objective to hold directors accountable.
1.3.3 Individual versus Slate Election
We also support the election of directors individually rather than as a slate. We will not ordinarily vote against the board candidates proposed by a corporation simply because the corporation fails to meet these standards.
1.3.4 Cumulative Voting
In situations where cumulative voting is in place, we will allocate our votes for each director in a manner that we believe will best promote good corporate governance over the long-term.
1.3.5 Contested Elections
If a board is subject to a contested election, we will evaluate the dissident's argument and proposed plan of action, and assess the qualifications, independence, experience, and track record of the alternate slate of nominees relative to that of the incumbent board. We will support the dissident slate when we believe that it would be better positioned to effect positive change and increase shareholder value over the long term than the incumbent nominees.
13 In a staggered or classified board, directors are typically elected in two or more classes, serving terms greater than one year. Using an example of a three-year staggered board, at each annual meeting, one third of the board members or nominees would be eligible for shareholder ratification for a three-year period. 14 Under a majority-vote standard shareholders vote "For" or "Against" directors and only those directors
15 Issuers not employing a majority-vote standard will elect directors using plurality voting. In plurality voting shareholders vote "For" or "Withhold" for directors and there is no ability to vote "Against" a director, allowing directors to be elected with a single vote. Under a majority-vote policy, "Withhold" votes are considered "Against" votes and should a director receive a majority of "Withhold" votes, they would be required to submit their resignation to the board. The board would then be required to either accept or reject the resignation and publicly disclose their decision, preferably within 90 days of the shareholder vote.
receiving a majority of votes cast are elected.
Use of a Universal Proxy in Contested Elections
In a contested election, we prefer the use of universal proxy ballots in place of separate dissident and management proxy cards. A universal ballot lists all management and dissident nominees on a single proxy card, ensuring equal representation of all nominees to be voted upon by shareholders. Currently, in most proxy contests, shareholders are restricted to casting votes for either management's nominees or the dissident's nominees using their respective proxy cards. We believe that a universal ballot provides shareholders with a less confusing and cumbersome way to select a combination of director nominees from all listed candidates, regardless of who nominated the candidates.
1.4 Separation of Board and Management Roles
1.4.1 Separation of Chair and CEO Roles
We support the separation of board and management roles. We will not ordinarily vote against a corporation's director candidates where a separation of board and management roles does not exist. We will do so if we determine that the combination of roles is negatively affecting the effectiveness of the board and/or corporate performance over a suitable time frame is unsatisfactory.
1.4.2 Recombination of Chair and CEO Roles
We have significant concerns when a board that previously split the roles of Chair and CEO decides to revert to a combined Chair/CEO structure. In the absence of a persuasive explanation as to how the recombination of the roles is in the best interests of shareholders, we will consider not supporting the chair of the governance committee (or equivalent) and/or its members responsible for this decision.
1.4.3 Executive Chair
We generally do not support the role of Executive Chair because we believe the Chair should be independent of management and not be identified with management. Furthermore, we have significant concerns if the role appears to be a reward for past services, such as situations where former CEOs or Chairs remain on the board and are given the "Executive Chair" title. In these situations, there is a risk of former CEOs and Chairs inhibiting the new leadership from executing their duties as they see fit. Depending on our degree of concern, we will not support one or more of the Executive Chair, the chair of the governance committee (or equivalent) and the committee members. We will maintain these votes if we do not see a change until the standard cooling-off period of three years is reached.
1.4.4 Director Liability and Indemnification
We will generally support proposals that reasonably limit directors' liability and provide indemnification.
Guideline 2 - Compensation
2.1 Effective Equity Compensation
We assess proposed equity compensation on a case-by-case basis. We review the features of each plan together with the other aspects of total compensation and, after considering each of the issues, determine the reasonableness of the plan.
Equity compensation plans can increase the number of shares of a company and therefore dilute the value of existing shares. While such plans can be an effective compensation tool in moderation, they can be a concern to shareholders and their cost needs to be closely watched. We consider factors related to issuing, vesting and exercising, as well as others, when analyzing equity compensation plans.
2.1.1 Issuing
Concentration
We will generally not support plans that authorize allocation of 25% or more of the available equity incentives to any one individual.
Cost
We will support plans whose costs are reasonable in the context of compensation as a whole and relative to industry practice. We consider grant date fair value to be the most appropriate cost to use as it reflects the value directors placed on the executives at the time of the granting of the award.
Dilution and Burn
We will generally support equity incentive plan amendments if the total potential dilution 16 does not exceed 5%, and the burn rate 17 is less than 1% per annum. We will review, on a case-by-case basis, equity incentive plans that provide for total potential dilution exceeding 5% but less than 10%, or where the burn rate exceeds 1% per annum. Where warranted and in limited circumstances, we will consider supporting equity incentive plan amendments with potential dilution rates exceeding 10%, or where the burn rate exceeds 2% per annum.
Fixed Number of Shares
We will generally not support plans that have a rolling maximum of shares available as options or other forms of equity compensation. We believe plans having a fixed number of shares available for grant place a discipline upon the board when awarding equity compensation.
Price
We will generally support plans whose underlying securities are to be issued at a value that is no less than 100% of the current market value.
16 For our purposes, total potential dilution is the total number of shares available for grant (equity pool) plus unexercised shares that have been previously granted divided by the total shares outstanding.
17 The burn rate is defined as the annual equity grant divided by the total outstanding shares and provides us with a measure of how fast the company is using the equity pool and diluting its shareholders.
2.1.2 Vesting
Automatic Vesting
We will generally not support plans that are 100% vested when granted.
Change of Control
We will generally not support plans with change of control provisions that allow all equity compensation to automatically vest upon a change of control. We will not support change of control arrangements developed in the midst of a takeover fight specifically to entrench management. We will not support the granting of equity incentives or bonuses to outside directors "in the event" of a change of control, as the independence of outside directors will be compromised if they are eligible for additional benefits in the event of a change of control.
Performance Vesting
We will generally support plans that link the granting of equity incentives, or the vesting of equity incentives previously granted, to specific performance targets.
Retesting
We generally do not support retesting, a practice which occurs when a performance condition that is not met in the current period is deferred to a future period. We believe that for targets to be meaningful under pay-for-performance, they need to be strictly adhered to and not deferrable.
Vesting Provisions
We will review on a case-by-case basis the terms of the vesting of equity awards, paying particular attention to vesting conditions, not supporting those that are considered lacking a pay-for-performance link, such as performance targets set below the median of the company's comparative group. We are also generally skeptical of dividends paid and/ or accrued on unvested equity. We are not supportive of this practice as it undermines the principle of granted but unvested compensation.
2.1.3 Exercising
Employee Loans
We will generally not support the corporation making loans to employees to allow employees to pay for equity compensation. Furthermore, when loans become excessive they expose the company to risk as a result of potentially uncollectable debts and may inhibit the termination of employees who owe the company. Executives seeking to borrow to buy equities under equity compensation plans should be required to obtain credit from conventional, market-rate sources, such as banks or credit unions.
Expiry
We will generally support plans whose equity incentives have a life of no more than five years. We will review on a case-by-case basis those plans whose equity incentives have a life of more than five years, but we will generally not support plans with "evergreen" provisions 18 .
18 Evergreen provisions are features in a plan which allow for equity plans to automatically renew and/or have an indefinite life.
Re-pricing
We will not support plans that allow the board of directors to lower the exercise price of equity incentives already granted. We will not support proposals that, directly or indirectly, would reduce the exercise price of incentives already granted.
2.1.4 Other
Board Discretion
We will not support plans that give the board broad or unlimited discretion in setting the terms and conditions of programs. Such programs must be submitted to shareholders with adequate detail regarding their cost, scope, frequency and schedules for exercising the equity incentives.
Disclosure
We strongly support the disclosure of all significant aspects of the equity compensation plan including full transparency of performance goals and vesting conditions.
Director Eligibility
We will generally support equity incentive plans for directors where the terms and conditions of director incentives are clearly defined and reasonable. In particular, we look for a specific and objective formula for the award of director equity incentives. We will generally not support those plans that provide for discretionary director participation.
Omnibus Plans
We will review omnibus plans (three or more types of awards in one plan) on a case-bycase basis. Generally, we believe that shareholders should vote on the separate components of such plans rather than be forced to consider the "take-all" approach of an omnibus collection. Although we are generally opposed to the concept of omnibus plans, we will review each element to determine whether the specific benefits being offered adhere to our other guidelines in this category.
Pledging and Hedging
We generally do not support arrangements made on the part of executives or directors to pledge as collateral or hedge their equity ownership.
Severance Compensation
We will review severance compensation arrangements on a case-by-case basis. We will not support severance payments or "golden parachutes" that we deem to be excessive or that are "single-trigger" arrangements.
2.2 Advisory Vote on Compensation ("Say-on-Pay")
Say-on-pay votes are an important tool to facilitate compensation-related dialogue between directors and shareholders. Where we are required to vote with respect to management compensation proposals in an advisory or legally binding capacity, we will review compensation on a case-by-case basis to ensure that it meets our criteria and assess the plan based on features discussed below in Guideline 2.3 Management Compensation. We will generally vote in support of advisory votes on compensation if we believe that the compensation plan has met our guidelines and is adequately designed to align pay with performance.
We have identified certain trigger points that, depending on their severity, could result in our not supporting say-on-pay resolution. This list is not exhaustive, and includes:
* an evident disconnect between pay and performance, or the strategic objectives of the company;
* issues around the vesting of equity (length of vesting inconsistent with the type of compensation, such as long-term compensation with a short vesting period; lack of performance vesting for equity);
* poor structure or lack of a long-term plan;
* similar metrics to award both short- and long-term compensation without a compelling rationale as to why this is appropriate;
* unchallenging or inappropriate performance criteria used to award compensation or to determine the vesting of equity;
* disproportionate compensation paid to the CEO relative to other senior executives;
* a poorly constructed or inappropriate application of peer groups; and
* discretionary payments without sufficient justification, and/or discretionary awards that become habitual; and
* unlimited discretion or discretion applied without a convincing reason.
Whenever we have issues with a compensation program and irrespective of our voting decision, we will outline our concerns to the company directly. In situations where either the committee has failed to respond to our concern(s) or has made decisions that in our view represent a significant disconnect between pay and performance, we will consider voting against members of the compensation committee in addition to not supporting the say-on-pay resolution.
We expect boards to respect the shareholder democratic process with respect to say-onpay resolutions. If a say-on-pay proposal receives meaningful voting opposition from shareholders in any given year, we will generally hold the chair of the compensation committee responsible to ensure that significant improvements are subsequently made to the compensation plan.
2.2.1 Frequency of the Say-on-Pay Vote
We support annual say-on-pay votes.
2.2.2 Discretionary Awards
We review discretionary payments on a case-by-case basis and generally do not support these awards when the company has not provided a compelling reason for the award. We believe that awards outside the normal compensation plan can bring the design of current arrangements into question and, particularly when used for retention purposes, they can be a sign of weak succession planning.
We have significant concerns when we see the regular awarding of discretionary compensation year after year. Habitual use of discretionary awards without sufficient rationales may result in votes against an advisory vote on compensation and we may choose to escalate our votes against the Chair of the compensation committee, committee members, and/or board members where use persists and/or our engagements are unsuccessful.
2.3 Management Compensation
We will review management compensation plans on a case-by-case basis. We review the features of each plan and determine the reasonableness of the plan.
We are likely to support compensation plans that have the following features. We may not support plans that deviate from or exclude these features:
* a clear statement by the board of directors of its executive compensation philosophy and how this philosophy is related to the company's strategic objectives;
* increases to salary that move with inflation, and all other increases to the base are accompanied by a sound rationale;
* incentives for performance that address both short- and long-term corporate objectives that we believe will be stable and not require alteration through the company's business cycle;
* a minimum one-year post-retirement hold period of equity awards, although we prefer a period of two years;
* minimum share ownership requirements for executives;
* meaningful industry and company performance metrics either financial or qualitative for the awarding and/or vesting of incentives;
* full disclosure of all benefits including the present value of pension benefits and supplemental executive retirement plans in the compensation table in the management information circular;
* identification of changes in philosophy or performance targets;
* a relatively simple methodology that is easy to understand;
* clawback provisions allowing the company to recoup compensation already paid in the event of financial restatement, misconduct, or negligence that contributed to the payment of unearned compensation, and clear disclosure to shareholders in the event the clawback is used;
* non-GAAP metrics only when appropriately used and accompanied by a clear explanation on how the calculation of the metric was achieved and the impact to the incentive as a result; and
* sustainability metrics when the issue is material and the metric is carefully selected for performance measurement accompanied by a clear explanation on alignment to strategy and provided that thresholds and targets are appropriate and adequately disclosed.
2.4 Director Compensation
We will generally support proposals that call for a certain percentage of directors' compensation to be in the form of common stock (including deferred or restricted share units). We will not ordinarily vote against directors where there is no practice of paying some percentage of director compensation in common stock. We will do so if corporate performance, over a suitable time frame, is unsatisfactory.
We typically do not support director equity compensation that is performance based or linked to the company share price (i.e., options).
We do not support retirement plans for directors.
We will review total compensation paid to directors on a case-by-case basis to ensure that the director compensation program provides appropriate compensation without compromising the director's ability to be independent. As such, we will evaluate director compensation structures on a case-by-case basis, with a preference that director compensation is not dependent on management and company performance.
We do not support arrangements made on the part of directors to pledge as collateral or hedge their equity ownership.
2.5 Employee Compensation
While we typically leave employee compensation matters outside of Named Executive Officers to the judgement of the Company, we expect employee compensation to be aligned with the best interests of shareholders.
We believe employee equity incentive plans can be effective forms of employee compensation. We will typically support plans that do not exceed a discount greater than 15% of the Company's share price, does not contribute to excessive dilution to shareholders, and carries a reasonable time period of issuance authority.
Guideline 3 – Corporate Structure and Capital Management
3.1 Reincorporation
Reincorporation involves a proposal to re-establish the company in a different legal jurisdiction. There are legitimate reasons why a company may want to reincorporate, but it is often a tactic by management to frustrate a potential takeover, or to limit director liability or other shareholder rights.
We will support reincorporation proposals when management and the board can demonstrate sound financial or business reasons for the move. However, we will generally not support reincorporation proposals that are made as part of an anti-takeover defense or solely to limit directors' liability.
3.2 Increase in Authorized or Issued Shares
An increase in the number of authorized or issued shares provides a company's board of directors with flexibility to meet changing financial conditions. Additional shares may be needed to:
* implement a stock split, which can expand and improve the market for the company's securities;
* aid in a restructuring or acquisition, which can improve the company's competitive position;
* provide sufficient shares for use in stock option or other executive compensation plans; or
* implement a shareholder rights plan or other takeover defense.
We believe that shareholders should have input on major decisions on authorized shares and share issuance given the potential dilution risk they pose.
We will generally do not support proposals that seek to increase the authorized or issued shares by 10% or more when management does not demonstrate a specific need. For requests in excess of 10% that have a specific need, we will also assess the validity of the need and will support those requests where we determine the need to be valid.
Authorization without Pre-emptive Rights
We will generally not support proposals where the increase in authorized or issued shares does not contain pre-emptive rights, other than in the case of an all-stock takeover bid or merger.
3.3 "Blank-Cheque" Preferred Shares
Blank-cheque preferred shares usually carry a preference as to dividends, rank ahead of common shares upon liquidation, and give a board broad discretion (a blank cheque) to establish voting, dividend, conversion, and other rights in respect of these shares.
While they might provide corporations with the flexibility needed to meet changing financial conditions, they may also be used as a vehicle for a defence against hostile suitors or may be placed in friendly hands to help block a potential takeover bid. A concern for many shareholders is that once these shares have been authorized, shareholders have no further power to determine how or when these shares will be designed and allocated.
We will generally not support either the authorization of, or an increase in, blank-cheque preferred shares.
Guideline 4 – Takeover Protections
We assess takeover protection measures on a case-by-case basis, considering the extent to which the measure enhances the long-term value of our investments.
4.1 Shareholder Rights' Plans ("Poison Pills")
A shareholder rights plan provides the shareholders of a target company with rights to purchase additional shares or to sell shares at very attractive prices in the event of an unwanted offer for the company. These rights, when triggered, impose significant economic penalties on a hostile acquirer.
In our view, there are limited legitimate purposes of a shareholder rights plan: 1) ensuring that all shareholders are treated equally in connection with a change of control of the company; 2) allowing the board of the target company sufficient time to determine whether there is a better alternative to the offer; and 3) permitting shareholders to make an informed decision about the bid and available alternatives.
Many shareholder rights plans go much further than these legitimate aims. In such circumstances, they may be used to discourage a takeover bid, or to prevent shareholders from responding to a bid or from determining the best course of action for the company. We believe it is appropriate for shareowners to determine if a rights plan should be implemented and subsequently remain in effect, whether within the context of a bid or otherwise. As owners, they are less likely to be subject to the conflicts of interest that could influence the judgment of the board and management.
We will review shareholder rights plans on a case-by-case basis. We will generally not support shareholder rights plans that go beyond ensuring equal treatment of shareholders in the event of a bid, allowing the company sufficient time to consider alternatives to a bid and permitting shareholders to make an informed decision about the bid and available alternatives.
In situations where a shareholder rights' plan is adopted without first going to a shareholder vote, we will, depending on the circumstance, hold the chair or members of the corporate governance committee (or equivalent) responsible and not support their re-election to the board.
4.2 Advance Notice Requirement
We will evaluate advance notice requirement by-law amendments on a case-by-case basis and will not support by-law amendments that place unreasonable burdens on shareholders wishing to nominate directors.
4.3 Supermajority Approval of Business Transactions
Supermajority amendments are generally designed to deter hostile takeovers by imposing artificially high voting barriers. They typically require the approval of threequarters (75%) or more of shareholders for a particular transaction.
We agree that in some circumstances a supermajority approval is appropriate; however, we feel that in these circumstances a two-thirds (66.7%) approval level is sufficient. Such a vote requirement is reasonable and provides sufficient protection against unwarranted invasions on the corporation. A two-thirds threshold also has some support using corporate law as a precedent.
We will review supermajority proposals on a case-by-case basis; we will generally not support proposals in which management seeks to increase the number of votes required on an issue above two-thirds (66.7%) of the outstanding shares.
4.4 Going Private Transactions, Leveraged Buyouts and Other Purchase Transactions
We will evaluate going-private transactions, leveraged buyouts and other purchase transactions on a case-by-case basis, but we will not support transactions that do not adequately compensate minority shareholders.
4.4.1 Going Private Transactions/Leveraged Buyouts
When a publicly traded corporation seeks to go private via a going-private transaction or a leveraged buyout, we will evaluate the proposal against the best long-term economic interests of shareholders and if the transaction furthers the interests of one group of stakeholders over another.
In addition to this economic analysis, we will review the process by which the proposal was received and consider whether:
* in the case of related-party transactions, a proper review was undertaken by an independent committee of the board;
* other potential bidders have had an opportunity to investigate the company and make competing bids;
* a valuation and/or "fairness opinion" has been obtained from a qualified and independent third party, and the analysis and recommendations contained in that valuation or opinion support the proposal; and
* in the case of related-party transactions, minority shareholders will be given the opportunity to vote the proposal separately from those shareholders who may be related parties.
4.4.2 Other Purchase Transactions
We review all transactions on a case-by-case basis and will support those which we believe are clearly in the best interests of shareholders.Guideline 5 – Shareholder Rights and Shareholder Proposals
Guideline 5 – Shareholder Rights and Shareholder Proposals
5.1 Action by Written Consent
Ontario Teachers' believes that holding meetings and requiring a shareholder vote is a good forum for engaging all shareholders in important decisions affecting their investment. In our view, there are too many unknowns associated with allowing shareholders to act by written consent that have the potential to disenfranchise some shareholders to outweigh the benefits of holding meetings. As such, we will not support proposals related to action by written consent.
5.2 Right to call a Special Meeting
We typically support proposals seeking to establish a threshold of 10% ownership to be able to call a special meeting should the situation warrant.
5.3 Virtual Only Meeting
We are concerned when a company proposes or elects to hold virtual-only shareholder meetings. We believe this potentially limits meaningful communication between shareholders and management. Instead, we believe that virtual meetings should be used as an option in addition to offering in-person meetings with shareholders and should provide the same opportunities for shareholder participation as would be the case in an in-person meeting. We generally hold the chair of the board and/or the chair of the governance and nominating committee responsible given their leadership roles on the board and will not support their election to the board.
5.4 Dual-Class Share Structure
While we do not support the creation of dual class share structures, we understand that this structure does exist in many corporations. In these cases, it is important that the share provisions allow for fair and equitable treatment of both classes of shareholders, which we will assess on a case-by-case basis. For example, we consider coattail provisions 19 appropriate to be included in the share provisions of any dual-class structure.
We support one class of shares. We will generally not support the creation or extension of dual class share structures. We will review transactions to collapse controlled corporations with dual-class structures on a case-by-case basis, supporting the collapsing of dual-class structures insofar as the transactions eliminating the structures are in the best long-term interests of the corporation. We would not support transactions which transfer a significant amount of wealth as a control premium to the controlling shareholder(s). We support the creation of sunset clauses that specify a reasonable time limit and/or conditions that once are met collapse the dual class structure.
19 Coattail provisions allow for the holders of subordinated shares to be treated equally to the superior shares in the event of a formal bid for the company.
5.5 Shareholder Proposals
We will evaluate all shareholder or stakeholder proposals on a case-by-case basis. We will generally support proposals that relate to enhancing disclosure on issues we believe may present a material risk, issue, or generally improve the company's corporate governance processes and practices. We will generally not support proposals that in our view place arbitrary constraints on the company, its board or management, duplicate existing practices and/or hinder the creation of long-term shareholder value. We will also consider the company's efforts to influence or obstruct the realization of a shareholder proposal from the ballot where the proposal is related to material issue at the company.
We note that shareholder proposals are typically advisory votes. We recognize there may be instances where we support the intent of the proposal but find the time frame for implementation to be overly restrictive or unrealistic. In these cases, and understanding the advisory nature of shareholder proposal votes, we will consider supporting the shareholder proposal but allow the company a longer implementation time frame.
5.5.1 Environmental and Social (E&S) Shareholder Proposals
Voting decisions on E&S proposals are also informed by an evaluation of materiality and will consider the company's unique set of circumstances and current approach to the request or issue. We are guided by an internal framework designed to ensure that all shareholder proposals are evaluated in a consistent manner.
We will assess shareholder proposals on a case-by-case basis and will typically support shareholder proposals that we believe strengthen the company's climate change-related practices. Some examples of shareholder proposals that we may support are proposals related to:
* improving climate change governance practices and board oversight;
* the completion of a materiality assessment regarding company's climate exposure with the intention of having the company better understand their climate risks;
* the stronger disclosure of decision-useful climate related information;
* the monitoring and management of climate change related risks and opportunities;
* additional action by the company to better align their business with the transition to a low -carbon economy aligned with the Paris Agreement 20 including net zero initiatives;
* the alignment of reporting with the framework of the Sustainability Accounting Standards Board (SASB) and the recommendations of the Task Force on Climaterelated Financial Disclosures (TCFD).
20 Paris Agreement: (https://unfccc.int/files/essential_background/convention/application/pdf/english_paris_ agreement.pdf)
Human Capital Management
We encourage companies to demonstrate leading practices in human capital management to support a healthy work environment and inclusive culture. This enables businesses to deepen competitive moats and improve capital efficiencies through increased productivity, innovation, and reduced injuries, as well as sustain employee engagement, and improve its ability to attract and retain employees.
We also encourage companies to provide relevant disclosures that would allow us to assess human capital management practices.
We typically support proposals requesting a company to:
* improve its governance and oversight of human capital management;
* develop policies related to, but not limited to anti-discrimination, freedom of association, diversity, equity and inclusion, pay practices, supplier codes of conduct, and employee health and safety.
Political Activities and Expenditures
We expect the stated views of a company be aligned with their actions. As such we would expect that commitments and public statements are appropriately reflected in the company's practices, policies, goals, and strategy. The onus is on the company to demonstrate congruency across all facets of the business.
One area where companies can demonstrate alignment of their commitment with their actions is through corporate political activities and participation in trade associations. We expect actions taken by the company in the realm of political activities and expenditures, and trade associations to be, not only aligned with corporate strategy, but to also enhance the long-term value for shareholders and stakeholders. If there is a misalignment between the company's actions and their commitments, we expect a cogent explanation as to why the misalignment exists and the plan for remedying the contradiction.
We typically support proposals seeking to establish or improve oversight from the board on political expenditures (quantum) and activities, including policy and procedural reviews, and taking industry and peer comparisons into consideration. We also expect companies to provide regular disclosure on political expenditures, rationales for political expenditure, dues to trade associations, and rationale for association dues paid.
5.6 Exclusive Forum Provisions
We believe that shareholder derivative lawsuits provide shareholders with an important mechanism to ensure that directors and officers fulfill their fiduciary duties. When a board requests the adoption of an exclusive forum provision, it is seeking the authority to amend the company bylaws so that shareholder derivative lawsuits would be limited to a single jurisdiction.
Although there are legitimate reasons why a company may want to adopt such a provision, this can be a tactic to discourage the pursuit of derivative lawsuits by increasing their difficulty and cost, and therefore limit shareholder rights.
We will review board requests to adopt an exclusive forum provision on a case-by-case basis. We will generally support proposals where the company can demonstrate a sufficient rationale for the amendment and where we are comfortable with the jurisdiction being proposed. However, we will generally not support these requests if we feel the company is using it solely to restrict shareholder rights. In situations where exclusive forum provisions are implemented without first going to a shareholder vote, we will, depending on the circumstance, hold the chair or members of the corporate governance committee (or equivalent) responsible and not support their re-election to the board.
5.7 Director Nomination by Shareholders (Proxy Access)
We will review requests to adopt proxy access on a case-by-case basis. We are generally supportive of proposals containing thresholds that equate to a sufficiently high dollar amount of share ownership to avoid potential abuse of proxy access authority.
5.8 Any other Business
Where companies do not provide sufficient information and require a vote enabling the Board and/or management to hear other business at the AGM, it would not be prudent of us to approve these requests in advance so we generally not support such proposals.
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San Jose IBM Retirement Club Newsletter
September, 2008 Volume XXIII Number 9
PRESIDENT'S CHAT
Dear Friends,
The nominating committee has two positions open for next year's Club officers. They are Club Secretary and Vice President. The board has also approved a proposal to change club membership requirements from 'IBM Retiree' to 'Individuals who have worked for IBM during their career and now consider themselves retired.' Hopefully someone may know of an individual who this change will affect and perhaps help fill the open positions. If so please call me: 1-(831) 338–3069.
The transition to online newsletters is moving well, although we still have a long way to go. "Thank You" to those members who responded to Ed Mueller's survey. Remember, the renewal code, L08 and V2008, after your name on the address label, indicates that Ed has logged your confirmation.
The Club's 22nd annual meeting is not too far away. Our guest speaker is Rod Diridon. He will be speaking on Public Transportation, an important topic in today's environment. It will be held October 28, 2008, at the Almaden Winery Community Center, 5730 Chambertin just off Blossom Hill Road. Please plan to attend.
Happy Labor Day Art Dill, Club President
2008 Bylaw Changes and Update
The Executive Board has approved the rewriting of Article 3 to change the bylaw on Membership. The following three changes have been incorporated into that section.
All former IBM regular employees qualify to be Members in the Club.
Associate Members can now hold any office except President or Vice President
A widow or widower of a Member becomes an Associate Member and carries forward the membership status of the spouse.
These changes to the Bylaws will be voted on at the annual meeting in October. If you wish to review the current Constitution and Bylaws go to the club web site (www.sjpc.org/sjrc) and look for "Constitution and Bylaws."
Adopt-A-Highway August 14, 2008
Nineteen litter lifting athletes removed 35 bags of litter bringing our total to 2371 during the 7+ years we have been competing with litterbugs. Barbara and John Warner found a volunteer last month. Their neighbor Carol George was driving down 85 and saw them. Later she came to their garage and asked them what they were doing on the highway. They promptly recruited her and gave her safety orientation; she makes her debut at our September clean. Money found this month: $1.21 in coins. Bob Ramirez told us Abe Lincoln wanted a hitch and then a second Abe Lincoln wanted a ride also. He was referring to the two five dollar bills he found which turned out to be counterfeit. The running ink on the damp bills was a dead give away. We turned them over to the bank. In order to comply with new Federal Highway Administration requirements, Caltrans is providing us with new Class II safety vests by November 24. When we finished we were rewarded with cool melon provided by Pat Motta.
Schedule: second Wednesday, September 10; 2008 second Thursday, October 9, 2008
meet in VTA Parking lot 8:45 a.m.
Callers: Alice Czerniec 224-6230 Barbara Pugh 265-2466
Contact: Doug & Evelyn Dean (408) 264-9502 firstname.lastname@example.org
San Jose IBM Retirement Club
IBM Club 650 Harry Road San Jose, CA 95120
www.sjpc.org/sjrc/
OFFICERS:
President:
Art Dill (831) 338–3069
email@example.com
Vice-President:
George Walker 268-7623
firstname.lastname@example.org
Secretary:
Dave Sloan
766-7566
email@example.com
Treasurer:
Tom Clarke 356-4317
firstname.lastname@example.org
Membership:
Ed Mueller
email@example.com
Communications:
Walt Cole
972-1178
firstname.lastname@example.org
Directors-at-Large:
Bernie Coullahan 356-5311
email@example.com
Millie Wiedemer
779-7744
firstname.lastname@example.org
Ron Harlan 266-7639
email@example.com
COMMITTEES:
Sunshine:
Terry Milinic'
265-5908
firstname.lastname@example.org
Community Service - Adopt-A-Highway:
Doug & Evelyn Dean 264-9502
email@example.com
Hard Drive Fitness Club:
John Czerniec 224-6230
firstname.lastname@example.org
Past Presidents/Advisors:
Mel Olsen, Ed Henschel, Bill Souza, Glen Furlong, Terry Milinic', Ron Harlan, George Nale, Ernie Veal, George Walker, Ina Havens
San Jose IBM Retirement Club Web Site:
www.sjpc.org/sjrc/
The San Jose IBM Retirement Club Newsletter is intended for use by members of the Club and their families. Contributions are the sole responsibility of the authors and should not be construed to represent an official position of the San Jose IBM Retirement Club or the IBM Corporation.
Membership Report Ed Mueller
e-mail: email@example.com
August 21, 2008
Membership History
Number in () is how many folks are receiving their newsletters via the Internet instead of the US Mail
| Year | July | August |
|---|---|---|
| 1998 | 1694(0) | 1701(0) |
| 2007 | 2154(385) | 2161(398) |
| 2008 | 2148(799) | 2153(845) |
Join the On-Line Revolution!
More and more club members are getting on the club's e-mail list and do not receive their club newsletters by U.S. Mail. Instead they get an e-mail every month when the latest newsletter is ready. If you are not on this list yet and are willing to join, send an e-mail to Ed at the address below. Be sure to include your name and address.
Ed Mueller's e-mail address:
firstname.lastname@example.org
Change of Address
If your address label is incorrect or your e-mail address has changed, or you have moved or are planning to move, please inform the Membership Director, Ed Mueller. Send your new address and phone number by mail or e-mail. Ed will also set you up for "read on line" to save paper, if you request that. Be sure your request includes your name & address, so he corrects the right person.
Send mail to:
San Jose IBM Retirement Club
Dept DKTA/F005 SVL
555 Bailey Ave.
San Jose, CA 95141
Ed Mueller,
e-mail: email@example.com
Next Club Board Meeting: Thursday, September 18, 2008, 10:00 AM
Meriwest Credit Union 5615 Chesbro Ave. at Blossom Hill Road
Page 2
Sunshine Report
Konrad Hixt is slowly recovering from an accident. His knee was "smashed" when a button to close the sliding door on an SUV was inadvertently pushed. He has been hospitalized three times and currently using a wheelchair. We certainly hope he will completely recover soon.
Cay Rafferty has returned home following a recent hospital stay. She is thankful for the assistance she receives from friends.
Ron Bianco had a medical emergency while in Montana. Doctors inserted a defibrillator. He has returned home and is doing well. He hopes to return to bowling in a few weeks.
Please call or e-mail me if you know of a retiree or spouse who is ill.
Terry Milinic' 265-5908 firstname.lastname@example.org
In Memoriam
Howard Bailey Richard Craver O. J. Davenport Ruth Ferziger Karen Havens H. W. "Bud" Johnson Dave Killam Sharon Leavitt Gus Lombardo Ellen Waterman Mance David Sant W. Jule Weldy
For life changing events or other benefit questions, contact IBM Employee Services Center:
1-800 796-9876
New Members
George Hall Darrell Jones Richard Lowther John Maez Karen Ranson Lee Steckmest
Date
TRIPS & ACTIVITIES CALENDAR
Event
TAR
Phone
831 338-3069
831 338-3069
831 338-3069
| PC Club: Adobe Photoshop Express | | 8 | Walt Cole |
|---|---|---|---|
| Adopt-a-Highway | | 1 | Doug & Evelyn Dean |
| Santa Cruz Follies Show & Lunch Sold Out* | | -- | Topsy Thompson |
| Hike: City of San Francisco | | 7 | Gil & Julie Feller |
| Reno: Circus Circus Sold Out* | | -- | Topsy Thompson |
| IBM Retirement Club Board Meeting | | 2 | Art Dill |
| Switzerland & Austria Trains Sold Out* | | -- | Ron & Heidi Harlan |
| Monterey Big Hike | | -- | Jim & Dottie Riley |
| A Journey Through Time - Steinbeck | 2 | 8 | Bill & Madeline Souza |
| Adopt-a-Highway | | 1 | Doug & Evelyn Dean |
| Horse Racing - Golden Gate Fields | | 6 | George & Isabel Nale |
| Indian Casino: Jackson Rancheria | | 6 | Topsy Thompson |
| Mediterranean Cruise | | -- | George & Carole Walker |
| Hike: Forest of Nisene Marks | | 7 | Gil & Julie Feller |
| IBM Retirement Club Annual Meeting | | 1 | Art Dill |
| Winter in Thailand | | 4 | George & Isabel Nale |
| Branson for the Holidays Sold Out* | | -- | Ron & Heidi Harlan |
| The Christmas Revels | | | Bill & Madeline Souza |
| Holiday Party | | -- | George Walker |
| New Year’s in Nashville | | 5 | Bud Souza |
| Indian Casino: Thunder Valley | | 7 | Topsy Thompson |
| Ozark Mountain Jubilee Sold Out* | | 6 | Topsy Thompson |
| Valentine’s Day Special | | 6 | Bill & Madeline Souza |
| New San Francisco Academy of Sciences | | 7 | Bill & Madeline Souza |
| Reno: Circus Circus | | 6 | Topsy Thompson |
| Spectacular South Africa | 4 | 5 | Art & Sharry Dill |
| Indian Casino: River Rock | | 6 | Topsy Thompson |
| California Cashmere, Ironstone Vineyards | | 6 | Topsy Thompson |
| Truly Tulip Time, Europe River Cruise | | 4 | George & Carole Walker |
| Chukchansi, Reedley Opera House | | 6 | Topsy Thompson |
| Calgary Stampede & Canada’s Rockies | | 5 | Bud Souza |
| Indian Casino: Feather Falls | | 6 | Topsy Thompson |
| Oberammergau | | 4 | George & Carole Walker |
Page 3
Page
Contact
Travel Trips
Truly Tulip Trip April 25 - May 4 2009 Wine! Cheese! Flowers! Note New Itinerary!
Once in a Decade Opportunity May 20 - 29, 2010 Oberammergau
Due to changes in the river boat contracts, we have a new and exciting trip which will take us to see even more tulips because we will be exclusively on Holland's and Belgium's waterways. Board the ship in Amsterdam and make it your home while we see the city including Anne Frank's home and the art museums. We'll visit Voldendam, a quaint cheese-making town where time seems to have stopped. We cruise on to Arnhem, which played a major role in WW II. Many museums are available to us here. Our cruise continues to Middelburg, medieval city and the center of Deltaworks, which teaches about the deltas and dikes. We'll see Ghent, Belgium, an imperial city which conveys the splendor of by-gone days. Bruge, Belgium, one of our all-time favorite spots, is a wonderfully preserved medieval city. It is the center of lace making and has great chocolates!
Day 7 we are in Antwerp with its Gothic and Baroque architecture and busy cafes. It was the home of Peter Paul Rubens. Again, the chocolates are to die for!! Time here for shopping and exploring. In Utrecht we'll see the working windmills and learn at the UNESCO World Heritage Site the story of the battle with the sea. Then we visit the world-famous Keukenhof Gardens and 70 acres of flowers. We have secured the best-anticipated time for the peak of bloom. The price of $3,669 includes air, insurance, all meals, and local wines on this river boat of 80 cabins.
Please join us for more information at Baker's Square, Almaden and Hwy. 85, Tuesday, October 7, 10:00 AM.
The details of the Imperial Cities Tour, which includes the famous Passion Play of Oberammergau, have been released. The trip date is listed above. The cost is $5329, including air and insurance. We will tour Budapest, Hungary, enjoy a Hungarian horse show, visit a lovely wine town and enjoy a Renaissance-style dinner. Next stop is beautiful Vienna, Austria, where we tour the lovely city of Gothic spires, quiet parks and memorable music. The evening will be in Grinzing, enjoying the wine and music. The next day we will board a river boat for a tour of the Danube and return to Vienna through the Vienna Woods immortalized by Strauss. Our next stop is Prague, Czech Republic, the "Golden City." We will have a city tour and have free time to shop. Our last stop is the highlight of the trip, the Passion Play, one of the most powerful shows on earth.
We know that May, 2010, seems long way off, but as we get older it seems time goes faster and who knows who will be around the next time Oberammergau presents the "Passion Play"?
Interested? For a brochure, call George or Carole for a mailed brochure or e-mail them for a soft copy.
An information meeting will be held at Baker's Square, Almaden and Hwy. 85, Tuesday, November 11, (was November 18) Updated 2009-09-16 at 10:00 AM. Please join us.
Contact: George Walker and Carole Walker email@example.com, or call (408) 268-7623
Contact: George and Carole Walker, 408 268 7623 or e-mail firstname.lastname@example.org
Winter in Thailand November 5-18, 2008
Why shiver here when you can be in balmy Thailand seeing exotic locations, staying in great hotels and doing some bargain shopping for Christmas gifts, clothing, and jewelry?
Thailand (Siam) has fascinating scenery, a much different culture and many historic sites.
In Bangkok you can see the Grand Palace, the Emerald Buddha, gems and silk, ancient temples, the Floating Market, and much entertainment.
Ching Mai is a historic hill city with ethnic tribes and handicraft markets, plus natural habitat elephant shows. Many ancient wats/temples to tour.
Ching Rai, near the Golden Triangle of Thailand, Laos and Myanmar, has lovely scenery and we visit villages where both the long-necked and big-earring people live.
November has the mildest climate of the year and the local currency is pegged to the US dollar. A real travel bargain at $2399, including travel insurance. Of course this trip, like all trips, is subject to airport taxes and extra fuel charges. For further information and a flyer on the trip, call or e-mail us.
Contact: George or Isobel Nale, 779-4275 or e-mail: email@example.com
TAR: Trip Activity Rating
1 Limited walking & activity
2 Walking limited to facilities within approximately 1 block to hotels & bus
3 Average walking (3 blocks or more) sightseeing in museums and attractions
4 Very active walking, may include airport departures, climbing on and off trains and attractions, may involve high altitudes (9000+) and possible weather extremes
New Year's In Nashville December 30, 2008 - January 3, 2009
4 Nights in the Opryland Hotel, one of the most fanciful and unforgettable man-made wonders of the world You owe it to yourself to be there once in your life.
Featuring:
New Year's Eve Masquerade Gala Dinner/Dance New Year's Day Brunch General Jackson Dinner Cruise Grand Ole Opry Performance
Included:
Roundtrip Airport Transfers Roundtrip Air to Nashville 6 meals Baggage handling/1 suitcase per person All Taxes, Resort Fees & Gratuities
Price Per Person:
$1440 Double Occupancy $1720 Single Occupancy
Travel Trips
Spectacular South Africa
March 12- 24, 2009
Optional 3 night Victoria Falls Extension
Experience breathtaking mountain scenery, winding coastlines, and abundant wildlife in a country that contains a world of treasures. Stays include the famous Kruger National Park, Johannesburg (a city built on gold and diamonds), Knysna and the breathtaking Featherbed Nature Reserve. Then on to Oudtshoorn, the ostrich capital of South Africa, and finally the amazing city of Cape Town with its charming coastal scenery, celebrated architecture, and traditions of French, German and Dutch influences. No Euro exchange. The US dollar is strong in South Africa.
Trip Highlights:
Gardens.
Traditional African dining experience.The price of the tour including airfare: $3999, per person double. Single Supplement $900.
For reservations & complete brochure, contact: Bud Souza, (408) 340-0082 e-mail: firstname.lastname@example.org
Main tour includes all air flights, transfers, entrance to shows and tours per itinerary, baggage handling, 10 breakfasts, 2 main meal lunches, 5 dinners. An optional 4 day, 3 night Victoria Falls extension is available, at $1559 per person double.
Contact: Art and Sharry Dill, (831) 338-3069 TAR 4
Calgary Stampede & Canada's Kootenay Rockies
July 11-18, 2009
This trip features spectacular scenery, friendly Canadian towns, festivals, great food, mountain lakes, hot springs, all at an easy pace for a practical package price: $2,550 double and $3,155 single.
Highlights include Calgary chuck wagon races, Banff and Lake Louise, Kootenay Rockies National Park with a Kootenay Lake ferry ride, Kimberley, the Bavarian City of the Rockies, the Glass House in Boswell, hot springs, Sandon Ghost Town and much more.
Included in the cost are round trip airfare and transfers, deluxe motorcoach, 7 nights accommodations (Calgary 2, Banff 2, Kimberley 1, Nelson 2), 12 meals (7 breakfasts, 1 lunch and 4 dinners), admission to all the included attractions, tips for driver and guide, and baggage handling.
For brochure & detailed info, contact
Bud Souza
408-340-0082
email: email@example.com
Chukchansi Reedley Opera House Underground Gardens
June 8-9, 2009, a 2-day trip!
Reedley Opera House, tour, show, luncheon
Chukchansi, overnight hotel room plus bonuses
Underground Gardens tour and admission
Price:
$158; Bonus: $10, EZ Play, $10 Food Credit
Contact:: Topsy Thompson (408) 377-4314
or e-mail: firstname.lastname@example.org
California Cashmere, Ironstone Vineyard Friday, April 17, 2009
Learn how cashmere is harvested, graded, sorted, and dehaired. Then we will go on to Ironstone Vineyards in Murphys for a guided tour of the old wine caverns, gardens and other exhibits. The visit to the winery will include wine tasting, with canapés, and a private group luncheon. Price $85.00
Contact: Topsy Thompson (408) 377-4314
or e-mail: email@example.com
Horse Races at Golden Gate Fields Saturday, October 18, 2008
Feel lucky? Do you know a good horse when you see one? Find out the answers to these questions and have a good time doing it by taking in the thoroughbred horse races at Golden Gate Fields. Not only do you see a lot of exciting races in a beautiful setting but you get a good lunch in a very nice enclosed dining area. A great way to spend the day, and maybe enhance the family coffers, and it is only $50 for the bus ride, lunch and a thrilling day watching colorfully-clad jockeys fly around the track on their beautiful mounts.
To sign up or get more information call or e-mail us.
Contact: George or Isobel Nale
779-4275, e-mail: firstname.lastname@example.org
Ozark Mountain Jubilee Thursday, January 22, 2009 Sold Out
The Woodland Opera House presents, direct from Branson, The Ozark Mountain Jubilee, featuring Branson's funniest comedian and world-class fiddler, Doofus Doolittle. Doofus will have you rolling in the aisles with his unique style of hillbilly humor. You can expect some of the best fiddle music anywhere. Prior to the show we will enjoy a hosted private buffet luncheon at Ludy's Main Street BBQ adjacent to the opera house. After the show we will make a non-hosted stop in Vacaville at Fenton's Creamery. Tour includes deluxe motorcoach, all gratuities. All this for $88.00 per person.
Contact:
Topsy Thompson at (408) 377-4314 or
e-mail: email@example.com
Day Trips
Page 6
Indian Casino Trips
Jackson Rancheria Monday, October 20, 2008
Price: $25.00, $10.00 cash & coupons
Thunder Valley Casino
Monday, January 12, 2009
Price: $ 28.00, $5.00 Match Play, $5.00 Food
Circus, Circus, Reno, Sunday-Tuesday, March 8-10, 2009
Price: $114.50 per person, double occupancy & $40.00 single supplement.
Casino bonus: $37.00 cash & food credit
River Rock Casino
Monday, April 6, 2009
Price: $29.00, Bonus $20.00 Cash
Feather Falls Indian Casino July 13, 2009
Price: $20.00, Bonus: $10.00 cash
All single-day Indian casino trips will be at least a 5 hour stay.
Parking: Capitol Expressway and Hwy 87
Park-n-Ride, South Lot, Section G
Depart: 8:00 AM
Contact: Topsy Thompson (408) 377-4314
or e-mail: firstname.lastname@example.org
Valentine's Day Special Saturday, February 14, 2009
Trip activity 2 Due to overwhelming response, we are taking reservations for a second bus.
Spend a special day at the Historic Claremont Resort in Oakland with great entertainment, food, friends, and fun. As seen through the eyes of a neighborhood musician, "Down Broadway!" a series of captivating musical plays, takes audiences on musical journeys through time. During this exiting show we will have a light Brunch. After the show will be a no host sweet stop.
All this for $87.00 per person.
Contact: Bill & Madeline Souza 356-6280
e-mail: email@example.com
The Christmas Revels Sunday—December 14, 2008
Trip Activity Rating – 2
Back by popular demand from last year's trip
This year's production will return to Europe with a new interpretation of "The King and the Fool." The setting is a medieval castle where a King is entertained by his court, troubadour and most significantly, his Jester. A wonderful children's chorus will be a key ingredient this year. Lunch will be at El Pescatore (Jack London's Square) specializing in Northern Italian food.
All this for $86.00 per. Person
New San Francisco Academy of Sciences
Tuesday, March 3, 2009 Trip Activity 2
The newest and largest cultural attraction in San Francisco, the Academy is the only place on the planet that brings together a natural history museum, an aquarium, a planetarium and a 4-story rainforest under one living roof. It's certain there will be something of interest for everyone! We were told to allow 3 1/2 to 4 hours for the tour. With several dining options on location, a no host lunch break can be made at your convenience. On the return trip two fun stops will be made: the PEZ Memorabilia & Classic Toy Museum and a no host stop at Preston's Ice Cream and Candy
Contact: Bill & Madeline Souza 356-6280
e-mail: firstname.lastname@example.org
All this for $61.00 per person
Contact: Bill & Madeline Souza 356-6280
e-mail: email@example.com
Hikes
San Francisco City Hike Friday, September 12, 2008 10:00 AM,
Sign-ups Requested
For our annual walk in the City we have once again chosen a walk from the book "Stairway Walks in San Francisco." This time we will be following the route of walk #1, which encompasses Yerba Buena Cove (now the bustling Market Street area), Telegraph Hill, and Chinatown. The walk starts at First and Market Streets. We will trek through this busy area before heading uphill into quiet residential neighborhoods. Several stairways will lead us even higher until we are within sight of Coit Tower. We will climb more stairs to get to this San Francisco landmark. Along the way, we'll be treated to some spectacular views of the bay and city. Then we will walk a few blocks on Grant Street into the heart of Chinatown. Here is where we will break for lunch at (what else) a Chinese restaurant. After lunch we will head back to our starting point of First and Market. There are about 700 steps, up and down combined, on this walk.
We are offering a green option for this hike. You can take the baby bullet Caltrain from San Jose to the City, number 329 leaving Diridon
Station at 8:03 AM, or Tamien at 7:56. The train arrives in San
Francisco at 9:03 on 4
th street. Walking from the train station to the
start of the hike adds about another half hour (1.4 miles) to our walk each way. You can take your time getting to First and Market, stop
for a coffee if you like. If you do not want to ride on the train, you'll be on your own for parking. There are several lots on 3 rd Street near Harrison. We will meet beside the big sculpture at First and Market at 10:00 AM. If you'd like to join us for this walk, please call us or send an e-mail. We will be preparing handouts for everyone attending so that all participants understand the route.
Contact:
Contact: Gil & Julie Feller 247-6769
firstname.lastname@example.org
Hike: Forest of Nisene Marks Friday, October 24, 2008 9:30 AM (note earlier meeting time)
This beautiful State Park, located near Aptos, is on land that was clear-cut during a forty year logging frenzy (18831923). When the loggers left Aptos Canyon, the forest began to heal itself. The Forest of Nisene Marks is a fine example of how a forest can regenerate. Our 6 mile loop hike will take us on the Loma Prieta Grade and Bridge Creek Trail. We will walk in a mostly shaded region of the park with lush green vegetation. The hike is somewhat strenuous with some steep hills and a couple of creek crossings – and there is abundant poison oak. Bring a snack to enjoy along the way as we won't be eating lunch until the end of the hike.
To get to the park, take Highway 17 south towards Santa Cruz. At the Highway 1 junction, go south. You will travel down Highway 1 to the State Park Drive exit. Go left towards Aptos, and turn right at Soquel Road. The entrance to the park is a left turn about a mile down Soquel Road on Aptos Creek Road. Look for the road just after you go through a railroad undercossing. Once on Aptos Creek road, the park entrance (fee area) is about a mile down the road. Pay your fee and continue on the park road until you get to the Porter Family picnic area which is at the end of the dirt road.. This is the starting point for our hike.
People wanting to car pool, meet at the Camden Park & Ride (Camden & Hwy 85) at 8:30. Don't forget lunch and water.
Contact: Gil & Julie Feller 247-6769
email@example.com
San Jose IBM Retirement Club Web Site: www.sjpc.org/sjrc/
Page 7
Day Trips
IBM Club Discounts
Movie passes
AMC: silver $6.00; gold $7.50
Regal/United Artists: $6.00
Cinelux: $6.00 - no restrictions
Century/Cinemark: $7.00 - no restrictions
------------------------------------
Universal Studios
Gate price: $64.00 ages 3 and up
IBM Club price: $54.00 Two-day ticket! ------------------------------------
6 Flags Discovery Kingdom
Gate price: $51.24, parking: $15.00
IBM Club price: $25.61, parking $10.00
Print tix online: $27.66 + $3 order fee
www.sixflags.com,Promo code: 'Ibm', click 'go'
------------------------------------
Gilroy Gardens Gate price: $41.99
IBM Club price: $23.00
----------------------------------
Great America
Gate price: $51.99; season pass: $59.99 season pass w/ Gilroy Gardens: $84.99
IBM Club price: any day $29.99; season: $59.99 season pass w/ GG: 74.99, parking: $6.00
Print tix online: $31.99, no added fees
www.cagreatamerica.com,go to tickets;
corporate partner: enter company id: "ibm"
----------------------------------
IBM Club
-
Legoland
Gate price: adults $61.00 3-12 years $49.00
IBM Club price: $40.00 all ages, 3 and up
2nd day for only $1; go to Guest Services at Legoland ------------------------------------
See's Candy
IBM Club price: $11.50 1 pound gift certificate
------------------------------------
Sea World
Gate price: $59.00 3-9 years: $49.00
IBM Club price: $46.50 3-9 years: $41.00 2-day ticket
----------------------------------
Raging Waters
Gate price: $29.99 Season: $59.99
IBM Club price: $21.99 Season: $39.99
----------------------------------
Payment by check or money order only, no cash, no credit cards. Checks or money orders should be made payable to IBM Club
IBM Club Office Main Contact:
Frank Vitale - (408) 927-2106 e-mail: firstname.lastname@example.org
IBM Club Office Alternate Contact:
Valerie Cowing - (408) 927-3059
Ticket Hours: Wednesday: 11:00 AM - 1:00 PM
SVL Lobby (old STL) on Bailey Road
Disneyland & Disney World discount tickets are no longer available from the IBM Club. These tickets are available online at the Beneplace web site, although the discount is less there. (See lower right corner item on this page.)
San Jose IBM Retirement Club Web Site: www.sjpc.org/sjrc/
IBM Employee Service Center:
For any IBM benefit question, this is the number to try first: (800) 796-9876.
IBM Club Web Site for Retirees
PC Club: Adobe Photoshop Express
In the past, in order to access the IBM Club web site, you had to be an IBM employee. Retirees could not access the site. Now IBM has made an IBM Club web site available for IBM retirees. It is a global web site containing information about IBM Clubs all over the world.
In order to access this web site, you must first register. Then you can subscribe to whatever IBM Club is closest to where you live or to multiple IBM Clubs. Our local club is the Silicon Valley IBM Club.
The address of the web site: www.ibm.com/ibm/ibmclub
Once you get there you will need to provide an e-mail address and provide a password in order to register. You must also specify which IBM Club you are interested in.
Contact: Walt Cole, 972-1178, email@example.com
Tuesday, September 9, 2008
Subject: Adobe Photoshop Express which is a photo sharing site with easy to use editing tools. It targets the millions of snapshot photographers who think software such as Photoshop Elements is too difficult or just too much. For sharing, you upload photos into albums (up to 2GB), organize them, make them public for sharing or share them privately via email links and generate nice-looking self-contained Flash slideshows. Speaker: Scott Maiden, Club member and SeniorNet instructor.
www.sjpc.org
Discount Web Site for IBM Retirees
This web site is one IBM retirees can use to obtain discounts on a wide variety of products and services from many companies. www.beneplace.com/ibmretirees/
Bowling
One More Time League
at 300 San Jose (formerly Oakridge Lanes)
2008 Summer League
August 20, 2008
1st place: Team #2," Strike Zone" Sal Garcia, Bill Jeung,
Shirley Veal, George Zagelow
2nd place: Team #2,"Ten in the Pit" Ruth Furlong,
Nancy Bowers, Earl Bowers, Glen Furlong
August 27 was the last day of bowling for the Summer League. On September 3 we had our Winter Bowling League meeting. Regular Winter League play begins on September 10.
Summer secretary-Ann Wilson 269-1892
Short 18-Hole Golf
Deep Cliff Golf Course in Cupertino
August 7, 2008 On a perfect summer day 21 players showed up for a round of golf. Winners were:
MEN
WOMEN
1st Daniel Jensen 56 1st Marge Condensa 63
Dick Lake 56 DeDe Corral 63
2nd Dave Fitting 58 2nd Kathy Herrington 64
3rd Jerry Condensa 59 3rd Clara De Paul 65
4th Rich Campbell 62 4th Chris Oba 68
Congratulations to all the winners.
Closest to Pin #10
Bill Bartz 14' 5" Kathy Herrinton 9' 9"
The next fun golf dates are Thursdays, October 2 and November 6, at 10:00 AM, sharp. Please be there by 9:30 AM to sign in and to pick up your lunch coupon from Helen. Please send your check for $22 15 days in advance of our golf date (or sooner) to:
Helen Wehner
1561 Park Crest Ct.
San Jose, CA 95118
Or call Helen to let her know you'd like to play that day. Sign ups will be on a first-come-first-serve basis, since there is a limited number of players allowed. Make your check out to the "IBM Retirement Club" and on the memo line write "Short 18 Hole Golf." If it rains, call the golf course to find out if we have canceled. Phone 253-5357, extension 5.
Happy Golfing,
Clara DePaul(294-7041), DeDe Corral(378-6470 ) & Helen
Wehner(264-6296)
San Jose IBM Retirement Club Web Site: www.sjpc.org/sjrc/
Par Tee Golf - To see full report, go online and look for "Par Tee Golf"
Poppy Hills, August 25, 2008: This was our annual "Bob Slater Memorial Golf Tournament." Bob Slater was the person responsible for starting the Retirement Club golf tournaments. The "Shot-Of-The-Day" goes to Rich Greene. On Hole #14, a 380 yard par four, Rich hit his second shot into the cup for "Eagle." Phenomenal shot, Rich! It was decided by a unanimous vote to split the Bob Slater Retiree Club award instead of using a tie breaker. The format of play was, "Individual Play." We had a large turnout of 68 players. Here are the results: Place / Score / Name
1 / 67 Tom Morrison
2 / 68 Dave Godinez
2 / 68 Andy La Scola*
2 / 68 Patrick Arnett*
3 / 69 Tony Scalora
3 / 69 Greg Vance
3 / 69 Dave Falcone
4 / 70 Glenn Yuki
4 / 70 Milton Loo
5 / 71 Kathy La Scola** 6/ 72 John Grewohl
6 / 72 Al Carlson
6 / 72 Eric Schrader
6 / 72 Len Procker
6 / 72 Don Johnson
6 / 72 Bill Highlander
*= Men's Bob Slater Award Winners-Tied
**=Ladies Bob Slater Award Winner
Closest To-Pin
#2 #6 #11
#15 #17
Dave Godinez
John Grewohl
Pat Schroeck
Andy La Scola
Tony Scalora
Ken Edwards Bill Avery
Joe Pisapia Graham Kelly Nick Nomm
Glenn Yuki
Roger Haskin
Tom Morrison Tom Baker
Len Procker
Barbara Schumacher
Cathy Priest
Future: Oct. 6, Pajaro Valley, $40.00 due by Sep.17
Dec. 1, Los Lagos, $48.00 due by Nov. 12
Nov. 10, Spring Valley, $60.00 due by Oct. 22
Contact: Andy La Scola @ (408) 371-3329 or firstname.lastname@example.org
|
Dawn Chorus
10 Year Supporters’ Goals & Strategy Page 4 10 Year Supporters’ Goals & Strategy Page 4
The Big Picture: Tawharanui Regional Park Page 10
2010 SoTM Elections Page 12
Three Early Summer Flowers Page 14
Information
Supporters of Tiritiri Matangi
Dawn Chorus is the quarterly newsletter of the Supporters of Tiritiri Matangi (SoTM). We are a volunteer incorporated society working closely with the Department of Conservation to make the most of the wonderful conservation restoration project that is Tiritiri Matangi. Every year volunteers put thousands of hours into the project and raise funds through membership, guiding and also through our island based gift shop.
For further information, visit www.tiritirimatangi.org.nz
Getting to Tiritiri Matangi
360 Discovery operates daily services every Wednesday through Sunday from Downtown Auckland and Gulf Harbour Marina.
BOOKINGS ARE ESSENTIAL!
Phone 0800 360 347 or visit www.360discovery.co.nz
School Visits
Schools wishing to visit Tiritiri should fi rst visit our website:
www.tiritirimatangi.org.nz/ schoolvisits.htm
Advance bookings are essential
Overnight Visits
Although camping is not permitted on the island, there is limited bunkhouse accommodation available.
For information on booking overnight visits, go to:
www.doc.govt.nz/tiritiribunkhouse
Bookings can also be made by phoning the Warkworth Area Offi ce on 09 425 7812, although an additional booking fee will apply.
Volunteers who are undertaking offi cial SoTM work can obtain accommodation at no charge but this must be booked through the Guiding & Shop Manager (contact details below).
Weather Cancellations: Please call 0800 FANTAIL (0800 326 824) after 7.00 AM on the day to confi rm if vessel is running.
SoTM members who wish to visit in a private capacity can get a discounted rate by booking through the Warkworth Area Offi ce 09 425 7812.
Upcoming Events 2010
Monday March 29 th AGM / Guest Speaker Dr Richard Jakob-Hoff (Auckland Zoo)
April 2 nd - 5 th Easter Working Weekend
April 17 th - 18 th Families Weekend
June 5 th - 7 th Queen's Birthday Working Weekend
July 24 th - 25 th Families Weekend
Kowhai Picnic Day Sunday August 15th
Bookings for island events can only be made with the Guiding & Shop Manager (contact details below)
360 Discovery kindly offers a discount to SoTM members for special weekends and events.
Deadline May Issue Dawn Chorus 20 April 2010
| | Phone |
|---|---|
| Peter Lee | 418 1332 |
| Helen Cain | 634 3375 |
| Kevin Vaughan | 817 9262 |
| Murray Anderson | (09) 236 0520 |
| Hester Cooper | 473 5695 |
| Maria Galbraith | 820 7342 |
| Melinda Habgood | 521 9504 |
| Carl Hayson | 479 4217 |
| Graham Ussher | 355 6046 (bus) |
| Ray & Barbara Walter | 535 6941 |
| Mary-Ann Rowland | 476 0010 |
| Zhea Warden | 940 6739 |
| David Meldrum | 446 1361 |
| Simon Fordham | 274 1828 |
| Dave Jenkins | 476 0920 |
2
From the Chair
As I sit here in the Visitor Centre on a wet and windy Anniversary Monday, a bevy of volunteers is beavering away. Ian and Philippa are replacing lights, Jill is organising the shop, Val is sorting out the guiding, Yvonne is off to clear tracks, Morag and Kay are checking on kokako in the damp bush. Others are elsewhere on the island, despite the wet day.
All could be at home, dry and warm and doing what they please. But all have chosen to give up a three-day weekend, to do their bit to help the Tiritiri Matangi Sanctuary project. Shortly, they will be joined by other volunteers, several guides who will arrive on the ferry, catalysts in illuminating and inspiring our visitors.
This project is critically dependent on the energy, passions, enthusiasm and commitment of many, many volunteers. Over the course of a year, several hundred – many of them
SoTM members – will help in their own way. We have over two hundred guides alone, plus many more people help in the shop, come for working projects, help fold and post Dawn Chorus, and many other things.
With duty comes joy. To see the delight in a child's face when she sees a takahe, to relish the joy of the birth of a new kokako, to watch a kiwi in the wild by the dim light of a torch, to know we are helping re-create primeval New Zealand - these are our recompenses. Many of our visitors will not have been here before, but we hope all will return home inspired and rejuvenated. And, in turn, that rejuvenates us.
To each and every one of our many volunteers, I can say only one thing.
Thank you!
Behind the Signs
Cathy Catto
Interpretation signs on the Island are continually being upgraded and SoTM has always appreciated the creative talents of our members and designers.
The newest interpretation sign at the Wharf Shelter was drawn by Ruth Corkill, a young Supporter living in Wellington. She undertook this project as part of her community service component of her Bronze Duke of Edinburgh award.
features. It is also a good activity for all to do while waiting for the ferry.
This sign was designed to capture children's interest when visiting the Island by matching the species and their www.tiritirimatangi.org.nz
Paradigm have been contracted to design the signs and displays for us for many years, with Clint Slogrove's talent evident in the Ray & Barbara Walter Visitor Centre displays. This project took many hours to design, bringing photographs and text together in a way to represent the Tiritiri Matangi story and to highlight the outstanding achievements of the Supporters and DoC . A year on from the installation of the Visitor Centre interpretation the displays have received many comments of appreciation from visitors. We thank Paradigm for their experience and commitment to our projects.
We are continuing to upgrade information signs on the island. The latest signs now include our newest translocated species, the rifl eman. DoC is also upgrading the orientation signs, making it easy for our visitors to fi nd their way round the Island.
Subscription Renewal
Subscriptions for the current period (1 January 2010 to 30 June 2011) are now due. If you have received a reminder with this Newsletter, please renew promptly to ensure that you continue to receive the benefi ts of membership of the Supporters of Tiritiri Matangi.
Where to for the Supporters?
As I mentioned in the last Dawn Chorus, over the past two years the committee has been determining our goals and strategy for the next ten years. We've talked to many people – guides, volunteers, researchers and DoC staff – and we feel the outcome gives a real, concrete basis for us to make decisions.
So, why do we need to do this? For a number of reasons. The main one, of course, is so we have a clear set of goals – we know what we're doing and why, and we know what the outcome is that we want. In the early days we were simply following the original master plan, but that has largely been achieved, so it's time to create some new goals.
vision:
Secondly, we need to have some clear strategies - the main things we want to do to achieve those goals. Not too many, of course, and each one needs to be clear and specifi c, and make perfect sense for us.
We've also highlighted some key values, things we believe are important along the way.
One of the fi rst decisions we made was that our focus will be on the sanctuary as a whole, not on SoTM. Tiritiri is bigger than us - or DoC, for that matter – and people come here and get involved because of the sanctuary idea. So the goals we set out are really the ones we believe are the most important ones for the island as a whole. DoC has been very supportive, recognising that they have limited resources and time, and many other projects. They have been happy to work with us as we've gone through this process.
When they're boiled down to basics, all good plans really have only three main bits: where are we now? Where do we want to be? How are we going to get there?
Where are we now?
So we started fi rst with the "where we are now" – the things that make Tiritiri Matangi and the Supporters unique and special. These are:
* A wide and increasing range of rare species
* Close location to NZ's largest population centre
* Of national importance in managing rare species
* Easily accessible for a large pool of potential visitors and volunteers, but with control over visitor numbers.
* A rich maritime history and structures such as the lighthouse, foghorn & watchtower
* Our species are easily-observable
* A commitment to education and advocacy
* Providing a range of opportunities for visitors and volunteers to participate and
* A role model for other projects and initiatives
* Self-sustaining, for example the income we generate from our activities funds a number of projects on the island
Where do we want to be?
Through all our discussions, there was a common thread: one of reclaiming our standing and our uniqueness and making the most of everything and everyone. This shared
4
The Tiritiri Matangi Sanctuary is the ultimate wildlife sanctuary and healthy ecosystem, a magical place that engages and inspires volunteers, visitors and other New Zealanders to understand our unique heritage and make a difference in their own environment.
So what do we as a supporters' group want to do to make that happen? This is our "mission statement"
To build the Tiritiri Matangi Sanctuary, in conjunction with DoC and other stakeholders, as a model of sustainability and management through:
* research and conservation of New Zealand biodiversity
* providing participation opportunities for visitors & volunteers.
* educating and inspiring visitors and
We'll know we are achieving what we set out to achieve when:
* Tiritiri Matangi has a healthy and functioning ecosystem representative of pre-human Gulf islands.
* Visitors have a positive and inspiring experience and leave as advocates for conservation. They are inspired to make a difference in their own environment.
* Tiritiri Matangi is a key and effective NZ centre for research, education and management of rare and endangered species in a public environment, proactively commissioning research and providing dedicated research facilities.
* We provide quality education & learning on our fl ora and fauna, the value of an integrated and complete ecosystem, our unique maritime history and our Maori history. This is done through integrated and effective interpretation and educational activities.
* All our activities leverage off our strengths and unique characteristics and cater for our key stakeholders.
* We provide a range of opportunities and facilities for participation for members, visitors and volunteers, during the day, evening and overnight.
* We are a role model for other groups – management, fi nancial, biodiversity, engagement.
It's a big, bold set of goals – but we as a committee believe it's the right direction for Tiri. Without bold goals, Tiri would never have got to where it is today.
Along the way, we don't want to lose sight of our values These include building enduring relationships and partnerships; providing opportunities for our supporters and others to be engaged and motivated, and being committed to sustainability & environmental responsibility.
How are we going to get there?
Our four key strategies, areas we want to focus on where we are unique and can make a difference, are Conservation, Insight, Inspiration and Participation. There are three support activities we need to get right: infrastructure, funding and communications.
1. Conservation
Tiritiri Matangi is the ultimate wildlife sanctuary:
Tiritiri Matangi and its waters have a healthy functioning ecosystem representative of pre-human Hauraki Gulf islands, enhanced in four ways:
* Advocacy role for certain species
* Active intervention in species management
* A sanctuary for nationally-endangered species
* Education & learning
What this means:
The island has a healthy functioning ecosystem containing a full range of birds, reptiles, mammals, insects and plants and is managed in accordance with a comprehensive species management plan.
It will take into account the following:
* Sanctuary – Tiritiri Matangi will take an active part in preserving rare or endangered species possibly not historically present in the Gulf
* Advocacy – We will highlight certain key species because they provide excellent PR for the need for conservation, such as takahe and kokako.
* Species management – where necessary we will actively intervene in species preservation where these species cannot be left to their own devices (e.g. stitchbird),.
* Learning – the ecosystem will be managed and modifi ed in particular areas, on a limited basis, to facilitate learning. (An example is Wattle Valley's historic role).
2. Insight
Tiritiri Matangi is a key centre for biodiversity research and management
What this means:
* We provide appropriate accommodation and facilities for researchers, storage space, lounge/ dining. It will be built sustainably (e.g. solar powered) and in harmony with other facilities.
* We commission research by students and others, based on where we can make the biggest difference. This will be based on expert input into the key problems and unknowns which, if solved, would make the biggest difference to conservation management.
* We fund, acquire and manage appropriate equipment
* The results of all funded research is presented to SoTM and published via articles and seminars.
3. Inspiration
Every visitor is inspired to become an advocate for NZ's unique biodiversity by making a difference in their own community.
What this means:
* We provide high-quality guiding experiences that convey the importance of maintaining NZ's biodiversity, and inspire people to do the same.
* We provide state-of-the-art and engaging interpretation for all visitors at appropriate places on the island. This includes comprehensive interpretative signage, from the wharf up to the lighthouse area, and additional resources such as maps, pamphlets and books.
* We provide appropriate off-island learning opportunities such as seminars and through our website.
* Children become engaged and committed conservationists through active support of school visits and provision of quality educational programmes.
We will succeed when visitors change their behaviour, such as planting trees, donating money or time and understanding our biodiversity.
www.tiritirimatangi.org.nz
Where to for the Supporters?
(continued from page 5)
4. Participation
We provide a range of opportunities for people to participate in the Tiritiri Matangi story, as volunteers, members or visitors.
What this means:
* We have a large, growing and loyal membership base.
* We provide a range of volunteering opportunities such as guiding and in the shop.
* Non-volunteer members feel engaged (seminars, emails etc)
* We provide visitor experiences at non-peak times, eg afternoon and night.
* There are a range of opportunities to donate e.g. via the membership form and website, legacies and bequests.
* There are events that complement or enhance existing attributes (e.g. astronomical events, regular foghorn demonstration, regular concerts) to attract a wider range of people to the island.
* We provide and manage accommodation for up to 30 SoTM staff, researchers, volunteers and overnight visitors.
* We provide appropriate recognition of the island's maritime and military histories including, as appropriate, signage and reconstruction.
* Visitors gain an appreciation of the various histories – Maori, maritime, military & conservation
Fauna Notes
compiled by Morag & Simon Fordham
Takahe
Te Hari has yet to fi nd a new mate.
Rifl eman
underweight and second nesting attempts were unsuccessful.
A minimum of 8 pairs are known to have fl edged chicks in their fi rst season on Tiri. Some of the family groups included parents that had not been seen since release last February.
Of around 45 nesting boxes, only one was used, 5m from the release site. It was interesting to note that the male that helped build this nest disappeared and was soon replaced by another. Corresponding colour bands of the original male were found in a nearby morepork nest.
Stitchbird / Hihi
From 106 clutches, 174 chicks have been banded with 17 nests still active. At the end of February, a number of birds will be translocated to Maungatautari, Kapiti Island and Karori Sanctuary and then 20 birds will be fl own from Little Barrier Island so as to improve the genetic mix on Tiri.
Blue Penguin
57 chicks were hatched from the fi rst nesting but only 6 survived and these were only about half their normal weight. The adults were also
North Island Robin
72 adults have produced around 60 chicks this season.
Common Diving Petrel
Over 3 years, 190 birds have been transferred to nearby Motuora. 178 (93%) have fl edged. Already, they have had their fi rst hatching from a returning bird.
10 Years Ago
Takahe Pounamu divorced Greg in favour of Whakama, her son of 5 years previously.
Work began on the construction of the implement shed facility.
Tiri's fi rst known morepork nesting hole was found to contain the bands of 11 stitchbird, as well as a number of robin and saddleback bands.
Dawn Chorus 80 February 2010
A great season with 4 chicks - 2 for Blackwatch / Mahuika, and 1 each for Montague / Ahikaea & Greg / Cheesecake. 3 will be sent to Burwood Bush before being released into the Murchison Mountains next summer whilst the youngest (Greg & Cheesecake's) will stay on Tiri for the time being.
Kokako
For the fi rst time in 12 seasons, Cloudsley Shovell / Te Koha Waiata failed to fl edge any chicks. Her second nest produced 1 chick but this disappeared at 15-20 days old. Her third nest contained 2 infertile eggs.
Both our Taranaki females have done well. Te Rae / Chatters fl edged 2 chicks (Kikorangi ♂ OM-YB & Rehu ♀ OM-RJ) as did Pukaha / Moby (Takara ♂ OMYB & Bariki ♂ OM-RJ).
Te Karanga / Keisha fl edged 1 chick (Renge ♂ WB-M).
Parininihi / Punga had 2 failed nests and Crown / Pureora had 1. Despite being only 1 year old, Noel & Skippy also tried to nest but this also failed.
Flora Notes
Warren Brewer
The last few days of January saw the fading of a colourful parade of pohutukawa blossom.
Early summer had the best pohutukawa fl owering for several years. All around Auckland’s coastline we have been treated to many variations on the colour red. Each tree has had its own timetable, creating a spectacular and sustained fl owering sequence.
Background: Pohutukawa fl owers and closed buds
On Tiritiri Matangi there is now an abundance of fruit on display, much of it fully ripened. Visitors are enjoying seeing the bright orange berries on two of our coprosma species, karamu and taupata. Kohekohe fruit is being commented on and mahoe fruit is developing with some already ripening to a bluish-purple.
Inset: Mahoe Fruit Background: Karamu Berries
7
www.tiritirimatangi.org.nz
Rifl eman Ca
In early February, a team of volunteers trave purpose of capturing up to 29 more rifl emen population. However, things didn't quite go to p seemed to have dispersed early, probably due t Furthermore, countless cicadas hatched just impossible to hear the su
In the fi rst 8 days, we managed to catch only stresses of translocation. However, the next fou bringing the total number of birds successf
apture 2010
elled to Little Barrier Island with the express n to increase the genetic diversity of the Tiri plan. Unlike last year, many of the family groups to having produced only one clutch this season. a few days before our arrival, making it near ubtle calls of the rifl emen.
3 birds. Sadly, one of those succumbed to the ur days resulted in the capture of a further 11, ully released over the last 2 seasons to 44.
www.tiritirimatangi.org.nz
Photo: Alan Morris
THE BIG PICTURE
projects, both local and nationwide, many having been inspired by what has happened on Tiri. Each serves as a reminder that, whilst our project is a leader in many ways, we are but one piece of the jigsaw that forms the Big Picture of conservation in New Zealand.
One of the most exciting things in conservation today is the sheer number of emerging volunteer
In the third in this series of articles that highlights some of these other projects, we visit Tawharanui Open Sanctuary, a peninsula immediately to the north of Kawau Island.
Tawharanui Open Sanctuary
Paul Williams
At the end of the Takatu peninsula, east of Matakana, nestled inside the Auckland Regional Council's 588 hectare Tawharanui Regional Park, is New Zealand's fi rst integrated open sanctuary. The park is relatively isolated and was always best known for its pristine surf beaches and stunning coastline; it is now also becoming known as the site of a pioneering and somewhat experimental project that seeks to demonstrate that the often confl icting activities of recreation, conservation and farming can co-exist.
In some ways TOS is similar to earlier, trail-blazing conservation projects like Tiritiri Matangi – pest control, revegetation, bird reintroductions – but there are also differences. Tiri has the sea as a pest control barrier whereas TOS is only partially bounded by the sea and also relies on a purposebuilt pest proof fence across the neck of the peninsula. Tiri has to deal with the logistical diffi culties associated with an island sanctuary whereas TOS has to contend with potential biosecurity problems that can arise from unrestricted access by beachgoers (160,000 each year), campers and vehicles.
10
The TOS project got underway in earnest in 2002, the same year that the Tawharanui Open Sanctuary Society Inc (TOSSI) was formed. The park was selected by the ARC for several reasons. Firstly because of the relative ease of fencing a peninsula, secondly because the location serves as a stepping stone for birds moving to and from the existing island sanctuaries located in the Hauraki Gulf (Little Barrier Island/Hauturu, Motuora Island, Tiritiri Matangi Island) and thirdly because it contains a wide range of coastal lowland features, including dunelands, wetlands, streams, coastal forest and open grassland.
Jo Ritchie, the ARC's original TOS project director, and Rhys Thompson, TOSSI's inaugural secretary/treasurer, quickly shaped TOSSI's character by applying themselves with great enthusiasm and energy. Today, because we are still in the early stages of developing the sanctuary, TOSSI's approach continues to be hands-on with an emphasis on doing rather than advocating and educating. The balance between those activities will no doubt change over time as the project evolves.
Construction of the two and a half kilometre, coast-tocoast, pest proof fence was completed in 2004 at a cost of $636,800 plus GST, after complex design and consenting processes for the building structure and the bait drops were carried out. The fence was funded by the ARC ($230,000), Lotteries Commission ($200,000), Gallaghers ($40,000), Lion Foundation ($35,000), Pub Charity ($26,500), TOSSI's Art in the Woolshed 2003 exhibition ($25,000), WWF-NZ ($12,000), Scottwood Trust ($10,000) with the remaining $58,300 being donated by various trusts, clubs and the general public. The next stage was two aerial drops of brodifacoum targeting Norway rats, ship rats, stoats, ferrets, weasels, possums, feral cats, hedgehogs, mice and rabbits. Following on from the bait drops, TOSSI volunteers were given the task of monitoring approximately 500 bait stations on a monthly basis.
Seven out of the ten pests were quickly eradicated and we
have learned to live with the three that remain - hedgehogs, mice and rabbits. Nowadays pest control measures are heavily concentrated on the buffer zone immediately outside the fence and the fence ends. The latter have also had additional wings added to improve security at the most vulnerable points of the sanctuary. Over the last fi ve years we have detected ten individual pest incursion events inside the sanctuary (mainly rats and possums) which have all been dealt with effectively.
The gains accruing from TOS have been enormous and started to become evident very quickly. In 2005, one year after the fence completion and bait drops, bellbirds took up residence in the sanctuary, a nice easy self-introduction requiring no paperwork, consents or fi nancial inputs. Then followed a steady stream of organised reintroductions – forest gecko and green gecko (2005), North Island brown kiwi (2006, 2007 and 2008), North Island robin (2007),
www.tiritirimatangi.org.nz whitehead (2007), pateke (2008, 2009 and 2010) and redcrowned kakariki (2009).
After several years of nest prospecting, grey-faced petrel and kaka successfully bred in 2009. Recently there have been sightings of stitchbird and tomtit, but no evidence yet that either has taken up permanent residence. So far TOS has been a net receiver of translocated fauna, as is to be expected from a young project, however we have been pleased to supply shore skink to both Tiri (2008) and Motuora (2009). Breeding by the bird species that were previously resident in the sanctuary (for example NZ dotterel and variable oystercatcher) has benefi ted from the new pest controlled environment. Additionally bellbird, kiwi, robin, whitehead and pateke are now all breeding very successfully. As an example, only a very small number of kiwi have transmitters attached, but two monitored male kiwi have each incubated multiple eggs on two separate nests in one season, effectively double breeding!
Mangatawhiri Valley Wetland Restoration
Hand in hand with the pest control tasks and fauna reintroductions is Tawharanui Open Sanctuary's revegetation programme, a substantial one that involves growing 20,000 trees per year in TOSSI's onsite nursery, and planting wetlands and steep hillsides that have been deemed unsuitable for pastoral farming. Our species selection is appropriate to the coastal lowland with a predominance of manuka, kanuka, cordyline and fl ax but with a signifi cant representation of coprosma, mahoe, puriri, kowhai, taraire and tawapou that will provide a valuable food source for the increasing bird and reptile populations.
What have we learned so far? Creating our integrated open sanctuary hasn't been as simple as building a fence, killing pests and watching nature do the rest, but then worthwhile things often require long term commitment and patience. The partnership between the ARC and TOSSI has been successful and demonstrates that a regional government body and an enthusiastic community group can together achieve more than either could individually.
2010 Election of Offi cers
In accordance with the SoTM Constitution, the following nominations were received as of the closing date, 31 January 2010.
Chairperson – Peter Lee (nominated Jill Courteaud / seconded Barbara Walter)
Treasurer – Kevin Vaughan (nominated Peter Lee / seconded Helen Cain)
Secretary – Helen Cain (nominated Jill Courteaud / seconded Barbara Walter)
Committee members:
Hester Cooper (nominated Peter Lee / seconded Helen Cain) Maria Galbraith (nominated Mel Galbraith / seconded Cathy Catto ) Melinda Habgood (nominated Peter Lee / seconded Helen Cain) Carl Hayson (nominated Peter Lee / seconded Helen Cain) John Stewart (nominated Mel Galbraith / seconded Olga Brochner) Barbara Walter (nominated Peter Lee / seconded Helen Cain) Ray Walter (nominated Peter Lee / seconded Helen Cain)
In accordance with the change in fi nancial year, elections will be for an 18-month term to 30 June 2011.
Peter Lee (Chaiperson)
Peter is the current Chairperson. He is keen to carry on, believing the Supporters is entering an important new phase with great opportunities and challenges ahead. He wants to use the experiences gained in his 13 years on the committee, as well as those acquired as chair in the past two years, to help the Supporters meet these challenges and to make the most of opportunities as they present themselves. He believes his business life as a manager and a senior marketer is also useful and that the relationships we're building with DoC and others, through regular meetings, are now really important.
In the past two years Peter initiated a bold strategic planning initiative which will set out SoTM's path for the next ten years and brought in a new budgetary process. He wants to see these really take root in 2010 and beyond to form the basis for some exciting developments in future years.
Helen Cain (Secretary)
I fi rst went to Tiri in 1989 and can still remember standing on Coronary Hill looking down the island towards the Pa and seeing mostly grass. I have been visiting Tiri ever since and have been a member of SoTM for a number of years. About 4 years ago I became a shop volunteer and I am currently training as a guide. I joined
12
committee for the past 3 years, helping with major events such as the Visitor Centre interpretation and organising our 21st dinner celebration. Apart from my own lifetime involvement with the island, I bring my background and experience as a teacher and educator. I wish to continue contributing to the Tiri project through the main committee, and also through the education subcommittee.
Melinda Habgood.
Melinda has a long involvement with Tiri. She completed her Master's thesis on copper and moko skinks (2002/03), joined the weed team (03/04) and has been a volunteer guide since 2003. She is currently an ecologist at Te Ngahere where she works in the fi eld of ecological restoration. Melinda believes this combination of a scientifi c and research background combined with her restoration experience in a commercial background is of great assistance to the Supporters. Her particular interest is bio-diversity.
Carl Hayson.
Carl has had over 16 years of experience on the committee including taking on the roles of treasurer, secretary and chairperson. He retains a strong interest in all aspects of the island, with a particular interest in promoting the historical side.
Dawn Chorus 80 February 2010
the Committee as Secretary in July last year and my fi rst task, with Maria Galbraith, was to organise SoTM's 21st birthday dinner. Since then I've taken on organising our "knowledge base" of everything we do, and have been asked to coordinate upgrading our website. To me Tiri is such an important place as it provides a way of exposing ordinary New Zealanders to the importance of conservation in an accessible way. I hope to use my business and organisation skills to help us achieve the many projects we have in our strategic plan.
Kevin Vaughan (Treasurer)
Kevin is the current Treasurer and has a background in accounting and management. He has spent many years overseas before returning to retire in New Zealand.
Hester Cooper
Hester has a strong science background, has been a guide for over eight years. Projects to enhance and diversify the vegetation on Tiritiri Matangi are a key interest because of their potential to increase the habitat available for many species. She currently chairs the Biodiversity subcommittee, which oversees and makes recommendations on all translocations, biodiversity and research matters.
Maria Galbraith
I am lucky enough to have been on the
John Stewart
I came to New Zealand 16 months ago from Northern Ireland, where I volunteered for several environmental organisations. I conducted surveys for the RSPB and the British Trust for Ornithology, and served on committees for the Northern Ireland Birdwatchers' Association and the Ulster Wildlife Trust. My closest involvement was with Copeland Bird Observatory (CBO), situated on a small offshore island. I chaired their committee, edited and wrote for their annual report and managed their website. I helped in monitoring the island's breeding colony of Manx shearwaters and frequently visited the island to band migrant passerines (I have been a bird bander for 25 years and served on the trainers' panel of the UK's national ringing scheme). I have a keen interest in habitat restoration, having created and managed woodland and wetland on my own property. Professionally, I trained as an engineer and computer scientist and have worked most recently for Queen's University Belfast, where I managed a small team of researchers working on the environmental effects of industrial processes.
Forests Restoration Trust (on their reserve at Tupare). I have also become increasingly involved with Tiri. During this spring and summer I have been helping Morag and Simon Fordham with work on kokako, saddleback and rifl eman, and have started training as a visitor guide.
Barbara and Ray Walter.
Since coming to New Zealand, I have volunteered for Motuora Island (planting trees and feeding diving petrels), Ark in the Park (monitoring kokako and robins) and the Native
Barbara and Ray are well-known to everyone as ex-rangers on the island and are keen to see the Tiritiri project continue. They have a keen interest in the fl ora and fauna of the island and the volunteer input.
Tiri Gift Shop
Dear Supporters
What a summer!!
A few new (and old) things to tempt you – remember, we still carry stock of most items shown in previous copies of the Dawn Chorus.
www.tiritirimatangi.org.nz
Cheese Boards with Cheese Knife $42 and $44
Orders can be emailed or phoned firstname.lastname@example.org phone/fax 09 476 0010.
With best wishes from your shop team!
Three Early Summer Flowers
Flowers function as the plant's reproductive organs. They appear in a vast range of size, shape and colour. A typical fl ower can be divided into four parts arranged in a series of concentric circles.
Firstly an outer circle of green sepals which have protected the unopened fl ower bud. Then a circle of usually bright coloured petals whose main function is to attract pollinators. Next follows one or more circles of male parts, the stamens. Each stamen consists of a supporting fi lament tipped with a pollen-bearing anther. Finally there is an inner circle of female parts, often fused into a single structure, containing a central ovary with a projecting style bearing a stigma at its tip. The stigma's role is to receive pollen.
Taurepo (Rhabdothamnus solandri) Taurepo has orange-red gloxinialike, bell-shaped fl owers. They are produced singly and are bisexual but not self fertile. A clever mechanism avoids this. The anther (male) ripens fi rst and moves forward to the edge of the fl ower tube, ensuring that birds pushing their heads into the fl ower seeking nectar are dusted with pollen. Later, as the fl ower matures, the anther bends back again, letting the stigma (female) take its place. It can then be dusted by birds carrying pollen from younger fl owers.
Nature has produced many variations on this theme, including plants that do not have both male and female parts in their fl owers. These can have sexes in separate fl owers or even on separate plants.
Let us take a closer look at three of our early summer fl owers.
Pohutukawa (Metrosideros excelsa) The sight of massed crimson pohutukawa blossom displayed against a green background signals the beginning of our northern summer.
Pohutukawa fl ower buds usually develop on shoots that have been growing for one year. These have a green woolly protective covering formed from the sepals.
As each fl ower develops it initially passes through a female phase when the sepals and petals unfold and a single style, tipped by a pollen-receiving stigma, protrudes. The numerous stamens, coiled tightly within the bud, now begin gradually to expand. This is the male phase. The stamens eventually become erect and 3 – 5 cm tall. At this point pollen is released.
Individual fl owers are only 3 – 5 mm across, but by grouping together in broad clusters they effectively create a mass of crimson stamens. Each fl ower has 5 small red petals, 3 – 5 mm long, enclosing a green glandular disc which secretes a steady fl ow of nectar. The much taller stamens are attached in
14
a ring just to the outside of the disc, giving each fl ower its colour. The central style leads down to the ovary below.
Visiting birds, geckos and insects effectively pollinate the fl owers.
Pohutukawa Buds Opening
Rewarewa (Knightia excelsa) Rewarewa belongs in the protea family. A feature of this family is that petals are absent from their fl owers, the sepals taking over this role.
Each rewarewa fl ower has 4 velvety sepals joined to form a 3 – 4 cm tube. As the fl ower opens at the tip 4 pollen-containing anthers are exposed. They are each attached to a sepal segment. The sepals and stamens curl backwards, leaving pollen deposited on the projecting style which is yellow tipped and needle-like. Four small glands at the base of the ovary secrete nectar. Visiting birds are brushed by the pollen placed on the style. Later, the stigma at the tip becomes receptive to any pollen brought by new birds seeking nectar.
Rewarewa Flower Showing Various Phases
Our native honeyeaters, tui and bellbird, plus the stitchbird, play an important role in its pollination. On the mainland, with poor numbers of these birds present, visits from silvereyes are more common. These birds have a small beak and rupture the fl ower from the side to get nectar, missing the anthers in the process. It follows that island-situated taurepo gets good pollination, resulting in large seed capsules. Mainland taurepo gets poor pollination (silvereye robbing), leading to few seed capsules.
Taurepo occurs naturally only in the North Island. Rhabdothamnus (meaning twiggy shrub) is an endemic genus with just the single species. It belongs in Gesneraceae (African violet family) which consists of mainly herbs with a few shrubs and vines, mostly tropical and subtropical.
Taurepo is well represented along the Wattle Track and a fi ne example is opposite the stitchbird feeder.
Hand this to your kids – or pass it on to someone else's kids – to enjoy a range of activities about Tiritiri Matangi Island.
Hey everyone!
It's not just the birds and trees that help Tiri's island ecosystem run. Invertebrates, or creepy crawlies, are a very important part too. Beetles, bugs, snails, bees, weta – all of these cool creatures help make Tiri special. Enjoy! Jo
| J | F | H | C | X | A | R | O | H | T | A | B | D | O | T | S | U |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| E | U | D | L | P | B | D | E | L | A | Z | A | H | G | Y | L | E |
| P | R | O | U | Z | I | L | S | C | N | A | U | S | L | I | M | Y |
| I | R | P | A | E | N | C | T | P | Y | K | I | P | S | N | E | C |
| N | Y | S | O | A | V | F | O | M | B | C | A | U | D | K | Y | H |
| W | E | T | A | V | E | X | O | S | K | E | L | E | T | O | N | R |
| A | N | N | Y | I | R | E | G | Z | I | L | R | E | S | H | G | Y |
| B | V | E | S | K | T | C | X | I | J | D | R | G | R | I | W | S |
| I | Y | M | O | D | E | C | O | M | P | O | S | E | R | S | E | A |
| R | X | G | R | U | B | S | D | S | L | O | S | W | F | A | X | L |
| G | M | E | G | T | R | Y | A | R | U | F | X | I | P | I | S | I |
| E | P | S | Q | H | A | N | P | A | B | D | O | M | E | N | H | S |
| A | S | O | H | O | T | H | A | R | M | R | S | E | F | L | T | O |
| V | O | G | R | E | E | R | I | W | E | I | H | W | J | P | O | V |
| R | M | I | N | Y | S | G | S | E | L | B | I | D | N | A | M | T |
| A | K | N | Q | I | L | T | E | G | I | T | N | Z | E | R | Y | C |
| L | A | C | R | M | W | E | L | S | O | G | Y | R | C | Q | I | U |
Find the underlined words in the WORDFIND above
Invertebrates do not have a skeleton inside their bodies. Many have a hard layer on the outside instead, called an exoskeleton.
They are important in lots of ways, including being bird food, pollinators, decomposers, & recyclers of dead material.
They come in an enormous variety of shapes, sizes, and textures. Some are spiky, some slimy, some furry, some shiny.
Many invertebrates begin life as larvae or grubs
Some come out during the day like butterflies. Others come out at night like moths & weta.
Invertebrates might have wings, body segments, antenna or feelers, mandibles or jaws, a thorax & abdomen.
Some must make a pupa or chrysalis to change into their adult form.
www.tiritirimatangi.org.nz
Match these creatures with the right number of legs
Centipede
Worm
Beetle
Spider
Fly
Millipede
Snail
Weta
Cockroach
Praying mantis
Mite
Bee
0
6
8
Heaps!
Supporters of Tiritiri Matangi Inc.
Notice of Annual General Meeting
Notice is hereby given that the Annual General Meeting of the Supporters of Tiritiri Matangi will be held as follows:
7.30pm Monday 29th March 2010 Kohia Teachers' Centre, 74 Epsom Ave, Epsom
(Enter Gate 2 on Epsom Ave, down slope and right, into middle level of parking building. Kohia is on the far side of the carpark accessed via covered walkway. Ample safe parking.)
At this meeting, the following items of business will be included:
Welcome, Apologies ................. Peter Lee
Chairperson's Report ............... Peter Lee
Minutes of Previous AGM ......... Helen Cain
Financial Report ....................... Kevin Vaughan
General Business
Election of Offi cers ................... (see page 12 for details of candidates)
Following the formalities, the guest speaker will be:
Dr Richard Jakob-Hoff
New Zealand Centre for Conservation Medicine Auckland Zoo
Following the meeting, there will be time to socialize with other members over a cup of tea / coffee / fruit juice
Supporters of Tiritiri Matangi Inc. PO Box 90 814, Victoria Street West, Auckland 1142
Dawn Chorus
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research-article
543256 research-article2014
XXX10.1177/0032329214543256Politics & Society
PAS
de Graauw
Municipal ID Cards for Undocumented Immigrants: Local Bureaucratic Membership in a Federal System*
Els de Graauw
Baruch College, City University of New York, New York, NY, USA
Abstract
This article examines the municipal ID card programs in New Haven and San Francisco. With a municipal ID card, undocumented immigrants can access basic city services and identify themselves with police and other city officials. The article draws on twenty-eight interviews with key stakeholders to show that city officials navigated the conflicting demands of ID card supporters and opponents to create a local membership policy focused on improving city administration, not expanding the rights of undocumented immigrants. In capitalizing on their discretionary administrative powers to develop programs that safeguard the health, safety, and welfare of all city residents, officials in New Haven and San Francisco managed to promote the integration of undocumented immigrants into city affairs without upsetting the federal monopoly over immigration and citizenship powers. This new form of local bureaucratic membership has implications for the urban citizenship literature and illustrates that city officials have some freedom to develop programs that benefit undocumented immigrants.
Keywords
membership, undocumented immigrant, city, federalism, ID card, bureaucracy
Corresponding Author:
Els de Graauw, Department of Political Science, Baruch College, City University of New York, One Bernard Baruch Way, Box B5-280, New York, NY 10010, USA.
Email: firstname.lastname@example.org
*This article is part of the September 2014 special issue of Politics & Society called "The Rights of Noncitizens." The papers were originally presented at a workshop held in 2012 at the New School of Social Research in New York City. The workshop was titled "The Rights of Noncitizens? Immigration, Boundaries, and Citizenship in Contemporary Democratic Politics." The event was co-sponsored by Politics & Society and the International Center for Migration, Ethnicity, and Citizenship at the New School (ICMEC). Please see the Introduction of this issue for further information.
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pas.sagepub.com
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Politics & Society 2014, Vol. 42(3) 309–330 © 2014 SAGE Publications Reprints and permissions: sagepub.com/journalsPermissions.nav DOI: 10.1177/0032329214543256 pas.sagepub.com
In recent decades, but especially since the failure of federal immigration reform in 2006-07, cities have become visible sites for political fights about the rights of the estimated 11.1 million undocumented immigrants living in the United States. 1 Some cities have passed ordinances that restrict the rights of undocumented immigrants by barring them from working and renting homes in their cities. Others instead have enacted legislation that seeks to safeguard or expand rights by granting undocumented immigrants local voting rights, municipal ID cards, and local sanctuary from federal immigration laws. Both restrictive and inclusive city policies that target undocumented immigrants have been subject to media, political, and legal scrutiny in large part because they challenge the federal monopoly over immigration and citizenship regulation. Only the federal government can decide which foreigners may enter and legally reside in the United States, acquire US citizenship, and become full members of American society. 2 From a constitutional perspective, cities appear to have no power to expand the de jure rights and benefits of undocumented immigrants even when many already are de facto members of their communities.
The urban citizenship literature provides a different perspective of cities and inclusive rights in particular. It explores how in the current age of intensive globalization cities provide an alternative locus for the sociocultural, economic, and political membership for growing numbers of international migrants and other marginalized populations. 3 Often with a focus on how grassroots advocates and disenfranchised residents challenge the meaning and practice of citizenship in local communities, this research suggests that cities in federal nations like the United States, Canada, and Germany serve as sites for the progressive reconstitution of formal citizenship. 4 This scholarship has strong normative undertones and often argues that all urban residents, regardless of their immigration or citizenship status, should be recognized as full members of the community with equal access to local resources and decision-making arenas. However, by paying little attention to the reality of the federal monopoly over immigration and citizenship issues, this literature tends to obscure the constitutional difficulties that cities face in enacting and implementing legislation that expands membership rights and benefits to undocumented immigrants.
Through an assessment of the municipal ID card programs in New Haven, Connecticut, and San Francisco, California, this article provides an empirically grounded account of the constraints and opportunities that cities face in improving the living conditions of undocumented immigrants. In navigating the conflicting demands of ID card supporters and opponents, city officials created a local membership policy that is focused on improving city administration, not expanding immigrant rights. I show that while federal law serves as an important constraint on cities' immigration and citizenship policymaking powers, it also provides city officials with some freedom to develop programs that benefit undocumented immigrants. More specifically, officials in New Haven and San Francisco capitalized on their discretionary administrative powers to develop programs that safeguard the health, safety, and welfare of all city residents, including undocumented immigrants. With a focus on improving the delivery of existing services rather than creating new rights, these city officials effectively developed a local membership policy that helps undocumented immigrants to by guest on August 14, 2014
become active and recognized participants in city affairs without upsetting the federal monopoly over immigration and citizenship powers.
Federal Restrictions on the Rights of Undocumented Immigrants
A discussion about the rights of undocumented immigrants may seem counterintuitive to those who assume that by definition undocumented immigrants are excluded members of society. It is still the dominant view that only nation-states can confer citizenship status and rights, and that nationality is the basis for full societal membership. 5 Since undocumented immigrants are foreigners who have entered the United States in violation of federal immigration laws, their unauthorized presence automatically precludes them from the rights and benefits that the country bestows on its citizens, including the right to vote, carry a US passport, and access a range of government assistance programs. Yet even undocumented immigrants are covered by certain protections that apply to all persons present within US territory, including equal rights protections under the 14th Amendment to the US Constitution and employment protections under the National Labor Relations Act and Title VII of the 1964 Civil Rights Act. 6 US law thus is much more ambivalent about what undocumented status means for the allocation of rights and benefits than commonly assumed.
Despite this ambivalence, recent federal laws and court decisions have more clearly circumscribed the rights and benefits of undocumented immigrants residing in the United States. Starting with the 1986 Immigration Reform and Control Act (IRCA) and culminating with the 2002 US Supreme Court decision in Hoffman Plastic Compounds, Inc. v. NLRB, the workplace rights of undocumented immigrants have become more precarious. 7 Intent on discouraging undocumented immigration, the Illegal Immigration Reform and Immigrant Responsibility Act (IIRIRA) and the Personal Responsibility and Work Opportunity Reconciliation Act (PRWORA) of 1996 have also restricted access to federal public benefits such as housing, food stamps, and Temporary Aid to Needy Families (TANF) for both legal and undocumented immigrants. And federal legislation designed to fight terrorism on US soil— including IIRIRA, the 1996 Antiterrorism and Effective Death Penalty Act (AEDPA), and the 2001 USA PATRIOT Act—has undermined the basic civil rights and civil liberties protections of undocumented immigrants residing in the United States. 8 Despite several controversial openings for immigrant rights, the trend has been toward excluding, rather than including, undocumented immigrants from national membership rights.
An added difficulty for undocumented immigrants today is that they can no longer obtain government-issued identification documents in the United States at a time when such documents are increasingly necessary for accessing locations and services. In the aftermath of the 2001 terrorist attacks, Congress enacted the REAL ID Act of 2005, which imposes national security standards for state-issued photo IDs. Under this federal law, immigrants must provide proof of lawful immigration status to obtain a driver's license or state ID card, thereby making it impossible for undocumented by guest on August 14, 2014
immigrants to get state-issued photo IDs that federal agencies will accept for official purposes. In 2002, state-issued driver's licenses were still available as a form of identification to undocumented immigrants in most states, 9 but in 2011 that was the case only in New Mexico, Utah, and Washington, whose licensing laws do not require proof of citizenship or legal residency. 10 The lack of a government-issued ID discourages undocumented immigrants from accessing the few public services that are available to them, increases their reluctance to contact those government institutions that can safeguard their rights, and limits their freedom of movement within the country. 11
Cities as Alternative Sites for the Rights of Undocumented Immigrants
A growing population of long-term undocumented immigrants in the United States has brought their lack of formal national membership rights into starker relief. This disjuncture between territorial presence and formal rights has driven some scholars to challenge the national assumption of citizenship and consider alternative understandings of citizenship's location. In considering nonnational forms of rights, they have looked up at international political organizations such as the United Nations and the emerging international human rights regime to consider the possibilities and pitfalls of global, cosmopolitan, transnational, or postnational citizenship. 12 Increasingly, scholars have also looked down to cities (and US states) as another locus of rights in today's rapidly globalizing world. As the most immediate face of government, cities in particular are sites that present undocumented immigrants with opportunities to access the sociocultural, economic, and political rights and services that confer societal membership. 13
Proponents of urban citizenship see local residence, rather than nationality, as the basis for societal membership and decision-making authority. 14 They argue that undocumented immigrants already are de facto members of the community—they work in the city, pay local taxes, are homeowners, tenants, or landlords in the city, send their children to local schools, attend city churches, shop in the city, etc.—and therefore should become de jure members and be given the opportunity to influence the city's sociocultural, economic, and political spheres. Existing scholarship is largely normative in nature and tends to approach citizenship as a bottom-up process where grassroots activists use community organizing campaigns to expand the membership rights and benefits of noncitizen immigrants in areas including health care and public education, 15 employment, 16 and voting. 17 These studies illustrate well how citizenship practices are grounded in various aspects of city life, but they largely overlook the agency of city officials and the role of local government in urban struggles over belonging and membership for noncitizen immigrants. 18
In the United States, cities are subordinate to states and the federal government and they have no independent powers. Constitutional law sees cities merely as administrative creatures of the various states with the responsibility to assist them in carrying out state government functions. Most states have granted cities broad police powers to by guest on August 14, 2014
regulate and protect the health, safety, and welfare of their residents, and cities in recent years have enjoyed more policymaking discretion due to the federal devolution of government responsibilities. 19 Yet all local legislation still needs to conform to state and federal laws. In the areas of immigration and citizenship, city initiatives to expand membership rights and benefits to undocumented immigrants have been particularly controversial because they challenge the federal government's exclusive power over both immigration and citizenship policy. City officials defend their initiatives as legitimate exercises of municipal power to promote the general welfare of city residents. Critics instead portray local initiatives as thinly veiled attempts by local governments to interfere with the flow of immigration and reconstitute the meaning and practice of US citizenship. How advocates and city officials navigate this difficult constitutional terrain to try to carve out some local autonomy for initiatives that help undocumented city residents is at the heart of this article.
I use the case of municipal ID cards to show that while cities cannot recognize undocumented immigrants as formal members of American society, they can take advantage of their discretionary administrative powers to develop programs that make it easier for undocumented immigrants to participate in key aspects of city life. With a focus on facilitating access to municipal services for which undocumented immigrants are already eligible rather than granting them new rights, municipal ID card programs should not be viewed as constitutionally suspect attempts to unsettle the federal government's power over citizenship. Also, because municipal ID card programs are instances of problem-oriented initiatives that seek to combat disadvantages faced by all city residents irrespective of their immigration or citizenship status, they also should not be construed as constitutionally suspect attempts to unsettle federal power over immigration. I introduce the concept of "local bureaucratic membership" to highlight how city programs that help undocumented immigrants to access city services for which they are already eligible are substantively different from federal initiatives to expand citizenship rights or regulate undocumented immigration.
Municipal IDs and Local Bureaucratic Membership
Municipal ID cards are a new type of initiative that several US cities have developed in recent years to advance the civic integration of city residents who have difficulty obtaining government-issued identification documents, including undocumented immigrants, transgender individuals, the homeless, the elderly, youth, and the prison reentry population. Municipal IDs are available to all city residents, regardless of immigration or citizenship status. They are valid only in the city that issued them and can be used for identification with police, school, and other city officials as well as local banks and stores. They serve purposes other than identification and function also as library cards, discount cards for local businesses, and prepaid and full-fledged debit cards. Soon, they will likely also serve as public transit cards. Municipal IDs do not, however, confer legal status, give authorization to work or permission to drive, prove legal age to purchase alcohol or tobacco, establish new city benefits for cardholders, or change cardholders' eligibility for any existing local, state, or federal benefits or services.
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With overall modest goals, municipal ID card programs nonetheless are important initiatives that address the most basic rights and benefits of city residents. In the specific case of undocumented immigrants, having a municipal ID card makes it safer for them to interact with frontline city workers and to move around in the city. A municipal ID card also makes it easier for undocumented immigrants to participate in local commerce and to access municipal facilities, including recycling centers, public schools, city-run health clinics, libraries, city parks, and public beaches and golf courses.
These benefits for undocumented immigrants amount to what is best described as local bureaucratic membership. The main goal of municipal ID cards is to facilitate access to municipal service bureaucracies for undocumented immigrants, who—to the detriment of both their own and other city residents' health, safety, and welfare—tend to avoid contact with government officials and agencies. Municipal IDs thus encourage undocumented immigrants who are city residents to use the basic city services and programs for which they are already eligible. As such, local bureaucratic membership differs from national legal citizenship in at least two key respects. First, local bureaucratic membership is an administrative designation that extends to all individuals who reside in the city, regardless of immigration or citizenship status. National legal citizenship, in contrast, is a juridical status that foreigners can acquire after birth only with explicit consent of the federal government. Second, the extension of local bureaucratic membership does not confer new rights, benefits, or responsibilities, but the acquisition of national legal citizenship does.
Local bureaucratic membership and national legal citizenship ultimately vary in the warmth of the welcome that officials at different levels of government provide to undocumented residents, with city officials including them and federal officials excluding them. This disparity between the local inclusion and federal exclusion of undocumented residents is a function of the federated and multiscalar structure of the US nation-state. 20 Federalism, with power divided and shared between federal, state, and local governments, creates openings for officials especially in more politically progressive cities to pursue initiatives that reflect local inclusive norms but run counter to federal immigration enforcement goals. And while cities are mere administrative subdivisions of states and the federal government, they have an obligation to regulate and protect the health, safety, and welfare of all city residents. From this, city officials derive their authority and autonomy to develop programs that also benefit undocumented immigrants. When such programs are enacted and implemented for the general welfare of all city residents without regard to immigration or citizenship status, they can legitimately operate alongside federal immigration and citizenship laws that seek to exclude undocumented immigrants from formal citizenship rights and benefits.
Local bureaucratic membership is similar to urban citizenship in that both view the city as an alternative locus for membership in a globalizing and migratory world where growing numbers of noncitizen immigrants lack formal citizenship in the country where they reside. Yet the concept of local bureaucratic membership is also distinct from that of urban citizenship in several respects. First, much of the urban citizenship by guest on August 14, 2014
literature was developed in the 1990s. 21 As such, it predates many of the federal reforms that have rolled back the rights of undocumented immigrants, whose population reached record numbers in the United States in the 2000s. Consequently, urban citizenship scholars have not adequately explored how the issue of illegal status affects their theorizing about cities' potential to confer membership rights on immigrants. 22 Because increased federal immigration enforcement has made undocumented immigrants more fearful of engaging with government institutions and civic life, discussions about membership and belonging at the local level have correspondingly shifted to focus on claiming the few rights and benefits they already have, rather than on expanding rights and benefits. By highlighting the difficult and unique situation of undocumented immigrants, the concept of local bureaucratic membership brings the urban citizenship literature up to date with today's more restrictive immigration policy context in the United States.
Second, the concept of local bureaucratic membership takes more seriously the continued power of the US nation-state over issues of citizenship and belonging. As noted also by others, 23 urban citizenship scholars tend to be idealists who celebrate the demise of the nation-state but give insufficient consideration to how their normative visions of city citizenship can or cannot take shape in real life. The concept of local bureaucratic membership is more grounded in the reality that US cities are still subservient to the real and lasting power of the federal government. It recognizes that advances in local membership rights and benefits for noncitizen immigrants do not happen in a policy or political vacuum, but instead result from federalist dynamics where cities must test and negotiate their discretionary administrative powers with the federal government's exclusive power over both immigration and citizenship policy.
Finally, the concept of local bureaucratic membership also considers the role of local governments and immigration opponents in shaping discourses and outcomes in fights about the local membership rights and benefits of undocumented immigrants. Urban citizenship scholars have focused largely on the role of grassroots mobilization by marginalized city residents and advocacy by immigrant rights groups in attempts to reconstitute the meaning and practice of citizenship. 24 Advocacy by immigrant rights supporters is important, also, in empowering noncitizen immigrants to step forward to demand and claim their rights, but so is the counter advocacy by immigration opponents and the eventual intervention of city officials, who have the power to enact and implement laws affecting city residents' daily lives. By considering a wider range of stakeholders, the concept of local bureaucratic membership provides a more realistic picture of what type of local membership policies can be obtained in a context where advocacy to expand immigrant rights continues to face media, political, and legal scrutiny.
Methods and Data
Since 2007, six municipalities have developed ID card programs. New Haven (CT) was the first to do so in June 2007, followed by San Francisco (CA) in November 2007, Oakland (CA) in June 2009, Richmond (CA) in July 2011, Los Angeles (CA) in by guest on August 14, 2014
November 2012, and New York City (NY) in June 2014. Several other cities have considered or are considering ID card programs, including Minneapolis (MN), Chicago (IL), and Dayton (OH). Additionally, law enforcement officials in three New Jersey municipalities have started to endorse the "community ID cards" issued by local nonprofit organizations in Asbury Park (2008), Mercer County (2009), and Freehold (2012). 25 In this article, I focus on the ID card programs in New Haven and San Francisco, because they are the only two programs created by city governments that have been in operation at opposite ends of the country for several years now. 26 As of January 2012, New Haven had issued a total of 10,086 cards, 27 and as of November 2013, San Francisco had issued 19,231 cards. 28
New Haven and San Francisco both are predominantly Democratic cities that are tolerant of diversity and friendly toward immigrants. Both cities practice limited cooperation with federal immigration officials and in recent years have sought to secure local voting rights for noncitizens. New Haven, however, is six times smaller than San Francisco, with a much smaller proportion of foreign-born residents. In 2010, 16 percent of New Haven's 129,000 residents were born outside the United States, compared to 36 percent of San Francisco's 789,000 residents. 29 The cities' populations also have different ethnoracial compositions. In 2010, New Haven included a relatively large percentage of Latinos (27 percent in New Haven vs. 15 percent in San Francisco) and blacks (35 percent in New Haven vs. 6 percent in San Francisco) and a much smaller percentage of Asians (5 percent in New Haven vs. 33 percent in San Francisco). 30 Both cities, however, have significant populations of undocumented immigrants, estimated at 10,000-12,000 in New Haven 31 and 30,000 in San Francisco. 32
In both New Haven and San Francisco, the municipal ID card programs were grassroots initiatives, pushed for most prominently by an assortment of community organizations serving immigrants and other disadvantaged city residents. In New Haven, the program developed as an administrative rather than legislative initiative, with then Mayor John DeStefano and then Police Chief Francisco Ortiz as the biggest government champions of the "Elm City Resident Card." New Haven received a private grant in the amount of $250,359 from a local community development bank to fund the program's implementation. 33 In San Francisco, local legislators on the Board of Supervisors enacted the Municipal ID Ordinance with lukewarm support from then Mayor Gavin Newsom and no public support from then Police Chief Heather Fong. In the first year of the program's implementation, the city spent about $1 million of its own funds (i.e., tax-payer dollars) to purchase the equipment to make the cards and pay city staff to run the program. In both cities, immigration opponents mounted unsuccessful legal challenges, attempting to undermine or strike down the municipal ID card programs.
To explain how the ID card programs got off the ground, I draw from twenty-eight semistructured interviews with three sets of respondents in New Haven and San Francisco: (1) elected and appointed officials and other local government employees, (2) staff from local immigrant rights organizations, and (3) staff from a variety of other community-based organizations that serve disadvantaged populations such as transgender and homeless individuals as well as the elderly, youth, and the prison reentry by guest on August 14, 2014
population. All respondents, whom I interviewed in 2009 (with a few follow-up conversations and emails in subsequent years), have been actively engaged with the creation and implementation of the municipal ID card programs in New Haven and San Francisco. The interviews, which ranged in length from forty minutes to two and a half hours, included questions about respondents' involvement in the policymaking progress, their perceptions of the need for and impact of municipal ID cards, and their reactions to media, political, and legal scrutiny of the ID card programs. 34 All interviews were audio recorded and transcribed. I also draw from newspaper reports on the municipal ID card programs in both cities, a dozen recorded and publicly televised hearings on the ID card programs, and an assortment of government reports that include the original legislative files and program descriptions, implementation studies, Freedom of Information Act (FOIA) requests and rulings (for New Haven), and court documents (for San Francisco).
Proponents: Municipal IDs and Local Civic Engagement
In both New Haven and San Francisco, community groups with progressive views on immigrant rights provided the genesis and strongest support for the municipal ID card programs. Many elected officials in New Haven and San Francisco were receptive to the ID card programs, but community groups originally developed the idea for a municipal ID card and aggressively pushed city officials to act on the issue. Without this community pressure, it is unlikely that either city would have created a municipal ID card program.
In New Haven, the key organizational advocate for municipal IDs was Junta for Progressive Action (Junta), the city's oldest Latino organization, which dates from 1969. This organization worked alongside Unidad Latina en Acción (ULA – Latinos United in Action), a relatively new immigrant rights organization founded in 2003, and St. Rose of Lima Church, a Catholic church with an overwhelmingly Hispanic congregation. In San Francisco, the Alianza Latinoamericana por los Derechos de los Inmigrantes (ALDI – Latin American Alliance for Immigrant Rights), an immigrant rights organization formed in response to federal immigration raids in the Bay Area in 2006-07, first approached members of the Board of Supervisors with a proposal for municipal ID cards. At the height of the campaign, however, a broad coalition of twenty-one labor unions and community-based organizations serving immigrants, the homeless, youth, the elderly, and transgender individuals advocated for passage of San Francisco's Municipal ID Ordinance. 35
Advocates in both cities were keenly aware that stricter federal immigration laws and stepped-up interior enforcement practices had made it increasingly difficult for the undocumented immigrants in their communities to conduct their daily lives. A Junta staff member in New Haven commented how the lack of formal citizenship rights made undocumented immigrants "easy targets for crimes, scams promising citizenship, and exploitation in housing, employment, and other areas affecting quality of life" and discouraged them to "interact with city officials and report violators for fear of deportation." A staff member with St. Peter's Housing Committee in San Francisco by guest on August 14, 2014
specifically mentioned how the REAL ID Act of 2005 had compounded these problems by making it impossible for undocumented immigrants to obtain an official form of ID. Not having an ID, she said, is "such a huge barrier to being integrated . . . Being able to prove who you are is just so basic for so many things, like renting an apartment or getting a job or getting help from a social service agency or traveling."
These advocates viewed municipal ID cards as a tool critical for fostering the civic engagement of undocumented immigrants by removing identification as a key barrier to participation in community affairs. 36 They all commented that an ID card issued by city government would make undocumented immigrants feel safer and more secure. Carrying a municipal ID card, they explained, would minimize the risk that undocumented immigrants, who—other than their civil violation of the country's immigration laws were law-abiding residents—would be taken in by local police or detained by federal immigration officials. They also emphasized that undocumented immigrants in possession of an ID card would feel more comfortable interacting with police officers, in particular, to report theft, domestic violence, or other crimes they had witnessed or been victims of. Finally, because undocumented immigrants could use the card for a variety of other purposes—to open a bank account, check out books at local libraries, access health services at city-run clinics, enroll their children in local public schools, rent a home, etc.—they would be further encouraged to step out of the shadows and take advantage of basic public and private amenities.
In explaining why undocumented immigrants in New Haven and San Francisco should be eligible for a municipal ID card, advocates echoed and put into practice the views of urban citizenship scholars. They emphasized that local residence, rather than formal citizenship, serves as the basis for inclusion, often invoking cosmopolitan 37 and postnational 38 ideals to signal the universality of societal membership. In New Haven, a Junta staff member commented that municipal ID cards are "really about human dignity and human rights, and it was about New Haven taking a stance in support of immigrant rights in a way that no other city was willing to do." Similarly, an ALDI staff member in San Francisco reflected that, "It's a basic human right that someone has an identity they can prove. Nobody should have to walk around without papers and be excluded from the community because they're undocumented." An advocate with Chinese for Affirmative Action in San Francisco added that, "Our advocacy around the city ID card is informed by our belief that because immigrants live and work here, that that creates grounds for claims-making." The advocates, in other words, envisioned the city as the space where cosmopolitan and postnational ideals for an expanded circle of membership, which includes undocumented immigrants, could be realized.
Although it was first and foremost the plight of undocumented immigrants that advocates sought to ameliorate, they understood that a municipal ID card for specifically undocumented immigrants was highly controversial from a federalist perspective. At a time when federal officials were cracking down on illegal immigration, a card boasting of benefits to undocumented immigrants would likely generate media and political scrutiny. "If we'd moved forward with a proposal for a card for only undocumented immigrants," a Junta staff member in New Haven commented, "we by guest on August 14, 2014
might as well have put the proverbial bull's eye on it." Similarly, an advocate with St. Peter's Housing Committee in San Francisco quipped that, "We didn't want this card to be couched as something just for illegal immigrants, because we knew that could burn us." The advocates also feared legal scrutiny. They knew that under federal law cities may issue their own identification cards, but they were unsure of the constitutionality of a card available only to undocumented immigrants. "I looked into this issue," a staff member of ALDI in San Francisco commented, "and I found a case that said it'd be unconstitutional for municipalities to offer IDs only to undocumented immigrants, because they'd be singled out. What I derived from that was the opposite, that if a city offers the card to everybody, then it is constitutional."
To minimize media, political, and legal scrutiny, advocates in both New Haven and San Francisco strategized to expand the card's beneficiaries to other populations with known difficulties in obtaining government-issued identification documents. They proposed that the card include medical information to appeal to the elderly and emergency contact information to appeal to parents of youth. In San Francisco, advocates proposed that homeless shelters and other social service agencies with city contracts be allowed to confirm the San Francisco residency of homeless individuals so they could also obtain the card. Advocates in San Francisco also proposed that the card be gender neutral to make it attractive to transgender individuals. Furthermore, to appeal to city residents who already have other valid forms of identification, such as a state driver's license or US passport, advocates developed the card's multiple functions beyond identification. In both New Haven and San Francisco, the card offers access to public golf courses and discounts at stores citywide, including restaurants, bakeries, nail salons, pharmacies, shoe stores, gyms, dry cleaners, and even a cosmetic dental office. In New Haven, the card also serves as a prepaid debit card that cardholders can use to pay for small expenses at participating stores and parking meter fees in the city.
Advocates also sought to make the municipal ID cards widely available to all residents of New Haven and San Francisco to ensure that the cards would advance the civic integration of undocumented immigrants and not facilitate their profiling. "We [. . .] didn't want the ID card to be a scarlet letter for the city's undocumented community," an employee of St. Peter's Housing Committee in San Francisco commented. "We wanted the card to be carried by all city residents." A staff member of ULA offered similar reasoning for expanding the card's beneficiary populations in New Haven. "We're about immigrant rights and we initially thought about creating a card just for immigrants, but then we realized that the smart thing to do is to create a card for everybody in New Haven. When everybody has a card, undocumented immigrants can blend in . . . they stand out less, and it'll be easier for them to integrate." According to the advocates, the integration of undocumented immigrants into local civic life could best be accomplished by downplaying the group- or immigrant-specific nature of the municipal ID card programs.
All in all, community advocates in both New Haven and San Francisco envisioned their city as a space where undocumented immigrants could become more empowered members of society by engaging them in aspects of local civic life. The municipal ID
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card could help accomplish this by giving undocumented immigrants better access to basic public and private services and amenities already available to them. It is important to note that none of the advocates talked about municipal IDs as a way for undocumented immigrants to gain new rights; instead, municipal IDs would allow undocumented immigrants to claim unclaimed municipal services and facilitate their participation in local commerce. All advocates clearly understood that only the federal government could expand the rights of undocumented immigrants by legalizing their status and providing them a path to full citizenship in the United States.
Opponents: Municipal IDs and Federal Immigration and Citizenship Powers
Despite advocates' attempts to portray the municipal ID cards in New Haven and San Francisco as civic engagement initiatives benefitting all city residents, national and local media overwhelmingly portrayed them as cards for undocumented immigrants. In 2005, the New York Times first reported on the New Haven initiative with a headline that read, "New Haven Mayor Ponders ID Cards for Illegal Immigrants," followed in 2007 by an article titled, "New Haven Approves Program to Issue Illegal Immigrants IDs." 39 Local papers, including the New Haven Register and the Connecticut Post, reported on the New Haven program with similar headlines. 40 In San Francisco, the San Francisco Chronicle—the city's largest newspaper—first reported on the San Francisco ID card policy on September 7, 2007, with a headline reading "City Has a Plan for Immigrant ID Card." 41 That same day, the San Francisco Examiner, the city's second largest newspaper, made the issue front-page news with the headline "Immigrants May Be Given City ID Cards." 42
These and similar news stories did not necessarily portray municipal ID cards negatively, but according to proponents in the advocacy community and city government they did stir a national debate and provided fodder to ID card critics. In San Francisco, the aide to Supervisor Tom Ammiano who worked with the advocates to develop the Municipal ID Ordinance said that she does not remember "ever getting any supportive media on the ID . . . As soon as it became public, the story hit the right-wing news stations and was national news . . . Tom was getting called by Fox, CNN . . . All these stations that wanted to interview him." Similarly, an advocate with ULA in New Haven commented that, "The media blew up around this issue and anti-immigrant organizations seized on all the media attention to say that what the mayor was doing was wrong and illegal." An official in the office of then Mayor John DeStefano who had responsibility for developing the New Haven ID card program added that antiimmigrant groups, which tended to represent white suburbanites, "embraced the early media coverage" and aggressively used the media themselves to keep the ID issue in the public eye. "Their big argument," she noted, "was that if New Haven created this ID program, it would attract more immigrants, and then eventually brown people would start spilling into the suburbs."
The critics who mounted legal challenges to the ID card programs argued that officials in New Haven and San Francisco had unconstitutionally meddled in federal by guest on August 14, 2014
immigration affairs. In New Haven, the anti-immigrant Community Watchdog Project and the editor of a local newspaper sought to shut down the ID card program by filing separate state FOIA requests in 2007 to force the city to release the names, addresses, and photos of ID cardholders. 43 Dustin Gold, chief strategist for the Community Watchdog Project, argued that the ID cards violated federal laws against aiding illegal immigration. With the help of the Washington, DC-based Immigration Reform Law Institute, 44 he filed a FOIA request to demonstrate to undocumented immigrants "that their information is not secure once it enters the Elm City Municipal Identification Card database," thereby discouraging them from obtaining the card. 45 Chris Powell, the newspaper editor who filed the other FOIA request, similarly argued that by issuing ID cards to undocumented immigrants, the city was "[subverting] national immigration policy." 46 He explained that he submitted a FOIA request so he could send cardholder information to federal immigration officials to help them go after undocumented immigrants living in New Haven. 47
In San Francisco, the Immigration Reform Law Institute filed a lawsuit (Langfeld et al. v. City and County of San Francisco et al.) in California Superior Court in 2008 on behalf of four San Francisco residents who sought to strike down the Municipal ID Ordinance. In addition to their charges that the ordinance was an illegal expenditure of city funds and a violation of state environmental laws, the plaintiffs also alleged that the ordinance violated federal law by aiding and abetting illegal immigration and by treating undocumented immigrants like US citizens. In their petition to the Court, the plaintiffs state that by issuing ID cards to undocumented immigrants, San Francisco officials "encourage, induce and aid illegal aliens to reside in the United States" and offer them "all benefits available to citizens and legal residents of San Francisco, as if the cardholder were a lawful citizen or resident of the City." 48 City officials, according to the plaintiffs, had overstepped their bounds, and for relief they asked the Court to declare the Municipal ID Ordinance null and void on state and federal preemption grounds.
Both challenges to the municipal ID card programs were unsuccessful. The Connecticut Freedom of Information Commission found that the New Haven ID card program does not constitute a local attempt at immigration regulation because card applicants are not asked about their immigration or citizenship status. Citing credible threats of violence against city officials and undocumented immigrants who carry the card, the Commission ruled that New Haven officials could keep secret the identity of cardholders. Similarly, the California Superior Court sustained the city attorney's demurrer, which emphasized that the Municipal ID Ordinance in San Francisco had only a "purely speculative and indirect impact on immigration" and that city officials at no point make a determination about the immigration status of ID card applicants since "immigration status is not considered at all under the Ordinance." 49 The judge subsequently dismissed the Langfeld case and entered judgment in favor of the city. In the end, both the Commission and the Court helped to sustain programs that do not explicitly identify undocumented immigrants as their beneficiaries, yet in their practical application address the issue of immigration and offer clear benefits to undocumented immigrants. Their rulings sent the message that cities can help undocumented by guest on August 14, 2014
immigrants if they enact immigration-status neutral programs that benefit all city residents.
City Officials: Municipal IDs and Discretionary Administrative Governance
The city officials who supported the municipal ID cards had to navigate between the demands of the ID card proponents and the criticisms of ID card opponents. Like the proponents in the advocacy community, city officials framed the ID cards as a tool for fostering civic engagement and as a matter of social justice and human rights for the undocumented immigrants who live, work, and pay taxes in their city. New Haven Mayor John DeStefano, in a rare appearance before the city's Board of Aldermen in May 2007, 50 testified that ID cards are "not an immigrant issue," but rather an "issue of social justice and human rights . . . a New Haven issue." He emphasized the need to recognize and give a name to those who are here with "the complicit permission of the national government" but live and work "silently, almost invisibly among us." Similarly, San Francisco Supervisor Tom Ammiano, the chief sponsor of the Municipal ID Ordinance and then representative of the heavily Hispanic Mission district, testified in the Board of Supervisors in November 2007 that because undocumented workers provide the backbone of the city's tourism and hotel industries, they deserve an ID that provides access to basic services and allows them to more fully participate in civic life. The ID card, he commented, is an overdue "gesture of goodwill" and offers undocumented immigrants the deserved recognition as "citizens of San Francisco."
City officials, however, also worried that their decisions and actions would be challenged and declared unconstitutional on federal preemption grounds. Although they knew that cities could issue their own ID cards, they were uncertain of the legality of municipal IDs that also benefit undocumented immigrants. One way city officials tried to signal that they were not overstepping their bounds was by explicitly acknowledging the exclusive federal power over immigration and citizenship issues. The San Francisco city attorney, for example, in his response to plaintiffs' petition in the Langfeld case, stated that "the federal government unquestionably has the exclusive power to regulate immigration." 51 He also explained, however, that just because undocumented immigrants are among the beneficiaries of the Municipal ID Ordinance, that did not render the local law a regulation of immigration or an encouragement for undocumented immigrants to settle in San Francisco. Similarly, staff in the New Haven Office of the Mayor commented that in developing the municipal ID card program, "we focused on what we as a city have control over . . . We knew that we couldn't do anything about immigrants' access to driver's licenses or their immigration and citizenship status . . . those are state and federal issues."
New Haven and San Francisco officials also made clear that their ID card programs simply could not be construed as impermissible regulations of immigration because city officials at no point inquire or make decisions about card applicants' immigration or citizenship status. In fact, their point was precisely that immigration and citizenship by guest on August 14, 2014
status are inconsequential for how city officials treat city residents. In San Francisco, where the program developed as a legislative initiative, city officials even made the conscious and strategic decision to keep the Municipal ID Ordinance completely silent on the issues of immigration and undocumented immigrants. "It isn't an accident that the word immigrant isn't in the ordinance or anything about unauthorized immigrants," explained the aide to Supervisor Tom Ammiano who had a key role in developing the Municipal ID Ordinance. "You can read the entire ordinance," she added, "and not know that immigrants benefit from this policy." The city attorney reiterated these and related points in his response to the Langfeld challenge to underscore that the Municipal ID Ordinance is not a local attempt to regulate immigration and does not contravene federal enforcement policies. 52
By making municipal IDs widely available, officials in New Haven and San Francisco signaled not only that the IDs have nothing to do with regulating immigration, but also that they fall fully within the powers of the city to legislate for the health, safety, and welfare of all city residents. In explaining the ID card programs, both Mayor DeStefano and Supervisor Ammiano repeatedly talked about how the cards would bring community-wide benefits and alleviate problems that affected all city residents. In particular, they emphasized how the ID card would increase public safety because cardholders would feel more confident reporting crimes to the police and serving as witnesses in crime investigations. 53 Supervisor Ammiano also discussed the card's public health benefits by making it easier for cardholders to access preventative medical care at city-run health clinics. 54 Finally, throughout the ID card campaigns, officials in New Haven and San Francisco talked about how the cards would foster more integrated and thereby civically healthier communities. Thus instead of talking about the card's target beneficiary populations, city officials focused on the specific issues—public safety, public health, and community integration—that the cards would address for the benefit of all city residents.
Also contrary to critics' allegations, officials in New Haven and San Francisco were not trying to challenge federal citizenship power. For city officials, a key goal of the ID card programs was to improve the administrative effectiveness and customer service of local government. Staff in the New Haven Office of the Mayor explained the importance of the ID card in "helping city residents to better connect with available services." During a November 2007 hearing in the Board of Supervisors, Supervisor Ammiano similarly talked about how the all-in-one San Francisco ID card would "cut bureaucratic red tape" and facilitate "mundane access" to basic city services. In his demurrer to the plaintiffs' allegations in the Langfeld case, the San Francisco city attorney also stated that the ordinance only has "modest utility" and "merely creates an administrative process that would provide an easy way for San Francisco residents to prove identity and residency to police officers, other city officials, and third parties who choose to accept the card." 55 In sum, municipal IDs were about city administration, not membership in the national community.
Also important to note is that city officials exclusively talked about the ID cards as a tool to facilitate access to services for which cardholders were already eligible prior to the creation of the ID card programs. They made no mention of creating new rights by guest on August 14, 2014
or new benefits for cardholders more generally or cardholders who are undocumented immigrants. The focus on existing local services rather than new membership rights and benefits is another indication that officials in New Haven and San Francisco were not trying to encroach on the federal government's citizenship power. To city officials, the municipal ID card was a legitimate administrative tool they could use to improve relations between city residents and local government. City officials, in other words, employed a discretionary mode of governance to facilitate the workings of the local bureaucracy, not to shift membership boundaries or reconstitute the formal citizenship for undocumented immigrants who reside in their cities.
Conclusion
Municipal ID card programs like those launched in New Haven and San Francisco make clear that cities in the US federal system have some freedom to develop initiatives that benefit undocumented immigrants. The federal government continues to have sole power over immigration and citizenship issues, making it constitutionally impossible for cities to expand the formal rights of undocumented immigrants. Yet cities can utilize their discretionary administrative powers to develop initiatives that safeguard the health, safety, and welfare of all city residents, regardless of their immigration or citizenship status. When such initiatives are designed to promote residents' access to existing city programs and services for which they are already eligible, they make it easier also for undocumented immigrants to become active and recognized participants in city affairs without upsetting the federal monopoly over immigration and citizenship powers. Such initiatives amount to a new form of local bureaucratic membership that is distinct from both national legal citizenship and urban citizenship.
This analysis of the municipal ID card programs in New Haven and San Francisco holds two important lessons for urban citizenship scholars. First, it shows that empirically grounded accounts are necessary to examine and document what cities in a federal system like the United States actually can do to improve the membership and civic integration of undocumented immigrants and other marginalized city residents. Urban citizenship scholars tend to work on a normative plane, giving insufficient attention to how their visions of an urbanized citizenship may or may not be realized. Second, the analysis also underscores the need for urban citizenship scholars to focus not only on community advocates seeking to expand the rights of marginalized city residents, but also their critics and city officials. The New Haven and San Francisco municipal ID card programs reflect—though to different degrees—the motives and goals of all three groups of stakeholders, and it is not possible to explain the programs' development and implementation by considering the actions of only the ID card proponents in the city's advocacy community.
All in all, municipal ID card programs and the local bureaucratic membership they engender make it easier for undocumented immigrants to access basic municipal services and benefits. These programs, however, should not divert attention away from the more important project of pressing for changes in federal law that will allow undocumented immigrants to legalize their status and become US citizens. Without by guest on August 14, 2014
legal status and a path to citizenship, undocumented immigrants—even those who live in inclusive cities like New Haven and San Francisco—will never be able to become full members of US society. Perhaps positive changes are on the horizon now that Congress is considering immigration reform that may put most of the country's 11.1 million undocumented immigrants on the road to US citizenship. Until then, undocumented immigrants remain excluded from formal citizenship and enjoy a measure of civic inclusion only in those few cities that have opted to grant them local bureaucratic membership.
In this article, I have focused on the role of ID card proponents, opponents, and city officials in realizing and challenging the municipal ID card programs in New Haven and San Francisco. Additional research is needed on the individuals who carry and use the cards. Community advocates in both New Haven and San Francisco have shared anecdotes that suggest that the majority of the individuals obtaining the card are undocumented immigrants, who experience a greater sense of civic inclusion and safety as a result of the card. But why do undocumented immigrants obtain the card? How do they use it on a day-to-day basis? And what does the card mean to them? Do they feel the card conveys formal membership in city affairs, and has it changed their perception of what it means to live in the United States illegally? Studies that answer these and related questions will further add to the literature by incorporating the lived experiences of municipal ID card holders with normative accounts of what urban citizenship should look like.
Acknowledgments
I want to thank David Plotke, who invited an earlier draft of this article as a contribution to the "The Rights of Noncitizens? Immigration, Boundaries, and Citizenship in Contemporary Democratic Politics" workshop at the New School in September 2012. I also benefitted from helpful comments from Shannon Gleeson, Michael Jones-Correa, Helen Marrow, Monica Varsanyi, Phil Wolgin, the editors of Politics & Society, and the participants of the "Illegality Regimes: Mapping the Law of Irregular Migration" conference at the VU University in Amsterdam in May 2013. I also thank Sijia Xiang for her research assistance as well as community advocates and government officials in New Haven and San Francisco for sharing their information and experiences with me.
Declaration of Conflicting Interests
The author declared no potential conflicts of interest with respect to the research, authorship, and/or publication of this article.
Funding
The author disclosed receipt of the following financial support for the research, authorship, and/ or publication of this article: Research for this article was made possible with funding from the Hauser Institute for Civil Society at Harvard University and PSC-CUNY 41.
Notes
1. Jeffrey S. Passel and D'Vera Cohn, A Nation of Immigrants: A Portrait of the 40 Million, Including 11 Million Unauthorized (Washington, DC: Pew Hispanic Center, 2013).
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2. T. Alexander Aleinikoff, David A. Martin, and Hiroshi Motomura, Immigration and Citizenship: Process and Policy (St. Paul, MN: Thomson West, 2008).
3. For example, see: James Holston, ed., Cities and Citizenship (Durham: Duke University, 1999); Mark Purcell, "Citizenship and the Right to the Global City: Reimagining the Capitalist World Order," International Journal of Urban and Regional Research 27, no. 3 (2003): 564-90.
4. For example, see: Kathleen Coll, "Citizenship Acts and Immigrant Voting Rights Movements in the US," Citizenship Studies 15, no. 8 (2011): 993-1009; Patricia Ehrkamp and Helga Leitner, "Beyond National Citizenship: Turkish Immigrants and the (Re) Construction of Citizenship in Germany," Urban Geography 24, no. 2 (2003): 12746; Stephanie S. Pincetl, "Challenges to Citizenship: Latino Immigrants and Political Organizing in the Los Angeles Area," Environment and Planning 26, no. 6 (1994): 895914; Raymond Rocco, "The Formation of Latino Citizenship in Southeast Los Angeles," Citizenship Studies 3, no. 2 (1999): 253-66; Myer Siemiatycki and Engin Isin, "Immigration, Diversity and Urban Citizenship in Toronto," Canadian Journal of Regional Science 20, no. 1-2 (1997): 73-102; Monica W. Varsanyi, "Interrogating 'Urban Citizenship' vis-àvis Undocumented Migration," Citizenship Studies 10, no. 2 (2006): 229-49; Monica W. Varsanyi, "Documenting Undocumented Immigrants: The Matriculas Consulares as Neoliberal Local Membership," Geopolitics 12, no. 2 (2007): 299-319.
5. Linda Bosniak, The Citizen and the Alien: Dilemmas of Contemporary Membership (Princeton, NJ: Princeton University Press, 2006); Mae M. Ngai, Impossible Subjects: Illegal Aliens and the Making of Modern America (Princeton: Princeton University Press, 2005).
6. Bosniak, The Citizen and the Alien.
7. Shannon Gleeson, Conflicting Commitments: The Politics of Enforcing Immigrant Worker Rights in San Jose and Houston (Ithaca, NY: Cornell University Press, 2012); Kati L. Griffith, "Undocumented Workers: Crossing the Borders of Immigration and Workplace Law," Cornell Journal of Law and Public Policy 21 (2012): 611-40.
8. Daniel Kanstroom, "Criminalizing the Undocumented: Ironic Boundaries of the PostSeptember 11th 'Pale of Law,'" North Carolina Journal of International Law and Commercial Regulation 29 (2004): 639-70.
9. National Immigration Law Center, "Driver's Licenses for Immigrants: Broad Diversity Characterizes States' Requirements," Immigrant Rights Update 16, no. 7 (2002), 13.
10. The 2012 launch of the Deferred Action for Childhood Arrivals program—a federal administrative directive that offers qualified young undocumented immigrants a twoyear renewable stay of deportation and the ability to apply for a legal work permit—has prompted states to revisit their driver's license laws. As of November 2013, twelve states (i.e., California, Colorado, Connecticut, Illinois, Maryland, Nevada, New Mexico, North Carolina, Oregon, Utah, Vermont, and Washington) and Washington, DC, have laws that permit undocumented immigrants to obtain a driver's license. In most of these states, however, driver's licenses for undocumented immigrants are specially marked and invalid for identification purposes.
11. Kica Matos, "The Elm City Resident Card: New Haven Reaches Out to Immigrants," New England Community Development 1 (2008): 1-7; Varsanyi, "Interrogating 'Urban Citizenship' vis-à-vis Undocumented Migration."
12. Daniele Archibugi, David Held, and Martin Köhler, eds., Re-imagining Political Community: Studies in Cosmopolitan Democracy (Stanford: Stanford University
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Press, 1998); Rainer Bauböck, Transnational Citizenship: Membership and Rights in International Migration (Aldershot: Edward Elgar Publishing, 1994); Joseph H. Carens, "Membership and Morality: Admission to Citizenship in Liberal Democratic States," in W. R. Brubaker, ed., Immigration and the Politics of Citizenship in Europe and North America (Lanham: University Press of America, 1989), 31-49; David Fitzgerald, Negotiating ExtraTerritorial Citizenship: Mexican Migration and the Transnational Politics of Community (San Diego: Center for Comparative Immigration Studies at UCSD, 2000); David Held, Democracy and the Global Order: From the Modern State to Cosmopolitan Governance (Stanford: Stanford University Press, 1995); Kimberly Hutchings and Roland Dannreuther, eds., Cosmopolitan Citizenship (New York: St. Martin's Press, 1999); David Jacobson, Rights Across Borders: Immigration and the Decline of Citizenship (Baltimore: Johns Hopkins University Press, 1996); Michael Jones-Correa, Between Two Nations: The Political Predicament of Latinos in New York City (Ithaca, NY: Cornell University Press, 1998); Alison Mountz and Richard A. Wright, "Daily Life in the Transnational Migrant Community of San Agustín, Oaxaca, and Poughkeepsie, New York," Diaspora 5, no. 3 (1996): 403-28; Yasmin N. Soysal, Limits of Citizenship: Migrants and Postnational Citizenship in Europe (Chicago: University of Chicago Press, 1994).
13. For example, see: Coll, "Citizenship Acts and Immigrant Voting Rights Movements in the US;" Rocco, "The Formation of Latino Citizenship in Southeast Los Angeles;" Saskia Sassen, "Whose City Is It? Globalization and the Formation of New Claims," Public Culture 8, no. 2 (1996): 205-23; Saskia Sassen, "The Global City: Strategic Site/New Frontier," American Studies 41, no. 2/3 (2000): 79-95; Takeyuki Tsuda, Local Citizenship in Recent Countries of Immigration: Japan in Comparative Perspective (Lanham: Lexington Books, 2006); Varsanyi, "Interrogating 'Urban Citizenship' vis-à-vis Undocumented Migration;" Varsanyi, "Documenting Undocumented Immigrants."
14. Bauböck, Transnational Citizenship; Rainer Bauböck, "Reinventing Urban Citizenship," Citizenship Studies 7, no. 2 (2003): 139-60; Engin F. Isin, ed., Democracy, Citizenship, and the Global City (New York: Routledge, 2000); Purcell, "Citizenship and the Right to the Global City: Reimagining the Capitalist World Order;" Varsanyi, "Interrogating 'Urban Citizenship' vis-à-vis Undocumented Migration;" Varsanyi, "Documenting Undocumented Immigrants."
15. Rocco, "The Formation of Latino Citizenship in Southeast Los Angeles."
16. Pincetl, "Challenges to Citizenship."
17. Coll, "Citizenship Acts and Immigrant Voting Rights Movements in the US;" Ron Hayduk, Democracy for All: Restoring Immigrant Voting Rights in the United States (New York: Routledge, 2006); Varsanyi, "Documenting Undocumented Immigrants."
18. A recent exception is Helen B. Marrow's "The Power of Local Autonomy: Expanding Health Care to Unauthorized Immigrants in San Francisco," Ethnic and Racial Studies 35, no. 1 (2012): 72-87. In this article, Marrow provides an analysis of the mechanisms used by San Francisco government officials to expand access to health care to undocumented city residents.
19. John Kincaid, "De Facto Devolution and Urban Defunding: The Priority of Persons Over Places," Journal of Urban Affairs 21, no. 2 (1999): 135-67; Miriam Wells, "The Grassroots Reconfiguration of U.S. Immigration Policy," International Migration Review 38, no. 4 (2004): 1308-47.
20. Varsanyi, "Interrogating 'Urban Citizenship' vis-à-vis Undocumented Migration;" Wells, "The Grassroots Reconfiguration of U.S. Immigration Policy."
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21. Varsanyi, "Interrogating 'Urban Citizenship' vis-à-vis Undocumented Migration."
22. Ibid.
23. Don Mitchell, "The S.U.V Model of Citizenship: Floating Bubbles, Buffer Zones, and the Rise of the 'Purely Atomic' Individual," Political Geography 24, no. 1 (2005): 77-100; Varsanyi, "Interrogating 'Urban Citizenship' vis-à-vis Undocumented Migration."
24. For example, see: Coll, "Citizenship Acts and Immigrant Voting Rights Movements in the US"; Ehrkamp and Leitner, "Beyond National Citizenship"; Pincetl, "Challenges to Citizenship"; Rocco, "The Formation of Latino Citizenship in Southeast Los Angeles"; Siemiatycki and Isin, "Immigration, Diversity and Urban Citizenship in Toronto"; Varsanyi, "Interrogating 'Urban Citizenship' vis-à-vis Undocumented Migration"; Varsanyi, "Documenting Undocumented Immigrants."
25. Kirk Semple, "In Trenton, Issuing IDs for Illegal Immigrants," New York Times (16 May 2010); Center for Popular Democracy, "Who We Are: Municipal ID Cards as a Local Strategy to Promote Belonging and Shared Community Identity" (New York: Center for Popular Democracy, 2013).
26. The Oakland ID card program was launched in February 2013. The Richmond ID card program will likely launch in late 2014. The Los Angeles ID card program is still in the early stages of implementation, with city officials soliciting proposals from third-party vendors to implement the ID card program and with no program launch date yet. The New York City ID card program is expected to launch in January 2015.
27. This includes 676 reissued cards for lost cards. Personal communication with New Haven's Director of Communications, March 20, 2012.
28. Personal communication with San Francisco's County Clerk, November 15, 2013.
29. American FactFinder, U.S. Census Bureau. Table S0501: "Selected Characteristics of the Native and Foreign-Born Populations, 2006-10 American Community Survey 5-Year Estimates."
30. American FactFinder, U.S. Census Bureau. Table QT-P3: "Race and Hispanic or Latino Origin, 2010 Census Summary File 1."
31. Melissa Bailey, "DeStefano Envisions a New Voting Frontier," New Haven Independent (14 December 2011).
32. Laura E. Hill and Hans P. Johnson, Unauthorized Immigrants in California: Estimates for Counties (San Francisco: Public Policy Institute of California, 2011).
33. Melissa Bailey, "City ID Plan Approved," New Haven Independent (5 June 2007); Matos, "The Elm City Resident Card: New Haven Reaches Out to Immigrants."
34. For this project, I was interested primarily in examining how government officials and immigrant rights advocates in New Haven and San Francisco managed to create and implement municipal ID card programs benefitting undocumented immigrants in a federal system where cities have no independent immigration and citizenship powers. I did not focus on the membership experiences of undocumented immigrants, and therefore I did not interview the individuals who have obtained and used municipal ID cards.
35. The San Francisco Municipal ID Card Coalition consisted of: ALDI, American Civil Liberties Union of Northern California, ACORN, Bay Area Immigrant Rights Coalition, Bernal Heights Neighborhood Center, Central American Resource Center, Chinese for Affirmative Action, Coalition on Homelessness, Immigrant Legal Resource Center, La Raza Centro Legal (the Community's Legal Center), Lawyers' Committee for Civil Rights of the San Francisco Bay Area, Mission Neighborhood Resource Center, People Organizing to Demand Environmental and Economic Rights (PODER), Pride at Work, San
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Francisco Immigrant Legal and Education Network, San Francisco Labor Council, Service Employees International Union (SEIU), St. Peter's Housing Committee, Transgender Law Center, UNITE-HERE, and Young Workers United.
36. For example, see: Junta for Progressive Action and Unidad Latina en Acción, "A City to Model: Six Proposals for Protecting Public Safety and Improving Relations Between Immigrant Communities and the City of New Haven" (New Haven, 2005), http://www. law.yale.edu/documents/pdf/Clinics/ACitytoModel.pdf; Daniel Luna, "San Francisco ID Card Idea," email to Rachel Redondiez, legislative aide to Supervisor Chris Daly (16 May 2007), on file with the author.
37. Carens, "Membership and Morality."
38. Soysal, Limits of Citizenship.
39. Jennifer Medina, "New Haven Approves Program to Issue Illegal Immigrants IDs," New York Times (5 June 2007); William Yardley, "New Haven Mayor Ponders ID Cards for Illegal Immigrants," New York Times (8 October 2005).
40. Mary E. O'Leary, "City Preparing Components of Municipal ID Card for Documented, Undocumented Residents," New Haven Register (1 May 2007); Staff, "New Haven Approves ID Cards for Illegal Immigrants," Connecticut Post (4 June 2007); Staff, "New Haven Succumbs to Illegal Immigrants," Connecticut Post (5 June 2007).
41. Wyatt Buchanan, "City Has a Plan for Immigrant ID Card," San Francisco Chronicle (7 September 2007).
42. Bonnie Eslinger, "Immigrants May Be Given City ID Cards," San Francisco Examiner (7 September 2007).
43. Chris Powell v. Mayor of the City of New Haven et al. (#FIC 2007-498) and Dustin Gold and the Community Watchdog Project v. Mayor and Community Services Administrator of the City of New Haven et al. (#FIC 2007-605).
44. The Immigration Reform Law Institute is the legal arm of the Federation for American Immigration Reform (FAIR), an anti-immigrant advocacy organization located in Washington, DC.
45. Mary E. O'Leary, "Group Files FOI Request for ID Card Info," New Haven Register (21 July 2007).
46. Mary E. O'Leary, "Elm City ID Holder Names Protected: Safety at Risk, Says Homeland Security," New Haven Register (5 March 2008); Chris Powell, "New Haven ID Card Undermines State, U.S. Laws," Norwich Bulletin (15 July 2008).
47. O'Leary, "Elm City ID Holder Names Protected: Safety at Risk, Says Homeland Security."
48. "Petition for Peremptory Writ of Mandamus; Complaint for Declaratory and Injunctive Relief." Filed by the Immigration Reform Law Institute with the California Superior Court on May 13, 2008, No. 08-508341.
49. "Memorandum of Points and Authorities in Support of Respondents' Demurrer to Petition for Peremptory Writ of Mandamus and Complaint for Declaratory and Injunctive Relief." Filed by the City Attorney's Office with the California Superior Court on August 29, No. 08-508341.
50. The Board of Aldermen held a hearing to determine whether or not to accept and expend the funding offered by a local community development bank to finance the municipal ID card program.
51. "Memorandum of Points and Authorities in Support of Respondents' Demurrer to Petition for Peremptory Writ of Mandamus and Complaint for Declaratory and Injunctive Relief." Filed by the City Attorney's Office with the California Superior Court on August 29, 2008, No. 08-508341.
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52. Ibid.
53. For example: public hearing of the New Haven Board of Aldermen on May 17, 2007; public hearings of the San Francisco Board of Supervisors on October 24, 2007 and November 13, 2007.
54. For example: public hearing of the San Francisco Board of Supervisors on November 13, 2007.
55. "Memorandum of Points and Authorities in Support of Respondents' Demurrer to Petition for Peremptory Writ of Mandamus and Complaint for Declaratory and Injunctive Relief." Filed by the City Attorney's Office with the California Superior Court on August 29, 2008, No. 08-508341.
Author Biography
Els de Graauw (email@example.com) is assistant professor of political science at Baruch College, the City University of New York. Her research centers on the nexus of immigration, civil society, and (sub)urban politics and policy. Her work has appeared in the American Journal of Sociology, Annual Review of Political Science, Dædalus, Hérodote, and various edited volumes. She earned her Ph.D. in political science from the University of California at Berkeley and has been a researcher at the Harvard Kennedy School of Government and Cornell University.
by guest on August 14, 2014
|
Year of Admission
| 1 | Ruchira Agarwal | Subhas Chand Agarwal | 106 Wellesley Manson 44B Rafi Ahmed Kidwai Road Kolkata 700016 | Others | 2017-19 | XII | 70 | 9831111944 | ₹ 20000/- 22.2.2017 |
|---|---|---|---|---|---|---|---|---|---|
| 2 | Zoya Akhtar | Shamim Akhtar | 85/2E, Ripon Street Kolkata 700016 | Others | 2017-19 | XII | 78.75 | 9748726061 | ₹ 20000/- 22.2.2017 |
| 3 | Nicolette Juhi Biswas | Tapan Biswas | 1, No. Hatgachia Dhapa Kolkata 105 | Others | 2017-19 | XII | 51.5 | 8013064688 | ₹ 20000/- 22.2.2017 |
| 4 | Manisha Bor | Dilip Bor | Bidhanpally, M.G. Road, Thakurpukur, Kalu-Joka Kolkata 700104 | Others | 2017-19 | XII | 59.5 | 9836021612 | ₹ 20000/- 22.2.2017 |
| 5 | Priyanka Bose | Late Sanjoy Bose | 116H/4 Ananda Palit Road Kolkata 700014 | Others | 2017-19 | XII | 68.5 | 7686931572 | ₹ 20000/- 22.2.2017 |
| 6 | Elisha Claudius | Brandon Claudius | 46 Moti Sil Street Kolkata 700013 | Others | 2017-19 | XII | 82 | 8334937281 | ₹ 20000/- 22.2.2017 |
| 7 | Nikita Chow | Late Nelson Horace Chow | No 1 Haberleys Lane P.O. Bowbazar Kolkata 700012 | Others | 2017-19 | XII | 75.5 | 9051864236 | ₹ 20000/- 22.2.2017 |
| 8 | Olivia D'Souza | Arnold D'Souza | 37, Mcleod Street Kolkata | Others | 2017-19 | XII | 46.3 | 9007739788 | ₹ 20000/- 22.2.2017 |
| 9 | Neel Kusum Dhan | Domnik Dhan | St. Anne's Residence 193A/9 Picnic Garden Road Kolkata 700039 | ST | 2017-19 | XII | 70.2 | 9007177108 | ₹ 20000/- 22.2.2017 |
| 10 | Rochelle Dias | Ronald Dias | 40, Abdul Halim Lane Kolkata 700016 | Others | 2017-19 | XII | 56.4 | 9007158980 | ₹ 20000/- 22.2.2017 |
| 11 | Kirti Dixit | Kailash Nath Dixit | 85/4A Nafar Chandra Das Road Kolkata 700034 | Others | 2017-19 | XII | 61 | 9874655243 | ₹ 20000/- 22.2.2017 |
| 12 | Mridula Dung Dung | Corentinus Dung Dung | 51/5/2 rabindra sarani Liluah Howrah West Bengal Pin 711204 | ST | 2017-19 | XII | 62.28 | 8013418091 | ₹ 20000/- 22.2.2017 |
| 13 | Sr. Manisha Ekka | Tarcius Ekka | 140 CIT Road Kolkata 700014 | ST | 2017-19 | XII | 53 | 033 22848746 | ₹ 20000/- 22.2.2017 |
| 14 | Maria Angela Francis | William Francis | 17 Collin Lane Kolkata 700016 | Others | 2017-19 | XII | 71 | 9007690881 | ₹ 20000/- 22.2.2017 |
| 15 | Sneha Gandhi | Devendra Gandhi | 45/2 Chakraberia Road Kolkata 700025 | Others | 2017-19 | XII | 75 | 9051660421 | ₹ 20000/- 22.2.2017 |
| 16 | Josephin Lynda Gomes | Dhiren Gomes | 6/H/3 Taltala Lane, Kolkata 700014 | Others | 2017-19 | XII | 78 | 9830621463 | ₹ 20000/- 22.2.2017 |
| 17 | Puja Gomes | Bolai Gomes | 15, Taltala Lane Kolkata 700014 | Others | 2017-19 | XII | 66 | 9163504630 | ₹ 20000/- 22.2.2017 |
| 18 | Sneha Augustina Gomes | Swapan Gomes | Bagan Para Purbo Puttiary Kolkata 700093 | Others | 2017-19 | XII | 70 | 9051047016 | ₹ 20000/- 22.2.2017 |
| 19 | Mahak Goyal | Shyam Sundar Goyal | 12/1A Rai Bahadur Road Behala James Long Sarani Kolkata 700034 | Others | 2017-19 | XII | 74 | 9433020593 | ₹ 20000/- 22.2.2017 |
| 20 | Arlene Graham | R.C. Graham | 110/B Linton Street Kolkata 700014 | Others | 2017-19 | XII | 51.8 | 8272950435 | ₹ 20000/- 22.2.2017 |
| 21 | Harshita Gupata | Sandeep Gupta | 53 Dr. Lal Mohan Bhatacharjee Road Kolkata 700014 | Others | 2017-19 | XII | 92.7 | 9038673495 | ₹ 20000/- 22.2.2017 |
| 22 | Srishti Gupta | Sandeep Gupta | 53 Dr. Lal Mohan Bhatacharjee Road Kolkata 700014 | Others | 2017-19 | XII | 81 | 9830265921 | ₹ 20000/- 22.2.2017 |
| 23 | Sosan Guria | Siman Guria | 193 A19 Flat A Picnic Garden Road Kolkata 700039 | ST | 2017-19 | XII | 45 | 9007177108 | ₹ 20000/- 22.2.2017 |
| 24 | Starina Deepanjali Harry | William Harry | 36/B Park Lane Park Street Kolkata 700016 | Others | 2017-19 | XII | 66 | 8961283269 | ₹ 20000/- 22.2.2017 |
| 25 | Stella Pushpanjali Harry | William Harry | 36/B Park Lane Park Street Kolkata 700016 | Others | 2017-19 | XII | 58 | 7278983800 | ₹ 20000/- 22.2.2017 |
| 26 | Sr Mary Mungali Hembrom | Late Lakshmiram Hembrom | 140 CIT Road Kolkata 700014 | ST | 2017-19 | XII | 62.1 | 033 22848746 | ₹ 20000/- 22.2.2017 |
| 27 | Francisca Anima Archana Hemrom | Late Barnabas Hemrom | Sanghatinagar West Balagarh P.O. Sahaganj Dist. Hooghly Pin 712104 | ST | 2017-19 | XII | 71 | 8981886865 | ₹ 20000/- 22.2.2017 |
| 28 | Anusha Jalan | Dipak Kumar Jalan | 17/s Block-A New Alipore Kolkata 700053 Basant Vihar, Flat 4C | Others | 2017-19 | XII | 82 | 9830405573 | ₹ 20000/- 22.2.2017 |
| 29 | Manpreet Kaur | Sukhminder Singh | 4/3 Kundu Lane Bhawanipur Kolkata 700025 | Others | 2017-19 | XII | 63 | 9163300339 | ₹ 20000/- 22.2.2017 |
| 30 | Arshi Khan | Shahzada Khan | 4 Jannagar 2nd Lane Kolkata 700014 | Others | 2017-19 | XII | 81.5 | 8334935109 | ₹ 20000/- 22.2.2017 |
| 31 | Suravi Mishra | Suresh Mishra | 134/5 Motijheel Avenue Kolkata 700074 | Others | 2017-19 | XII | 50 | 9681086220 | ₹ 20000/- 22.2.2017 |
| 32 | Ayushi Mittra | Mohan Mitra | FE 519 Saltlake City Sector III Kolkata 700106 | Others | 2017-19 | XII | 73.25 | 8334838690 | ₹ 20000/- 22.2.2017 |
| 33 | Jacinta Mondal | Michael Mondal | 4/1 Christian Path Way Thakurpukur Kolkata 700063 | OBC | 2017-19 | XII | 70 | 8274091337 | ₹ 20000/- 22.2.2017 |
| 34 | Juneeka Rai | Mani Raj Rai | 8 Sandal Street Kolkata 700016 | OBC | 2017-19 | XII | 68 | 8100310267 | ₹ 20000/- 22.2.2017 |
| 35 | Monica C Rodrigues | Paul Bittu Rodrigues | Arabindanagar R.C. Thakurani Kolkata 700104 | Others | 2017-19 | XII | 75 | 8420515273 | ₹ 20000/- 22.2.2017 |
| 36 | Priyanka Andrea Rotha | Late John Peter Rotha | 6/H/1 Ahiripukur 1st Lane Kolkata 700019 | Others | 2017-19 | XII | 53.8 | 9831395253 | ₹ 20000/- 22.2.2017 |
| 37 | Margaret Trisha Rozario | John Rozario | Sat Bigha Priya Bhaban, House No. 23 P.O. Purba Putiary Kolkata 700093 | SC | 2017-19 | XII | 58 | 8013665523 | ₹ 20000/- 22.2.2017 |
| 38 | Mou Saha | Mukul Saha | 702/4 Sarat Chatterjee Road Howrah 2, Prokash Niket Block C-2 | Others | 2017-19 | XII | 78 | 9674207397 | ₹ 20000/- 22.2.2017 |
Student Details: Number of students course-wise; year-wise along with details:
Year of Admission
| 40 | Deepanjali Puja Sarkar | Michael Mithilesh Sarkar | 26/C Mahendra Roy Lane P.O. Topsia Kolkata 700046 | Others | 2017-19 | XII | 60 | 9874373303 | ₹ 20000/- 22.2.2017 |
|---|---|---|---|---|---|---|---|---|---|
| 41 | Irene Sharon sarkar | Edward Richard Sarkar | 11 Serang Lane Kolkata 700014 | Others | 2017-19 | XII | 58.7 | 9830569855 | ₹ 20000/- 22.2.2017 |
| 42 | Benazeer Shahid | Md. Sahid | 15 Ram Shankar Roy Lane Kolkata 700014 | Others | 2017-19 | XII | 60 | 9038355248 | ₹ 20000/- 22.2.2017 |
| 43 | Tanya Maria Shear | Duncan Andrew Shear | Block 247, Unit 2, 2nd Avenue Southside, Kharagpur | Others | 2017-19 | XII | 72 | 9635225381 | ₹ 20000/- 22.2.2017 |
| 44 | Marina Sheetal Singh | Andrew Singh | 51/H 10, Shamsul Huda Road Kolkata 700017 | Others | 2017-19 | XII | 82 | 8697155158 | ₹ 20000/- 22.2.2017 |
| 45 | Shweta Singh | Bijoy Kumar Singh | 76 G.T. Road Howrah 711101 West Bengal | Others | 2017-19 | XII | 80 | 9874027309 | ₹ 20000/- 22.2.2017 |
| 46 | Sonia Soren | Junas Soren | SMPC Complex STC Road P.O. Bhattanagar Liluah Howrah Pin 711203 | ST | 2017-19 | XII | 64 | 8981299830 | ₹ 20000/- 22.2.2017 |
| 47 | Nida Sultan | Md. Salim Sultan | 27, Ripon Lane 5th Floor Kolkata 700016 | Others | 2017-19 | XII | 88.5 | 9804527940 | ₹ 20000/- 22.2.2017 |
| 48 | Emma Adity Topno | Late Kishore Topno | DS- II 133/B Diesel Railway Colony Bokaro Steel City Jharkhand | ST | 2017-19 | XII | 64.9 | 9693231711 | ₹ 20000/- 22.2.2017 |
| 49 | Bhumika Wadhwani | Anand Kumar Wadhwani | 138/L Bhattacharjee Para Road, Kolkata 700063 | Others | 2017-19 | XII | 77.5 | 9433846476 | ₹ 20000/- 22.2.2017 |
| 50 | Khushbu Ahmed | Md. Sahauddin Ahmed | 110, Belilious Road Howrah 711101 | Others | 2016-18 | XII | 78 | 9007861006 | ₹ 20000/- 18.2.2016 |
| 51 | Nazmeen Akhtar | Md. Jamil Akhtar | 178-18 Golmohar Railway Colony Dobson Road, Howrah 711101 | Others | 2016-18 | XII | 80 | 8017607754 | ₹ 20000/- 18.2.2016 |
| 52 | Kahkasha Anjum | Dawood Ahmed Khan | 7 E Sapgachi 1st Lane Kolkata 700039 | Others | 2016-18 | XII | 70.75 | 9836517414 | ₹ 20000/- 18.2.2016 |
| 53 | Christina Anthony | Christopher Anthony | 107 Belilious Road Howrah - I 711101 | Others | 2016-18 | XII | 69.85 | 8013842462 | ₹ 20000/- 18.2.2016 |
| 54 | Diana Augustine | Clyde Augustine | 38/APC Road Kolkata 700009 | Others | 2016-18 | XII | 72 | 9903361325 | ₹ 20000/- 18.2.2016 |
| 55 | Jayashri Biswas | Bidhan Biswas | A-17 Diamond Park Kolkata 700104 | Others | 2016-18 | XII | 86 | 9903279142 | ₹ 20000/- 18.2.2016 |
| 56 | Leya Biswas | Prithish Biswas | Thakurpukur Mukunda Das Pally Kolkata 700063 | OBC | 2016-18 | XII | 75.75 | 9883332522 | ₹ 20000/- 18.2.2016 |
| 57 | Lipika Chitlangia | Sanjay Chitlangia | 493 c/o Vivek Vihar Block -C Phase-1 Beside Howrah Jutemill Howrah South | Others | 2016-18 | XII | 50 | 8981015081 | ₹ 20000/- 18.2.2016 |
| 58 | Petals Maria D'souza | Late Richard Joseph D'souza | 21 Hossain Shah Road Kolkata 700023 | Others | 2016-18 | XII | 78 | 9830337616 | ₹ 20000/- 18.2.2016 |
| 59 | Alisha Mary Fernandes | Malcolm D'mello | Ektaa Hibiscus 56 Christopher Road Flat 8B Kolkata 700046 | Others | 2016-18 | XII | 80 | 7980184618 | ₹ 20000/- 18.2.2016 |
| 60 | Agnes Priyanka Gomes | Late Martin Paul Gomes | C/O Rabin Sardar Rajarampur Amgachia P.O. Pincode 700104 South 24 Parganas | Others | 2016-18 | XII | 82 | 8961652055 | ₹ 20000/- 18.2.2016 |
| 61 | Angela A Gomes | Late Bimal Gomes | 2B/H/14 Chatu Babu Lane Kolkata 700014 | Others | 2016-18 | XII | 72 | 9903617802 | ₹ 20000/- 18.2.2016 |
| 62 | Margaret Payel Gomes | Louis Syamal Gomes | 29/1 Abdul Halim Lane Kolkata 700016 | Others | 2016-18 | XII | 80 | 7278394013 | ₹ 20000/- 18.2.2016 |
| 63 | Marina Jenny Gomes | Vincent Gomes | 511 Laxmi Narayan Road Dum Dum Cantonment Kolkata 700065 | Others | 2016-18 | XII | 75 | 9831922905 | ₹ 20000/- 18.2.2016 |
| 64 | Martina Deepani Gomes | Late Gabriel Daniel Gomes | DonBosco Para P.O Dayabari Ranaghat PS Ranaghat Nadia 741201 | Others | 2016-18 | XII | 86 | 8670216093 | ₹ 20000/- 18.2.2016 |
| 65 | Teresa Prionka Gomes | Late Joseph Gomes | 2/3 Serang Lane Kolkata 700014 | Others | 2016-18 | XII | 70.5 | 7278538183 | ₹ 20000/- 18.2.2016 |
| 66 | Shalini Gupta | Vivekanand Gupta | 70/1A Diamond Harbour Road Khidderpore Kolkata 700023 | OBC | 2016-18 | XII | 80.75 | 8981203592 | ₹ 20000/- 18.2.2016 |
| 67 | Saima Hasan | Late Md. Khalid Hasan | 45A North Range Kolkata 700017 Azimullah Mansion Top Floor | Others | 2016-18 | XII | 65 | 9073259295 | ₹ 20000/- 18.2.2016 |
| 68 | Gloria Ann Hastings | Late John Warren Hastings | 68A, A.P.C. Road Kolkata 700009 | Others | 2016-18 | XII | 65 | 9775760651 | ₹ 20000/- 18.2.2016 |
| 69 | Mousumi Hazra | Shyamal Hazra | Ramchandrapur Lalpole, P.O-R.C Thakurani Kolkata 700104 | OBC | 2016-18 | XII | 78.5 | 7890204530 | ₹ 20000/- 18.2.2016 |
| 70 | Skiamti Mary Jahkit | Rolan Lyngdon Mawlot | Queen of the Mission School 34, Syed Amir Avenue Park Circus | ST | 2016-18 | XII | 50 | 9477522829 | ₹ 20000/- 18.2.2016 |
| 71 | Srishti Jaiswal | Rajesh Jaiswal | 2 Dhiren Dhar Sarani Kolkata 700012 | Others | 2016-18 | XII | 77 | 8276844862 | ₹ 20000/- 18.2.2016 |
| 72 | Monica Jalaguru | Paul Jalaguru | 26/2 Pemental Street Kolkata 700016 | Others | 2016-18 | XII | 58.6 | 9681428591 | ₹ 20000/- 18.2.2016 |
| 73 | Binita Mariam Kujur | Suleman Kujur | St. Anne's Residence 193A/9 Picnic Garden Road Kolkata 700039 | ST | 2016-18 | XII | 69 | 9007177108 | ₹ 20000/- 18.2.2016 |
| 74 | Sanjucta Kujur | Late Ruben Kujur | St. Teresa's Convent Kidderpore 72 Diamond H.R, Kolkata - 700023 | ST | 2016-18 | XII | 51 | 9831059669 | ₹ 20000/- 18.2.2016 |
| 75 | Angel Lepcha | Naresh Lepcha | Upper Lolay Kalimpong 734301 | ST | 2016-18 | XII | 74 | 7602459770 | ₹ 20000/- 18.2.2016 |
| 76 | Monami Maria Mallick | Ismael Mallick | Keota Para Sahaganj, Hooghly | Others | 2016-18 | XII | 60 | 9330669452 | ₹ 20000/- 18.2.2016 |
| 77 | Genevieve Mukhia | Simon Mukhia | 7/4 C.N. Roy Road PS Tiljala Kolkata 700039 | Others | 2016-18 | XII | 80.75 | 9007452555 | ₹ 20000/- 18.2.2016 |
| 78 | Catherine Soma Nath | Daniel Nath | 10 Gora Chandlane, Park Circus Kolkata 700014 | Others | 2016-18 | XII | 81 | 8961242068 | ₹ 20000/- 18.2.2016 |
Student Details: Number of students course-wise; year-wise along with details:
| Sl.No. | Name of the student admitted | Father's Name | Address | Category (Gen/SC/ST/OBC/Others) | Year of Admission | Result | Percentage | Contact No./Mobile No. |
|---|---|---|---|---|---|---|---|---|
| 79 | Jeevan Deepa Cecilia Neogi | Tapon Kumar Neogi | 2/B Hingan Jamadar Lane Kolkata 700046 | Others | 2016-18 | XII | 50 | 9477736923 |
| 80 | Barique Azram Nishat | Nayer Nishat | 36 A&B Sir Syed Ahmed Road Kolkata 700014 | Others | 2016-18 | XII | 78.8 | 9836930930 |
| 81 | Lydia Paul | Vincent Vijay Paul | 26 Elliot Lane Kolkata 700016 | Others | 2016-18 | XII | 74 | 8961128130 |
| 82 | Diana Rai | Deoraj Rai | 5/1A Ballygunge Place East Kolkata 700019 | Others | 2016-18 | XII | 83 | 9674919375 |
| 83 | Roseline Raj | Late J. Prem Kumar | 45/H/2 Diamond Harbour Road Kolkata 700027 | Others | 2016-18 | XII | 50 | 7044126745 |
| 84 | Varnasri Rao | D. Xavier Rao | 15/B A.J.C Bose Road Kolkata 700017 | Others | 2016-18 | XII | 75 | 9748667331 |
| 85 | Dolly Sandra Reid | Cecil Anthony Reid | B/Type Qr No. 39. P.O. Mosaboni Mines Pin 832104 Jharkhand | Others | 2016-18 | XII | 57 | 8298124001 |
| 86 | Arpita Roy | Partha Sarathi Roy | 4 Sachin Mitra Lane Kolkata 700003 | Others | 2016-18 | XII | 69 | 9038693738 |
| 87 | Bernadette Nitisha Rozario | George Sanjit Rozario | Thakurpukur Bankermath (Nutan Para) MG Road Kolkata 700104 | Others | 2016-18 | XII | 52.2 | 9903789012 |
| 88 | Priyanka B Sardar | Susil Sardar | 4/c Ismail Street Kolkata 700014 | Others | 2016-18 | XII | 69 | 8296496987 |
| 89 | Trisha Sharon Seedin | Late Stephen Seedin | 17/1 Bow Street Block-G KolKata 700012 | Others | 2016-18 | XII | 82 | 9748205294 |
| 90 | Marian Sharma | Late Kul Bahadur Sharma | 13/A Government Place East 1, Draper Lane Kolkata 700069 | Others | 2016-18 | XII | 75 | 9804607061 |
| 91 | Pallavi Shaw | Raj Kumar Shaw | 13/H/21 Mayur Bhanj Road Kolkata 700023 | OBC | 2016-18 | XII | 75 | 9804206820 |
| 92 | Jyothi Singh | Vincent Mascarenhas | o-235 R.B.I staff Quaters L.B Block Sector III, Salt Lake Kolkata 700098 | Others | 2016-18 | XII | 59 | 7044060556 |
| 93 | Sr. Albina Soreng | Late Robert Soreng | St. Anne's Residence 193A/9 Flat No A Picnic Garden Road Kolkata 700039 | SC | 2016-18 | XII | 69 | 9007177108 |
| 94 | Susmita Subarno | Sunirmal Subarno | a/24/2 Subhas Marg Behala Parnashree Kolkata 700060 | SC | 2016-18 | XII | 82 | 9903269278 |
| 95 | Elizabeth Sue | Francis Sue | 4 Haberly Lane P.O.Box Bowbazar Kolkata 700012 | Others | 2016-18 | XII | 56 | 8420145830 |
| 96 | Lisia Fatima Williams | Darrel Duke | Keota Nirmala Nagar Shyam Sunderpur Sahagunj, Hooghly Bandel 712104 | Others | 2016-18 | XII | 72.5 | 8013275797 |
|
fixed height and initial height adjustment four different frame shapes black structure, white structure and aluminium clear anodised starr und höheneinstellbar vier Gestellformen schwarz struktur, weiß struktur und aluminium farblos eloxiert
iSHAPE - das klassische und zugleich moderne Tisch programm von LEUWICO. Starre sowie höheneinstellba re Tische - neu in zeitlosem kristallweiß struktur, trendi gem schwarz struktur und klassischem aluminium farblos eloxiert.
Verschiedene Tischgestelle - einzigartig und doch kom binierbar. Schräggestellte Beine, gerade Beine oder die Verbindung aus beiden Formen ermöglichen vielfältige Kombinationsmöglichkeiten für Ihre Anforderungen.
Die ausgeklügelte Technik und die robuste und dennoch filigrane Bauweise der Tischfamilie sorgt für angenehmes Arbeiten und ein stilvolles Arbeitsumfeld. Starre Tische überzeugen durch klare Formen und entsprechen den aktuell geltenden Arbeitsplatzmaßen. Durch die einfache und werkzeugfreie Verstellung der höheneinstellbaren Tischbeine wird die Anpassung der Büroarbeitstische im Bezug auf Ergonomie und der Bedürfnisse der Individuen zu einer Leichtigkeit.
Die außergewöhnlichen Tischoberflächen „Anti-Finger print" in Weiß matt und Schwarz matt stellen die perfekte Ergänzung zu den Gestellfarben dar. Dagegen bilden die raffinierten Synchrondekore Meeder Eiche, Rodach Eiche und Coburg Ulme einen spannenden Kontrast und ein haptisches Erlebnis.
iSHAPE - the classical and simultaneously modern desk program from LEUWICO. Fixed height and initially height adjustable desks - new in timeless crystal white struc ture, trendy black structure and classic aluminum clear anodised.
Different frame shapes - unique and yet combinable. In clined legs, straight legs or the combination of both sha pes allow a variety of combinations following your requi rements.
The sophistcated technology and the robust yet filigree design of the desk family ensures pleasant working and a stylish working environment. Fixed height desks are con vincing due to their clear shapes and correspond to the current workplace requirements. The simple and tool free adjustment of the initially height adjustable desk legs ma kes it easy to adapt the office desks to ergonomics and the needs of individuals.
The extraordinary desk surfaces „anti-fingerprint" in matt white and matt black are the perfect complement to the frame colors. By contrast, the synchronous decors Mee der oak, Rodach oak and Coburg elm create an exciting contrast and a haptic experience.
Stilvoll, klassisch und funktional. iSHAPE.
Stylish, classic and functional. iSHAPE.
2
Gestell und Beine: schwarz struktur, weiß struktur und aluminium farblos eloxiert
Starr: 72 cm Ausgangshöhe Höheneinstellbar: werkzeugfrei von 68 - 82 cm (in 1 cm Schritten)
Gerade und schräggestellte Beine mit Fußstellschrauben zum Anglei chen an Bodenunebenheiten
Frame and legs: black structure, white structure and aluminum clear anodised fixed height: 72 cm initial height adjustment: tool free from 68 - 82 cm (in steps of 1 cm)
straight and inclined legs with ad justment screws for stabilisation to uneven floors
3
werkzeugfrei höheneinstellbar tool free height adjustment
Gestell kristallweiß struktur; Platte Coburg Ulme Dekor
frame crystal white structure; top synchronous decor Coburg elm
G1
iSHAPE Tischform G1 schwarz struktur; Platten Anti-Fingerprint Schwarz matt. Schränke und Türen iSCUBE kristallweiß. Lounge möbel iPOINT mit hoher Lehne. Kabelschlangen schwarz. Waldmann Arbeitsplatzleuchten PARA.MI schwarz und Stehleuchte LAVIGO weiß; Götessons Monstera im Topf. Klöber Bürostühle „Connex2". Produkte sind über LEUWICO erhältlich.
iSHAPE frame form G1 black structure; tops anti-fingerprint matt black. Cupboards and doors iSCUBE crystal white. Lounge iPOINT high backrest. Cable chain black. Waldmann workplace lights PARA.MI black and LAVIGO white. Götessons plants Monstera in the pot. Klöber office chairs „Con nex2". Products are available through LEUWICO.
4
iSHAPE Tischform G2 kristallweiß struktur, Platten Coburg Ulme Dekor. Kabelschlange transluzent. Akustikwand Sharkgrey. Container DARC-3 Metallfronten kristallweiß struktur, Korpus kristallweiß. Schrank iSCUBE kristallweiß mit 5 Ordnerhöhen, Schiebetüren kristallweiß und Coburg Ulme Dekor. Bambuspflanze im grauen Topf von Götessons. Klöber Bürostühle „Connex2". Produkte sind durch LEUWICO erhältlich.
iSHAPE frame form G2 crystal white structure, tops in synchronous decor Coburg elm. Cable chain translucent. Leuwico acoustic wall sharkgrey. Mobile pedestal DARC-3 with metal blinds crystal white structure, carcass crystal white. Cupboard iSCUBE crystal white with 5 folder heights, sliding doors crystal white and Coburg elm decor. Bamboo plant in the gray pot of Götessons. Klöber Office Chairs „Connex2". Products are available through LEUWICO.
Gestell schwarz struktur; Platte Rodach Eiche Dekor
frame black structure; top synchronous decor Rodach oak
G2
5
Halboffene Bürowelten. Mehr Licht, mehr Bewegung und mehr Komfort. Verschiedene Farb- und Arbeitsplatzsituationen. Büroarbeitsplätze und Besprechungsbereiche im Sichtfeld.
Half-open office worlds. More light, more movement and more comfort.
Different color and workplace situations.
Office workstations and meeting areas in the field of vision.
Höheneinstellbare iSHAPES G4 kristallweiß struktur; Platten Anti-Finger print Schwarz matt. Hintergrund iSHAPE Besprechungstisch G1 Freiform in schwarz struktur mit; Platte Antifingerprint Weiß matt; Turnbox. Container DARC-3 Fronten und Korpus kristallweiß bzw. kristallweiß struktur. Ein Arbeitsplatz: CPU-Halter, Monitorarm von LEUWICO weiß. Arbeitsplatz leuchten PARA.MI von Waldmann schwarz; Pendelleuchte C65-P von Glamox weiß. Backapp Bürohocker in schwarz und gelb mit Rollunter gestell. Götessons Bambus und Sansiveria im dunkelgrauen Topf; Sitzbälle „Office Ballz"; Akustikelemente „Sound off Ecosund Wand". Schwarze Stühle Steifensand „MONICO". Produkte sind durch LEUWICO erhältlich.
Height adjustable iSHAPEs G4 crystal white structure; tops anti-fingerprint matt black. Background iSHAPE conference desk G1 with top in free form in black structure; top anti-fingerprint matt white; turnbox. Mobile pedestal DARC-3 fronts crystal white structure; carcass crystal white. One worksta tion: CPU holder, monitor arm by LEUWICO white. Workplace luminaires PARA.MI by Waldmann in black; Pendant light A65 and C95 by Glamox in white. Backapp chair with wheels in yellow and black. Götessons plants Bamboo and Sansiveria in dark gray pot, sitting balls „Office Ballz", acous tic elements „Sound off Ecosund wall". Conference chairs „MONICO", Steifensand. These products are available through LEUWICO.
6
7
Besprechungstisch iSHAPE Gestell G1 schwarz struktur Freiform; Turnbox Platte Bambus Mokka conference desk iSHAPE frame G1 black structure free-form; turnbox top bamboo mocha
Höheneinstellbarer Besprechungstisch iSHAPE G1 kristallweiß struktur mit Platte Meeder Eiche Dekor. Schrankelemente Scube 100 x 80 cm Fronten und Korpus kristallweiß. Glamox Hängeleuchte A65 weiß. Götessons San siveria im Topf, Akustikelemente „Sound off Ecosund Wand". Schwarze Konferenzstühle Steifensand „MONICO". Produkte sind durch LEUWICO erhältlich.
Initially height adjustable conference desk iSHAPE G1 crystal white struc ture with top in synchronous decor Meeder oak. Cupboard units SCUBE 100 x 80 cm, fronts and carcass crystal white. Glamox pendant light A65 white. Götessons plant Sansiveria in a pot, acoustic Elements „Sound off Ecosund Wand". Steifensand conference chairs „MONICO" in black. Products are available through LEUWICO.
Kommunikationsflächen, Besprechungsräume und Meetingpoints werden zunehmend wichtiger für zügige und sinnvolle Arbeitsabläufe. Das Miteinander fördert schnelle und gut durchdachte Arbeitsprozesse und sorgt für besseres Klima im Büro.
Communication areas, conference rooms and meeting points are becoming increasing ly important for efficient and meaningful work processes.
Working together promotes fast and thoughtful work processes and ensures a better climate in the office.
iSHAPE Besprechungstische, rund Gestelle kristallweiß struktur iSHAPE conference desks, round frames crystal white structure
starr mit Fußplatte starr und fahrbar höhenverstellbar und fahrbar mit Fußauslösung
Plattendekore Meeder Eiche, Rodach Eiche und Coburg Ulme fixed height with foot plate
fixed height and mobile height adjustable and mobile with foot release
top in synchronous decors Meeder oak, Rodach oak and Co burg elm
Tischplattenformen und Maße
Desk top shapes and dimensions
Arbeitsplatten: 22 mm Stärke work tops: 22 mm thickness
Compactplatten: 13 mm Stärke
Solid core laminate tops: 13 mm thickness
Tischplattenformen, Ankettungen und Verbindungsplatten
Desk top shapes, add-on desks and connecting tops iSHAPE Tischplatten gibt es in zahlreichen Varianten. Außerdem sind viele Anketttische und Verbindungsplatten verfügbar. iSHAPE desk tops are available in numerous variants. In addition, many add-on desks and connecting tops are available.
Besprechungstische
Conference desks
Große und kleine Besprechungstische in verschiedenen Formen runden das iSHAPE Programm ab. Big and small conference desks in different shapes complete the iSHAPE program.
Besprechungstische
eine Plattenform
mit verschiedenen Gestellen
siehe aktuelle Preisliste
Conference desks
one top shape
with different frames
see current price list
72 cm starr/
fixed height
Ø 80/100/120 cm Platte/
72 cm starr/
fixed height
Ø 80/100 cm Platte/
top
72 - 114 cm Höhenverstellung/height adjustment Ø 80/100 cm Platte/top top
Telefon +49 9566 88-0
Telefax +49 9566 88-114
E-Mail firstname.lastname@example.org
2019-09
|
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Step 6: "Were entirely ready to have God remove all these defects of character."
Tradition 6 (short form): "An A.A. group ought never endorse, finance or lend the A.A. name to any related facility or outside enterprise, lest problems of money, property and prestige divert us from our primary purpose."
Download the Viewpoint at NCsandiegoAA.org
Concept 6 (short form): "The Conference recognizes that the chief initiative and active responsibility in most world service matters should be exercised by the trustee members of the Conference acting as the General Service Board."
A.A. Literature
References have been revised. Click for PDF .
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| Central Ofcfie is open for take out | 1 |
|---|---|
| Hot Topic: Reopening In-Person Meetings | 1 |
| The Center Line of Life | 1 |
| VP to your email? | 1 |
| Intergroup Meeting | 2 |
| Virtual Token | 2 |
| Group Contributoins | 3 |
| NCIA Profit & Loss | 3 |
| Ancient Wisdom | 3 |
| Contributions to the General Service Office of A.A. in New York | 3 |
| AA.org Online Mtgs | 3 |
| Online Intergroup | 3 |
| International Zoom | 3 |
| This Too Shall Pass | 4 |
| There’s Never a Good Reason to Drink | 4 |
| Things Started Working for Me... | 4 |
| I walk down the street | 4 |
| H&I News | 5 |
| 12-Steppers Needed | 5 |
| Newcomer, gimme a call | 5 |
| Your Birthday Gift | 6 |
| Service Calendar | 6 |
| Meeting that Need Your Support | 6 |
| Events Calendar | 6 |
| Meeting Guide app | 6 |
| Central Office Info | 6 |
| ~~~ Please ~~~ Submit Something to the Viewpoint. I need your help! | go to pg 6 |
| Freedom from Fear | 6 |
| A.A. Web Links | 6 |
VIEWPOINT
Central Office is open for Contactless Sales & Curbside Pickup
The County of San Diego and California public health officials are allowing bookstore businesses to reopen for curbside sales if they have posted a Safe Reopening Plan at their entrance and signs to Go Home if You Feel Sick or Practice Social Distancing / Wear A Mask. That done, Central Office is now conducting Contactless Sales with Curbside Pickups from
10am to 2pm on Mondays, Tuesdays, and Thursdays.
For everyone's safety and to avoid direct contact with each other, we will be taking orders and processing credit card payments by phone during the days and times mentioned above.
Our new address is 1020 S Santa Fe Ave Suite B, Vista CA 92084
Your orders will be packed immediately after hand sanitation and will be ready for you to collect from the table setup in the courtyard just outside our front windows.
Also, for the time being, the office will continue to remain closed to visitors.
Thank you for your patience and understanding.
Yours in Service,
Central Office Staff (760) 758-2515
REOPENING GROUPS IN SAN DIEGO-IMPERIAL COUNTIES
Reopening In-Person Meetings is The Hot Topic these days.
Since each A.A. Group is autonomous, its members will now need to consider how best to meet the requirements of local health authorities and their landlords. To aid these discussions, a document has been provided via the Area 8 (San Diego and Imperial Area [AA General Service] Assembly). Here is the link to that document: ht ps://www.area8aa.org/wpcontent/uploads/2020/06/SDIAA-Reopening-Condensed-REV-6-3-1.pdf
6 Finally, please remember to update your meeting information on our website when anything changes. If you are unsure how to do that, please call us at (760) 758-2514 for assistance.
~Your NCIA Intergroup Business Committee and Central Office Staff
The Center Line of Life Deeper-rooted Emotional Problems
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Reuniones Español Oficina Norte County 830 E. Vista Way, Suite 116, Vista, CA 92084 (760) 758-6905 Info en Español
Young People click here and here!
By Rick R.
We are all born with a Conscience and an Ego. We all have instincts. We, as human beings are also born with the Use of Practical Reasoning, and that separates us from the animals, who, for the most part, live by their instincts. The degree to which these assets and liabilities affect our behaviors differ in all of us. "Yet these instincts, so necessary for our existence, often far exceed their proper function" (12x12 Step 4). Most normal people make mistakes in their lives and that is normal since no one is perfect. Most Alcoholics, however, take their life to the brink of destruction before they become desperate enough to surrender and enter the program of Alcoholics Anonymous. Most Alcoholics have deeper rooted emotional problems that far exceeds the normal range. Some of these troubles can be rectified simply by acknowledging that they exist and being willing to change our motives and behavioral habits. (continued on page 5)
Would you like the Viewpoint delivered to your email each month? Let me know and I'll put you on the email distribution list. ~Viewpoint Editor firstname.lastname@example.org
Recovery begins when one alcoholic talks with another alcoholic, sharing experience, strength, and hope.
Date 6/10/2020
Called to Order:
The Meeting was called to order at 7:00 P.M. There were 50 Reps in attendance, with 2 new reps.
Traditions were read by Pete.
Minutes were read by Uki. Moved and seconded to approve as amended with a corrected date of May 13.
Financial Report: Tim M. (760) 802-7121 (Email: email@example.com)
Total sales were $456 and Cost of Goods Sold was ($378) yielding Gross Profit of $79. Along with Group Contributions of $5,237 and Member Contributions of $2,298, with other Contributions of $111 and Miscellaneous Revenue of $396, the total Revenue was $8,120. After Total Expenses of ($8,944), the Net Loss for May was ($824). Net profit Year-To-date is $12,595. Moved and seconded to approve the report. All in favor.
Central Office Report: Ken G. (760) 758-2514 (Email: firstname.lastname@example.org)
Ken announced that 2 of the 3 staff persons would be working from the new office with appropriate Covid protections. Office hours remain Monday, Tuesday, Thursday from 10-2 for curbside pickup only. Call in and place orders prior to arriving. Ken said he's been receiving some meeting changes, but encourages all groups to update the website with their meeting changes or call them in. Ken commented that group and individual contributions during May have kept the finances somewhat normal.
STANDING COMMITTEES
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i
Public Informat on Commit ee: Quintin T. (760)390-3517 (Email: Quint email@example.com ) No report Telephone Commit ee: Jim R. (619) 890-2299 (Email: firstname.lastname@example.org )
Jim also thanked Ken, Liz and Valerie for the support of the Telephone Committee. There are currently no openings on the telephone committee. Jim reported there are 120 volunteers and 7 captains. A look at the handout provided will show geographic area that are in need of 12 step volunteers.
t
Archives Commit ee: Danny O. (619)884-7272 (Email: email@example.com ) No report.
Outreach Commit
ee: Margaret T. (760) 504-5706 (Email: firstname.lastname@example.org)
Margaret reported on area clubs that are in various stages of reopening. While the situation is very fluid, currently Steps in Vista, the Alano Club in Oceanside, the Alano Club in Poway, the 6 th Step House in Leucadia, and Ramona Recovery are hosting in-person meetings. The Escondido Alano Club has no plans to reopen at this time. Locate the website of each location to find the specific times for the in-person meetings.
H&I COMMITTEE: Michael H. (619)481-1714 (Email: email@example.com
(H&I Website: www.nchandi.org)
)
Michael reported that HandI is still on standby. Financial are as follows: Beginning balance, $7649; donations, $1001; Expenses, $2442.61; Ending balance, $6,208.43.
AREA ASSEMBLY: Mike M. (949)291-6435. (Email: tbd) (Website: http://www.area8aa.org/)
Mike reported that an area assembly will be June 20 via Zoom. Check the Area 8 website for details.
BUSINESS COMMITTEE REPORT: Chairperson: Greg B. (760) 421-6967 (Email: firstname.lastname@example.org)
OLD BUSINESS:
Greg reported that the staff will be returning to working in the office, but still curbside pickup is the only customer service being provided.
Budget for 2020 was approved.
NEW BUSINESS:
Area 8 has prepared some 'guidelines for reopening.' A link to that document is provided at the https:// ncsandiegoaa.org/ website. This has valuable suggestions to inform the group conscience of your groups' process for reopening. Please contact Central Office with changes that are made to your groups' meeting details so we can update the meeting guide.
ELECTIONS: New officers elected:
Tim M., Chair
Virtual Token: 1. pick,
2. right pick, 3. Copy image
Vickie A., Vice-chair
Secretary, Kat K.
Treasurer, Karla H.
Member at large, Lee Ann.
Member at Large, Rozee B.
Member at Large, Joan B.
ANNOUNCEMENTS:
Greg was thanked for his service to Business Committee.
Adjournment: 7:35pm.
Next Intergroup Meeting Date: July 8, 2020
RESPECTFULLY SUBMITTED: Lee Ann, Recording Secretary/va
Viewpoint - June 2020 - page 2
North County Intergroup Meeting Minutes
The monthly financial report includes group contributions for last month and Fiscal Year-to-Date (YTD) summary. YTD group contributions are available at the monthly Intergroup Meeting where your meeting's Intergroup Rep can pick them up, or you may request YTD contributions from our Central Office email of email@example.com fi
| Group City & Name | MAY |
|---|---|
| AA Group 157949 | $20.00 |
| AA Group North County Women's Daily 930AM Zoom | $350.00 |
| Cardiff Ki's M-W-F Back to Basics | $953.50 |
| Carlsbad SAT 9AM Women's | $10.00 |
| Carlsbad Sobriety Rocks 830AM Daily Reflection | $180.00 |
| Carlsbad Sobriety Rocks SAT Speaker | $500.00 |
| Carlsbad Step A Month Study MON Nite | $250.75 |
| Carlsbad Water Works FRI 130PM | $25.91 |
| Encinitas North Coast Women in Recovery | $10.00 |
| Encinitas SUN 730PM Men's Meeting at Olivenhain Meeting Hall | $49.99 |
| Encinitas TUE 7PM North Coastal Men's | $403.50 |
| Encinitas TUE Night Men's (691466) at Seacoast | $475.91 |
| Escondido ACE Zoom Nightly 6'er | $344.62 |
| Escondido Desert Meeting | $12.00 |
| Escondido SAT 930AM Women's New Beginnings | $200.00 |
| Escondido SAT Night Speakers | $100.00 |
| Escondido SUN 730PM Best Show for a Buck | $79.00 |
| Escondido THU Women's Step Study | $25.00 |
| Fallbrook TUE Noon at Baptist Church | $60.00 |
| Leucadia Six Step House TUE 8PM Men's | $35.00 |
| North San Diego Young People of AA | $39.96 |
| Oceanside SUN 1PM As Bill Sees It at NCFC | $50.00 |
| Oceanside TUE 7PM Chip in Group | $65.00 |
| Rancho Bernardo MON Night Women's Big Book Step Study | $25.91 |
| Rancho Bernardo TUE Night Woman's Women Seeking Solutions Thru the Steps | $43.71 |
| Rancho Santa Fe FRI Night Beginners (163076) | $50.50 |
| Rincon Res WED Men's Step Study Fire Station | $400.00 |
| San Marcos WED Noon Stick Meeting | $40.00 |
| Solana Beach 3rd Tradition Group 162613 at the Belly Up | $436.82 |
Monthly & YTD Financial Report Highlights (Fiscal Year is July to June)
Ancient Wisdom
God will constantly disclose more to you and to us.
Total:
May all beings savor the nectar of lovingkindness to overcome thoughts of controlling others, bring forth serenity and the insight to find happiness and harmony.
$5,237.08
Contributions to the General Service Office of A.A. in New York.
Most A.A. service entities have taken a financial hit over the past 3 months, and our General Service Office is no different. According to the Trustees Finance Committee, literature sales have plummeted, and contributions are less than half of budget expectations, during this pandemic.
There are several ways we can support our General Service Office and Grapevine.
1. Go to aa.org and click on "Make A Contribution". What many A.A. members don't know, is that we can make "recurrent" contributions, meaning you can sign up with your credit/debit card for a fixed amount to be taken from your account each month. The amount, of course, is up to you. It is so much easier to set up a recurrent contribution plan than to make an online contribution manually each month.
2. Please note that contributions to the General Service Board cannot exceed $5,000 per individual A.A. member per year. A mail-in address is the General Service Board of Alcoholics Anonymous, Box 459, Grand Central Station, New York, NY 10163.
3. A one-time bequest of $10,000 can be contributed to the General Service Board by an A.A. member upon his or her death. Same address as above.
4. The Birthday Plan is alive and well! Some A.A. members contribute $1 or $2 per year on the anniversary of their sobriety.
5. The best way to support the Grapevine is to subscribe to it by going to aagrapevine.org.
Ancient Wisdom
God will constantly disclose more to you and to us.
Sanskrit Shlokas are short poetic verses that have deep philosophical meanings or practical truths hidden in them:
There is no self-purifying process equal to attaining peace of mind and no bliss equal to being satisfied over one's lot.
There is no disease bigger than excessive desire or craving for any worldly thing and no tenet of religion greater than kindness towards all living beings.
You have the right to work, but never to its fruits. Let not the fruits of action be your motive, nor let your attachment be the cause of inaction.
The sun looks alike while rising and setting. Similarly, a virtuous person's attitude and behavior remains the same whether it is prosperity or adversity.
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AA.org Options for Online Meetings https://www.AA.org/pages/en_US/options-for-meeting-online Online Intergroup of Alcoholics Anonymous https://aa-intergroup.org/
International A.A. Meetings in English all Around the World
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this too shall pass
There's Never a Good Reason to Drink
Our alcoholism is largely a spiritual malady as once the spiritual malady is resolved through our being spiritually awakened the drink problem will be removed. We will be released from the compulsion, desire and obsession to drink as a result of the AA Program and getting right with God and our fellows.
We alcoholics cannot live on air, water and food alone. Simply putting down the bottle is not enough. Stopping drinking and 100% abstinence are mandatory for sobriety and along with it we need to be immersed in all sorts of recovery/spiritual nutrition and nourishment. We all put so much time and energy into going about doing our work for the food and things that perish which is important and a form of service. But, for us alcoholics we will not have these or get them going if we don't do our spiritual works that transform us. Each day we have the choice to make ourselves and the world around us much better and to leave behind us a trail of goodness that we packed into God's creative stream of life. When we go around doing good works as a result of being spiritually awakened, there won't be an opening for worry, fear, confusion and other shortcomings to enter, set in, and take over.
By submitting to the AA Program and surrendering to God we are released from the power alcohol has over us. When this takes place, we cannot help but become aware of God's presence. We will be given a spiritual vision that helps us see things clearer so we stay on the sober spiritual path walking in the Sunlight of God's Spirit.
There is never going to be a good reason to take another drink again. It doesn't matter if we lose a loved one—we will grieve the loss. It doesn't matter if a member of the Fellowship goes back out drinking—we will not follow them, if we experience a job loss or any other loss or trouble—we stay surrendered to God remembering to never let up on our recovery, spiritual living. God will take care of us and all things. We are here to do our part to live the full suggested AA Program and keep trying to help others to recover who are still sick from alcoholism. Our main job is to stay sober ourselves no matter what anyone else is doing. We need to keep seeking how we can do God's will by living in Divine Grace, constantly carrying thoughts like these through the day, here I am God, I seek to do your will, prepare me, make me ready, make me willing, how can I best serve Thee? Thy will, not mine, be done (Big Book pg.76 we ask God to help us be willing). Stay focused on God, God first thing in the morning, prayers, readings, meditation. If a problem comes up in the day, we will be quick to contact God's guidance, ask if there's anything we can do about it, take care of things as they come up right away to resolve them or accept things if they can't be changed. (continued on page 6)
Things Started Working for Me When:
I walk down the street...
my Desperation outweighed my Denial, my Conscience outweighed my EGO, my Compassion outweighed my Resentments, my Giving outweighed my Taking, my Faith outweighed my Fear, my Unselfishness outweighed my Greed, my Service outweighed my Neglect, my Acceptance outweighed my Criticism, my Caring outweighed my Indifference, my Empathy outweighed my Contempt, my Perspective outweighed my Opinion, my Smiles outweighed my Smirks, my Calmness outweighed my Rage, my Understanding outweighed my Confusion, my Virtues outweighed my Faults, my Hope outweighed my Distrust, my Gratitude outweighed my Dismay, my Kindness outweighed my Spite, my Principles outweighed my Delusions, my Happiness outweighed my Pain, my Confidence outweighed my Insecurity, my Maturity outweighed my Childishness, my Quiet Discipline outweighed my Gossip, I Could Go on Forever…
1. I walk down the street.
There is a deep hole in the sidewalk I fall in.
I am lost...
I am hopeless.
It isn't my fault.
It takes forever to find a way out.
2. I walk down the same street.
There is a deep hole in the sidewalk.
I pretend I don't see it.
I fall in again.
I can't believe I'm in the same place.
But it isn't my fault.
It still takes a long time to get out.
3. I walk down the same street.
There is a deep hole in the sidewalk.
I see it is there.
I still fall in...it's a habit
My eyes are open; I know where I am;
It is my fault.
I get out immediately.
4. I walk down the same street.
There is a deep hole in the sidewalk.
I walk around it.
5. I walk down another street.
NORTH COUNTY H & I NEWS
AT THE TIME OF THIS WRITING, several meetings in the North County have begun to re-open as in-person meetings. With the caveat that things can easily revert back, it is still encouraging, and exciting, to think about fellowshipping with each other. But even more important will be once again providing newcomers an actual physical location to be welcomed and comforted knowing there is somewhere to go. Your North County H&I committee is hopeful this too will mean our important work of sharing the AA message to those that cannot get to a meeting can continue. If all goes well, we will meet in person as a committee on June 20th at the North County Alano Club in Oceanside, although this is tentative, depending on circumstances as they are. Regardless of where, or how we meet, we look forward to getting back to work helping others and hope you will join us, as you always have, along this joyful journey of recovery and service. Visit nchandi.org for up to date information.
WHERE YOUR 7 th TRADITION MONEY GOES: Each North County AA Group can get involved with NC H&I by contributing a portion of their 7 th Tradition funds (via the Pie Chart) and/or passing the Green Can. Our goal is that 85% of all Pie Chart contributions will be used for literature purchases for the facilities we serve – with 15% being used for administrative expenses (i.e. rent, printing, etc.).
MAY 2020 FINANCIAL SUMMARY
Beginning Balance: $7,649.03 Income: $1,001.82
Expenses: $2,442.61 Ending Balance: $6,208.24
GROUP AND GREEN CAN CONTRIBUTIONS MAY 2020
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Totals:
| Group Name | Green Can |
|---|---|
| Belly Up Third Tradition Group # 162613 | |
| Encinitas Tues Night Men’s Group # 691466 | |
| Freedom of Choice Big Book Mtg. Grp. # 157949 | |
| Just Say No to Corona Zoom Meeting | |
| NSDYPAA | |
| Out of the Woods Group # 712487 | |
| Step A Month | |
$0.00 $1,001.82
Complete financial reports can be found on our website.*
THANK YOU FOR YOUR CONTRIBUTIONS!
GETTING INVOLVED: **NEW** All panels are suspended until further notice due to COVID-19. Stay tuned for announcements of possible opportunities. Visit our website NCHandI.org for updates or contact Don C. at 760-212-9759. When we get back to normal, each 3 rd Saturday of the month NC H&I conducts an Orientation for all interested AA members to learn more about NC H&I Policy & Guidelines. At the conclusion of the Orientation meeting, attendees can sign up for a panel to get started on the journey of involvement in NC H&I service work. The Orientation meeting is held at 9:00 a.m. at the Oceanside Alano Club located at 4198 Mission Ave, Oceanside, CA 92057. The Business Committee meets at 9:45 a.m., immediately following Orientation. All interested AA members are encouraged to attend both Orientation & Business Committee meetings.
*ADDITIONAL INFORMATION: You can visit our NC H&I website at NCHandI.org to view Policy & Guidelines, Financial Reports, and more.
Our A.A. Central Office operates a 24/7 hotline for alcoholics in need.
The After-Hour Phone Committee needs volunteers to answer phones while the office is closed on nights & weekends.
We also need12-Step Call Volunteers to carry the message.
If you have any questions or are interested in volunteering, please call Phone Chairperson Jim R. at 619-890-2299 or email him at firstname.lastname@example.org.
Newcomer, When you call me, it gives me the opportunity to carry the message. That helps me stay sober. So pick up that 2000 pound phone and gimme a call! ~Oldtimer
(continued from page 1) Unfortunately, A certain percentage of our fellowship have deeper rooted problems that are permanent and cannot be cured simply by practicing A.A. principles alone. They are often masked by the use of alcohol and when a person stops drinking and starts dealing with their behavioral problems, these things rise to the surface in the form of: O.C.D; A.D.D; Bipolar Disorder; P.T.S.D; and many others that can only be subdued by the use of medications that, in some cases, dulls the mind of the patient to the extent that they would resist taking the medication and would rather live with the symptoms. Not knowing this, we sometimes misunderstand the people stricken by these deeper-rooted mental conditions and believe, by their sharing, that they are arrogant or egotistical etc. when displaying behaviors that the average person is not afflicted with. These conditions are not always at the extreme levels and each of us, being Alcoholics, have a degree or behavioral problems that are outside of the normal range else why would we need to attend AA meetings. Let us consider the normal range to be 5 degrees on either side of the center line. The extremes of the abnormal behavioral problems extend out to 50% on either side of the centerline. Let us take Fear as an example. Some people are so fearful they are afraid to leave their home, while others are so fearless that they may walk in front of a bus. These are the extremes, and we all fall somewhere in between. Those of us who are fortunate enough not to be afflicted by those pre-mentioned mental disorders, are blessed In the sense that, practicing the principles of Alcoholics Anonymous, can bring us back towards the center line and we can lead a somewhat normal life.
For those ill-fated ones afflicted by those conditions, they can stay sober, but the behaviors are still apparent to us and, unless we can recognize and replace the habit of judging them by their outward behavior, we are still outside the normal range, and when we replace the habit of being judgmental with the habits of compassion and empathy we are somewhat closer to the center line. We can change all those alcoholic behaviors when we recognize them, simply by looking deeper into our motives for our actions pointed out in the A.A, program. Steps six and Seven begins this process of recognizing our defects of character, based on our thinking, and changing the shortcomings or actions, that result from those thoughts. "There are those too who suffer from grave emotional and mental disorders but many of them do recover if they have the capacity to be honest." (BB pg. 58) My question is, do we have the capacity to be accepting when we recognize that some of us have these, uncontrollable deeper-rooted issues and that we cannot compare them to ourselves and be judgmental about these difficulties. Love, Compassion and Empathy are the center line positions in these cases. They need our understanding.
Your Birthday Gift to Central Office Many AAs celebrate their A.A. birthday by contributing to our Central Office. Most send a dollar or two for each year of sobriety. Would you like to celebrate with us? Please call (760) 758-2514 or contribute online at https://ncsandiegoAA.org/contribute-to-central-
SERVICE CALENDAR
Contact Central Office for information.
Business Committee: Tue prior to 2nd Wed
6:30 PM. Contact Central Office.
Intergroup Meeting: 2nd Wed of month
7:00 PM. Go to thislinkfor more info.
Stay safe and keep in touch.
MEETING GUIDE
North County A.A.
Meetings are listed in the
Meeti
ng Guide app.
Office Address, Hours & Contact Info North County Central Office
1020 S Santa Fe Ave Suite B, Vista CA 92084
Hours: Mon-Fri 9-5, Sat 9-1, Closed Sun
Phone: 760-758-2514
Email:
of fi
email@example.com
Web: NCsandiegoAA.org
Office Closed: New Year's Day, Memorial Day,
Independence Day, Labor Day, Veteran's Day,
Thanksgiving Day, Christmas Day
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
The
Viewpoint is a publication of the
North San Diego County Intergroup of A.A.
(NCIAA) and is distributed by the
North County Central Office.
It is published approx. the 3rd Wed of each month.
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Submit Something to the Viewpoint
Click this link for more information:
htt
ps://ncsandiegoAA.org/viewpoint/viewp oin
t-info
Deadline is the 2nd Wednesday of the month.
Questions? Email firstname.lastname@example.org
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Quotes from A.A. literature are reprinted with the permission of A.A. World Services, Inc.
Alcoholics Anonymous and
A.A.
are registered trademarks of A.A. World Services, Inc.
Opinions expressed within are of contributing writers or the editor and not necessarily those of A.A. or the North San Diego County Intergroup of A.A.
References to outside entities do not imply affiliation.
"something happens"
We know that while the alcoholic keeps away from drink, as he may do for months or years, he reacts much like other men. We are equally positive that once he takes any alcohol whatever into his system, something happens, both in the bodily and mental sense, which makes it virtually impossible for him to stop. The experience of any alcoholic will abundantly confirm this. ~BB pg. 22
Meeting that Need Your Support
"Candlelight" Zoom Meeting (ACE) - Fridays 8:00 PM
https://us02web.zoom.us/j/773145415? pwd=YkIzSDhhUkpuUTRYWEFjMXNOdlRGdz09
Meeting ID: 773 145 415& Password: 445659 Dial in: 669 900 6833
If you would like your meeting to be added to this list, please email email@example.com
~~~ EVENTS CALENDAR ~~~
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(continued from page 4)
Prayers to God will avail us much. In many instances having faith in God to take care of things, will lead us to do our part while letting God do His part. As we live the Twelve Steps, we are doing our part and there's no need to worry or have any unhealthy fears which only cause confusion and disruptions in our minds and lives.
As God has taken care of the drink problem which we could not, He will continue to do for us what we cannot do in other matters as well. Let go and let God, put God in first place in your life, take it easy, this too shall pass—we have been given these slogans in AA for the reason that they work. When the going gets tough we maintain the practice of our AA design for living which works in rough going. The AA Program is not a light duty deal. We will be amazed. Remarkable things will happen. The age of miracles is still with us. Each day in sobriety, as a result of being spiritually awakened, is a day given to us by the grace of God. God is the underlying source of all good and as God did with our alcoholism, His infinite creative power can turn what is difficult and problematic for us into that which is spiritually good for us.
~Jerome D, Powell River BC Canada
Freedom from Fear
When, with God's help, we calmly accepted our lot, then we found we could live at peace with ourselves and show others who still suffered the same fears that they could get over them, too. We found that freedom from fear was more important than freedom from want. ~12&12 pg 122
i
A.A. Websites: North County Central Office NCsandiegoAA.org, Area 8 area8AA.org, Young People NSDYPAA, A.A. AA.org, H&I nchandi.org, Grapevine AAgrapevine.org, Daily Reflection AA.org/pages/en_US/daily-reflection. Subscribe to the GSO newsletter to be sent to your email: http://www.AA.org/pages/en_US/gso-newsletters.
I am Responsible... When anyone, anywhere, reaches out for help, I want the hand of A.A. always to be there. And for that: I am responsible.
|
Q1
Continued growth but lower earnings
Projektengagemang continued to experience growth during the first quarter of 2019. Net revenue increased by 21 percent and is entirely driven by acquisitions. The EBITA margin for the quarter totalled 4 percent, which is a decline compared with the previous year and falls short of our expectations.
First quarter, 1 January – 31 March 2019
* Net revenue totalled SEK 370.4 million (307.1), an increase of 21 percent
* EBITA amounted to SEK 13.6 million (29.7); with an EBITA margin of 3.7 (9.7) percent
* EBIT amounted to SEK 13.4 million (28.8); with an EBIT margin of 3.6 (9.4) percent
* Earnings for the period totalled SEK 8.2 million (22.2)
* Basic and diluted earnings per share totalled SEK 0.33 (0.90)
* Mats & Arne Arkitektkontor AB was acquired during the period, with estimated annual revenue of just over SEK 20 million
Group summary
| Net revenue EBITA EBITA (adjusted earnings) EBITA margin, % EBITA margin, % (adjusted earnings) Operating profti/loss, EBIT Operating profti/loss, EBIT (adjusted earnings) Operating margin, % Operating margin, % (adjusted earnings) Profti/loss for the period Basic and diluted earnings per share for the period, SEK Net receivables (-)/debt (1) | 370.4 |
|---|---|
| | 13.6 |
| | 13.6 |
| | 3.7 |
| | 3.7 |
| | 13.4 |
| | 13.4 |
| | 3.6 |
| | 3.6 |
| | 8.2 |
| | 0.33 |
| | 395.7 |
Net revenue
EBITA(adjusted earnings)
1 Net debt 2019 is affected by changes to the accounting policy IFRS 16. The effect amounts to SEK 136 million. No adjustments of historical numbers has been made.
PROJEK TENGAGEMANG INTERIM REPORT JANUARY–MARCH 2019
–
* During the period, Helena Liljegren took over as Head of the Architecture & Management division
* Kjell-Åke Johansson took on the role of Head of the Systems division in Q1
* Nicke Rydgren was appointed Chief Commercial Officer in the first quarter, a role that combines marketing and acquisitions with strategy and business development
CEO comments
–
Projektengagemang continued to experience growth during the first quarter of 2019. Net revenue increased by 21 percent in the first quarter, and is entirely driven by acquisitions. The EBITA margin for the quarter was 4 percent, which is a decline compared with the previous year and falls short of our expectations.
The acquisitions that were made in the quarter and in 2018 are performing in line with estimates. Lower earnings in the quarter are primarily attributable to a softening of certain segments of the market, mainly in the Stockholm area. This has impacted the Systems and Civil Engineering & Infrastructure divisions, with lower activity levels and earnings as a result compared with the previous year.
We are implementing efficiency measures to adapt our operations to the slowdown in certain segments. This will lead to cost savings of around SEK 15 million on an annual basis, roughly SEK 5 million of which will be realised in the second half of 2019.
Earnings trend in the divisions
The Architecture & Management division, which completed transition work in 2018 to streamline operations, saw an increase in revenue and improved earnings in the quarter. This proves that the activities we have implemented are producing a positive effect.
In the Civil Engineering & Infrastructure division, net revenue rose by 76 percent, fuelled by the acquisition of Integra Engineering, which was concluded at the end of 2018 and is delivering in line with our estimates. Despite Integra's stable earnings, the division has seen a drop in operating profit, which is due to a softening of the market in the Stockholm area. Our investment in railways continued to impact earnings in the quarter, but since the end of the quarter we have won several major and significant assignments for customers such as the Swedish Transport Administration.
The Industry & Energy division reported lower revenue and operating profit compared with the previous year, mainly due to the transition work undertaken by the division. During the quarter we identified additional needs for efficiency improvements and cost savings, mainly related to a reduction in the number of offices.
The Systems division increased its revenue by 10 percent compared with last year. Operating profit declined in the quarter. In the area of electrical and telecommunications engineering, where we hold a strong position in the Stockholm region, we had lower activity levels than anticipated in the period. Our focus on fire protection planning and risk management continued to produce results in Q1, along with our offering within HVAC design.
During the quarter, and looking ahead, we are seeing greater uncertainty in the market within Systems and Civil Engineering & Infrastructure in the Stockholm region, which is resulting in extended decision processes and project implementation times.
Based on the investments that have been made, the efficiency measures initiated and our assessment of the market situation, we anticipate a full-year EBITA-result for 2019 in line with or slightly better than in the previous year.
Per Hedebäck, President and CEO
PROJEK TENGAGEMANG INTERIM REPORT JANUARY–MARCH 2019
Divisions: financial overview
–
Net revenue and operating profit by division
| Net revenue Architecture & Management Civil Engineering & Infrastructure Industry & Energy Systems Other and items afefcting comparability | |
|---|---|
| | 103.2 |
| | 116.1 |
| | 33.7 |
| | 122.3 |
| | –4.9 |
| Total Earnings Architecture & Management Civil Engineering & Infrastructure Industry & Energy Systems Other and items afefcting comparability | 370.4 |
| | 3.5 |
| | 6.3 |
| | –1.2 |
| | 10.1 |
| | –5.2 |
| Operating profti/loss, EBIT Net fniancial items Tax | 13.4 |
| | –3.0 |
| | –2.2 |
Operating profit/loss, EBIT(adjusted)
Infrastructure
Infrastructure
PROJEK TENGAGEMANG INTERIM REPORT JANUARY–MARCH 2019
Revenue and earnings for the Group –
First quarter, 1 January – 31 March 2019
Net revenue for the first quarter was SEK 370.4 million (307.1), an increase of 21 percent compared with the previous year. Profit before acquisition-related items (EBITA) was SEK 13.6 million (29.7), and operating profit (EBIT) was SEK 13.4 million (28.8). Operating profit (EBIT) was positively impacted by a capital gain of SEK 2.6 million (0) from the sale of non-current assets, which affected the EBIT margin by 0.7 percentage points. The EBITA margin amounted to 3.7 percent (10.4).
The lower EBITA earnings in the quarter are primarily attributable to a softening of certain segments of the market, mainly in the Stockholm area. This has impacted the Systems and Civil Engineering & Infrastructure divisions, with lower activity levels and earnings as a result compared with the previous year.
The increase in revenue in the first quarter is entirely attributable to companies acquired in 2018 and 2019 performing in line with expectations, which have contributed SEK 86.4 million in the quarter. Integra Engineering, which is the Group's largest acquisition to date, accounts for the largest portion. Organic growth totalled –4.4 percent. The calendar effect had no impact on the period. The effect of the acquired companies per division is detailed in the table below.
| Division Architecture & Management Civil Engineering & Infrastructure Industry & Energy Systems | |
|---|---|
| | 11.9 |
| | 57.1 |
| | – |
| | 17.4 |
| TOTAL Acquisitions Acquired 2018 Acquired 2019 | 86.4 |
| | 81.1 |
| | 4.3 |
| TOTAL | 86.4 |
Growth
Average annual growth of 15% over a business cycle
Profitability EBITA margin exceeding 8% over a business cycle
Debt/equity ratio Between 1.5–2.0 R12 EBITDA over a business cycle
Dividend policy
30–50% of profit for the year
5
–
PROJEK TENGAGEMANG INTERIM REPORT JANUARY–MARCH 2019
Architecture & Management offers solutions relating to urban planning, architecture, landscape and interior architecture, water supply and sanitation, land, as well as project management and management consulting in strategic matters within public construction.
The division's net revenue amounted to SEK 103 million (96) for the quarter, an increase of 8 percent. Operating profit for the period was SEK 4 million (2). The increase in revenue can be entirely attributed to companies acquired over the past 12 months. The transition work implemented in 2018 has had a positive effect on earnings for the division.
The significant transition work undertaken by the division during 2018 is now complete and will lead to a gradual improvement in earnings. Architecture operations delivered better earnings in the quarter than in the corresponding period last year, while project management and management operations experienced a tougher start to the year, which had an impact on earnings.
We believe the underlying market trends for the services offered by the division remain solid. We are seeing considerable interest in sustainability-related services and general consulting assignments. There is also an underlying lack of housing in Sweden, where the Swedish National Board of Housing, Building and Planning assesses that an additional 600,000 homes are needed by 2025. Despite the housing shortage, there has been a slowdown in the construction of new homes throughout Sweden, with the exception of Gothenburg. Although PE is not highly dependent on new housing construction, this has had a negative effect on the division's revenue and earnings for the quarter.
During the quarter, Helena Liljegren took up her position as the new Head of Division, and the firm of architects Mats & Arne Arkitektkontor AB was acquired. Work has begun on integrating the company, which is expected to be completed by the third quarter of the current year. After the end of the quarter, Marie Westerholm was appointed Business Area Manager for Project Management & Management.
The division is represented in 11 locations in Sweden, and the average number of employees in the quarter was 287.
New assignments
* Refurbishment of Tekniska nämndhuset in Stockholm
* Project planning of refurbishment and new construction of Brotorp and Lindbacka schools in Örebro
* Framework agreement with Lidl to project manage their new store concept
Division summary
| Net revenue - of which internal net revenue Total growth, % - of which organic growth, % - of which acquired growth, % Operating profti/loss, EBIT (adjusted earnings) - EBIT margin, % Average number of employees | 103.2 | 95.6 388.8 396.4 16.0 56.4 54.0 –8.1 –1.2 –8.1 –6.3 0.0 5.1 2.2 10.6 11.8 2.4 2.7 3.0 266 278 287 |
|---|---|---|
| | 13.5 | |
| | 7.9 | |
| | 0.6 | |
| | 7.3 | |
| | 3.5 | |
| | 3.4 | |
| | 287 | |
Operating profit/loss, EBIT(adjusted earnings)
PROJEK TENGAGEMANG INTERIM REPORT JANUARY–MARCH 2019
Civil Engineering & Infrastructure offers services to clients in the construction and property sectors, as well as infrastructure. These services range from building design, acoustics, geotechnics, energy, environment and sustainability, to bridge and plant design, railways, roads, water treatment and environmental impact.
The division's net revenue amounted to SEK 116 million (66) for the quarter, an increase of 76 percent. The increase in revenue is mainly attributable to the acquisition of Integra Engineering, which took place at the end of 2018. Operating profit for the period declined to SEK 6 million (11) and was negatively affected by lower activity levels within some of the division's areas of operation.
Integra is PE's largest ever acquisition and specialises in building design in both construction and industry. The acquisition makes PE one of the market leaders in building design in Sweden. During the quarter, Integra delivered in line with expectations and integration of the company is proceeding according to plan.
Looking ahead, we are observing continued investment in infrastructure, primarily in the Stockholm and Västra Götaland regions, both of whichhave good potential. We are seeing indications of a stabilisation in construction going forward, with heightened interest expected in infrastructure projects, facilities and environmental projects. Despite the slowdown in new-build projects in 2018, particularly in the Stockholm region, construction project start-ups increased considerably in Gothenburg. We therefore continue to view the market for our specialist services and our local markets as positive in the long term.
Infrastructure operations in the first quarter have experienced lower activity levels compared to previously, which has had a negative impact on earnings. Investments made in the area of railways have continued to affect earnings in the first quarter. After the end of the quarter, several major orders were won and market conditions for railways remain positive.
Division summary
SEK million
Net revenue
- of which internal net revenue
Total growth, %
- of which organic growth, %
- of which acquired growth, %
Operating profit/loss, EBIT (adjusted earnings)
- EBIT margin, %
Average number of employees
Net revenue
The division is represented in 16 locations in Sweden, and the average number of employees in the quarter was 352.
New assignments
* Railway project planning of ERTMS for the control areas Stockaryd in Småland and Polcirkeln in Lapland for the Swedish Transport Administration
* Pre-project planning and design planning of HSB's 24-storey building
Jubileumshuset in the new Hagastaden district in Stockholm
* Project planning of foundation work and concrete designs ahead of construction of apartment block with wood frame and facades, Titteridamm, Angered in Gothenburg
Operating profit/loss, EBIT
(adjusted earnings)
7
PROJEK TENGAGEMANG INTERIM REPORT JANUARY–MARCH 2019
Industry & Energy offers solutions aimed at the industrial and energy sectors that include strategic advice, automation, product development, mechanical design, process and calculation services that aim to make these sectors more sustainable, competitive and profitable.
The division's net revenue amounted to SEK 34 million (45) for the quarter. Operating income for the period was SEK –1 million (2). The lower revenue and lower earnings are largely due to the transition work and reduction in the number of employees that took place in the division. During the quarter, additional restructuring and streamlining needs were identified and there has been reduction in the number of offices.
We are seeing a demand within the division from industrial customers wishing to streamline processes and production via automation and digitalisation. This confirms that our strategic direction and the investments we have made reflect customer needs. The division's extensive capabilities within digitalisation are important for receiving new assignments.
Several new assignments were won during the period in which the customer has requested end-to-end solutions. We are also seeing persistent demand among industrial customers for expertise to help them make the transition towards a more digital and efficient industrial sector.
Division summary
SEK million
Net revenue
- of which internal net revenue
Total growth, %
- of which organic growth, %
- of which acquired growth, %
Operating profit/loss, EBIT (adjusted earnings)
- EBIT margin, %
Average number of employees
During the period we also intensified our collaboration with various partners in deliveries to customers that strengthen our offering.
The assessment is that the division will continue to encounter a market trend that features variations between different branches of industry. Ongoing transition work is mainly aimed at internal efficiency improvements to boost profitability and competitiveness.
The division is represented in 11 locations in Sweden as well as in India, and the average number of employees in the quarter was 165.
New assignments
* Replacement of signal box for test bench, Volvo AB Eskilstuna
* Replacement of management system and electrical components, Volvo AB foundry in Skövde
* Design of management and control systems for Metrans AB
3 months
12 months
Operating profit/loss, EBIT
(adjusted earnings)
8
PROJEK TENGAGEMANG INTERIM REPORT JANUARY–MARCH 2019
Systems offers installation engineering services at all stages of the building process, focusing on HVAC design, electrical and telecommunications engineering, safety, and fire, risk and protection.
The division's net revenue amounted to SEK 122 million (112) for the quarter, an increase of roughly 10 percent. The improvement in revenue can be attributed to positive performance by acquired companies. Operating profit for the period decreased to SEK 10 million (20). Demand in general for the division's services has declined and we are experiencing a degree of uncertainty in the market, with extended decision processes as a result.
CEO of the newly-acquired Integra Engineering. He took up the post on 18 March.
In the area of electrical and telecommunications engineering, where we hold a strong position in the Stockholm region, we had lower activity levels than anticipated in the period. Operations within HVAC design continued to deliver stable earnings during the quarter.
The investment in fire protection planning and risk management has been successful and operations during the quarter have delivered in line with expectations. Acquisitions and organic growth have enabled PE to adopt a market-leading position in this area, which has healthy profitability. The new Fire Safety, Risk & Protection business area that was established in the quarter is now beginning to take shape and cooperation between the locations is seeing positive development.
During the quarter, Kjell-Åke Johansson was appointed the new head of the division. Kjell-Åke's most recent position was
Most of the assignments we receive focus on installation engineering in new builds and refurbishment of all types of properties, including major, complex projects spanning several areas. These include the manufacturing industry, hospitals, shopping centres, housing and sports grounds. We carry out a large number of safety investigations for municipalities and private companies. These are then used as a basis for several other disciplines within PE. The combination of wide-ranging and specialist services is much in demand, and customers mainly comprise private property management companies and building contractors, as well as public-sector customers.
The division is represented in 20 locations in Sweden, as well as in Norway, and the average number of employees in the quarter was 360.
New assignments
* Electrical and telecommunications project planning, as well as HVAC design of refurbishment of, and extensions to Volvo Powertrain's foundry in Skövde
* Fire and sprinkler project planning for extension of spa hotel totalling roughly 6,000 sqm, at Smådalarö in Stockholm
* HVAC design, electrical project planning, energy and building design for the Kv. Polacken 30 property on Kungsgatan in Stockholm
Division summary
| Net revenue - of which internal net revenue Total growth, % - of which organic growth, % - of which acquired growth, % Operating profti/loss, EBIT (adjusted earnings) - EBIT margin, % Average number of employees | 122.3 | 111.5 445.3 456.1 14.0 58.9 55.5 16.5 22.7 14.4 14.2 2.1 8.5 20.4 56.7 46.3 18.3 12.7 10.2 323 332 360 |
|---|---|---|
| | 10.6 | |
| | 9.7 | |
| | –4.5 | |
| | 14.2 | |
| | 10.1 | |
| | 8.3 | |
| | 360 | |
Net revenue
Operating profit/loss, EBIT(adjusted earnings)
9
PROJEK TENGAGEMANG INTERIM REPORT JANUARY–MARCH 2019
Cash flow and financial position –
First quarter, 1 January – 31 March 2019
Investments, depreciation and amortisation
Cash flow from operating activities amounted to SEK –14.4 million (11.6). Change in working capital totals SEK –47.0 million (20.5). Working capital has been affected by significantly lower trade payables compared to the previous year.
Investing activities displayed a net outflow during the quarter of SEK 19.5 million (11.9). The acquisition of Mats & Arne Arkitektkontor AB has had an impact of SEK 14.6 million.
Cash flow from financing activities totalled SEK 4.0 million (4.3). This is net of changes to drawn overdraft facilities of SEK 26.2 million, amortisation of bank loans of SEK 12.4 million and the repayment of lease liabilities in the amount of SEK 17.9 million in the quarter.
Net debt at the end of the quarter totalled SEK 395.7 million (247.4). The transition to accounting according to IFRS 16 has affected net debt in the amount of SEK 136 million. For further information about the impact of IFRS 16 see page 11 and Note 5.
Acquisitions
The first quarter saw the acquisition of Mats & Arne Arkitektkontor AB, which conducts operations from Gothenburg and Stenungssund. The company has wide-ranging expertise within architecture and consolidates PE's offering in the region.
During the period the company contributed SEK 4.3 million to Group revenue, with an operating profit of SEK 0.5 million. If the company had been owned for the full year, the company would have contributed revenue of approximately SEK 5.8 million and operating income of SEK –0.4 million.
Purchases of non-current assets for the period amounted to SEK 3.9 million (0.9). Depreciation/amortisation of non-current assets amounted to SEK 22.9 million (5.8), of which depreciation/amortisation of leased assets was SEK 18.2 million (3.6). Amortisation of intangible assets totalled SEK 3.0 million (1.0). Purchase considerations paid relating to acquired companies amounted to SEK 15.6 million (10.9), see Note 1 for further details.
Significant events in the period
1 January – 31 March 2019
Helena Liljegren took up her position as the new Head of the Architecture & Management division. Kjell-Åke Johansson took on the role of Head of the Systems division. Nicke Rydgren was appointed Chief Commercial Officer in the first quarter, a role that combines marketing and acquisitions with strategy and business development.
Significant events after the end of the period
PE has won two railway assignments from the Swedish Transport Administration to plan the ERTMS signalling system in the Polcirkeln and Stockaryd control areas.
PROJEK TENGAGEMANG INTERIM REPORT JANUARY–MARCH 2019
Other information
–
Employees
The average number of FTEs in the quarter amounted to 1,218 (971). The number of employees at the end of the period was 1,204 (986).
Tax
The tax expense for the period totalled SEK 2.2 million (5.2).
Parent Company
The Parent Company's net revenue for the 1 January–31 March period totalled SEK 60.5 million (60.7), with operating income (EBIT) corresponding to SEK –8.3 million (–6.2). Net revenue for the Parent Company mainly relates to intra-group cost allocations.
Share information
The company's B share has been listed on Nasdaq Stockholm since 19 June 2018. The buying price at 31 March for PENG-B was SEK 28.40, a decrease of 18.6 percent in 2019.
Dividend
The Board proposes a dividend of SEK 1 per share. The total dividend amounts to SEK 24,555,677 (11,702,828).
Related-party transactions
In the first quarter, Projektengagemang purchased consulting services from K-Konsult Management AB and Pagator AB amounting to SEK 0.3 million (0.1). The transactions took place at market prices.
Calendar effects
There has been no calendar effect in the first quarter. See page 25 for further information.
Accounting policies
This report has been prepared in accordance with IAS 34, Interim Financial Reporting, International Financial Reporting Standards (IFRS) issued by the International Accounting Standards Board (IASB) and interpretative statements from the International Financial Reporting Interpretations Committee (IFRIC) as adopted by the EU. The Group applies the same accounting policies as detailed in Note 1 of the 2018 Annual Report.
IFRS 15 Revenue from Contracts with Customers and IFRS 9 Financial Instruments entered into force as of January 2018. IFRS 16 Leases has been applied as of January 2019.
IFRS 16 is a new leases standard that is being applied by the Group as of 2019. It replaces IAS 17 Leases and accompanying interpretations IFRIC 4, SIC-15 and SIC-27, and means that all leases must be recognised in the balance sheet, with the exception of short-term contracts and contracts with a low value. This accounting is based on the approach that the lessee has a right to use an asset for a specific period of time, and at the same time an obligation to pay for such right. The standard, which has been adopted by the EU, mainly affects accounting of the Group's operating leases. Commitments regarding leases are calculated at present value and reported as non-current assets with interest-bearing liabilities in the balance sheet. In the income statement, lease expenses are replaced by depreciation/amortisation and interest expenses.
The replacement of the accounting policy for leases means an increase in total assets and operating profit, which affects various key performance indicators. The comparison periods in this report have not been recalculated.
The impact on the balance sheet and income statement and cash flow for the period January to March 2019 is detailed in Note 5.
PROJEK TENGAGEMANG INTERIM REPORT JANUARY–MARCH 2019
To increase comparability with other companies on the market, as of 1 January 2018 PE introduced the earnings concept EBITA, which is defined as operating profit excluding acquisition-related items. Operating profit is therefore adjusted for amortisation and impairment of acquisition-related intangible assets, including goodwill, and revaluation of contingent considerations and gains/losses from the divestment of companies and operations.
PE applies all EU-adopted IFRS standards and statements (IFRIC), to the extent possible within the framework of the Swedish Annual Accounts Act, and in some cases for tax reasons. This interim report has been prepared in accordance with IAS 34 Interim Financial Reporting and the Swedish Financial Reporting Board's recommendation RFR 2 Accounting for Legal Entities.
Risks and uncertainties
PE is exposed to business risks associated with economic and structural changes, as well as changes in market trends. Other risks include the ability to recruit, retain and develop employees. Furthermore, the Group is exposed to interest rate, foreign exchange and credit risks. In the event of a significant change in circumstances in the company's markets, PE could experience problems in signing new credit facilities and consequently need to use a larger portion of cash flow to make interest payments and repayments. This could have a negative effect on the company. The risk exposure described in the 2018 Annual Report provides further details of risks and uncertainties and these remain unchanged for this period.
Audit
This report has not been subject to a limited assurance review.
Stockholm, 7 May 2019 Projektengagemang Sweden AB (publ)
Per Hedebäck President and CEO
PROJEK TENGAGEMANG INTERIM REPORT JANUARY–MARCH 2019
Group income statement –
3 months
12 months
| Net revenue Other external expenses Personnel costs | 370.4 | 307.1 1,223.8 1,287.2 –74.5 –347.9 –353.0 –198.0 –786.3 –845.6 |
|---|---|---|
| | –79.6 | |
| | –257.2 | |
| Profti/loss before depreciation/amortisation, EBITDA Depreciation, amortisation and impairment losses | 33.6 | 34.6 89.6 88.6 –4.9 –18.8 –33.9 |
| | –20.1 | |
| Operating profti/loss, EBITA Acquisition-related items1 | 13.6 | 29.7 70.8 54.7 –0.9 3.4 4.1 |
| | –0.1 | |
| Operating profti/loss, EBIT Financial items | 13.4 | 28.8 74.2 58.8 –1.4 –5.8 –7.4 |
| | –3.0 | |
| Profti/loss after fniancial items Tax | 10.4 | 27.3 68.4 51.4 –5.2 –11.3 –8.3 |
| | –2.2 | |
| Profti/loss for the period2 Attributable to: Parent Company shareholders Non-controlling interests Basic and diluted earnings per share for the period, SEK | 8.2 | 22.2 57.1 43.2 22.1 56.8 42.9 –0.1 0.3 0.3 0.90 2.63 1.99 |
| | 8.2 | |
| | 0.0 | |
| | 0.33 | |
1 Acquisition-related items are defined as depreciation/amortisation and impairment of goodwill and acquisition-related intangible assets, revaluation of contingent considerations and gains and losses from divestments of companies, operations, land and buildings.
2 No deviations between the profit or loss for the period and comprehensive income for the period
Consolidated statement of comprehensive income –
3 months
12 months
| Profti/loss for the year | 8.2 | 22.2 57.1 43.2 |
|---|---|---|
| Comprehensive income for the year | 8.2 | 22.2 57.1 43.2 |
PROJEK TENGAGEMANG INTERIM REPORT JANUARY–MARCH 2019
Consolidated balance sheet
–
| ASSETS Non-current assets Goodwill Other non-current intangible assets Property, plant and equipment Financial assets | |
|---|---|
| | 588.1 |
| | 48.2 |
| | 211.9 |
| | 3.9 |
| Total non-current assets Current assets Current assets excluding cash and cash equivalents Cash and cash equivalents including short-term investments | 851.1 |
| | 395.6 |
| | 71.7 |
| Total current assets | 467.3 |
| TOTAL ASSETS EQUITY AND LIABILITIES Equity Equity attributable to Parent Company shareholders Non-controlling interests | 1,319.4 |
| | 594.6 |
| | 1.1 |
| Total equity Liabilities Non-current liabilities Current liabilities, accrued expenses Deferred tax liabilities | 595.7 |
| | 338.0 |
| | 355.1 |
| | 30.6 |
| Total liabilities | 723.7 |
| TOTAL EQUITY AND LIABILITIES | 1,319.4 |
Consolidated statement of changes in equity –
| Equity at start of period Profti/loss for the period Dividends paid New share issue Transaction expenses Deferred tax on transaction expenses Other transactions | 587.2 |
|---|---|
| | 8.2 |
| | – |
| | – |
| | – |
| | – |
| | 0.3 |
| Equity at end of period Attributable to: Parent Company shareholders Non-controlling interests | 595.7 |
| | 594.6 |
| | 1.1 |
| Total | 595.7 |
PROJEK TENGAGEMANG INTERIM REPORT JANUARY–MARCH 2019
Consolidated cash flow statement
–
| Operating activities Profti/loss after fniancial items Adjustments for non-cash items Tax paid | |
|---|---|
| | 10.4 |
| | 22.8 |
| | –0.5 |
| Cash folw before changes in working capital Cash folw from changes in working capital | 32.6 |
| | –47.0 |
| Cash folw from operating activities Purchase of property, plant and equipment and non-current intangible assets Acquisition of Group companies, incl. cash funds Change in fniancial assets | –14.4 |
| | –3.8 |
| | –15.6 |
| | 0.0 |
| Cash folw from investing activities Dividend paid New share issue Transaction expenses, new share issue Borrowings Amortisation of loans Change in credit facilities | –19.5 |
| | – |
| | – |
| | – |
| | – |
| | –30.2 |
| | 26.2 |
| Cash folw from fniancing activities | –4.0 |
| Cash folw for the period Cash and cash equivalents at start of period | –37.8 |
| | 109.0 |
PROJEK TENGAGEMANG INTERIM REPORT JANUARY–MARCH 2019
Parent Company income statement –
| Net revenue Other external expenses Personnel costs | 60.5 |
|---|---|
| | –50.4 |
| | –15.1 |
| Profti/loss before depreciation/amortisation, EBITDA Depreciation, amortisation and impairment losses | –5.0 |
| | –3.3 |
| Operating profti/loss, EBIT Financial items | –8.3 |
| | –2.1 |
| Profti/loss after fniancial items Appropriations | –10.4 |
| | 0.1 |
| Profti/loss before tax Tax | –10.3 |
| | 0.0 |
| Profti/loss for the period | –10.3 |
Parent Company statement of comprehensive income –
3 months
12 months
| Profti/loss for the year | –10.3 | –7.3 6.2 |
|---|---|---|
| Comprehensive income for the year | –10.3 | –7.3 6.2 |
PROJEK TENGAGEMANG INTERIM REPORT JANUARY–MARCH 2019
Parent Company balance sheet –
| ASSETS Non-current assets Other non-current intangible assets Property, plant and equipment Deferred tax assets Financial assets | | 1.2 1.3 7.5 9.0 7.1 6.7 384.7 745.6 |
|---|---|---|
| | 1.8 | |
| | 44.2 | |
| | 6.7 | |
| | 767.3 | |
| Total non-current assets Current assets Current assets | 820.0 | 400.5 762.7 256.5 252.7 |
| | 126.4 | |
| Total current assets | 126.4 | 256.5 252.7 |
| TOTAL ASSETS EQUITY AND LIABILITIES Equity Non-current liabilities Current liabilities | 946.4 | 657.0 1,015.4 190.7 506.0 137.9 237.1 328.4 272.3 |
| | 495.6 | |
| | 250.4 | |
| | 200.4 | |
| Total liabilities | 450.8 | 466.2 509.4 |
| TOTAL EQUITY AND LIABILITIES | 946.4 | 657.0 1,015.4 |
PROJEK TENGAGEMANG INTERIM REPORT JANUARY–MARCH 2019
Income statement per quarter for the Group4 –
| Net revenue Other external expenses Personnel costs | 370.4 | 343.8 248.9 324.1 307.1 319.3 249.3 299.4 –97.0 –77.8 –98.6 –74.5 –91.4 –86.9 –84.6 –222.8 –164.0 –201.6 –197.9 –198.9 –154.0 –193.4 |
|---|---|---|
| | –79.6 | |
| | –257.2 | |
| Profti/loss before depreciation/amortisation, EBITDA | 33.6 | 24.0 7.1 23.9 34.6 29.0 8.3 21.4 |
| Profti/loss before depreciation/amortisation, EBITDA (adjusted earnings)1 Depreciation, amortisation and impairment losses | 33.6 | 24.0 7.1 31.2 36.9 37.6 15.1 28.9 –4.7 –4.9 –4.2 –4.9 –5.7 –5.4 –5.7 |
| | –20.1 | |
| Operating profti/loss, EBITA | 13.6 | 19.3 2.2 19.7 29.7 23.3 3.0 15.7 |
| Operating profti/loss, EBITA (adjusted earnings)1 Acquisition-related items2 | 13.6 | 19.3 2.2 26.9 32.0 32.0 9.7 23.2 –0.9 –0.9 –0.9 –0.9 –0.9 –0.9 –0.9 |
| | –2.8 | |
| Operating profti/loss, EBIT | 13.4 | 25.4 1.2 18.8 28.8 22.4 2.0 14.8 |
| Operating profti/loss, EBIT (adjusted earnings)1 Financial items | 13.4 | 18.3 1.2 26.0 31.1 31.0 8.8 22.3 –1.6 –1.0 –1.8 –1.4 –2.1 –1.8 –2.9 |
| | –3.0 | |
| Profti/loss after fniancial items Tax | 10.4 | 23.8 0.3 16.9 27.3 20.3 0.2 11.9 –1.7 –0.6 –3.8 –5.2 –8.4 –0.1 –2.1 |
| | –2.2 | |
| Profti/loss for the period3 Attributable to: Parent Company shareholders Non-controlling interests | 8.2 | 22.1 –0.3 13.1 22.2 11.9 0.1 9.7 21.9 –0.1 12.9 22.1 11.5 0.2 9.7 0.3 –0.2 0.2 0.0 0.4 –0.1 0.1 |
| | 8.2 | |
| | 0.0 | |
1 Adjusted for items affecting comparability 2018 and earlier 2019 EBIT boosted by a capital gain of SEK 2.6 million.
2 Acquisition-related items are defined as depreciation/amortisation and impairment of goodwill and acquisition-related intangible assets, revaluation of contingent considerations and gains and losses from divestments of companies, operations, land and buildings.
3 No deviations between the profit or loss for the period and comprehensive income for the period.
4 2018 and earlier not restated for IFRS 16.
PROJEK TENGAGEMANG INTERIM REPORT JANUARY–MARCH 2019
Key performance indicators, Group3 –
| PROFITABILITY EBITDA EBITDA margin, % EBITDA (adjusted earnings) 1 EBITDA margin, % (adjusted earnings) EBITA EBITA margin, % EBITA (adjusted earnings)1 EBITA margin, % (adjusted earnings) EBIT EBIT margin, % EBIT (adjusted earnings)1 EBIT margin, % (adjusted earnings) NET REVENUE Total growth, % - of which organic growth - of which acquired growth FINANCIAL POSITION Equity/assets ratio, % Available cash and cash equivalents - of which undrawn credit facilities Debt/equity ratio3 OTHER Number of employees Average number of employees Chargeability, % Basic and diluted earnings per share, SEK Equity per share, SEK2 | | 34.6 89.6 88.6 11.3 7.3 6.9 36.9 99.2 95.9 12.0 8.1 7.4 29.7 70.8 54.7 9.7 5.8 4.2 32.0 80.4 62.0 10.4 6.6 4.8 28.8 74.2 58.8 9.4 6.1 4.6 31.1 76.7 56.4 10.1 6.3 4.4 1.4 4.6 – 0.5 –0.2 – 1.0 4.8 – 33.7 49.3 – 126.2 369.8 – 118.4 260.3 – 2.8 2.3 4.5 986 1,211 1,204 971 1,022 988 79.3 77.7 76.5 0.90 2.63 1.99 42.69 23.87 24.22 |
|---|---|---|
| | 33.6 | |
| | 9.1 | |
| | 33.6 | |
| | 9.1 | |
| | 13.6 | |
| | 3.7 | |
| | 13.6 | |
| | 3.7 | |
| | 13.4 | |
| | 3.6 | |
| | 13.4 | |
| | 3.6 | |
| | 20.6 | |
| | –4.4 | |
| | 25.0 | |
| | 45.2 | |
| | 305.9 | |
| | 234.1 | |
| | 4.5 | |
| | 1,204 | |
| | 1,051 | |
| | 75.1 | |
| | 0.33 | |
| | 24.22 | |
1 Adjusted for items affecting comparability 2018 and earlier 2019 EBIT boosted by a capital gain of SEK 2.6 million.
2 Previous year's basic and diluted earnings per share have been recalculated based on share issues implemented in 2018.
3 2018 and rolling 12 months not restated for IFRS 16.
PROJEK TENGAGEMANG INTERIM REPORT JANUARY–MARCH 2019
Notes
–
NOTE 1 Acquisitions
The acquisition of Mats & Arne Arkitektkontor AB was concluded in the first quarter. The company was consolidated as of 1 February 2019 and has contributed revenue of roughly SEK 4.3 million. An adjustment of the acquisition analysis for the acquisition of PreCendo has been made in the amount of SEK 1 million due to excess liquidity in the company. Transaction expenses for the period totalled SEK 1.5 million (0.4) and are included in the earnings item 'Other external expenses'.
Acquisition analysis Jan–Mar 2019
| Goodwill and other intangible assets 13.7 1.0 Other non-current assets 3.1 – Current receivables 4.9 – Cash and cash equivalents 3.1 – Current and non-current liabilities –7.0 – | 14.7 |
|---|---|
| | 3.1 |
| | 4.9 |
| | 3.1 |
| | –7.0 |
| Purchase considerations 17.8 1.0 Unpaid purchase considerations 0.0 – Cash and cash equivalents in the acquired company 3.1 – | 18.8 |
| | – |
| | 3.1 |
| Purchase considerations paid incl. cash funds 14.6 1.0 | 15.6 |
Acquisition-related items
| EBITA Amortisation of acquisition-related non-current intangible assets Reversed contingent consideration Acquisition-related capital gain from sale of non-current asset | 13.6 | 29.7 70.8 54.7 –0.9 –3.7 –5.6 0.0 7.1 7.1 – – 2.6 |
|---|---|---|
| | –2.8 | |
| | – | |
| | 2.6 | |
| Acquisition-related items | –0.2 | –1.0 3.3 4.0 |
PROJEK TENGAGEMANG INTERIM REPORT JANUARY–MARCH 2019
NOTE 2 Financial instruments by category
The fair value of the Group's financial instruments is established via market valuation, e.g. recently completed transactions, the price of similar instruments and discounted cash flows. When there is no reliable data available for fair value measurement, financial instruments are recognised at cost (Level 3). There were no transfers between any of the levels during the period.
No financial instruments have been classified at level 2. Carrying amount is deemed to represent a reasonable estimate of the fair value of all financial assets and liabilities. The financial assets and liabilities are assigned to valuation categories 2 and 3.
31 March 2019
31 March 2018
Financial assets and financial liabilities measured at fair value in the balance sheet, or where disclosures are submitted regarding fair value, are classified according to one of three levels based on the information used to establish the fair value. No transfers have occurred between these levels in 2019 or 2018.
Level 1
Financial instruments for which fair value is established based on observable (unadjusted) quoted prices in active markets for identical assets and liabilities. A market is considered active if quoted prices from a stock market, broker, industrial group, pricing service or supervisory authority are easily and regularly available, and such prices represent actual and regularly occurring arm's-length market transactions.
Level 2
Financial instruments for which fair value is established according to valuation models based on observable data for the asset or liability other than quoted prices included in Level 1, either directly (i.e. as quoted prices) or indirectly (i.e. derived from quoted prices). Examples of observable data under Level 2 are:
* Quoted prices for similar assets and liabilities.
* Data that may constitute grounds for assessing price, e.g. market rates and yield curves.
Level 3
Financial instruments for which fair value is established according to valuation models in which material inputs are based on unobservable data. No significant transfers between the levels have occurred during the periods. For other financial assets and financial liabilities, the recognised values are in all material respects deemed to correspond to the fair values. Recognised purchase considerations and financial investments are valued based on future earnings forecasts.
PROJEK TENGAGEMANG INTERIM REPORT JANUARY–MARCH 2019
Deferred tax assets/tax liabilities
The interim report's balance sheet is aggregated. Deferred tax assets are therefore netted against deferred tax liabilities. In order to illustrate the impact of such netting on the balance sheet, the table below shows how the various components affect the deferred tax asset and deferred tax liability.
Deferred tax effect
| Deferred tax assets Loss carry-forwards Current assets | | 15.0 0.8 |
|---|---|---|
| | 7.8 | |
| | 10.1 | |
| Total deferred tax assets Deferred tax liabilities Untaxed reserves Current assets | 17.9 | 15.9 3.6 30.5 |
| | 20.1 | |
| | 28.4 | |
| Total deferred tax liabilities | 48.5 | 34.1 |
| Net deferred tax liabilities | –30.6 | –18.3 |
NOTE 4 Revenue breakdown
Projektengagemang's revenue comprises one type of income relating to delivery of assignments to customers. Revenue is broken down based on the company's technical areas, which are separated into the divisions into which Projektengagemang is segmented. For further information regarding the Group's revenue recognition, please refer to the accounting policies detailed in the 2018 Annual Report.
3 months
12 months
| Net revenue Architecture Project Management | | 49.6 188.9 190.8 46.0 199.9 205.6 |
|---|---|---|
| | 51.5 | |
| | 51.7 | |
| Architecture & Management Building Infrastructure | 103.2 | 95.6 388.8 396.4 49.0 178.7 227.4 17.0 71.5 72.8 |
| | 97.7 | |
| | 18.3 | |
| Civil Engineering & Infrastructure | 116.1 | 66.0 250.2 300.2 |
| Industry & Energy Electrical, Telecommunications & Safety HVAC | 33.7 | 45.2 179.9 168.4 74.9 313.3 325.9 36.6 132.1 130.3 |
| | 87.5 | |
| | 34.8 | |
| Systems Internal eliminations | 122.3 | 111.5 445.3 456.1 –11.3 –40.4 –34.0 |
| | –4.9 | |
| Total | 370.4 | 307.1 1,223.8 1,287.2 |
PROJEK TENGAGEMANG INTERIM REPORT JANUARY–MARCH 2019
NOTE 5 Impact of IFRS 16
Income statement
Balance sheet
| Non-current assets 697.4 154.7 Current assets 408.5 –12.9 Cash and cash equivalents including short-term investments 71.7 | 852.1 |
|---|---|
| | 395.6 |
| | 71.7 |
| TOTAL ASSETS 1,177.6 141.8 Equity 595.7 Non-current liabilities 252.7 85.3 Current liabilities 298.6 56.5 Deferred tax liabilities 30.6 | 1,319.4 |
| | 595.7 |
| | 338.0 |
| | 355.1 |
| | 30.6 |
Cash flow
| Profti/loss after fniancial items 10.4 Adjustments for non-cash items 7.6 15.2 Tax paid –0.5 | 10.4 |
|---|---|
| | 22.8 |
| | –0.5 |
| Cash folw before changes in working capital 17.5 15.2 Change in working capital –47.0 | 32.7 |
| | –47.0 |
| Cash folw from operating activities –29.5 15.2 | –14.3 |
| Cash folw from investing activities –19.5 | –19.5 |
| Cash folw from fniancing activities 11.2 –15.2 | –4.0 |
PROJEK TENGAGEMANG INTERIM REPORT JANUARY–MARCH 2019
Key performance indicators, definitions –
This report contains financial measures that are not defined in IFRS. These financial measures are used to monitor, analyse and direct operations and to supply the Group's stakeholders with information about the Group's financial position, earnings and performance. These financial measures are considered to be necessary to be able to monitor and direct the development of the Group's financial targets and it is therefore relevant to publish them regularly. Below is a list of definitions of the key performance indicators used in this report.
Net revenue
Net revenue corresponds to invoicing of current projects
Order intake
The value of projects taken on and changes to existing projects during the current period
R12
Rolling 12 months
Interest coverage ratio
Profit/loss after financial items plus finance costs divided by finance costs
Leverage
Net receivables (-)/debt divided by EBITDA, rolling 12 months
Debt/equity ratio
Net receivables (-)/debt divided by equity
Equity/assets ratio
Total equity as a percentage of total assets
Capital employed
Total assets less non-interest-bearing liabilities including deferred tax liabilities. Average capital employed is calculated as the average of values at 1 January and 31 December
Margins
Operating margin
Operating profit/loss as a percentage of net revenue
EBITA margin
EBITA as a percentage of net revenue
Profit margin
Profit/loss after financial items as a percentage of net revenue for the period
Other key performance indicators
Number of employees
Total number of employees, all forms of employment, at end of period
Chargeability
Time charged to customer in relation to total attendance
Average number of FTEs
Average number of employees during the year recalculated to full-time equivalents. The actual number of employees is higher due to part-time positions, and the fact that some employees only work for part of the year
Calendar effect
Average number of employees for the period multiplied by the difference in the number of available working days during the period, multiplied by average revenue/employee
Average interest
Nominal interest weighted according to outstanding interestbearing liabilities at the balance sheet date
PROJEK TENGAGEMANG INTERIM REPORT JANUARY–MARCH 2019
Share-based measures
Earnings per share
Profit/loss for the year attributable to shareholders divided by a weighted average of the number of shares during the year
Performance figures
Return on equity
Profit/loss for the year according to income statement excluding minority's share, as a percentage of average equity
Return on capital employed
Profit/loss after net financial items, including earnings from participations in associates with reversal of interest expenses, as a percentage of average capital employed
Return on total capital
Profit/loss after net financial items, including earnings from participations in associates plus finance costs, as a percentage of average total assets
Financial measures
Acquisition-related items
Defined as depreciation/amortisation and impairment of goodwill and acquisition-related intangible assets, revaluation of contingent considerations and gains and losses from divestments of companies, operations, land and buildings
Average period of fixed interest
Period of fixed interest weighted according to outstanding interest-bearing liabilities
Average equity
Average amount of recognised equity at 1 January and 31 December
EBITA
Operating profit/loss excluding acquisition-related items
Adjusted earnings
Operating profit/loss adjusted for items affecting comparability
Items affecting comparability
Items relating to terminated operations, acquisition and integration expenses and IPO expenses
Asset turnover
Net revenue divided by average capital employed
Net receivables (-)/debt
Interest-bearing liabilities less financial assets including cash and cash equivalents
Calculations of financial performance measures not defined according to IFRS
Some of the descriptions and analyses presented in this interim report include alternative performance measures that are not defined by IFRS. The company is of the opinion that this information, in combination with comparable defined IFRS measures, is useful for investors, as it provides a basis for measuring operating earnings and the ability to repay liabilities and invest in the business. Company management uses these financial measures, together with the most directly comparable financial measures according to IFRS, when evaluating operating earnings and value creation. These alternative performance measures should not be considered in isolation from, or as a substitute for financial information published in the financial statements in accordance with IFRS. The alternative performance measures that are reported do not necessarily need to be comparable with similar measures published by other companies. Reconciliations are presented in the tables below.
| Non-current, interest-bearing liabilities Current, interest-bearing liabilities Cash and cash equivalents including short-term investments | 324.5 | 158.0 251.2 324.5 97.2 66.7 143.6 –7.8 –110.1 –72.4 |
|---|---|---|
| | 143.6 | |
| | –72.4 | |
| Net receivables (-)/debt Net receivables (-)/debt EBITDA, rolling 12 months | 395.7 | 247.4 207.8 395.7 247.4 207.8 395.7 88.6 89.6 88.6 |
| | 395.7 | |
| | 88.6 | |
| Leverage Operating profti/loss, EBIT Net revenue | 4.5 | 2.8 2.3 4.5 28.8 74.2 58.8 307.1 1,223.8 1,287.2 |
| | 13.4 | |
| | 370.4 | |
| Operating margin EBIT, % Operating profti/loss, EBIT (adjusted earnings) Net revenue | 3.6 | 9.4 6.1 4.6 31.1 76.7 56.4 307.1 1,223.8 1,287.2 |
| | 10.8 | |
| | 370.4 | |
| Adjusted operating margin EBIT, % Operating profti/loss, EBIT Acquisition-related items EBITA Net revenue | 2.9 | 10.1 6.3 4.4 28.8 74.2 58.8 –0.9 3.4 4.1 29.7 70.8 54.7 307.1 1,223.8 1,287.2 |
| | 13.4 | |
| | –0.1 | |
| | 13.6 | |
| | 370.4 | |
| EBITA margin, % Operating profti/loss, EBIT (adjusted earnings) Acquisition-related items EBITA (adjusted earnings) Net revenue | 3.7 | 9.7 5.8 4.2 31.1 76.7 56.4 –0.9 3.4 4.1 32.0 80.4 62.0 307.1 1,223.8 1,287.2 |
| | 10.8 | |
| | –0.1 | |
| | 13.6 | |
| | 370.4 | |
| Adjusted EBITA margin, % Operating profti/loss, EBIT Depreciation/amortisation Profti/loss before depreciation/amortisation, EBITDA Net revenue | 3.7 | 10.4 6.6 4.8 28.8 74.2 58.8 4.9 15.4 29.8 34.6 89.6 88.6 307.1 1,223.8 1,287.2 |
| | 13.4 | |
| | 20.2 | |
| | 33.6 | |
| | 370.4 | |
| EBITDA margin, % Operating profti/loss, EBIT (adjusted earnings) Depreciation/amortisation Profti/loss before depreciation/amortisation, EBITDA (adjusted earnings) Net revenue | 9.1 | 11.3 7.3 6.9 31.1 76.7 56.4 2.2 15.4 29.8 36.9 99.2 95.9 307.1 1,223.8 1,287.2 |
| | 10.8 | |
| | 20.2 | |
| | 33.6 | |
| | 370.4 | |
| Adjusted EBITDA margin, % | 9.1 | 12.0 8.1 7.4 |
PROJEK TENGAGEMANG INTERIM REPORT JANUARY–MARCH 2019
Adjusted operating profit/loss EBIT and EBITA for items affecting comparability
Company management is of the opinion that the operating performance measures EBIT and EBITA, adjusted for acquisition expenses and integration expenses associated with significant acquisitions, together with listing-related costs provide useful information allowing investors to monitor and analyse the underlying earnings performance of the business, and create comparable performance measures between different periods.
During the January to March 2018 period, earnings were negatively impacted by a total of SEK 2.3 million in items affecting comparability. These costs consist entirely of consulting expenses associated with the company's IPO. In the first quarter of 2019, earnings were affected positively by a capital gain from the sale of non-current assets, in the amount of SEK 2.6 million.
| EBITA Terminated operations Acquisition and integration expenses IPO expenses | 13.6 | 29.7 70.8 54.7 – – 0.9 – – 19.5 2.3 9.6 8.3 |
|---|---|---|
| | – | |
| | – | |
| | – | |
| EBITA items afefcting comparability | 0.0 | 2.3 9.6 28.7 |
| Operating profti/loss, EBIT EBITA items afefcting comparability Reversed contingent consideration | 13.4 | 28.8 74.2 58.8 2.3 9.6 28.7 0.0 –7.1 –7.1 |
|---|---|---|
| | 0 | |
| | 0 | |
| Items afefcting comparability EBIT | 0 | 2.3 2.5 21.6 |
| Adjusted EBIT | 13.4 | 31.1 76.7 80.4 |
Net revenue growth
For clarification of net revenue growth, Projektengagemang attributes growth partly to acquired growth and organic growth, and partly to the calendar effect. There was no calendar effect in the quarter.
Contact details
Financial calendar
CEO Per Hedebäck,+46 (0)10 516 00 00, firstname.lastname@example.org
CFO Peter Sandberg,+46 (0)10 516 03 67, email@example.com
IRO Krister Lindgren,+46 (0)72 715 06 50, firstname.lastname@example.org
2019 Annual General Meeting
Interim report April–June 2019
Interim report July–September 2019
21 May 2019
19 July 2019
8 November 2019
Year-end report 2019
21 February 2020
26
PROJEK TENGAGEMANG INTERIM REPORT JANUARY–MARCH 2019
Headquarters
www.projektengagemang.se
Årstaängsvägen 11 100 74 Stockholm, Sweden
Projektengagemang Sweden AB (publ) Company reg. no 556330-2602
Questions regarding this report can be sent to email@example.com
PE is a consulting group within engineering and architecture. PE comprises over one thousand architects, engineers, project managers and specialists who identify opportunities, develop concepts and face challenges. PE is represented in more than 35 locations and delivers solutions that work here and now, and for future generations. Find out more at pe.se.
|
research-article
817943 research-article2018
HEA0010.1177/1363459318817943HealthBullo
Article
"I feel like I'm being stabbed by a thousand tiny men": The challenges of communicating endometriosis pain
Stella Bullo
Manchester Metropolitan University, UK
Abstract
Endometriosis, as a widespread gynecological condition, affects an estimated 1 in 10 women and yet has a worldwide average diagnosis length of 7.5 years. Causing incapacitating pain, among other associated manifestations, the condition severely impacts on women's lives. This article uses online survey data to investigate how prediagnosis endometriosis pain is conceptualized and articulated in order to explore communication challenges reported in early consultations that can potentially be seen to play a role in diagnosis delay. The findings of this study indicate that women feel that they do not have the appropriate tools to describe their pain and, in many instances, feel dismissed therefore prolonging diagnosis. The article finds that the majority of the pain descriptors identified use elaborate metaphorical scenarios to convey the intensity of the pain and concludes with some reflections on the issue of metaphorical language in endometriosis pain communication practices while calling for interdisciplinary work in order to devise appropriate tools for endometriosis pain communication.
Keywords
conceptual metaphor, endometriosis, health communication, pain
Introduction
Endometriosis is a gynecological condition whereby tissue resembling, and reacting like, the lining of the womb (endometrium) grows in other areas of the body. During menstrual cycles, blood is trapped inside instead of leaving the body (Endometriosis-UK,
Corresponding author:
Stella Bullo, Manchester Metropolitan University, Geoffrey Manton Building, Rosamond Street West,
Email: firstname.lastname@example.org
Health https://doi.org/10.1177/1363459318817943 2020, Vol. 24(5) 476–492 © The Author(s) 2018 Article reuse guidelines: sagepub.com/journals-permissions DOI: 10.1177/1363459318817943 journals.sagepub.com/home/hea
n.d.). This may lead to the formation of cysts, scars, adhesions, and so on and may cause a multiplicity of as yet not fully documented physical and emotional consequences.
Despite its high rate of occurrence, affecting 1 in 10 women, the average length of time worldwide from onset of symptoms to a diagnosis of endometriosis is 7.5 years (Endometriosis-UK, n.d.). It is primarily diagnosed when exploring infertility rather than complaints about severe pain and other associated manifestations (Arruda et al., 2003). There are a number of assumptions as to the reason for the diagnosis delay. The invisibility of the condition does not allow for the detection of damage in straightforward and non-invasive investigations but rather requires more invasive surgical procedures such as laparoscopic surgery (Hsu et al., 2010), with all the associated implications thereof. Given that endometriosis symptoms are mostly, but not exclusively, associated with women's menstrual cycles, when some degree of pain is expected, it is not infrequent to find healthcare practitioners that dismiss and normalize pain as part of the female condition (Bullo, 2018; Seear, 2009). This dismissal and normalization of pain may therefore prolong referrals for diagnostic treatments (cf. section "The challenges of communicating endometriosis pain" for further discussion of this issue).
Among an array of symptoms, endometriosis is very frequently characterized by producing life-altering pain in women who suffer from it, which severely restricts their lives (Culley et al., 2013: 635). Endometriosis pain presents characteristics of the two pain types outlined by the International Association for the Study of Pain (IASP) (1994). The first, known as nociceptive pain, is caused by damage to body tissue (e.g. bone fracture) whereby nociceptive nerves sense and respond to parts of the body that suffer from damage. This type of pain is usually limited and lasts until the damaged tissue heals. This type of pain is linked to pain experienced during inflammations. The second type of pain outlined by the IASP is known as neuropathic pain and it occurs when there is nerve damage caused by a primary lesion or dysfunction in the nervous system, such as poststroke pain, low back pain, and other types of chronic pain (Nicholson, 2006). Endometriosis pain, when diagnosed, can be subdivided into cyclical (i.e. menstrual), non-cyclical, or chronic pelvic pain and functional pain, that is, pain during sexual intercourse, urination, and so on (Bourdel et al., 2015). Therefore, both neuropathic and nociceptive elements are relevant (Howard, 2009), as mentioned above. Further evidence points to the complexity of endometriosis pain and suggests that pain perception can be affected by stress, hormonal cycles, pain coping strategies, and so on (Morotti et al., 2016). The latter study also suggests that, given the challenges posed by the nature of the condition and the complexity of the types of pain it causes, the endometriosis pain experience should be assessed holistically. That is, practitioners should measure not only its severity but also the quality of the pain achieved through descriptors that may reflect underlying pain mechanisms (e.g. burning, stabbing, twisting, etc.), as well as the degree to which it affects quality of life. Some medical studies by endometriosis specialists (e.g. Bourdel et al., 2015) have outlined endometriosis pain assessment tools that map pain patterns to types of endometriosis pain and therefore provide a means to assess response to treatments. Such tools, however, tend to be used by specialists once women have been diagnosed with endometriosis in order to inform treatment. This means that pain complaints prior to diagnosis are not always systematically and holistically assessed, as advised by Morotti et al. (2016), nor necessarily granted the attention they deserve given their association with the natural menstrual cycle (Seear, 2009). These findings also hint at issues of communication potentially being at stake during early medical interactions.
In this article, I use online survey data to explore the challenges found by women when trying to make sense of, and communicate, pain in order to achieve a diagnosis. I argue that a deeper understanding of the language used in pain communication may have positive implications for pain communication practices and potentially make a contribution toward tackling the alarming endometriosis diagnosis delay issue.
The challenges of communicating endometriosis pain
The communication of pain and its challenges is an issue widely addressed in the health communication literature (e.g. Lascaratou, 2007), as are reports of patients being disbelieved when communicating pain in general (e.g. Kugelmann, 1999). Endometriosis (and, in particular, undiagnosed endometriosis) is no exception. Recent findings (Bullo, 2018) have identified a worrying trend in women, who were later (in some cases, decades later) diagnosed with endometriosis, reporting being dismissed, disbelieved, or even misdiagnosed when complaining about menstrual-related pain in early medical consultations.
The issue of the delegitimization of women's pain in medical encounters has been broadly addressed by feminist literature. Malterud (1992), for example, found that issues of communication affected the description of symptoms by women, resulting in illnesses being deemed undefined. The author concludes that gender asymmetries played an important part in the doctor–patient relationship affecting the communication of health complaints and, therefore, the diagnosis. Kaler (2005) reports on a study of dyspareunia, that is, pain during sexual intercourse, where 34 percent of participating women had been told that their problems were of a psychological nature. In fact, dyspareunia falls within the third type of endometriosis pain (i.e. functional pain) mentioned in the introduction to this article. Kaler (2005) warns that many pain-characterized conditions affecting women, among which endometriosis is listed, have traditionally been "ascribed to psychological problems" (p. 35). Echoing Kaler's findings, Barker (2005) discusses the power of the medical establishment in his or her study on people with fibromyalgia, concluding that, in cases of undefined illnesses, the biomedical failure to provide a diagnosis to symptoms results in the assumption that there are no physical health issues. Instead, symptoms are dismissed as psychological issues. Contrariwise, Barker (2005) sustains that the biomedical establishment provides a rite of passage in cases where doctors are successful in providing patients with the name to their symptoms. This was also acknowledged in Kaler's (2005) data where the author reported on women being happy with a diagnosis, no matter how serious or critical it was. Along these lines, Bullo (2018) found that women who eventually achieved a diagnosis for endometriosis, after years or even decades of struggle with disbelief over the severity of their symptoms, saw the act of achieving a diagnosis as metaphorically winning a war. Similarly, Greenhalgh (2001), in her journey through a misdiagnosis of fibromyalgia that had severe consequences for her physical and mental health, addresses the methods by which diseases come to be constructed by doctors, the discourses of objectification of the ailed body, the dismissal of symptoms that cannot be quantified, and the dynamics of the doctor–patient relationship. Greenhalgh (2001) discusses the influence of power in doctor–patient dynamics and how this may hinder communication, and argues that each of those aspects constitutes constraints of biomedical systems to cater for patients with undefined chronic illnesses.
A very interesting and appropriate notion put forward by Overend (2014) in regards to undefined illnesses, and how they affect sufferers, is that of a "ghost." Overend (2014) argues that, due to the "empirical truths" that modern medicine searches for, illnesses with unclear pathologies become ghosts that haunt both the body of the sufferer and the biomedical practice (p. 63). The ghosts of such illnesses "call(s) into question the limits of modern biomedicine" (Overend, 2014: 64) not only by virtue of the missing "empirical diagnosis" (p. 70) but also by "the ability to account" and, I add, recount "for all those illness experiences that fall outside biomedicine approaches to the sign, symptom and pathology of illness" (p. 63).
The notion of a ghost haunting the body is very relevant to endometriosis given that the disease possesses some of the characteristics of the “ghost” outlined by Overend (2014).
The invisibility and lack of defined locality of endometriosis may pose a challenge to the "knowledge frames of biomedicine" (Overend, 2014: 75) when trying to understand the mechanisms of the pain being described by patients when such accounts do not comply with expected approaches to illness, pain in particular, and to symptoms recall. This would explain the frequent cases of misdiagnosis of endometriosis pain (e.g. as urinary tract infections (UTIs), sexually transmitted diseases (STDs), etc.) found by previous studies (Bullo, 2018; Seear, 2009), where endometriosis becomes a suspect illness by a process of elimination before women are granted access to diagnostic treatments, therefore prolonging delays.
When it comes to the actual accounts of pain by patients, the pain-related literature invariably addresses the issue of the subjectivity of the pain experience and the difficulty in communicating pain (e.g. Schott, 2004), including endometriosis pain (e.g. Whelan, 2003). The IASP (1994) advises that "the inability to communicate verbally does not negate the possibility that an individual is experiencing pain … pain is always subjective." Schott (2004) points to the paradox that "attempts to truly describe pain indeed appear as difficult as they are frustrating, yet the need to communicate is overwhelming" (p. 210). Schott (2004) also discusses that the invisibility and unfamiliarity of sensations caused by different types of pain have an impact on the ability to communicate pain. Nociceptive pain, being largely visible and familiar, as most people have experienced burns, cuts, and so on, can be conveyed without much difficulty. In contrast, chronic and/or neuropathic pain are more "removed from most people's experience" (Schott, 2004: 209), which therefore poses a challenge when it comes to describing and qualifying these types of pain. There are normally no visible signs of physical damage that can indicate explicitly the mechanism of chronic and/or neuropathic pain. Pain therefore becomes almost a ghost that haunts the body (Overend, 2014). Given the lack of physical visibility of pain with these characteristics, sufferers are forced to rely on language tools to externalize their internal experience (Lascaratou, 2007). The experience of pain, however, may not only exceed physical boundaries but may also make sufferers step into imaginative linguistic frameworks, leading to a reliance on imagery (e.g. Gosden et al., 2014) and/or metaphorical language (e.g. Schott, 2004) to communicate internal pain experience/s. In fact, the IASP's (1994) definition of pain hints at the subjectivity of the phenomenon as "an unpleasant sensory and emotional experience associated with actual or potential tissue damage, or described in terms of such damage."
The boundary between real and imaginary, the sensory and the emotional, then becomes a challenge for successful pain communication to take place when metaphorical language is used. By communication, I mean not only the mere act of women describing their pain experience but also the interpretation of the message by doctors in a communicative situation where codes and contextual and socio-interactional elements regulate, and constrain, the interaction, hence potentially confounding successful communication (Jacobson, 1960). The locus of effective communication via co-construction, in Jacobson's (1960) terms, sits in the liminal space between the recognition and use of a shared set of common principles for accessing and collaboratively co-constructing meaning via a shared code. The challenges faced when communicating endometriosis pain are worth investigating given that a mismatch in assumptions where nuance of code, that is, metaphorical language, is being used, exacerbated by the increasing potential for being unable to decode metaphor usages in pain descriptors outside the expected frames of knowledge (Overend, 2014), can then give rise to miscommunication, potentially resulting in less than adequate or appropriate care. This may, in turn, affect whether sufferers are referred for diagnostic treatment in a timely fashion.
Conceptual metaphor theory and pain
Building on the IASP's (1994) definition of pain, outlined above, that discusses the description of the phenomenon in terms of tissue damage [my emphasis], Semino (2010) points out that many pain descriptors are used metaphorically "when they convey pain experiences that do not directly result from physical damage"—for example, the use of the metaphor "stabbing" pain to refer to, say, migraine pain (p. 205).
The description of a perceived subjective or abstract concept in terms of another is the realm of conceptual metaphor theory (CMT) in cognitive linguistics. In CMT, an abstract entity, or conceptual domain, such as "love" (i.e. target domain) is understood or described in terms of another, more familiar and embodied, sensation such as "journey" (i.e. source domain). This is manifested in metaphorical expressions such as "it's been a bumpy road for our relationship," which demonstrates that the abstract notion of love is understood as a journey. Therefore, "love is a journey," as a conceptual metaphor, is a way of thinking that is manifested linguistically in expressions that contain linguistic metaphors such as "to be on a bumpy road" or "to be at a crossroads" when referring to a relationship (Lakoff and Johnson, 1980).
A parallel concept to metaphor, usually in place in descriptions of pain, is that of simile. Semino (2008) defines simile as "an explicit statement of comparison between two different things, conveyed through the use of expressions such as 'like', 'as', 'as if' and so on" (p. 16). An example of simile in the description of endometriosis pain is "[it] feels as if I am being stabbed by a long, sharp knife." Similes are metaphors in that they compare one concept in terms of another. However, similes use explicit comparative devices (e.g. "like"), which could be indicative of a more purposeful choice than the understanding of one concept in terms of the other, as in the case of conventionalized metaphors.
When referring to metaphors or similes used to describe pain, Semino (2010) points out that neuropathic or chronic pain can be seen as a target domain given its abstract nature, which makes it difficult to explain using concrete and literal language. Pain, however, is also an embodied experience when it occurs in its nociceptive form as a direct result of tissue damage, as in the case of a broken leg discussed above or in the case of, say, a stab or a burn, as also pointed out by Schott (2004) discussed above. Semino (2010) argues that, in cases of neuropathic or chronic pain, pain caused by physical damage becomes a source domain (i.e. a more concrete or embodied experience) and is hence used to explain the more abstract neuropathic or chronic pain. This can be seen, for example, in the case of the description of migraine pain (neuropathic) as "stabbing," which, when used literally, refers to nociceptive pain. Therefore, she argues that "different types of pain (.) are often conveyed via expressions that evoke different kinds of (causes of) physical damage" and adds that "this tendency may be explained as an attempt to enable others to experience something akin to the sufferer's own sensations" (Semino, 2010: 207). This view also hints at the importance of the interlocutor in understanding the embodied experience of physical damage and therefore acknowledges the need for a shared code to be at interplay in the co-construction of meaning, as put forward by Jacobson (1960) addressed above.
Semino (2010: 210) categorized over 70 one-word pain descriptors found in the standard McGill Pain Questionnaire along with a sample of collocates of the word pain in the British National Corpus of English 1 and found that more than a third of the descriptors and collocates fell under the causes of physical damage source domain. From this, she derived a taxonomy for the classification of metaphorical expressions used to talk about pain that evoke different kinds of physical damage. In other words, metaphors for physical damage are used to talk about pain that is not caused by such damage but by some form of tissue damage (normally nociceptive pain), which is difficult to describe in terms other than metaphorical expressions. Among these, we find physical damage caused by (1) "insertion of pointed objects" (e.g. drilling), (2) "application of sharp objects" (e.g. stabbing), (3) "pulling or tearing" (e.g. wrenching), (4) "a malevolent animate agent" (e.g. torturing), (5) "extreme temperature" (e.g. searing), and so on.
In this article, I pose that endometriosis pain, given its abstract, invisible, and unfamiliar character, is normally described in metaphorical ways. I use Semino's taxonomy as superordinate metaphors and codify manifestations of these metaphors in the form of linguistic metaphors as well as similes in the qualitative data used for this study. So, for example, the conceptual metaphor pain as physical damage is manifested in the data in the expression "stabbing pain" as well as in the simile "[it] feels as if I am being stabbed by a long, sharp knife."
Data and methods
In this article, I explore endometriosis pain communication challenges by investigating (1) what challenges are associated with pre-diagnosis endometriosis pain communication during early medical interactions and (2) how endometriosis pain is conceptualized and communicated. The article also addresses the implications of a linguistic approach for endometriosis pain communication practices in early consultation stages to potentially contribute toward tackling the lengthy diagnosis delay.
Table 1.Pain communication by average diagnosis delay.
A mixed-method Internet-based pain communication questionnaire was devised. The first part of the questionnaire aimed to establish whether the women sampled found it challenging to communicate pain in early consultations and whether a link between such challenges and diagnosis delay could be seen in the data, which may therefore corroborate qualitative findings of earlier studies hinting at this link, as mentioned above (e.g. Bullo, 2018; Seear, 2009). The questions asked at this stage enquired about the diagnosis length of the participants, whether they experienced difficulties communicating pain to doctors during consultations, whether they felt disbelieved about the severity of their pain, and whether they considered that tools for pain description would be of help during consultations. The main part of the questionnaire had open-ended questions that asked participants to describe how their pain feels and what they considered doctors could do to help them overcome the challenges of endometriosis-related pain communication.
The questionnaire was distributed via The Language of Endometriosis' social media platforms. 2 Participants were UK- and Ireland-based followers of our social media platforms. The Language of Endometriosis has 535 Twitter followers and 260 Facebook followers. A total of 150 responses were returned; 131 responses answering all questions were used for analysis.
The responses to the first part of the questionnaire were analyzed using basic descriptive statistical tools (cf. Table 1). Answers to the second part were coded in relation to the metaphorical meaning of pain descriptors (cf. Table 2) and also categorized thematically (cf. Table 3) by area of communication challenges identified.
In order to identify metaphors systematically, I deployed the renowned metaphor identification procedure (MIP) designed by the Pragglejaz Group (2007). This consists of establishing a contrast between the contextual meaning of an expression (e.g. stabbing pain) with the basic meaning (e.g. stab (v) to injure someone with a sharp pointed object such as a knife (Cambridge Dictionary online, 2018)). In cases of a mismatch or contrast between the contextual and the basic meaning, the metaphorical meaning is derived. Following this, using an adapted version of Semino's (2010) taxonomy outlined above, I categorized the metaphorical pain descriptors identified according to the pain as physical damage superordinate metaphor. For example, I look at "stabbing pain" as a metaphorical expression that constitutes a direct linguistic manifestation of the pain as physical damage superordinate metaphor and the "pain via the insertion of sharp objects" subtype. In the case of similes, I also look at the full descriptive extract as a linguistic manifestation of such superordinate metaphor manifested as similes (i.e. signaled by "like" or "as if"), for example, "I feel like I am being stabbed with a sharp knife."
Table 2.Metaphors for pain and illustration.
Emerging patterns of pain mis/communication
The findings below present the positive and the negative responses to the background questions asked in the first part of the survey which aim to provide a quantitative context to the areas of perceived miscommunication explored qualitatively below. Percentages of respondents are given next to the number of responses. These have been cross-referenced with the average diagnosis length for all participants for further information.
Table 3.Areas for improvement identified.
The data presented show that a high percentage of women claim to have experienced difficulties describing pain during pre-diagnosis medical interactions (85%), to feel disbelieved as a consequence of such difficulty (89%), and that tools for pain description would have been of help during consultations (84%). The data also indicate that diagnosis delay in women who claimed such challenges was higher than those who responded negatively.
It is worth pointing out that, given the size of the sample, these findings cannot be taken as representative of the general experience of women with endometriosis. Further studies with a larger sample would be required to be able to make generalizations and to ascertain a more reliable connection between pain description and diagnosis delay. It is also important to note that this study does not claim that the challenges reported are necessarily directly responsible for the 2-year difference in the diagnosis delay identified between women whose response was positive and those whose response was negative. That is beyond the remits of this study. Even if the sample had been larger, it would still be problematic to make such claims without further ethnographic study perhaps documenting actual consultations and their interactional characteristics. Further to this, some researchers may not consider a 2-year difference in diagnosis delay significant enough so as to grant importance to the issues of pain communication I raise in this article. However, it is worth remembering that an additional 2 years of undiagnosed incapacitating pain can represent life-altering differences to women who live with this condition, let alone the difference that an additional 2-year period can make to other associated endometriosis issues, such as fertility. Therefore, the gap is still worth considering, even if only as contextual information in this exploratory phase as background to the qualitative analysis that follows, which is the main purpose of this study aiming to establish the causes for the difficulty in describing pain (as established by 85% of the women surveyed) and the perceived disbelief of the pain severity (as agreed by 89% of the women surveyed) that can be seen as confounding successful communication. Establishing the reasons for this impediment by exploring the ways in which pain is conceptualized and articulated can potentially shed some light on how and why the reported miscommunication happens and how a linguistic approach can help address this issue of delayed diagnosis.
Ways of conceptualizing and articulating pain elicited
In this section, I present an analysis of the descriptions of endometriosis-related pain, as outlined by participants who were diagnosed with endometriosis an average of 8.6 years after first consulting doctors for menstruation-related pain. All 131 responses were collated and analyzed using the MIP procedure outlined above. The data collated indicate that the majority of pain descriptions are metaphorical in nature, deploying either expressions containing metaphors or similes. The metaphorical expressions fall under three categories: (1) pain as physical damage; (2) pain as physical properties of elements; (3) pain as a transformative force.
These are explained below with illustrative examples from the data presented in Table 3. The majority of expressions used to talk about pain found in the data describe the quality of pain in relation to physical damage that would result from an external object being used to inflict such damage (Semino, 2010), as in example (a) in Table 2. In many cases, by means of similes, pain is personified as a malevolent agent inflicting pain by performing actions that cause physical damage (b, and also the quote in the title of this article) or using objects to cause such damage (c, d).
A high number of descriptors that at the basic level of meaning relate to physical properties of objects are used to refer to pain. Some researchers (e.g. Deignan et al., 2013) argue that these metaphors can be seen as linked to the physical damage metaphor, given that such properties have the potential to cause harm. In the examples in the table (e, f), pain is described in terms of volume (e), pressure (e), weight (e), and high temperature (f), which helps impart a measure not only of the quality of the pain but also of its intensity by virtue of the dramatic sense of vulnerability and impending danger they convey.
Finally, pain is also seen as a transformative force or process whereby women perceive themselves as shifting into a different location, state, or entity. In (g) and (h), directional and container metaphors ("beyond," "outside") are deployed to create a contrast between humanity as a location and emphasize the perceived abnormality of the pain. The self is a metaphorical model generally used "to conceptualize normal self-control by the subject and lack of it" (Lakoff, 1996: 110). Bounded regions are therefore seen as containers. In episodes of pain, women perceive their location as outside or away from the bounded region and hence lacking in self-control, normality (Lakoff, 1996), or even humanity. Similarly, in (h), pain is made akin to an external force, possibly a malevolent being echoing previous metaphors, which takes control of the self, which thereby conveys the lack of agency felt by the woman during episodes of pain.
The data extracts in the table also illustrate Overend's (2014) notion of haunting; the conceptualizations of pain outlined make endometriosis "a haunting trace of the barely visible" (a–f) and "a possessive force consuming the body it inhabits" (g, h), without physical trace of symptoms nor familiar or expected ways of describing them (p. 63). As such, endometriosis pain becomes "a specter of death haunting positivist ideals of bodily certainty" (m-o; r below) that, in its lack of visibility and defined location, challenges the standard diagnostic methods (Overend, 2014: 63) in consultations and ways of communicating symptoms.
Further endometriosis pain communication challenges identified
The survey also asked what women considered doctors could do to help describe pain. The table below shows a thematic analysis of the responses. Of the 131 responses, two respondents answered this question stating that they were happy with the attention and response of their healthcare providers and had nothing to add. Another two said that the 1–10 scale had been helpful and four said "I do not know." Contrariwise, 123 participants answered the question with comments that have been categorized as follows:
The findings presented in the table also support those presented in Table 1 above. The most prominent result is that women feel that they are not heard by general practitioners when complaining about pre-diagnosis pain. They feel disbelieved and perceive a general lack of empathy. Further to this, women indicate that tools for pain description would be useful and effective during consultations.
Discussion of findings
The findings reported above indicate that miscommunication in early endometriosis consultations is a common occurrence. Further exploration of the two areas of miscommunication identified (difficulties articulating of symptoms and perceived disbelief, as reported by 85% and 89% of women, respectively) indicates a connection between the two.
In order to gain an insight into how endometriosis pain is conceptualized and articulated, I took a linguistic approach to the study of pain descriptions, drawing on the CMT (Lakoff and Johnson, 1980). The data analyzed revealed that the majority of responses use metaphorical expressions to describe pain as physical damage (Semino, 2010). Some metaphors are conventionally used (e.g. stabbing pain), while similes appear as more conscious elaborations of that superordinate metaphor. A further exploration into the metaphors used revealed that pain is constructed in three ways: (1) as a corporal transgressor that inflicts pain and harm through violent acts and objects that cause physical damage; (2) as physical properties of objects where pain is made akin to temperature, pressure, weight, and so on. that has the potential to cause physical damage imminently; and (3) as a force that distances the sufferer from the human condition. In all cases, women convey a sense of helplessness and victimhood.
The use of metaphorical narratives for the description of pain brings into question two aspects. First, why are such metaphors consistently used to describe endometriosis pain? Second, how can we be sure that they are effective in conveying the communicative purpose intended?
Studies of illness and metaphor, and cancer in particular, have found that journey and violence metaphors are prominent in patients when discussing their condition (e.g. Semino et al., 2017). Similarly, Bullo (2018) found that women also tend to use both metaphors in accounts of endometriosis experiences. I also discussed how physical damage is a common metaphor to refer to pain (Gosden et al., 2014; Schott, 2004; Semino, 2010). The CMT outlined above helps explain that non-visible pain, as an abstract domain, is normally understood in terms of pain caused by physical damage (or nociceptive pain), as a more concrete or experiential domain (Lakoff and Johnson, 1980), given people's experience with the sensations caused by physical damage. We can also understand the use of signaling devices, such as "like" or "as if," in cases of similes as conscious attempts to create a powerful image to convey the severity of pain by virtue of the hyperbolic value of the metaphorical narrative constructed.
There has been extensive opposition to the use of metaphors to talk about illnesses, advocating the eradication of metaphors in health communication (e.g. Sontag, 1991 [1979]) on the basis that the negative effects that certain metaphors (e.g. military, in expressions such as "aggressive," "invasion") could have on (cancer) patients who may feel blameworthy if they are "beaten" by the disease. However, more contemporary researchers argue that "metaphor is a ubiquitous and important aspect of language and thought, which cannot be eradicated" (Demjen and Semino, 2017: 392). Similarly, Loftus (2011) advocates that metaphors constitute a way of understanding and dealing with pain, especially if such metaphors draw from meaningful areas of patient's experience (Gwyn, 1999) and they help the patient frame their experience of illness in different ways (Demjen and Semino, 2017). Overend (2014), also supporting the use of metaphors, suggests that they can be especially helpful in cases of undefined or invisible illnesses, such as endometriosis, as they help move "beyond realistic representations of illness experiences" and "help us to understand and articulate the experiences of undefined illness in ways that empirical accounts alone do not" (p. 66). Demjen and Semino (2017) also argue that avoiding the use of metaphors may "marginalize and potentially silence" those who find certain metaphors "motivating and helpful" (p. 392). Demjen and Semino (2017) conclude that "different metaphors work differently for different people at different times in different contexts. Therefore patients should be encouraged and enabled to use the metaphors that work best for them" (p. 395).
Given that meaning is co-constructed in the interaction between sender and receiver, as Jacobson (1960) proposes, the main issue to consider here is how women can be certain that their interlocutors understand the use of elaborate metaphorical narratives to frame the experience of pain and are able to make an informed judgment on the symptoms being described. In fact, the survey data analyzed indicate that women indeed feel disbelieved when describing pain (cf. Tables 1 and 3). It is therefore evident that we need to explore the nature of the disbelief. At this stage, I can only rely on previous literature as well as reports by participants (cf. Table 3) to understand the nature of doctors' disbelief of women's descriptions of pain. The use of metaphorical language to account for pain experiences is not only a linguistic resource but also a window into how women experience and make sense of pain, which, at the early consultations stage, has an unknown source—that is, it is a "ghost"
(Overend, 2014). If we look at the metaphorical descriptions of pain provided in Table 2, while some may not necessarily find that they explicitly denote the mechanisms of pain, they are still rather indicative of its intensity and life-altering nature by virtue of the hyperbolic force that the metaphorical constructions convey. Still, women report feeling misbelieved and dismissed. This raises the question as to what happens in the interlocutor (i.e. doctors) when faced with such descriptions. That is, whether it may be the case that such descriptions, as Overend (2014) suggests, may subvert the dominant or expected models of accounting for illnesses and therefore lead to minimization, dismissal, or even misdiagnoses, as was the case in Greenhalgh's (2001) and Barker's (2005) studies reviewed above.
Whether operating within patriarchal models which delegitimize female pain, as the literature suggests (e.g. Kaler, 2005; Malterud, 1992), or perhaps due to lack of adequate education and awareness that might prevent medical practitioners from eliciting the required information that would shed light on evidence of the condition (which may indeed also show evidence of the former), the data suggest that women find it challenging to communicate endometriosis-related pain in early medical consultations successfully. Unsuccessful communication of endometriosis-related pain, in many cases, leads to the normalization of pain (cf. Table 3, last entry in column 3). If we consider the literature on pain and metaphor, according to Schott (2004), the use of metaphorical expressions can lead to a number of issues. It may distract from the type of pain felt; it may be considered to be of a psychological nature (Hodgkiss, 2000); it may even recall models associating "women's troubles" to hysteria and attention seeking (Wright, 2018), which can potentially lead to dismissal and therefore prolonged diagnosis delays. All of these possibilities were implied by the qualitative data (cf. Table 3). Then we are back to the issue of identifying exactly what is interfering with the successful decoding of the intended message. As established earlier, successful communication relies on the recognition and use of a shared code that allows the collaborative co-construction of meaning (Jacobson, 1960). A mismatch in assumptions can then give rise to miscommunication. Thus, the use of metaphorical language, often a necessity, increases risks of medical professionals being unable to provide their ultimate extra-linguistic goal, that is, the best and most appropriate medical care to patients in pain, fear, and need.
What, therefore, in a seeming loop in the communication of pain, constitutes an effective, and believable, description of pain? Considering the limited consultation time in some health systems, the lack of education and awareness on endometriosis even in medical professionals (as indicated by the findings in Table 3), and the fact that we are fighting against a tendency to normalize and dismiss period pain (cf. Tables 1 and 3), as widely evidenced by Bullo (2018), Seear (2009), and Whelan (2003), how can the pain description of pre-diagnosed endometriosis be optimized in order to contribute toward timely diagnostic treatment? It is clear from the data collected that the standard 1–10 scale alternative is sometimes problematic. Therefore, when prompted, women go from being speechless (e.g. "when I go to the doctor, I have such a hard time articulating my pain because I am nervous and I freeze") to building a quasi-sci-fi/horror narrative (e.g. the quote in the title of the article). What is, then, an effective and, more importantly, collaborative way to communicate endometriosis pain?
A way forward
Demjen and Semino (2017) advise that what is required is: attention to one's own and others' language use; responsiveness to the feelings and views expressed by different linguistic choices; acceptance and tolerance of individual variation; and creativity in devising ways of harnessing the potential of metaphor as a resource for individual expression, explanation, sense-making and so on. (p. 396)
Similarly, Overend (2014) reminds us that in so long as "ghostly" illnesses continue to exist and challenge empirical practices of diagnosing them, it is paramount to develop an understanding of their intrinsic prohibition for being accounted for that stops us from coherently speaking about them (Schott, 2004). Understanding will therefore enable those silenced by such prohibition to be visible "within positivist frames of visibility and locatability" (Overend, 2014: 77). This is, after all, what participants call for: empathy (cf. Table 3).
To achieve this, a good start might be not to dismiss metaphors altogether but, rather, to understand and catalog them in a way that people may find they "validate a feeling or view they already have, articulate something they have not been able to express before, or provide a new and helpful perspective" (Demjen and Semino, 2017: 396).
If we take the physical damage metaphors used to describe pain, like "stabbing," it is unlikely that most women who claim to have "stabbing pains" have actually experienced being stabbed (Schott, 2004). Had they had such an experience, the pain produced by such physical harm may have been described in a different way. It is rather the association, or entailments (Kovecses, 2002), related to the act of stabbing (e.g. intensity, depth, abruptness, etc.), that is, the contextual and associated meaning, to which women refer. Therefore, the understanding of pain in terms of the entailments associated to the act of stabbing relies on the conventional association of such characteristics and entailments, as the CMT poses (Lakoff and Johnson, 1980), rather than necessarily on actual experience. Another illustration of this is provided in Table 3 where, when contrasting the metaphorical with the basic meaning of, say "I have ball in blown up inside my stomach that's ready to burst," we find that pain is described in terms of volume and pressure. Helping women map these sensations to, say, parts of the body where they occur and periods of time in which they take place would allow an indication as to whether the pain being described is related to endometriosis. Therefore, collaborative work between linguists, doctors, and women who suffer this type of pain would allow for an integrated toolbox where the different types of metaphors identified above, and others, are mapped to different types of pain (nociceptive, neuropathic) and endometriosis pain mechanisms (cyclical, chronic, functional). This integrated toolbox might also include images and gestures. Such a toolbox, which already has a precedent in the form a "metaphor menu" for cancer patients (Semino, 2014) helping articulate pain in a more holistic way, should be made accessible to primary healthcare practitioners in order to allow the elicitation of the information required to detect symptoms in early consultations so as to recommend diagnostic treatments in a timely fashion. It could also be made available to school nurses, teachers, and parents by various means of dissemination, including the media, in order to raise awareness and knowledge of the condition, as addressed by the findings.
Conclusion
In this study, I set out to investigate the challenges associated with pre-diagnosis endometriosis pain communication during early medical interactions, including the ways in which endometriosis pain is conceptualized and communicated. I also explored ways in which a linguistic approach can contribute to improving endometriosis pain communication practices in early consultation stages. The article questions pain communication challenges and offers some reflections on the use of metaphorical language in endometriosis pain communication practices, highlighting the value of a linguistic approach in pain communication.
In this article, through an exploration of how pain is described, I have questioned what is the most effective way to describe endometriosis symptoms (prior to diagnosis) to general practitioners with whom lies the power of referral for diagnostic treatment.
There are a number of caveats that should be noted. First, the survey relied mostly on UK-based participants who follow the Language of Endometriosis project's social media platforms. A larger and wider sample with more information and demographic data required from participants, along with a wider distribution, would be required to be able to determine significance and make more generalizable claims so as to derive more detailed implications, which was beyond the scope of this exploratory article.
The article has also indicated a number of further avenues for research. The conceptualizations of pain found herein constitute an interesting finding and it would be interesting to extend the research to different kinds of pain caused by different illnesses or types of damage. Similarly, ethnographic data documenting doctor–patient interactions may enable the identification of stages of mis/communication by applying the Jacobson (1960) model in full, which would potentially yield interesting findings and make important contributions to health communication practices. It is also paramount that general practitioners' views are gathered to get a more holistic view of the issues at stake.
For now, though, this exploration has allowed some insights on an area of healthcare that has long been neglected and it is hoped that the issues pointed out by the findings of this study constitute a stepping stone in the right direction toward accelerating diagnosis and finding timely ways to tackle the life-altering pain caused by endometriosis until a more permanent solution is found.
Acknowledgements
I would like to thank all the participants for their contributions to the survey. My gratitude also goes to the project's research assistant Zoe Bibbon (née Kent) for her help with the formatting and distribution of the questionnaire and to Dr Derek Bousfield and Lexi Webster for their comments and feedback. Finally, I would like to thank the article's peer reviewers for their encouraging support and useful feedback.
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.
Notes
1. Available from http://www.natcorp.ox.ac.uk/corpus/
2. Twitter, @endolanguage, and Facebook, www.facebook.com/TheLanguageOfEndo
ORCID iD
Stella Bullo https://orcid.org/0000-0002-7402-0819
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Author biography
Stella Bullo is a senior lecturer in Linguistics at Manchester Metropolitan University. Her research is in the area of socio-cognitive discourse analysis. Her current research is in the area of health communication investigating discourses surrounding female gynecological conditions, and endometriosis in particular, and cross-cultural discourses of health.
|
FY2014 CAPITAL BUDGET & FY 2015 – 2019 CAPITAL IMPROVEMENT PROGRAM
REQUEST
Board of Education Approval Amended 11/14/2012
BOARD OF EDUCATION
Jennifer Seidel, President
Barbara Shreeve, Vice-President
Gary Bauer
Cynthia Foley
Virginia Harrison
O'Reilly Miani, Student Representative
SUPERINTENDENT
Stephen H. Guthrie
TABLE OF CONTENTS
FROM: Stephen H. Guthrie, Superintendent
SUBJECT:
Amended FY2014 Capital Budget Request and FY 2015-2019 Capital Improvement Program
This document presents the recommendation for the Amended FY2014 Capital Budget Request and Proposed FY 2015-2019 Capital Improvement Program (CIP) for Carroll County Public Schools. The purpose of this plan is to address the facility needs identified in the 2012-2021 Educational Facilities Master Plan. This plan takes into consideration current and projected student enrollments, the age and condition of facilities, and the current and future needs of the instructional program. The projects detailed in this document have been identified as necessary to maintain adequate school facilities in order to deliver a quality instructional program.
Some highlights of the Amended FY 2014 Capital Budget and FY 2015- 2019 CIP Request are:
* The Amended FY 2014 Capital Budget request is for $12,322,000. The County share of this request is $5,815,000 and the State share is $6,507,000.
* The Amended FY 2015 – 2019 CIP request total is $206,830,000. The anticipated County share of these projects is $127,643,000 based on the State share being $79,187,000.
* The cumulative total of the six year request (FY 2014 – 2019) is $219,152,000. This total includes $208,917,000 in systemic renovations and modernizations to older buildings.
* The scheduling of school modernizations in this year's request is based on the 2011 update to the March 2008 Report on Physical and Functional Assessments of Schools Constructed Prior to 1980.
A public hearing was held on Thursday September 6, 2011 at 7:00 p.m. in the Charles I. Ecker Boardroom located at 125 North Court Street Westminster, Maryland 21157. This hearing provided an opportunity for interested parties to provide input on the CIP Budget Request. The Board of Education is scheduled to approve this amended document at its administrative board meeting on November 14, 2012 at 5:00 p.m. The approved amended Capital Budget and CIP Request will then be forwarded to the Carroll County Commissioners and to the Maryland Public School Construction Program.
Additional information may be obtained by calling Raymond Prokop, Director of Facilities, at 410-751-3177.
The Capital Budget and Capital Improvements Program Request
This Capital Budget request is for school construction projects that are being requested for the next fiscal year. Funding for these projects is received from both the County and State. Once the County and State adopt their capital budgets, which include school projects, funds for that fiscal year are transferred to Carroll County Public Schools (CCPS). The Capital Improvement Program (CIP) request refers to school projects that are scheduled to occur in the next five future fiscal years. An important distinction between the capital budget and the CIP is that the funding for projects included in the Capital Budget becomes part of the legally adopted budget, but the longer term CIP is not legally binding. As a result, it not unusual for projects included in the capital improvements program to change from year to year based on things like changes in the state and county fiscal picture, changes in enrollment trends, changes in the instructional program, and unanticipated changes in the condition of systems and equipment.
The capital budget differs from the operating budget in that it is structured in terms of projects. Each project within the capital budget is a "mini budget" in itself, and the budget/funds may be spent over multiple fiscal years ending with the completion of the project. Capital Budget Projects are typically large in scope and address improvements and renewal of the school system's physical plant.
Although the capital and operating budgets are separate, the relationship between them is a critical consideration in the overall fiscal picture of CCPS. The capital budget impacts the operating budget in three ways. First the issuance of general obligation bonds, required to fund capital projects, creates the need to fund debt service payments in the operating budget. Second, a portion of the capital budget request is funded by current revenues, which are the same sources that fund the operating budget. Finally, new schools and additions create operating budget impacts due to increased costs for staff, utilities, maintenance, and other services.
Capital Budget Process
The Capital Budget process actually begins each year with the annual update of the Educational Facilities Master Plan. This document evaluates the facility needs of the system and identifies a calendar of projects to address these needs. This document is presented to the Board of Education in April each year, and is then approved in June for submission to the State by July 1. After the approval of the Educational Facilities Master Plan, the next step is for staff to develop the annual Capital Budget and CIP request in July and August. This document is presented to the Board of Education in August, and approved by the Board of Education in September of each year.
Once the Board of Education approves the annual Capital Budget and CIP request, it is then submitted to the Carroll County Department of Management and Budget (DMB). The DMB
staff reviews this request and presents their preliminary recommendation for capital projects to the Carroll County Planning and Zoning Commission in February. The Planning and Zoning Commission utilizes this information to make their recommendation for school projects to the Board of Carroll County Commissioners. In early March, the DMB makes their final recommendations to the Commissioners. Also in March, the Commissioners hold work sessions with each agency to review their specific requests. The Commissioners then issue their Proposed Budget, and hold public hearings to receive public comments regarding this document. After the hearings are held, the Commissioners make any necessary adjustments and the budget is adopted at the end of May each year.
In order to receive State funds for school construction, CCPS must meet the requirements of the Maryland Public School Construction Program regarding the submittal of the Capital Improvement Program. The first step in this process is that CCPS must submit or amend its Educational Facilities Master Plan by July 1. After this submission in July, the next step is to submit the Capital Improvement Program Request to the Maryland Public School Construction Program at the beginning of October. This CIP request consists of three major parts: Current Planning Approval Requests, Current Funding Approval Requests, and Future Project Request. Current Planning Approval Requests are for projects that CCPS wants to begin design on in the next fiscal year. Due to the fact that the State does not contribute funds to the design of school construction projects, design must be funded through County capital funds. State Planning Approval does give CCPS a commitment for future state funding for a specific project. Current Funding Requests are projects for which State funding is being requested for the next fiscal year. Future Project Requests include projects that are scheduled to be state requests in the next five future fiscal years.
Once the CIP has been submitted to the Public School Construction Program, their staff then makes recommendations to the Interagency Committee on School Construction (IAC) for project approvals. The IAC then holds a hearing to allow each jurisdiction to make their case for additional funds or projects not recommended by staff. The IAC then makes their official recommendation to the Maryland Board of Public Works (BPW). The BPW then holds a hearing to allow each jurisdiction to make their case for additional funds or projects not recommended by the IAC. After the hearing, the BPW then approves initial projects totaling seventy five percent (75%) of the total budget allocated for Public School Construction. The remaining projects making up twenty five percent (25%) of the public school construction budget are approved by the BPW in May each year.
IDENTIFYING PROJECTS
This Amended 2014 Capital Budget and 2015-2019 Capital Improvement Program Request is based on the facility needs identified in the 2012 - 2021 Educational Facilities Master Plan. The projects scheduled in this document address the need to modernize aging schools, the need to meet changing instructional philosophies, and the need for building system replacements.
PRIORITIZATION
In order to communicate to both funding authorities the highest priority projects in the current budget request, projects are listed in priority order. Projects included in the Capital Budget Request are ranked in accordance with the following criteria:
1. Projects partially funded and currently in progress
3. Projects that include the replacement of critical building systems necessary to maintain school operations.
2. Projects that provide additional capacity to address inadequate schools
4. Projects that improve the ability of a facility to accommodate the current instructional program.
5. Projects that provide general improvements to increase the levels of efficiency in the operation of school facilities.
PROJECT BUDGET DEVELOPMENT
Cost estimates for each project included in the Capital Improvement Program must be developed in order to make a request for funding. Depending on the project type, the method for developing the budget may vary. Most projects utilize a cost per square foot number to determine the construction cost of the project. Each year the Maryland Public School Construction Program publishes a cost per square foot number that is used for all state funded projects. The number utilized in this document is $215 per square foot for the building only, and $241 for the building with site development.
Until a Construction Planning Committee is formed to develop the Educational Specifications for a new school or addition, it is difficult to determine how many square feet are needed for a project. As a result the initial square footage for a project is based on the square foot allowance per student published by the Maryland Public School Construction Program. The following are the square foot allowance per student based on optimum size school standards contained in the Educational Facilities Master Plan.
Elementary School (Capacity = 600)
* 108 square feet per regular education student
* 180 square feet per special education student
Middle School (Capacity = 750)
* 135 square feet per regular education student
* 180 square feet per special education student
High School (Capacity = 1200)
* 187,350 square feet total for a school with a capacity between 1,151 to 1,249
* 210 square feet per career and technology student
* 200 square feet per special education student
In addition to the cost to construct the building, each project also has necessary costs associated with it. Typically these other costs will be based on a percentage of the building construction cost. These percentages are evaluated against actual project bids annually to verify their validity. The following is a list of these additional items that make up the total project estimate
Site costs – 12% for new construction; 5% for renovations
Architect and Engineering Fees –
* New Schools and Renovations – 7% of the total construction and site budget.
* Roofing and HVAC Projects – 8% of total construction and site budget
Construction Management Fees –
* Pre-construction services – 2% of the total construction and site budget
* Construction Management services – 6% of the total construction and site budget
Contingency
* New Construction – 5% of the total construction and site budget.
* Renovation/Modernization/Addition – 7% of the total construction and site budget.
Furniture and Equipment budget request is based on a percentage of the total building construction cost estimate depending on the type of project as listed below:
* Elementary School – 8%
* Secondary School – 10%
* Career & Technology – 12%
Other costs – Miscellaneous items, such as roads, utilities, agency review fees, asbestos and lead abatement, impact fees, etc. will vary with project
Off-site Improvements – Any off-site improvement necessary for the school project (i.e. roads, water and sewer lines, etc.) will be performed by Carroll County Government
| Priority | | | Prior Authorization/Allocation State County Total | | | Fiscal Year 2014 Funding Request Request Request State County For For | | | |
|---|---|---|---|---|---|---|---|---|---|
| State | Local | | | | Total | | Request For | County | Request For |
| 1 | 1 | West MS Roof Replacement | | $ 2 35 | $ 235 | $ 1,234 | (SR) | $ 1,086 | (SR) |
| 2 | | Eldersburg ES Open Space Enclosures | | | $ - | $ 1,858 | (C) | | |
| 3 | 2 | Carroll Springs Roof Replacement | | | | $ 417 | (SR) | $ 428 | (SR) |
| 4 | 3 | Taneytown ES Roof Replacement | | | | $ 493 | (SR) | $ 562 | (SR) |
| 5 | | Energy Efficiency Initiative - Lighting Projects | | | | $ 2,505 | (SR) | | |
| | 3 | CCCTC Roof Replacement | | | | | | $ 150 | (P) |
| | 4 | Charles Carroll ES Roof Replacement | | | | | | $ 40 | (P) |
| | 5 | Manchester ES Roof Replacement | | | | | | $ 95 | (P) |
| | 6 | Charles Carroll ES Heat Plant Conversion | | | | | | $ 165 | (P) |
| | 7 | East Middle HVAC Replacement | | | | | | $ 630 | (P) |
| | 8 | Manchester ES HVAC Replacement | | | | | | $ 310 | (P) |
| | 9 | Paving | | | | | | $ 775 | (C) |
| | 10 | Technology Improvements | | | | | | $ 970 | (C) |
| | 11 | Roofing Improvements | | | | | | $ 145 | (C) |
| | 12 | Barrier Free Modifications | | | | | | $ 39 | (C) |
| | 13 | Relocatable Classroom Movement | | | | | | $ 420 | (C) |
| | | | $ - | $ 2 35 | $ 235 | $ 6,507 | | $ 5,815 | |
| Project Title State | | Local | State | Local | State | Local | State | Local | State | Local | Total |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Modernizations | | | | | | | | | | | $ - |
| Charles Carroll ES Modernization | | $ 8 80 | $ 9 ,000 | $ 12,385 | | | | | | | $ 22,265 |
| Carroll County Career & Technology Ctr. Replacement | | | | $ 5 ,390 | $ 13,000 | $ 16,945 | $ 13,000 | $ 1 6,945 | | $ 9,480 | $ 74,760 |
| Wm. Winchester ES Modernization | | | | $ 6 5 | | | | $ 1,700 | $ 9,310 | $ 12,335 | $ 23,410 |
| Westminster East MS Modernization | | | | | | $ 6 5 | | | | $ 3,535 | $ 3,600 |
| Westminster West MS Modernization | | | | | | | | $ 7 0 | | | $ 70 |
| Westminster HS Modernization | | | | | | | | | | $ 7 0 | $ 70 |
| | | | | | | | | | | | $ - |
| Roof Replacements | | | | | | | | | | | $ - |
| Carroll County Career & Technology Ctr. - Roof Replacement | $ 1,091 | $ 964 | | | | | | | | | $ 2,055 |
| Charles Carroll ES - Roof Replacement | $ 290 | $ 255 | | | | | | | | | $ 545 |
| Manchester ES - Roof Replacement | $ 676 | $ 594 | | | | | | | | | $ 1,270 |
| Westminster HS - Roof Replacement | | $ 2 30 | $ 1 ,651 | $ 1,449 | | | | | | | $ 3,330 |
| Francis Scott Key HS - Roof Replacement | | | | $ 1 65 | $ 1,200 | $ 1,055 | | | | | $ 2,420 |
| South Carroll HS - Roof Replacement | | | | | | $ 2 75 | $ 1,984 | $ 1 ,701 | | | $ 3,960 |
| Mechanicsville ES - Roof Replacement | | | | | | | | $ 1 20 | $ 871 | $ 769 | $ 1,760 |
| Sandymount ES - Roof Replacement | | | | | | | | $ 1 20 | $ 851 | $ 754 | $ 1,725 |
| Westminster East MS - Roof Replacement | | | | | | | | | | $ 1 10 | $ 110 |
| Winfield ES - Roof Replacement | | | | | | | | | | $ 1 50 | $ 150 |
| | | | | | | | | | | | $ - |
| HVAC-Replacements Charles Carroll ES - Heat Plant Conversion Westminster East MS - System Replacement | | | | | | | | | | | $ - |
| | $ 1,168 | $ 1 ,052 | | | | | | | | | $ 2,220 |
| | $ 4,539 | $ 3 ,881 | | | | | | | | | $ 8,420 |
| Manchester ES - System Replacement | $ 2,223 | $ 1 ,902 | | | | | | | | | $ 4,125 |
| CCCTC - System Replacement | | $ 5 85 | $ 4 ,230 | $ 3 ,615 | | | | | | | $ 8,430 |
| Spring Garden ES - System Replacement | | $ 5 0 | | $ 275 | $ 1 ,990 | $ 1 ,705 | | | | | $ 4,020 |
| Sandymount ES - System Replacement | | | | $ 5 0 | | $ 300 | $ 2 ,140 | $ 1 ,840 | | | $ 4,330 |
| Winfield ES - System Replacement | | | | | | $ 5 0 | | $ 3 60 | $ 2 ,609 | $ 2 ,231 | $ 5,250 |
| New Windsor MS - System Replacement | | | | | | | | $ 5 0 | | $ 435 | $ 485 |
| Oklahoma Rd MS - System Replacment | | | | | | | | | | $ 5 0 | $ 50 |
| Kindergarten Additions | | | | | | | | | | | $ - |
| Taneytown ES Kindergarten Addition | | $ 8 5 | $ 6 85 | $ 665 | | | | | | | $ 1,435 |
| Cranberry Station ES Kindergarten Addition | | | | | | $ 8 5 | $ 595 | $ 5 80 | | | $ 1,260 |
| Friendship Valley ES Kindergarten Addition | | | | | | | | | | $ 8 5 | $ 85 |
| | | | | | | | | | | | $ - |
| | | | | | | | | | | | $ - |
| Science Room Renovation | | | | | | | | | | | $ - |
| North Carroll High | | $ 9 5 | $ 7 34 | $ 791 | | | | | | | $ 1,620 |
| Westminster High | | | | $ 1 00 | $ 7 66 | $ 824 | | | | | $ 1,690 |
| South Carroll High | | | | | | $ 5 5 | $ 399 | $ 4 31 | | | $ 885 |
| Liberty High | | | | | | | | $ 5 5 | $ 415 | $ 450 | $ 920 |
| | | | | | | | | | | | $ - |
| Annual Requests | | | | | | | | | | | $ - |
| Paving | | $ 8 15 | | $ 8 55 | | $ 9 00 | | $ 945 | | $ 990 | $ 4,505 |
| Technology Improvements | | $ 1 ,120 | | $ 8 65 | | $ 8 90 | | $ 860 | | $ 900 | $ 4,635 |
| Roofing Improvements | | $ 1 50 | | $ 1 55 | | $ 1 60 | | $ 165 | | $ 170 | $ 800 |
| Barrier Free Modifications | | $ 4 1 | | $ 4 3 | | $ 4 5 | | $ 47 | | $ 49 | $ 225 |
| Relocatable Classroom Movement | | $ 4 40 | | $ 4 60 | | $ 4 80 | | $ 500 | | $ 520 | $ 2,400 |
| | | | | | | | | | | | $ - |
| Electrical Service Upgrades | $ 580 | $ 520 | $ 5 80 | $ 520 | $ 1,160 | $ 1,040 | $ 5 80 | $ 5 20 | | | $ 5,500 |
| | | | | | | | | | | | $ - |
| Fire Alarm Replacement | | $ 1 25 | | $ 130 | | $ 135 | | | | | $ 390 |
| | | | | | | | | | | | $ - |
| Window Replacements | $ 145 | $ 130 | $ 1 45 | $ 130 | $ 2 90 | $ 260 | $ 2 90 | $ 2 60 | | | $ 1,650 |
| | | | | | | | | | | | $ - |
Roof Replacement - Westminster West Middle School
Project Description:
Replacement of 115,325 square feet of roofing, associated tapered insulation system, and roof drains and flashings. The 2014 request is for the state and local share of construction costs.
Project Justification:
Replacement of the roof is required to protect building structure, building components, and preserve the learning environment which supports the educational programs. The roof is currently leaking in several places. This water infiltration will damage the structural roof deck, interior ceilings, floor and wall finishes, building contents, and provide the conditions which could lead to air quality issues in the building.
Open Space Enclosure
Project Description:
This project provides for the enclosure of an existing open space school building. It includes the construction of interior partitions; installation of exterior exits and fire sprinkler systems where required; alterations to the interior finishes; and modificiations to the HVAC, electrical, and fire alarm systems to comply with life safety and building codes applicable to a conversion from an open space concept school facility to a traditional closed classroom school building. Eight million dollars of funding for Open Space Enclosures was received as part of the adopted 2008 Carroll County Commissioners Capital Budet. The Carrolltowne Elementary, Northwest Middle, and Westminter Elementary projects are complete. The Robert Moton Elementary project is currently under construction, and planning for the Eldersburg Elementary project is scheduled to begin in September 2012. The fiscal year 2014 request is for the State share of construction for the Eldersburg Elementary projects.
The following projects are scheduled:
Eldersburg Elementary School - State Share of Construction Funding (FY14)
Project Justification:
This is an improvement to the facility that will minimize distractions between the classrooms by improving the acoustics of the classrooms. The learning environment will improve, thereby contributing to effective student learning, as well as support the Board of Education's goal to provide a safe and orderly learning environment.
Roof Replacement - Carroll Springs
Project Description:
Replacement of 28,177 square feet of roofing, associated tapered insulation system, and roof drains and flashings. The 2014 request is for the state and local share of construction costs.
Project Justification:
Replacement of the roof is required to protect building structure, building components, and preserve the learning environment which supports the educational programs. The roof is currently leaking in several places. This water infiltration will damage the structural roof deck, interior ceilings, floor and wall finishes, building contents, and provide the conditions which could lead to air quality issues in the building.
Roof Replacement - Taneytown Elementary School
Project Description:
Replacement of 45,700 square feet of roofing, associated tapered insulation system, and roof drains and flashings. The 2014 request is for the state and local share of construction costs.
Project Justification:
Replacement of the roof is required to protect building structure, building components, and preserve the learning environment which supports the educational programs. The roof is currently leaking in several places. This water infiltration will damage the structural roof deck, interior ceilings, floor and wall finishes, building contents, and provide the conditions which could lead to air quality issues in the building.
Energy Efficiency Initiative - Lighting Projects
Project Description:
This project involves the replacement of exterior lights with more energy efficient LED lights, and the installation of occupancy sensors in classrooms and offices at 41 schools. Mt. Airy Middle and Westminster Elementary are not part of this request. The reason for this is that Mt. Airy Middle is being replaced, and Westminster Elementary had projects recently completed to install occupancy sensors and exterior LED lighting. The scope of these projects was specifically developed to target the eligilble utilitly company rebates for lighting, as well as the State Energy Efficiency Initiative funding available in the FY14 Capital Budget.
Project Justification:
These projects will reduce the system's electricity usuage thereby lower energy costs across the system.
Roof Replacement - Carroll County Career & Technology Center
Project Description:
Replacement of 94,368 square feet of roofing, associated tapered insulation system, and roof drains and flashings. The 2014 request is for design funding.
Project Justification:
Replacement of the roof is required to protect building structure, building components, and preserve the learning environment which supports the educational programs. The roof is currently leaking in several places. This water infiltration will damage the structural roof deck, interior ceilings, floor and wall finishes, building contents, and provide the conditions which could lead to air quality issues in the building.
Roof Replacement - Charles Carroll Elementary School
Project Description:
Replacement of 24,514 square feet of roofing, associated tapered insulation system, and roof drains and flashings. The 2,897 square feet of roof that was replaced in 2012 is not part of this request. The 2014 request is for local design funding.
Project Justification:
Replacement of the roof is required to protect building structure, building components, and preserve the learning environment which supports the educational programs. The roof is currently leaking in several places. This water infiltration will damage the structural roof deck, interior ceilings, floor and wall finishes, building contents, and provide the conditions which could lead to air quality issues in the building.
Roof Replacement - Manchester Elementary School
Project Description:
Replacement of 59,545 square feet of roofing, associated tapered insulation system, and roof drains and flashings. The 2014 request is for local design funding.
Project Justification:
Replacement of the roof is required to protect building structure, building components, and preserve the learning environment which supports the educational programs. The roof is currently leaking in several places. This water infiltration will damage the structural roof deck, interior ceilings, floor and wall finishes, building contents, and provide the conditions which could lead to air quality issues in the building.
Prior
Total Project
Charles Carroll Elementary School Heat Plant Conversion
Project Description:
This project involves the conversion or replacement of the existing steam boilers with hot water boilers, the replacement of the old steam and condensate piping, the replacement of the terminal heat units in the classrooms, the replacement of the pneumatic controls, and the testing and balancing of the system. Design funding was received as part of the 2011 capital budget, but was utilized to hire an architect to perform a feasiblity study to evaluate the options for modernizing Charles Carroll Elementary. This project is being included in the CIP request again in case funding is not provided for a modernization. The 2014 request is for design funding, and the 2015 request is for the state and local share of construction costs.
Project Justification:
Although the school was recently air-conditioned as part of the Performance Contract with Johnson Controls, the heating system was not addressed as part of that project. Conversion of the steam boilers to hot water boilers is a priority of Carroll County Public Schools because hot water heating systems operate at a lower pressure, are more efficient, and provide better temperature control than steam systems. In addition to the steam boilers, the majority of the steam distribution system and equipment is in poor condition and in need of replacement.
Westminster East Middle - HVAC Replacement
Project Description:
This project involves the replacement of the heating, ventilation and air conditioning (HVAC) system for Westminster East Middle school. The existing system was installed during the 1975 renovation of the building. A scope study is being performed to determine the final scope of work and cost estimate.
Project Justification:
The existing 36 year old HVAC system is well beyond the expected useful life of an typical HVAC system. The central cooling plant is a water-cooled chiller that uses R11 refrigerant. R11 is difficult to find and expesive to purchase because it is no longer used today due to environmental concerns. The central heating plant is made up of two gas-fired steam boilers. Replacement of Steam Boilers with Hot Water Boilers is a priority of Carroll County Public Schools because Hot Water heating systems operate at a lower pressure, are more efficient, and provide better temperature control than steam systems. The existing unit ventilators located in each classroom do not meet current ventilation requirements and are not capable of controlling humidity levels within the school. Proper ventilation and humidity control is necessary to provide a safe and comfortable learning environment for students.
Manchester Elementary HVAC Replacement
Project Description:
This project involves the replacement of the Rooftop Air Handling Units, the replacement of oil fired boilers with more efficient gas fired boilers, the replacement of heating pumps, and the replacement of the existing pneumatic controls system, and the testing and balancing of the system. The replacement of this aging equipment with more efficient equipment will provide ongoing operational savings. Also the replacement of the existing boilers with gas fired boilers will inlcude the removal of the existing underground oil tank, thus eliminating the risk of future environmental problems. This project will be coordinated with the Roof Replacement project being done in the same time frame. The 2014 request is for local design funding.
Project Justification:
The mechanical equipment was installed when the school was renovated in 1989. The age of this equipment will be 25 years old in 2014. The replacement of this aging equipment will address changes in Air Quality requirements for schools since the system was installed, provide a more energy efficient system, eliminate a potential environmental risk, and address noise concern issues regarding the Roof Top Air Handling Units.
Paving
Project Description:
This on-going project addresses the maintenance and replacement of school parking areas and driveways. Potential projects planned include:
2014 - West MS (Monroe St. parking lot, service area, main lot); William Winchester ES (main lot)
2015 - Francis Scott Key HS (upper parking lots)
2015 - Carroll County Career & Technology Center (main parking lot)
2017 - Westminster HS (stadium parking lot)
2013 - Hampstead ES (main parking lot); Westminster HS (service area and back drive); Runnymede ES (bus loop)
2018 - North Carroll HS (bus loop, service area, & Panther Dr. lower parking lot)
2019 - Northwest MS (driveway and main lot); Eldersburg ES (bus loop & parking lot)
Project Justification:
Maintaining the paved areas delays or eliminates the need for much more costly parking and driveway reconstruction projects. It also prevents damage to school buses; maintenance vehicles during snow removal activities; and the vehicles of staff, parents and visitors. Contributes to the prevention of injuries to the students, employees and the public who utilize the parking areas. As the age of the parking areas continues to increase, the quality of the surface will continue to deteriorate and, depending upon weather conditions, the roadway will fail. All of the projects included in this CIP request have large areas where the paving has failed and require total reconstruction. Without the requested increase in funding for paving, these projects will be pushed out even farther and the amount of failed pavement will continue to increase.
Technology Improvements
Project Description:
This project addresses the integration of new and systematic replenishment of core technology infrastructure hardware and software. It includes installation, expansion, and replacement of hardware such as servers; storage; telecommunications devices; and network infrastructure equipment including switches, routers, and firewalls. Cabling upgrades, wireless technologies, and other technology delivery systems and equipment is included in the expanding technology infrastructure of the school system. End-user computing devices connect to this technology infrastructure that provides links to available software, databases, the wide area network, telecommunications networks, various private networks, the Internet.
Project Justification:
A systematic replacement and upgrading of technology infrastructure is critical to preventing Carroll County Public Schools from slipping into technological obsolescence. Further, critical infrastructure upgrades are necessary to meet the requirements of the MSDE Technology Plan, the Federal No Child Left Behind Act, Maryland's Race-To-The Top initiative, Financial and the State Legislative Audits, other legislation including Sarbanes Oxley and CALEA, and the expectations of public agencies in regards to Business Continuity/Disaster Recovery. This program assures that the school system's computing hardware will keep pace with technological advances that will prepare students for the rapidly changing workforce and retire aging equpiment. Without a planned program of replacement the school system will realize a degradation of its ability to support instructional programs and services. Further, technology investments are required to realize the cost savings and benefit of the Carroll County Public Network.
Roofing Improvements
Project Description:
This project addresses general roofing repairs required during the life cycle of a roof system at various facilities. These repairs are to restore the roof system that has been damaged through normal wear and tear and weather or are partial replacement of specific damaged areas. This preventative maintenance maintains the integriy of the roof system and warranties obtained at time of original installation. Annual inspections by the Plant Maintenance department and work order requests identifies roof sections requiring immediate attention.
Project Justification:
Protection of the building components and contents, as well as preserves the learning environment which supports the educational programs. This project allows for the extension of the life cycle of partial areas of the building's roofing system until the cost effective replacement of the total roof system can be funded and scheduled. It addresses emergency repairs and permits immediate corrective action that prevents water infiltration into the building envelope. This water infiltration would damage the structural roof deck, interior ceilings, floor and wall finishes, building contents, and provide the conditions which could lead to air quality issues in the building.
Barrier Free Modifications
Project Description:
This on-going project provides funding to accommodate individual and group program needs and particular accommodations (changing areas, life skills space, etc.) of special education students as they are integrated into the student population. Funds may also be utilized to address building issues involving staff and public accessibility concerns as they may arise.
Project Justification:
Modifications to school system's facilities are required to accommodate the integration of students with individual education plans, address compliance to ADA codes at specific locations that are noted through public use of the buildings and perform capital renewal of equipment installed to provide handicap assessibilty.
Relocatable Classroom Movement
Project Description:
This project provides for the relocation of relocatable classrooms to various school sites to address student enrollment growth and programming issues. Evaluation of September 30th student enrollment data determines availability and decisions are made regarding placement at mid-school year. An evaluation of the condition of the existing relocatable classroom inventory is currently taking place. The funding provided in this project will be essential to implement any plan, developed as part of the Facilities Utilization Study, that involves relocatable classrooms.
Project Justification:
The relocation of these classrooms are essential to the ability of the schol system to manage student population growth in individual school attendance areas, address facility needs for educational and student support progams and house students during modernization and construction projects.
Charles Carroll Modernization
Project Description:
This project involves the renovation of Charles Carroll Elementary School. Due to the fact that the majority of this building is over 50 years old, multiple systemic replacements are necessary. The school also has several educational deficiencies which need to be addressed,but the age and lack of capacity in the existing septic systems limits renovation options. A Feasibility Study to evaluate the different options for addressing the physical and educational deficiencies at the school was completed in 2012. All of the options in the study required the replacement of the existing septic system. The consultant who performed the study is currently investigating the feasibility of replacing the existing septic system on the property.
Project Justification:
Based on the Physical and Functional Assessment Report developed in March 2008 and updated in 2011, Charles Carroll Elementary was listed as the first school on the Modernization priority list. The original building was constructed in 1929 with additions constructed in 1950 and in 1973. Instructional and support spaces need to be modernized in order to accomodate today's instructional program. The installation of wet-pipe sprinkler system will enhance life safety and reduce insurance costs. Replacement of aging building systems and components such as roofing, exterior windows, plumbing, life safety, security, technology and telecommunication systems; and heating systems is required to protect the school system's physical assets. This modernization should also address ADA accessibility concerns; and if feasible reconfigure the building interior to support the elementary school educational program delivery.
New Carroll County Career & Technology Center
Project Description:
This project involves the design and construction of a new Career & Technology Center to accommodate 750 students in 29 occupational programs. This new building will replace the current Carroll County Career & Technology Center (CCCTC) built in 1971.
Project Justification:
A Scope Study was conducted in 2006 to evaluate the physical condition and educational adequacy of the Carroll County Career & Technology Center. The Study identified multiple building systems that need replacement in the near future, but the greater problem indentified in the evaluation was the educational adequacy of the current building. The current building opened in 1971, and offered 15 vocational programs to students. An addition was constructed in 1987 adding 3 programs (HVAC, Welding, and Diesel) to the Center, bringing the total number of programs up to 18. In 2007 there were 20 programs with 24 teaching stations (some programs offer multiple sections) being offered at the building. As a result of the over crowding and the fact that the original design of the building was not based on today's requirements for programs, the Study determined that the current building is not meeting the educational needs of the programs being offered. In order to continue these current programs and add new programs relevant to today's labor market the Scope Study presented 3 options. The three options were:
- Build a replacement school on the Westminster High site
- Renovate and expand the existing school
- Build a replacement school on a new site
Due to the detrimental impact to the high school the second option was not seriously considered. The added expense of phasing, the difficulty of maintaining the specialized CTE programs during a phased renovation, and the fact that the Board of Education already owns a school site in close proximity to the current CCCTC made the third option the most feasible choice..
William Winchester Elementary School Modernization
Project Description:
This project involves the modernization of William Winchester Elementary School. Due to the fact that the majority of this building will be over 50 years old at the time of modernization, multiple systemic replacements are necessary. A Study was performed in 2003 to evaluate the Modernization needs of the school. Since that time the building was air conditioned as part of the Performance Contract with Johnson Controls in 2005, and a new Kindergarten Addition was completed in 2010. Although these two major deficiencies identified in the 2003 Study have been addressed, the other deficiencies still remain. These deficiencies include: a severely undersized Media Center, the lack of centralized Administration spaces, the lack of sprinkler system, an aging technology infrastructure, a failing roof, an aging central heating plant, a lack of parking, and poor traffic flow. A new Feasibility Study needs to be performed to evaluate options for addressing the physical and educational deficiencies at the school.
Project Justification:
Based on the Physical and Functional Assessment Report developed in March 2008 and updated in 2011, William Winchester Elementary was listed as the second school on the Modernization priority list. The original building was constructed in 1962 with additions constructed in 1980, 1986, 1990, and 2010. Capital renewal of the building structure and building systems (such as mechanical, electrical, fire alarm, roofing) is required to maintain the school system's physical assets. The instructional and support spaces need to be modernized to facilitate today's instructional program. The installation of fire suppression system will enhance life safety and reduce insurance costs.
East Middle School Modernization
Project Description:
This project involves the modernization of the existing East Middle School building of 120,400 square feet. Due to the fact that the original bulding is 75 years old, and the last time it was renovated was 1975, the entire building will need to be brought up to current educational and building standards. In order to determine the best way to modernize this school, a Feasibility Study needs to be performed to evaluate options for addressing the physical and educational deficiencies at the school.
Project Justification:
Based on the Physical and Functional Assessment Report developed in March 2008 and updated in 2011, East Middle School was listed as the third school on the Modernization priority list. The original building was constructed in 1936 with additions constructed in 1950, 1964, and a modernization in 1975. Capital renewal of the building structure and building systems (such as mechanical, electrical, fire alarm, roofing) is required to maintain the school system's physical assets. Acessibilty issues will need to be addressed to provide access to all programs located within the building. The instructional and support spaces need to be modernized to facilitate the instructional program. The installation of fire suppression system will enhance life safety and reduce insurance costs. .
West Middle School Modernization
Project Description:
This project involves the modernization of the existing West Middle School building of 135,733 square feet. Due to the fact that the majority of this building will be over 50 years old at the time of modernization, the entire building will need to be brought up to current educational and building standards. In order to determine the best way to modernize this school, a Feasibility Study needs to be performed to evaluate options for addressing the physical and educational deficiencies at the school.
Project Justification:
Based on the Physical and Functional Assessment Report developed in March 2008 and updated in 2011, Westminster West Middle was listed as the fourth school on the Modernization priority list.The original building was constructed in 1958 with additions constructed in 1964 and in 1996. The instructional and support spaces need to be modernized to facilitate the instructional program. The installation of fire suppression system will enhance life safety an reduce insurance costs. Additions have resulted in individual life safety systems associated with each addition have been coupled together. Replacement of aging building systems and components such as electrical, plumbing, life safety, security, technology and telecommunication systems; and heating systems is required to protect the school system's physical assets. This modernization will also address ADA accessibility concerns; and reconfigure the building interior support the middle school educational program delivery.
Prior
Total Project
Westminster High School Modernization
Project Description:
This project involves the modernization of the existing Westiminster HIgh School building of 337,050 square feet. Due to the fact that the majority of this building will be 50 years old at the time of modernization, the entire building will need to be brought up to current educational and building standards. In order to determine the best way to modernize this school, a Feasibility Study needs to be performed to evaluate options for addressing the physical and educational deficiencies at the school.
Project Justification:
Based on the Physical and Functional Assessment Report developed in March 2008 and updated in 2011, Westminster High School was listed as the sixth school on the Modernization priority list. The original building was constructed in 1970 with additions being constructed in 1985 (Ag. Science), and in 2010 (Mechanical Rooms). This project will bring the aging school up to current educational standards and provide a modern facility that meets all county, state, and federal codes and requirements.
Prior
Taneytown Elementary Kindergarten Addition
Project Description:
Based on projected kindergarten enrollments, two additional kindergarten classroom will be necessary to accomodate additional kindergarten students. The preliminary scope of this project includes the construction of two new kindergarten classrooms, a new prekindergarten classroom, and the renovation of the current prekindergarten classroom to provide access to the new addition. The final scope will be determined once an architect is hired, and the Construction Planning Committee is formed.
Project Justification:
Full-day kindergarten was mandated by the State of Maryland through its Bridge to Excellence Act, during the 2002 legislative session. The school was originally constructed with 2 kindergarten classrooms. These two classrooms were not sufficient to accomodate the 65 kindergarteners who were enrolled in 2011. Due to the shortage of kindergarten classrooms, some classes are being held in classrooms that were not designed to meet the instructional needs of kindergarten students. Based on the current enrollment projections, this will continue to be a problem for the school until additional kindergarten classrooms are provided.
Cranberry Station Elementary Kindergarten Addition
Project Description:
Based on projected kindergarten enrollments, two additional kindergarten classroom will be necessary to accomodate these students. The preliminary scope of this project includes the construction of two new kindergarten classrooms. The final scope will be determined once an architect is hired, and the Construction Planning Committee is formed.
Project Justification:
Full-day kindergarten was mandated by the State of Maryland through its Bridge to Excellence Act, during the 2002 legislative session. The school was originally constructed with 2 kindergarten classrooms. These two classrooms were not sufficient to accomodate the 78 kindergarteners who were enrolled in 2011. Due to the shortage of kindergarten classrooms, some classes are being held in classrooms that were not designed to meet the instructional needs of kindergarten students. Based on the current enrollment projections, this will continue to be a problem for the school until additional kindergarten classrooms are provided.
Friendship Valley Elementary Kindergarten Addition
Project Description:
Based on projected kindergarten enrollments, two additional kindergarten classroom will be necessary to accomodate these students. The preliminary scope of this project includes the construction of two new kindergarten classrooms. The final scope will be determined once an architect is hired, and the Construction Planning Committee is formed.
Project Justification:
Full-day kindergarten was mandated by the State of Maryland through its Bridge to Excellence Act, during the 2002 legislative session. The school was originally constructed with 2 kindergarten classrooms. These two classrooms were not sufficient to accomodate the 74 kindergarteners who were enrolled in 2011. Due to the shortage of kindergarten classrooms, some classes are being held in classrooms that were not designed to meet the instructional needs of kindergarten students. Based on the current enrollment projections, this will continue to be a problem for the school until additional kindergarten classrooms are provided.
Science Room Renovations
Project Description:
These projects are part of the Look of the Future High School Science Classroom state initiative. This involves the renovation of aging science classrooms and the introduction of the Carroll County Public Schools' technology component into these renovated science laboratory spaces. A large number of high school science classrooms were renovated in the 1990's as part of this initiative. The projects included in this request include the remaining unrenovated high school science classrooms.
The following projects are scheduled:
North Carroll High School (6 classrooms) - Design (FY15) & Construction (FY16)
Westminster High School (6 classrooms) - Design (FY16) & Construction (FY17)
South Carroll High School (3 classrooms) - Design (FY17) & Construction (FY18)
Liberty High School (4 classrooms) - Design (FY18) & Construction (FY19)
Project Justification:
The modernization of the science facilities provides a learning environment more consistent with the laboratory experiences the students will experience after graduation. These science facilities will provide the environment necessary to deliver quality science instruction to meet the goals of the science program in the Carroll County Public Schools.
HVAC - Improvements and Replacements
Project Description:
This on-going project includes funding for the replacement of aging Heating, Ventilation and Air Conditioning (HVAC) equipment in school facilities. This project also includes funding for Scope Studies which will be performed a year prior to the budget request.
Future Planned Projects include:
Career & Technology Center system replacement - Scope Study (FY14), Design (FY15) & Construction (FY16) Winfield Elementary system replacement - Scope Study (FY17), Design (FY18) & Construction (FY19) Sandymount Elementary system replacement - Scope Study (FY16), Design (FY17) & Construction (FY18) Spring Garden Elementary system replacement - Scope Study (FY15), Design (FY16) & Construction (FY17) New Windsor Middle system replacement - Scope Study (FY18), Design (FY19) & Construction (FY20)
Project Justification:
Replacement of these systems and equipment is required to protect the building systems' contents and improve ventilation and provide a controlled interior environment to support the learning environment. Due to the fact that there are new ventilation and humidity control requirements necessary for indoor air quality, the complexity of these systems require a detailed study to determine the full scope of project. These Scope Studies will be performed prior to the budget request to examine the options available and determine the actual project budget.
Systemic Roof Replacements
Project Description:
This project involves the replacement of roofs that are beyond their life cycle and are exhibiting signs of approaching failure and are no longer repairable. Their replacement is necessary to protect building components and contents, and preserve the learning environment.
The following projects are scheduled:
Westminster High - Design (FY15) & Construction (FY16) Francis Scott Key High - Design (FY16) & Construction (FY17) South Carroll High - Design (FY17) & Construction (FY18) Mechanicsville Elementary - Design (FY18) & Construction (FY19) Sandymount Elementary - Design (FY18) & Construction (FY19) East Middle - Design (FY19) & Construction (FY20) Winfield Elementary - Design (FY19) & Construction (FY20)
Project Justification:
Replacement of roof will be required to protect building structure, building components, and preserve the learning environment which supports the educational programs. Without a roof replacement program, the roofs will continue to deteriorate, which allows water to infiltrate the building envelope. This water infiltration will damage the structural roof deck, interior ceilings, floor and wall finishes, building contents, and provide the conditions which could lead to air quality issues in the building.
Electrical System Upgrades
Project Description:
These projects involve the upgrade of electrical service, replacement of aging distribution boards, installation of additional electrical branch circuits to accommodate the increasing use of technology, installation of emergency and stand-by power circuits, and replacement of aging generators.
FY15 - East Middle
FY16 - Career & Technology Center
FY17 - Westminster High
FY18 - Sykesville MIddle
Project Justification:
The electrical systems in older schools are starting to have pieces of equipment that need to be replaced. At the same time, the dramatic increase of the use of technology equipment has created electrical demands that were not present when these older schools were designed. This increasing dependence on technology has also created certain emergency and stand-by power requirements that did not exist when these schools were constructed. These projects will address all of these issues in a comprehensive manner as opposed to continuing to piece meal solutions to these problems.
Fire Alarm System Replacements
Project Description:
This project involves the replacement of the fire alarm systems within the schools. This replacement includes the central alarm panel, annunciator panel, pull stations, smoke, heat and duct detectors, signaling devices and other peripheral devices.
FY15 - Mt. Airy Elementary School
FY17 - Career & Technology Center
FY16 - Westminster East Middle
Project Justification:
As the fire alarm systems at these schools continue to age it becomes increasing difficult to purchase replacement parts, make repairs and maintain communication between the components of the separate systems. These systems are approaching obsolescence and will require replacement to assure compliance with Life Safety Codes.
Window Replacements
Project Description:
These projects involve the replacement of windows that are beyond their life cycle and are exhibiting signs of approaching failure. Their replacement with modern energy efficient windows is necessary to protect building components and contents, and preserve the learning environment.
FY15 - Sykesville Middle
FY17 - South Carroll High
FY16 - Westminster East Middle
FY18 - Westminster High
Project Justification:
Replacement of old single-pane windows is required to protect building structure and building components, to maintain good indoor air quality, and to improve the energy efficiency of these aging facilities. Without a window replacement program, the exterior building envelope will continue to be compromised. As a result, these failing windows will continue to waste energy and provide the conditions which could lead to air quality issues in the building.
APPENDIX A - CCPS STUDENT F.T.E. ENROLLMENT
ACTUAL FOR 1996 - 2011 AND PROJECTED FOR 2012-2021
-
Special Special
413
304
31
588
314
334
55
365
-12 -111 -362 -223 -368 -280
-323 -273 -315 -293 -237 -42 -64
44
39
206
Notes:
1 Enrollments are F.T.E. counts. All actual enrollments are September 30th official student enrollment count.
2 "Change" column indicates change from prior year.
3 Post Secondary and Flexible Student Support students are not included in totals
Carroll County Public Schools Actual & Projected Enrollment
ELEMENTARY SCHOOLS
Educational Facilities Master Plan - 2012-2021
Comparisons are based on total State Rated capacity with FTE
CARROLL COUNTY PUBLIC SCHOOLS
RELOCATABLE CLASSROOM PLACEMENT 2012-13
| School Type | School Name | Number of Classrooms | Type of Relocatable Unit |
|---|---|---|---|
| ELEMENTARY MIDDLE HIGH SPECIAL | Carrolltowne | 12 | 2 doubles, 2 quads |
| | Charles Carroll | 2 | 1 double |
| | Eldersburg | 4 | 2 doubles |
| | Freedom | 6 | 1 quad, 1 double |
| | Friendship Valley | 4 | 1 quad |
| | Hampstead | 4 | 2 doubles |
| | Linton Springs | 2 | 1 double |
| | Mechanicsville | 2 | 1 double |
| | Mt. Airy | 2 | 1 double |
| | Piney Ridge | 6 | 3 doubles |
| | Robert Moton | 4 | 2 doubles |
| | Spring Garden | 2 | 1 double |
| | Westminster | 6 | 3 doubles |
| | William Winchester | 8 | 4 doubles |
| | Winfield 2 1 double Westminster East 4 2 doubles | | |
| | Mt. Airy | 10 | 2 quads, 1 double |
| | Oklahoma Road | 4 | 2 doubles |
| | Sykesville | 8 | 4 doubles |
| | Westminster West Liberty | 2 7 | 1 double 4 doubles* |
| | North Carroll | 2 | 1 double |
| | Westminster Carroll Springs | 8 2 | 1 quad, 2 doubles 1 double |
| | Gateway School | 2 | 1 double |
| | Career & Tech Center | 8 | 4 doubles |
* One double classroom relocatable is being utilized as one science lab.
|
Parent/Student Handbook 2021-2022
Mission Statement
The mission of Springfield Elementary, in partnership with family and community, is to provide a safe, caring, and engaging environment for students while creating a desire for lifelong learning.
OFFICE HOURS
7:05-3:15 PM M-F (School Year Hours) 7:30-3:30 M-Th (Summer Hours)
Main office phone: 803-548-8150 Website: http://sfes.fortmillschools.org/
Twitter: @SESHoovesUp Principal: Mr. Adam Fantone
The purpose is to provide you with an overview of school procedures. If you have questions not addressed here, please feel free to call the school and ask. Education is a shared commitment between teachers, students, and parents. Please click a link in the table of contents below to access information.
Arrival & Dismissal Times
Lost and Found
Arrival & Dismissal Guidelines
Attendance
Bookbags
Bullying
Chaperones
Classroom Celebrations
Classroom Communication
Curriculum Information
Custody
Daily Schedule
Deliveries
Discipline & Conduct
Dress Code
Early Dismissal
Emergency Drills
FERPA
Grades
Homework Policy
Homebound
Inclement Weather
Invitations
Makeup Work
Medical
Money
Pets
Physical Education
Promotion & Retention
PTO/PTA
Restraint
Risk Assessment
Returning to class after school
School Counselors
School Improvement Council
Standardized Tests
Student Cell phones/Electronic Devices/Personal Items
Student Meals
Tardies
Technology
Textbooks
Transportation
Visitors to School
ARRIVAL AND DISMISSAL TIMES:
* 7:05 a.m. Breakfast/Car Rider Drop-Off & Adult supervision begins.
* 7:05 a.m.
Students admitted to classrooms and Teacher arrival time
* 7:35 a.m. Instructional Day begins
* 2:00 p.m. Bus students & Car riders dismissed
* 2:50 p.m. End of workday for teachers
ARRIVAL & DISMISSAL GUIDELINES:
Safety is our top priority. We need your help to ensure that students are not in dangerous situations. By following the guidelines below, we can work together to make sure our children get to school and leave safely. For the safety of all, we ask that drivers not talk on cell phones during pick-up and delivery. We ask that you not smoke in your vehicles or when on school premises during drop-off, pick-up, or visits to the school. Everyone is reminded of the district policy prohibiting smoking on any school property, including buildings, grounds, and parking lots at any time. Please be sure younger children accompanying you are supervised.
ARRIVAL: To maximize safe and efficient arrival of our students, drivers should approach the school using Springfield Parkway and following the signs for student drop-off. When dropping off your child(ren) please pull forward as far as you can in the drop-off line (this will help keep the line moving quickly and we can unload more cars). ALL STUDENTS SHOULD EXIT FROM THE CURB-SIDE (RIGHT SIDE) OF THE VEHICLE. Since the instructional day begins at 7:35 a.m., no students should arrive before 7:05 (when adult supervision begins) or after 7:35 a.m. Students arriving after 7:35 a.m.. should go directly to the office with a parent to sign them in and get a pass to the classroom. It is also not acceptable to drop your students off at the crosswalk. Should you wish to walk your students to the crosswalk, you must park in the parking lot. Students should not leave the vehicle until an adult is outside.
BUS PARKING LOT (Back of the School): State law requires separation of car and bus pick up areas. Only school district buses are allowed to park in the back parking lot. Employees have parking spaces in the bus lot. It is dangerous for our students to be allowed to walk around buses to get to or from cars. The buses must not be blocked as they have many routes to run.
DISMISSAL: Parents should use the front entrance on Springfield Parkway for afternoon departure. Cars must not be left unattended in traffic lanes. When picking up children, parents need to stay in their cars and in the car rider line until it is their turn to have the child walk to the vehicle. This is to ensure a fluid transition for everyone, and if followed, will allow for a shorter time spent in line.
CAR TAGS: Parents will be given a card to be placed on the right front dash or the rear view mirror. The student's name should be printed in LARGE, DARK letters, so the duty personnel can call for the student. For safety reasons, anyone without a card will be required to park in the parking lot and come into the building's front door to sign the student out. Without your card, you may be asked to present a driver's license and wait, while student records are checked to see who has permission to pick up the student. Additional cards may be acquired from the office for those authorized to pick up the student. Students should be picked up no later than 2:25 PM. If you are unable to pick up your child by this time, please make arrangements for your child to be picked up by someone else and notify the office of the arrangements in writing by note or e-mail. This is extremely important.
For the safety of all,
* All drivers are asked to not talk/text on cell phones during drop-off and pick-up.
* We ask that you turn your car engine off and not allow it to idle while waiting for your student
* We ask that you not smoke in your vehicles or when on school premises during drop-off, pick-up, or visits to the school. Everyone is reminded of the district policy prohibiting smoking on any school property, including buildings, grounds, and parking lots at any time.
* Please do not exit your vehicle to fasten seat belts or open doors for your child(ren). The school will provide an area for you to pull into to complete these tasks.
* Please be sure younger children accompanying you are supervised.
LATE PICKUP: Students should be picked up no later than 2:25 p.m. If you are unable to pick up your child by this time, please make arrangements for your child to be picked up no later than 2:20 p.m. by someone else and notify the office of the arrangements in writing by note or email. SFES may have some late bus students and day care riders who are not picked up when school is let out. These students will be escorted to the gym area to wait on their transportation. While waiting in the gym, students are expected to have some type of material to read and to abide by school rules and expectations.
DAY CARE RIDERS: Since daycare vans take many children at one time and pick up at other schools, they are allowed to pick up students at the back parking lot.
PARENT VOLUNTEERS AND DISMISSAL: Many parents graciously volunteer their time to the school. If you have been volunteering in the building, please follow standard dismissal procedures.
ATTENDANCE:
Good attendance is essential to the academic success of students and all students are expected to be in attendance each day school is in session. Attendance at Springfield Elementary is traditionally outstanding. Each year, we have excellent attendance by our students. This is a tribute to each family's efforts to have their child at school daily. We appreciate this effort! See the FMSD Attendance Policy for more details.
LAWFUL ABSENCES: According to SC Code of Laws 59-65-10, the following types of absences are the only ones considered lawful:
1. Serious, chronic, or extended illness of the student. (If your child has a chronic illness or is hospitalized for an extended period of time, please submit medical verification to the principal.)
2. Serious illness or death in the immediate family.
3. Recognized religious holiday for the students of the particular religious faith when pre-arranged.
4. Pre-arranged absences for other reasons and/or extreme hardships at the discretion of the principal.
Following any absence, a student is required to present a written note from the parent or guardian stating the date(s) of the absence(s), the reason for the absence(s), and the parent's signature. The note should be presented within two days of the child's absence(s). If we do not receive a note explaining the child's absence then it will be coded as unlawful. The school will only accept a parent's written excuse for five total days of absences when the student is ill or absent for another lawful reason. Notes are kept on file by the attendance clerk.
UNLAWFUL ABSENCES: Any absence by a student with or without the knowledge of the parent not meeting one of the conditions for a lawful absence as defined above will count toward the cumulative limit of absences. Written notification will be sent by the school for accumulated absences. A call will be made by the attendance clerk after 3 consecutive absences. When a child accumulates 5 absences that are unlawful or not excused by a medical note, the parents will be required to attend an attendance intervention (truancy) conference and assist the principal or his/her designee in the development of an attendance intervention plan which will be valid in any SC school district. Excessive absences and failure to adhere to guidelines of an intervention plan could result in a family court referral. The school will only accept a parent-written note for five days of absence. Following those days, doctor's excuses are required. All vacations and trips are unlawful reasons for a student to miss school, and will be considered unexcused.
BOOK BAGS
Book bags are required at school. However, rolling book bags are not permitted without a written recommendation of a physician.
BULLYING
Bullying is an ongoing pattern of targeted behavior, not a one-time occurrence. While every effort will be made to shape behavior through positive reinforcement, we must all keep in mind that every child should have the right to study, participate in class, and work in a safe environment. Name calling, intimidation, threats, and disrespectful attitudes toward classmates, volunteers, school staff members, or visitors is not acceptable. Bullying is intentional aggressive behavior. It can take the form of physical or verbal harassment and involves an imbalance of power. It is not acceptable for a child to draw, write, or make threatening statements online or in person. This behavior will be addressed through disciplinary action at the discretion of the school administrator, as per FMSD Board Policy JICFAA. Please be aware that School Board policy and South Carolina Code 59-24-60 require school officials to contact law enforcement officers when a student engages in any activity that may or does result in injury or serious threat of injury to a person or property. Parents are asked to support the schools in their effort to maintain discipline and high standards of conduct. At the beginning of each school year teachers and administrators discuss with students behavior expectations, but parents are requested to discuss with children the importance and the need for good behavior and a positive attitude at school, too. Children must learn self-discipline in order to become effective learners and good citizens. With home-school cooperation, an environment in which all students are safe, secure, and able to learn can be created and maintained.
CHAPERONES
All volunteers in the building and chaperones for off-campus field trips MUST first be approved by our district-wide background check. This check typically takes approximately 2 weeks to complete and may be initiated by completing the form found here. Once approved, chaperone status is in effect for 3 years.
CLASSROOM CELEBRATIONS/LUNCH
Due to a large number of food allergies, homemade or home baked foods are not allowed to be distributed to students within the classroom or applicable classroom setting. Acceptable foods for distribution are those items that were prepared in a commercial and/or licensed kitchen, and most importantly, are packaged with a label clearly listing the contents and ingredients of the food item. Please be mindful that if your child is in an allergy classroom, food brought in may not be allowed to go to the cafeteria and/or classroom depending upon the ingredient list. For example, if there is a peanut allergy in your child's classroom, the packaging must clearly state that it does not contain peanuts. With the continued rise in severe and often life-threatening food allergies, this policy is designed to provide consistency and minimize allergy risks in all classrooms district-wide, while
maintaining a safe and positive learning environment for all students. If you wish to "play it safe" the best option is to refrain from sending in food and opt for pencils, erasers, stickers, etc… Outside food and drink will only be allowed through student lunch boxes or containers. No fast food or food service deliveries will be allowed for students. We appreciate you helping us minimize the amount of deliveries to classrooms with lunches. We understand that sometimes, parents need to deliver lunches for a variety of reasons. Lunch will need to be in a bag or lunch box to come into the building. We will turn away all food delivery services and/or food that is delivered by parents in a restaurant bag or container. If you wish to purchase a birthday snack from the cafeteria, you can inquire here.
https://docs.google.com/forms/d/e/1FAIpQLSerUhJFoBRLXbA6efAjOLpRU5O4g64LHyBTUt9nGkQdn7nzN g/viewform?vc=0&c=0&w=1&flr=0
Balloons are not permitted in classrooms because they can become a distraction to the students.
CLASSROOM COMMUNICATION
Teachers are expected to communicate with their students' families on a weekly basis. Teachers may choose the means in which they communicate. Teachers also have a website maintained through our school webpage. At minimum, on this site, teachers should have their contact information and daily schedule posted. Teachers will also hold one parent-teacher conference in Oct. Additional conferences may be requested by either the teacher, parent, or student.
The main job for our teachers is to provide quality instruction in a safe environment. We encourage you to reach out to your child's teacher should questions, concerns, or general information need to be shared; however, because teachers are busy teaching and planning, please do not expect an immediate response to an email that you send. In general, teachers should be given 24 hours to respond to an email. Parents wishing to confer with teachers on the phone are requested to limit their calls to before or after school hours, as teachers cannot leave their classes for telephone conferences. Administration encourages teachers to leave work at work when leaving for the day.
CURRICULUM INFORMATION:
Springfield has a rigorous academic program that aligns with the SC College and Career Readiness standards, and utilizes best practices in instruction. Curriculum offerings include language arts (reading, literature, oral language, composition, handwriting, and spelling), science, mathematics, social studies, art, music, physical education, and technology. Teachers plan together to create long range, unit, and daily lesson plans which address the SC standards.
A hallmark of our instruction is the use of guided small groups, with the focus on differentiating for the needs of all learners. We utilize a balanced literacy/workshop approach for reading. In math, we utilize a hands-on
guided math approach with a focus on understanding concepts as the foundation for higher math. Our social studies and science programs are hands-on and focus on creating meaning for students through a variety of learning activities. Fort Mill School District (FMSD) is completing a four year partnership with Discovery Education, and we will be working closely with them to create a learning environment that will support our students in being thinkers and problem solvers. As a school, we are Full STEAM Ahead, and we have created an Innovation Lab and have a STEAM/STEM related arts rotation to help students become critical thinkers.
CUSTODY
A change in custody will require new custody papers and a change of address will require a new proof of residency. If you are separated or divorced, we need to have a copy of your custody papers on file.
DAILY SCHEDULE
DELIVERIES
The school will not accept nor deliver to students any items before, during, or after school unless they are of an educational nature/value or medically necessary. When sending balloons or flowers to a child, please use his/her home address. Do not send these items to the school. District procedures do not allow these items on a bus.
DISCIPLINE & CONDUCT
GENERAL BEHAVIOR INFORMATION: At Springfield, we have high expectations for teachers and students. Teachers will create behavior expectations with their students, and may have individual incentive systems. We believe that "discipline" should be considered as teachable moments. Most concerns can be handled by the teacher in the classroom. When behavior has risen to a level when the student, other students, or the staff are endangered, then students may be required to be removed from class. Our goal is to maintain a positive learning environment for all of our students.
While each child is responsible for his or her own behavior, we encourage parental support of the school expectations. In the event that a student is sent to the office for a discipline referral, parents will be notified by an administrator. Depending upon the nature of the problem, some possible consequences for inappropriate actions include parent conferences, denial of privileges, and in school or out of school suspension. Student actions that disrupt class work, involve substantial disorder, or invade the rights of others could be a basis for out of school suspension or expulsion. Examples of these student actions or major offenses are: theft, fighting, possession of weapons, damage to school property, assault of school personnel, defiance of school authority, profanity, obscene literature, distribution of unauthorized materials, possession of drugs and alcohol, blackmail/threats/intimidation, student disorder, and possession of fireworks.
Students will also have the opportunity to receive "Colt Notes". These are notes written by a staff member in order to brag on a student for demonstrating our Colt Characteristics. These characteristics include: Cooperation, Outstanding work, Learner, Trustworthy, Safe. These notes will be collected weekly and random notes will be read during Friday morning announcements. These notes will also be sent home with students to keep.
DRESS CODE
In the interests of health, safety, cleanliness, decency, and decorum, students will follow these guidelines as identified in FMSD Board Policy JICA-R.
Students will follow these guidelines during the traditional school day. School administration reserves the right to permit exceptions to the policy for school-sanctioned events. In the interests of health, safety, cleanliness, decency, and decorum, students will follow these guidelines.
Grades K through Five
Shoes must be worn at all times for safety reasons. Shoes with cleats may not be worn.
Logos or clothing that promotes alcohol, drugs, tobacco, racism, hate, gang affiliation, nudity, violence, or profanity is not allowed. No clothing or accessories are allowed to disrupt the educational process. The administration reserves the right to determine what is appropriate for school.
Students may wear shorts, dresses, skirts, etc. which are of appropriate length. Tops must be long enough that they can be tucked into pants or shorts. Basketball jerseys must be worn with an appropriate garment (i.e. tee shirt). No headwear (hats, caps, hoods, etc.) or sunglasses may be worn in the building.
The following items are considered inappropriate for school:
* flip flops
* tops with straps that are less than 3-fingers wide of the student
* pants or jeans with holes, tears, or tattered to the extent that skin or undergarments are visible above the mid-thigh
* visible undergarments
Violations will result in the following: First and subsequent offenses: phone call to parent/legal guardian
EARLY DISMISSAL
It is requested that students not be picked up before the regular dismissal time. This is an interruption of the educational process, not only for your child, but other children as well. A child must be present for at least half of the school day to be considered present as related to perfect attendance. However, any portion of the day a child can attend is to his/her benefit. Please provide verification for medical appointments. Please schedule these as near the beginning or end of the day as possible so your child can be in school.
If a child will be dismissed from school before the close of the day, please send a note in the morning stating the reason for the early dismissal and the time the child will be picked up. Parents are requested to come to the front door and sign out their child. Students leaving early must be signed out in the office and be dismissed only to a parent or approved adult on the emergency contact list. This procedure is for your child's protection – please keep student information updated to facilitate this function, especially in emergency situations or early weather related school closings. In an effort to minimize disruption at dismissal time, all early checkouts must occur before 1:30 pm.
EMERGENCY DRILLS
Safety of our students and staff is an extremely important priority for us here at Springfield Elementary. We work closely with local law enforcement and first responders to create a safe learning environment for each individual.
1. Fire drills are held at least once a month.
2. Tornado drills are held periodically.
3. Lock down and emergency procedure drills will also take place at least two times a year.
FERPA INFORMATION
The Family Educational Rights and Privacy Act (FERPA) is a Federal law that protects the privacy of student education records. The law applies to all schools that receive funds under an applicable program of the US
Department of Education. The law requires that student records be managed in a confidential manner.
Regulations and procedures for compliance of this act are provided through board policy. For more information about your rights under FERPA, please refer to the district's website .
GRADES
Schools in Fort Mill use a computer program called PARENT PORTAL to post grades. By logging on to this secure program, parents will be able to check the grades of their students in grades 2-5. Teachers will post grades within 2 weeks of the due date of the task. Kindergarten and first grade will be using a Standards Based Report Card.
If you would like to view the report card in its entirety please utilize the desktop version of Parent Portal. Report cards will ONLY be printed and issued to parents IF the parents/guardians request a paper copy. Otherwise, please access your child's grades using Parent Portal. All K-5 grades will be issued report cards on a 9 weeks grading period as an indication of their progress and confirmation of their achievement and are expected to take them home to share with their parents. Schools in Fort Mill use a computer program called PARENT PORTAL to post grades. By logging on to this secure program, parents will be able to check the grades of their students in grades 2-5. Teachers will post grades within 2 weeks of the due date of the task.
Academic achievement will be graded using a numerical grading scale to denote respectively, excellent, good, average, poor, and failing. The numerical ranges for grades will be as follows:
* 90-100 =A = Excellent
* 80-89 =B = Good
* 70-79 =C = Average
* 60-69 =D = Poor
* 59- 0 =F = Failing
The letter S-satisfactory or N-needs improvement will be used to denote participation in certain related arts classes.
HOMEWORK SCHOOL POLICY
1. Homework will be reinforcement activities; no new skills or material will be introduced as part of homework.
2. Written homework will be such that it can be completed with a minimum of parental help.
3. Teachers will send home completed classwork/homework for parental review and support.
4. The teacher will check written homework assignments with pre-established consequences for noncompliance.
5. Homework assignments should be such that they can be completed within a reasonable length of time taking into consideration the age and ability level of the children
6. In addition, children are expected to read daily as part of their homework assignments.
HOMEWORK SUGGESTIONS FOR PARENTS
1. Designate a homework spot and time and be available to assist if help is needed.
2. Encourage your child to write down assignments and check on a daily basis to see what homework is due.
3. When assistance is needed, talk your child through the problem or question until he/she can find the solution.
4. Help your child check his/her homework and discuss specific problem areas.
5. Be observant for signs of problems and if homework becomes too challenging, meet with your child's teacher.
6. Remember to help your child balance household responsibilities, play, and study.
7. Review the classwork that the teacher sends home.
The following resources have been purchased with Student Activities money collected at registration. Students can utilize these resources at home and school. Contact your child's teacher for links and passwords.
SPLASHMATH - Splashmath is a computer based program that allows students to practice math skills at an assigned level. It is available for students in grades K-2.
IXL - IXL is a computer based program that allows students to practice math skills at an assigned level. It is available for students in grades 3-5.
RAZ Kids - RAZ Kids is an online tool for reading that our students can use to practice reading fluency and comprehension. It is available for students in grades K-2.
BOOKFLIX - Bookflix is another online tool to practice reading. It is a primary grade tool, but it is available to all students at OPES.
PEBBLE GO - Pebble GO is a research tool for students in grades K-2 to use when learning about interesting nonfiction topics in science and social studies.
DISCOVERY EDUCATION - Discovery Education is a free tool purchased by the state through textbook funds that allows students in grades 3-5 to research and learn about a variety of non-fiction topics.
HOMEBOUND
Students who experience extended illness or injuries that result in long term absence from school may apply for homebound instruction. Information concerning homebound may be obtained from our school psychologist.
INCLEMENT WEATHER
The decision to close or delay schools will be made by 6:00a.m.. Announcements will be made via SCHOOL MESSENGER®, and on WRHI AM radio, CN2, and Charlotte TV stations (WSOC, WBTV, WSOC). Delays and closings will be posted on the district website www.fortmillschools.org and available at the district office phone number (803-548-2527). Information will be listed for FORT MILL SCHOOL DISTRICT #4, not York County Schools. No breakfast will be served if school is delayed. All half day preschool programs will be cancelled in the event of a school delay.
When weather is threatening, please be sure your child and the teacher know how he/she is to get home if school is dismissed early. The SCHOOL MESSENGER® phone system (803-548-8379) will leave messages about changes of schedules. In order for you to receive these messages, we must have your up-to-date phone number and email address in our database. It is the parent's responsibility to contact after-school care to learn about their procedures.
INVITATIONS
Students and/or teachers may hand out invitations to out-of-school birthday parties or other gatherings, but must be given to the entire class.
LOST AND FOUND
Items found at school are turned into the Lost and Found area in the cafeteria. Students are encouraged to check this area if they are missing any items. Several times a year when the area is overflowing, we take items not claimed to a local clothing closet. Please put your child's name on clothes, lunch boxes, notebooks, etc.
MAKE-UP WORK FOR ABSENCES:
Assignments and class work missed may be made up if a student is absent from school. This is the responsibility of the student. Should assignments not be available for the entire period of the absence, the student is responsible for getting them upon his/her return in order to cover the material missed. Remember that experiments, discussions, group activities, etc. may be difficult to replicate. No graded work done or tests taken by the class while the student is absent will be made up; therefore, the student will have fewer grades at the end of the grading period. Additionally, for any tests given after the student returns, the student will be responsible for the material covered in class while he/she is absent. If any work is not made up, it may affect the student's grade. The work needs to be made up within two days of the absence or at the teacher's discretion. If the student is absent, the parent may call and request to pick up assignments after school in the office. Please do not expect the teacher to provide assignments during the school day.
MEDICAL INFORMATION
IMMUNIZATION REQUIREMENTS: All students in grades Pre-kindergarten through 12 are required to furnish a valid South Carolina Certificate of Immunization prior to enrollment. School officials shall record the immunization data on the student's health record and/or attach a copy of the certificate to the health record. For more information from DHEC, see this link.
HEALTH SERVICES:
Parents will be notified if a student becomes ill or is injured during school. When it is necessary for the student to leave school, a parent, guardian, or designated alternate must sign the student out in the office. The health and well-being of all students is of utmost importance. We will request that you pick up your child if his/her medical condition is unstable, or if he/she is not capable of participating in the daily school activities. This decision is based upon an assessment conducted by the school nurse. In addition, the school must also follow the DHEC School Exclusion List for specific medical conditions to be in compliance with SC State Health guidelines.
If a student brings medication to school, the following requirements must be met:
PRESCRIPTION MEDICATION
1. The Medication Consent Form must be completed and turned in with each medication. The form must be signed by the doctor and the parent.
2. Prescription medicines must be in the pharmacy container with your child's name on it. (Ask your pharmacist for an extra bottle in order to divide the prescription between home and school.)
3. Parents must deliver all medications to school.
4. The medication must carry a prescription label with the following information: student's name, date, medication name, dosage, strength, and the directions for use (frequency, duration, mode of administration), the name of the prescriber, and the name and address of the pharmacy.
1. Medication will be kept in a locked cabinet in the office at all times.
2. School personnel will give medication only with a completed form signed by the parent and the doctor.
3. Medication must not be sent with a child on the bus or with a child walking to school.
1. The Medication Consent Form must be completed, signed by the parent and turned in with the medication when the parent brings it to the office.
2. The over-the-counter medication must be in the original container or box, unopened with the manufacturer's seal intact (not in a plastic bag).
3. The following items will be available in the health room for first aid treatment of your child during the school day: Saline eye wash, Vaseline, Hydrocortisone 1% cream, and Aloe Vera. If you do not wish for your child to be treated with these items, please send a written note to the nurse including your child's name, the teacher's name, the date, and your signature.
4. NO other medications are supplied by the school.
NOTE: ASPIRIN OR PRODUCTS CONTAINING ASPIRIN CANNOT BE GIVEN OUT WITHOUT A DOCTOR'S PRESCRIPTION.
CONTAGIOUS DISEASES: Students with contagious diseases are not allowed to attend school. Children should be kept at home if they have experienced vomiting or fever during the night. Students should be fever free for 24 hours without using medicine to bring the temperature down before returning to school.
Online Reporting of Close/Household Contacts or Positive COVID-19 Cases
The district will continue to use the online reporting system to receive information regarding close/household contacts or positive COVID-19 cases. Please click on the link below to report information. The reporting form can also be accessed on the district website at fortmillschools.org.
Student Reporting Form
Staff Reporting Form
Please report information to the online system as soon as you receive it to allow the district to begin contact tracing as soon as possible. A FAQ sheet regarding online reporting is available on the district website or byclicking here.
If your child is displaying symptoms and awaiting test results please notify your school nurse by phone or email: Jennifer Miller, RN (803) 548-8150 or email@example.com
Students will need to contact their school regarding missed assignments or schoolwork during their quarantine or isolation period.
MEDICAL EMERGENCIES: If medical emergencies arise, the school nurse and school administrator will enact medical care deemed appropriate to the student (i.e. call 911 or transport the student to the hospital). In these cases, the schools will make every attempt to contact the parent/guardian. Please be sure to keep your student's emergency information updated with correct phone numbers. If a parent/guardian is out of town and has left their child in the care of another adult, written documentation should be on file with the school. This documentation will authorize the school to contact the alternate person in case of illness or a medical emergency.
SCHOOL INSURANCE: Our school district partners with Bollinger Insurance to offer parents a variety of economical insurance plans: Student Accident Insurance, Life Insurance and Dental Accident Insurance. Enrollment information is available at: www.bollingerschools.com/site.
MONEY
For your convenience, Springfield utilizes online payments only through the $Pay Fees application on our website and on the FMSD website. This includes your payments for lunch funds and field trips. We feel that this process keeps money from being lost at school. The school does not provide refunds for lost checks or cash. If you cannot pay online, here are the options available to you:
1. You may pay with a credit card at the school.
2. If you must send a check, please put it in a sealed envelope with the child's first and last name, the teacher's name, and the purpose, e.g. Zoo Field Trip. Your check must have a phone number or it cannot be accepted. You may write the phone number in the memo line if it is not printed.
3. PLEASE do not send cash to school with your children for payment of field trips, etc. If you must pay in cash, please drop it off at the school. However, if your child participates in our school store (operated by our fifth graders), then you may send cash with them. The school is not responsible for any lost cash.
PETS
Pets are not allowed on school property as a violation of health code, and as a courtesy to students and staff who may have allergies or anxieties related to animals. If you should choose to bring your pet through the car rider line, then they must remain calmly in their car. We have had small ones afraid of the loud barking of the dog, and dogs have jumped out of cars. We all love our pets, and we must remember that the primary purpose of the car rider line is to have students enter safely and happily into the school. Designated service dogs may be on school property.
PHYSICAL EDUCATION:
Physical education is required by the state for all students unless the student has an excuse from a physician due to a physical disability. If a child must be excused for a temporary illness, a note from a parent or doctor must be sent with the child. Any illness extending more than a week must be excused by a doctor. Children must wear athletic shoes to participate in Physical Education.
PROMOTION AND RETENTION OF STUDENTS:
Every parent and teacher would like for students to move along successfully through each grade. Our goal is to evaluate each child's skills at the beginning of the year and provide instruction to ensure academic growth throughout the year. Please examine student work that is returned for your review because it will help you to see how your child is progressing. Parent conferences in October will provide you with another opportunity to discuss your child's progress.
State law requires that the school send a letter at the end of the second quarter (usually January) and at the end of the 3rd quarter (usually in March or early April) to alert parents of the possibility of retention for a student. The final decision will be made prior to the start of the next year, but the letters give parents a chance to work together with the teacher to make the progress needed to meet state standards for their grade. If you receive a retention letter, it does not mean that your child will be held back because we continue to hope that she/he will improve and be ready for the next grade. Retention can often be prevented by making sure the child completes and turns in all assignments, examining the possibility of health issues which may affect classroom performance, providing a routine time and place for the child to study daily, reading daily with the student, and making sure children have enough sleep. If you are unsure of what your child needs to know to pass, you can visit the state website at http://www.ed.sc.gov and search for curriculum standards, or ask your child's teacher or administrator for the information. Many things are taken into account in determining if a child is ready for the next grade: attendance, mastery of state standards, knowledge of the English language, age, physical size, intellectual ability, previous grade placement, behavior, maturity, level of achievement, motivation and disabilities are all considered. A Light's Retention Scale is a normed assessment used by elementary schools in Fort Mill to assist with making this important decision. Review Board Policy IKE-R Promotion And Retention Of Students for additional information.
PARENT-TEACHER ASSOCIATION (PTA)
Our school encourages your participation in PTA sponsored activities during this year. Our PTA is an extension of the school family, and is dedicated to the support of instructional programs, teaching/learning, and safety. This important group has one major fundraiser each year (Boosterthon). In addition, the PTA needs volunteers to help with special programs and serve on committees. Please consider volunteering your time to assist this organization in helping all classrooms, teachers, and students through their many beneficial projects. See the SES PTA website for more details and information about ongoing events.
REHABILITATIVE BEHAVIORAL HEALTH SERVICES
A mental health worker from Rehabilitative Behavioral Health Services sees children on-site that qualify for the services of that agency. Teachers or parents may refer children. Parent permission is required for service.
RESTRAINT
For the purposes of these guidelines, physical restraint is defined as a personal restriction that immobilizes or reduces the ability of an individual to move his or her arms, legs, or head freely. This definition encompasses mechanical restraints, further defined as a device that restricts the movement or function of a child or a portion of a child's body.
Restraint, as defined by these guidelines, does not include the following:
1. temporarily holding an individual to help him or her participate in education or daily living activities;
2. escorting techniques, where a student is provided limited physical encouragement to help him or her move from one location to another without rising to the level of physically forcing compliance (e.g., hand on the back or a hand on the elbow);
3. chemical restraints (medication for safety or behavioral supports) determined by medical personnel;
4. appropriate use of adaptive equipment or products, provided they are used in accordance with manufacturers' recommended usage.
a. Adaptive equipment may include, but is not limited to, adaptive seating products or therapeutically prescribed devices such as weighted vests.
b. If adaptive equipment, such as a Rifton chair or weighted vest is used for the purpose of limiting mobility or as a punitive measure, its use constitutes restraint.
The use of restraint is limited to emergency situations where the behavior of the student poses a threat of imminent, serious, physical harm to self and/or others and the student has the ability to cause such harm. Restraint may be used only as a last resort after proper positive behavioral interventions and de-escalation techniques have failed to de-escalate the risk of injury. Restraint should never be used: 1. as punishment; 2. to force compliance or address non-compliance; 3. as a substitute for appropriate educational support; 4. in response to property destruction; 5. in response to a student's flight, escape, or running away, unless there is imminent risk of injury related to the escape; 6. in response to verbal threats and profanity that do not rise to the level of physical harm unless the student demonstrates a means of carrying out the threats; 7. longer than needed to resolve the risk of actual harm.
Necessary Documentation & Review: The use of restraint in the school setting triggers the district's obligation to create and maintain specific documentation regarding the incident. Documentation must include:
1. actions attempted prior to the restraint in an effort to manage or de-escalate the situation;
2. a clear description of the safety concerns posed to the student or others;
3. student's behavior before, during, and after restraint;
4. location of the restraint;
5. amount of time in restraint;
6. a description of the physical restraint techniques used and training personnel received prior to implementing restraint;
7. names and position titles of personnel involved with the incident;
8. date and time the administrator was notified;
9. date and time the parents were notified and by whom;
10. name and position of person(s) completing the documentation.
Training: Restraint training must be provided, and reviewed, at least annually, by a credentialed trainer through a nationally recognized, externally developed professional training program. The training must include the following components:
1. prevention of behavior problems through a positive behavioral supports climate;
2. conflict prevention and conflict management skills;
3. de-escalation skills that enable staff members to respond to students in ways more likely to calm, rather than escalate, the situation;
4. information on physical and emotional risks of escalation and restraint;
5. instruction on personal safety skills for staff who work with students who are more likely to present safety concerns;
6. prohibition on the use of prone restraints (face down on stomach) with the exception of approved Crisis Prevention Institute (CPI) endorsed floor restraints, supine restraints (face up on the back), or any hold or maneuver that places pressure or weight on the student's chest, lungs, sternum, diaphragm, back, neck, or throat. The training program used must include some method of assessment that ensures appropriate skills are in place. The program must also provide documentation that a participant has successfully completed the training, either through a certificate or other credential. Fort Mill Schools must keep a list of those who have completed training, including a description of the content of the training, on file. The school district retains discretion as to which personnel should receive restraint training. However, training must be provided to enough staff members that the school district can ensure a sufficient number of staff is available if restraint is used.
RISK ASSESSMENTS
The safety and security of all students is of utmost importance to our faculty and staff. Should a concern arise about a student being a danger to him/herself or others, District protocols for conducting a risk assessment (suicide and/or threat) will be followed to the extent appropriate. These assessments may include interviews with students and staff, a review of student records, and consultation with district mental health staff, local law enforcement, or other community agencies that help support our schools and students. If, as part of its assessment and response, the District determines there is an articulated and significant threat to the health or safety of a student or other individuals, it may disclose personally identifiable information from education records to any person whose knowledge of the information is necessary to protect the health or safety of the student or other individuals.
RETURNING TO CLASS AFTER SCHOOL
Students are responsible for bringing home materials needed for assignments. Should a student need to return to class after school hours, we ask for that student to report to the front office to be escorted back to the classroom. At no point should a student or adult enter a classroom after hours without an escort from the school.
SCHOOL COUNSELORS
The School Counseling program strives to prepare all students for academic, social/emotional, and career success by providing data-driven, comprehensive school counseling programming. School Counselors teach core curriculum to all students to support academic, social/emotional, and career development. They offer small group and short-term individual counseling services as needed to support student success in the school environment. School counselors do not provide long-term counseling or therapy and will refer parents to outside resources for ongoing issues or issues beyond the scope of school counseling (trauma, mental health, family dynamic, etc). Parents can refer students to the school counselor by reaching out to their child's school counselor via phone or email or in person by appointment. Students can self-refer by writing a note to the school counselor and placing it in the school counselors' secure student mailbox. Students may inform their teacher that they would like to see the school counselor in which case the teacher would put in a referral on behalf of the student. School counselors are available to consult and collaborate with teachers and parents to help students achieve school success. They can provide information about community resources for families as well as recommendations for books or online resources upon request.
Parent Resources
The school counselors are available to consult and collaborate with parents and teachers to support student success. You may want to consult the counselor when you have concerns about your child's social/emotional well-being and behavior as these areas may impact school success. Please reach out via phone or email to your child's school counselor if you wish to discuss concerns or if you would like to learn more about the Springfield Elementary School Counseling Program. School counselors can sit in on parent-teacher conferences upon request when there are social/emotional or behavior concerns present.
SCHOOL IMPROVEMENT COUNCIL
All elementary schools have a School Improvement Council made up of teachers, parents, and administrators that will help to facilitate communications between the community and the school. Officers of the PTA may be elected to serve on the School Improvement Council. Additional members will be elected later in the fall.
STANDARDIZED TESTS
Standardized tests are administered in grades K through 5 as indicated below with a brief description:
| | K | 1st | 2nd | 3rd | 4th |
|---|---|---|---|---|---|
| KRA | X | | | | |
| COGAT Ability Test | | | X | | |
| STAR Reading & Math | X | X | X | X | X |
| MAP (Fall) | | | X | | |
| Fountas and Pinnell (F&P) Reading Assessments | X | X | X | X | X |
| State Achievement Test (SCReady & SCPASS) | | | | X | X |
Kindergarten Readiness Assessment (KRA)| A readiness test given individually to kindergarten students within the first 45 days of school.
COGAT | An ability test usually administered in the fall of 2 nd grade to select participants in the Gifted and Talented Math and English Language Arts for grades 3-5.
Measures of Academic Progress (MAP) | MAP testing will only be administered to students in second grade. The assessment is used to assess achievement in reading, math, and language arts and will be administered in the fall. The students will receive a RIT score that serves as an estimation of his/her instructional level and will also help select participants in the Gifted and Talented Math and English Language Arts for grades 3-5.
STAR Reading & Math | STAR Reading & Math is a standards-based, computer-adaptive assessment that measures students' reading comprehension. These assessments are administered throughout the year and provide teachers formative data to guide instructional decisions in the classroom throughout the school year.
F&P Reading Assessments | The F&P Benchmark assessment (fall & spring, as well as throughout the year as needed) is used to determine student's independent and instructional reading levels. Teachers are able to observe student reading behaviors one-on-one, engage in comprehension conversations that go beyond retelling, and make informed decisions that connect assessment to instruction.
SC Ready (May) | The South Carolina College-and Career-Ready Assessments (SC READY) are statewide assessments in English language arts (ELA) and mathematics. The SC READY Assessment items measure student performance on the 2015 South Carolina College-and Career-Ready Standards.
SCPASS (May) | The South Carolina Palmetto Assessment of State Standards (SCPASS) is a statewide assessment administered to students in grade four for science. SCPASS test items measure student performance on the South Carolina Academic Standards. SCPASS test items are written to assess the content knowledge and skills described in the academic standards and indicators.
STUDENT CELL PHONES/ELECTRONIC DEVICES/PERSONAL ITEMS
Student cell phones should be kept in a book bag. Electronic devices, including cell phones, must be turned off during the school day and while on the school grounds. A cell phone may not be used during the day to play games or to text message. The student may not use a cell phone to call or text a parent during the school day without a teacher's permission. This includes devices like smartwatches or electronic communication devices that serve as telephones. If a student has a smart watch and is only using the basic watch features while at school, it is fine to have and wear. Students should not use the watch features that make it function like a phone, such as calling, texting, using apps, or playing games. If this is happening, the teacher can ask the student to put the device away in their book bag or confiscate it and contact the parent. We want to minimize distractions and maximize engagement in our school environment.
As noted in School Board Policy JICJ, the school principal or his/her designee will have the authority to limit the use, take disciplinary action and/or confiscate electronic communication devices if the use or possession of these devices may cause or is causing a disruption to the school and/or event. Unauthorized use of a cell phone or personal electronic device may include, but is not limited to, taking pictures or recording without permission, cheating, harassment or bullying, use during any emergency drill, use during unauthorized time or use for unlawful activities.
The use of e-readers may be permitted under the supervision of the teacher. It is a privilege for students to use their personal electronic devices at school and this privilege can be taken away if students act irresponsibly or violate school policy.
All personal items such as toys, fidgets, trading cards, etc. must remain in bookbags and not be removed during the school day. A fidget may only be used when deemed necessary by the parents and teacher.
STUDENT MEALS
Our cafeteria staff serves breakfast and lunch at school every school day. Breakfast is served in the classroom and we encourage our students to eat breakfast with their classroom or at home. Lunch this school year will be served in the classroom. Students will sign up with their teachers every morning and will be delivered to the classroom. Meals will also be offered by drive thru service for those students in virtual. Please refer to the Student Nutrition portion of the website to learn more about this program. Menus, nutritional and allergen information are available on our website and teachers post the menu in their rooms. There is also a free App available for your smartphone, Mealviewer.
Snacks may be sent in for celebrations, but must be prepackaged and have a label. Please be sure to check with the office or nurse if you have any concerns or questions about allergies in your classroom. The cafeteria offers a Celebration Basket to help celebrate your student's special day. Please click the link to order a basket for your student's classroomhttps://docs.google.com/forms/d/e/1FAIpQLSerUhJFoBRLXbA6efAjOLpRU5O4g64LHyBTUt9nGkQdn7nzN g/viewform?vc=0&c=0&w=1&flr=0
We also have extra sale items, milk, ice cream, juice, water and snacks to purchase via the cafeteria. If you do not want your student to purchase extras, you will need to send a note to the cafeteria. All foods served by the cafeteria meet state and federal guidelines. Our kitchens are tree nut and peanut safe. All managers have had extensive training in food safety and sanitation and are Certified Food Protection Managers.
The following are easy ways to pay for extra items purchased through the cafeteria:
* Online via the district website's Pay Fees lunch card feature. You are also able to see meal purchases and balances. You can set up email alerts for balances on Parent Portal.
* By a separate check made out to your school's cafeteria. The check should not include other school fees. Please note the child's cafeteria account number on the check - if the check is written for more than one child, each child's account number and the amount to credit to each child should be noted on the check. Include a phone number.
* Cash is also accepted as payment but is strongly discouraged as it can be lost.
* Transfer of funds from one sibling to another is also available via the Student Nutrition tab on the website.
Meal costs are free for the 2021-2022 school year.
The price for adult breakfast is $2.75; adult lunch is $4.30.
Applications for free and reduced-price meals are available at all times in the school office, in the cafeteria and on the district website and you can apply online at www.lunchapplication.com. Students must reapply each school year.
Our cafeteria does not deny students meals and we allow students to charge meals up to $15. Automated calls, emails and letters are sent out weekly for students who owe the cafeteria money. If your student owes more than $15 a charged alternate meal will be provided until payment is received or a payment plan is established. (Board Policy AR EF.)
When this pandemic is over, the students will return to eating lunch in the cafeteria and meal time guests will be able to join their students in the cafeteria. Outside food to be shared with students will be allowed again as long as our policies are followed. Due to the number of food allergies, homemade or home baked foods are not allowed to be distributed to students within the classroom or applicable classroom setting. Acceptable foods for distribution are those items that were prepared in a commercial and/or licensed kitchen, and most importantly, are packaged with a label clearly listing the contents and ingredients of the food item. This policy is designed to provide consistency and minimize allergy risks in all classrooms, while maintaining a safe and positive
learning environment for all students. (Board Policy J LCDD) Our district also has a Wellness Policy (Board Policy ADF and EFE).
TARDIES
Our school day begins at 7:35am. Students arriving after 7:35 a.m. are tardy. These students must report to the office with a responsible adult to be signed in for admittance to class. Tardies cost your child valuable educational instruction. Tardies also interrupt the learning process for other students. Be considerate of other students' education. Excessive tardiness may result in an intervention meeting for development of an attendance plan which will remain in the child's record and transfer to any receiving school.
TECHNOLOGY
Please click the link to access information on our district technology policies: Tech Policy
TEXTBOOKS
Textbooks are provided by the state and the school is accountable to the state for these resources. Students are responsible for all textbooks and library books issued to them during the school year. Students will be charged replacement costs for lost or damaged books, and these monies will be collected by the end of the year to replace the state funded textbook. If a lost book is later found, the money paid will be refunded.
TRANSPORTATION
TRANSPORTATION CHANGES: Parents are to notify your child's teacher and our front office staff of any transportation changes. Teachers are to receive a written note stating: the way of transportation, the date, and a parent signature. Please do not call the school about a transportation change. We need written documentation (note with your signature, or email from your email address) that a change will occur so participating parties can be accurately informed. It is the parent's responsibility to notify daycares of changes. All transportation change requests must be made by 12:00 p.m.
BUS TRANSPORTATION (ALSO REFER TO INFORMATION FROM THE TRANSPORTATION
DEPARTMENT): Administrators, parents, bus drivers, and students share the responsibility for safe transportation of students. Riding a bus is a privilege and must not be abused. Action will be taken by district and school officials to ensure that all students conduct themselves properly. Where there is evidence of misconduct by any student, action will be taken to correct the situation. It is important to review the bus rules and expectations set forth by our district transportation department prior to riding on a school bus. Please note that students will not be allowed to ride a different bus home with friends without prior approval from the
district transportation office. A complete list of school bus rules, policies and procedures can be found through the Fort Mill School District Transportation website.
To ensure a safe environment on each bus, the school fully supports the driver in maintaining safe bus habits. Anyone who violates these safety standards will be subject to disciplinary action by school officials; when necessary, bus transportation will be denied. The driver will report to the school authorities any offenses committed by the students on the bus. When a student is reported for an infraction of the bus rules, the school administrator will investigate the incident and take necessary disciplinary action. A copy of the incident report will be provided to the parents. When a student is suspended from riding a bus, he/she cannot ride another bus during the suspension period.
Students are assigned to buses at the beginning of the year, and any variation must be approved by the Director of Transportation. If your child needs to ride a different bus home than the one that picks him/her up, then a special request must be made to the district Director of Transportation. Students will be allowed to ride a different bus only as room allows. Forms for making these requests are available in the school office.
It is the desire of the Fort Mill School District that all students arrive at school and home safely. We appreciate your help in ensuring student safety.
VISITORS TO SCHOOL
Visitors and volunteers must enter by the front door and stop by the office.
We appreciate that many parents and grandparents like to help our school. In order to provide a learning environment free from distractions, we ask that volunteers dress in an appropriate manner, check in at the office, turn off cell phones, and avoid unscheduled conferences. Children are not allowed to accompany volunteers in our school. Volunteers should plan to attend the volunteer orientation. Because the maintenance of copying machines can be expensive, we require that volunteers be trained by a Springfield staff member before using any school machines.
Opportunities where we may have visitors include school programs, parent-teacher conferences, bookfair and other special events. Due to increased safety measures and rotating lunch schedules, we will no longer welcome visitors during our lunch period. Security doors to other parts of the building will be opened by an office person after the visitors log in at the computer and scan their driver's license or official government-issued identification. Security procedures require that badges of visitors/volunteers must be visible at all times. Visitors must always sign in at the office and obtain this visitor badge before entering the school building. This ensures all students' safety by letting office and classroom personnel know who is in the building. The school will communicate events that allow parents to attend in a safe and controlled manner.
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СТАНОВИЩЕ
от доц. д-р Емил Костадинов Бузов
за дисертационен труд на тема: ПРОГРАМНАТА СИСТЕМА В ДЕТСКАТА ГРАДИНА - ПРОБЛЕМИ И ТЕХНОЛОГИИ ЗА УПРАВЛЕНИЕ
за присъждане на образователната и научна степен „доктор"
Област на висше образование: 1. Педагогически науки
Професионално направление: 1.1. Теория на управление на
образованието
Обучаваща институция: Югозападен университет „Неофит Рилски" – Благоевград, катедра по „Управление на образованието и специална педагогика", факултет по Педагогика
Дисертант: София Мардик Димитрова
Научен ръководител: проф. д-р Невена Филипова
1. Данни за докторантурата, дисертацията, автореферата и публикациите
София Димитрова е записана като задочен докторант през 2018 и е отчислена през 2022 година, а със заповед на Ректора № 2728/13.12.2022 г. е открита процедурата по защита на дисертационен труд за присъждане на ОНС „доктор". Не са представени за сведение допуснати нарушения по отношение на процедурата за докторантурата, както и за изпълнението на дисертацията. Дисертационният труд е обсъден на заседание на катедра „Управление на образованието и специална педагогика" - Факултет по педагогика при ЮЗУ и насочен за публична защита.
Дисертационният труд, който София Димитрова предлага за обсъждане, е с теоретико-изследователски и практико-приложен характер Той е с общ обем от 210 страници, 205 страници основен текст и 5 страници с приложения. Представени са 7 страници с литература, като по темата са използвани 154 източника, от които 35 са на латиница, 2 на руски и 16 линка. В основния текст се съдържат 14 диаграми и хистограми, 10 таблици и 14 схеми. Приложението съдържа проект на общинска програма „Тих следобеден режим", анкетна карта за родители и представители на семейната общност, както и документ за т.нар. информирано съгласие. Дисертационният труд има класическа структура – увод, три основни глави, които включват теоретична част, дидактически модел с организация на изследването и емпирична част с анализ, които са в логическо единство и придават цялостност и завършеност на работата. Налице са и заключение, изводи и описани приносни моменти, които са неотменна част от предложения труд. Приложен е и автореферат, който съдържа 50 страници и отразява обективно съдържанието на дисертационния труд, като дава цялостна представа за неговата структура и за резултатите от изследването. Структуриран и оформен е съобразно изискванията. Депозирани са и 5 статии, едната от които е в съавторство и отразяват различни аспекти на дисертационното изследване.
Цялостното изследване е подчинено на поставената изследователска цел, свързана с особено важна тема за управлението на предучилищната образователна институция, а в частност – ролята и мястото на иновативната Програмна система, като модел за организация на дневния режим на децата от четвърта възрастова група в детската градина. Налице е задълбочен и изчерпателен анализ на произхода, значението и приложението на понятията „технология", „иновации" и „образователна среда" в контекста на правно-нормативното осигуряване, произтичащ от Закона за предучилищно и училищно образование (ЗПУО). Теоретичният анализ включва обзор и систематизиране на различни научни концепции, свързани с изследването на гореспоменатата проблематика. Дори в един момент се стига до „неуловимост" на различията или на приликите на тези понятия. Може би това идва от обстоятелството на многото споменати определения на редици изследователи в тази област или от различните все още полярни гледни точки на разисквания проблем. Веднага искам да отбележа, че това обстоятелство по скоро увеличава теоретичната значимост на дисертационния труд, вместо да я намалява.
Проведеното изследване е в логическа взаимовръзка с теоретичната част, както и с общата идея на дисертационния труд. Налице е ясно поставена цел, добре формулирани задачи, обект и предмет на изследването и многоаспектност на хипотезата. Подбран е изследователски инструментариум, който гарантира, от една страна, надеждност на резултатите, а от друга – неговата устойчивост. Получените в хода на емпиричното изследване резултати са обработени, задълбочено анализирани и много добре онагледени. Изведени са ясни и добре систематизирани обобщения и изводи, логически следващи цялостното теоретично и емпирично изследване. Текстът е добре подреден, четивен и лесен за възприемане и осмисляне.
2. Констатации и препоръки
Във връзка с представения дисертационен труд на тема: „Програмната система в детската градина - проблеми и технологии за управление" могат да се направят следните 2 констатации и 2 препоръки:
Констатации:
1. Дисертационния труд има подчертана теоретико и практикоприложна значимост, без да се омаловажават неговите научни достойнства
2. Относно теоретичните приноси са налице няколко много важни такива като: проведено е задълбочено проучване сред родителите и директорите на детски градини за изясняване същността на следобедния сън на децата посещаващи детска градина и разработване и апробиране на модел на иновативна Програмна система за разрешаване на този казус
Препоръки:
1. Предизвикателство на предложения дисертационен труд е опитът да се разработи, апробира и внедри на база сравнение на различни гледни точки, включително и тази на автора, иновативна Програмна система, което дава възможност за допълнителни изследвания и проучвания по тази тема
2. Налице е реална възможност предложената иновативна Програмна система, на база констатираните доказателствата, да разшири своята приложимост в различни населени места, както и да бъдат разработени собствени познавателни книжки и други допълнителни дидактически ресурси, които да компенсират времето, когато децата не спазват режима на „спане".
В тази връзка бих искал да поставя и следния въпрос: Смятате ли да актуализирате цялостното съдържание/структура на иновативната Програмна система „Тих режим", така, че тя и съдържателно и дейностно да отразява своето новаторство?
3. Заключение
Въз основа на гореизложеното считам, че разработеният дисертационен труд на тема: „Програмната система в детската градина - проблеми и технологии за управление" с автор София Мардик Димитрова притежава всички необходими и задължителни характеристики на качествено научно изследване с подчертани приноси за педагогическата теория и практика и преди всичко в организацията и управлението на образователната институция. Това ми дава основание да изразя убедеността си, че той заслужава да бъде оценен по достойнство.
Заявявам своя положителен вот за присъждане на образователната и
научна степен „доктор" на София Мардик Димитрова в професионално
направление: 1.1. Теория на управление на образованието
10.01.2023 г.
Плевен
Изготвил становището:
доц. д-р Емил Бузов
5
OPINION
by associate professor Emil Kostadinov Buzov, PhD
for a dissertation on the topic:
THE PROGRAM SYSTEM IN THE KINDERGARTEN - MANAGEMENT PROBLEMS AND TECHNOLOGIES
for awarding the educational and scientific degree "doctor"
Field of higher education: 1. Pedagogical sciences
Professional direction: 1.1. Theory of educational management
Educational institution: South West University "Neofit Rilski" - Blagoevgrad,
Department of "Educational Management and Special Pedagogy", Faculty of
Pedagogy
Dissertation student: Sofia Mardik Dimitrova
Research supervisor: Prof. Dr. Nevena Filipova
1. Data on the doctorate, dissertation, abstract and publications
Sofia Dimitrova was enrolled as a part-time doctoral student in 2018 and was dismissed in 2022, and by Rector's order No. 2728/13.12.2022, the procedure for the defense of a dissertation work for the award of the ONS "Doctor" was opened. No violations have been reported regarding the procedure for the doctoral studies, as well as the execution of the dissertation. The dissertation work was discussed at a meeting of the "Management of Education and Special Pedagogy" department Faculty of Pedagogy and referred for public defense.
The dissertation that Sofia Dimitrova offers for discussion is of a theoreticalresearch and practical-applied nature. It has a total volume of 210 pages, 205 pages of main text and 5 pages of appendices. 7 pages of literature are presented, and 154 sources are used on the topic, of which 35 are in Latin, 2 in Russian and 16 links. The main text contains 14 charts and histograms, 10 tables and 14 diagrams. The application contains a draft of the municipal program "Quiet Afternoon Regime", a survey card for parents and representatives of the family community, as well as a document on the so-called an informed consent. The dissertation work has a classic structure - an introduction, three main chapters that include a theoretical part, a didactic model with research organization and an empirical part with analysis, which are in logical unity and give completeness and completeness to the work. There is also a conclusion, conclusions and described points of contribution, which are an integral part of the proposed work. An abstract is also attached, which contains 50 pages and objectively reflects the content of the dissertation work, giving an overall idea of its structure and the results of the research. It is structured and shaped according to the requirements. Five articles were also deposited, one of which is coauthored and reflects different aspects of the dissertation research.
The overall study is subordinated to the set research goal, related to a particularly important topic for the management of the preschool educational institution, and in particular - the role and place of the innovative Program system, as a model for organizing the daily regime of the children of the fourth age group in the kindergarten. There is an in-depth and comprehensive analysis of the origin, meaning and application of the concepts of "technology", "innovation" and "educational environment" in the context of the legal-normative provision arising from the Act on Pre-school and School Education (APSE). The theoretical analysis includes an overview and systematization of various scientific concepts related to the study of the aforementioned issues. Even at one point, the differences or similarities of these concepts become "uncapturable". Perhaps this comes from the circumstance of the many mentioned definitions of ranks of researchers in this field or from the different still polar viewpoints of the debated problem. I want to note right away that this circumstance rather increases the theoretical significance of the dissertation work, instead of reducing it. The conducted research is in a logical relationship with the theoretical part, as well as with the general idea of the dissertation work. There is a clearly set goal, well-formulated tasks, object and subject of the research and multifacetedness of the hypothesis. A research toolkit has been selected that guarantees, on the one hand, the reliability of the results and, on the other hand, its sustainability. The results obtained in the course of the empirical research have been processed, thoroughly analyzed and very well illustrated. Clear and well-systematized summaries and conclusions are drawn, logically following the overall theoretical and empirical research. The text is well organized, readable and easy to understand and understand.
2. Findings and recommendations
The following 2 findings and 2 recommendations can be made in connection with the presented dissertation work on the topic: "The program system in the kindergarten - management problems and technologies".
Findings
1. The dissertation work has an emphasized theoretical and practical-applied significance, without belittling its scientific merits
2. Regarding the theoretical contributions, there are several very important ones such as: an in-depth study was conducted among parents and directors of kindergartens to clarify the nature of the afternoon sleep of children attending kindergarten and to develop and test a model of an innovative Program System to solve this case
Recommendations
1. A challenge of the proposed dissertation work is the attempt to develop, approve and implement, based on a comparison of different points of view, including the author's, an innovative Program System, which provides an opportunity for additional research and studies on this topic
2. There is a real possibility that the proposed innovative Program System, on the basis of the evidence found, will expand its applicability in different settlements, as well as develop its own educational books and other additional didactic resources to compensate for the time when children do not comply with the regime of "sleep".
In this regard, I would also like to ask the following question: Do you plan to update the overall content/structure of the innovative "Silent Mode Program system" so that it both content and activity reflects its innovation?
3.
Conclusion
Based on the above, I believe that the developed dissertation work on the topic: "The program system in the kindergarten - problems and management technologies" with author Sofia Mardik Dimitrova has all the necessary and mandatory characteristics of qualitative scientific research with highlighted contributions to pedagogical theory and practice and above all in the organization and management of the educational institution. This gives me reason to express my conviction that he deserves to be judged on merit. I declare my positive vote for awarding the educational and scientific degree "doctor" to Sofia Mardik Dimitrova in the professional direction: 1.1. Theory of educational management
10.01.2023, Pleven
Prepared the opinion:
Associate Professor Emil Buzov, PhD
|
Edinburgh Research Explorer
Control of mammalian retrotransposons by cellular RNA processing activities
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Heras, SR, Macias, S, Cáceres, JF & Garcia-Perez, J 2014, 'Control of mammalian retrotransposons by cellular RNA processing activities', Mobile Genetic Elements, vol. 4, pp. e28439. https://doi.org/10.4161/mge.28439
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Control of mammalian retrotransposons by cellular RNA processing activities
Sara R Heras a , Sara Macias b , Javier F Cáceres b & Jose L Garcia-Perez a a GENYO; Centre for Genomics and Oncological Research: Pfizer/University of Granada/ Andalusian Regional Government; Granada, Spain
b Medical Research Council Human Genetics Unit; Institute of Genetics and Molecular Medicine; University of Edinburgh; Western General Hospital; Edinburgh, UK Published online: 06 Mar 2014.
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To cite this article: Sara R Heras, Sara Macias, Javier F Cáceres & Jose L Garcia-Perez (2014) Control of mammalian retrotransposons by cellular RNA processing activities, Mobile Genetic Elements, 4:2, e28439, DOI: 10.4161/mge.28439
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Commentary
Control of mammalian retrotransposons by cellular RNA processing activities
Sara R Heras, 1, * Sara Macias, 2 Javier F Cáceres, 2, * and Jose L Garcia-Perez 1, * 1GENYO; Centre for Genomics and Oncological Research: Pfizer/University of Granada/Andalusian Regional Government; PTS Granada, Spain.; 2Medical Research Council Human Genetics Unit; Institute of Genetics and Molecular Medicine; University of Edinburgh; Western General Hospital; Edinburgh, UK
Keywords: LINE-1, SINE, retrotransposon, Microprocessor, small RNAs, DGCR8, Drosha, transposable elements, Dicer, microRNAs
Abbreviations: TE, transposable element; LINE- 1 or L1, long interspersed element; RC-L1, retrocompetent L1; SINE, short interspersed element; LTR, long terminal repeat; UTR, untranslated region; ORF, open reading frame; DGCR8, DiGeorge syndrome critical region 8 gene; mES cells, mouse embryonic stem cells; sRNAs, small RNAs; siRNAs, small-interfering RNAs; RNAi, RNA interference; piRNAs, piwi-interacting RNAs; AGO, argonaute; miRNA, microRNA; DCR, Dicer
Submitted: 01/19/2014
Revised: 03/02/2014
Accepted: 03/05/2014
Published: 03/06/2014
Citation: Heras SR, Macias S, Caceres JF, Garcia-Perez JL. Control of mammalian retrotransposons by cellular RNA processing activities. Mobile Genetic Elements 2014; 4:e28439; http://dx.doi.org/10.4161/mge.28439
Retrotransposons make up roughly 50% of the mammalian genome and have played an important role in genome evolution. A small fraction of non-LTR retrotransposons, LINE-1 and SINE elements, is currently active in the human genome. These elements move in our genome using an intermediate RNA and a reverse transcriptase activity by a copy and paste mechanism. Their ongoing mobilization can impact the human genome leading to several human disorders. However, how the cell controls the activity of these elements minimizing their mutagenic effect is not fully understood. Recent studies have highlighted that the intermediate RNA of retrotransposons is a target of different mechanisms that limit the mobilization of endogenous retrotransposons in mammals. Here, we provide an overview of recent discoveries that show how RNA processing events can act to control the activity of mammalian retrotransposons and discuss several arising questions that remain to be answered.
*Correspondence to: Sara R Heras; Email: email@example.com; Javier F Cáceres; Email: firstname.lastname@example.org; Jose L Garcia-Perez; Email: email@example.com or L1) elements constitute 17% of our genomic mass, and are the only active class of autonomous retrotransposons in humans. 1,2 However, only 80–100 L1 elements per genome are capable of mobilization and are termed retrotransposition competent L1s (RC-L1s). 4,5 Additionally, SVA (a repetitive element named after its main components, SINE, VNTR and Alu) and Alu elements belong to the class SINE (short interspersed elements), which are non-autonomous retrotransposons mobilized using the enzymatic machinery encoded by RC-L1s. 6-8 NonLTR retrotransposons move in genomes using a "copy and paste" mechanism, which involves reverse transcription of an intermediate RNA and insertion in a new genomic location (reviewed in refs. 2, 9, and 10). Notably, the retrotransposition mechanism of non-LTR retrotransposons is fundamentally different to the process of LTR retrotranspososition, as non-LTR reverse transcription occurs in the nucleus, at the site of insertion. Finally, RC-L1s are also responsible for the generation of processed pseudogenes, 11-13 and the preferential mobilization of certain non-coding cellular RNAs. 14-16 Thus, the activity of a single type of TE has generated a third of our genome and their activity continues to impact our genome.
Commentary to: Heras SR, Macias S, Plass M, Fernandez N, Cano D, Eyras E, Garcia-Perez JL, Cáceres JF. The Microprocessor controls the activity of mammalian retrotransposons. Nat Struct Mol Biol 2013; 20:1173-81; PMID:23995758; http://dx.doi.org/10.1038/nsmb.2658
www.landesbioscience.com
A human RC-L1 comprises a 6 kb sequence containing a ~900 bp 5′untranslated region (UTR), two intact Open Reading Frames (ORFs), a short 3′UTR that ends in a poly-A tail and are usually flanked by variable length Target Site Duplications (TSDs, reviewed in refs. 9, 10, and 17). ORF1 encodes a e28439-1
It is becoming increasingly evident that Transposable Elements (TEs) have been instrumental in shaping eukaryotic genomes. Indeed, TEs are responsible for the generation of at least half of the human genome, 1 and although most TE insertions are "molecular fossils," which have lost the ability to mobilize, active TEs continue to impact our genome. 2 At present, only members of the non-LTR retrotransposon class (LINE-1, Alu, and SVA) are active in the human genome. 3 Long Interspersed Element-1 (LINE-1
Mobile Genetic Elements
~40 KDa protein with RNA binding and nucleic acid chaperone activity, 18,19 while ORF2 encodes a ~150 KDa protein with ENdonuclease (EN) 20 and Reverse Transcriptase (RT) activities. 21 Both proteins are strictly required for L1 retrotransposition. 22 Retrotransposition starts with the generation of a full-length mRNA from an RC-L1 at a discrete genomic location using an internal promoter located in its 5′UTR. 23 Notably, the 5′UTR of human LINE-1s also contains a conserved antisense-promoter of unknown function (AS 24,25 ). Upon maturation, the L1 mRNA is exported to the cytoplasm where translation takes place. 26,27 Both encoded proteins presumably bind back to the same mRNA from which they were translated, forming a RiboNucleoprotein Particle (RNP) that is a supposed retrotransposition intermediate. 28-30
The ongoing activity of TEs may result in insertional mutagenesis processes that could accumulate throughout the human genome and could lead to negative consequences for the cells/tissues affected. Indeed, TE mobilization processes has been associated with almost 100 human disorders 31 due to the disruption of a gene unit, by alteration of splicing, by gross alterations at the insertion site or by interfering with transcription among other mechanisms (reviewed in refs. 2, 9, 10, and 31). Given that retroelements can affect the genome in a myriad of ways, it is not surprising that the cell has generated diverse mechanisms to regulate their activity. A main target in TE regulation is the TE intermediate RNA, as this serves as a template to generate a new insertion, and is also required for protein translation in the case of autonomous elements (Fig. 1). Indeed, the majority of methylated cytosines in human genomic DNA occur in repetitive sequences and it has been proposed that DNA methylation evolved primarily as a defense mechanism against TEs. 32 Notably, the 5′UTR of mammalian L1s contains a CpG island and L1 expression has been shown to be repressed by DNA-methylation of this region. 32,33 Somatic human tissues may contain most L1-CpG islands methylated, but these promoters are hypomethylated during early embryogenesis. 34 Thus, it is considered that new TE insertions e28439-2
in humans can be accumulated during early embryogenesis (reviewed in ref. 35). Notably, recent data by several laboratories have revealed that RNA-derived processes may represent an additional layer of regulation, that is part of a dynamic battlefront to control TE mobilization (Fig. 1).
RNA-Mediated Mechanisms of TE Control
A class of small RNAs, Piwi-interacting RNAs (piRNAs), is associated with the Piwi clade of Argonautes and acts to repress mobile genetic elements in the germline of both Drosophila and mammals 36 (Fig. 1, left side). piRNAs are generated by RNA-transcription of long TE clusters, resulting in the accumulation of short mature piRNAs in the cytoplasm by the ping-pong mechanism (reviewed in ref. 36). piRNAs then act as guides to destroy complementary transposon transcripts by endonucleolytic cleavage (i.e., within piwi complexes 36 ). Briefly, during the ping-pong cycle, primary piRNAs are processed and loaded into MILI containing complexes. This complex is thought to cleave TE antisense transcripts generating secondary piRNAs that are associated with MIWI2. MIWI 2 then cleaves TE sense transcripts producing new sense piRNAs that are again loaded into MILI. 37,38 Additionally, both in Droshophila and mammals some piwi members may localize to the nucleus, but their nuclear function is not fully understood. Furthermore, there is a clear connection to DNA-methylation, as the mouse piRNA pathway is required for de novo DNA methylation and silencing of TEs in germ cells. 37 Thus, it is thought that the combined action of DNAmethylation and piRNAs may control the accumulation of new TEs in germ cells of mammals. Indeed, most TE insertions in humans and mice seem to be accumulated during early embryogenesis and new insertions in germ cells are rare. 35,39,40
We have recently described that the Microprocessor, a nuclear protein complex involved in microRNA (miRNA) biogenesis, may act as a new post-transcriptional mechanism to control the mobilization of mammalian retrotransposons in the nucleus (Fig. 1, right side). 41 During
Mobile Genetic Elements miRNA biogenesis, the Microprocessor
recognizes and cleaves hairpin RNA struc- tures embedded within the sequence of primary miRNA sequences (pri-miRNAs) in the nucleus. 42-44 The minimal catalytically active Microprocessor is a heterodimer formed by the double-stranded RNA-binding protein, DGCR8 and the RNaseIII enzyme, Drosha. DGCR8 recognizes the pri-miRNA substrate whereas Drosha functions as the endonuclease generating precursor miRNAs (premiRNAs) that are exported to the cytoplasm where they are further processed by another RNase III enzyme, Dicer (DCR), to generate mature miRNAs. 42-44 A DGCR8 HITS-CLIP (high-throughput sequencing of RNA isolated by crosslinking immunoprecipitation) experiment designed to identify novel substrates of the Microprocessor revealed that this complex binds and regulates a large variety of cellular RNAs. 45 The CLIP protocol is based on an UV irradiation step in order to induce covalent links between protein and RNA molecules present within a complex. In principle, this allows to conduct highly stringent immunoprecipitation and washing conditions so that only those RNAs directly bound to the protein of interest are selected (reviewed in refs. 46 and 47). To further assess the reproducibility of this approach, we compared endogenous DGCR8 HITS-CLIP reads with a replicate of the experiment using transiently transfected epitope-tagged DGCR8 protein (pCG T7-DGCR8). Notably, we observed a strong correlation between both experiments, which suggests that the identified DGCR8 targets are indeed specific targets. 45 Interestingly, one third of the DGCR8 RNA targets corresponded to human repetitive sequences, including active TEs. We confirmed that DGCR8 recognizes and binds active retrotransposons (LINE-1, Alu and SVA) in human cultured cells and that the Microprocessor can process LINE-1 and Alu derived RNAs in vitro and likely in vivo. Notably, we also determined that the Microprocessor regulates the abundance of L1 mRNAs and encoded proteins both in human pluripotent cells as well as in DGCR8 − / − mouse Embryonic Stem (mES) cells. 41 Altogether, these data strongly suggest that the Microprocessor controls
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TE expression levels by processing their RNA derived transcripts. Importantly, we demonstrated that the Microprocessor negatively regulates Alu and LINE-1 engineered retrotransposition in cultured HeLa cells, most likely by binding and processing RNA derived from these TEs (Fig. 1). 41 Furthermore, other transposable elements and even processed pseudogenes that require L1-encoded proteins for their mobilization might be indirectly regulated by the Microprocessor. In sum, these data suggest a function for the Microprocessor in restricting non-LTR retrotransposon mobilization; we further propose that this regulation might be relevant in somatic tissues, acting as a repressor of those active TE copies that escape transcriptional
silencing. 41 However, numerous questions remain to be answered. Notably, a high proportion of the reads from HITSCLIP experiments mapped to transcripts derived from inactive TEs in humans, like mRNAs derived from evolutionary older LINE-1 subfamilies, LTR retrotransposons and even DNA-Transposons. That could reflect that this complex has acted www.landesbioscience.com
Mobile Genetic Elements e28439-3
in reducing the impact of TE mobilization through evolution. However, mutation accumulation over time and high error rates of reverse transcriptases encoded by LTR and non-LTR retrotransposons 16,48 make it unlikely that pri-microRNA like structures have remained unchanged through evolution. Thus, we speculate that the binding and likely processing of RNAs derived from inactive TEs could also reflect a more generic function of the Microprocessor: destabilization of non-functional RNAs transcribed within cells. The HITS-CLIP approach also revealed that DGCR8 binds many other types of structured RNAs: several hundred mRNAs/pseudogenes and noncoding RNAs such as rRNAs, snRNAs, snoRNAs (small nucleolar RNAs) and lincRNAs (long intergenic non-coding RNAs). 45,49 We confirmed the direct interaction of DGCR8 with several of those RNA targets (such as mRNAs, snoRNAs, lincRNAs as well as TEs) by immunoprecipitation/RT-qPCR experiments. 41,45 Some of those RNAs could probably correspond to aberrant transcripts or non-functional transcripts that might be destabilized by the Microprocessor in the nucleus. Furthermore, this hypothesis could explain the identification of additional biding sites for DGCR8 in the antisense strand of RC-L1s, Alu and SVA derived RNA sequences, although we cannot rule out that they might have a role in TE biology or genome regulation.
An additional arising question is whether some TE-derived RNA products generated by the Microprocessor are further processed in the cytoplasm by Dicer (DCR) to generate mature and functional miRNAs. Indeed, previous bioinformatic analyses have shown that subsets of canonical mammalian miRNAs are derived from LINE-2 elements and other currently inactive genomic repeats. 50 Notably miRNAs and small-interfering RNAs (siRNAs) are cleaved from short hairpin and double-stranded RNA precursors by DCR endonucleases and bound by Argonaute proteins (AGO) in a large multiprotein complex called RISC (Fig. 1). RISC then targets homologous sequences in cellular RNAs, inducing their degradation or suppressing their translation. Interestingly, a recent study that analyzed the repertoire e28439-4
of small RNAs (sRNAs) in cultured mES revealed a significant depletion of sense and antisense 5′UTR-L1-derived 22ntsRNA in DCR − / − mES cells and qRTPCR experiments showed that a fraction of them were specifically loaded in AGO2, as canonical microRNAs. 51,52 Notably, miRNA or siRNA biogenesis pathways could generate these sRNAs. Interestingly, Ago2 − / − and DCR − / − mES cells also exhibit increased levels of mouse L1 derived mRNAs. Ciaudo and colleagues attributed the activation of LINE-1 in those cells to the depletion of 5′UTR-L1 derived sRNA and proposed that RNAi may act to control retrotransposition in mES cells. Indeed, a model where the bidirectional transcription of opposed L1 retrotransposon sequences 24,25 results in the formation of double-stranded RNAs processed to siRNAs that suppress retrotransposition by an RNA interference mechanism was previously suggested in human cells. 53
Remarkably, it has been recently demonstrated that RNAi has an important function in immunity against viruses in mammals. 54-56 This pathway seems to be active exclusively in stem cells (i.e., early embryogenesis) where the innate antiviral interferon (IFN) response is non functional. 57,58 Indeed, Maillard and colleagues observed that upon infection of mES cells with encephalomyocarditis virus (EMCV) or Nodamura virus, virus-derived small RNAs (vsRNAs) were associated with AGO2, whereas they were undetectable in cells lacking Dicer and decreased upon cell differentiation. 55 Furthermore, the infection of mES cells, hamster cells and suckling mice by Nodamura virus requires RNAi suppression by an inhibitor of Dicer encoded by the virus. 55,56 Altogether, these data suggest that DCR recognizes and cleaves dsRNA in undifferentiated cells and further support that RNAi is an ancient form of immunity that evolved to suppress viruses and transposable elements during early embryogenesis (Fig. 1). Although heritable new TE insertions in humans may accumulate during early embryogenesis, 35,39,40 recent studies have also uncovered a surprisingly load of somatic retrotransposition in selected tissues, mainly in the brain and in several type of tumors (recently reviewed in refs. 59 and 60). Thus, further studies are
Mobile Genetic Elements required to fully understand the contribution of RNA-derived mechanisms in the control of TE mobilization in cancer and the human brain.
DCR and the Microprocessor are involved in miRNA biogenesis. Most miRNAs interact with 3′UTRs of RNA targets inducing their degradation or suppressing their translation. 61 Thus, and in order to test whether the control of L1 mobilization by the Microprocessor is mediated by miRNAs, we used engineered retrotransposition constructs lacking 3′UTR sequences. Importantly, a similar increase in retrotransposition was observed for the construct that lacks the 3′UTR upon Microprocessor depletion, strongly suggesting that the Microprocessor control of L1 mobilization seems to work in an miRNA independent manner. 41 Supporting this hypothesis, luciferase-based reporters containing the 5′UTR of an active LINE-1 produced more reporter activity in the absence of the Microprocessor than in the absence of DCR. 41 Altogether, these data suggest that the Microprocessor and DCR can independently regulate TE RNA levels and subsequent mobilization. Notably, other key factors that may have a role in the dynamic regulation of TE derived RNAs were further identified by Ciaudo et al., as depletion of nuclear Xrn2 and exosome co-factor Rrp6 led to the accumulation of L1 transcripts and L1-ORF1p, correlating with reduced levels of the most abundant sense and antisense L1-derived sRNAs 51 (Fig. 1). Additionally, previous studies have shown that the Microprocessor co-operates with Setx, Xrn2 and Rrp6 to induce the premature termination of transcription by RNA pol II at the HIV-1 promoter. 62 The exosome complex is the major source of 3′ →5′ ribonucleolytic activity in eukaryotic cells and exerts an indispensable role in RNA processing and quality control. 63 Rrp6 is an RNase D-related 3′ →5′ exoribonuclease that provide this activity to the nuclear exosome. 64 Setx is the human homolog of the Sen1 protein in yeast, a RNA/DNA helicase contained in a complex involved in transcriptional termination of several classes of RNAs. Sen1-mediated termination of transcription is potentiated by a 5′ –3 exoribonuclease, Rat1p/Xrn2, that
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following cleavage, degrades the uncapped nascent transcript to promote the release of RNAPII from its template. 65 Whether L1 mRNA destabilization by these RNA surveillance pathways is coordinated with Microprocessor-mediated processing remains to be seen.
In sum, data from different laboratories indicate that several RNA-mediated mechanisms act to control the expression and mobilization of TEs. Importantly, characterization of endogenous LINE-1 mobilization events in stem and somatic cells using the latest advances in high-throughput sequencing and single cell genomic is still required to unambiguously determine
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Disclosure of Potential Conflicts of Interest
No potential conflicts of interest were disclosed.
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Acknowledgments
SRH was supported by a MarieCurie Intra-European Fellowship and a Marie Curie CIG-Grant (PCIG10-GA-2011-303812). SM was the recipient of a long-term EMBO post-doctoral fellowship. JFC is funded by Core funding from the Medical Research Council and by the Wellcome Trust (Grant 095518/Z/11/Z). JLGP lab is supported by FISFEDER-PI11/01489, the Howard Hughes Medical Institute (IECS55007420) and the European Research Council (ERC-Consolidator Grant "EPIPLURIRETRO-309433").
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Volume 4
|
MARIGOLD GLASS INDUSTRIES LIMITED
Regd. Office : Office No. 8, Ganesh Chandra Avenue , 1st Floor, Kolkata 700013
Statement of Audited Financial Results for the Quarter & 12 months ended 31st March 2013
Rs. in Lacs
| Sr. No. | PPPPaaaarrrrttttiiiiccccuuuullllaaaarrrrssss | 3333 MMMMoooonnnntttthhhhssss eeeennnnddddeeeedddd 33331111....00003333....2222000011113333 | PPPPrrrreeeecccceeeeddddiiiinnnngggg 3333 MMMMoooonnnntttthhhhssss eeeennnnddddeeeedddd 33331111....11112222....2222000011112222 | CCCCoooorrrrrrrreeeessssppppoooonnnnddddiiiinnnngggg 3333 MMMMoooonnnntttthhhhssss eeeennnnddddeeeedddd 33331111....00003333....2222000011112222 | YYYYeeeeaaaarrrr ttttoooo ddddaaaatttteeee ffffiiiigggguuuurrrreeeessss aaaassss oooonnnn 33331111....00003333....2222000011113333 |
|---|---|---|---|---|---|
| | | UUUUnnnn----AAAAuuuuddddiiiitttteeeedddd | | | |
| 1 | IIIInnnnccccoooommmmeeee ffffrrrroooommmm OOOOppppeeeerrrraaaattttiiiioooonnnnssss | | | | |
| | a) Net Sales/Income from Operations | (10.00) | 1 80.00 | 82.99 | 2 30.00 |
| | b) Other Operating Income | (10.11) | - | (7.10) | 0.01 |
| | TTTToooottttaaaallll IIIInnnnccccoooommmmeeee ffffrrrroooommmm OOOOppppeeeerrrraaaattttiiiioooonnnnssss ((((NNNNeeeetttt)))) | ((((22220000....11111111)))) | 111188880000....00000000 | 77775555....88889999 | 222233330000....00001111 |
| 2 | EEEExxxxppppeeeennnnsssseeeessss | | | | |
| | (a) Cost of Material Consumed | - | - | - | - |
| | (b) Purchases of Stock-in-trade | 1,829.76 | 180.00 | 82.99 | 2,069.76 |
| | (c) Changes in Inventories of Finished Goods, Work-in-Progress and Stock-in- Trade | (1,839.76) | - | - | (1,839.76) |
| | (d) Employees Benefit Expenses | 4.80 | 2.95 | 1.16 | 10.85 |
| | (e) Depreciation & Amortization Expenses | - | - | - | - |
| | (f) Other Expenses | 21.70 | 4.20 | 3.74 | 32.00 |
| | TTTToooottttaaaallll EEEExxxxppppeeeennnnsssseeeessss | 11116666....55550000 | 111188887777....11115555 | 88887777....88889999 | 222277772222....88885555 |
| 3 | PPPPrrrrooooffffiiiitttt////((((LLLLoooossssssss)))) ffffrrrroooommmm OOOOppppeeeerrrraaaattttiiiioooonnnnssss bbbbeeeeffffoooorrrreeee ooootttthhhheeeerrrr IIIInnnnccccoooommmmeeee,,,, ffffiiiinnnnaaaannnncccceeee ccccoooosssstttt aaaannnndddd eeeexxxxcccceeeeppppttttiiiioooonnnnaaaallll EEEExxxxppppeeeennnnsssseeeessss ((((1111----2222)))) | ((((33336666....66661111)))) | (( ( (7777....11115555)))) | ((((11112222....00000000)))) | ((((44442222....88884444)))) |
| 4 | Other Income/(Loss) | 30.41 | 22.50 | 8.35 | 88.31 |
| 5 | PPPPrrrrooooffffiiiitttt////((((LLLLoooossssssss)))) ffffrrrroooommmm oooorrrrddddiiiinnnnaaaarrrryyyy aaaaccccttttiiiivvvviiiittttiiiieeeessss bbbbeeeeffffoooorrrreeee ffffiiiinnnnaaaannnncccceeee ccccoooossssttttssss aaaannnndddd eeeexxxxcccceeeeppppttttiiiioooonnnnaaaallll iiiitttteeeemmmmssss ((((3333++++4444)))) | (( ((6666....22220000)))) | 11115555....33335555 | (( ( (3333....66665555)))) | 44445555....44447777 |
| 6 | Finance Costs | - | - | - | - |
| 7 | PPPPrrrrooooffffiiiitttt////((((LLLLoooossssssss)))) ffffrrrroooommmm oooorrrrddddiiiinnnnaaaarrrryyyy aaaaccccttttiiiivvvviiiittttiiiieeeessss aaaafffftttteeeerrrr ffffiiiinnnnaaaannnncccceeee ccccoooosssstttt bbbbuuuutttt bbbbeeeeffffoooorrrreeee eeeexxxxcccceeeeppppttttiiiioooonnnnaaaallll iiiitttteeeemmmmssss ((((3333++++4444)))) | (( ((6666....22220000)))) | 11115555....33335555 | (( ( (3333....66665555)))) | 44445555....44447777 |
| 8 | Exceptional Items | - | - | 26.32 | - |
| 9 | PPPPrrrrooooffffiiiitttt((((++++))))////LLLLoooossssssss((((----)))) ffffrrrroooommmm oooorrrrddddiiiinnnnaaaarrrryyyy aaaaccccttttiiiivvvviiiitttteeeessss bbbbeeeeffffoooorrrreeee TTTTaaaaxxxx ((((7777----8888)))) | (( ((6666....22220000)))) | 11115555....33335555 | ((((22229999....99997777)))) | 44445555....44447777 |
| 10 | Tax Expense | - | - | 1.16 | 14.05 |
| 11 | NNNNeeeetttt PPPPrrrrooooffffiiiitttt ((((++++))))////LLLLoooossssssss((((----)))) ffffrrrroooommmm oooorrrrddddiiiinnnnaaaarrrryyyy aaaaccccttttiiiivvvviiiitttteeeessss aaaafffftttteeeerrrr ttttaaaaxxxx ((((9999----11110000)))) | (( ((6666....22220000)))) | 11115555....33335555 | ((((33331111....11113333)))) | 33331111....44442222 |
| 12 | Extra Ordinary Items (Net of Tax Expense of Rs. Lac) | - | ---- | - | ---- |
| 13 | NNNNeeeetttt PPPPrrrrooooffffiiiitttt ((((++++))))////LLLLoooossssssss((((----)))) ffffoooorrrr tttthhhheeee ppppeeeerrrriiiioooodddd ((((11111111----11112222)))) | (( ((6666....22220000)))) | 11115555....33335555 | ((((33331111....11113333)))) | 33331111....44442222 |
| 14 | Share of Profit/(Loss) of Associates* | - | ---- | - | ---- |
| 15 | Minority Interest* | - | ---- | - | ---- |
| 16 | NNNNeeeetttt PPPPrrrrooooffffiiiitttt ((((++++))))////LLLLoooossssssss((((----)))) aaaafffftttteeeerrrr ttttaaaaxxxx,,,, mmmmiiiinnnnoooorrrriiiittttyyyy iiiinnnntttteeeerrrreeeesssstttt aaaannnndddd SSSShhhhaaaarrrreeee ooooffff PPPPrrrrooooffffiiiitttt //// ((((LLLLoooossssssss)))) ooooffff AAAAssssssssoooocccciiiiaaaatttteeeessss ((((11113333----11114444----11115555)))) | (( ((6666....22220000)))) | 11115555....33335555 | ((((33331111....11113333)))) | 33331111....44442222 |
| 17 | Paid-up Equity Share Capital (Face Value of Rs. 10/- each) | 3,605.44 | 2,375.44 | 500.08 | 3,605.44 |
| 18 | Reserves excluding revaluation Reserves as per last Balance Sheet | | | | 846.57 |
| 19 (i) | EEEEaaaarrrrnnnniiiinnnngggg PPPPeeeerrrr SSSShhhhaaaarrrreeee ((((bbbbeeeeffffoooorrrreeee eeeexxxxttttrrrraaaa----oooorrrrddddiiiinnnnaaaarrrryyyy iiiitttteeeemmmmssss)))) ooooffff RRRRssss.... 11110000////---- eeeeaaaacccchhhh ((((nnnnooootttt aaaannnnnnnnuuuuaaaalllliiiizzzzeeeedddd)))) a) Basic b) Diluted | (0.02) (0.02) | 0.06 0.06 | (0.62) (0.62) | 0.09 0.09 |
| 19 (ii) | EEEEaaaarrrrnnnniiiinnnngggg PPPPeeeerrrr SSSShhhhaaaarrrreeee ((((aaaafffftttteeeerrrr eeeexxxxttttrrrraaaa----oooorrrrddddiiiinnnnaaaarrrryyyy iiiitttteeeemmmmssss)))) ooooffff RRRRssss.... 11110000////---- eeeeaaaacccchhhh ((((nnnnooootttt aaaannnnnnnnuuuuaaaalllliiiizzzzeeeedddd)))) a) Basic b) Diluted | (0.02) (0.02) | 0.06 0.06 | (0.62) (0.62) | 0.09 0.09 |
| AAAA | PPPPAAAARRRRTTTTIIIICCCCUUUULLLLAAAARRRRSSSS OOOOFFFF SSSSHHHHAAAARRRREEEEHHHHOOOOLLLLDDDDIIIINNNNGGGG Public Shareholding - Number of Shares - Percentage of Share Holding | 35,646,700 98.87 | 22,211,900 93.51 | 2,150,800 43.01 | 35,646,700 98.87 |
| 18 | Promoter and Promoter Group Shareholding a) Pledged/Encumbered - Number of Shares - Percentage of Shares (as a % of the total Shareholding of Promoter and Promoter Group - Percentage of Shares (as a % of the total Share Capital of the Company | - - - - - - | - - - - - - | - - - - - - | - - - - - - |
| | b) None-Encumbered - Number of Shares - Percentage of Shares (as a % of the total Shareholding of Promoter and Promoter Group - Percentage of Shares (as a % of the total Share Capital of the Company | 407,700 100.00 1.13 | 1,542,500 1 00.00 6.49 | 2 ,850,000 1 00.00 56.99 | 407,700 1 00.00 1.13 |
| BBBB | IIIINNNNVVVVEEEESSSSTTTTOOOORRRR CCCCOOOOMMMMPPPPLLLLAAAAIIIINNNNTTTTSSSS Pending at the beginning of the Quarter Received during the Quarter | Nil Nil | Disposed during the Quarter Remaining Unresolved at the end of Quarter | | |
Notes :
1. Segmental Report for the Quarter as per AS-17 is not applicable for the Quarter.
2. Above resultes were reviewed by Audit Committee taken on record in Board Meeting held on 30th May 2013.
3. The figures of last Quarter are the balancing figures between Audited figures in respect of full financial year and the published year to date figures upto the 3rd Quarter of the Current Financial Year.
4. During the Quarter, the Company has allotted 123.00 Lac Equity Shares on Preferential basis to Non-Promoters Group at a Price of Rs. 12/- per Share.
5. The Auditors of the Company have carried out Audit for the above Financial Results.
Place : Kolkata
Date : 30th May, 2013
MARIGOLD GLASS INDUSTRIES LIMITED
Statement of Assets & Liabilities
Rs. in Lacs
| PPPPaaaarrrrttttiiiiccccuuuullllaaaarrrrssss | | FFFFoooorrrr tttthhhheeee YYYYeeeeaaaarrrr EEEEnnnnddddeeeedddd | |
|---|---|---|---|
| | | 33331111sssstttt MMMMaaaarrrrcccchhhh 2222000011113333 | 33331111sssstttt MMMMaaaarrrrcccchhhh 2222000011112222 |
| | | Audited | Audited |
| AAAA 1 2 3 4 5 BBBB 1 2 | EEEEQQQQUUUUIIIITTTTYYYY &&&& LLLLIIIIAAAABBBBIIIILLLLIIIITTTTIIIIEEEESSSS SSSShhhhaaaarrrreeeehhhhoooollllddddeeeerrrrssss'''' FFFFuuuunnnndddd (a) Share Capital (b) Reserves and Surplus (c) Money Received against Share Warrants SSSSuuuubbbb----TTTToooottttaaaallll ---- SSSShhhhaaaarrrreeee HHHHoooollllddddeeeerrrrssss FFFFuuuunnnndddd Share Capital Money (Pending Allotment Minority Interest* NNNNoooonnnn CCCCuuuurrrrrrrreeeennnntttt LLLLiiiiaaaabbbbiiiilllliiiittttiiiieeeessss (a) Long Term Borrowings (b) Deferred Tax Liabilities (Net) (c) Other Long Term Liabilities (d) Long Term Provisions SSSSuuuubbbb----TTTToooottttaaaallll ---- LLLLoooonnnngggg TTTTeeeerrrrmmmm LLLLiiiiaaaabbbbiiiilllliiiittttiiiieeeessss CCCCuuuurrrrrrrreeeennnntttt LLLLiiiiaaaabbbbiiiilllliiiittttiiiieeeessss (a) Short Term Borrowings (b) Trade Payables (c) Other Current Liabilities (d) Short Term Provisions SSSSuuuubbbb----TTTToooottttaaaallll ---- CCCCuuuurrrrrrrreeeennnntttt LLLLiiiiaaaabbbbiiiilllliiiittttiiiieeeessss TTTTOOOOTTTTAAAALLLL EEEEQQQQUUUUIIIITTTTYYYY &&&& LLLLIIIIAAAABBBBIIIILLLLIIIITTTTIIIIEEEESSSS AAAASSSSSSSSEEEETTTTSSSS NNNNoooonnnn----CCCCuuuurrrrrrrreeeennnntttt AAAAsssssssseeeettttssss (a) Fixed Assets (b) Goodwill on Consolidation* (c) Non-Current Investments (d) Deferred Tax Assets (Net) (e) Long Term Loans & Advances (f) Other Non-Current Assets SSSSuuuubbbb----TTTToooottttaaaallll ---- NNNNoooonnnn CCCCuuuurrrrrrrreeeennnntttt AAAAsssssssseeeettttssss CCCCuuuurrrrrrrreeeennnntttt AAAAsssssssseeeettttssss (a) Current Investments (b) Inventories (c) Trade Receivables (d) Cash & Cash Equivalents (e) Short Term Loans & Advances (f) OtherCurrent Assets SSSSuuuubbbb----TTTToooottttaaaallll ---- CCCCuuuurrrrrrrreeeennnntttt AAAAsssssssseeeettttssss TTTTOOOOTTTTAAAALLLL ---- AAAASSSSSSSSEEEETTTTSSSS | 3,605.44 846.57 - | 477.71 104.11 - |
| | | 4444,,,,444455552222....00001111 | 555588881111....88882222 |
| | | - - - - - - | - - - - - - |
| | | - | - |
| | | 8.32 532.08 14.59 | 396.35 0.63 1.95 |
| | | 555555554444....99999999 | 333399998888....99993333 |
| | | 5555,,,,000000007777....00000000 | 999988880000....77775555 |
| | | - - - - 18.00 | - - - - - |
| | | 11118888....00000000 | ---- |
| | | 1,839.76 - 260.20 24.63 2,864.41 - | 267.26 - 500.20 (1.33) 214.62 - |
| | | 4444,,,,999988889999....00000000 | 999988880000....77775555 |
| | | 5555,,,,000000007777....00000000 | 999988880000....77775555 |
|
ΙΩΑΝΝΗΣ ΣΑΡΙΚΑΚΗΣ
"Μελέτη των κολλαγόνων του στρώματος σε αδενομύωση και ενδομητρίωση"
ΠΕΡΙΛΗΨΗ
Η αδενομύωση αποτελεί καλοήθη πάθηση της μέσης ηλικίας και ειδικότερα πλήττει γυναίκες στα τελευταία χρόνια της αναπαραγωγική τους ζωής. Κλινικές της εκδηλώσεις αποτελούν οι διαταραχές της εμμήνου ρύσεως όπως μηνορραγίες και υπερμηνόρροιες με έντονη συμπτωματολογία που μπορεί να οδηγήσουν σε αναιμία.
Η ενδομητρίωση από την άλλη αποτελεί καλοήθη ανοσολογική οντότητα πλήττοντας γυναίκες στα αναπαραγωγικά τους χρόνια. Συνδέεται με υπογονιμότητα, δυσφορία και χρόνιο πυελικό άλγος. Και οι δύο παθήσεις αποτελούν πεδίο έρευνας καθότι η αιτιολογία τους είναι άγνωστη με αρκετά σκοτεινά σημεία.
Σκοπός της μελέτης αυτής είναι η ανίχνευση της κατανομής και των μεταβολών που παρουσιάζουν οι διάφοροι τύποι κολλαγόνου και δικτυωτών ινών στο ενδομητρικό στρώμα φυσιολογικών ενδομητρίων συγκρινόμενο με το αδενομυωσικό και ενδομητριωσικό στρώμα.
Υλικό της μελέτης απετέλεσαν:
Ομάδα Β) 20 περιστατικά υστερεκτομών με εκτεταμένη αδενομύωση του σώματος της μήτρας. Σε 10 απ' αυτά το ενδομήτριο παρουσιάζεται σε εκκριτική φάση και 10 σε παραγωγική φάση.
Ομάδα Α) 20 δείγματα υστερεκτομών με φυσιολογικό ενδομήτριο, 10 δείγματα αφορούσαν ενδομήτριο παραγωγικής φάσης και 10 ενδομήτριο εκκριτικής φάσης.
Ομάδα Γ) 20 περιπτώσεις ενδομητριωσικών κύστεων ωοθηκών. Τα δείγματα προήλθαν από το Αρχείο του Παθολογοανατομικού Εργαστηρίου του Πανεπιστημίου Αθηνών και ταξινομήθηκαν βάσει κωδικών ούτως ώστε να εξασφαλιστεί το απόρρητο των προσωπικών δεδομένων των ασθενών.
Αποτελέσματα Ομάδα Α (Φυσιολογικό ενδομήτριο): Ηλικία γυναικών: 43-49 που χειρουργήθηκαν λόγω ινομυωμάτων. Δικτυωτές ίνες: 1) παραγωγική φάση: α) Βασική στιβάδα: ίνες γύρω από αγγεία και αδένες β) Λειτουργική στιβάδα: αραιές και μεμονωμένες δικτυωτές ίνες οι οποίες αυξάνουν στη μέση παραγωγική φάση και λίγο πριν την ωορρηξία χωρίς να σχηματίζουν ακόμη δίκτυο. 2) εκκριτική φάση: την 22 η μέρα σχηματίζεται δίκτυο γύρω από τα προφθαρτοειδή κύτταρα του στρώματος. Κολλαγόνο τύπου III παρατηρήθησαν μόνο στο στρώμα φυσιολογικού ενδομητρίου και όχι στους αδένες (0/20). Στην βασική στιβάδα κατά την εκκριτική φάση ελαττώνεται η παρουσία του μέχρι εξαφάνισή του. Η λειτουργική στιβάδα παρουσιάζει μικρές και ασαφείς εναποθέσεις. Κολλαγόνο τύπου I: παρατηρήθηκε μόνο στο στρώμα κυρίως στην παραγωγική φάση και στην βασική στιβάδα. Δεν παρατηρήθηκε στην εκκριτική φάση. Βιμεντίνη: 1) θετική ανοσο-αντίδραση σε 8 στα10 δείγματα στην παραγωγική φάση και σε 7στα 10 δείγματα στην εκκριτική φάση. Εντοπίστηκε εκτεταμένα στα στρωματικά και μεμονωμένα στα αδενικά. CD10: Θετική ανοσοαντίδραση κυρίως στα στρωματικά κύτταρα σε όλες τις περιπτώσεις. Θετική ανοσοαντίδραση σε μεμονωμένα αδενικά κύτταρα ασχέτως φάσης κύκλου (12 από 20 περιπτώσεις).
Ομάδα Β (αδενομύωση σώματος μήτρας): Ηλικία ασθενών από 42-53 ετων που χειρουργήθηκαν για ινομυώματα μήτρας. Αξιολογήθηκε το επιφανειακό ενδομήτριο και οι εστίες αδενομύωσης. Όσον αφορά το επιφανειακό ενδομήτριο δεν παρατηρήθησαν διαφορές από την ομάδα Α. Κολλαγόνο τύπου III – δικτυωτές ίνες: οι αδένες δεν εχρώσθησαν ενώ παρατηρήθησαν στο έκτοπο αδενομυωσικό στρώμα. Κολλαγόνο τύπου I: οι αδένες δεν εχρώσθησαν ενώ παρουσίασε
ασθενή αντίδραση στο έκτοπο ενδομητρικό στρώμα. Βιμεντίνη: θετική αντίδραση στα στρωματικά κύτταρα των εστιών αδενομύωσης στο 70% των περιπτώσεων (14 στις 20) ενώ στα αδενικά στο 20% των περιπτώσεων (4 στις 20). CD10: Θετική αντίδραση για το 80% (16 από 20 περιπτώσεις) των στρωματικών κυττάρων ενώ σε αδενικά κύτταρα στο 25% των περιπτώσεων (5 από 20).
Κολλαγόνο τύπου I: Δεν παρατηρήθηκαν εναποθέσεις κολλαγόνου I στο τοίχωμα των ενδομητριωσικών κύστεων.
Ομάδες Γ (ενδομητριωσικές κύστεις): Ηλικίες ασθενών 18-40 ετών. Δικτυωτές ίνες(Κολλαγόνο τύπου III): δεν παρατηρήθηκε στο τοίχωμα των κύστεων ενώ παρατηρήθηκε κυρίως στη μυελώδη μοίρα της ωοθήκης και γύρω από αγγεία.
Συμπεράσματα Παρατηρείται κατανομή κολλαγόνου και δικτυωτών ινών στο στρώμα φυσιολογικού ενδομητρίου και αδενομύωσης, με μεταβολές κατά τις φάσεις του κύκλου, όχι όμως στην ενδομητριωση. Βιμεντίνη παρατηρείται σε στρωματικά και αδενικά κύτταρα. Ο δείκτης CD10 είναι ο πλέον ευαίσθητος και εξειδικευμένος και αναδεικνύει το στρώμα σε ενδομητρίωση ακόμα και αν δεν υπάρχουν ενδομητρικά αδένια.
SUMMARY
Adenomyosis is a benign disease of middle age and affects women especially in the last years of their reproductive life. Clinical manifestations are menstrual disorders and hypermenorrhea with intense symptomatology that may lead to anemia.
Both diseases and especially endometriosis are the focus of research concerning their pathogenesis and the molecular events related to it and the therapeutic approach to these conditions.
Endometriosis is a disorder that is affecting women in their reproductive years and is associated with infertility, chronic pelvic discomfort and pain.
The purpose of this study is to detect the distribution and changes to the various types of collagen and reticular fibers in the normal endometrial stroma in compariton to stroma of adenomyosis and endometriosis.
Materials and Methods: Group A) 20 samples of hysterectomies with normal endometrium, (10 endometrial samples were proliferative phase and 10 secretory phase endometrium).
Group B) 20 cases of hysterectomies with extensive adenomyosis of uterus. In 10 of them the endometrium occurs in secretory phase and 10 in the proliferative phase. Group C) 20 cases of endometrioid ovarian cysts. The samples came from the archives of the Pathology Laboratory of Areteion University Hospital and classified under codes to ensure the privacy of patient data.
Results Group A (Normal endometrium): Patients Age: 43-49 years old operated on for uterine fibroids. Reticular fibers: 1) proliferative phase: a) Basalis layer: fibers around blood vessels and glands b) Functionalis layer: sparse and isolated reticular fibers which increase in the mid proliferative phase just before ovulation even without forming network. 2) secretory phase: the 22nd day network formed around decidual stromal cells. Type III collagen were observed only in the stroma of normal endometrium and not in the glandular cells (0/20). In the basalis layer during the secretory phase reduced collagen until its disappearance. Functionalis shows small and vague deposits. Collagen type I: observed in the stroma mainly of the proliferative phase and in the basalis layer. It is not observed in the secretory phase. Vimentin: 1) positive immunoreaction in 8 samples of 10 in the proliferative phase and 7of 10 samples in the secretory phase. Detected extensively in the stromal cells and isolated in the glandular cells. CD10: Positive immunoreaction mainly in the stromal cells in all cases. Positive immunoreactivity in glandular cells individually regardless phase of menstrual cycle (12 of 20 cases).
Group C (endometrioid ovarian cysts): patient age 18-40 years. Reticular fibers; (collagen type III): not observed in the cysts wall while observed mainly in medulla of the ovary and in surrounding vessels.
Group B (adenomyosis): patient age of 42-53 years old who were operated on for uterine fibroids. Evaluated the superficial endometrium and adenomyosis foci. Regarding the superficial endometrium differences were not observed from the group A. Collagen type III - reticular fibers: the glands are not stained and observed in ectopic adenomyosis layer. Collagen type I: the glands were not stained and showed weak reaction in ectopic endometrial stroma. Vimentin: a positive reaction in the stromal cells of adenomyosis foci in 70% of cases (14 of 20) while the glands in 20% of cases (4 of 20). CD10: Positive reaction for 80% (16 of 20 cases) of the stromal cells and in glandular cells in 25% of cases (5 of 20).
Collagen Type I: No deposition were observed in the wall of the endometrioid cysts. CD10
positive stromal cells were observed even in absence of glands.
Conclusion .There is a specific distribution of collagen and reticulin fibers in the stroma of normal endometria and adenomyosis, changing according to the phases of the cycle. Vimentin is expressed both in stroma and glands. CD10 is the most sensitive and specific and shows the stromal cells in endometriosis even if there are no endometrial glands
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Marketing a Patient-‐Provider Website In Community Health Clinics
Introduction
Recent studies show the numerous benefits of patient portals, or secure websites, to providers and patients of health clinics. Effective introduction of these websites has the potential to improve the quality of healthcare by encouraging patients to communicate electronically and securely with their provider, view their medical records and test results, request appointments, pay bills, refill prescriptions and access useful health information. For providers, the websites may help encourage patients to more active participants in their own care, enhance patient-‐ provider communication, increase patient satisfaction, and improve the efficiency of care delivery.
Even the best-‐designed portal may not achieve the aims of robust patient enrollment and active usage without a structured plan that provides a road map for introducing this new service in a community health clinic. These plans, in three phases—prelaunch, launch and maintenance—is intended to provide such a road map to assist clinics that have decided to launch a portal. It is designed to provide a comprehensive guide that can be followed in whole or, more likely, in part, to make easier the process of rolling out the website.
This document includes numerous "how-‐to" tips and links to helpful resources related to the marketing plan. Also included is a set of "turnkey" marketing tools, including posters, PowerPoint slide decks and postcards, intended to be used and customized as needed by individual community health clinics.
The PreLaunch Phase
‐
Overarching Theme: Choose a theme that will guide marketing during all phases of the patient portal. Examples: "My Health Care Online" or "My Health Record Online"
Phase Theme: Develop a theme for this phase that relates to the goals your clinic wants to accomplish. Theme Examples: "Getting On Board with Online Health" or "Countdown to Launch"
Target Market: A small group of test patients and several providers.
Positioning Statement: Effective introduction of patient online access, or a patient portal, has the potential to improve the quality of healthcare and enhance the patient experience. Building knowledge of the portal's benefits and achieving broad acceptance and participation of the patient website during the pre-‐launch period is important to the success of the project.
Offering to Customers: Opportunity to be first test group of online services and resources.
Timeline: Six-‐month period prior to launch.
Distribution: Test patients only.
Service Strategy:
Have representatives from information technology, medical and administrative staffs guide test patients and providers through each step of website use. Plan workflow for handling each type of portal request (requesting appointment, provider e-‐mail, etc.) and schedule advance training of all staff.
Because the initial user experience is crucial to acceptance, develop workflow for responding to messages no later than 24 hours after they're received. (Use test patients to evaluate during this period with goal ofimproving response experience from prior experience.)
Communications Strategy:
Communication activities during this phase help to build awareness, anticipation and enthusiasm about the patient website.
[x] Use posters, brochures and other materials. Potential benefits of the patient website include enhanced patient involvement in their own health.
[x] For clinic staff, materials should highlight benefits including higher patient satisfaction, improved loyalty and satisfaction for physicians, nurses and other caregivers, and better retention of both patients and clinic staff.
[x] Communications should also anticipate potential barriers to acceptance among physicians, nurses and other caregivers, such as "This is another demand on my time." Explain how portal can enhance patient-‐caregiver communications and improve care efficiency.
[x] When preparing communication materials, consider referring to the patient website as something other than "portal," as that term may not be easily understood by patients and could be a barrier to acceptance. Choose a term that resonates with patients, such as "Your Health Online" or "[Your Clinic Name] Online."
[x] Consider a "naming contest" for the website for clinic staff, with a small prize or incentive.
Communication Tools:
Following recommendations are designed to build anticipation and increase awareness of the benefits of the website.
[x] Put up posters in provider and staff work areas that describe the benefits ("Fewer phone calls!") of the website and set up expectations for launch date ("Your Health Online Arrives on July 1!" (INSERT LINK TO POSTERS HERE).
[x] Place posters in the waiting room to introduce website and simply describe its benefits, such as "24-‐hour Access to Your Electronic Health Record," "Safely Email your Physician," and "Easily Access Your Lab Results at Home."
[x] Place PowerPoint slideshow in provider/staff break area to explain features of portal to build anticipation and awareness. (See Page X for PowerPoint tutorial)
o Link to PowerPoint presentation (Put on SkyDrive)
o Link to PowerPoint presentation (Put on SkyDrive)
[x] Schedule all-‐staff meeting to discuss details of product rollout.
[x] Create and post a "Countdown Clock" 30 or 60 days prior to launch as reminder of project deadlines and to build anticipation. Choose highly visible location in non-‐patient area, such as a break room.
[x] Prepare information handouts and/or handbooks for clinic staff.
[x] Provide "one-‐on-‐one" training sessions for clinic staff.
[x] Provide e-‐mail updates and reminders to keep staff informed about timetable for launch, website features and related activities.
Promotion Strategy:
[x] Identify "champions" among providers and administrative and technical staff who enthusiastically support and can effectively communicate benefits to others.
[x] Identify "non-‐enthusiasts" who are skeptical of project and could potentially derail efforts. Engage with them to make sure they understand implementation plans and benefits in context of overall clinic mission and goals.
[x] Use staff meetings to introduce the project, assess staff acceptance and provide regular progress reports on implementation and launch. Solicit questions and input from staff throughout the process.
Marketing Research:
[x] Conduct market research to assess community needs and best practices. What portals are "competitor" health organizations using? What has worked or not worked? What improvements can be made by your organization?
[x] Develop patient questionnaires or surveys to assess patient awareness and solicit input about what portal features would be most useful to patients.
Feedback Strategy:
[x] Regularly meet with test patients and providers to discuss user experience, questions and suggestions.
[x] Solicit ongoing feedback from clinic staff via e-‐mail, during one-‐on-‐one training or group "hands-‐on" training.
********
The Launch Phase
Phase Theme: Develop a theme for this phase that relates to the specific goals around launch of the portal. Examples: "Ready, Set,GO ONLINE!" or "Your Online Medical Record is Here!" or "Take Charge of Your Health."
Target Market: Current and new patients and all providers.
Positioning Statement:
Welcome to the patient portal: a safe, secure website where patients and their families can view a patient's medical record, privately communicate with their physician office via e-‐mail, request appointments and prescription refills.
Offering to Customers:Depending on the portal features at launch, these can include:
[x] Access to electronic health record
[x] Secure e-‐mail communication with doctor and other caregivers
[x] Access to laboratory test results
[x] Request appointments and prescription refills
[x] Health education information
[x] Respond to patient e-‐mail to providers, requests to schedule appointment or refill prescriptions within 24 hours.
[x] Respond to requests for technical assistance, such as sign-‐on/password issues, within 24 hours.
Timeline: Launch and subsequent 3 months.
Price Strategy: Free.
Distribution:Current and future patients. Also people within the community looking for a new physician and care site.
Service Strategy:
Communication Strategies:
[x] Have a "Launch Day" promotion that includes posters, postcards, contests and/or giveaways.
Communication strategies during this phase should focus on promoting the availability of the portal, its features and benefits, and that sign-‐up is free.
[x] Develop "pitch" e-‐mail and contact the local newspaper, local news website, TV or other outlets that are most suitable for reaching patient population.
[x] Develop short, 3-‐4 sentence, easily memorized "elevator pitch" for clinic providers and staff to use for communication with patients. Some staff may not need or want to use elevator pitch, while others may be more comfortable "knowing what to say."
o (Elevator Pitch Example:
[x] "Mrs. Jones, did you know we just started an online website for patients that can help you with some of your health needs? It's called XXXX, and it's free. The website lets you safely email your provider, view your lab results online as soon as they're available and request office appointments and prescription refills. If that's something you're interested in I have more information on how to sign up; it's really easy.")
[x] Provide information to patients while they are in the office by using administrative staff, providers and/or volunteers to actively encourage sign-‐up, Prepare simple, step by step "how-‐to-‐sign-‐up" handouts for distribution to patients at clinic and for publication on the portal website. Should include portal web address, access log-‐in codes, how to get "help" for portal issues.
[x] CreateFrequently Asked Questions document to distribute to patients and publish online on clinic and portal websites. (Content should be simple, clear and concise. Avoid lengthy descriptions and excess detail that may be intimidating to users.)
Communication Tools:
[x] PowerPoint slideshow running "on loop" in patient waiting room displaying key features of portal and how to sign-‐up information.
[x] Posters and postcards placed in waiting room and exam rooms displaying features of portal, sign-‐up information and QR codes to access portal from smartphones. A QR code is a bar matrix barcode, readable by QR scanners, mobile phones with a camera and
smartphones. By creating a QR code, patients can scan a QR code and be taken directly to the portal home page to view information or sign up.
o Click here to create a QR code: http://zxing.appspot.com/generator/
o Please make sure to select "URL" option
[x] Include stickers on appointment sign-‐up sheet with portal address.
[x] If the clinic has a Facebook and/or Twitter page, post "Portal News" (highlighting current features, planned new features or "patient testimonials.") Include address and sign-‐up information.
o (For example of community health clinic Facebook page, see links: http://www.facebook.com/shasta.community.health.center; http://www.facebook.com/CountryDoctorCHC)
o To create a Facebook or Twitter account, see links: http://mashable.com/2011/05/22/howtofacebookpage/
‐
‐
[x] On-‐hold telephone voicemail that tells caller what the portal does and how convenient it is, that it would enable them to handle many issues 24/7 online instead of by phone, and what to do to sign up.
[x] Add Portal News section to clinic website home page.
Promotion Strategy:
[x] Develop a contest for office staff with prizes/giveaways or other incentives for signing up the most patients in the first month after launch.
[x] When portal goes live, have a launch party focused on patients, offering food and/or beverages, with chotskies and/or a drawing for a larger prize, possibly donated by local business. (Donated Gift Examples: $25 gift card from local grocery store or retailer, month's supply of diapers, free ticket to children's amusement venue, $25 worth of school supplies for August/September launch, etc.)
[x] Develop messaging for posters, banners and posting on website that highlight specific features of the portal that would appeal to clinic's patient population. (Example: If clinic has large population and working mothers and children, messages could include "Not Enough Time for All the Things You Need to Do? The (Patient Portal Name) Can Help."
Marketing Research:
[x] Track overall sign-‐ups weekly.
[x] Track in-‐office sign-‐ups by office staff and provider who interacted with patient.
[x] Track portal usage by enrollees monthly.
[x] Track response times to patient questions about technical assistance.
[x] Track response times to patient e-‐mails to providers and question topics (interpretation of lab results, post-‐office visit follow-‐up questions, medication questions, general queries re symptoms.)
Feedback Strategy:
[x] Provide "feedback buttons" on each portal page for immediate usability information.
[x] Consider feedback emails to new signees after enrollment to capture user experience; examples of questions are: How easy was it to log-‐in to the portal the first time? (1-‐5 rating); If you looked for specific information, such as requesting an appointment, how easy was it to complete the process (1-‐5 rating).
[x] Consider tracking patients' office calls to determine if there is a decline over time; a drop in calls would provide "proof point" re promised benefit to clinic staff of reduced phone calls.
[x] Test patients and providers would continue regular meetings to provide ongoing feedback.
********
The Maintenance Phase
Phase Theme: Develop a theme for this phase that relates to the goals your clinic wants to accomplish. The tactics will support those goals. Theme Example: "Getting On Board With Online Health" or "Getting the Most From Your Online Health Record."
Target Market: Current, new and prospective patients.
Positioning Statement: Join hundreds of other clinic patients in enjoying the convenience and benefits of the patient portal. Many patients like you are taking charge of their health and that of their families by signing up for the safe, secure website where you can view your medical record, privately communicate via e-‐mail, request appointments and prescription refills.
Offering to Customers:
[x] Easily download electronic health record
[x] Secure e-‐mail communication with doctor and other providers
[x] View laboratory results, health information and education.
[x] View available appointment times and request appointments for specific providers.
[x] View medical lists and request prescription refills.
Timeline: 3-‐9 months post launch
Price Strategy: Free.
Distribution: Current and future patients.
[x] Respond to patient e-‐mail to providers, requests to schedule appointment or refill prescriptions within 24 hours.
[x] Respond to requests for technical assistance, such as sign-‐on/password issues, within 24 hours.
Service Strategy:
[x] Route all portal requests through normal clinic operations.
Communication Strategy:
Communication strategies during this phase should focus on explaining the ongoing convenience, benefits and features of the portal, utilizing ongoing "learnings" from market research and patient and provider testimonials.
Communication Tools:
[x] PowerPoint slideshows with embedded video. Embedded video adds viewer interest and ability to include patient and provider testimonials, which can make the video more compelling and persuasive as a communication tool.
o How to embed video in PowerPoint presentation. Link: bit.ly/iNDtq2
o How to shoot simple, high-‐quality video with an iPhone. Link: http://www.youtube.com/watch?v=edzWTw0Yp_U&feature=related
[x] Posters, postcards, brochures.
.
[x] Stickers on patient appointment sign-‐in sheets
[x] Send reminders about appointments and health education messages to website enrollees who "opt in" to receive text messages from the clinic.
Promotion Strategy:
[x] Develop messaging for posters, banners and posting on website that highlight patient and provider experiences with the portal and appeal to clinic's patient population.
[x] Display PowerPoint with embedded video that highlights patient and provider experiences. (See links to examples of patient and provider testimonials.
‐
o http://www.chcf.org/patientportals
o http://www.youtube.com/watch?v=o3gJ6xlbXeo&feature=relmfu
[x] Personalized follow-‐up or thank-‐you cards to online users
[x] Special promotions for enrollees, such as flu shots a day earlier.
[x] Use portal to deliver health messages targeted at specific populations (seniors, new and expectant mothers, people with chronic conditions (asthma, obesity or diabetes), or frequent users of emergency room services.
Marketing Research:
[x] Research best practices in market area; determine changing SWOT for portal adoption and clinic enrollment/disenrollment of patients.
[x] Track overall sign-‐ups weekly.
[x] Track in-‐office sign-‐ups by office staff and provider who interacted with patient.
[x] Track portal usage by enrollees monthly.
[x] Track response times to patient questions about technical assistance.
[x] Track response times to patient e-‐mails to providers and question topics (interpretation of lab results, post-‐office visit follow-‐up questions, medication questions, general queries re symptoms.)
Feedback Strategy:
[x] Survey providers and staff on marketing and usage. (Examples of questions: What is working and what is not to initiate sign-‐up? Verbal feedback from enrolled patients during office visits? Provider sentiment re how portal impacting provider-‐patient relationships. Improved care).
[x] Assemble advisory group composed of users to meet regularly with the portal launch team (representatives from provider, administration staff and IT) to gather feedback.
[x] Provide "feedback buttons" on each website page for immediate usability information.
[x] Continue tracking patients' office calls to determine if there is a decline over time; a drop in calls would provide "proof point" of the anticipated benefit to clinic staff of reduced phone calls.
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Confidentiality toolkit A toolkit for doctors
British Medical Association
bma.org.uk
Introduction to the confidentiality toolkit
Questions about confidentiality are a significant area of ethical enquiry for the BMA. Our toolkit provides answers to commonly asked questions about when confidential information can be disclosed which reflect the ever-growing list of demands to share information. Its 15 sections cover specific areas of confidentiality such as disclosing information with consent, disclosing information in the public interest and dealing with requests from third parties.
There are separate sections dealing with adults lacking capacity and deceased patients. The toolkit does not deal with children and young people. The BMA has a separate children and young people toolkit which deals with issues of confidentiality relating to this group.
The toolkit does not aim to be definitive guidance on all issues surrounding confidentiality and it points you to useful guidance from other bodies, such as the General Medical Council (GMC), that you should use along with our guidance.
You can use each section alone, although there are some areas of overlap. Section 1 is relevant to all disclosures of confidential information.
Terminology
There are various legal definitions relating to 'confidential information' or 'confidential patient information'. The term 'confidential information' is used throughout this toolkit to mean information from patients can be identified and in respect of which a duty of confidence is owed, including information about deceased patients.
British Medical Association
Confidentiality toolkit– A toolkit for doctors
Contents
The main principles of confidentiality
The duty of confidence
Confidentiality is essential to the relationship of trust between doctors and patients. The principles of confidentiality apply to all doctors irrespective of their speciality. Patients must be able to expect that information about their health which they give in confidence will be kept confidential unless there is a compelling reason that it should not be.
There is a strong public interest in confidentiality as it encourages individuals to seek medical treatment when they need it and freely share information with the healthcare professionals who are providing that treatment. If patients feel they can share information securely for their own care this also ensures there is reliable health information available for approved medical research and health service planning that advances medical knowledge and improves care for patients. The duty of confidentiality extends beyond a patient's death.
Patients also expect that confidential information will be shared with others involved in delivering their care. See section on sharing information for direct care.
When does a duty of confidence arise?
'A duty of confidence arises when confidential information comes to the knowledge of a person…in circumstances where he has notice, or is held to have agreed, that the information is confidential…' Lord Goff. Campbell v MGN Limited [2004] UKHL 22
A summary of this case is available at:
https://www.5rb.com/case/campbell-v-mgn-ltd-hl
What information is confidential?
'All identifiable patient data held by a doctor or a hospital must be treated as confidential.'
W,X,Y,Z v. Secretary of State for Health [2015] EWCA Civ 1034
A summary of this case is available at:
https://panopticonblog.com/2015/10/16/privacy-patients-and-paymentsinformation-sharing-in-the-court-of-appeal
Demographic information provided by patients for the purpose of registering for, or receiving, healthcare as well as clinical information, is confidential. Even where demographic information is held separately from clinical information, such as a list of patients' names and addresses, it is equally subject to the duty of confidence.
Confidential information can be held in written, digital, visual or audio form or simply information held in the memory of healthcare professionals. It covers (non-exhaustively):
– NHS Number, or Community Health Index (CHI) number, and names and addresses or other demographic information used to identify patients;
– any clinical information about an individual's diagnosis or treatment;
– a picture, photograph, video, audiotape, scans, ECHGs or other images of the patient or their tests;
– who the patient's doctor is and what clinics the patient attends and when;
– anything else that may be used to identify a patient directly or indirectly.
When can confidential information be disclosed?
The duty to maintain confidentiality can present healthcare professionals with an ethical or legal dilemma, commonly when a third party requests information about the patient or their treatment. The duty of confidentiality is not absolute and confidential information can be disclosed when one of the following circumstances applies:
– the patient has capacity to consent and consents to the disclosure. This can be either:
– implied consent for an individual's direct care; or
– explicit consent (see section 3);
– the law requires disclosure (see section 6);
– the duty of confidentiality has been set aside under section 251 of the NHS Act 2006 (see section 10);
– where there is an overriding public interest i.e. where disclosure is essential to prevent serious harm to the individual or a third party or to prevent or detect a serious crime in accordance with GMC guidance (see section 7).
Making a disclosure
When making a disclosure of confidential information for purposes other than a patient's direct care healthcare professionals must:
– ensure that one of the above circumstances applies;
– disclose only the minimum relevant information necessary;
– ensure the disclosure is to the appropriate authority;
– document the disclosure and the reason for it in the medical record;
– be prepared to justify their decisions to disclose (or not to disclose);
– consider and satisfy the Caldicott Principles;
– seek advice from the Caldicott Guardian if there is uncertainty (trainees should refer to a senior consultant or GP partner).
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Confidentiality: a legal and ethical overview
The legal framework which applies to confidential information combines common law and statutes, for example the General Data Protection Regulation and the Human Rights Act 1998. The legal framework is supplemented by ethical and professional guidance from regulatory bodies and obligations under contracts of employment. When considering questions about confidentiality, healthcare professionals must look at the overall effect of the law, ethical guidance and their contractual obligations, not just each aspect in isolation.
Disclosure of, and access to, confidential information is governed by the below, all of which are reflected throughout this toolkit.
The Common Law
The common law is based on previous decisions about the law made in court by judges – sometimes referred to as 'judge-made law'. Under the common law duty of confidentiality, if information is received in confidence, including where it is reasonably expected that a duty of confidence applies, that information cannot normally be disclosed without patient consent unless it is required by law (section 6), when the duty of confidentiality is set aside via section 251 of the NHS Act 2006 (section 10) or where there is an overriding public interest link to (section 7).
Human Rights Act 1998
A right to 'respect for private and family life' is guaranteed in article 8 of the HRA (Human Rights Act). This right is not absolute, and may be set aside by the state where the law permits and 'where necessary in a democratic society in the interests of national security, public safety or the economic well-being of the country, for the prevention of disorder or crime, for the protection of health or morals, or for the protection of the rights and freedoms of others'. The effect is similar to that of the common law: privacy is an important right which must be respected, but interference with it can be justified in certain circumstances.
Data Protection Act 2018 and the UK General Data Protection Regulation
The DPA 2018 (Data Protection Act 2018) is the primary piece of data protection legislation in the UK and incorporates the GDPR (General Data Protection Regulation) into UK law. The DPA 18 sits alongside, and supplements, the UK GDPR. It applies to all personal data relating to living individuals, including confidential information.
The DPA regulates the processing of personal data about living individuals including disclosing, holding or using information. It applies to paper records, digital information and images of individuals. A fundamental requirement of UK GDPR is transparency. As part of satisfying transparency requirements, healthcare organisations must use privacy notices which are easy for patients to find and which explain how confidential information is used and shared.
The BMA has separate guidance on UK GDPR which outlines how to handle special category health data (referenced below). If you are a GP data controller under UK GDPR it is particularly important that you familiarise yourself with this guidance.
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Access to Health Records Act 1990
The UK GDPR and DPA 2018 do not cover the records of deceased patients. Rights of access to deceased patients' health records are contained within the Access to Health Records Act 1990 and Access to Health Records (Northern Ireland) Order 1993. Personal representatives (ie executors or administrators of the estate of a deceased person) have the right to access the deceased's health records. A person who may have a claim arising from the death of the deceased may also access the deceased's health records, but their access is limited to information which is directly relevant to the claim.
National Health Service Act 2006
Regulations under section 251 of the NHS Act 2006 permit certain disclosures to occur without a breach of the common law duty of confidentiality.
The Health Service (Control of Patient Information) Regulations 2002 can provide statutory support to enable health service management and medical research when it is not practical to obtain consent and anonymised information cannot be used. Disclosures under these regulations are commonly referred to as having 'section 251 support' (see section 10).
Computer Misuse Act 1990
It is an offence under the Computer Misuse Act to gain unauthorised access to computer material. This includes using another person's ID or login details and password without authority in order to do so, or to alter or delete data.
Caldicott Principles
There are eight good practice Caldicott Principles which apply to all confidential data collected for the provision of health and social care services. Organisations providing publicly funded health or care services should appoint a Caldicott Guardian whose role is to help their organisation to uphold the Caldicott Principles.
Contract of employment
Confidentiality of patient information is a requirement of NHS employment contracts and the employment contracts of independent providers of NHS services. Staff employed by the NHS may face disciplinary action by their employer if they breach of confidentiality.
Professional and ethical standards
All healthcare professionals must maintain the standards of confidentiality laid down by their professional body, such as the General Medical Council and Nursing and Midwifery Council, or risk complaint for professional misconduct which may result in a reprimand or removal from the register.
Key resources
BMA. GPs as data controllers under GDPR
BMA. Access to health records
UK Caldicott Guardian Council. A manual for Caldicott Guardians
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Disclosing information with consent
Consent to disclosure may be implied or explicit. In either case, consent should be informed and freely given.
When can consent be implied?
Healthcare professionals rely on implied consent when sharing information for the direct care of an individual patient (unless the patient has indicated an objection). This well-established practice is based on the understanding that patients will expect that those providing them with direct care will have access to information needed to support the safe and effective provision of their care.
What is direct care?
Direct care activities are those that directly contribute to the diagnosis, care (including preventative care) and treatment of an individual patient.
Those providing direct care are considered to have a 'legitimate relationship' with the individual patient. This includes non-health professionals, such as social workers, and clerical staff, when they are involved with the provision of direct care to the patient. Information sharing amongst those with a legitimate relationship is acceptable to the extent that health and care professionals only share relevant information on a 'need to know' basis.
Local clinical audits are an integral part of direct care. They can therefore be conducted with implied consent provided the audit is carried out by a clinician with a legitimate relationship with the patient (and where it is not possible to use anonymised information).
When is a legitimate relationship created?
'A legitimate relationship is created with a registered and regulated health or social care professional when any or all of the following criteria are met:
– The individual presents themselves to the professional to receive care.
– The individual agrees to a referral from one care professional to another.
– The individual is invited by a professional to take part in a screening or immunisation programme for which they are eligible and they accept.
– The individual presents to a health or social care professional in an emergency situation where consent is not possible.
– The relationship is part of a legal duty e.g. contact tracing in public health.
– The individual is told of a proposed communication and does not object.'
Read more in the Caldicott Review: Information: To share or not to share.
The question of when a legitimate relationship is created is particularly important in the context of integrated care models or multi-agency working. The basic rule is that if a legitimate relationship has not been created, consent for records to be accessible across organisational boundaries cannot be implied. There may be some exceptions to this for local out of hours service arrangements, including out of hours pharmacies, when certain information such as current medication, allergies and key medical history can be shared.
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'No surprises'
When considering sharing information for direct care reasons a useful rule of thumb to apply is that patients should not be surprised to find out who has been given access to their information. To ensure there are 'no surprises', and for implied consent to be valid, it is important that patients are informed about how their information is shared and that they can object. It is important that when sharing information with implied consent healthcare professionals do not go beyond the purposes which a patient has been informed about and might reasonably expect. One way to help ensure 'no surprises' is via the use of privacy notices which explain how information is used and shared and which are an essential requirement of the UK GDPR.
Importance of sharing for direct care
'The duty to share information for individual care is as important as the duty to protect patient confidentiality.' Principle 7, The Caldicott Principles
It can be frustrating for patients to repeat the same information to multiple healthcare professionals. In England, the Health and Social Care (Safety and Quality) Act 2015 imposes a statutory duty on healthcare providers and commissioners to share information for the provision of health or care to an individual. This duty does not override the obligations of the common law duty of confidentiality. For the provision of direct care this means the patient's implied consent is required as described above.
Can patients object to sharing information for direct care?
Yes, the objection of an adult patient with capacity to information sharing for direct care purposes should be respected (unless, in rare circumstances, there is a public interest justification for the disclosure, see section 7). Any request for disclosure must be documented in the medical record.
The potential consequences of the patient's refusal to share with others providing their care should be explained to them and options for compromise explored. Ultimately, it may not be possible to refer or treat the patient if it would be unsafe or harmful to do so without disclosing information.
When is explicit consent needed?
If the sharing is not among the health and care team who are providing (or have provided) direct care to the patient, explicit consent is required unless there is another lawful justification in place (see section 1). Explicit consent is achieved when a patient actively provides consent, either orally or in writing. A common example of when explicit consent is required is for disclosures to local councils providing housing or benefits services.
Key resources
GMC. Confidentiality: good practice in handling patient information
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Adults lacking capacity
Healthcare professionals have the same duty of confidentiality to all their patients regardless of age or disability. Patients with mental health problems or learning disabilities must not automatically be regarded as lacking capacity to give or withhold their consent to the disclosure of confidential information.
In the absence of a health and welfare attorney or other lawful proxy decision maker, healthcare professionals may only disclose information on the basis of the incapacitated patient's best interests or, in Scotland, where it provides a 'benefit' to the patient. Where patients lack mental capacity to consent to disclosure, it is usually reasonable to assume that patients would want people close to them to be given information about their illness, prognosis and treatment unless there is evidence to the contrary. However, where there is evidence that the patient did not want information shared, this must be respected.
Those close to the patient who lacks capacity have an important role to play in decision making whether they have a formal role as a proxy decision maker, or a more informal role such as helping the healthcare team to assess the patient's best interests. It might, however, be more difficult to carry out these roles without some information being provided about the medical condition of the patient.
In England and Wales, decisions relating to adults lacking capacity to consent are governed by the Mental Capacity Act 2005 (MCA). In Scotland the relevant legislation is the Adults with Incapacity (Scotland) Act (AWI(S)A). In Northern Ireland these decisions are currently regulated by common law, although legislation is anticipated.
Proxy decision makers
Legally-appointed proxy decision makers have the right to give or withhold consent to treatment and so must be involved in treatment decisions, although where emergency treatment is required this may not always be possible or practicable. Legally-appointed proxy decision makers include welfare attorneys and court-appointed deputies whose authority extends to medical decisions and persons authorised under an intervention order or welfare guardians with powers relating to the medical treatment in question. It follows that they have rights of access to sufficient information to enable them properly to make the decisions they are charged with.
Independent mental capacity advocates (IMCAs) – England and Wales
Where a patient in England and Wales lacks capacity and has no relatives or friends who can be consulted - or whom it is appropriate to consult – the MCA requires an IMCA to be appointed and consulted about all decisions about 'serious medical treatment', or place of residence (see the BMA's Mental Capacity Act toolkit). The healthcare team must provide the IMCA with all the relevant information including the risks, benefits, side effects, likelihood of success and level of anticipated improvement if treatment is to be given, the likely outcome if treatment is withheld and any alternatives that might be considered.
While it will therefore be necessary for all lawful proxy decision makers to have information that will enable them to act or make decisions on behalf of the patient, it does not mean that they will always need to have access to all the patient's records. Only information relevant to the issue in question should be disclosed.
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Relatives, carers and friends
If a patient lacks capacity, healthcare professionals may need to share information with relatives, friends or carers to identify the care or treatment that is in the patient's overall best interests, or that will benefit the patient. Where a patient is seriously ill and lacks capacity, it would be unreasonable always to refuse to provide any information to those close to the patient on the basis that they have not given explicit consent. This does not however mean that all information should be routinely shared and where the information is particularly sensitive. A judgement will be needed about how much information the patient is likely to want to be shared and with whom. Where there is evidence that the patient did not want information shared, this must be respected.
Disclosures to protect adults who lack capacity
There are certain legal requirements to disclose information about an adult who may be at risk of harm (see section 6.)
In the absence of a legal requirement, where adults lack the capacity to make a decision about whether or not to disclose information relating to harm or abuse, decisions need to be made on their behalf. Decisions can be made by a lawfully appointed proxy or (if one is not available) relevant healthcare professionals can make a decision based upon an assessment of the individual's best interests or of what would be likely to benefit them.
When considering a disclosure of information, any assessment of best interests or benefit will ordinarily involve discussion with those close to the individual. In relation to domestic abuse, however, care has to be taken to ensure that anyone consulted who is close to the individual is in fact acting in the person's interests.
Healthcare professionals must disclose information to the appropriate authority where there is a belief that an adult lacking capacity is at risk of abuse or other serious harm, unless it is not in the overall best interests of the patient to do so.
Where attorneys appear to be making decisions that are clearly not in the best interests of the individual, and the problems cannot be resolved locally, the matter should be referred in England and Wales to the Court of Protection. In Scotland, decisions about medical treatment are open to appeal to the sheriff and then, by leave of the sheriff, to the Court of Session. Further information is available from the Scottish Mental Welfare Commission.
Disclosures to the OPG (Office of the Public Guardian) (England and Wales)
In England and Wales, the MCA gives the OPG a right of access to the health records of patients who lack capacity, for example, to investigate the actions of a deputy or attorney. If the request from the OPG concerns a patient who has capacity, however, explicit consent for disclosure from the patient must be sought.
Key resources
BMA. Mental capacity toolkit
Deceased patients
Are deceased patients owed a duty of confidentiality?
Yes, the obligation to respect a patient's confidentiality extends beyond death. However, this duty needs to be balanced with other considerations, such as the interests of justice and of people close to the deceased person. There may be some circumstances where it is obvious that there may be some sensitivity about information in health records. In these limited circumstances healthcare professionals may wish to consider speaking to their patients about the possibility of disclosure after death with a view to soliciting their views about disclosure.
Are there any rights of access to a deceased patient's records?
Statutory rights of access are contained within the Access to Health Records Act 1990 and the corresponding legislation in Northern Ireland, the Access to Health Records (Northern Ireland) Order 1993.
There are two distinct groups who have rights of access to information within the deceased's record:
– personal representatives; and
– anyone who may have a claim arising out of a patient's death.
It is necessary to consider access requests by these two groups separately. A personal representative (ie the executor or administrator for the estate of a deceased person) does not need to have a claim arising out of the death to access the deceased's medical record. This right of access extends to all information within the record with limited exceptions (see below). Personal representatives do not need to provide a reason for seeking access to the record, although the record-holder must be able to establish that the requestor is indeed the personal representative.
Those who do not have the status of personal representative but may have a claim arising out of the death of the patient, for example an insurance claim, have a right of access only to information which is directly relevant to the claim.
The BMA encourages doctors to adopt an ethical approach to handling requests from personal representatives so that a balance can be achieved between the duty of confidentiality to the deceased and compliance with the legal duty to provide access. In order to maintain confidentiality as far as possible, the BMA advises that when personal representatives request access, it is appropriate to enquire why access is required and whether the request can be satisfied by providing access only to information which is relevant for the purpose. Ultimately, if the personal representative chooses not to provide a reason for access and insists on access to the full record doctors must comply with these requests to comply with the law.
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When should information not be disclosed?
Information requested by personal representatives and others with a claim arising out of the death should not be disclosed if:
– it identifies a third party without that person's consent unless that person is a healthcare professional who has cared for the patient; or
– the patient provided it in the expectation that it would not be disclosed to the particular individual making the application; or
– it is the result of a particular examination or investigation which the patient consented to in the expectation that it would not subsequently be disclosed; or
– in the opinion of the relevant healthcare professional, it is likely to cause mental or physical harm to an individual; or
– the record includes a note, made at the patient's request, that the patient did not wish access to be given.
Who is responsible for providing access?
Medical records of the deceased might be sent to relevant local archive bodies, however, where a provider, such as a GP practice, still holds the record it is obliged to respond to requests under the AHRA (or corresponding legislation in Northern Ireland). Our guidance on Access to health records provides more detail on who must give access under the legislation.
Are there any other circumstances when information about a deceased patient must be disclosed?
Yes, separate to the access to health records legislation, information about a deceased patient must be disclosed:
– to assist a coroner or procurator fiscal investigation;
– for accurate completion of death certificates;
– to meet a statutory duty of candour; or
– when the law requires disclosure.
Are relatives entitled to information about the deceased's last illness?
Whilst there is no legal entitlement other than the limited circumstances covered under access to health records legislation, healthcare professionals have always had discretion to disclose information to a deceased person s relatives or others when there is a clear justification. A common example is when the family requests details of the final illness because of an anxiety that the patient might have been misdiagnosed or there might have been negligence. Disclosure in such cases is likely to be what the deceased person would have wanted and may also be in the interests of justice. Refusal to disclose in the absence of evidence that this was the deceased patient s known wish exacerbates suspicion and can result in unnecessary litigation. In other cases, the balance of benefit to be gained by disclosure to the family, for example, of a hereditary or infectious condition, may outweigh the obligation of confidentiality to the deceased.
Key resources
BMA. Access to health records
GMC. Confidentiality: good practice in handling patient information
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Disclosures required by law
Certain statutes and the courts can require healthcare professionals to disclose confidential information, regardless of patient consent. The statutory requirements which healthcare professionals are most likely to encounter are summarised below.
Healthcare professionals must be aware of their obligations to disclose in these circumstances as well as to ensure that they do not disclose more information than is necessary.
Where healthcare professionals have concerns about a disclosure which is legally required, advice can be sought from the Caldicott Guardian or the National Data Guardian.
Summary of the key statutory requirements to disclose (list not exhaustive)
Management of health and care services
Health and Social Care Act 2012(England only)
NHS Digital has powers under the Health and Social Care Act to require confidential information from healthcare providers in certain circumstances. This will usually be in response to directions from the Secretary of State for Health and Social Care or NHS England.
Public health
– Public Health (Control of Disease) Act 1984 / Health Protection (Notifications) Regulations 2010 (England only)
– Public Health (Northern Ireland) Act 1967
– Public Health etc (Scotland) Act 2008
– Health Protection (Notification) (Wales) Regulations 2010
Healthcare professionals have a statutory duty to report certain notifiable diseases, including infectious diseases and food poisoning, to the appropriate body.
Adults at risk of harm
– Care Act 2014 (England only)
– Adult Support and Protection (Scotland) Act 2007
– Social Services and Well-being (Wales) Act 2014
When requested, healthcare professionals are required to disclose relevant information to adult safeguarding boards or local authorities in relation to enquiries about adults considered to be at risk of, or to have suffered from, abuse or neglect. The requirement to disclose under this legislation applies regardless of whether the adult lacks the capacity to make the decision.
Counter-fraud
National Health Service Act 2006 and the National Health Service (Wales) Act 2006
The NHS Counter Fraud Authority has powers to require the production of documents to prevent, detect and prosecute fraud in the NHS.
Local Audit and Accountability Act 2014 (England only) Confidential information can be required by the government for fraudprevention data-matching exercises.
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Female genital mutilation (FGM)
Female Genital Mutilation Act 2003 (as amended by the Serious Crime Act 2015) (England, Wales and Northern Ireland)
In addition to general safeguarding obligations and duties to report in the UK, in England and Wales there is a statutory duty to notify the police when it is identified that an under 18-year-old has had FGM. See our Children and young people toolkit for more on this issue.
There is no specific statutory duty to report in Northern Ireland, however, the Criminal Law Act would apply – see below.
Regulation of healthcare services
– Health and Social Care Act 2008 (England and Wales)
– Public Services Reform (Scotland) Act 2010
– Health and Personal Social Services (Quality, Improvement and Regulation) (Northern Ireland) Order 2003
Regulatory bodies have powers to access confidential information when it is necessary to perform their regulatory functions.
In Northern Ireland, there are some restrictions on the disclosure of confidential information which mean that identifiable information can be disclosed only in cases of serious risk to individuals.
Investigations by regulatory bodies
Medical Act 1983
The GMC has powers under section 35A of the Medical Act 1983 (as amended) to require disclosure of information relevant to the discharge of fitness to practise functions. The NMC has similar powers.
Northern Ireland: Criminal offences
Criminal Law Act (Northern Ireland) 1967
There is a duty on all citizens to report to the police information they may have about the commission of a relevant offence (i.e. one with a maximum sentence of 5 years or more). This includes a duty to report sexual activity where an over 18-year-old has sex with a young person under 16.
The duty does not arise where a person has a 'reasonable excuse' not to disclose the information. 'Medical confidentiality' is not, in and of itself, understood to be a 'reasonable excuse'.
Other legal requirements to disclose
Healthcare professionals may also encounter the below statutory requirements to disclose.
– Abortion Regulations 1991(England and Wales) (and amendments); Abortion (Scotland) Regulations 1991; and Abortion (Northern Ireland) (No.2) Regulations 2020;
– A doctor carrying out a termination of pregnancy must notify the Chief Medical Officer giving a reference number and the date of birth or age and postcode of the woman concerned;
– Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 2013 (UK wide)
– Employers or those in charge of work premises must report deaths, major injuries and accidents to the Health and Safety Executive (this duty to report does not extend to doctors who are not employers);
– Road Traffic Act 1988 (UK wide)
– Healthcare professionals must provide to the police on request information which may identify a driver alleged to have committed a traffic offence;
– Terrorism Act 2000 (UK wide)
– All citizens, including health professionals, must inform police as soon as possible, of any information that may help to prevent an act of terrorism, or help in apprehending or prosecuting a terrorist.
Can patients opt-out of disclosures which are required by law?
No, patients do not have the right to refuse disclosures which are required by law.
Disclosure to the courts
Courts, including coroner's investigations, have legal powers to require disclosure without patient consent.
Once they have received a court order requiring them to disclose information healthcare professionals have to comply with it if they think if falls within the scope of what the court needs, however, they should not disclose beyond what has been requested. Refusal to disclose the information can be an offence. If healthcare professionals think information should not be disclosed because, for example, it reveals confidential material about a third party unrelated to the case in hand, they should object to the judge or presiding officer.
Patients must also be given the opportunity to object. If the application is served on a healthcare organisation, rather than an individual patient the patient should be informed of the application so they can make their representations to court if they object.
Key resources
GMC. Confidentiality: good practice in handling patient information
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Public interest disclosures
When can information be disclosed in the public interest?
Public interest is the general welfare and rights of the public that are to be recognised, protected and advanced.
According to GMC guidance a disclosure of confidential information because it is in the 'public interest' can be justified if it is essential to:
– prevent, detect or prosecute serious crime;
– prevent a serious threat to public health or national security;
– or to protect individuals or society from serious harm.
In the absence of patient consent, a legal requirement or statutory authorisation, and when the information cannot be anonymised, any decision to disclose confidential information to third parties must be justifiable in the public interest.
Disclosures in the public interest will generally be cases which relate to a single individual's information. Decisions about public interest disclosures must be made on a case by case basis. The public interest test cannot be used to justify routine or ongoing disclosures.
Ultimately, the 'public interest' can only be determined by the courts. However, when considering disclosing information in the public interest, healthcare professionals must:
– consider how the benefits of making the disclosure balance against the harms associated with breaching the patient's confidentiality;
– assess the urgency of the need for disclosure;
– persuade the patient to disclose voluntarily, where appropriate;
– inform the patient before making the disclosure, unless it is unsafe do so or if it would inhibit effective investigation;
– disclose the information promptly to the appropriate body;
– reveal only the minimum information necessary to achieve the objective;
– be assured that the information will be used only for the purpose for which it is disclosed;
– document in the medical record the reasons for disclosing the information without consent (or a decision not to disclose); and
– be able to justify the decision.
Healthcare professionals should be aware that they risk criticism or sanctions if they fail to take action to avoid serious harm. Advisory bodies, such as the BMA, cannot tell healthcare professionals whether or not to disclose information in a particular case. They can provide general guidance about the categories of cases in which decisions to disclose may be justifiable. Guidance should be sought from the Caldicott Guardian, senior colleagues and/or medical defence body where there is any doubt as to whether disclosure should take place in the public interest.
Public interest disclosures will invariably engage one or more of the below considerations.
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Is the disclosure necessary to prevent, detect or prosecute serious crime?
A disclosure in the public interest can be made when it is necessary to prevent, detect or prosecute serious crime. There is no legal definition as to what constitutes a 'serious' crime. In the BMA's view, serious crime includes murder, manslaughter, rape, treason, kidnapping, violent assault, and abuse of children or similar acts which have a high impact on the victim. Serious harm to the security of the state or to public order and serious fraud will also fall into this category.
A disclosure for serious fraud might be justifiable depending on the facts of the case, for example, serious fraud involving significant NHS resources is likely to harm individuals waiting for treatment. Minor prescription fraud might be serious if prescriptions for controlled drugs are being forged therefore a disclosure may be justified. In contrast, theft, minor fraud or damage to property where loss or damage is less substantial is highly unlikely to warrant a breach of confidence.
Is the disclosure necessary to prevent serious harm?
It is important to distinguish between serious harm to the individual to whom the information relates and serious harm to third parties.
Adults with capacity generally have the right to consent or refuse consent to disclosures of information which expose them (but no one else) to risks of serious harm (see section 8).
In some situations, it may not be possible to seek consent from an adult with capacity, and a disclosure in the public interest is likely to be justifiable to prevent serious harm. An example is when the police are investigating an unexplained disappearance of an individual and have concerns about their safety.
Confidential information can be disclosed without consent to prevent serious harm or death to third parties. Such situations could arise, for example, in domestic violence situations where a child is at risk (see section 8).
Or, if a doctor believes a work place is unsafe and the Health and Safety Executive need identifiable information in order to investigate, a disclosure of confidential information in the public interest may be justifiable.
When can information be disclosed to the DVLA or DVA?
Disclosures to the DVLA (Driver and Vehicle Licensing Authority) or DVA (Driver and Vehicle Agency) can be made on public safety grounds. Where a patient has an illness or condition which makes them medically unfit to drive, a prompt disclosure of relevant information should be made to the DVLA or DVA if:
– the patient cannot be persuaded to discontinue driving; or
– the healthcare professional is aware that the patient continues to drive.
Disclosure to the DVLA or DVA is not mandatory, but healthcare professionals must consider whether non-disclosure in relation to a foreseeable and serious threat could leave them open to a possible charge of negligence if grave harm results from the non-disclosure.
Before contacting the DVLA or DVA the doctor should try to inform the patient of their intention to disclose.
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Can disclosures be made to prevent the spread of serious communicable diseases?
When a patient has a medical condition that puts others at risk, for example, at risk of infection, healthcare professionals must discuss with the patient how to minimise the risk to others. In the case of serious communicable diseases, healthcare professionals should discuss with the patient how to protect others, for example, in the case of sexually transmitted infections the need for them to inform sexual partners, and the options for safe sex.
Exceptionally, if patients refuse to modify their behaviour or inform others, doctors are advised by the GMC that they may breach confidentiality and inform those at risk of infection, for example a close sexual contact of a patient. Wherever possible, patients should always be told before this step is taken.
There are certain legal requirements, with which public health doctors will be familiar, to disclose information about notifiable diseases to the relevant appropriate bodies for disease control and surveillance purposes (see section 6).
Injuries to colleagues
The use of universal precautions should be enough to protect healthcare workers from infection, thereby making disclosure unnecessary to prevent serious harm. However, there will be occasions where, for example, despite all reasonable precautions a healthcare professional suffers a needlestick or similar injury and the patient is known by the treating doctor to have a bloodborne virus. If the patient has capacity, consent should be sought to disclose information about their infection status.
If the patient cannot be persuaded to consent to disclose their infection status, or if it is not practicable to ask for their consent, the GMC advises that information can be disclosed if it is justified in the public interest. This could be, for example, if the information is needed for decisions about the continued appropriateness of post-exposure prophylaxis.
Can patients object to disclosures in the public interest?
No, if the benefits of the disclosure to an individual or to society outweigh both the public and the patient's interest in keeping the information confidential, the disclosure can occur even in the face of a patient's objection.
The national data opt-out (where patients in England can register to opt-out of their confidential information being used for research and planning purposes) does not apply where there is an overriding public interest in disclosure. (See section 10 for more on the national data opt-out.)
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Legal duty to consider a disclosure in the public interest
In rare cases, where a doctor is in a relationship of 'close proximity' with an individual who might benefit from the disclosure of patient information (for example, because knowledge of their genetic risk would enable them to take steps to avoid passing on this condition to their offspring), the doctor could be under a legal duty to balance the duty of confidentiality against the benefits of disclosure in a particular case. (The BMA understands that a relationship of 'close proximity' includes the doctor-patient relationship and, also rare circumstances where a doctor might have a duty of care to a third party.)
If a doctor has carried out the balancing exercise properly, in accordance with professional guidance, and has reasonably concluded that a disclosure should not be made, they will have fulfilled their duty of care. This legal duty reinforces GMC guidance, and the guidance in this section, when doctors face difficult situations whereby the disclosure of a patient's confidential information may benefit others who are at risk. The balancing exercise between benefits and harms must be carried out before a decision to disclose or not to disclose is made.
Key resources
GMC. Confidentiality: good practice in handling patient information
GMC. Confidentiality: disclosing information about serious communicable diseases
GMC . Confidentiality: patients’ fitness to drive and reporting concerns to the DVLA or DVA
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Exceptional cases where disclosure without consent is appropriate to protect adults with capacity who are at risk of serious harm
Healthcare professionals can receive requests for information from the police, social services or partnership organisations, such as multi-agency risk assessment conferences (MARACs) in relation to protecting adults who are at risk, or are a victim, of abuse or domestic violence. These requests can present challenging situations where adults with capacity do not want confidential information disclosed, even where this would be the best way to ensure they are protected from harm.
Is consent needed for disclosures to protect adults with capacity from risk of harm?
Whenever doctors seek to disclose confidential information about adults with capacity who are at risk of harm, they should first consider whether they can obtain consent (unless there is a legal requirement to share).
In the BMA's view, adults with capacity have the right to make decisions about how they manage the risks to which they are exposed. Such decisions should ordinarily be respected even where a decision leaves them (but no one else, such as a child) at risk of serious harm. A refusal of disclosure by a patient should not result in the patient being abandoned by services, and continuing care and support should be offered.
In some situations, healthcare professionals may consider disclosing information without consent in the public interest in order to protect adults who have capacity where they have a reasonable belief that the individual will be the victim of serious crime such as violent assault. In these circumstances, healthcare professionals should keep in mind the difficulty of prosecuting a crime where the victim refuses to participate with the criminal justice system, as well as the impact of disclosure on the patient's trust in the profession.
Given the difficulties associated with preventing crime where the victim refuses to co-operate, disclosure of information without consent in these circumstances is likely to be exceptional. Any healthcare professional considering disclosure in these circumstances should take advice from a Caldicott Guardian or appropriate professional, regulatory or medical defence body and make contemporaneous notes of the decision they make and the reasons behind it.
The advice above relates to situations where only an adult with capacity is at risk. Where others, such as a child or adult lacking capacity are also at risk, a disclosure in the public interest is likely to be justified even in the face of refusal by an adult patient with capacity link (see section 7).
Key resources
BMA. Adults at risk and confidentiality
GMC. Confidentiality: good practice in handling patient information
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Requests from third parties
Doctors receive frequent requests for access to confidential information from third parties for purposes which are unrelated to the provision of healthcare. When third parties ask for confidential information, doctors must have written consent from the patient, or a person properly authorised to act on the patient's behalf, unless there is another lawful basis for the disclosure, such as a disclosure made in the public interest (see section 7).
For disclosures with consent, evidence of consent should be provided by the third party. An electronic copy of a signed form is sufficient, provided that the third party can satisfy the doctor that the form has not been tampered with in any way.
Solicitors
A patient with capacity can authorise a solicitor to make a subject access request (SAR) under UK GDPR on their behalf. As is the case for all SARs, the identity of the person making the request must be verified. Healthcare professionals should treat a request from a patient's legitimately authorised solicitor in the same way as a request from the patient themselves. Solicitors must provide the patient's written consent. The consent must cover the nature and extent of the information to be disclosed (for example, past medical history), and who might have access to it as part of the legal proceedings. Where there is any doubt, healthcare professionals should confirm with the patient before disclosing the information.
Standard consent forms have been issued by the BMA and the Law Society of England and Wales and the Law Society of Northern Ireland (included in the BMA's Access to health records guidance).
Employers and insurance companies
Insurance companies and employers should use the provisions of the Access to Medical Reports Act 1988 to seek a GP report. Prior to disclosing information to insurers and employers, healthcare professionals must be provided with evidence of the individual's written consent, or authorisation, from someone legally able to act on the individual's behalf.
Insurers may sometimes seek to use the SAR provisions of UK GDPR to obtain full medical records. Advice from the Information Commissioner's Office is clear that SARs should not be used to access medical records for insurance purposes. We have separate guidance on this matter (see below).
Government departments
Government departments may request information about a patient, for example, to process claims for state benefits. The GMC advises doctors that they may accept an assurance from an officer of a government department or agency that the patient has given written consent to disclosure.
Police
A regular enquiry to the BMA is the right of access to health records by the police. If the police do not have a court order or warrant, they may ask for a patient's health record to be disclosed voluntarily under the Data Protection Act 2018. In such cases, healthcare professionals may only disclose information where the patient has given consent, or there is an overriding public interest in line with the criteria in section 7.
20 9
Family members and genetic information
The general principles of confidentiality apply equally to genetic information as to other information about health. Although genetic information frequently has relevance for family members, information about or provided by one patient should not be shared with others unless consent has been obtained (see section 3) or there is a legal requirement (see section 6) or an overriding public interest to justify disclosure (see section 7). In line with GMC guidance, if a patient refuses consent to disclosure, doctors will need to balance the duty to make the care of their patient their first concern against the duty to help protect an individual from serious harm.
Complaints
When a patient complains about an episode of care, the matter cannot usually be investigated without some access to confidential information. Patients need to know this and should be told who will see the information, as well as being told about the safeguards in place. If they refuse to allow disclosure the complaint may not be able to progress, unless the information can be disclosed in the public interest (see section 7).
Patients sometimes involve their Member of Parliament (MP), or other elected representative, in the complaints process. Where the MP states in writing that they have the patient's consent for disclosure this may be accepted without further reference to the patient. Patients are also entitled to authorise relatives or carers to act on their behalf but, before responding, healthcare professionals should check that the patient consents to the disclosure.
When should information be withheld from access requests?
Certain information must not be disclosed when granting access to medical records. The most common examples are information which:
– is likely to cause serious physical or mental harm to the patient or another person; or
– relates to a third party who has not given consent for disclosure (where that third party is not a healthcare professional who has cared for the patient) and after taking into account the balance between the duty of confidentiality to the third party and the right of access of the applicant, the data controller concludes it is reasonable to withhold third party information.
The full list of exemptions and more detailed guidance on this topic can be found in our Access to health records guidance.
Key resources
BMA. Access to health records
BMA. Focus on subject access requests for insurance purposes
GMC. Confidentiality: Disclosing information for employment, insurance and similar purposes
Secondary uses of information
What are secondary uses?
Secondary uses of information (or indirect care uses) are activities which contribute to the effective provision of health and care services and benefit the population (or groups of patients) through the development of new treatments and service efficiencies. These activities fall outside the scope of primary use because they are not related to the direct care of the individual patient.
Examples of secondary uses include research, commissioning, health service management, risk stratification, financial and national clinical audit, and education.
Will anonymised or pseudonymised information suffice?
Disclosure of anonymised or pseudonymised data (see section 11) will often satisfy a number of secondary uses and must be used where practicable.
When is explicit consent needed?
Explicit patient consent is needed for the disclosure of confidential information for secondary purposes, unless one of the following applies.
– The disclosure has been granted support by the Health Research Authority's CAG (Confidentiality Advisory Group) under section 251 of the NHS Act 2006 (in England and Wales) (see below); or
– It is a disclosure made under the Confidentiality and Disclosure of Information Directions 2013, which provide a limited statutory basis for some specific disclosures where it is not possible to obtain explicit consent and where it is not feasible to anonymise data. These specific disclosures relate to the financial and management arrangements of the NHS, for example, quality and outcomes framework reviews and investigating complaints; or
– The disclosure is otherwise required by law, for example notification of an infectious disease (see section 6).
What is section 251 of the National Health Service Act 2006 (England and Wales)?
Regulations under section 251 of the NHS Act 2006 permit certain disclosures to occur without a breach of the common law duty of confidentiality.
The Health Service (Control of Patient Information, COPI) Regulations can provide statutory support to enable health service management and medical research when it is not practicable to obtain consent and anonymised information cannot be used. Disclosures under these regulations are commonly referred to as having 'section 251 support'.
When presented with a request for confidential information with evidence that it has 'section 251 support', healthcare professionals can disclose the relevant information. It is not a legal requirement to disclose however, disclosures are encouraged due to the public benefit they serve.
Those wishing to access confidential information with 'section 251 support' must apply to the independent Confidentiality Advisory Group of the Health Research Authority.
In rare situations when there is a risk to public health, for example in a pandemic, the Secretary of State for Health and Social Care can use the COPI regulations to require certain information to be shared to help manage and control the disease.
22 10
In Scotland, those wishing to access confidential information for purposes which support the delivery of healthcare must seek advice from the Public Benefit and Privacy Panel for Health and Social Care. In Northern Ireland, the Privacy Advisory Committee advises healthcare organisations about access to information relating to patients.
Can patients opt out of 'section 251' disclosures?
Yes, in all but rare circumstances, 'section 251 support' is granted with the condition that patients must be able to opt out of the disclosure. The rare circumstances when an opt-out may not apply is when there are public safety concerns or the disclosure is for emergency public health reasons.
The national data opt-out (where patients in England can register to opt out of their confidential information being used for research or planning purposes) applies to 'section 251' disclosures in addition to any local mechanisms for opting out).
The national data opt-out (England only)
Patients in England can register an NDO (national data-opt-out) to prevent the use of confidential information for research or planning purposes (subject to certain exemptions). Patients can set their preferences online at: www.nhs.uk/your-nhs-data-matters. Postal and phone options are also available.
The NDO does not apply to disclosures:
– which are required by law, for example certain disclosures to NHS Digital under the Health and Social Care Act 2012;
– for participation in national screening programmes;
– for monitoring and control of communicable disease and other risks to public health;
– to Public Health England for national disease registers (PHE applies its own opt-out mechanisms);
– where explicit consent for a specific project has been obtained from the patient;
– which are authorised by a court order.
UK GDPR requirements
For disclosures of confidential information to be lawful it is necessary to comply with both the common law duty of confidence and UK GDPR (General Data Protection Regulation). Healthcare professionals should note that if consent is being sought to meet the common law this may not reach UK GDPR requirements for explicit consent which are higher than the common law. Instead, where these higher standards are not met, UK GDPR provides valid alternative legal bases which should be used in preference to consent. (See our separate guidance on GPs as data controllers under GDPR.) All secondary uses of confidential information must comply with the UK GDPR principles, including the requirement for transparency and the use of privacy notices which explain how confidential information is used and shared.
Key resources
GMC. Confidentiality: good practice in handling patient information Health Research Authority. GDPR Guidance for researchers and study co-ordinators
NHS Digital. National data opt-out operational policy guidance
Anonymised and pseudonymised information
Disclosures of confidential information should be kept to the minimum necessary to achieve the purpose. Where possible, anonymised or pseudonymised information must be used if it will achieve the purpose of the disclosure.
A distinction must be drawn between anonymised information and pseudonymised information. There are important differences in how the two types of information can be disclosed.
Anonymised information
Information is anonymised if it does not identify individuals or does not enable individuals to be identified. The ICO (Information Commissioner's Office) says that if 'reasonably available' means can be used to re-identify individuals, that data will not have been effectively anonymised. A risk assessment of the means reasonably likely to identify an individual must be made considering the costs, time taken and available technology. An example of anonymised data is national statistics which show the number of people attending A&E departments within a given time period.
When can anonymised information be disclosed?
"…disclosure by doctors or pharmacists to a third party of anonymous information, that is information from which the identity of patients may not be determined, does not constitute a breach of confidentiality."
R v Department of Health, ex parte Source Informatics Ltd [2001] QB 424
https://www.bailii.org/ew/cases/EWCA/Civ/1999/3011.html
Anonymised information can be freely used or disclosed without consent, including publication. Before disclosing anonymised information, healthcare professional must be confident that the information is truly anonymised. The removal of direct identifiers such as name, NHS Number (or CHI), date of birth and postcode can still leave information identifiable in some circumstances for example, rare diseases, drug treatments or statistical analyses which have very small numbers. A combination of items increases the chance of identification.
Pseudonymised information
Pseudonymisation is a common technique for de-identifying information. UK GDPR considers pseudonymised data to be personal data unless the organisation holding the data does not have access to separate information that allows the re-identification of individuals.
Information is pseudonymised when obvious identifiers such as name, NHS Number (or CHI) or date of birth have been removed and replaced with a unique code or pseudonym which is held separately. However, the information is still about an individual person which increases the risk of re-identification. It might be possible, for example, to re-identify individuals if access is given to the 'key' to reverse the code or pseudonym or by linking the pseudonymised information with other sources of data. Pseudonymised information must be subject to technical and organisational safeguards to reduce the risk of reidentification of individuals.
When can pseudonymised information be disclosed?
When considering a disclosure of pseudonymised information, the environment in which the information is to be disclosed is of critical importance. To minimise the risk of re-identification of individuals, pseudonymised information must remain within a secure and controlled environment which has technical restrictions and contractual controls, for example:
– governance of the re-identification 'key' including ensuring that those who have access to the pseudonymised information do not have access to the 'key';
– contractual prohibitions on attempts at re-identification or linking to other data;
– confidentiality clauses in staff contracts, including sanctions;
– limits on access to the pseudonymised information;
– use of encryption processes.
This list is not exhaustive and a risk assessment must be conducted, and documented, in each case. Healthcare professionals should follow the ICO's code of practice on anonymisation when considering disclosing anonymised or pseudonymised information (see below). Specialist advice might be needed when assessing the level of risk of re-identification and what level of controls should be in place to mitigate the risk.
Who can anonymise information?
It is not a breach of confidentiality if information undergoes anonymisation or pseudonymisation processes within the direct care team for a purpose that would be within patients' reasonable expectations (see section 3).
A lawful justification (see section 1) is required if confidential information is to be disclosed to a third party outside of the direct care team in order to undergo anonymisation or pseudonymisation processes.
Key resources
Information Commissioner's Office. Anonymisation: managing data protection risk code of practice Note that this guidance is out of date as it refers to the DPA 1998. The existing guidance should be followed while the updated version is awaited.
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Security and avoiding inadvertent breaches
Keeping information secure
All healthcare professionals have obligations to handle confidential information responsibly and securely and protect it against improper access or disclosure. Protections are needed against both external threats such as cyberattacks and internal threats such as accidental or deliberate breaches by staff.
There are some data security responsibilities which lie at senior organisational level in NHS trusts, local authorities or with GP data controllers, although this will vary depending on the size and type of organisation. Those responsible must ensure compliance with national technical security standards and updates of software to protect IT systems from cyber threats.
All healthcare staff should know the identity of their Caldicott Guardian, Data Protection Officer or Senior Information Risk Owner and know how to report a data breach or near miss.
General principles
To minimise the risk of unauthorised access to confidential information all healthcare staff must:
– not access a patient's record without a legitimate reason;
– avoid conversations in public places which may disclose confidential information, including online forums and social media;
– have appropriate training in confidentiality and data security matters;
– query the status of strangers on the premises; and
– wear ID where issued.
Digital or electronic records
In the case of digital or electronic records healthcare professionals must:
– always log out of any computer system when work is finished;
– not leave a terminal unattended and logged in;
– not share passwords or Smartcards with others;
– always clear the screen of a previous patient's information before seeing another;
– follow local policies on taking laptops or other portable devices home or offsite; and
– follow local policies on the use encryption and password protection.
Manual or paper records
Manual records must be:
– held in secure storage such as locked filing cabinets;
– formally booked out from their normal filing system;
– tracked if transferred, with a note of their current location within the filing system;
– returned to the filing system as soon as possible after use;
– kept closed when not in use so that the contents are not seen by others;
– inaccessible to members of the public; and
– kept on site unless removal is essential.
Telephone calls
Healthcare staff should confirm the identity of telephone callers if doubt exists that the caller is who they say they are, for example, by calling them back using an independent source for the phone number. Messages should not be left on answering machines to which others may have access or with family members.
Recorded telephone conversations are confidential in the same way as other information disclosed by patients for the purposes of receiving healthcare. Patients should be informed if their call may be recorded.
Texting patients
Many patients prefer their healthcare professionals to use text messages as a convenient way of communicating with them. It is acceptable to use text messages to communicate with patients about their care, however, agreement should be sought from patients in advance that they are happy to receive communications in this way. Asking the patient to actively agree in advance to text messages can help to avoid misunderstandings or an inadvertent breach of confidentiality. Patients should be made aware of the types of information they can expect to receive by text, for example appointment reminders, repeat prescriptions or test results. The phone or device used to send the text messages must be secured in the same way as other electronic records to prevent accidental disclosure of the communication.
Emailing patients
The NHS requires that confidential information held in digital or electronic form is encrypted before transmission. Great care must be taken to ensure that the correct email address is used, and that emails sent to more than one patient at once are Bcc'd so that no recipient can see any of the other recipients' names or email addresses.
Sending confidential information to an unencrypted email address is not secure therefore the BMA advises that patients should be made aware of, and accept, the risks. This can be achieved by asking the patient to sign a disclaimer which includes:
– a checklist so that the patient can specify the information they are happy for the practice to send by email, for example, appointment reminders, appointment cancellations, test results etc. The practice must abide by the patient's instructions;
– confirmation of the email address that the patient has provided; the practice is likely to be in breach of the UK GDPR if information is sent to the wrong email address;
– a statement that the patient is responsible for informing the practice of any change to their email address;
– a statement that the patient is responsible for informing the practice of any change to their preferred method of communication, for example, if they no longer wish to receive information by email.
Processing and storing images
When remote consultations take place doctors can receive images, including intimate images, for clinical purposes. National guidance confirms that the approach to storing images should be the same as it would be for face to face interactions.
Key resources
NHS Digital. Data Security and Protection Toolkit Department of Health, Northern Ireland. Code of Practice on Protecting the Confidentiality of Service User Information Scottish Government. Protecting Patient Confidentiality: NHS Scotland Code of Practice
Visual and audio images/recordings
The advice in this section makes a distinction between:
– disclosing images/recordings made as part of a patient's care; and
– images/recordings which have been made for non-patient care reasons and with the intention of publication or broadcast.
Disclosure of recordings made as part of a patient's care
Visual and audio images/recordings made for clinical purposes are part of the medical record and are subject to the usual duty of confidentiality. These images can be shared for the direct care of a patient under implied consent (see section 3).
Adults with capacity
Images/recordings made as part of a patient's care should be treated in the same way as the rest of the medical record in terms of disclosures for secondary uses (see section 10), such as research or education and training. This means that explicit consent for disclosure will usually be required unless another lawful justification can be identified. Anonymised images can be disclosed for healthcare-related secondary uses, such as teaching or research, without consent. Those disclosing anonymised images, however, must be aware that apparently insignificant details may still be capable of identifying the patient and must be removed or redacted.
Healthcare professionals may wish to publish a recording of a patient which was made as part of their care. In these circumstances, explicit consent must be obtained if the patient is, or may be, identifiable. GMC guidance states that if the recording is anonymised, it is good practice to seek consent before publishing, bearing in mind the difficulties in ensuring that all the features of a recording that could identify the patient to any member of the public have been removed. Extreme care should be taken about the anonymity of such recordings before using or publishing them without consent in journals, other learning materials or any other media to which the public will have access.
The advice in earlier sections will apply when considering if disclosure of a recording is required by law (see section 6) the duty of confidentiality is set aside (see section 10) or the disclosure is justified in the public interest (see section 7).
Adults lacking capacity
Medical research
If the image/recording cannot be anonymised, identifiable information can be disclosed for medical research provided it is in the best interests of the patient and in accordance with the Mental Capacity Act (in England and Wales), common law and other legislation. (Healthcare professionals should refer to separate guidance on the Mental Capacity Act 2005 and Adults with Incapacity (Scotland) Act 2000 when considering disclosing identifiable information about adults lacking capacity for medical research).
Education and training purposes
The law in relation to adults lacking capacity and the use of identifiable images/recordings for education and training purposes is untested. In the BMA's view it is difficult to see how such uses could be in the individual's best interests. Legal advice should be sought on a case-by-case basis for the use of identifiable images/recordings for reasons other than treatment and research.
Recordings made for use in widely accessible public media
Publicly accessible media includes television, radio, online media and print.
Adults with capacity
The patient's explicit and written consent is required to make images/ recordings intended for use in widely accessible public media. Explicit consent should still be sought even if it is considered that the patient is not identifiable, with the exception of certain intrinsically anonymous images, such as images of internal organs or images of pathology slides.
Patients should understand that, once material is published and in the public domain, it may be extremely difficult to withdraw it from circulation. Where a video recording has been made for a broadcast, doctors should check that patients understand that, once they have agreed to the recording being made for the broadcast, they may not be able to stop its subsequent use.
Adults lacking capacity
There are specific legal requirements in mental capacity legislation for making images/recordings of adults who lack capacity and using or disclosing such recordings. Legal advice should be sought in this area. The GMC states that in making audio or visual images/recordings for other secondary purposes, including images/recordings for publication, doctors must be satisfied that:
– the image/recording is necessary and benefits the patient or is in their best interests; and
– that the purpose cannot be achieved in a way that is less restrictive of the patient's rights and choices.
Key resources
GMC. Making and usual audio and visual recordings of patients
Online complaints and the media
Responding to online complaints
Reading critical comments online from patients can be extremely upsetting and stressful. Many healthcare professionals feel strongly that patients forfeit their rights to confidentiality by posting on social media or speaking publicly and that they should be entitled to 'set the record straight' and correct any inaccuracies. In practice, healthcare professionals who do this would risk criticism and breach confidentiality. This principle applies even if the person replying to the complaint is not the member of staff complained about. Defending a colleague in a way that breaches confidentiality risks worsening the situation for both.
The advice of the GMC is that doctors should usually limit their public response to an explanation of the legal and professional duty of confidence that prevents them from commenting on specific cases, such as the one under discussion. This makes it clear that doctors do not have the right of reply and that readers should bear that in mind when reading the original complaint.
Any response must reflect the professionalism of healthcare staff. An inappropriate tone or impolite response may risk undermining public confidence in healthcare professionals.
Disclosures to the press
Under normal circumstances there will be no basis for disclosure of confidential information to the press. There will be occasions, however, when healthcare professionals are asked for information about individual patients.
For example, they may be asked to comment:
– on the condition of a celebrity patient. When the patient has the capacity to make decisions about disclosure, consent is essential before any information is released to the media. When the patient lacks capacity, legal advice should be sought.
– after incidents involving harm to many people. During or after major disasters, for example a fire, road traffic accident, terrorist attack or outbreak of infectious disease, it is important that requests for information are dealt with sensitively, while not breaching the confidentiality of patients.
Key resources
GMC. Responding to criticism in the media
Statutory restrictions on disclosure
Healthcare professionals are required by law to restrict the disclosure of some specific types of information. We have listed the most common examples below.
– The Gender Recognition Act 2004 (UK) allows transsexual people who have taken decisive steps to live fully and permanently in their acquired gender to apply for legal recognition of that gender. The Act makes it an offence to disclose 'protected information' (except in exceptional circumstances, for example, to comply with a court order) when that information is acquired in an official capacity. It defines 'protected information' as information about a person's application to the Gender Recognition Panel for gender recognition and a person's gender history after that person has changed gender under the Act.
– The NHS (Venereal Diseases) Regulations 1974 (England and Wales (applicable to NHS Trusts and NHS Foundation Trusts) and the NHS Trusts and PCTs (Sexually Transmitted Diseases) Directions 2000 (England) (applicable to NHS Trusts only) provide that any information capable of identifying an individual who is examined or treated for any sexually transmitted disease including HIV shall not be disclosed, other than to a medical practitioner in connection with the treatment of the individual or for the prevention of the spread of the disease.
– The Human Fertilisation and Embryology Act 1990 (UK) protects confidentiality of the information kept by clinics and the HFEA (Human Fertilisation and Embryology Authority). Information can only be viewed by the clinic licence-holder and by staff or members of the HFEA (there are some additional limited exceptions to the restriction on disclosure, for example, disclosures to the Registrar General or a court). Disclosure of information which identifies the patient to another party without the patient's prior consent is a criminal offence.
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© British Medical Association, 2021
BMA 20210157
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KLINGER top-sil-ML1 Unique Multi-Layer * material concept – A milestone for fibre reinforced gaskets ®
KLINGER top-sil-ML1 Unique Multi-Layer material concept ®
For quite some years the sealing industry in general has been unable to offer an adequate substitute for the KLINGERit gasket. This gasket, because of its absence of embrittlement at high temperatures was extremely successful.
The layers of the structure are characterised by the selection of elastomers. Since at least one of the layers contains a different elastomer (compared with the standard elastomers like NBR, SBR, etc.) the decomposition and ageing processes associated with conventional fibre materials i.e. post curing, thermo oxidative decomposition, degradation of the polymer chains etc. depending on application, can be suppressed.
We are pleased to advise that exactly 110 years after the invention of KLINGERit, KLINGER is able to re-confirm its leading position in the field of fibre reinforced gaskets with the latest development KLINGER ® top-sil-ML1.
This new concept in material technology* ties up with the performance benchmark set by KLINGERit gaskets.
The Multi-Layer structure makes it possible to develop materials with new property profiles. The layers containing the special elastomers remain flexible over longer periodes than standard materials even at high temperatures and are therefore able to compensate for dynamic load fluctuations induced by the flange. This flexibility suppresses the creation of micro crevices, which are responsible for gasket leakage.
The layers containing standard elastomers are better able to resist deformation under load due to the formation of a denser network.
The gasket therefore remains flexible but still retains its strength.
* Detailed information about the Multi-Layer concept can be supplied separately on request.
Tightness behaviour in saturated steam
This test is an excellent method to test the decomposition of elastomer bounded sealing materials within a reasonable time. The applied temperature of 320°C coupled with an environment of saturated steam at around 120 bar provides a stringent test for the elastomers. The arduous nature of the test conditions is designed to promote decomposition of the samples, allowing an assessement of ageing resistance of the Multi-Layer materials. By these extrem testing conditions a differentiation of different gasket types becomes possible.
KLINGER top-sil-ML1 A milestone for fibre reinforced gaskets ®
The time before the pressure drop occurs can be seen as a measurement of the ageing resistance of the gasket. In order to quantify the effects caused by the formation of micro crevices, the test rig was pressurised with 40 bar nitrogen to measure the leakage rate at room temperature following the steam test. By this method a direct correlation can be defined between the ageing of the gasket and its leakage rate.
The Multi-Layer material guarantees the user significantly lower emissions over a longer service life at elevated temperatures.
A sudden pressure loss within the test rig chamber indicates either steam escape through crevices within the material or destruction of the test specimen. Both effects result from embrittlement of the gasket due to degradation of the elastomers.
Tightness
behaviour in
saturated
steam
Elastic
properties
NBR
Multi-Layer
higher flexibility
Elongation %
Bending strength
NBR
Multi-Layer
Time d
Internal pressure
extended
service life
Elastic properties
To evaluate flexibility potentials of sealing materials the three point bending test is often used to assess the flexibility of compressed fibre materials. Trials with conditioned test specimens provide an indication of the level of embrittlement and therefore the ageing behaviour of the elastomers employed.
Prior to the bending tests samples were conditioned as follows.
✽ Hot air for 168 h at 160°C and
✽ Saturated steam for 168 h at 185°C
Steam hammer often occurs in steam applications and leads to damage of the sealing materials. A more flexible gasket will therefore contribute to a safer and more reliable flange connection.
The novel Multi-Layer material concept significantly increases ageing resistance at elevated temperature when compared with conventional materials.
With this concept, it is possible to minimise all the undesirable property changes associated with traditional compressed fibre materials such as embrittlement, formation of crevices and increased leakage.
Incorporation of special elastomers into separate layers within the Multi-Layer structure ensures that a longer service life and increased temperature resistance can be expected.
Tests have shown that such a combination of properties cannot be achieved through homogenuous mixing of two elastomers.
The many, varied demands placed on gaskets
A common perception is that the suitability of a gasket for any given application depends upon the maximum temperature and pressure conditions. This is not the case.
KLINGER top-sil-ML1 ®
Selecting gaskets with pT diagrams
The Klinger pT diagram provides guidelines for determining the suitability of a particular gasket material for a specific application based on the operating temperature and pressure only.
Additional stresses such as fluctuating load may significantly affect the suitability of a gasket in the application and must be considered separately. Always refer to the chemical resistance of the gasket to the fluid.
Klinger Hot and Cold Compression Test Method
The Klinger Hot Compression Test was developed by Klinger as a method to test the load bearing capabilities of gasket materials under hot and cold conditions.
Maximum temperature and pressure values alone can not define a material's suitability for an application. These limits are dependent upon a multiplicity of factors as shown in the diagram opposite. It is always advisable to consider these factors when selecting a material for a given application.
Areas of Application
In area one, the gasket material is normally suitable subject to chemical compatibility.
In area two, the gasket materials may be suitable but a technical evaluation is recommended.
In area three, do not install the gasket without a technical evaluation.
The thickness decrease is measured at an ambient temperature of 23°C after applying the gasket load. This simulates assembly.
Temperatures up to 300°C are then applied and the additional thickness decrease is measured.This simulates the first start up phase.
In contrast to the BS 7531 and DIN 52913 tests, the Klinger Compression test maintains a constant gasket stress throughout the entire test. This subjects the gasket to more severe conditions.
The diagram shows additional thickness decrease at temperature
Maximum permissible surface pressure σBO under operating conditions acc. DIN 28090 – 1
The maximum surface pressure under operating conditions is the maximum allowable surface pressure on the effective gasket area under service conditions that can be applied to the gasket before unacceptable relaxation of the flanged joint occurs and/or the gaskets are destroyed.
Tightness class L= 0.1 allows a maximum leakage of 0.1 mg nitrogen per second per meter of gasket length (mg/s x m)
KLINGER top-sil-ML1 Flanged joint integrity ®
Min. surface pressure σVU for tightness classes L= 1.0, L= 0.1 and L= 0.01 in accordance to DIN 28090
Modulus of elasticity E D in accordance to DIN 28090
The minimum surface pressure is the minimum surface pressure that should be applied to the gasket to achieve the necessary tightness requirements.
The value must be sufficient to compress the material into the flange imperfections, reduce the materials porosity and also counteract the release of load due to the internal pressure.
The diagrams below show the minimum gasket stress required to achieve the relevant tightness classes as a function of thickness.
100
1
This diagram outlines the modulus of elasticity compared to the surface load. The curves describe the behaviour at ambient temperature and at 150°C.
High temperature tightness
High temperature tightness is measured by means of the Klinger Hot Compression test under defined constant gasket load and temperature with increasing internal pressures using nitrogen as test fluid.
Stabilisation time for each reading is two hours and a new test specimen is used for every gasket load and temperature.
The tightness is analysed with a massflow meter. The pressure is controlled by pressure controller.
KLINGER top-sil-ML1 Flanged joint integrity ®
Important points to be observed
With heightened awareness of safety and environmental issues, reducing leaks from flanged assemblies has become a major priority for industry. It is therefore important for companies who use gaskets to choose the correct material for the job and install and maintain it correctly to ensure optimum performance.
A flanged joint will remain tight as long as the surface pressure in service is higher than the minimum surface pressure required to achieve the necessary levels of tightness but is lower than the maximum permissible surface pressure. But increasingly high demands on the tightness requirements for flanged joints (e.g. Tightness class L 0.1 in accordance with DIN 28090) necessitate the application of high loads on the gasket material in order to meet these stringent requirements.
If the gasket is to be subjected to non-static loading and stress fluctuations due to temperature and pressure cycling, it is advisable to select a gasket material which is less prone to embrittlement with increasing temperatures (e.g. KLINGERgraphite laminate, KLINGERtop-chem or KLINGERtopsil). In cyclic loading conditions we recommend a minimum surface stress of 30 MPa and that the gasket should be as thin as is practicable.
For safety reasons never re-use gaskets.
The following guidelines are designed to ensure the optimum performance of our gasket materials:
1. Choosing the gasket
There are many factors which must be taken into account when choosing a gasket material for a given application including temperature, pressure and chemical compatibility. Please refer to the information given in our brochure or, for advice to our software program KLINGER ® expert. If you have any questions regarding the suitability of material for a given application please contact Klinger Technical Department.
2. Gasket thickness
The gasket should be as thin as technically practical. To ensure optimum performance a minimum thickness/width ratio of 1/5 is required (ideally 1/10).
3. Flange condition
Ensure all remains of old gasket materials are removed and the flanges are clean, in good condition and parallel.
4. Gasket compounds
Ensure all gaskets are installed in a dry state, the use of gasket compounds is not recommended as this has a detrimental effect on the stability and load bearing characteristics of the material. In its uncompressed form the gasket can absorb liquid, and this may lead to failure of the gasket in service. To aid gasket removal Klinger materials are furnished with a non sticking finish.
In difficult installation conditions, separating agents such as dry sprays based on molybdenum sulphide or PTFE e.g. KLINGERflon spray, may be used, but only in minimal quantities. Make sure that the solvents and propellants are completely evaporated.
KLINGER top-sil-ML1 Installation instructions ®
5. Gasket Dimensions
8. Retightening
Ensure gasket dimensions are correct. The gasket should not intrude into the bore of the pipework and should be installed centrally.
6. Bolting
Wire brush stud/bolts and nuts (if necessary) to remove any dirt on the threads. Ensure that the nuts can run freely down the thread before use.
Apply lubricant to the bolt and to the nut threads as well as to the face of the nut to reduce friction when tightening. We recommend the use of a bolt lubricant which ensures a friction coefficient of between 0.10 to 0.14.
7. Joint Assembly
It is recommended that the bolts are tightened using a controlled method such as torque or tension, this will lead to greater accuracy and consistency than using conventional methods of tightening. If using a torque wrench, ensure that it is accurately calibrated.
For torque settings please refer to the KLINGER ® expert or contact our Technical Department which will be happy to assist you.
Carefully fit the gasket into position taking care not to damage the gasket surface.
When torquing, tighten bolts in three stages to the required torque as follows:
Finger tighten nuts. Carry out tightening, making at least three complete diagonal tightening sequences i.e. 30%, 60% and 100% of final torque value. Continue with one final pass – torquing the bolts/studs in a clockwise sequence.
Powerful sealing calculation with online help on CD-ROM
Provided that the above guidelines are followed retightening of the gasket after joint assembly should not be necessary.
If retightening is considered necessary, then this should only be performed at ambient temperature before or during the first start-up phase of the pipeline or plant. Retightening of compressed fibre gaskets at higher operating temperatures and longer operating times may lead to a failure of the gasket connection and possible blow out.
9. Re-use
For safety reasons never re-use a gasket.
KLINGER top-sil-ML1 Technical data ®
■ Uses
Multi-Layer sealing material with extended service life and improved flexibility at higher temperatures. Suitable for use with oils, water, steam, gases, salt solutions, fuels, alcohols, moderate organic and inorganic acids, hydrocarbons, lubricants and refrigerants, food industry. Outstanding performance in many applications.
■ Dimensions of the standard sheets
Sizes: 1000 x1500 mm,2000 x1500 mm. Thicknesses: 0.8 mm, 1.0 mm, 1.5 mm, 2.0 mm, 3.0 mm; other thicknesses and sizes on request. Tolerances: thickness ±10%, length ± 50 mm, width ± 50 mm.
■ Surfaces
KLINGERSIL ® gasket materials are generally furnished with surfaces of low adhesion. On request, graphite facings and other surface finishes on one or both sides are also available.
■ Function and durability
The performance and service life of KLINGER gaskets depend in large measure on proper storage and fitting, factors beyond the manufactor's control. We can, however, vouch for the excellent quality of our products.
With this in mind, please also observe our installation instructions.
■ Tests and approvals
BAM, DIN-DVGW, KTW, WRC and TA-Luft (Clean air) approvals in preparation. Meets the tewchnical requirements of BS 5731:2006 Grade AX.
Certified according to DIN EN ISO 9001:2000
Subject to technical alterations. Issue: December 2007
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990241 research-article2021
SJP0010.1177/1403494821990241Sveinsdottir et al.Development of the workplace inclusion questionnaire
Original Article
Development of the workplace inclusion questionnaire (WIQ)
Vigdis Sveinsdottir 1 * , Tone Langjordet Johnsen 1,2 * , Tonje Fyhn 1 , Jon Opsahl 1 , Torill Helene Tveito 3 , Aage Indahl 2 , Hege Randi Eriksen 4 & Silje Endresen Reme 5
1NORCE Norwegian Research Centre, Bergen, Norway, 2Division of Physical Medicine and Rehabilitation, Vestfold Hospital Trust, Tønsberg, Norway, 3 Department of Health, Social and Welfare Studies, University of South-Eastern Norway, Horten, Norway, 4 Department of Sport and Physical Activity, Western Norway University of Applied Sciences, Bergen, Norway, and 5 Department of Psychology, University of Oslo, Oslo, Norway
Abstract
Aims: To develop a questionnaire to examine attitudes among employees and managers to include people with various health problems into their work group, and to test the questionnaire in one relevant population within the labour market. Methods: A questionnaire was developed through a process involving discussions in a scientific forum and pilot testing with group discussions. The final questionnaire, which was tested in a survey study of managers and employees in 33 Norwegian kindergartens (N=485), contained 10 short case stories followed by questions concerning workplace inclusion. The case stories described individuals with musculoskeletal and mental disorders, as well as individuals with potentially stigmatising behavioural history and lifestyle, and control cases. Risk ratios with 95% confidence intervals (CIs) were used to compare the case stories. Cases with high risk ratios had an increased risk of not being included compared to a control case. Results: Attitudes for workplace inclusion varied between the different case stories. Cases portraying mental illness had the highest risk ratios, indicating that employees and managers are less likely to include people with mental illness than people with musculoskeletal illness. Furthermore, unspecific or chronic illness had higher risk ratios than specific and acute illness. The most important barriers also varied between case stories. Conclusions: The workplace inclusion questionnaire fulfills the need for a quantitative measure of attitudes to include individuals with various health problems into the workplace. Comparison of risk ratios showed clear differences between case stories, indicating that the workplace inclusion questionnaire is a valuable tool to measure the variance in workplace inclusion.
Keywords: Attitudes, prejudice, discrimination, stigma, vocational rehabilitation, workplace, workplace inclusion
Background
A large part of the potential workforce is excluded from working life for different reasons. In Norway, 674,000 labour years were lost due to health problems or unemployment in 2018, corresponding to 18.9% of the working-age population [1]. The main reasons for sick leave and disability are related to unspecific musculoskeletal complaints such as low back pain and common mental disorders such as anxiety and depression [2]. Sick leave in Norway is highest in the health and social care sector, especially among employees in nursing homes and kindergartens [3]. The inclusive working life agreement (IA-agreement) [3] has made the workplace a priority setting for reducing sick leave and exclusion from working life among employees who are on sick leave or have impaired work capacity in Norway. The IA-agreement specifically focuses on industries and sectors with a large need and potential for sick leave reduction and preventive work environment efforts.
Work participation may be affected by social stigmatisation and the willingness of employers and employees to include individuals with, for example,
*These authors contributed equally to this work.
Correspondence: Vigdis Sveinsdottir, NORCE Norwegian Research Centre, POB 22 Nygaardstangen, NO-5838 Bergen, Norway. E-mail: email@example.com
Date received 11 April 2019; reviewed 26 September 2019; 26 June 2020; accepted 15 December 2020
Article reuse guidelines: sagepub.com/journals-permissions
https://doi.org/10.1177/14034948
https://doi.org/10.1177/1403494821990241 DOI: 10.1177/1403494821990241 journals.sagepub.com/home/sjp
various health problems in the workplace. As classically described by Goffman [4], social stigma involves discrediting individuals based on characteristics that are deemed socially undesirable. Core types of stigma may be grouped as stigma related to an individual's demographic background, character and behaviour, or physical impairments [4]. With regard to stigma towards various health problems – which are the main focus in our study – these may fall within both of the two latter categories. Social stigma may be expressed as ignorance, prejudice and discrimination [5] and act as a barrier to employment that prevents individuals from staying in or even entering the labour market [6]. General surveys of employers' attitudes and practices towards workers with disabilities often reflect favourable attitudes that may be biased by social desirability and employer self-selection [7], and despite expressing positive global attitudes, employers tend to be more negative when specific attitudes towards these workers are assessed [8]. Principal barriers to employing workers with disabilities may be a lack of awareness about disability and accommodation issues, concerns over potential expenses and fear of legal liabilities such as lawsuits or discrimination accusations [7].
Previous studies have shown that willingness to grant accommodation is greater when disability is caused by external factors rather than when it is attributed to the individual's own behaviour [9], and that workers with physical disabilities are viewed more positively than workers with intellectual or psychiatric disabilities [8, 10]. Even so, stigma towards physical disabilities such as back pain is still a barrier for workplace inclusion [11], but stigma towards mental illness is especially widespread [5]. For people with severe mental illness the rates of both anticipated and experienced discrimination are high across countries and labour markets [12]. In addition to concerns about clinical and work performance factors, employers report negative beliefs about personal factors regarding the employment of people with mental illness, including lack of trust and safety issues when working with vulnerable groups such as children and the elderly [13]. There is, however, little knowledge about how stigma or attitudes towards inclusion at the workplace varies between different diagnoses. Furthermore, distinctions between specific and acute as opposed to unspecific and chronic health conditions may be of importance in this context. Previous qualitative research has indicated that workers find it more difficult to accept and accommodate colleagues who have longstanding and unspecific conditions, as opposed to more specific and short-term health problems [14]. In addition to stigma towards health problems, another core type of stigma is that associated with behavioural history which may or may not represent health problems, such as substance use and lifestyle choices that are perceived as flaws to the individual's character [4].
Familiarity and experience in working with people with various challenges is associated with more favourable attitudes [15]. This may be explained by the contact hypothesis, as described by Allport [16], in which interaction with members of another group may decrease prejudice and lead to more favourable attitudes that are generalised beyond the immediate situation [17]. Moreover, interventions aiming to improve communication about health concerns at the workplace, debunk common myths, provide reassurance and reduce fear related to the workers' symptoms, have been shown to be effective in reducing sick leave (e.g. Odeen et al.) [18], possibly due to changes in attitudes and higher acceptance of people returning to work in spite of their health problems.
Although there exists a fair amount of studies that examine the employability of, or attitudes towards, different groups – they tend to examine only a few health problems, or not to distinguish between different types of health problems at all [19, 20]. Previous measures do thereby not provide the opportunity to compare how different health problems are rated at the workplace. Furthermore, questionnaires measuring attitudes towards people with mental illness commonly have a broad perspective on social inclusion, only sometimes including work [21–23]. There is therefore a need for an operationalisation of the concept of attitudes towards workplace inclusion, and a measure to investigate these attitudes towards individuals across a broader spectre of health problems.
In this paper, we operationalise workplace inclusion as a concept to describe attitudes about how different individuals are considered to fit into a work group, whether the individual is being hired or is already employed. If members of a group consider an individual not to fit in, it is likely to affect their inclusion practices. Inclusion is a complex concept that may be experienced differently across situations and may operate at the individual, interpersonal, group, organisational and societal level. By narrowing this down to an employer's or employee's own perceptions about how well different individuals fit into their own job environment, we here seek to give insight into the workplace inclusion of various cases representing people with different health problems. These are again compared and contrasted to cases with a potentially stigmatising behavioural history, and to control cases without such a history or problems.
Aims
The first aim of the study was to develop a questionnaire to assess attitudes towards the workplace inclusion of individuals with different health problems,
with the opportunity to compare attitudes across different cases and various sectors in the labour market. The choice of different health problems was carefully selected from the most prevalent diagnostic groups in the workers' compensation system, and aimed to include both specific and acute, as well as unspecific and chronic health problems. For comparability, the workplace inclusion questionnaire (WIQ) also includes descriptions of individuals with a different behavioural history and lifestyle, and control cases with no such history or health problems.
The second aim was to test the questionnaire in one common and relevant sector of working life. In this study, we chose the kindergarten sector, as it represents a large and important part of the Norwegian labour market with a high level of health problems among employees [3].
Methods
Part 1: Development of the WIQ
Development process. The WIQ was initially drafted as a scale consisting of simple items presenting cases with different behavioural or demographic characteristics, health complaints or diagnoses varying in prevalence and severity, to be rated on a Likert scale based on how well each case was considered to fit into the respondent's work group. The goal was to describe a broad spectrum of cases including the most common reasons for sick leave and disability. The questionnaire was modified through a process of critical discussion with researchers within health and social sciences. Describing cases in short sentences or just using diagnostic names was deemed too simplistic. To create valid case stories, information about job qualification, age and gender was combined with a description of diagnostic criteria based on the International Classification of Diseases version 10 (ICD-10) or behavioural and demographic characteristics [24]. The idea was to provide respondents with an understanding of each condition, without mention of the diagnosis.
We developed 10 short case stories, describing people with various musculoskeletal, mental and behavioural problems which represent the major reasons for sick leave and disability in Norway [2], as well as different social groups, without health problems, but with specific behavioural or demographic characteristics. The gender of the cases was randomly selected, and included five men and five women. The cases were given common names corresponding to name trends at their time of birth, and each consisted of a few sentences describing the specific characteristics or health or behavioural problems and functioning of each case. In order to avoid qualifications and age interfering with the evaluations of the cases, all cases were described as having the formal qualifications necessary for the job and to be in their 30–40s, with the exception of one case presented as an older worker.
Pilot testing with group discussion. We performed a pilot test in order to ensure that the questionnaire was meaningful and understandable, and addressed authentic problems and situations for each case. The questionnaire was distributed among two groups of managers and human resource employees from different sectors of the labour market. All participants (N=40, mean age 47.4 years (standard deviation 9.4), 90% women, 42.5% with hiring responsibilities) were asked to indicate how well they considered each case to fit into their work group, and if relevant, to state the main reason why the case did not fit into the group. After the pilot testing, the participants were invited to discuss the questionnaire with the researchers. Discussions involved social desirability bias, the difference between making accommodations for existing colleagues versus hiring of new employees, and the risk of increased workload for other employees. Based on the feedback provided in the pilot study, subsequent adaptions were made.
Case stories. Six cases described health conditions corresponding to the diagnostic criteria in the ICD10 for musculoskeletal, mental and behavioural disorders.
* • Chronic back pain (M54.5) (Lisa)
* • Mild to moderate depressive episode (F32.0-1) with symptoms of anxiety (Jennifer)
* • Spine fracture (T08) (Matthew)
* • Schizophrenia with stable deficit (F20) (Michael)
* • Somatisation disorder (F45.0) (Melissa).
* • Hyperkinetic disorder (F90) (Ashley), corresponding to attention deficit hyperactivity disorder in ICD version 11
The four remaining cases described common social groups without current health problems.
* • Previous drug addiction (Christopher)
* • Single mother with young child (Sarah)
* • Unhealthy lifestyle (John)
* • Older worker with possibility for early retirement (James).
The cases with previous drug addiction and unhealthy lifestyle were considered as cases who might be stigmatised due to behavioural history and lifestyle. The single mother and older worker were considered as being control cases.
374 Sveinsdottir et al.
Questions. Following each case story, the respondents were asked two questions: (a) 'In an ideal world, how do you think N.N. would fit into your work group?'; (b) 'Given the current circumstances, how do you think N.N. fits into your work group?' (i.e. workplace inclusion). The answers were scored on a 5-point Likert scale: 1 = very poorly; 2 = quite poorly; 3 = neither poorly nor well; 4 = quite well; and 5 = very well. The two-question solution with ideal and current circumstances was made with the intention of giving respondents an opportunity to express socially desirable responses, before asking about actual attitudes to include each case. The third question was intended to measure barriers: 'If N.N. does not fit quite/very well into your work group: What is the main reason?' The possible responses were: 'need for accommodation', 'economic consequences', 'collaboration/interaction with colleagues', 'ability to provide service', 'increased workload for colleagues', 'work capacity', 'work ability', and an open response category. Finally, the respondents were asked to answer yes or no to the question: 'Do you have any experience with colleagues or employees like N.N.?'
Part 2: Testing of the WIQ
Study population and data collection. The questionnaire was distributed to managers and employees in 33 Norwegian municipal kindergartens, using electronic survey software (Qualtrics). The participants received written information and gave consent by answering and submitting the survey, and 485 employees finished the survey. Each respondent received and rated a random selection of five out of the 10 cases. The questionnaire was anonymous and only the research team had access to the responses. The study was approved by the Norwegian Data Protection Official for Research (registration no. 34934/3/KS).
Statistical analysis. Descriptive data analyses were performed for background characteristics of the participants and workplace inclusion variables. Boxplots with means and 95% CIs were computed for visual comparison of the various case stories on workplace inclusion. The variables measuring attitudes about how well the different case stories fit into the work group in ideal and current circumstances were dichotomised into 0 (very poorly, quite poorly, and neither poorly nor well) or 1 (quite well and very well) before analyses were performed. Risk ratios with 95% confidence intervals were then calculated to investigate differences in the relative risk for workplace inclusion between the various cases using the older worker as a control/reference case, and also between ideal and
current circumstances for each case story. Differences in workplace inclusion between respondents with versus without previous experience with similar cases, and between respondents with versus without hiring responsibilities, were tested using chi square tests. Descriptive data analyses were performed for the barriers reported for each case, and open-ended responses were categorised using thematic analysis, as described by Joffe and Yardley [25]. The categorisation was performed independently by two of the authors, and any inconsistencies were discussed until consensus was reached.
Results
The majority of the participants were older than 40 years (n=276, 59%) and the most common education level was 1–4 years of college or university (n=201, 43%). Forty-five participants (9.7%) had responsibilities for the selection and hiring of new staff. Due to the low number of men in Norwegian kindergartens (approximately 11%) [26] we did not ask about gender in this sample.
Comparison of case stories
The older worker had the highest and most favourable mean score on workplace inclusion, followed by the single mother and the case with previous drug addiction (see Figure 1). The cases with spine fracture, chronic back pain, unhealthy lifestyle and hyperkinetic disorder were concentrated around the centre of the scale. The three cases with the lowest
and least favourable mean scores were somatisation disorder, depression and schizophrenia.
The distribution of positive, neutral and negative responses for each case story showed that more than half of the respondents were positive regarding the older worker and single mother who were considered as being control cases, and more than half of the respondents were negative towards schizophrenia, depression and somatisation disorder (see Table I).
The probability of being rated as a person who fits well into the respondents' work group differed between the various case stories. When compared with the older worker, all the other case stories had a lower probability of receiving a favourable rating (see Table II). The person with a somatisation disorder and the person with depression were more than six times as likely to be rated less favourably, the person with schizophrenia was over five times as likely to be rated less favourably, and the person with hyperkinetic disorder was almost four times as likely to be rated less favourably than the older worker. The person with an unhealthy lifestyle had over three times the probability of a less favourable rating than the older worker, and both the person having a spine fracture and the person with chronic back pain had twice the probability of a less favourable rating. Finally, the person having a previous drug addiction and the single mother had a 79% and 40% increased probability of receiving a less favourable rating than the older worker, respectively.
Previous experience
The respondents who reported previous experience with a colleague or employee resembling the cases of spine fracture (χ 2 (1, n=220) = 0.015, P=0.012, phi = –0.010), unhealthy life style (χ 2 (1, n=217) = 0.005, P=0.005, phi = –0.201), single mother (χ 2 (1, n=222) = 0.031, P=0.024, phi = –0.157), or older worker (χ 2 (1, n=228) = 0.001, P=0.001, phi = –0.237) were more positive towards including the respective cases at their workplace, but the effect sizes were small. Results for the remaining cases were not statistically significant.
Ideal and current circumstances
Differences in the probability for workplace inclusion when considering ideal or current circumstances were small and not statistically significant (see Table III).
Hiring responsibilities
There were no significant differences in ratings between those with or without hiring responsibilities,
with the exception of one case. The respondents with hiring responsibilities were significantly more positive towards including the case with the single mother, but the effect size was small (χ 2 (1, n=224) = 0.042, P=0.025, phi = –0.151).
Barriers
Increased workload for colleagues was the most commonly reported barrier for chronic back pain, spine fracture, somatisation disorder and the single mother. Work capacity was the most commonly reported barrier for the cases describing an unhealthy lifestyle, the older worker and also spine fracture. Collaboration/ interaction with colleagues was the main barrier for the case with hyperkinetic disorder and work ability was the main barrier for the cases describing previous drug addiction, depression and schizophrenia (see Table IV).
Open-ended responses to barriers. For chronic back pain, respondents had concerns about practical
Table II. Percentage willing to include each case story at their workplace and the risk ratio for not being included when compared to the older worker.
issues related to job-specific tasks, unpredictability and worries about sick leave, while for spine fracture mainly practical issues related to job-specific tasks were reported. For the case with depressive symptoms there were worries about caring responsibilities, working environment and lack of energy/positivity. The case with schizophrenia yielded the largest number of open responses, and concerns were related to safety risks and possible danger and unpredictability (e.g. 'Unsure if he is stable and whether he is going to be a crazy axe-murderer') and practical issues or jobspecific tasks in dealing with children. For hyperkinetic disorder, concerns were related to issues of unpredictability, unrest and interaction with children. For somatisation disorder, respondents had concerns about excessive complaining about health problems and worries about sick leave. For the case with an unhealthy lifestyle, respondents had concerns about willingness to change, level of physical activity, working environment and interaction with children, while for the case with previous drug addiction, concerns were related to mistrust, risk of relapse and the working environment, but some responses expressed possible advantages. The single mother raised concerns about sick leave and staffing, while the older worker raised concerns about interaction with children and colleagues, and also age.
Discussion
Main results
CI: confidence interval; RR: risk ratio.
The first aim of the study was to develop a new questionnaire to measure workplace inclusion of various groups that may face stigma due to their health problems, as compared to individuals with a different behavioural history and lifestyle, and control cases. Ten case stories were developed. The first six cases described people with musculoskeletal and mental disorders, which represent the main diagnostic groups
Table III. Percentage willing to include and the risk ratio for being included in ideal circumstances compared to current circumstances.
CI: confidence interval; RR: risk ratio.
Table IV. Barriers for workplace inclusion reported for each case story.
Numbers in bold indicate the most frequently reported barrier per case story.
on sick leave and long-term disability in Norway [2]. The cases included both specific and acute health problems and unspecific and chronic health problems. These were chronic back pain, spine fracture, depression, schizophrenia, hyperkinetic disorder and somatisation disorder. The remaining four cases described individuals without current health problems but with a potentially stigmatising lifestyle and behavioural history (unhealthy lifestyle and previous drug addiction), and control cases without such health problems or histories (a single mother and an older worker). The questionnaire primarily measured attitudes to, and barriers for, including each case at the workplace.
The second aim of the study was to test the questionnaire in one common and relevant sector of the Norwegian labour market. We chose the kindergarten sector as it is a large and important part of the Norwegian labour market, with high sick leave and a large potential for preventive work environment factors [3]. The results from the study of managers and employees in Norwegian kindergartens showed that attitudes to include people into one's working environment (workplace inclusion) varied for the different case stories. The three cases that were rated most favourably all represent different social groups in which illness or current health problems are not reported, including the control cases. Both cases representing musculoskeletal illness/injury were rated relatively high, while the lowest rated cases involved mental illnesses. These results are in concordance with previous literature on stigma towards workers with mental illness [27], and especially with regard to severe mental illness [12]. The findings indicate a need for efforts targeting stigma towards employees with mental illness in the Norwegian kindergarten setting, and underline the importance of interventions aiming to improve communication and increase acceptance of co-workers facing these health problems. Furthermore, specific barriers for inclusion in this context were specified. The barriers reported by respondents who rated the cases describing mental illnesses negatively showed that increased workload for colleagues, work ability and collaboration/interaction with colleagues were the major concerns. A large number of open responses were also provided. The responses for the case of schizophrenia were especially numerous and expressed worry about safety risks and danger. It should, however, be kept in mind that the working population investigated in this specific study concerns the care for children, a particularly vulnerable context that may further exacerbate worry regarding safety issues [13], and many responses were specifically related to perceived incompatibility with this line of work.
Case stories with unspecific or chronic illness, such as depression, hyperkinetic disorder and somatisation disorder, were rated less favourably than the acute and specific case of spine fracture. These findings are in line with previous qualitative research [14], and may be explained by stigma towards symptoms that are long term, difficult to define and have unclear aetiology, as opposed to illness that is of a specific and acute nature. Furthermore, somatisation disorder involves multiple, frequently changing and unexplained symptoms, which may have further exacerbated such stigma. Chronic back pain was, however, rated more favourably than the other cases of unspecific and chronic illness, indicating that musculoskeletal illness in general may have been less susceptible to this stigma.
Previous experiences
For four of the cases, previous experience with similar colleagues or employees was of relevance for workplace inclusion, in line with the contact hypothesis and previous research showing that intergroup contact may reduce prejudice and thus promote
acceptance [16, 17]. Those who had previous experience with colleagues with spine fracture, unhealthy lifestyles, single mothers, or older workers, rated these cases more favourably. The three latter cases represent groups without current health problems and include both of the control cases, and the acute and specific case of spine fracture was rated highest among the cases describing various health challenges. This suggests that previous experience had a larger influence on the inclusion of groups that are less prone to stigmatisation.
The existing research on familiarity with mental illness indicates that if there is a relationship between previous experience and attitudes, it is likely to be positive [15]. In the current study, it is possible that low statistical power in the case story of schizophrenia may have been responsible for the lack of significance, because very few workers had previous experience with colleagues with this particular disorder.
We only measured whether respondents had any experience with colleagues and/or employees similar to the various case stories, thus including both positive and negative, extensive and brief experiences. Quality of contact may, however, be a more important predictor for attitudes than knowledge and quantity of contact [28] even though these are interrelated constructs. Quality and type of contact was not assessed, and the lack of such nuances could explain the lack of significant findings among the remaining cases. The use of more refined variables for measuring contact may be necessary in order to detect such variances [29], although this was not the primary focus of the current study and may be too comprehensive in the context of the WIQ.
Attitudes, social desirability and behaviour
Behaviour is a notoriously difficult construct to assess, and as pointed out by Corrigan et al. [30] most studies do not have the resources necessary to observe actual responses after measuring attitudes, and in many cases such observations would not be practically feasible. Self-report measures such as these represent behavioural intentions which may be inconsistent with actual actions. Steps taken to reduce social desirability in the current study involved the addition of an item asking about ideal circumstances, providing participants with a chance to express socially desirable responses before considering how well each case would fit in given the current situation at their workplace. Ratings of the cases when considering ideal circumstances were consistently higher than scores in the current circumstances, but the differences were very small and not statistically significant. The benefit of including this item may thus be limited.
Methodological considerations
Due to restrictions in the format of the study, each respondent only received a random selection of five out of the 10 case stories, thereby reducing statistical strength. Still, we argue that the data material is sufficient to respond to the study aims. As the study sample consisted of employees in Norwegian kindergartens with a majority of women, participants were not asked to specify gender or exact age due to the risk of individual participants being identified, which hinders analyses of subgroups. We recommend that future studies consider these limitations in accordance with their objectives.
Reliability and validity. The nature of the WIQ precludes common tests of reliability and validity due to the unique quality of each case story and the fact that cases do not form subscales or produce a sum score. The design of the current study did not allow test– retesting. Content validity was evaluated through pilot testing and group discussions about the relevance and meaningfulness of the case stories.
Generalisability. The WIQ was designed as a global measure of workplace inclusion, which in principle can be used across all sectors of the labour market as it is not occupation specific. The current study investigated attitudes for workplace inclusion among managers and employees in kindergartens, and many of the reported barriers, especially those concerning mental health problems, were specifically related to concerns for the children. While the nature of the study sample causes clear limitations to the generalisability of the results, generalising across different parts of the labour market is not the aim of the WIQ. It is to be expected that workplace inclusion of different individuals may differ for various types of occupations and working environments and the aim of the study was rather to develop an instrument to investigate this phenomenon in different contexts.
Possible gender effects. While the case stories represent individuals in their 30–40s and are presented with equal formal qualifications, responses may be influenced by whether individual case stories are represented as male or female. Investigations of gender bias, for example, by interchanging names of male and female case stories, are therefore warranted.
Further improvements and updates to the WIQ. Adjustments made to the questionnaire after the survey
study include simplifications and improvements to questions and categories of barriers, and are included in the version provided in Supplemental material 1. The barrier 'work ability' was removed as it is incorporated into several of the other categories, and because all cases were described as having the needed qualifications for the job. 'Ability to provide service' was changed to 'collaboration/interaction with others' in order to increase generalisation across different types of workplaces. The question regarding ideal circumstances was removed from the questionnaire due to the non-significant differences between this item and the item asking about current circumstances, and thereby low perceived benefits, as well as to shorten the questionnaire.
Adding supplementary case stories representing additional groups of interest that may face stigmatisation is relevant in future developments of the questionnaire. Pertaining to Goffman's descriptions of core types of stigma [4], these may include for example different cultural backgrounds, physical impairments, or criminal history. The use of selected case stories may also be sufficient to answer relevant hypotheses in certain contexts, thereby shortening the questionnaire.
The target group of the questionnaire could further be adapted to include not only employees and managers, but other important stakeholders in facilitating work participation, such as caseworkers in labour and welfare administration and vocational rehabilitation workers.
Implications and relevance
Previous studies investigating employability and attitudes towards different groups have examined a few specific health problems or not distinguished between specific types of health problems at all, and do commonly not have a specific focus on the work context [19–23]. The WIQ adds to the existing knowledge in the field by providing a way to quantitively measure how people who may face stigmatisation due to a range of different health problems or characteristics related to behaviour and lifestyle are perceived to fit into a workplace, while keeping job qualification constant. The WIQ is a flexible measure in which the gender and age of case stories may be changed, depending on the aim of the study (e.g. to investigate gender effects or make all demographic factors equal for comparability reasons). The WIQ focuses on a broad range of health-related and social characteristics, and may be used to investigate differences in workplace inclusion across groups and diagnoses. The use of the WIQ across different working environments and sectors of the labour market will accumulate important knowledge about which individuals are more likely to be marginalised in different work settings. This information will be useful for employers as well as researchers and policy-makers in assessing where efforts should be placed to target stigma in working life, and furthermore to test the effect of interventions aiming to increase the workplace inclusion of people with various health problems. If interventions aimed at improving knowledge and attitudes about different stigmatised groups can influence these perceptions, it is likely to have a positive influence on inclusive practices. To reach the public aim of a more inclusive working life, we are in need of workplaces that do not have a restricted view of workplace inclusion. The questionnaire is currently being tested in different populations across a broad spectre of industries, and in a randomised controlled trial of a workplace intervention targeting employees' beliefs about musculoskeletal and mental health complaints.
Conclusions
The WIQ fulfills the need for a quantitative measure of inclusion in a workplace setting, across a broader spectre of health problems as well as other characteristics that may lead to stigma in working life. The questionnaire was tested in one relevant sector of working life, and discriminated between different case stories. Comparison of risk ratios showed that the cases describing persons with mental illness had the lowest probability for workplace inclusion in this context, and highlights a need for efforts targeting stigma and specific barriers for inclusion of employees with mental illness in the Norwegian kindergarten sector. Results are in accordance with previous literature on stigma towards mental illness, which may prevent vocational rehabilitation and lead to exclusion from the labour market.
Acknowledgements
The author(s) gratefully acknowledge the managers and employees of the contributing kindergartens for their participation in the survey study. They would also like to thank the participants in the pilot study for their time and for their input during the group discussions, as well as the atWork project for useful discussions.
Conflict of interest
The author(s) declared no potential conflicts of interest with respect to the research, authorship, and/ or publication of this article.
Funding
The author(s) received no financial support for the research, authorship, and/or publication of this article.
ORCID iDs
Vigdis Sveinsdottir https://orcid.org/0000-0002 -9776-4925
Tone Langjordet Johnsen https://orcid.org/0000
-0001-7711-686X
Supplemental material
Supplemental material for this article is available online.
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Commissionerate of Collegiate Education Govt. of Andhra Pradesh
Yuvatarangam -2014
Cultural & Literary State level comptetions - Final Results
| S.No. | Event | Place | Name of the Student | College | District |
|---|---|---|---|---|---|
| 1 | Essay Writing Telugu | FIRST | K.Sekhar | Govt. Degree College Pattikonda | Kurnool |
| 2 | Essay Writing Telugu | SECOND | Y Harshini | GDC (W) Kadapa | Kadapa |
| 3 | Essay Writing Telugu | THIRD | S. Mahaboob Pasha | GDC (M) Ananthapur | Anantapur |
| 4 | Essay Writing English | FIRST | M L Hymavathi | Aditya Degree College for Women, Rajahmundry | East Godavari |
| 5 | Essay Writing English | SECOND | B. Uma Maheswari | SK.S.D. Mahila Kalasala, Tanuku | West Godavari |
| 6 | Essay Writing English | THIRD | D.Kasthuri | Adoni Arts & Science College, Adoni | Kurnool |
| 7 | Essay Writing Hindi | FIRST | P. Gayatri | Ch.S.D.St. Theresa’s College, Eluru | West Godavari |
| 8 | Essay Writing Hindi | SECOND | P.V.Sasi Kala | T.J.P.S.College, Guntur | Guntur |
| 9 | Essay Writing Hindi | THIRD | P.Shireesha | Adoni Arts & Science College | Kurnool |
| 10 | Essay Writing Urdu | FIRST | S. Husna Bhanu | GDC (M) Ananthapur | Anantapur |
| 11 | Essay Writing Urdu | SECOND | Abdul Raheem | GDC, Avanigadda | Krishna |
| 12 | Essay Writing Urdu | THIRD | S Ashrafunnisa | GDC (W) Kadapa | Kadapa |
| 13 | Elocution Telugu | FIRST | Sk Siraj Ahamed | SSN College, Narasaraopet | Guntur |
| 14 | Elocution Telugu | SECOND | G Srikanth | VRS & YRN College Chirala | Prakasam |
| 15 | Elocution Telugu | THIRD | Kushbhu Lakshmi | GDC Tekkali | Srikakulam |
| 16 | Elocution English | FIRST | Apeksha Jain | Aditya Degree College for Women, Rajahmundry | East Godavari |
| 17 | Elocution English | SECOND | S. Praveen | BVK Degree College, Visakhapatnam | Visakhapatnam |
| 18 | Elocution English | THIRD | Sk. Zareena Taj | GDC (W) Kadapa | Kadapa |
| 19 | Poetry Recitation (Telug | FIRST | D Suresh | GDC Rayachoti | Kadapa |
| 20 | Poetry Recitation (Telug | SECOND | N Ravichandra | GC (A) Rajahmundry | East Godavari |
| 21 | Poetry Recitation (Telug | THIRD | K Lavanya | GDC Yelamanchili | Visakhapatnam |
| 22 | Spot Painting | FIRST | G Bhaskara Rao | GDC Salur | Vizianagaram |
| 24 | Spot Painting | THIRD | D Murali Surya Prakash | Andhra Layola College, Vijayawada | Krishna |
|---|---|---|---|---|---|
| 25 | Chukkala Muggu | FIRST | R Sudha | GDC Venkatagiri | Nellore |
| 26 | Chukkala Muggu | SECOND | C Haritha | GDC Bukkapatnam | Ananthapur |
| 27 | Chukkala Muggu | THIRD | BVL Durga Devi | SKBR College Amalapuram | East Godavari |
| 28 | Classical Vocal (Solo) | FIRST | K Susmitha Sri | GDC for Women (A) Guntur | Guntur |
| 29 | Classical Vocal (Solo) | SECOND | G Vishnu Sai | S V Oriental College Tirupathi | Chittoor |
| 30 | Classical Vocal (Solo) | THIRD | J Chandra Rekha | Rabindra Degree Colleg, Kurnool | Kurnool |
| 31 | Quiz | FIRST | M Kalyan | Andhra Layola College, Vijayawada | Krishna |
| 32 | Quiz | FIRST | K Umamahesh Reddy | Andhra Layola College, Vijayawada | Krishna |
| 33 | Quiz | FIRST | B Venkata Karunya | Andhra Layola College, Vijayawada | Krishna |
| 34 | Quiz | SECOND | Md. Mehaboob Khan | SJ GDC (A) Kurnool | Kurnool |
| 35 | Quiz | SECOND | M Nanne Khasim | SJ GDC (A) Kurnool | Kurnool |
| 36 | Quiz | SECOND | S Govinda Rao | SJ GDC (A) Kurnool | Kurnool |
| 37 | Quiz | THIRD | P Sai Gayathri | Aditya Degree College , Rajahmundry | East Godavari |
| 38 | Quiz | THIRD | K P Vishnu Priya | Aditya Degree College, Rajahmundry | East Godavari |
| 39 | Quiz | THIRD | P Srinath | Aditya Degree College , Rajahmundry | East Godavari |
| 40 | Mono Action | FIRST | M Annapurna Devi | GDC (W) Srikalahasthi | Chittoor |
| 41 | Mono Action | SECOND | Ch. D Sreeramulu | GDC (M) Ananthapur | Ananthapur |
| 42 | Mono Action | THIRD | G Yasodhara | GDC for Women (A) Guntur | Guntur |
| 43 | Group Song | FIRST | Manoha | Andhra Layola College, Vijayawada | Krishna |
| 44 | Group Song | FIRST | Prem Kiran | Andhra Layola College, Vijayawada | Krishna |
| 45 | Group Song | FIRST | Soundarya | Andhra Layola College, Vijayawada | Krishna |
| 46 | Group Song | FIRST | Amulya | Andhra Layola College, Vijayawada | Krishna |
| 47 | Group Song | FIRST | Lalith Sagar | Andhra Layola College, Vijayawada | Krishna |
| 50 | Group Song | SECOND | B. Manju Prasanna | Ch.S.D.St. Theresa’s College, Eluru |
|---|---|---|---|---|
| 51 | Group Song | SECOND | D. Asha | Ch.S.D.St. Theresa’s College, Eluru |
| 52 | Group Song | SECOND | I. Sagari | Ch.S.D.St. Theresa’s College, Eluru |
| 53 | Group Song | SECOND | S. Myna | Ch.S.D.St. Theresa’s College, Eluru |
| 54 | Group Song | SECOND | K.P.S.S. Sirishabai | Ch.S.D.St. Theresa’s College, Eluru |
| 55 | Group Song | THIRD | M Lavanya Sheela | GC (A) Rajahmundry |
| 56 | Group Song | THIRD | P Chaitanya | GC (A) Rajahmundry |
| 57 | Group Song | THIRD | K Kamala | GC (A) Rajahmundry |
| 58 | Group Song | THIRD | P Roja | GC (A) Rajahmundry |
| 59 | Group Song | THIRD | T Jyothi | GC (A) Rajahmundry |
| 60 | Group Song | THIRD | P Prasanna Lakshmi | GC (A) Rajahmundry |
| 61 | Classical Dance (Solo) | FIRST | S Gayathri Devi | Ch.S.D.St. Theresa’s College, Eluru |
| 62 | Classical Dance (Solo) | SECOND | M Susmitha | Andhra Layola College, Vijayawada |
| 63 | Classical Dance (Solo) | THIRD | K Hemasatya Vani | GC (A) Rajahmundry |
| 64 | Folk Dance (Group) | FIRST | Mary Bai | GDC (M) Ananthapur |
| 65 | Folk Dance (Group) | FIRST | T Umadevi | GDC (M) Ananthapur |
| 66 | Folk Dance (Group) | FIRST | B Rajeswari | GDC (M) Ananthapur |
| 67 | Folk Dance (Group) | FIRST | B Hemalatha | GDC (M) Ananthapur |
| 68 | Folk Dance (Group) | FIRST | C Saileela | GDC (M) Ananthapur |
| 69 | Folk Dance (Group) | FIRST | P S Shahin | GDC (M) Ananthapur |
| 70 | Folk Dance (Group) | FIRST | M Tripula | GDC (M) Ananthapur |
| 71 | Folk Dance (Group) | FIRST | D Reshma | GDC (M) Ananthapur |
| 72 | Folk Dance (Group) | FIRST | V Jayasree | GDC (M) Ananthapur |
| 73 | Folk Dance (Group) | FIRST | S Jayasree | GDC (M) Ananthapur |
| 74 | Folk Dance (Group) | SECOND | Y Jhansi Rani | Ch.S.D.St. Theresa’s College, Eluru |
| 76 | Folk Dance (Group) | SECOND | ANN Mary Don | Ch.S.D.St. Theresa’s College, Eluru |
|---|---|---|---|---|
| 77 | Folk Dance (Group) | SECOND | B Deepika | Ch.S.D.St. Theresa’s College, Eluru |
| 78 | Folk Dance (Group) | SECOND | Ch. Neelima | Ch.S.D.St. Theresa’s College, Eluru |
| 79 | Folk Dance (Group) | SECOND | Y Maneesha | Ch.S.D.St. Theresa’s College, Eluru |
| 80 | Folk Dance (Group) | SECOND | G Chinnamma | Ch.S.D.St. Theresa’s College, Eluru |
| 81 | Folk Dance (Group) | SECOND | T Sravani | Ch.S.D.St. Theresa’s College, Eluru |
| 82 | Folk Dance (Group) | SECOND | Sk. Shaheena | Ch.S.D.St. Theresa’s College, Eluru |
| 83 | Folk Dance (Group) | SECOND | G Jhanshi Rani | Ch.S.D.St. Theresa’s College, Eluru |
| 84 | Folk Dance (Group) | THIRD | K Hymavathi | M R College (M) Vizianagaram |
| 85 | Folk Dance (Group) | THIRD | D Neelavathi | M R College (M) Vizianagaram |
| 86 | Folk Dance (Group) | THIRD | T Gayatri | M R College (M) Vizianagaram |
| 87 | Folk Dance (Group) | THIRD | N Suseela | M R College (M) Vizianagaram |
| 88 | Folk Dance (Group) | THIRD | K Nagamani | M R College (M) Vizianagaram |
| 89 | Folk Dance (Group) | THIRD | M Nomitha | M R College (M) Vizianagaram |
| 90 | Folk Dance (Group) | THIRD | K Sujatha | M R College (M) Vizianagaram |
| 91 | Folk Dance (Group) | THIRD | A Terresa | M R College (M) Vizianagaram |
| 92 | Folk Dance (Group) | THIRD | M Pushpalathi | M R College (M) Vizianagaram |
| 93 | Folk Dance (Group) | THIRD | A Santosha Kumari | M R College (M) Vizianagaram |
| 94 | One Act Play | FIRST | K. Kumar Raja | SAS College Vijayawada |
| 95 | One Act Play | FIRST | P. Mohaneswara Rao | SAS College Vijayawada |
| 96 | One Act Play | FIRST | G. Durga Dileep Kumar | SAS College Vijayawada |
| 97 | One Act Play | FIRST | P. Sai Kumar | SAS College Vijayawada |
| 98 | One Act Play | FIRST | M. Bhaskar | SAS College Vijayawada |
| 99 | One Act Play | FIRST | Sk. Nagul Meera | SAS College Vijayawada |
K.MANOHAR
GDC ANANTAPURAMU
| 126 | 1500 mts - Men | II | K.SURESH | GCSR GDC RAJAM | SRIKAKULAM |
|---|---|---|---|---|---|
| 127 | 1500 mts - Men | III | M.GOPAL | GDC(M) KURNOOL | KURNOOL |
| 128 | 5000 mts - Men | I | N.TIRUMALA NAIK | GDC PATTIKONDA | KURNOOL |
| 129 | 5000 mts - Men | II | K.V.SANJEEVA RAIDU | SSGS GUNTAKAL | ANANTAPURAMU |
| 130 | 5000 mts - Men | III | T.NAGAPOTHURAJU | ABRGDC REPALLI | GUNTUR |
| 131 | 100 mts -Women | I | D.ASHABI | GDC ANANTAPUR | ANANTAPURAMU |
| 132 | 100 mts -Women | II | D.DURGA BHAVANI | ASDGDC (W)KAKINADA | EAST GODAVARI |
| 133 | 100 mts -Women - | III | K.RUDRA NAGADEVI | GDC PADERU | VISHAKAPATANA |
| 134 | 200 mts -Women | I | K.DURGA BHAVANI | ASD GDC KAKINADA | M EAST GODAVARI |
| 135 | 200 mts -Women | II | K.RUDRA NAGA DEVI | GDC PADERU | VISAKAPATNAM |
| 136 | 200 mts -Women | III | A.VIJAYA DURGA | S.C.I.M.G.D.C.TANUKU | WEST GADAVARI |
| 137 | 400 mts -Women | I | G.DHANASREE | SVRM COLLEGE NAGARAM | GUNTUR |
| 138 | 400 mts -Women | II | M.VENKATESWARI | GDC KURNOL | KURNOOL |
| 139 | 400 mts -Women | III | N.RAJITHA | PSDC PENUGONDA | ANANTAPURAMU |
| 140 | 800 mts -Women | I | M.VANKATASWARI | GDC NANDAYAL | KURNOOL |
| 141 | 800 mts -Women | II | A.SAROJINI | GDC SALUR | VIJAYANAGARAM |
| 142 | 800 mts -Women | III | V.DHANA LAKSHMI | GDC PATAPATNAM | SRIKAKULAM |
| 143 | 1500 mts -Women | I | B.YUMANA | SSBN ANANTAPURAMU | ANANTAPURAMU |
| 144 | 1500 mts -Women | II | J.SUJAMMA | GDC PATTIKONDA | KURNOOL |
| 145 | 1500 mts -Women | III | V.MANISHA | GDC SALUR | VIJAYANAGARAM |
| 146 | 3000 mts -Women | I | J.SUJAMMA | GDC PATTIKONDA | KURNOOL |
| 147 | 3000 mts -Women | II | S.RENUKA BAI | PSGDC PENUKONDA | ANANTAPUR |
| 148 | 3000 mts -Women | III | A.SAROJINI | GDC SALUR | VIJAYANAGARAM |
| 149 | Shot put - Men | I | V.VISWANATH | SVNR COLLEGE PRODDUTUR | KADAPA |
| 152 | Discus Throw - Men | I | B.RAJESH KHANNAN | RAOS COLLEGE, Nellore | NELLORE |
|---|---|---|---|---|---|
| 153 | Discus Throw - Men | II | K.SURENDRA | G.D.C.AVANIGADDA | KURNOOL |
| 154 | Discus Throw - Men | III | CH.SIVARAM | ABR GDC REPALLI | GUNTUR |
| 155 | Long Jump - Men | I | S.MADU | GDC ANANTAPURAMU | ANANTAPURAMU |
| 156 | Long Jump - Men | II | L.DILEEP | CSSR & SSRM D.C.KAMALAPURAM | KADAPA |
| 157 | Long Jump - Men | III | R.NAVEEN KUMAR | OSMANIYA COLLEGE KURNOOL | KURNOOL |
| 158 | High Jump - Men | I | G.NAGOOR | GDC PUTTUR | CHITTOR |
| 159 | High Jump - Men | II | T.PARUSURAM | GDC SALUR | VIJAYANGARAM |
| 160 | High Jump - Men | III | B.GOPAL | RAOS COLLEGE, Nellore | NELLORE |
| 161 | Shot put -Women | I | Y.V.SWETHA | LAYOLA DC PULIVENDULA | KADAPA |
| 162 | Shot put -Women | II | V.APARNA | PSGDC PENUKONDA | ANANTAPURAMU |
| 163 | Shot put -Women | III | K.DURGA BHAVANI | ASD GDC KAKINADA | E.GODAVARI |
| 164 | Discus Throw -Women | I | B.GURU LAKSHMI | SVNRDC PRODDUTUR | KADAPA |
| 165 | Discus Throw -Women | II | K.DHURGA BAHVANI | ASD GDC KAKINADA | E.GODAVARI |
| 166 | Discus Throw -Women | III | A.PUSPA | AMAL COLLEGE ANAKAPALLI | VISAKAPATNAM |
| 167 | Long Jump -Women | I | B.ASHABEE | GDC ANANTAPURAMU | M ANANTAPURAMU |
| 168 | Long Jump -Women | II | K.RUDRA NAGA DEVI | GDC PADERU | Visakhapatnam |
| 169 | Long Jump -Women | III | G.DANA SRI | SVRM COLLEGE, Nagaram | GUNTUR |
| 170 | High Jump -Women | I | R.PRIYANKA | GDC(W) SRIKAKULAM | SRIKAKULAM |
| 171 | High Jump -Women | II | P.KARUNA | D.N.R.GDC COLLEGEPALAKOLLU | W.GODAVARI |
| 172 | High Jump -Women | III | P.LALITHA | PSGDC PENUKONDA | ANANTAPURAMU |
| 173 | High Jump -Women | III | M.SREE JYOTHI | S.C.N.R. G.D.C. PRODDATUR | KADAPA |
| Overall Championship in Atheletics | | | | | |
| 174 | Men | | S.MADHU | GDC ANANTAPURAMU | ANANTAPURAMU |
Games State lelvel competitions - Final results
| 176 | Badminton - Men | I | R. Siva Kumar | Dr. L Bullaya College, Vishakapatham |
|---|---|---|---|---|
| 177 | Badminton - Men | I | K. Tarakesh | Dr. L Bullaya College, Vishakapatham |
| 178 | Badminton - Men | I | G. Kumar Sharma | Dr. L Bullaya College, Vishakapatham |
| 179 | Badminton - Men | I | S. Balumahendra | Dr. L Bullaya College, Vishakapatham |
| 180 | Badminton - Men | II | Ch. Sai Kumar | S.P.S.R. College, Nellore |
| 181 | Badminton - Men | II | R. Saichaitanya | S.P.S.R. College, Nellore |
| 182 | Badminton - Men | II | Y. Suresh | S.P.S.R. College, Nellore |
| 183 | Badminton - Men | II | A.V. Gagankumari | S.P.S.R. College, Nellore |
| 184 | Badminton - Women | I | K. Durga Alekhya | Ch. S.D. St. Theresa's (A) College for Women, Eluru |
| 185 | Badminton - Women | I | Rayala Anusha | Ch. S.D. St. Theresa's (A) College for Women, Eluru |
| 186 | Badminton - Women | I | G. Ambika | Ch. S.D. St. Theresa's (A) College for Women, Eluru |
| 187 | Badminton - Women | I | K. Lakshmi Mounica | Ch. S.D. St. Theresa's (A) College for Women, Eluru |
| 188 | Badminton - Women | I | U. Mary Jyotsna | Ch. S.D. St. Theresa's (A) College for Women, Eluru |
| 189 | Badminton - Women | II | P. Vyshnavi | NSPR GDC(W), Hindupur,Anantapur dist. |
| 190 | Badminton - Women | II | K.S. Sireesha | NSPR GDC(W), Hindupur,Anantapur dist. |
| 191 | Badminton - Women | II | P. Mahitton | NSPR GDC(W), Hindupur,Anantapur dist. |
| 192 | Badminton - Women | II | K. Swathi | NSPR GDC(W), Hindupur,Anantapur dist. |
| 193 | Badminton - Women | II | P. Sunitha | NSPR GDC(W), Hindupur,Anantapur dist. |
| 194 | Chess - Men | I | K Kalyan Kumar | Dr. L.B College, Visakhapatnam |
| 195 | Chess - Men | I | P Sai Kumar | Dr. L.B College, Visakhapatnam |
| 196 | Chess - Men | I | M Balaji | Dr. L.B College, Visakhapatnam |
| 197 | Chess - Men | I | John Anthony | Dr. L.B College, Visakhapatnam |
| 198 | Chess - Men | I | P Ganesh | Dr. L.B College, Visakhapatnam |
| 199 | Chess - Men | II | K Girish Kumar | BSSB Degree College Thadikonda, Guntur |
| 200 | Chess - Men | II | K Kireeti Babu | BSSB Degree College Thadikonda, Guntur |
| 202 | Chess - Men | II | R Subba Raju | BSSB Degree College Thadikonda, Guntur |
|---|---|---|---|---|
| 203 | Chess - Men | II | M Gopinath | BSSB Degree College Thadikonda, Guntur |
| 204 | Chess - Women | I | M Swapna | S.V Degree College, Anantapur |
| 205 | Chess - Women | I | M Swetha | S.V Degree College, Anantapur |
| 206 | Chess - Women | I | G Sravanthi | S.V Degree College, Anantapur |
| 207 | Chess - Women | I | K Hema | S.V Degree College, Anantapur |
| 208 | Chess - Women | I | T Farheen Sulthana | S.V Degree College, Anantapur |
| 209 | Chess - Women | II | S Vishali | Dr. L.B College, Visakhapatnam |
| 210 | Chess - Women | II | G Kanchanamala | Dr. L.B College, Visakhapatnam |
| 211 | Chess - Women | II | B Sreelatha | Dr. L.B College, Visakhapatnam |
| 212 | Chess - Women | II | A Anusha | Dr. L.B College, Visakhapatnam |
| 213 | Kabaddi - Men | I | T.Venkataramanaiah | Rao 's Degree College Nellore |
| 214 | Kabaddi - Men | I | T.Suman | Rao 's Degree College Nellore |
| 215 | Kabaddi - Men | I | B.VishnuVardhan | Rao 's Degree College Nellore |
| 216 | Kabaddi - Men | I | A.Karunakar | Rao 's Degree College Nellore |
| 217 | Kabaddi - Men | I | Y.Balaguravaiah | Rao 's Degree College Nellore |
| 218 | Kabaddi - Men | I | N.niranjan | Rao 's Degree College Nellore |
| 219 | Kabaddi - Men | I | p.sai kumar | Rao 's Degree College Nellore |
| 220 | Kabaddi - Men | I | p.rajesh | Rao 's Degree College Nellore |
| 221 | Kabaddi - Men | I | CH.naniteja | Rao 's Degree College Nellore |
| 222 | Kabaddi - Men | I | S.uday kumar | Rao 's Degree College Nellore |
| 223 | Kabaddi - Men | I | m.mohan | Rao 's Degree College Nellore |
| 224 | Kabaddi - Men | I | s.sravan kumar | Rao 's Degree College Nellore |
| 225 | Kabaddi - Men | II | p.kumar | SRR&CVR GDC, VIJAYAWADA |
| 228 | Kabaddi - Men | II | t.basavaiah | SRR&CVR GDC, VIJAYAWADA |
|---|---|---|---|---|
| 229 | Kabaddi - Men | II | m.p.venkaiah | SRR&CVR GDC, VIJAYAWADA |
| 230 | Kabaddi - Men | II | s.k.abdul sahar | SRR&CVR GDC, VIJAYAWADA |
| 231 | Kabaddi - Men | II | k.uma maheswara rao | SRR&CVR GDC, VIJAYAWADA |
| 232 | Kabaddi - Men | II | d.ramesh | SRR&CVR GDC, VIJAYAWADA |
| 233 | Kabaddi - Men | II | j.siva subramanyam | SRR&CVR GDC, VIJAYAWADA |
| 234 | Kabaddi - Men | II | n.kota babu | SRR&CVR GDC, VIJAYAWADA |
| 235 | Kabaddi - Men | II | k.kishore | SRR&CVR GDC, VIJAYAWADA |
| 236 | Kabaddi -Women | I | n.tirupathamma | SRR&CVR GDC, VIJAYAWADA |
| 237 | Kabaddi -Women | I | k.santhakumari | SRR&CVR GDC, VIJAYAWADA |
| 238 | Kabaddi -Women | I | m.mariya mounika | SRR&CVR GDC, VIJAYAWADA |
| 239 | Kabaddi -Women | I | b.tharangini | SRR&CVR GDC, VIJAYAWADA |
| 240 | Kabaddi -Women | I | K .amrutha | SRR&CVR GDC, VIJAYAWADA |
| 241 | Kabaddi -Women | I | s.k .reshma | SRR&CVR GDC, VIJAYAWADA |
| 242 | Kabaddi -Women | I | T kavya | SRR&CVR GDC, VIJAYAWADA |
| 243 | Kabaddi -Women | I | b.pramila rani | SRR&CVR GDC, VIJAYAWADA |
| 244 | Kabaddi -Women | I | Ch.aswini | SRR&CVR GDC, VIJAYAWADA |
| 245 | Kabaddi -Women | I | d.daivakrupa | SRR&CVR GDC, VIJAYAWADA |
| 246 | Kabaddi -Women | I | g.s.l. siva jyothi | SRR&CVR GDC, VIJAYAWADA |
| 247 | Kabaddi -Women | I | p.amani | SRR&CVR GDC, VIJAYAWADA |
| 248 | Kabaddi -Women | II | p.suneetha | S.V.V.P.V.M.C Degree College,VISAKHAPATNAM |
| 249 | Kabaddi -Women | II | a.pushpalatha | S.V.V.P.V.M.C Degree College,VISAKHAPATNAM |
| 250 | Kabaddi -Women | II | P. dhanalakshmi | S.V.V.P.V.M.C Degree College,VISAKHAPATNAM |
| 251 | Kabaddi -Women | II | p.venkatalakshmi | S.V.V.P.V.M.C Degree College,VISAKHAPATNAM |
| 252 | Kabaddi -Women | II | m.gowreeswaramma | S.V.V.P.V.M.C Degree College,VISAKHAPATNAM |
| 254 | Kabaddi -Women | II | s.chinni | S.V.V.P.V.M.C Degree College,VISAKHAPATNAM |
|---|---|---|---|---|
| 255 | Kabaddi -Women | II | g.nagamani | S.V.V.P.V.M.C Degree College,VISAKHAPATNAM |
| 256 | Kabaddi -Women | II | k.durga | S.V.V.P.V.M.C Degree College,VISAKHAPATNAM |
| 257 | Kabaddi -Women | II | A. bhavani | S.V.V.P.V.M.C Degree College,VISAKHAPATNAM |
| 258 | Kabaddi -Women | II | S sujata | S.V.V.P.V.M.C Degree College,VISAKHAPATNAM |
| 259 | Kabaddi -Women | II | p.rajeswari | S.V.V.P.V.M.C Degree College,VISAKHAPATNAM |
| 260 | Kho-Kho- Men | I | P.SRINIVASA REDDY | D.C.R.M.DEGREE COLLEGE, PRAKASAM |
| 261 | Kho-Kho- Men | I | P.ANIL | D.C.R.M.DEGREE COLLEGE, PRAKASAM |
| 262 | Kho-Kho- Men | I | D.BHASKARVARMA | D.C.R.M.DEGREE COLLEGE, PRAKASAM |
| 263 | Kho-Kho- Men | I | K.SIVANAGARAJU | D.C.R.M.DEGREE COLLEGE, PRAKASAM |
| 264 | Kho-Kho- Men | I | P.SRINU | D.C.R.M.DEGREE COLLEGE, PRAKASAM |
| 265 | Kho-Kho- Men | I | P.SIVA REDDY | D.C.R.M.DEGREE COLLEGE, PRAKASAM |
| 266 | Kho-Kho- Men | I | R.SRINIVASA RAO | D.C.R.M.DEGREE COLLEGE, PRAKASAM |
| 267 | Kho-Kho- Men | I | P.NAGA RAJU | D.C.R.M.DEGREE COLLEGE, PRAKASAM |
| 268 | Kho-Kho- Men | I | K.RAMA RAO | D.C.R.M.DEGREE COLLEGE, PRAKASAM |
| 269 | Kho-Kho- Men | I | U.GOPI | D.C.R.M.DEGREE COLLEGE, PRAKASAM |
| 270 | Kho-Kho- Men | I | K.SRIKANTH | D.C.R.M.DEGREE COLLEGE, PRAKASAM |
| 271 | Kho-Kho- Men | I | V.SRINIVASA RAO | D.C.R.M.DEGREE COLLEGE, PRAKASAM |
| 272 | Kho-Kho- Men | II | K.HARISH | V.R. COLLEGE,NELLORE |
| 273 | Kho-Kho- Men | II | K.MAHESH | V.R. COLLEGE,NELLORE |
| 274 | Kho-Kho- Men | II | V.SASIKANTH | V.R. COLLEGE,NELLORE |
| 275 | Kho-Kho- Men | II | A.JAYAKANTH | V.R. COLLEGE,NELLORE |
| 276 | Kho-Kho- Men | II | M.KRISHNA KISHORE | V.R. COLLEGE,NELLORE |
| 277 | Kho-Kho- Men | II | S.VENKATESWARLU | V.R. COLLEGE,NELLORE |
| 278 | Kho-Kho- Men | II | D.RAMA KRISHNA | V.R. COLLEGE,NELLORE |
| 280 | Kho-Kho- Men | II | O.NARESH | V.R. COLLEGE,NELLORE | Nellore |
|---|---|---|---|---|---|
| 281 | Kho-Kho- Men | II | SK.SULTAN BASHA | V.R. COLLEGE,NELLORE | Nellore |
| 282 | Kho-Kho- Men | II | D.DURYA PRASAD | V.R. COLLEGE,NELLORE | Nellore |
| 283 | Kho-Kho- Men | II | SK.MASTAN BASHA | V.R. COLLEGE,NELLORE | Nellore |
| 284 | Kho-Kho - Women | I | CH.Jayalakshmi | D.K.Govt. Degree College for Women, Nellore | Nellore |
| 285 | Kho-Kho - Women | I | G.Divya | D.K.Govt. Degree College for Women, Nellore | Nellore |
| 286 | Kho-Kho - Women | I | G.Sujana Kumari | D.K.Govt. Degree College for Women, Nellore | Nellore |
| 287 | Kho-Kho - Women | I | E.Joythi | D.K.Govt. Degree College for Women, Nellore | Nellore |
| 288 | Kho-Kho - Women | I | M.Nagamalliswari | D.K.Govt. Degree College for Women, Nellore | Nellore |
| 289 | Kho-Kho - Women | I | B.Ajitha | D.K.Govt. Degree College for Women, Nellore | Nellore |
| 290 | Kho-Kho - Women | I | V.Penchalamma | D.K.Govt. Degree College for Women, Nellore | Nellore |
| 291 | Kho-Kho - Women | I | CH.Chandrakala | D.K.Govt. Degree College for Women, Nellore | Nellore |
| 292 | Kho-Kho - Women | I | K.Manuja | D.K.Govt. Degree College for Women, Nellore | Nellore |
| 293 | Kho-Kho - Women | I | T.Sravani | D.K.Govt. Degree College for Women, Nellore | Nellore |
| 294 | Kho-Kho - Women | I | K.Asha Latha | D.K.Govt. Degree College for Women, Nellore | Nellore |
| 295 | Kho-Kho - Women | I | B.Soundarya | D.K.Govt. Degree College for Women, Nellore | Nellore |
| 296 | Kho-Kho - Women | II | G.Meena | Govt. Degree College for Women , Ananthapur | Ananthapur |
| 297 | Kho-Kho - Women | II | M.Anjali | Govt. Degree College for Women , Ananthapur | Ananthapur |
| 298 | Kho-Kho - Women | II | M.Bhgyalakshmi | Govt. Degree College for Women , Ananthapur | Ananthapur |
| 299 | Kho-Kho - Women | II | N.Suneetha | Govt. Degree College for Women , Ananthapur | Ananthapur |
| 300 | Kho-Kho - Women | II | P.Siarabanu | Govt. Degree College for Women , Ananthapur | Ananthapur |
| 301 | Kho-Kho - Women | II | A.Sulochana | Govt. Degree College for Women , Ananthapur | Ananthapur |
| 302 | Kho-Kho - Women | II | G.Siddamma | Govt. Degree College for Women , Ananthapur | Ananthapur |
| 303 | Kho-Kho - Women | II | M.Anuradha | Govt. Degree College for Women , Ananthapur | Ananthapur |
| 306 | Kho-Kho - Women | II | M.Mahalakshmi | Govt. Degree College for Women , Ananthapur |
|---|---|---|---|---|
| 307 | Kho-Kho - Women | II | B.Madhavi | Govt. Degree College for Women , Ananthapur |
| 308 | Volley Ball - Men | I | V.THATA RAO | J.B.DEGREE COLEGE KAVALI |
| 309 | Volley Ball - Men | I | N.ANKAIAH | J.B.DEGREE COLEGE KAVALI |
| 310 | Volley Ball - Men | I | CH.SANKAR | J.B.DEGREE COLEGE KAVALI |
| 311 | Volley Ball - Men | I | B.VENKATESHWARLU | J.B.DEGREE COLEGE KAVALI |
| 312 | Volley Ball - Men | I | K.SUDHAKAR | J.B.DEGREE COLEGE KAVALI |
| 313 | Volley Ball - Men | I | V.VENKATESHWARLU | J.B.DEGREE COLEGE KAVALI |
| 314 | Volley Ball - Men | I | K.BRAMMAIAH | J.B.DEGREE COLEGE KAVALI |
| 315 | Volley Ball - Men | I | K.VENKATESWARLU | J.B.DEGREE COLEGE KAVALI |
| 316 | Volley Ball - Men | I | K.THIRUPATHI RAO | J.B.DEGREE COLEGE KAVALI |
| 317 | Volley Ball - Men | I | P.RAMA KRISHNA | J.B.DEGREE COLEGE KAVALI |
| 318 | Volley Ball - Men | I | P.SIVA KOTAIAH | J.B.DEGREE COLEGE KAVALI |
| 319 | Volley Ball - Men | I | P.KIRAN KUMAR | J.B.DEGREE COLEGE KAVALI |
| 320 | Volley Ball - Men | II | P.ARUN KUMAR | G.D.C.,BUTHAI GUDEM |
| 321 | Volley Ball - Men | II | M.NARASIMHAM | G.D.C.,BUTHAI GUDEM |
| 322 | Volley Ball - Men | II | T.JOHNY BABU | G.D.C.,BUTHAI GUDEM |
| 323 | Volley Ball - Men | II | K.SOMA RAJU | G.D.C.,BUTHAI GUDEM |
| 324 | Volley Ball - Men | II | M.GANGADHAR RAO | G.D.C.,BUTHAI GUDEM |
| 325 | Volley Ball - Men | II | D.RAVI KUMAR | G.D.C.,BUTHAI GUDEM |
| 326 | Volley Ball - Men | II | N.SIVAJI | G.D.C.,BUTHAI GUDEM |
| 327 | Volley Ball - Men | II | K.DURGA RAO | G.D.C.,BUTHAI GUDEM |
| 328 | Volley Ball - Men | II | T.RAVI VARMA | G.D.C.,BUTHAI GUDEM |
| 329 | Volley Ball - Men | II | M.RAM BABU | G.D.C.,BUTHAI GUDEM |
|
research-article
722357 2017
PBIXXX10.1177/1098300717722357Journal of Positive Behavior InterventionsHagermoser Sanetti et al.
Increasing In-Service Teacher Implementation of Classroom Management Practices Through Consultation, Implementation Planning, and Participant Modeling
Lisa M. Hagermoser Sanetti, PhD 1 , Kathleen M. Williamson, PhD 1 , Anna C. J. Long, PhD 2 , and Thomas R. Kratochwill, PhD 3
Abstract
Numerous evidence-based classroom management strategies to prevent and respond to problem behavior have been identified, but research consistently indicates teachers rarely implement them with sufficient implementation fidelity. The purpose of this study was to evaluate the effectiveness of implementation planning, a strategy involving logistical intervention implementation planning and identification of implementation barriers, and participant modeling, a strategy involving didactic and in vivo intervention training, on teachers' implementation of an evidence-based classroom management plan. A randomized multiple treatment embedded within a multiple baseline design across participants was used to assess (a) teachers' adherence to the classroom management plans and quality of implementation and (b) student disruptive behavior in the classroom immediately and at follow-up. Results indicated that teachers' adherence and quality increased with both implementation planning and participant modeling, but these improvements were not fully maintained at 1- and 2-month follow-up. A similar pattern in student disruptive behavior was also observed. These findings highlight the need for ongoing implementation support for behavioral interventions in schools. Implications for future research and practice are discussed.
Keywords
treatment integrity, implementation fidelity, implementation science, classroom management, implementation support
Evidence-based classroom management practices can be organized into five "critical" areas: (a) maximizing structure and predictability (e.g., physical layout facilitates engagement, defining and teaching classroom routines), (b) establishing and teaching expectations (e.g., positively stated expectations; teaching/posting behavior expectations), (c) engaging students in observable ways (e.g., opportunities to respond, direct instruction), (d) using a continuum of strategies to recognize appropriate behaviors (e.g., behavior-specific praise), and (e) using a continuum of strategies to respond to inappropriate behaviors (e.g., brief corrections for inappropriate behavior differential reinforcement; Epstein, Atkins, Cullinan, Kutash, & Weaver, 2008; Office of Special Education Programs, 2016). Effective implementation of these practices promotes student engagement and academic outcomes and decreases disruptive behavior (Epstein et al., 2008). Conversely, poor classroom management implementation has been linked to increased risk for long-term negative academic, social, and behavioral outcomes (Epstein et al., 2008). Despite these findings, research consistently indicates classroom management practices are not implemented with sufficient implementation fidelity (Briere, Simonsen, Sugai, & Myers, 2015; Codding, Livanis, Pace, & Vaca, 2008; Oliver, Wehby, & Nelson, 2015). This finding is not surprising as teachers report behavior management as their greatest challenge and the area in which they need more support (Reinke, Stormont, Herman, Puri, & Goel, 2011).
For decades, behavioral consultation has been used to provide support to teachers regarding interventions, including classroom management (Kratochwill, Altschaefl, & BiceUrbach, 2014; Kratochwill & Bergan, 1990). Behavioral
1
2
University of Connecticut, Storrs, USA
3
Louisiana State University, Baton Rouge, USA
University of Wisconsin–Madison, USA
Corresponding Author:
Lisa M. Hagermoser Sanetti, Department of Educational Psychology, University of Connecticut, U-3064, Storrs, CT 06269-3064, USA. Email: firstname.lastname@example.org
Action Editor: Mack Burke
https://doi.org/10.1177/1098300717722357 Journal of Positive Behavior Interventions 2018, Vol. 20(1) 43–59 © Hammill Institute on Disabilities 2017 Reprints and permissions: sagepub.com/journalsPermissions.nav DOI: 10.1177/1098300717722357 jpbi.sagepub.com
consultation is an indirect service delivery approach in which a consultant (e.g., school psychologist) works with a consultee (e.g., teacher) who, in turn, provides services to students (Kratochwill et al., 2014). Twenty years of research indicate teacher consultees struggle to demonstrate adequate implementation fidelity following didactic training (i.e., verbal overview of the intervention by consultant) within behavioral consultation, resulting in poorer student outcomes (Noell & Gansle, 2014).
These findings spurred development and evaluation of numerous implementation strategies consultants can utilize to support teacher consultees' implementation fidelity. Many of these strategies have increased implementation adherence (i.e., extent to which intervention steps were implemented as planned) and quality (i.e., extent to which implementation was appropriately timed, fluent, and authentic; Dart, Cook, Collins, Gresham, & Chenier, 2012; Sanetti & Collier-Meek, 2015; Sanetti, Kratochwill, & Long, 2013; Simonsen, MacSuga, Fallon, & Sugai, 2013; Sterling-Turner, Watson, & Moore, 2002). Evidence-based implementation strategies vary regarding their intensity, requiring different amounts of time, settings for delivery, numbers of sessions, and resources (Sanetti & Collier-Meek, 2015). The availability of empirically supported implementation strategies is an important step toward improving consultation outcomes; yet, there is limited guidance about how to decide what strategy to deliver to which consultees and when to do so (Sanetti & Collier-Meek, 2015).
One data-based decision-making approach is to provide proactive implementation support to all consultees, evaluate consultee responsiveness, and subsequently intensify implementation support as needed (Sanetti & Collier-Meek, 2015). Sanetti and Collier-Meek (2015) conducted a pilot study of this approach, evaluating three implementation supports embedded within behavioral consultation: direct training, implementation planning, and participant modeling. Direct training, the least intensive support, includes an introduction to the intervention, consultant modeling of the intervention, consultant and consultee intervention role play, and feedback (Sterling-Turner et al., 2002). Implementation planning, a slightly more intensive support, is a combination of two behavior change strategies from the health psychology literature: action planning and coping planning (Sanetti et al., 2013). It includes a meeting in which the consultant leads the consultee in detailed logistical planning related to implementation (e.g., who, when, where, resources needed; action planning) and proactive identification and development of solutions to address implementation barriers (coping planning; Sanetti et al., 2013). Participant modeling, a more time-intensive support, includes (a) a meeting to review the intervention and implementation fidelity data, (b) the consultant modeling and then the consultee practicing intervention steps in vivo with students until mastery is demonstrated, and (c) a meeting to debrief (Sanetti & Collier-Meek, 2015). In the pilot study, consultants provided direct training to all six consultees. Subsequently, consultants provided implementation planning to the four consultees who still demonstrated low adherence. Two consultees' low adherence continued and consultants provided participant modeling. This data-based intensification of implementation support resulted in high levels of adherence of classroom management practices for all consultees (Sanetti & Collier-Meek, 2015). These results suggest (a) organizing implementation supports by intensity, (b) providing the least intensive implementation supports initially, (c) monitoring implementation fidelity data, and (d) providing more intensive implementation supports as needed can be an effective and resource-efficient method of supporting implementation of classroom management practices (Sanetti & Collier-Meek, 2015). These findings are promising as lack of time is a common reason for not providing implementation support (Cochrane & Laux, 2008). More research is needed, however, to understand how implementation supports affect implementation fidelity dimensions across time.
Purpose of Current Study
The current study extends the previous pilot study by examining the effects of implementation planning and participant modeling, delivered as needed during behavioral consultation, on teachers' implementation adherence and quality of an evidence-based comprehensive classroom management plan (CMP) both immediately and 1 and 2 months after consultation. Four research questions were addressed:
Research Question 1: Will implementation planning increase teachers' CMP implementation fidelity, specifically adherence and quality, immediately and at 1- and 2-month follow-ups?
Research Question 2: For those teachers whose adherence remains insufficient (less than 80% across two consecutive days) after implementation planning, will participant modeling increase adherence and quality immediately and at 1- and 2-month follow-ups?
Research Question 3: Will student disruptive behavior improve as implementation adherence and quality improve?
Research Question 4: Will teachers rate implementation planning and participant modeling as socially valid strategies for improving implementation fidelity?
Method
Participants and Setting
Participants included three general education teachers from two suburban public elementary schools in two school districts in the Northeast. Teachers A and B taught at the same
school, which serviced 350 preschool through fifth-grade students. Of these students, 63% were White, 14% were Hispanic, 10% were Black, 9% were Asian/Pacific Islander, and 4% identified as having two or more races; 42% qualified for free or reduced-price lunch (National Center for Education Statistics [NCES], 2016). Teacher C's school serviced 551 preschool through fifth-grade students. Of these students, 58% were White, 19% were Hispanic, 13% were Black, 8% were Asian/Pacific Islander, and 3% identified as having two or more races; 20% qualified for free or reduced-price lunch (NCES, 2016). Both school districts had system-level support for School-Wide Positive Behavioral Intervention and Support (SW-PBIS), and both schools were in their first year of implementing Tier 1 SW-PBIS. Both schools had SW-PBIS teams, received SW-PBIS training and ongoing coaching, and utilized data systems and practices aligned with SW-PBIS. Participating teachers voluntarily requested classroom management support.
Teacher A was a Caucasian female who taught 17 fifthgrade students in a general education classroom. She had general education certification, a master's degree, and 13 years teaching experience. During her teacher training, Teacher A received instruction on classroom management as part of a course devoted primarily to another topic; throughout her teaching career, she never received professional development on classroom management. She reported there were students receiving special education services under the classifications of learning disability and emotional disturbance in her classroom.
Teacher B was a Latina female who taught 14 fourthgrade students in a general education classroom. She had general education certification, a bachelor's degree, and 5 years teaching experience. During her teacher training, Teacher B did not receive any instruction on classroom management, but, throughout her teaching career, she received a total of 2 to 3 days of professional development on classroom management. She reported that there were students receiving special education services under the classifications of emotional disturbance, autism, speech and language disability, and learning disability in her classroom.
Teacher C was a Caucasian female who taught 25 fourth-grade students in a general education classroom. She had general and special education certifications, a master's degree plus additional credits, and 18 years teaching experience. During her teacher training, Teacher C did not receive any instruction on classroom management, but throughout her teaching career, she received 5 days of professional development on classroom management. She reported that there were students receiving special education services under the classifications of emotional disturbance, learning disability, and speech and language disability in her classroom.
Instrumentation
Two categories of instrumentation were utilized in the current study: instruments to inform development and evaluation of CMPs and instruments to measure dependent variables. They are described by category below.
Instruments to inform development and evaluation of CMPs.A classroom management survey was completed by teachers, and direct observations of classroom management were conducted by consultants during the Preimplementation phase to gather information about classroom management practices used by each teacher to inform development of CMPs. At study conclusion, teachers again completed the classroom management survey and also completed a social validity measure focused on the CMP. Each of these instruments is further described below.
Classroom management survey. During the Preimplementation phase and at study conclusion, a classroom management survey was completed by teachers to provide background information on their understanding and use of best practices in classroom management. This survey was adapted from two different measures—the Classroom Ecology Checklist (CEC; Reinke, Herman, & Sprick, 2011) and the Teachers' Knowledge and Use of Classroom and Behavior Management Strategies (Borthwisck-Duffy, Lane, & Mahdavi, 2002; Moore, Oliver, & Wehby, 2012)—and consisted of 64 items. The first item set pertained to current knowledge of best practices in classroom management strategy had four response options (1 = no knowledge, 2 = limited knowledge, 3 = somewhat knowledgeable, and 4 = very knowledgeable; Moore et al., 2012), and has demonstrated good internal consistency reliability (α = .91). The second item set pertained to the extent of implementation of best practices in the classroom had four response options (1 = not at all, 2 = limited use, 3 = somewhat, and 4 = very frequently; Moore et al., 2012), and has demonstrated good internal consistency (α = .83). The final item set related to the use of specific classroom management strategies had three response options (1 = no, 2 = somewhat, and 3 = yes; Reinke, Herman, & Sprick, 2011), and has demonstrated good internal consistency (α = .83; W. M. Reinke, personal communication, June 13, 2016).
Observation of teacher classroom management behaviors. Five discrete teacher behaviors were observed to provide more direct data to inform the development of a CMP: (a) general praise, (b) specific praise, (c) reprimands, (d) opportunities to respond, and (e) correct academic responses. The 15-min observations were divided into 15-s intervals to facilitate the calculation of interobserver agreement and were conducted during instructional times teachers identified as challenging regarding classroom management (see Table 1). Three (Teachers A and B) or four (Teacher C) observations were conducted; one observation was canceled for Teachers A and B due to a school closing. A frequency count procedure was utilized and a rate per minute was calculated for each behavior.
Usage Rating Profile–Intervention Revised (URP-IR). Teachers completed five subscales, including 26 items, of the URP-IR related to the CMP: acceptability, understanding, feasibility, system climate, and system support. Each item was rated on a 6-point Likert-type scale (1 = strongly disagree to 6 = strongly agree). The URP-IR has demonstrated acceptable levels of internal consistency reliability (α = .80–.95; Chafouleas, Briesch, Neugebauer, & Riley-Tillman, 2011). The Homeschool Collaboration subscale was not applicable to the current study.
Instruments to measure dependent variables.Implementation fidelity and student disruptive behavior data were collected via direct observation during an instructional activity the teacher identified as being most challenging regarding classroom management. Consultants observed at a consistent time and instructional activity throughout the study . Teachers completed measures of social validity regarding implementation strategies at study conclusion.
Implementation fidelity. Direct observation was used to collect estimates of the implementation adherence and quality of the CMPs. The format of the implementation fidelity measure was standardized, but the specific steps were based on each teacher's CMP. For each operationally defined CMP step, consultants rated (a) adherence (i.e., 0 = not implemented, 1 = implemented with deviation, 2 = implemented as planned, or NO = no opportunity for implementation), (b) implementation quality (i.e., 0 = poor, 1 = fair, 2 = good, or 3 = excellent), and (c) applicability (i.e., 1 = applicable for observation, 0 = not applicable per CMP).
Differentiations between adherence ratings were based on the operationally defined CMP step. For example, one teacher's CMP required actively scanning and moving around the room during independent seatwork and acknowledging student behavior. For this CMP step, the teacher (a) being on her computer throughout independent seatwork was rated as not implemented; (b) scanning and moving around the room but not acknowledging student behavior, or acknowledging student behavior from her desk, was rated as implemented with deviation; and (c) scanning and moving as defined was rated as implemented as planned.
Quality was calculated as the number of steps rated as excellent or good divided by the total number of steps implemented (either as planned or with deviation). To be rated excellent, a CMP step was implemented skillfully as indicated by (a) appropriate interaction (e.g., appropriate tone, specificity), (b) smooth and natural-looking delivery
(e.g., automatic response, materials readily accessible), (c) appropriate timing (e.g., review of behavior expectations before new activity), and (d) competent implementation (e.g., clearly responsive to student's unique needs). To be rated good, a CMP step was implemented adequately, but in a less skillful manner, and was somewhat flawed in one of the excellent indicators. To be rated fair, a CMP step was implemented poorly in a manner that was seriously flawed in at least one or somewhat flawed in two of the excellent indicators. CMP steps implemented with fewer indicators were rated poor.
A CMP step was applicable if, per the plan, the teacher was expected to implement it during the observation time. Adherence was calculated as the number of CMP steps implemented as planned divided by the number of applicable steps. The 30-min observations occurred 2 to 3 times per week across phases; interobserver agreement data are presented in Table 1.
Disruptive behavior. Disruptive behavior was defined as an action that interrupts regular school or classroom activity (e.g., being out of seat, fidgeting, playing with objects, acting aggressively, talking/yelling about things that are unrelated to classroom instruction; Chafouleas, 2011). A frequency count of disruptive behavior across all students in the classroom occurred 2 to 3 times per week across all phases. The 15-min observations were divided into 15-s intervals to facilitate the calculation of interobserver agreement and were conducted during instructional times teachers identified as challenging regarding classroom management (see Table 1). Continuous frequency counts were used to reflect every instance of disruptive behavior the teacher experienced during the observation session. This approach is more sensitive to treatment effects than other time-sampling methods (Meany-Daboul, Roscoe, Bourret, & Ahearn, 2007). Disruptive behavior rates were calculated by dividing the total frequency by minutes observed.
Social validity. At the end of consultation, teachers independently completed social validity measures of the implementation strategies received via the Usage Rating Profile–Implementation Planning (URP-Implementation Planning) and Usage Rating Profile–Participant Modeling (URP-Participant Modeling). The five subscales of the URP-IR were adapted to assess teacher perceptions of implementation planning and participant modeling (Chafouleas et al., 2011). Items were revised to focus on implementation supports. For example, "This intervention is an effective choice for addressing a variety of problems," on the URP-IR was revised to "The implementation planning activity is an effective choice for addressing a variety of implementation problems," on the URP-Implementation Planning and "The teaching with in-class modeling activity is an effective choice for addressing a variety of implemen
tation problems," on the URP-Participant Modeling.
Procedural Fidelity
Procedural fidelity data were collected for behavioral consultation, implementation planning, and participant modeling.
Behavioral consultation.Consultants completed session checklists immediately after each interview to ensure completion of all behavioral consultation components (Kratochwill & Bergan, 1990). A second rater listened to consultation interview recordings to obtain interrater reliability. Per consultant self-ratings, the average percentage of components completed across all interviews was 100%; average interrater agreement across interviews was 100%.
Implementation planning.Implementation planning procedural fidelity was assessed using measures of the nine steps of action planning and three steps of coping planning (Sanetti et al., 2013). Measures included ratings on adherence, quality, and consultee responsiveness. These measures included (a) a column detailing the behaviorally defined steps of action and coping planning, (b) columns to rate the adherence level of each step (i.e., 0 = none, 1 = limited, 2 = substantial, 3 = complete), and (c) columns to rate the quality of each step (0 = poor, 1 = fair, 2 = good, 3 = excellent). Adherence and quality metrics were calculated in the same manner as CMP implementation fidelity described above. In addition, consultee responsiveness was rated by measuring (a) engagement, the extent to which the consultee purposefully participated in the action/coping planning process, and (b) cooperation, the extent to which the consultee willingly and agreeably collaborated with the consultant during the implementation planning process. Both engagement and cooperation were rated on a 4-point scale (0 = never or 0% of time, 1 = rarely or ≤50% of time, 2 = mostly or >50% of time, 3 = always or 100% of time). Consultants completed the procedural fidelity measures immediately following delivery of implementation planning. A second consultant was present for each implementation planning meeting to facilitate interrater agreement. For action planning and coping planning, average consultant self-ratings were 100% for adherence and 100% for quality. Average consultant ratings of consultee responsiveness were 2.67 for engagement (range: 2–3) and 3 for cooperation during action planning, and 3 for both engagement and cooperation during coping planning. Average interrater agreement for adherence, quality, engagement, and cooperation across action and coping planning was 100%.
Participant modeling.The format of the participant modeling procedural fidelity measure aligned with that used for implementation planning, with adherence and quality ratings for each participant modeling step and holistic ratings of consultee responsiveness (i.e., engagement and cooperation). Consultants completed the procedural fidelity measures immediately following delivery of participant modeling. A second rater listened to the digital recordings to determine interrater agreement for seven of the 11 steps in participant modeling; the in vivo activity was not audio recorded. Consultant self-ratings of all 11 steps were 100% for adherence and 95.46% for quality. Average interrater agreement for the relevant steps was 100% for adherence and quality across all participants. Average consultee responsiveness ratings were 3 for both engagement and cooperation. Interrater agreement was not calculated for consultee responsiveness ratings as a second consultant was not present during in vivo sessions.
Design
A randomized multiple treatment embedded within a multiple baseline across teacher participants was used to evaluate the effects of implementation planning and, for some teachers, participant modeling, delivered within behavioral consultation, on CMP implementation fidelity (Kratochwill & Levin, 2010). After the Preimplementation phase, teachers were randomly assigned to intervention order and the Initial Consultation phase began. Random assignment to baseline order was used to enhance the internal validity of the design. Visual analysis and Tau-U were used to evaluate the experimental outcomes (Kratochwill et al., 2010; Parker, Vannest, & Davis, 2014). Randomization tests could not be conducted as there were three participants and only one aspect of the study was randomized. Teacher A was eligible for the Implementation Planning phase when adherence levels were low (i.e., at least two consecutive days below 80%). When her adherence data demonstrated an increasing trend or level for at least three data points, the next participant entered the Implementation Planning phase. Participating teachers whose average adherence was below 70% in this phase received participant modeling.
Procedure
Prior to engaging in any study procedures, university institutional review board approval was obtained. Subsequently, school district permission was obtained to conduct this study.
Consultant training.One male and two female school psychology graduate students served as consultants and collected interobserver agreement data across cases. Each consultant had previous experience with behavioral assessments and received a minimum of 25 hr of training related to behavioral consultation, classroom management practices, direct observation, and general study procedures. The first and third authors provided training on the disruptive
behavior and implementation fidelity direct observation procedures, including didactic instruction and practice with time-sampling procedures, while watching videos of elementary classrooms. Consultants practiced until they obtained a minimum of 80% agreement with a master code across three observations. Each consultant also received 30 to 60 min of clinical supervision weekly from a licensed psychologist (first and/or third authors).
Preimplementation phase.During this phase, consultants measured current classroom management practices and student disruptive behavior, and developed a CMP.
Problem identification interview (PII). The teacher and consultant completed a PII during which they identified and defined classroom management concerns, currently implemented best practices in classroom management, and relevant environmental variables. The teacher identified instructional activities and times during which managing behavior in the classroom was particularly challenging; this information was used to schedule consistent observation times used for the duration of the study. Teachers A and B identified math instruction and Teacher C identified reading instruction as the most challenging time.
Assessment of classroom management practices and student disruptive behavior. Following the PII, the consultant observed teacher behavior and student disruptive behavior 2 to 3 times per week during instructional activities identified in the PII. After three (Teachers A and B) or four (Teacher C) observations, the consultant reviewed the classroom management survey and direct observation data, and wrote a classroom assessment report (CAR). This report included a summary of the PII, survey results, and the observation data on teacher behavior and student disruptive behavior. The CAR was organized by critical area of classroom management (Simonsen, Fairbanks, Briesch, Myers, & Sugai, 2008). The preimplementation data indicated a need for a CMP in each of the participating classrooms (see Tables 2 and 3).
CMP development. Consultants used the CAR to draft the CMP. The research team created a menu of evidence-based classroom management strategies, organized by the five areas of classroom management, and used it to link assessment data with CMP strategies. Each CMP addressed areas of existing strengths and areas in need of additional support across the five critical areas of classroom management.
Teacher A. Two areas of classroom management, (a) maximizing structure and predictability and (b) using a continuum of strategies to respond to inappropriate behavior, were identified as strengths; practices related to these areas were maintained. Three areas of classroom management in need of improvement were identified: (a) establishing and teaching expectations, (b) engaging students in observable ways, and (c) using a continuum of strategies to recognize appropriate behavior. Strategies in these areas were suggested in the CMP.
Teacher B. Two areas of classroom management, (a) maximizing structure and predictability and (b) engaging students in observable ways, were identified as strengths; practices in these areas were maintained. Three areas of classroom management in need of improvement were identified: (a) establishing and teaching expectations, (b) using a continuum of strategies to recognize appropriate behavior, and (c) using a continuum of strategies to respond to inappropriate behavior. Strategies in these areas were suggested in the CMP.
Teacher C.Three areas of classroom management, (a) maximizing structure and predictability, (b) establishing and teaching expectations, and (c) using a continuum of strategies to respond to inappropriate behavior, were identified as strengths; practices related to these areas were maintained. Two areas of classroom management in need of improvement were identified: (a) engaging students in observable ways and (b) using a continuum of strategies to respond to appropriate behavior. Strategies in these areas were suggested in the CMP.
Problem analysis interview (PAI). When the CAR was written and CMP was drafted, the consultant and teacher met for a PAI. The consultant (a) reviewed the assessment results in the CAR, (b) collaborated with the teacher to reach consensus on the final CMP, (c) provided the teacher with all materials required for CMP implementation (e.g., folder for materials, written CMP, student progress charts, reward menus), and (d) provided direct training on the CMP.
Initial Consultation phase.After training, teachers were to implement the CMP daily. Similar to previous research on implementation supports (e.g., Sanetti & Collier-Meek, 2015), the Initial Consultation phase serves as the baseline for CMP implementation fidelity. Weekly, the consultant (a) observed student disruptive behavior and CMP implementation fidelity 2 to 3 times and (b) met with the teacher for 5 min to address any questions.
Implementation Planning phase.When CMP adherence declined, or maintained at a low level (i.e., below 80% on at least two consecutive days), the consultant met with the teacher to complete implementation planning. During this meeting, the consultant and teacher completed an action plan that entailed (a) reviewing each step of the CMP; (b) revising CMP steps to increase feasibility and compatibility with classroom routines, as needed; and (c) completing detailed logistical planning of CMP implementation. Then,
Table 3.Teacher and Student Behavior Data During Preimplementation Phase.
Note. Adherence during Preimplementation was rated as best practices in classroom management that were observed or not observed; quality was not rated. CMP = classroom management plan.
aThe preimplementation estimate of adherence represents the number of best practice classroom management strategies observed during Preimplementation that were maintained on CMP divided by the total number of best practice strategies on the CMP to be comparable with adherence other study phases. b Teachers' classroom management behaviors and student disruptive behavior are expressed as a rate per minute.
with the consultant's guidance, the teacher completed a coping plan, identifying up to four potential barriers to CMP implementation and developing strategies to address each barrier. Following the meeting, the consultant summarized the action and coping plans in a report for the teacher, and modified the CMP as indicated. On average, teachers made 4.67 (range: 4–5) changes to the CMP during action planning (e.g., altering methods for reward delivery, increasing visual prompts for CMP implementation). After implementation planning, teachers continued daily implementation of the CMPs and consultants continued weekly observations and check-in meetings.
Participant Modeling phase.Consultants met with teachers whose adherence was low (i.e., below 70%) following implementation planning and engaged in participant modeling. Participant modeling involved multiple components. First, the teacher met with the consultant who (a) reiterated the rationale for the CMP, (b) reviewed CMP steps, and (c) discussed CMP steps that observation data indicated needed to be practiced. Second, during an in vivo session, the consultant modeled each step with the teacher's students before the teacher practiced the step, initially with consultant assistance and then independently. After the in vivo session, the consultant provided feedback to the teacher during a brief meeting. Teachers continued daily CMPs implementation and consultants continued weekly observations and checkin meetings.
Postintervention phase.Following ongoing CMP implementation, the consultant and teacher completed a Treatment Evaluation Interview (TEI) to determine if (a) the consultation goals were met or additional problem analysis or classroom management support was required. Following the TEI, all teachers completed social validity measures.
Follow-Up phases.One and 2 months after the TEI, the consultant conducted two to three observations of student disruptive behavior and CMP implementation fidelity within a week, as in previous phases, and checked-in with the teacher regarding CMP implementation.
Data Analysis
Visual analysis procedures were utilized to analyze the implementation fidelity data. Changes in the level, trend, and variability between baseline and intervention phases as well as immediacy of effect and overlap of baseline and intervention data paths were analyzed. These procedures are consistent with the current single-case design standards (Kratochwill et al., 2010). In addition, we applied Tau-U, a non-overlap index, following recent recommendations for single-case design (Parker et al., 2014) and interpretive guidelines from Parker and Vannest (2009; weak = 0–0.65, moderate = 0.66–0.92, large = 0.93–1.00).
Results
Our purposes were to evaluate (a) the effect of implementation planning on CMP adherence and quality for all teachers, (b) the effect of participant modeling on CMP adherence and quality for teachers needing additional implementation support, (c) changes in student disruptive behavior as implementation adherence and quality improve, and (d)
teacher ratings of social validity. Our findings are presented to address each of these purposes.
Effect of Implementation Planning on Adherence and Quality
Adherence.All teachers demonstrated low-to-moderate levels of CMP adherence prior to implementation planning, with Teacher A demonstrating a decreasing trend, Teacher B showing significant variability, and Teacher C demonstrating both a decreasing trend and high degree of variability. After implementation planning, all three teachers demonstrated a distinct level change, with Teachers A and B implementing the CMP at a moderate level of adherence and Teacher C implementing at a stable, high level. Teacher B continued to demonstrate a high degree of variability. Tau-U indicated that the impact of implementation planning on adherence was moderate for Teacher A, weak for Teacher B, and large for Teacher C (see Table 4). Teacher C's implementation decreased slightly from the Implementation Planning phase to the Follow-Up phase but may still be considered adequate (see Figure 1 and Table 4).
Quality.All teachers' CMP implementation quality was variable prior to implementation planning; Teacher C's quality was marked by a decreasing trend. After implementation planning, all teachers demonstrated a distinct and immediate level change, with high levels of quality and decreased variability. Per Tau-U, the impact on quality was moderate for Teachers A, B, and C (see Table 4). Teacher C's high CMP implementation quality maintained to the Follow-Up phase (see Figure 1 and Table 4).
Effect of Participant Modeling on Implementation Adherence and Quality
Adherence.After participant modeling, Teachers A and B demonstrated moderate-to-high levels of adherence (Teacher C did not receive participant modeling). Per Tau-U, the impact of participant modeling on adherence was weak for Teacher A and moderate for Teacher B. Both teachers demonstrated decreased adherence during the 1- and 2-month Follow-Up phases but adherence remained higher than during the Initial Consultation phase, prior to implementation planning. Of note, the adherence levels of Teachers A and B decreased more substantially than those of Teacher C, whose adherence could still be considered adequate during the Follow-Up phase (see Figure 1 and Table 4).
Quality.After participant modeling, Teacher A's quality decreased slightly and became more variable while Teacher B's quality remained largely consistent and high. Per Tau-U, the impact of participant modeling on quality was weak for both teachers (see Table 4). CMP quality for both teachers remained high during the Follow-Up phase (see Figure 1 and Table 4).
Changes in Disruptive Behavior as Implementation Adherence and Quality Improve
During the Preimplementation phase, students in each classroom demonstrated high rates of disruptive behavior (see Table 3). During the Initial Consultation phase, when the CMPs were introduced and implemented with a moderate level of adherence, disruptive behavior remained at a high rate for Teachers A and B, but decreased for Teacher C. Following implementation planning, when all teachers' CMP implementation increased, disruptive behavior decreased for all three teachers; per Tau-U, the impact on disruptive behavior was weak for Teacher A, and moderate for Teachers B and C (see Table 4).
The effect of participant modeling on disruptive behavior was less consistent as the disruptive behavior in Teacher A's classroom decreased slightly and the disruptive behavior in Teacher B's classroom increased slightly. Per Tau-U, the impact of participant modeling on disruptive behavior was weak for Teachers A and B. Low disruptive behavior rates were maintained during the Follow-Up phase for all teachers (see Figure 1 and Table 4).
Teacher Ratings of Social Validity
Overall, social validity data were highly positive (see Table 5). The URP-IR ratings indicate teachers found the CMP to be highly acceptable (M = 5.37, SD = 0.49), understandable (M = 5.22, SD = 0.44), feasible (M = 5.00, SD = 0.49), and compatible with their system's climate (M = 5.20, SD = 0.41). Teachers' ratings also indicate they could implement the CMP without additional system support (M = 2.89, SD = 1.76).
The URP-Implementation Planning ratings indicate teachers found implementation planning to be highly acceptable (M = 5.48, SD = 0.51), understandable (M = 5.44, SD = 0.53), feasible (M = 5.22, SD = 0.43), and compatible with their system's climate (M = 5.47, SD = 0.52). Teachers' ratings also indicate they would require additional system support to carry out implementation planning activities (M = 3.78, SD = 1.72).
The URP-Participant Modeling ratings indicate teachers found participant modeling to be highly acceptable (M = 5.67, SD = 0.49), understandable (M = 5.33, SD = 0.82), feasible (M = 5.50, SD = 0.52), and compatible with their system's climate (M = 5.50, SD = 0.53). Teachers' ratings also indicate they would not require additional system support to engage in participant modeling (M = 3.00, SD = 2.45).
Discussion
The primary purpose of this study was to extend the literature on implementation planning and participant modeling delivered during behavioral consultation by evaluating their effectiveness to improve teachers' implementation adherence and quality of evidence-based CMPs over time. Consistent with
Figure 1.Percentage of CMP steps with adherence ratings of implemented as planned and quality ratings of excellent or good, and student disruptive behavior as rate per minute across sessions. Note. CMP = classroom management plan.
previous surveys, all teacher participants were implementing few best practices in classroom management and recognized classroom management as a challenge (Reinke, Stormont, et al., 2011). Also consistent with previous research (Sanetti &
Table 5.Social Validity Data Across Teachers.
Note. All URP measures are based on a 6-point Likert-type scale (1 = strongly disagree to 6 = strongly agree). URP-IR = Usage Rating Profile–Intervention Revised; URP-Implementation Planning = Usage Rating Profile adapted for implementation planning; URP-Participant Modeling = Usage Rating Profile adapted for participant modeling.
Collier-Meek, 2015), study results indicate that after assisting teachers to develop evidence-based CMPs, consultants need to provide teacher consultees implementation support to achieve adequate implementation adherence and quality. All teachers demonstrated low CMP adherence levels during the Initial Consultation phase, and improved adherence and quality immediately after implementation planning, similar to previous research (Sanetti & Collier-Meek, 2015; Sanetti, CollierMeek, Long, Byron, & Kratochwill, 2015). Quality was high across teachers after implementation planning, consistent with previous research (Sanetti et al., 2015). Adherence levels improved, but were only moderate for Teachers A and B, supporting previous findings that teachers need different levels of implementation support (Sanetti & Collier-Meek, 2015).
that they were still acquiring, resulting in higher adherence, but lower quality ratings as they were still developing accuracy and fluency.
Upon receiving participant modeling, a more intensive level of implementation support, Teachers A and B demonstrated increased adherence levels; however, their quality of implementation decreased. These results suggest that implementation may be conceptualized within the instructional hierarchy (Haring, Lovitt, Eaton, & Hansen, 1978). That is, teachers increased their implementation of CMP steps with which they were fluent following implementation planning, resulting in moderate adherence but high quality. After participant modeling, they implemented additional CMP steps
Just as teachers' immediate response to implementation support was variable, so was their response over time. Teacher A's and Teacher B's implementation adherence and quality decreased to moderate levels without consultation support over 2 months, but were still above Initial Consultation phase levels. Teacher C's implementation adherence and quality decreased slightly, but were maintained at high levels without consultation support over 2 months. These results are similar to previous research (Sanetti & Collier-Meek, 2015; Sanetti et al., 2015) and suggest teachers need different schedules of implementation support to maintain improvements.
Identifying the level of implementation support a teacher needs is essential to achieving the end goal of an intervention resulting in improved student outcomes. Data from this study provide initial evidence that we may not be able to identify the level of implementation support a teacher will need from baseline data alone. For example, prior to CMP development, Teacher C had the lowest percentage of classroom management strategies that were maintained in her CMP, which might lead one to think that she would need
more intensive support than Teacher B, who had the highest percentage of strategies maintained in her CMP. Yet, Teacher C's initial adherence to the comprehensive CMP was considerably higher than Teachers A or B. It is possible that Teacher C's high rate of CMP adherence was influenced by (a) her only having new strategies in two areas of classroom management; (b) her generally higher preimplementation ratings of knowledge, implementation, and use of classroom management practices; (c) her dual certification in general education and special education; (d) her years of experience; or (e) a combination of the above. Additional research is needed to gain a better understanding of what measureable factors are predictive of short- and long-term implementation fidelity.
The goal of increasing teachers' implementation of any intervention is to improve student outcomes. Replicating previous findings (Sanetti & Collier-Meek, 2015), student disruptive behavior improved from the Initial Consultation phase to the Implementation Planning phase, across all classrooms, with disruptive behavior rates reduced by more than half for Classrooms B and C. Average student disruptive behavior in Classroom A improved further after participant modeling, but there was a slight increase in average disruptive behavior in Classroom B. Perhaps as important as the average levels across phases, the variability in student disruptive behavior decreased in all classrooms following implementation planning, with the lowest average variability during the Follow-Up phase. Thus, results suggest student disruptive behavior decreases and is more stable as implementation of evidencebased classroom management strategies improves.
Regardless of their effectiveness, implementation supports are not likely to be utilized unless they are feasible and acceptable. Similar to previous research (Sanetti & Collier-Meek, 2015), current results suggest implementation planning and participant modeling are relatively timeefficient. Delivering implementation planning (M = 59 min; range: 50–65 min) and participant modeling (M = 28 min for didactic portion, range: 13–42 min; M = 53 min for in-class modeling, range: 45–60 min) requires a relatively minimal amount of time for the increased and maintained CMP implementation and decreased disruptive behavior. As important, overall, teachers rated the CMPs and both implementation strategies as acceptable, understandable, feasible, and aligned with their school climate. Teacher A indicated that the CMP and both implementation strategies would require additional system support. As this subscale is reverse-coded, it is unclear if her ratings reflect a belief that supports are required or careless responding.
Limitations and Future Directions for Research
There are several limitations to this study. First, the Initial Consultation phase always preceded implementation planning, which always preceded participant modeling, creating an order effect. Furthermore, it is unclear whether implementation planning alone would improve teachers' implementation, or whether it must be delivered in the context of consultation. Likewise, it is unclear if participant modeling would improve teachers' implementation if presented alone or prior to implementation planning. The rationale for standardizing the order of implementation supports was to keep the research contextualized within the usual scope of practice in behavioral consultation and recommendations related to data-based intensification of implementation supports (Sanetti & Collier-Meek, 2015). Future researchers should vary implementation support order within and outside of a consultation approach.
Second, teachers needed support in different numbers of classroom management areas, and there were differences in baseline knowledge, implementation, and use of classroom management practices. Future researchers could try to ensure exact equivalency of teachers' implementation needs and stages of learning at baseline. This study's methods, however, allowed evaluation of implementation planning and participant modeling effectiveness with (a) the natural variability in teacher knowledge and skills and (b) CMPs aligned with best practices. Third, as with many intervention studies, participating teachers volunteered to be involved in this study and, thus, may not represent the broader population of teachers who require classroom management support. More specifically, the teachers volunteered for the research and, therefore, may have been more "highly motivated" than those who did not volunteer. Thus, Initial Consultation phase adherence data are particularly concerning as we might hypothesize that less motivated teachers would have poorer outcomes. Fourth, detailed SW-PBIS implementation data were not collected; thus, it is unknown if the differential level of supports needed by teachers were related to SW-PBIS implementation levels. Fifth, research staff served as the consultants. Although typical for early studies, future researchers should evaluate the effectiveness and social validity of educators developing, evaluating, and supporting CMP implementation.
Implications for Practice
Current results emphasize the need for systematic implementation supports to ensure interventions are implemented consistently. Results also suggest teachers need different levels of support, and less time- and resource-intensive implementation supports are sufficient for some teachers. Given the prevalence of time as a barrier (Cochrane & Laux, 2008), delivering implementation supports based on fidelity data may allow practitioners to "work smarter, not harder." To do so, practitioners may need training in how to deliver implementation supports; available resources allow for self-study (Sanetti & Collier-Meek, 2017). Results also highlight the evaluation utility of collecting both adherence
and quality data. These data may be used together to provide more targeted, efficient implementation support. Finally, study results provide further support that for interventions to result in improved student outcomes, they must be adequately implemented. That said, data also suggest meaningful student outcomes may be achieved with what would typically be considered "inadequate" adherence. The lack of empirical guidance regarding the level of implementation necessary to obtain improved student outcomes combined with the current results highlights the importance of analyzing both student outcome and implementation data when making data-based decisions regarding intervention effectiveness.
Authors' Note
The opinions expressed are those of the authors and do not represent views of the Institute or the U.S. Department of Education.
Declaration of Conflicting Interests
The author(s) declared no potential conflicts of interest with respect to the research, authorship, and/or publication of this article.
Funding
The author(s) disclosed receipt of the following financial support for the research, authorship, and/or publication of this article: Research reported here was supported by the Institute of Education Sciences, U.S. Department of Education, through Grant R324A10005 to the University of Connecticut.
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Kratochwill, T. R., Hitchcock, J., Horner, R. H., Levin, J. R., Odom, S. L., Rindskopf, D. M., & Shadish, W. R. (2010). Single-case designs technical documentation. Retrieved from https://ies.ed.gov/ncee/wwc/Document/229
Kratochwill, T. R., & Levin, J. R. (2010). Enhancing the scientific credibility of single-case intervention research: Randomization to the rescue. Psychological Methods, 15, 124–144.
Meany-Daboul, M. G., Roscoe, E. M., Bourret, J. C., & Ahearn, W. H. (2007). A comparison of momentary time sampling and partial-interval recording for evaluating functional relations. Journal of Applied Behavior Analysis, 40, 501–514.
Moore, T. M., Oliver, R., & Wehby, J. H. (2012). Teachers' knowledge and use of classroom and behavior management strategies. Unpublished manuscript. Vanderbilt University, Nashville, TN.
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Noell, G. H., & Gansle, K. A. (2014). Research examining the relationships among consultation procedures, treatment integrity, and outcomes. In W. P. Erchul & S. M. Sheridan (Eds.), Handbook of research in school consultation: Empirical foundations for the field (2nd ed., pp. 386–408). New York, NY: Routledge.
Office of Special Education Programs. (2016). Supporting and responding to behavior: Evidence-based classroom strategies for teachers. Washington, DC: Author.
Oliver, R. M., Wehby, J. H., & Nelson, J. R. (2015). Helping teachers maintain classroom management practices using a Self-Monitoring Checklist. Teaching and Teacher Education, 51, 113–120.
Parker, R. I., & Vannest, K. J. (2009). An improved effect size for single-case research: Nonoverlap of all pairs. Behavior Therapy, 40, 357–367.
Parker, R. I., Vannest, K. J., & Davis, J. L. (2014). Non-overlap analysis for single-case research. In T. R. Kratochwill & J. R. Levin (Eds.), Single-case intervention research: Methodological and statistical advances (pp. 127–151). Washington, DC: American Psychological Association.
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3
Polygons
n the first two labs, the students construct triangles, given their sides and given their angles. In addition to the overt topics (the triangle inequality and the sum of the angles in a triangle), these labs allow you to introduce your chosen approach to construction (see the teacher notes to Lab 3.1). Moreover, they provide a first preview of two big ideas: congruence and similarity. I
Labs 3.3, 3.5, and 3.6 ground students' understanding of angles by having them "walk around" the perimeters of various polygons.This complements the work from Section 1, and it also lays the groundwork for discovering the formula for the sum of the angles of a polygon.Turtle graphics, an approach to geometry that was initiated in the context of the computer language Logo, was the original inspiration for polygon walks. See the teacher notes pertaining to Lab 3.5 (Walking Regular Polygons) and Lab 3.6 (Walking Nonconvex Polygons).
The section ends with additional lessons on the sum of the angles of a polygon, which provide interesting algebraic connections.
See page 176 for teacher notes to this section.
Triangles from Sides
Equipment: Compass, straightedge, unlined paper
a
b
c
d
e
1. Here is a technique for constructing a triangle with sides equal to c, d, and e above. Practice this technique on a separate paper.
a. Copy side e.The endpoints give you two vertices of the triangle.
b. Make an arc centered at one end, with radius d.
c. Make an arc centered at the other end, with radius c.
d. Where the two arcs meet is the third vertex. Connect it to the other two. You are done.
2. Using the same technique, construct at least three triangles with sides equal to a, b, c, d, or e.Try to make triangles different from those of your neighbors.
3. Try to construct a triangle with sides equal to a, b, and e. In the space below, explain why it is impossible.
Triangles from Sides (continued)
4. Working with other students, make a complete list of possible triangles using sides a, b, c, d, and e. Include equilateral, isosceles, and scalene triangles.Also make a list of impossible triangles.
Possible (example: c,d,e)
Impossible (example: a,b,e)
Discussion
A. Would it be possible to construct a triangle with side lengths 2, 4, and 8.5? Explain.
B. Would it be possible to construct a triangle with side lengths 2, 4, and 1.5? Explain.
C. If two of the sides of a triangle have lengths 2 and 4, what do you know about the third side?
D. State a generalization about the lengths of the three sides of a triangle.
LAB 3.2 Triangles from Angles
Equipment: Compass, straightedge, unlined paper
1. Here is a technique for constructing a triangle with angles equal to ∠1 and ∠2. Follow these steps and practice this technique on a separate sheet of paper.
a. Copy ∠1.That gives you one vertex.
b. Choose any point on a side of ∠1.That will be the second vertex.
c. Copy ∠2 at the second vertex. (Note that in the figure at right above, it was necessary to flip ∠2 over.)
d. Extend the other sides of ∠1 and ∠2.They meet at the third vertex.You are done.
2. Using the same technique, construct at least three triangles by copying two angles from among ∠1, ∠2, ∠3, ∠4, and ∠5.Try to make triangles different from those of your neighbors.
3. Would it be possible to construct a triangle with angles equal to ∠4 and ∠5? Explain in the space below.
Triangles from Angles (continued)
4. Make a list of possible triangles using two angles chosen from among ∠1, ∠2, ∠3, ∠4, and ∠5 (including obtuse, right, and acute triangles). It's okay to use two copies of the same angle.Also make a list of impossible triangles.
Possible(example: ∠1,∠2)
Impossible
Discussion
A. Given three angles, is it usually possible to construct a triangle with those angles? What must be true of the three angles?
B. What must be true of two angles to make it possible to construct a triangle with those angles?
C. Given two angles, ∠1 and ∠2, describe two different ways to construct the angle 180° (∠1 ∠2).
Walking Convex Polygons
Equipment: Pattern blocks, template, unlined paper
Definitions:
A polygon is a closed figure with straight sides.
An n-gon is a polygon with n sides.
A convex polygon is one where no angle is greater than 180°.
1. Is there such a thing as a nonconvex triangle? If so, sketch one in the space at right; if not, explain why not.
2. Is there such a thing as a nonconvex quadrilateral? Sketch one, or explain why there's no such thing.
3. For each number of sides from 3 to 12, make a convex pattern block polygon. Use your template to record your solutions on a separate sheet.
In this activity, you will give each other instructions for walking polygons.As an example, here are instructions for walking the pattern block trapezoid.We will use a scale of one step for one inch:
Walk forward one step from
the starting point;
Turn right 60°;
Walk forward one step;
Turn right 60°;
Walk forward one step;
Turn right 120°;
Walk forward two steps;
Turn right 120°.
One step
60°
The final turn is not necessary, since the whole perimeter has been walked by then. However, it is traditional to include it, because it brings the walker back exactly to the starting position.
4. Mark the remaining steps and angles on the figure.
Note: The turn angle is also called the exterior angle. It is not usually the same as the interior angle, which is usually called simply the angle.
Walking Convex Polygons (continued)
5. Write another set of instructions for walking the trapezoid, starting at another vertex.
6. On a separate paper, write instructions for walking each of the other pattern blocks.
7. Take turns with a partner, following each other's instructions for walking different blocks.
8. Make a two-block convex pattern block polygon, such as the one in the figure at right, and write instructions below for walking it.
Discussion
A. Write alternate instructions for walking the trapezoid with one or more of these additional constraints:
* Walking backward instead of forward
* Making left turns instead of right turns
* Starting in the middle of the long side
B. What is the relationship between the turn angle and the interior angle? When are they equal?
C. How can you tell whether a polygon walk is clockwise or counterclockwise by just reading the walk's instructions?
LAB 3.4 Regular Polygons and Stars
Equipment: Circle geoboard, string, Circle Geoboard Record Sheet
Definition: A regular polygon is a polygon in which all the angles are equal to each other and all the sides are equal to each other.
1. A regular triangle is called a(n) _____________ triangle.A regular quadrilateral is called a(n) __________.
2. Tie a string at the 0° peg on the geoboard.Then make a figure by going around every fourth peg.The beginning of this process is shown in the figure at right.
Keep going until you are back to the starting peg.
a. What sort of figure did you get? __________ Sketch it on a circle geoboard record sheet.
b. What is the measure of each angle of your figure?
__________
3. Repeat Problem 2, using every ninth peg.
| Every p-th peg | Star or polygon? | Number of sides | Angle measure |
|---|---|---|---|
| 1 | | | |
| 2 | | | |
| 3 | | | |
| 4 | polygon | 6 | 120° |
| 5 | | | |
| 6 | | | |
| 7 | | | |
| 8 | | | |
| 9 | star | | |
| 10 | | | |
| 11 | | | |
| 12 | | | |
| Every p-th peg | Star or polygon? | Number of sides | Angle measure |
|---|---|---|---|
| 13 | | | |
| 14 | | | |
| 15 | | | |
| 16 | | | |
| 17 | | | |
| 18 | | | |
| 19 | | | |
| 20 | | | |
| 21 | | | |
| 22 | | | |
| 23 | | | |
| 24 | | | |
Regular Polygons and Stars (continued)
4. Repeat Problem 2 by using every peg, every other peg, every third peg, and so on, all the way to every twenty-fourth peg. Look for patterns.You won't have enough string to make some of the stars on the geoboard, but you should still draw them on your record sheet. Record your entries in the table on the previous page, and record below any patterns you discover.
Discussion
A. Which of the pattern blocks are regular polygons?
B. Explain why the blue pattern block is not a regular polygon.
C. Make a pattern block polygon that has all angles equal but is not regular.
D. What patterns did you discover while filling out the table?
E. How can you predict whether using every p-th peg will give a star or a polygon?
F. Describe the star that you think would require the most string. Describe the star (not polygon) that would require the least string.
G. Discuss the situation when p 12 or p 24.
H. Explain why there are two values of p that yield each design.
I. How can you predict the angle from the value of p? Give a method or a formula.
J. Repeat this exploration on an imaginary 10- or 20-peg circle geoboard.
K. For a circle geoboard with n pegs, which p-th pegs will produce a star, and which will produce a polygon?
L. Investigate stars that use two strings or that require you to pick up your pencil, like the one shown at right.
Walking Regular Polygons
Here are three descriptions of how to walk a square.
Jenny: Turn 90° left and take a step four times.
Maya: (Take step, turn right 90°) 4
Pat: (1) Step forward; (2) turn right 90°; (3) step forward; (4) turn right 90°;
(5) step forward; (6) turn right 90°; (7) step forward.
1. What is the total turning in degrees for each set of directions? (They are not all the same!) Jenny: ___________ Maya: ______________ Pat: ____________
2. Use Maya's style to write instructions for an equilateral triangle walk.
3. What is the total turning for the triangle? __________
4. a. When we say that the sum of the angles in a triangle is 180°, what angles are we adding?
b. When we calculate the total turning, what angles are we adding?
5. These problems are about a regular 7-gon.
a. What is the measure of each exterior angle? Explain.
b. What is the measure of each interior angle? Explain.
Walking Regular Polygons (continued)
6. Fill out this table for regular polygons.
| 3 | 60° | 180° |
|---|---|---|
| 4 | 90° | 360° |
| 5 | | |
| 6 | | |
| 7 | | |
| 8 | | |
| 9 | | |
| 10 | | |
| 11 | | |
| 12 | | |
| 100 | | |
| n | | |
Discussion
A. Compare the three sets of instructions for walking a square.
a. Do they all work?
b. How are they the same?
c. How are they different?
d. Which do you think is the clearest?
e. How would you improve each of them?
B. Which column of the table in Problem 6 is easiest to find? How can this help you find the numbers in the other columns?
C. Compare the formulas you found with those of other students.
D. Explore the angles for regular stars: the sum of interior angles; the sum of turn angles. Can you find patterns? Formulas?
LAB 3.6 Walking Nonconvex Polygons
Equipment: Pattern blocks
1. Use two pattern blocks to create a nonconvex polygon such as the one in the figure at right.
a. Write instructions for walking it, assuming that the walker begins and ends facing the same direction.
b. Follow a neighbor's instructions, and have him or her follow yours.
2. Since the walker ends up facing the way he or she started, what should the total turning be?
a. Calculate the total turning to check whether your prediction worked. Show your calculation below.
b. Check a neighbor's total turning.
The direction you are facing is called your heading. North is heading 0°. Other headings are measured in degrees clockwise from North. East is 90°.
3. What is your heading if you are facing the following directions?
a. South __________
b. West __________
c. Southwest __________
d. NNW __________
4. Simone and Joy are standing back to back. Find Simone’s heading if Joy’s is:
a.
12° __________
b.
123° __________
c. h° (careful!) __________
5. How would you interpret a heading greater than 360°?
6. How would you interpret a heading less than 0°?
Name(s)
Walking Nonconvex Polygons (continued)
7. Assume you start walking your nonconvex polygon facing North.What is your heading while walking each side?
8. Does turning left add to or subtract from your heading? What about turning right?
9. In view of Problem 8, how should you deal with turn angles to get results that are consistent with changes in heading? With this interpretation, what is the total turning for a polygon, whether convex or not? Explain.
Discussion
A. In Problem 2, the total turning should be 360°. How could we calculate total turning so that this works? (Hint: The solution involves using positive and negative numbers.)
B. What does turning 360° do to your heading? What about turning 350°? How is this related to the discussion about positive and negative turns?
C. What does it mean to turn right –90°? Can the same turn be accomplished with a positive left turn? A positive right turn?
D. If we want total turning to be 360° and want our turns to be consistent with changes in heading, should we walk polygons in a clockwise or counterclockwise direction?
Diagonals
Definition: A diagonal is a line segment connecting two nonconsecutive vertices of a polygon.
The figure at right is a regular decagon, with all its diagonals. How many diagonals are there? It is not easy to tell. In this activity, you will look for a pattern in the number of diagonals in a polygon.You will also use diagonals to think about the sum of the angles in a polygon.
1. How many diagonals does a triangle have? __________
2. How many diagonals does a quadrilateral have? __________
3. Fill out this table, stating the total number of diagonals.
4. Find a formula for the total number of diagonals in an n
| Sides | Diagonals |
|---|---|
| 7 | |
| 8 | |
| 9 | |
| 100 | |
-gon. _____________
In the remainder of the lab, we will limit our discussion to convex polygons, so all diagonals will be on the inside of the polygon.
5. If you draw all the diagonals out of one vertex in a convex n-gon, you have divided it into triangles—how many? (Experiment with 3-, 4-, 5-gons, and so on, and generalize.) __________
6. Use the answer to the previous problem to find a formula for the sum of the angles in a convex n-gon. __________
7. Explain why this reasoning does not work for a nonconvex n-gon.
Discussion
A. What patterns do you see in the table in Problem 3?
B. Experiment with convex and nonconvex polygons and their diagonals.Write a new definition of convex polygon that uses the word diagonals.
Sum of the Angles in a Polygon
1. The sum of the interior angles of any quadrilateral is always the same. Here is an explanation of why that's true, based on dividing the quadrilateral into triangles.
a. Draw any random quadrilateral (not a square).
b. Put a point inside it, and connect it to each vertex.
c. What is the sum of all the angles in the four triangles? __________
d. How much of that sum is around the vertex at the center? __________
e. How much of that sum is the sum of the angles in the quadrilateral? _________
2. a. Use the same logic to find the sum of the angles in a 5-, 6-, 8-, and 12-gon.
b. Use the same logic to find a formula for the sum of the interior angles in an n-gon.
3. Use the figure at right, or one you create, to explain why the logic of Problems 1 and 2 does not work for all polygons.
4. Find a way to divide the polygon in Problem 3 into triangles in order to find the sum of its angles. Record this sum. _______________
5. Is your answer to Problem 4 consistent with the formula you found in Problem 2?
5-gon __________
6-gon __________
8-gon __________
12-gon __________
Discussion
A. Compare the method in Problem 1 for finding the sum of the angles in a polygon with the one in Lab 3.7. Do they yield the same formula? Do they use the same numbers of triangles?
Triangulating Polygons
Definition: To triangulate a polygon means to divide it into triangles. Triangle vertices can be vertices of the original polygon, or they can be new points, either on the inside of the polygon or on one of the sides.
For example, the hexagon above has been divided into seven triangles in two different ways, both of them using one inside vertex (A) and one side vertex (B). To triangulate a polygon, decide how many additional vertices you will use and where you will put them.Then connect vertices in any way you want, as long as the segments you draw never cross each other, and the polygon ends up divided into triangles.
Experiment with triangulating polygons. For each triangulation, enter the information in a table like the one below. Look for patterns. On a separate paper, write several paragraphs describing your findings.These questions may help you organize your research:
* How many triangles are added when you add 1 to the number of sides and keep other things constant?
* How many triangles are added when you add 1 to the number of inside vertices?
* How many triangles are added when you add 1 to the number of side vertices?
* Can you find a formula relating the number of original vertices (n
), the number of inside vertices (
i
), the number of side vertices (
s
), and the number of triangles (
t)?
The data for the triangulations above have been entered for you.
| Original vertices | Inside vertices | Side vertices | Number of triangles |
|---|---|---|---|
| 6 | 1 | 1 | 7 |
Triangulating Polygons (continued)
Discussion
A. In the example given, is it possible to get a different number of triangles by moving A to another location inside the hexagon and/or moving B to another location on one of the sides?
B. How would you define a minimal triangulation for a polygon? How might you draw it?
C. If the vertices are distributed differently, how does that affect the total number of triangles? For example, if you have a total of eight vertices, as in the example on the previous page, but with four original vertices, two inside vertices, and two side vertices, do you still have seven triangles? If not, how would you distribute the vertices to get the smallest number of triangles possible? What is that number? How would you distribute the vertices to get the greatest number of triangles possible? What is that number?
D. How is triangulation related to the sum of the angles in a polygon?
© 1999 Henri Picciotto, www.MathEducationPage.org © 1999 Henri Picciotto, www.MathEducationPage.org
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ALTERNATTIVA DEMOKRATIKA – THE GREEN PARTY
10, Triq Manwel Dimech, Sliema SLM02, MALTA.
Email firstname.lastname@example.org
Malta in breach of Directive 2001/42/EC due to the extensions to the development zones.
This paper will show how the Maltese Government has breached Directive 2001/42/EC by extending the zones which may be developed without carrying out the required assessments according to law. It will be clearly demonstrated that the way in which the government conducted the process by which more land was made available for development, violates the provisions of the said directive.
According to the Maltese Government the extension to the development zone boundaries is part of the process which was initiated in 1992 with the approval of the structure plan by parliament. This paper shall present the legal arguments showing that the way in which this process was conducted violates provisions in Directive 2001/42/EC.
The applicable EU directives and guidance documents
Directive 2001/42/EC relates to the applicability of a strategic environmental assessment. Further clarifications to the applicability of this directive are to be found in the implementation guidance document issued by the Commission and available from http://ec.europa.eu/environment/eia/030923_sea_guidance.pdf. This has clearly identified three articles in Directive 2001/42/EC which determine the applicability of the Directive to an undertaking 1 .
* Article 2 sets out the characteristics which plans and programmes (PPs) within the scope of the Directive, must have.
* Article 3 defines which of these plans and programmes are likely to have a significant impact on the environment and should consequently be subject to environmental assessment.
* Article 13 sets a temporal limit on the applicability of the Directive to PPs satisfying the criteria laid down by articles 2 and 3.
It is clear that the extensions to the development boundaries as approved by parliament on the 26 July satisfy all these three criteria and should thus have been subject to an environmental assessment. In fact the Maltese Government did not carry out such an assessment.
1. The Directive makes it clear that for an undertaking to fall within the scope of its provisions, it must either be a plan or a programme. It is essential to prove that the modifications of the development zones fall within the definition of the term plan or of the term program.
1Implementation of Directive 2001/42 on the assessment of the effects of certain plans and programmes on the environment, paragraph 3.1, page 5.
2. It is a widely accepted practice to separate the policy hierarchy into four phases: Policy, Plan, Programme and Project. Policy is usually taken to be a declaration of intentions, a plan usually outlines "how it is proposed to carry out or implement a scheme or a policy" 2 . Most Member States consider a programme to be "a plan covering a set of projects in a given area" 3 . It is evident that as far as this Directive is concerned the term project has got the same meaning as in Article 1(2) of Directive 85/337/EC: "project means: the execution of construction works or of other installations or schemes, other interventions in the natural surroundings and landscape including those involving the extraction of mineral resources".
3. The undersigned have adopted the "exclusion" approach suggested by Gao Ming Zhi (2006) 4 to classify the Structure Plan and its recent modifications. This approach entails the exclusion of the undertaking in question from classification as either one of the two extremes of the policy hierarchy (Policy and Project), which implies that the Structure Plan and its modifications should be classified as being either a Plan or a Programme. No further distinction between a Plan and a Programme is necessary since as far as the "Directive's requirements are concerned they are treated in an identical way. It is therefore neither necessary nor possible to provide a rigorous distinction between the two" 5
4. It is clear that the Structure Plan and the recent extension to the development boundaries can not be classified as a project, since a project must by definition 6 involve construction work or any other physical intervention in the natural environment This is not the scope of the Structure Plan or its extensions.
5. The Structure Plan can not be classified as Policy since it goes beyond merely stating intentions, declaring principles and indicating targets (qualitatively and quantitatively) and in fact through the various policies within the Structure Plan and also through the development boundaries, it sets out how the land is to be developed. It also lays down guidance as to the kind of development which might be appropriate or permissible in particular areas and sets out the criteria which must be taken into account in designing new development, as suggested by the Commission's Guidance Document 7 this falls well within what is considered to be a Plan.
6. One must also note that in paragraph 39 of Case-72/95 Kraaijeveld, the European Court of Justice declared that "the scope of the Directive (85/337/EEC) is wide and its purpose very broad", in view of the fact that the purposes of Directives 85/337/EEC and 2001/42/EC are related and since there are numerous conceptual similarities between the two Directives, the Commission is advising the Member States to "adopt a similar approach in considering whether an act is to be considered a plan or a programme falling within the scope of Directive 2001/42/EC." 8
2
Implementation of Directive 2001/42 on the assessment of the effects of certain plans and programmes on the environment, paragraph 3.5, page 6.
4 Gao Ming-Zhi, A. (2006) SEA Guidance: A Reinterpretation of the SEA Directive and its Application to the Energy Sector. European Environmental Law Review, pp 129 – 148.
3 Implementation of Directive 2001/42 on the assessment of the effects of certain plans and programmes on the environment, paragraph 3.5, page 6.
5 Implementation of Directive 2001/42 on the assessment of the effects of certain plans and programmes on the environment, paragraph 3.1, page 3.
7 Implementation of Directive 2001/42 on the assessment of the effects of certain plans and programmes on the environment, paragraph 3.5, page 6.
6 Article 1 (2) of Directive 85/337/EEC.
8 Implementation of Directive 2001/42 on the assessment of the effects of certain plans and programmes on the environment, paragraph 3.4, page 5.
7. The Commission explicitly includes modifications to PPs in the definition of PPs and uses land use plans as an example "The definition of plans and programmes includes modifications to them. Many plans, especially land use plans, are modified, when they eventually become outdated, rather than being prepared afresh. Such modifications are treated in the same way as plans and programmes themselves and require environmental assessment provided the criteria laid down in the Directive are met" 9 . This means that the extensions to the development zones (which are a modification of The Structure Plan) are to be treated as if they themselves were PPs. Therefore from this point onwards the extensions in question will be treated in the same way as PPs.
8. Further the Commission sees it as "logical to consider that a modification of a plan or a programme … must be subject to assessment under article 5 if the modification itself involves significant effects not yet assessed". According to Article 3(3) of Directive 2001/42/EC even minor changes are capable of significant environmental effects. In the case of the extension to the development zones more land is being placed within the development boundaries, when according to the Malta Environment and Planning Authority the supply of dwellings is such that it is capable of meeting twice the cumulative demand for housing till the 2020 10 . No studies assessing whether or not the extension to the development zones involved significant environmental effects, were carried out even though the area of land included within the new development boundaries is of 2×10 6 m 2, 11 i.e.0.6% of Malta's surface area (total area of the Maltese Islands is 3.16×10 8 m 2 ). The government has refused to subject this modification of the Structure Plan to an environmental assessment under Article 5.
9. Article 2(a) sets two formal conditions which must be met by PPs in order to be covered by the Directive:
The PPs in question must be "subject to preparation/or adoption by an authority at national … level or which are prepared by an authority for adoption, through a legislative procedure by Parliament or Government and they must be required by legislative, regulatory and administrative procedures" 12 .
10. The Structure Plan and its modification (the extensions to the development zones) satisfy both conditions. Section 18 of Chapter 356: Development Planning Act, 1992 obliges the Competent (Public) Authority to prepare a Structure Plan. The Structure Plan is described as a "written statement illustrated by diagrams as necessary and accompanied by an explanatory memorandum giving a reasoned justification for each of the policies and proposals contained in the plan" 13 . Section 18 (3B - 8) gives further insight as to how the structure plan is to be reviewed, therefore the PPs in question do arise from a specific obligation in Maltese Legislation.
11. The Structure Plan itself was compiled by the Competent (Public) Authority and approved by Parliament in July of 1992. The extensions to the development zones were compiled after Cabinet issued a memo which included the criteria, the Malta Environment
9 Implementation of Directive 2001/42 on the assessment of the effects of certain plans and programmes on the environment, paragraph 3.9, page 7.
11 Onor Stefan Buontempo's speech in Parliament, 26 July 2006.
10 Housing Topic Paper (Structure Plan for the Maltese Islands) – Final Draft, February 2002, page 120.
12 Article 2(a) of Directive 2001/42/EC of the European Parliament and of the Council of 27 June 2001 on the assessment of the effects of certain plans and programmes on the environment.
13 Section 18 of Chapter 356: Development Planning Act, 1992.
Planning Authority (MEPA) had to use in defining the development boundaries. Subsequently MEPA drew up the maps indicating the "new" development boundaries. These were then subject to a public consultation exercise, rearranged and approved by Parliament on the 26 July 2006 (the motion for the approval of these development zones was tabled on the 7 July 2006). Hence both the Structure Plan and its Modification were prepared by a public authority and approved through a legislative procedure by parliament.
12. The scope of the application of the Directive is laid down by Article 3 of 2001/42/EC. All PPs likely to have significant environmental effects are to be subject to an environment assessment. This article then classifies the classes of PPs which require an assessment either automatically (paragraph 2) or on the basis of a determination by the Member State (paragraphs 3 and 4) 14 .
13. PPs defined in paragraph 2 of article 3 are deemed by the Directive to be likely to have significant environmental effects and must as a rule be subject to an environmental assessment. It is to be noted that in this case the Member State has got absolutely no discretion to determine whether the PPs are likely to have significant environmental effects.
14. It is being submitted that the PPs in question fall under points 10b of Annex II to Directive 85/337/EEC and must therefore be subject to an environmental assessment. One must also consider that in paragraph 31 of Case C-72/95, Kraaijeveld, The European Court of Justice ruled that the points in Annex II of Directive 85/337/EEC were to be interpreted in the widest sense possible, especially if the works in question were "liable permanently to affect the composition of the soil, flora and fauna or the landscape. Such works must therefore fall under the directive" 15 . Exemptions must likewise be interpreted as restrictively as possible 16 .
15. Without prejudice to the above mentioned argument, even if the PPs in question are regarded as plans and programmes which set the framework for future development consent of projects, but are not covered by Article 39(2), then the Member State has to determine whether a plan or programme is likely to have significant environmental effects. This is to be done in conformity with the criteria established by Annex II to Directive 2001/42/EC 17 . In this case this was not done and the Government simply stated that an environmental assessment was not required.
16. In order for Directive 2001/42/EC to be applicable to the said PPs they must meet one final condition, "the first formal preparatory act is subsequent to (21 July 2004) and which are adopted or submitted to the legislative procedure more than 24 months thereafter" 18 . Since the Commissions is itself of the opinion that modifications are to be treated as plans and programmes, we are of the opinion that the first formal preparatory act of the modifications (i.e. the memo from cabinet to MEPA) must be subsequent to 21 July 2004. This memo was in fact issued in May 2006 and therefore subsequent to 21 July 2004.
14 Implementation of Directive 2001/42 on the assessment of the effects of certain plans and programmes on the environment, paragraph 3.17, page 9.
16 Paragraph 65 of Case C-435/97, WWF and Others v Autonome Provinz Bozen and Others.
15 Paragraph 32 of Case C – 72/95, Kraaijeveld.
17 Article 3(5) of Directive 2001/42/EC of the European Parliament and of the Council of 27 June 2001 on the assessment of the effects of certain plans and programmes on the environment
18 Article 13(3) of Directive 2001/42/EC of the European Parliament and of the Council of 27 June 2001 on the assessment of the effects of certain plans and programmes on the environment.
17. However without prejudice to the argument presented in 16, one is to note that if the first formal preparatory act is to be regarded as being July of 1992 (i.e. the date when the Structure Plan was approved by Parliament) then since the modifications were approved on the 26 July 2006, they are to be regarded as having been adopted after the 24 months "period of grace" envisioned by Article 13(3) of Directive 2001/42/EC, hence the obligation to submit these PPs to an environmental assessment holds in this case as well.
18. Dr Chris Ciantar Chairman to the Strategic Environment Assessment Audit Team and Director of Environment Policy and Initiatives within the Ministry of Rural Affairs and the Environment publicly justified the Government's failure to subject the extensions to the development zones to an environmental assessment by saying that "in this particular case the (planning boundary extensions) process is at a stage when it is not feasible to carry out a strategic environmental assessment" 19 . It is evident that the Directive does not give the Member State any discretion to decide at which point it is feasible to subject a plan to an environmental assessment. The only part of the directive which mentions feasibility is the second sentence of article 13(3) of Directive 2001/42/EC however Dr Ciantar's justification contrasts with the Commission's interpretation of this clause "the focus of this provision is not so much on how long before July 2004 was the starting date of the plan or programme, but on whether the planning process of relevant plans or programmes is at a stage at which a meaningful environmental assessment can be carried out." 20 . Considering that the fact that cabinet proposed this extension in May 2006 then the process definitely is at a stage at which a meaningful environmental assessment can be made.
19 Letter sent to the Chairman MEPA by Chris Ciantar on behalf of the Strategic Environmental Audit Team, 20 July 2006 and available from http://www.doi.gov.mt/EN/press_releases/2006/07/ittra%20lillMEPA.doc
20 Implementation of Directive 2001/42 on the assessment of the effects of certain plans and programmes on the environment, paragraph 3.66 page 20.
|
Limited Reserves and the Optimal Width of an
Exchange Rate Target zone by
∗
Simon Broome
Economics Department,
National University of Ireland, Maynooth,
ABSTRACT
This paper analyses the stabilising properties of an exchange rate target zone when the stock of available reserves is limited. In these circumstances it is reasonable to suppose that the optimal
bandwidth is affected by the expected lifetime of the zone. Our analysis uses Sutherland's (1995) target zone model to assess the importance of the expected lifetime in determining the optimal width of the
zone. We find that the expected lifetime tends to widen the optimal bandwidth considerably but unless the stock of initial reserves is small and/or the fundamentals drift large, the extra lifetime bought is
small in percentage terms.
Keywords: Stabilisation policy, exchange rate crises, optimal target zones
JEL Classification: F31, F33
Correspondence to:
Department of
Economics, NUI, Maynooth, Ireland. E-mail
firstname.lastname@example.org
∗
The author is grateful to Alan Sutherland for comments on an earlier draft of this paper and to research funding from the Institute for International Integration Studies, Trinity
College Dublin.
1. Introduction
A number of authors, Klein (1990), Miller & Weller (1991), Sutherland (1995) and Beetsma and Van der Ploeg (1998), have analysed the stabilising properties of target zones using versions of the original Krugman (1991) target zone model that incorporate more complex underlying models of exchange rate determination. In each case the target zone is treated as an infinitely lived structure so that the expected lifetime plays no part in the choice of bandwidth. In practice systems of managed exchange rates last for finite periods of time before being realigned or abandoned. This is especially true for countries with limited access to foreign borrowing. Therefore, if some form of managed regime is superior to a pure float, the optimal regime will be determined not just by how much stabilisation a particular regime provides, but also by how long the regime is expected to last. This argument is especially relevant to the target zone system that has the unique feature that foreign exchange interventions are required only at the edges of the zone.
Some support for omitting the lifetime from the determination of the optimal band is to be found in Dumas & Svensson (1994), who argue that for realistic parameters the expected lifetime of the Krugman model is long enough that it can be ignored when choosing the bandwidth. However, these results are based on the original Krugman target zone model in which the underlying structural form is a narrowly defined flexible price version of the monetary model. This paper examines the optimal width of a target zone when the stock of reserves is limited, the policymaker cares about stabilisation over the longer run, and when there is a richer model of exchange rate determination. The optimal band is chosen to create a zone of stability of targeted macroeconomic variables reflecting the trade-offs between the variability caused by different shocks, and the expected lifetime of the zone.
The remainder of the paper is organised as follows. Section 2 presents the exchange rate model that is used in the paper. Section 3 presents and discusses the objective function from which the optimal bandwidth is derived. This section also explains how the expected lifetime can be calculated using a fundamentals based approach to currency collapse. Section 4 contains the results.
2. A Target Zone Model
The Krugman (1991) target zone model is based upon a reduced form of the flexible price monetary model of exchange rate determination with random disturbances to money demand. The drawback of this structure is that because the real and monetary sectors are independent it is difficult to rationalise the existence of target zones or any other form of managed exchange rate regime. To overcome this Sutherland (1995) shows how the same basic equation used in Krugman (1987) can be derived from a underlying model in which the nominal and real sectors are not independent, and in which a variety of shocks cause variations in both real and nominal variables. The equations below represent a modified version of this model.
Where, y = domestic output
p = price level m = nominal money supply
i=
nominal interest rate s = nominal exchange rate
ε ω υ , , = goods supply, goods demand and velocity disturbances respectively.
All variables except iandi
∗
are in logs, and an asterix denotes a foreign variable. The foreign variables are assumed exogenous and omitted from the remainder of the paper.
Equation (1) is a surprise supply function where ε represents the disturbance term.
Equation (2) defines aggregate demand to be a function of the real exchange rate and the demand disturbance
ω
. Equation (3) is the money market equilibrium condition, where real money demand is determined by output, the nominal interest rate and a
monetary disturbanceυ
. Equation (4) is the Uncovered Interest Parity condition. The disturbance terms
ε ω ,and υ
each follow independent Brownian motion processes with constant drifts.
In addition to the variety of disturbances the model differs from the flexible price monetary structure of the Krugman model by allowing the real exchange rate to vary if
η , ∞ < and for output to respond to surprise movements in the aggregate price level if
4
0 > α . If 0 = α , ∞ = η and 0 = ε the real and monetary sectors are independent, disturbances to goods demand have no effects on prices or output and supply shocks are absent. The system of equations then simplifies to the reduced form used in the Krugman target zone model.
In the original Sutherland model the aggregate supply curve relates output to the price level rather than to surprise movements in the price level. This would be incompatible with our objective of examining optimal stabilisation policy under a finite lifetime and long run horizon. For the lifetime to matter it cannot be too long. As Dumas & Svensson (1994) show, a short lifetime very likely requires that the fundamentals driving the exchange rate exhibit substantial drifts. If the original supply function were retained in the presence of a drift, predictable movements in fundamentals including nominal variables affect output. To avoid this we use a surprise supply function. For simplicity we use continuous time implying that any deviations from equilibrium last only for an infinitesimal period of time. The impact effects of the shocks are the same as in the original Sutherland model and these determine the optimal instantaneous stabilisation policy. Our modification of the supply function ensures that predictable changes in the nominal variables do not affect output. Specifically solving (1) and (2) for the price level and output yields,
For simplicity the time subscripts are suppressed. Equations (8) and (9) show the effects of the various disturbances on prices and output. Intuitively both predictable and unpredictable movements in demand affect the aggregate price level whilst only surprise movements in demand affect output. The solution for the exchange can be found by rearranging (3) in terms of the interest rate, using (8), (9) and the UIP condition to obtain,
Where,
Next rewrite (10) in terms of the exchange rate and use that expression to eliminate the expected value of the exchange rate. Substituting back, noting that λ ψ ψ 1 7 4 = + and letting t f represent a composite fundamental yields,
By differentiating (12), simplifying, and using that for each of the shocks ( ) dt x dE x µ = , the dynamics of the unregulated part of t f can be expressed as the following composite Brownian motion process,
The drift is equal to ( ) ( ) ( ) ω ε ν µ η µ η φη µ µ 1 1 − − + = f and the variance ( ) ( ) 2 2 3 2 2 2 2 2 1 2 4 2 1 ω ε ν σ ψ σ ψ σ ψ ψ σ + + = f . The solution under a target zone can now be obtained in the standard way. This is,
Where 2 2 2 2 1 2 , f f f f σ λ σ µ µ ρ ρ + ± − = . The arbitrary constants are defined by the smooth pasting conditions. The solution is a characteristic S-curve such as depicted in figure 1.
Figure 1 here
3. The Optimal Band and the Lifetime of the Target Zone
The optimal band is chosen to minimise the variances of the potential target variables, prices, output and the nominal or real exchange rate over an infinite but discounted horizon. The long run horizon means the optimal band is influenced by the lifetime. Following Dumas & Svensson (1994) the lifetime is modelled using a 'fundamentals' based approach to currency crises. It is assumed that access to foreign borrowing is limited and implicit constraints, such as a government budget deficit, prevent the exclusive focus of monetary policy on the defence of the zone. This means the expected lifetime is finite, and since narrowing the zone increases the frequency of interventions, the lifetime is shorter the narrower the zone. Although there are a variety of possibilities we assume the post abandonment regime is a pure float that is expected to be permanent 1 . In deciding whether or not to narrow the zone any reduction in the variances of the target variables over the expected lifetime, are measured against the expected discounted increase in the variances caused by the earlier transition to the floating regime. The problem of choosing the optimal band is equivalent to choosing the optimal expected abandonment time. The objective function is,
Where π π π s p , , y are the preferences of the policy maker towards exchange rate, price and output stability. The variances of the exchange rate, price level and output under the target zone regime are represented by 2 2 2 , , y p s σ σ σ , whilst 2 2 2 , , yf pf sf σ σ σ are the corresponding variances under a free float regime. The rate of time preference is δ and T represents the date of abandonment of the target zone.
1 A more stable post abandonment regime reduces the gains from having a target zone and so reduces the importance of the lifetime. However, as in Krugman & Miller (1993), one could equally argue that the post abandonment regime exhibits excess volatility due to speculative behaviour not present in the target zone regime.
The non-linearity of the S-curve complicates the calculation of the variances in the target zone regime. For a fixed bandwidth the distribution of the fundamental and the exchange rate are determined by the relative sizes of the drift and variance of the composite fundamental, and by the length of time for which the zone is expected to last 2 . Instead we use the following simple approximation to the expected average relationship between the exchange rate and fundamental using the slope of the secant line between the limits on the exchange rate and the limits on the fundamental. Since a b − increases as f µ increases this approximation has the correct feature that a larger drift reduces the expected variance of the exchange rate for a given lifetime. If the drift is small and the lifetime short the approximation understates the average within band variance of the exchange rate. The estimated gap between within the free float and within band variability is overestimated and our results overstate the importance of the zone and the lifetime. Conversely if f µ is not small and/or the lifetime not short our results understate the importance of the lifetime. For the short lifetimes in which we are interested this the essential features of the density function.
The lifetime is calculated by assuming domestic credit is fixed by an unspecified internal objective and there exists a known critical lower level of the money supply and reserves at which a speculative attack is triggered. In logs the critical lower level of reserves is p r = . If the zone is defended using only marginal interventions the limits on the exchange rate coincide with the limits on the fundamental. It follows
2 If the lifetime is infinite, the asymptotic density is independent of time and relatively easy to calculate. It is not appropriate here because we are interested in cases where the lifetime is far from infinite. Although it is possible to numerically calculate the time contingent density function this is beyond the scope of the paper.
that since reserves only fall at the upper limit of the exchange rate , s or equivalently at the upper limit of the fundamental b g = , the target zone collapses on the first occasion that b g = and r p = . Similarly letting r q = denote a critically high stock of reserves means the date of abandonment is the first occasion that reserves equal q r = and the fundamental reaches . a g = The regulated dynamics of the fundamental are,
The last term in (16) represents surprise movements in the money supply and these do not influence the expected lifetime, which depends only on the initial reserve stock and expected changes in money supply. The latter are determined by the parameters of the composite disturbance terms and the S - curve. This means the expected lifetime is equivalent to the first passage time of the Brownian motion m f − to the limits associated with the abandonment of the target zone. Specifically the target zone survives as long as the unregulated fundamental lies within the interval, p b m f q a − ≤ − ≤ − , but the zone is abandoned on the first occasion that the unregulated fundamental reaches the lower (upper) limit. The expected lifetime can be computed following Karatzas and Shreve (1988, p.99) as,
Where 2 2 f f σ µ θ = . Given the initial reserve stock the key determinant of the expected lifetime is the size of drift of the composite fundamental. This is determined by the assumed size of the underlying drifts and the structure of the model. The drift is much more important than the variance of the composite fundamental because Brownian motion shocks force the exchange rate in either direction, so that the probability of losing reserves is largely offset by that of gaining reserves. A drift pushes the exchange rate in a particular direction and has a much more significant effect on the lifetime.
4. Results
Our main interest is in the channel from the lifetime to bandwidth. However, because the importance of the lifetime depends upon how long the lifetime is, and on the bandwidth that would be chosen if the lifetime were infinite, we separate the results into three subsections. Subsection 4a is an overview of the instantaneous stabilising properties of the band. Subsection 4b discusses the main determinants of the lifetime. Subsection 4c examines the relationship between the expected lifetime and the optimal band.
4a. The optimal band with an infinite lifetime
With an infinite lifetime the optimal band is chosen to minimise some combination of the variances of the price level and output. In figure 2 we plot the variance of output and the contribution of each individual shock against the width of the target zone without considering the lifetime. The parameter values are, ,3 = λ ,5. = η ,5. = α ,1 = φ ,0 = = = ω ε µ µ µ v , 05 . = v σ , 05 . = ε σ , 05 . = ω σ giving . 0002 .0 2 ≈ f σ
Figure 2 here
The solid line represents the total variance of output whilst the dashed lines show the contribution of the individual shocks to this total. Widening the band increases the amount of output variability caused by the velocity shock but reduces the amount caused by the demand shock. The supply shock has opposing effects on prices and output, causing its effect on money demand and the nominal exchange rate to be ambiguous. In this example the exchange rate depreciates and widening the band increases the amount of output variability attributable to the supply shock. As in Sutherland (1995), in comparison with a fixed or floating regime a target zone reduces the overall variance of output when a variety of shocks are present. The bandwidth that minimises the variance of output is approximately % log 5 ± .
With respect to velocity or goods demand shocks the variance of the price level is a multiple of the variance of output. Thus whatever the target, the optimal band is narrower the larger is the ratio of velocity to good demand shocks. It also means that in the absence of supply shocks, the optimal band is not affected by the relative weights given to output or price stabilisation 3 . If the exchange rate depreciates (appreciates) in response to supply shocks, the optimal band is narrower (wider) for an output target than for a price target whenever supply shocks are present. The exchange rate depreciates if 1 < φη and appreciates if 1 > φη . Table 1 summarises the changes in the bandwidth that are required to minimise the variability of the price level or output in response to the individual shocks.
3 The price variability curve is higher than the output variability curve if 1 < α and vice versa. If equal weight is given to price as to output stability and supply shocks are included, the higher the curve the greater its influence on the optimal band.
Table 1: The Optimal Bandwidth and the Individual Shocks
| Shock type | Change in band to stabilise the price level |
|---|---|
| Money demand | Narrow |
| Goods demand | Widen |
| Supply & φη<1 | Widen |
Other than the bandwidth, the main determinants of the amount of price and output variability created by the individual shocks are the slopes of the aggregate supply and goods demand curves. The slope of the goods demand curve is determined by the elasticity of aggregate demand to the real exchange rate, η . We refer to this loosely as the degree of openness. If the fraction of tradables in domestic output is high and if domestic goods have close substitutes, aggregate demand is sensitive to variations in the real exchange rate and the goods demand curve is relatively flat. In the limit goods are homogenous, purchasing power parity holds and the demand curve for goods is horizontal. In this case shocks to goods demand have no effect on the price level, nominal and real exchange rates or output. Conversely, if η is low goods demand shocks are an important source of price and/or output variability. The slope of the aggregate supply curve is determined by the elasticity of supply to unexpected increases in the price level, α . As α increases the supply curve flattens out, and demand shocks have a smaller (larger) effect on the price level (output), whilst supply shocks have a smaller effect on both output and the price level.
To illustrate theses effects figure 3 plots the optimal band for separate price level (shaded line) and output targets (unbroken line) against the slope of the supply curve assuming that 3 1 = η . Figure 4 performs the same operation for 3 = η .
Figure 3 here
With 3 1 = η the slope of the goods demand curve is -3. A combination of relatively steep goods demand and supply curves produces very different optimal bands for the price and output targets. There are two reasons for this. Firstly with 3 1 = η real shocks create a lot of systemic variability. However, the steep aggregate supply curve means that most of the variability emanating from the demand side is concentrated on the price level rather than output, and thus the optimal band for output stability depends mainly on the supply shocks. Since 3 1 = η the exchange rate depreciates in response to a supply shock and output variability is reduced by having a narrower zone, whilst price level variability is reduced by a wider zone. Consequently, the optimal band for output stability is narrow whilst the optimal band for price level stability is wide. For example if 2. = α , the optimal band for output stability is 024 . ± log % whilst the optimal band for the price level target is a free float regime. Increasing α means that supply shocks become less important whilst demand shocks create more output variability but less price variability. The optimal band for the output target first widens and then narrows. Thus initially the dominant effect of increasing α is the reduction in the contribution of supply shocks, but as this becomes small enough, the dominant effect is on velocity shocks and the optimal band starts to narrow. For α large enough the supply shocks become irrelevant, and the optimal band is identical for the price level and output targets. In both cases with 3 1 = η and given the assumed distribution of shocks, the optimal band is % log 5. 12 ± ≈ .
Figure 4
With 3 = η the slope of the demand curve is 3 1 − and goods demand shocks are almost irrelevant. As before, if the aggregate supply curve is steep supply shocks are the dominant source of output variability. Since the exchange rate now appreciates to supply shocks the optimal band for output stability is wide, for 2. = α the optimal regime is a free float. In the case of the price level the optimal band is very narrow, both because stabilisation in response to a supply shock calls for a narrower zone, and because goods demand shocks are unimportant. Thus in terms of price stability the optimal band is a fixed exchange rate and this is true for all values of α . As the aggregate supply curve flattens out the supply shock becomes less important, and the optimal band for output narrows. In the limit real shocks do not affect output and the optimal regime is a fixed rate for both price and output stability. An overview of the relationship between the slopes of the supply and goods demand curves and the optimal band is given in table 2. This table refers to the values just discussed and assumes that the variances of the shocks are identical.
Table 2. Goods supply and demand curves and the optimal bandwidth
| α,η | Price | Output |
|---|---|---|
| High, high | Very narrow | Very narrow |
| High, low | Wide | Wide |
| Low, high | Very narrow | Wide |
| Low, low | Wide | Narrow |
Ignoring the lifetime the optimal band is determined by the distribution of the shocks, the slopes of the aggregate demand and supply curves and the chosen target in the manner outlined by tables 1 & 2.
4b. The lifetime
As previously outlined, given the assumed log excess of reserves the main determinant of the lifetime is the size of the composite drift. If (as in this paper) the drift of the composite fundamental is significantly larger than is the variance, then starting from the mid-point of the band on m f − the probability of abandonment in the opposite direction to the drift is close to zero. The lifetime with no critically high level of reserves is then virtually identical to the lifetime with both high and low critical levels of reserves. With no critically high stock of reserves the mean lifetime is equal to ( ) ( ) ( ) [ ] f p q a b r f T E µ 2 , − + − = . The first term is the time bought by the bandwidth, whilst the second term represents the time bought by the excess reserve stock or alternatively, the lifetime of a fixed rate. Substituting for f µ and separating the underlying sources of the drift yields,
This formula reveals a number of useful results. Firstly, with a pure velocity drift (the first term in square brackets) none of the structural parameters of the model affect the lifetime of the fixed rate. This is because a disturbance originating in the money market is offset by the equal and opposite change in reserves. Under a fixed rate a drift of 10% per year will cause reserves to fall at the same rate. If the initial log excess of reserves is % 100 above the critical minimum, the lifetime of the fixed rate is 10 years. Thus unless the band is very wide, the extra lifetime time bought by the bandwidth is likely to be quite small when compared to the lifetime of a fixed rate. It follows that for the lifetime to significantly alter the bandwidth the underlying drift must be reasonably large, and/or the initial log excess of reserves reasonably small.
Secondly the lifetime that corresponds to disturbances originating in the goods market does depend on the values of the structural parameters and consequently the source of the drift is important. In particular with real drifts the lifetime is strongly influenced by the openness parameter η . Openness matters because it determines the amount of exchange rate pressure caused by a real shock. For example under a floating regime, a negative goods demand disturbance causes an exchange rate depreciation that offsets the original disturbance. The size of the depreciation depends upon how sensitive aggregate demand is to the real exchange and this depends upon how open the economy is. Paralleling the discussion of demand shocks, the lower is the degree of openness the larger is the required depreciation. Under a target zone the more specialised is the domestic economy, the greater the frequency of interventions and the earlier the collapse time. The case of a supply drift is more complex but the same general conclusion applies. If the elasticity of aggregate demand is not high, the lifetime will be less in the case of a supply (real) drift than in the case of a velocity drift.
Thirdly (25) also shows that the distribution of the shocks and the slope of the aggregate supply curve do not affect the expected lifetime in an important way. As outlined previously pure Brownian motion shocks tend to cancel one another out and so have a very limited effect on the lifetime. Since the slope of the aggregate supply curve relates surprise movements in the price level to output and the drifts are predictable, the slope of aggregate supply curve does not affect the size of the composite drift and so has only a minimal effect on the lifetime.
4c. The lifetime and the optimal band
From 3a we know when the optimal band will be narrow ignoring the lifetime, and from 3b we know when the lifetime of a given bandwidth will be short. In this section we combine these results to assess the influence of the lifetime on the optimal band. Throughout, the optimal band is chosen to stabilise output alone. In addition to the parameter values used for figure 2 we set the rate of time discount equal to 5% per year 05 . = δ , and the initial log excess of reserves equal to, ( ) ( ) % log 100 2 200 0 2 = + = + = q p r .
Our first example examines how the size of the fundamental drift affects the optimal band through the lifetime. Increasing the size of the drift alters the position and shape of the S-curve and this changes the instantaneous stabilising properties of the zone. Consequently the optimal band changes irrespectively of any effect via the lifetime 4 . To isolate the effect of the lifetime we also plot the optimal band under an infinite rate of time discount. In the latter case the optimal band is chosen without regard to the
4 This is easily understood by considering the drift-less case in which the fundamental is uniformly distributed between symmetric upper and lower limits. The asymptotic variance of the exchange rate would be most heavily weighted towards the steepest part of the S-curve at the very centre of the target zone. Adding a positive velocity drift shifts the S-curve upward and the asymptotic variance becomes more heavily weighted toward a flatter part of the S-curve. Given that the average variance (of the exchange rate) is now lower the previous optimal band would be too narrow. Thus adding a drift widens the optimal band even if its effect on the lifetime were minimal.
lifetime so that the gap between the two bands represents the widening that is caused by the finite lifetime. Specifically figure 5 plots the optimal band under 05 . = δ and under ∞ → δ against the size of a velocity drift whilst figure 6 plots the corresponding lifetimes.
Figures 5 & 6
The solid line represents the optimal band under the 5% yearly discount rate whilst the dashed line is the optimal band under the infinite rate of time discount. We refer to the optimal band under the 5% rate of time discount as the long horizon band. If the drift of fundamentals is close or equal to zero, the expected lifetime of the target zone is sufficiently long that the long horizon band and infinitely discounted band are close to one another. For example with a velocity drift of 1% per year the infinitely discounted band is 6. 10 ± log % and the expected lifetime is 82.7 years, whilst the long horizon band is 9. 11 ± log % and the lifetime is 84.5 years. Increasing the drift size widens both bands and the gap between them also widens. A drift of 10% per year results in a long horizon band of 5. 20 ± log %, whilst the infinitely discounted band is 13 ± log %. Percentage-wise including the lifetime as a decision variable widens the bandwidth by 12% when there is a 1% per year annual drift in velocity, and by 58% for a 10% annual drift in velocity. The pure effect of adding a drift is also quite strong. For example, a 10% annual velocity drift widens the infinitely discounted band by 24% from 5. 10 ± log % to 13 ± log %.
Figure 6 shows that the lifetime falls as the size of the velocity shocks is increased, and that whilst the lifetime significantly alters the optimal bandwidth the reverse is not true. Even for an annual velocity shock equal to 10% per year the lifetime for the long horizon band at 13.9 years is only 7% more than the 13 years under the infinitely discounted band. This is not particularly significant in either percentage or absolute terms. It is also clear that the expected lifetime in this case is quite long even for quite large monetary drifts. This is not surprising, as outlined in 3b, if the drift were purely monetary then regardless of the slopes of aggregate demand or supply curves, a 100% log excess of reserves and 10% annual drift result in the somewhat long lifetime of 10 years for a fixed exchange rate. Consequently it is unlikely that variations in the bandwidth have a significant effect on the lifetime in percentage terms. Moreover, since the variations in the band are large only when the drift is large this limits the extra lifetime bought in absolute terms.
Although widening the bandwidth increases the lifetime by a seemingly small amount the lifetime significantly influences the optimal band for the following reason. Since the lifetime is not short and the drift is quite large, the average within band variance of the exchange rate is low even for quite wide bands. This means the expected reduction in the within band variance caused by widening the band is small, making it worthwhile to widen the band significantly even though the extra lifetime gained is also small. This is not a product of the approximation. A combination of a moderate drift and a long lifetime mean that on average the exchange rate is very close to the limit of the zone in the direction of the drift, even for a very wide target zone. An alternative way of saying this is to note that even for wide bands, the gap between the free float variance and average within band variance is large, and what matters is not so much the width of the zone but the survival time.
From sections 3a and 3b we know that if the drift is purely monetary, variations in the structural parameters have only a limited effect on the importance of the lifetime via the effect on the incentive to choose a narrow band. With real drifts the structural parameters directly affect the lifetime, and thus affect the importance of the lifetime more significantly. To illustrate this figures 7 & 8 plot the optimal band and lifetime against the degree of openness, assuming a goods demand drift of 10% per year.
Figures 7 & 8 here
The general patterns of these figures reflect how the degree of openness alters the importance of the individual shocks and the lifetime. With a low degree of openness disturbances to goods demand have very significant effects. This causes the long horizon optimal band to be significantly wider than the already wide infinitely discounted optimal band. For example, at 2. = η the long horizon band is % log 250 ± and the infinitely discounted band is % log 78 ± , whilst the lifetime is 8.7 and 5 years respectively. As η increases the goods demand shock become less significant and both bands narrow. Since the goods demand drift also becomes less significant the lifetime increases and the long horizon band and infinitely discounted bands tend to one another. At the benchmark value of 5. = η the long horizon band is % log 45 ± which is 136% wider than the infinitely discounted band of % log 19 ± . This increases the lifetime by 22% from 7.2 to 8.8 years. As η increases beyond 1 = φη the optimal response to a supply shock changes from narrowing to widening the zone. Given that increasing η also increases the importance of supply shocks relative to velocity shocks the long horizon band starts to widen. At 2 = η the long horizon band is % log 71 ± and the infinitely discounted band % log 64 ± . The lifetime in this case is very long both because the infinitely discounted band is wide, and because exchange rate variations are highly effective at offsetting the drift in goods demand. If price stability were to be targeted the infinitely discounted optimal band would be wider for 1 < φη but narrower for 1 > φη , reflecting the differential effects of supply shocks on prices and output. Consequently the incentive to choose a narrow zone would be reduced when the lifetime is low, but increased when the lifetime is high, as compared to the case of the output target.
The results depend crucially upon the assumed log excess of initial reserves. The effects of changing this log excess are plotted in figures 9 & 10. The parameter values are as for figure 5 but assume a 10% annual velocity drift. We also report the values for a 10% drift in goods demand.
Figures 9 & 10 here
With zero excess reserves the infinitely discounted band is % log 13 ± and the long horizon band is % log 83 ± . The corresponding values for the lifetime are 2.9 and 10.5 years. With a 50% log excess of reserves the long horizon band at % log 31 ± is 138% wider than the infinitely discounted band and this increases the lifetime by 26%, from 8 to 10.1 years. If the underlying drift were to goods demand the lifetime is more important. For example a 50% log excess of reserves produces a long horizon band of 71 ± log % that is 284% wider than the infinitely discounted band of 19 ± log %, and this increases the lifetime by 66% from 4.7 years to 7.8 years. In the case of goods demand drift even with an excess of log reserves equal to 250 ± log % the lifetime still widens the bandwidth by 36% from 19 ± log % to 26 ± log % even though the lifetime itself increases by just 2.7% from 14.7 to 15.1 years.
It is noticeable that for a very small log excess of reserves, increasing the reserve stock causes the long horizon band to narrow so much that the lifetime actually falls. This is due to non-linearity of the S-curve. The optimal band balances the gain from tightening the band, the difference between within band and free float volatility, against the reduction in the lifetime. Narrowing the band flattens the S-curve and this both increases the gain from tightening the zone, and reduces the loss in lifetime that occurs from a further tightening. If this improvement in the trade off is large enough in terms of a lower variance of the target variable (output) it becomes worthwhile to sacrifice lifetime in exchange for the increased stability on offer. When the initial zone is very wide this improvement in the trade off is quite large but it falls as the band narrows so that in general adding reserves leads to a narrower zone and a higher lifetime.
Thus far the results suggest that unless the drift in fundamentals is small the lifetime will have a significant effect on the optimal bandwidth in both absolute and percentage terms. The reverse is not true unless there is a real drift and a low elasticity of aggregate demand to the real exchange rate, and/or the initial log excess of reserves is much less than the 100% we have used as the benchmark example.
One way of estimating the choosing the initial log excess of reserves would be to consider the realism of the estimated lifetime of the fixed rate. The lifetime of the fixed rate depends on just two parameters, the initial log excess of reserves and the size of the composite drift. The latter is determined by the size of the underlying drift and in the case of real drifts, the degree of openness. Our basic parameterisation assumes an initial reserve stock 2.7 times the size of the speculative attack that destroys the zone and a 10% annual drift. With 5. = η this gives a lifetime for a fixed rate of 10 years for the monetary drift, and 5 years for the drift in goods demand. An underlying drift of 10% implies that 10 = f µ % per year for the monetary drift and 20 = f µ % per year for the goods demand drift. Since f µ measures the average annual exchange rate depreciation under a pure free float, for those countries subject to periodic crises these values are plausible. The amount of initial excess reserves depends upon the access to foreign borrowing and the political commitment to the target zone regime. This makes the appropriate initial excess of reserves more difficult to assess. An alternative way to choose the initial excess reserves would be to contrast the calculated lifetime with the study by Klein & Marion (1997) of 61 exchange rate pegs in Latin American countries in which the average peg lasted just 2.7 years 5 . Given a drift such that % 10 = f µ per year we choose the initial excess of log reserves such that the lifetime is, ( ) ( ) 3 2. , = − = = p q r f T E a b . Given a lifetime of a fixed rate equal to 3 years our final example analyses how altering the interest elasticity of money demand λ , alters the importance of the lifetime.
Figures 11 & 12 here
With λ very low the effect of the zone on the exchange rate is quite weak and both bands are very narrow. In percentage terms the long horizon band at 65 .4 log % is 49% wider than the infinitely discounted band of 3.11 log %. Since the absolute values are so small this raises the lifetime by just 5% from 3.65 to 3.85 years. Increasing λ widens both bands and the gap between the two grows. Since the old bandwidth was optimally chosen and increasing λ leads to greater exchange rate stability, the old band is now too tight so that the infinitely discounted band widens as λ increases. The long horizon band widens more than proportionately indicating that
5 The standard deviation was 49 months and the median duration just 10 months. That is a lot of pegs collapsed within the first year whilst a significant number of pegs, having gained some credibility survived for considerably longer than 32 months.
the lifetime is having a bigger influence the larger is λ . The reason that the lifetime matters more is that the amount of stability offered by the zone increases, and this makes it more important that it survives. Consequently the lifetime has a bigger influence on the optimal band the larger is the value of λ . An interest elasticity of money demand equal to 20% produces a long horizon band of 29 ± log % that is 190% wider than the infinitely discounted band of 10 ± log %. In terms of the lifetime the big variations in the bandwidth do increase the lifetime significantly if the interest elasticity of money demand is not low. For example, if % 20 = λ the lifetime under the long horizon band at 7.42 years is 40% more than the 5.3 years under the infinitely discounted band. At % 30 = λ these values are 9.4 years, 56%, and 6 years respectively. In this case in which we set the lifetime of the fixed rate equal to 3 years, including the lifetime in the determination of the optimal band causes variations in the bandwidth that are large enough to buy significant amounts of extra lifetime in absolute and percentage terms.
The results depend upon the approximation to the within band variance of the target zone and the assumed rate of time discount. The latter affects our results in an obvious way. Increasing the rate of time discount causes the long horizon band to converge to the infinitely discounted band and the expected lifetime to fall accordingly. The within band approximation almost certainly causes our results to understate the importance of the lifetime. As outlined previously the larger the drift and the longer the lifetime, the lower is the average variance of the exchange rate and the less it responds to changes in the bandwidth. Since the lifetime is only really low when the drift is very large the exchange rate must on average be close to the bands edges and the average within band variance would be lower than implied by our approximation. What matters in this case is not so much how wide the band is but rather that the band survives.
Conclusions
Several papers analyse the optimality of an exchange rate target zone assuming the zone to be infinitely lived. In this paper the stock of available reserves is limited and we examine the expected lifetime, and the extent to which it influences the optimal band. Our results show, following Dumas & Svensson (1994), that in the absence of a drift in fundamentals the lifetime of a target zone is extremely long and not a significant determinant of the optimal band. However, if the drift is at least moderate the expected lifetime significantly widens the optimal band, even if the amount of extra lifetime bought is a small fraction of the total lifetime. The reason is that with a combination of a long lifetime and moderate drift, widening the bandwidth has very little effect on the instantaneous stabilising properties of the target zone, and what matters is that the zone survives. Even though the lifetime tends to widen the bandwidth significantly, the amount of extra lifetime bought is not large in absolute terms, and for countries with good access to foreign borrowing the extra lifetime bought is small in percentage terms. The extra lifetime bought is much more significant in percentage terms when there is a large real drift and a low degree of openness, and/or if access to foreign borrowing is more limited. In particular if the initial reserve stock is chosen to match the lifetime of a fixed rate for countries subject to frequent crises, the extra lifetime bought is a very significant fraction of the total lifetime. Finally it should be reiterated that stabilisation without intervention, and hence the extra lifetime is the unique feature of the target zone.
References
Beetsma, R.M.W.J. and F. van der Ploeg (1998). Macroeconomic stabilisation and intervention policy under an exchange rate band. Journal of International Money and Finance 17: 339-353.
Broome, S.J. (2001). The lifetime of a unilateral target zone: some extended results. Journal of International Money and Finance 20: 419-438
Cox, D.R. and H.D. Miller (1965). The Theory of Stochastic Processes. Chapman and Hall, London.
Dumas, B. and L.E.O. Svensson (1994). How long do unilateral target zones last? Journal of International Economics 36, 467-481.
Karatzas, I., and S.E. Shreve (1998). Brownian Motion and Stochastic Calculus. Springer Verlag, New York.
Klein, M.W. (1990). Playing with the Band: Dynamic effects of target zones in an open economy.
International Economic Review, 31: 757-72
Klein, M.W., and N.P. Marion (1997). Explaining the duration of exchange rate pegs. Journal of Development Economics 54: 387-404.
Krugman, P. (1991). Target zones and exchange rate dynamics. Quarterly Journal of Economics 106 669-682.
:
Krugman, P. (1979). A model of balance of payments crises. Journal of Money, Credit and Banking 11, 311-325.
Krugman, P., and M. Miller (1993). Why have a target zone? Carnegie-Rochester series on Public Policy, 35, 67-78.
Miller, M., and P Weller (1991). Exchange rate bands with price inertia. Economic Journal 101, 13801399.
Poole, W. (1970). Optimal choice of monetary policy instruments in a simple stochastic macro model, Quarterly Journal of Economics 84, 197-216.
Sutherland, A. (1995). Monetary and real shocks and the optimal target zone, European Economic Review 39, 161-172.
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Fastpitch Softball Parent Information 2018 Season
AGENDA
Introduction of Becker Blast Softball Association (BBSA) Board
Fundraising
Communications
League Information Overview
Overview by Level
Equipment Requirements
Evaluation Expectations
Tournament Expectations
Behavior Expectations
Upcoming Events
Misc.
Registration Fee Breakdown
Area Registration Comparison
Questions
INTRODUCTIONS- BBSA
BBSA Board
President - Lee Croal
Vice President/8U Coordinator – Tim Kuklok
Secretary – Erin Hunter
Treasurer – Shaylene Otteson
Volunteer Coordinator – Danny Enerson
Tournament Coordinator – Todd Engeldinger
Concession Manager – Michelle and Jay Bartlett
Communications Coordinator – Jennie Cook
Equipment Manager – Eric Sherman
Advisor to the Board – Jason Baune
Fundraising
Adrenaline Fundraising is the Blast partner
Dates for this years fundraiser
Kickoff Tuesday March 6th - Becker fieldhouse
1 st Check-In Tuesday March13th – Email from the Becker Blast
Final day turn in Tuesday March 20th – Becker fieldhouse lobby
Prizes for selling 10 cards, 20 cards & the most cards. The age group that sells the most cards will be given a pizza party hosted by the Becker Blast Board
What does fundraising do for us?
Replace Dugouts and other field improvements.
Off-set uniform costs and allows us to keep registration fees low.
Helps to pay for various training clinics.
Helps replace aging equipment and/or buy new equipment.
Replace and add scoreboards for main complex fields.
Fundraising at this time is optional, but we highly encourage every player to participate
Additional fundraising – Teams are allowed to do their own fundraising once the season starts to raise funds for additional tournaments or for other tournament expenses
COMMUNICATIONS
BBSA softball sends emails that will target the association as a whole or specific groups of players (i.e. pitchers, catchers, specific age levels, etc) primarily using the email@example.com Gmail account.
Periodically we will send these communications through the Becker Schools Community Education email accounts.
Coaches and/or Team managers will email teams directly with info on practices, games & tournaments using their own personal email accounts.
League Information
We are starting the second year of playing in the Big West League under Minnesota Softball.
See the Minnesota Softball and Big West Links for more info.
http://fastpitch.mnsoftball.com
http://fastpitch.mnsoftball.com/bigwest
Uniforms
8U Uniforms - Jersey and shorts are included in the registration fee.
10U thru 14U Uniforms - In 2018 all players are required to purchase a new uniform. In subsequent years jersey and/or pants will be purchased separately as needed.
New players to the BBSA will be assigned a number from the board. This will be their number while playing in BBSA Softball.
Numbers are assigned so that there is not a chance for duplicate number in the age groups. This will also allow for previous years uniform to be reused as backups multiple years, provided they fit and are in good condition.
16U/18U - In 2018 all players are required to purchase a new uniform. In subsequent years jersey and/or pants will be purchased separately as needed.
OVERVIEW BY LEVEL
8U:
Play league games with teams from surrounding communities (Big Lake, Monticello, Zimmerman, Princeton, Elk River and others).
Games will be on Mondays and Wednesdays starting in mid May and go thru mid June.
10U, 12U and 14U:
Registration numbers determine how many teams will be formed at each age group.
We will play in the Big West League and play level will be determined after evaluations.
Practices will start in early April as long as field conditions are good and weather permitting. Games will start week of May 1st (10U and 12U) Week of May 22nd (14U) and end July 6th – 8th (10U and 12U) July 21st – 22nd.
OVERVIEW BY LEVEL
16U/18U:
Teams will be registered in appropriate league for their level of play.
Registration numbers will determine number of teams at each level.
Games will start Week of June 4th and end July 21st – 22nd.
More information to come as we develop this level.
PLAY UP POLICY
The Softball board reserves the right to move any player up to the next level to cover any specialized needs in accordance with program objectives.
Requests from a player to play-up to the next level will be marked on registration form. If not marked there then an email must be sent to the BBSA @ firstname.lastname@example.org.
Request must be received 7 days before the evaluation date.
Player must attend the evaluation with her current age level. In addition, the player must also attend the evaluation with the next age level.
The player must place in the top 33% of the next age level in order to qualify to play up.
It is our goal to have players playing in their age group.
An 8U player is eligible to move up a level if they try out at the 10U level and score in the top 50% at that level. A player that is completing the 3rd grade has the option of playing at the 10U level.
EQUIPMENT REQUIREMENTS
Girls MUST provide their own helmets
Helmets must have a facemask
Chin straps are optional
Gloves are needed
Optional equipment: (not required)
Bat
Fielding face mask (Highly Recommended)
Cleats (14U and up metal cleats are allowed)
EVALUATIONS 10U thru 14U
Evaluations are on Tuesday March 6th, 6-9PM at the Becker High School Fieldhouse.
Evaluation forms are posted on the Becker Blast website.
Outside evaluators will be brought in. No Becker Blast coaches will be involved with scoring any of the girls.
Hitting, fielding (grounders and pop ups), throwing, and pitching (if applicable) will be evaluated.
Bring bat, helmet, glove and water. Extra bats will be available for use if needed.
8U - no evaluations are needed unless they are trying up to 10U.
14U – 6:00PM, 12U – 7:00PM and 10U – 8:00PM. Please arrive early to get your evaluation number and be ready to go when it is your time. If you are trying to play up you will need to check in and go through evaluations for each level of play.
Parents may drop off and return at scheduled pick up time. Evaluations are closed to parents.
Apparel- Majestic Creations will be onsite with apparel order forms.
It is our goal to not have to do any make-up evaluations. Please contact the BBSA at the email@example.com email to discuss.
EVALUATIONS
16U/18U:
More information to come on teams and evaluations.
Becker Blast Softball Field Location
All teams play at the Becker High School softball complex located next the Middle School.
Links to surrounding community fields can be found on the website.
TOURNAMENT EXPECTATIONS
8U:
One weekend tournament (It is up to coaches if there are more.)
One year end league tournament June 9th.
8U end of season tourney will be hosted at Becker and all our 8U teams are required to be there.
10U/12U/14U:
Two to three weekend tournaments (It is up to coaches and teams).
All teams will be entered into Becker Blast Freedom Days Tournament the weekend of June 15th to 17th
1-2 additional tournament for each team TBD
10U/12U - State Qualifier; June 23rd-25th/Locations TBD
10U/12U - State Tournament (if spot earned); July 8th–9th Locations TBD
14U - State Qualifier; July 14th-15th/Locations TBD
14U - State Tournament (if spot earned); July 21st-22nd Locations TBD
At beginning of the season the coach may ask for parent interest in registering for additional tournaments. Additional tournament entries would be at the cost of the players and coaches.
National tournaments (if earned) will be at the cost of the teams. BBSA will help cover gate fees.
TOURNAMENT EXPECTATIONS
16U/18U teams:
State Qualifier, July 14th & 16th, Locations TBD
State, if qualify, July 22nd & 23rd, Locations TBD
Nationals - team decision, team funded
National tournaments (if earned) will be at the cost of the teams. BBSA will help cover gate fees.
BEHAVIOR EXPECTATIONS
5 signs of a nightmare sports parent.
Overemphasizing sports at the expense of sportsmanship.
Keep emotions in check, particularly during the contest.
Having different goals than your child.
Have the parent and athlete create a list, vastly different lists can be a red flag.
Treating your child differently after a loss than a win.
Undermining the coach
Young athletes need a single instructional voice during games.
Living your own athletic dreams through your child
Signs of this include the parent taking credit when the child does well and when the game seems to mean more to the parent than the child.
http://www.thepostgame.com/blog/more-family-fun/201202/what-makes-nightmare-sports-parent
BEHAVIOR EXPECTATIONS
5 signs of an ideal sports parent.
Cheer for everybody on the team, not just your child.
Model appropriate behavior.
Be respectful to the Umpiring crew assigned.
Know what is suitable to discuss with a coach.
Know your role.
Be a good listener and a great encourager to your child.
CONFLICT ESCALATION POLICY
Wait 24 Hours after the game to discuss any issues.
In person or phone call is preferred over email/texting.
Allow time for any changes discussed to happen.
If needed, after discussing the issue with the coach and giving time for change, call or meet with BBSA President (contact information on website).
If unresolved, next step would be to address the full BBSA board at next BBSA meeting if applicable or a separate meeting can be arranged.
UPCOMING EVENTS
Early registration open through March 5th
After March 5th and before April 1st -$25 late fee will be applied
After April 1st - $50 late fee will be applied
Evaluations
Tuesday March 6th, 6pm-9pm
BHS Field House
Team announcements week of March 11th this will be posted on the website (Tentative)
Fundraiser turn-in March 20th
Equip checkout (practices can begin) April 8th
UPCOMING EVENTS
Gopher Game Day Saturday April 18th
Sign-up and payment info posted on website in April
Players free, adults/kids $4 with pre-sign-up and payment.
Becker High School Varsity Tournament Saturday May 5th
CALL FOR VOLUNTEERS
The success of our program depends on our volunteers. Helping with concessions, tournaments and various other needs allows us to keep our fees as low as possible.
When we do not have enough volunteers available, especially for the tournaments we host, we have to hire outside workers. In the past, the amount we pay for outside help comes very close to matching the amount of cashed volunteer checks. It is our hope that we will have more volunteers and less of a need to cash volunteer checks. In other words, we would rather have your time than your money.
DIBS sign-up will be open after evaluations on the Becker Blast website.
Volunteer opportunities include:
May 5th – Becker High School Varsity Tournament: (grilling and concessions)
During home league game nights: concessions
June 9th – Becker 8U Rookie Round-Up (field prep, checkin/information desk, grilling and concessions)
June 15th – 17th Becker Blast Freedom Days Tournament: (field prep, check-in/information desk, Skills competition grilling and concessions)
MISC
Social media- positive parent and athlete postings
Youth (13-18yrs old) umpires for games NEEDED. This is a paid position. Instructions will be provided. Contact the Becker Blast (firstname.lastname@example.org) and we will get you in touch with area organizer.
Please email us your photos to post on website and/or send into the newspaper.
Fall softball -
8u and up age groups
Starts around the 2nd week in Aug and runs through end of Sept Excluding Labor day weekend. Games are on Sundays, except the last two weekends are on Saturday.
Teams are not organized by the Blast but we will hold an informational meeting before sign-ups need to happen. We will also supply team equipment if needed.
Area Registration Comparison
| Association | Registration Fees | | | | Added Uniform | Added Fees |
|---|---|---|---|---|---|---|
| | 8U | 10U | 12U | 14U | | |
| Becker | $70.00 | $180.00 | $180.00 | $180.00 | $50 ($25 for Jersey $25 for Pants Socks free) | |
| Community A | $65.00 | $150.00 | $175.00 | $175.00 | 75 ($45 for Jersey $30 for Pants Socks Free & $6 for Belt) | Paid Coach $100 to $200 |
| Community B | $65.00 | $135.00 | $185.00 | $185.00 | Jersey $50 | |
| Community C | $90.00 | $265.00 | $265.00 | | $30 (Jersey only) | |
| Community D | $250.00 | $250.00 | $250.00 | $250.00 | $68 (10U and 12U) - $107 (14U) | Required Fundraising |
| Community E | $125.00 | $250.00 | $300.00 | $300.00 | | |
| Community F | $95.00 | $225.00 | $225.00 | | Extra Cost | |
| Community G | | $300.00 | $300.00 | | | |
| Community H | $200.00 | $309.00 | $309.00 | $309.00 | Extra Cost | |
| Community I | | $240.00 | $390.00 | $390.00 | | |
| Community J | $95.00 | $230.00 | $280.00 | $280.00 | | |
| Community K | $75.00 | $250.00 | $250.00 | $250.00 | $100 (Hats, Jersey, Pants) | $60 per player ($100 family max) mandatory Fundraising fees |
| Community L | $125.00 | $230.00 | $230.00 | $230.00 | $70 uniform cost | $50 Fundraiser fee |
2017 Registration Fee Breakdown
***** Shortage of cost per player is cover by fundraising. *****
Becker Blast Softball Apparel
Fan apparel is available year round on our website.
Becker Blast works with Majestic Creations out of Becker for our apparel. Feel free to work with them directly for custom orders.
QUESTIONS?
Or Contact Lee Croal email@example.com 320-492-8869
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International Journal of Computer Networks and Communications Security
VOL. 5, NO. 2, FEBRUARY 2017, 20–27 Available online at: www.ijcncs.org E-ISSN 2308-9830 (Online) / ISSN 2410-0595 (Print)
Case Study on Firewall Rules Analysis for CWN
MANIKRAO L DHORE 1 and RADHWAN ALDHAHERI 2
1, 2 Computer Engineering Department, Vishwakarma Institute of Technology, Savitribai Phule Pune University, Pune, India
1 firstname.lastname@example.org, 2 email@example.com
ABSTRACT
In this paper authors proposed a software based system which carry out the analysis of rules implemented in the firewall to find hidden anomalies if any as well as any address conflicts for the Campus Wide Network (CWN) of Vishwakarma Institute of Technology, Pune, India. This information can be very useful for the administrator to modify the existing policies as well as to add the new policies with fewer complexities. Institute has the CWN consisting the seven Ethernet Segments for seven major departments in the institute. The proposed system control the flow of Local Area Network (LAN) segments communication which is a part of CWN by using a method that analyzes the firewall polices or rule-set, Relational Algebra and One Way 2D Road proposed Model. It can discover all the types of anomalies in the firewall rule-set in the format that is usually used by many firewall products. The most of the existing analyzing methods consider the anomalies between any two rules and very few consider more than two rules together at the same time to discover the anomalies. In this paper we have adopted the combination of both these methods to detect the anomalies effectively. With the proposed system, it is possible to discover most of the hidden anomalies in the firewall rule-set and to reduce the size of rule set by eliminating redundant rules without changing the existing policies. This software based system is developed, implemented and tested over the CWN.
Keywords: Firewall Policies, Shadowing Anomaly, Correlation Anomaly, Generalization Anomaly, Redundancy Anomaly.
1 INTRODUCTION
Firewall is a device either hardware-based or software-based used to protect a LAN or CWN from unauthorized access to the users within as well as outside the organization as depending on the policies of organization.
For our case study we selected the CWN of our institute having 1500 plus nodes as depicted in figure 1 and figure 2 as a part of our case study. We collected the network access policies implemented for the different departments and students for the purpose of analysis in order to find out the anomalies if any.
Within all higher educational campuses the connectivity of Internet has more or less become the mandatory. As Internet connection is provided in all the classrooms and laboratories, it increases more chances of misusing the networks. Nowadays network security has become the prime concern due to cyber attacks and many other such reasons. A prime solution to apply the security is the deployment of software-based or Hardware-based firewall at the edge of Local area networks (LAN) and Campus Wide Networks (CWN). Network security policies often includes the rules intended to preserve and protect valuable ,confidential, or proprietary information from the unauthorized access or disclose, to limit or eliminate potential legal liability from employees or third parties and most important is to prevent waste or inappropriate use of organization resources.
Among these policies few of the important polices implemented for our campus are given below.
- Face book access is permitted only in common Internet Lab and restricted in classrooms and all other laboratories.
- Audio/Video downloading access is permitted only in common Internet Lab and restricted in classrooms and all other laboratories.
- Downloading of any necessary open source software more than 80 MB in size is permitted only in common Internet Lab and restricted in classrooms and all other laboratories.
- Access to open source and legal licensed software available on Institute Application Server is permitted all laboratories except the common Internet lab.
- And many more policies…
In this paper, authors presented the detection of various anomalies in the rule set of firewall and on the fly modifications in the policies with little bit human intervention of network administrator.
2 BACKGROUND
In most of the cases, network grows gradually and keeps on changing the policies for the firewall. After few years it starts having the address conflicts and incorrect sequence of rules in the rule set of firewall. This results in improper functioning of the firewall and users tend to take the advantage of it. Many researchers have worked on these issues and few of them are included as a part of literature survey which we have referred for our work. Thawatchai Chomsiri proposed a method for analyzing rule-set of firewall by using relational algebra operations and proposed a model named as raining 2D-Box model. It can detect all the types of anomalies in the firewall rule-set and also presented the theorems to eliminate and combine rules without making any major changes in the present policies [1]. Ehab Al-Shader presented an algorithm to discover the anomalies by using SET theory. Their method detects few mistakes within rule-set and cannot find all anomalies when it requires more than two rules to detect it at the same time [2]. Pasi Eronen proposed an expert system based on constraint logic programming (CLP). This system allows the user to write advance operations to discover the common configuration errors in the firewall rule-set [3]. Scott Hazelhurst proposed Binary Decision Diagrams (BDDs) to present and analyze rule-set. It can discover the entire hidden anomalies when considering more two rules together [4]. We propose the firewalls rule-set to manage the network flow, internet connection flow and application server flow by using Relational Algebra and one way 2D Road model. We proposed an alternative approach using Relational Algebra and one way 2D model for finding anomalies within the rule-set. The paper is organized as follows. Section 3 presents how to map the firewall rules-set into Relation using Cartesian product [5]. Section 4 presents how classify and define firewall policy anomalies. It extends anomaly detection if any and describes how to remove anomaly. It also tries to minimize the rule-set's size by combining some rules together. Application of the proposed method on our VIT college network is presented in each section and subsection as and when required.
3 RELATIONAL ALGEBRA FOR FIREWALL RULE-SET
More or less there is common format to specify the rules for firewall and routing policies. Mostly, it contains Rule Order, Source Address/Mask, Destination Address/Mask, Destination Port, Protocol and Action. Table 1 is the example for specifying the rules in general for the bigger size networks for firewall and routers [8].
Table 1: Format for Rule Set -I
| Rule | Source Address/Mask | Destination Address/Mask | Destination Port | Protocol | Action |
|---|---|---|---|---|---|
| 1 | 126.96.36.199/32 | 188.8.131.52/32 | <1024 | * | Deny |
| 2 | 184.108.40.206/24 | 220.127.116.11/32 | =80 | TCP | Permit |
For LAN and CWN, mostly format shown in Table is used for specifying the firewall rules.
Table 2:Format for Rule Set-II
| R | Source Address | Destination Address | Dest Port | Action |
|---|---|---|---|---|
| 1 | 18.104.22.168 | 22.214.171.124 | 23 | Deny |
| 2 | 126.96.36.199 | 188.8.131.52 | 25 | Permit |
Relational Algebra is used to specify the conditions in the firewall and it helps to classify the nature of data flow as the port numbers are unique for most of the standard Internet based applications.
It works on a relation which is subset of Cartesian product [5]. It is a procedural query language which consists ofa set of operations either over the single relation(R) or group of relations depending on the situation. Relational Algebra consists of unary and binary operations. Unary operations are SELECT, PROJECT and RENAME while UNION, INTERSECTION and DIFFERENCE are binary operations. Our implementation requires five operations SELECT, PROJECT, UNION INTERSECTION and DIFFERENCE. Working of these relational algebra operations is explained by considering two relations R1 and R2 depicted in Table 3.
Table 3: Relation R1 and R2
| Relation R1 | | | | | | | | |
|---|---|---|---|---|---|---|---|---|
| Source IP | Dest. IP | Dest. Port | Proto | Action | Source IP | Dest. IP | Dest. Port | Proto |
| 172.21.0.0 | 172.22.0.1 | 25 | TCP | Deny | 172.21.0.0 | 172.22.0.1 | 25 | TCP |
| 172.21.0.1 | 172.22.0.1 | 25 | TCP | Deny | 172.21.0.0 | 172.22.0.1 | 23 | TCP |
| 172.21.0.2 | 172.22.0.1 | 25 | TCP | Deny | 172.21.0.1 | 172.22.0.1 | 25 | TCP |
| 172.21.0.3 | 172.22.0.1 | 25 | TCP | Deny | 172.21.0.1 | 172.22.0.1 | 23 | TCP |
PROJECT operation is used to select a set of columns for given number of attributes. It returns the argument relation with certain attribute left out. Since a relation is set, any duplicate rows are R4
eliminated [5].Table 4 shows the relations R3 and after applying PROJECT operation on relations R1 and R2 for first three attributes respectively.
Table 4: Relations R3 and R4
Table 5: Relations R5, R6 and R7
| R5 | | | R6 | | | R7 | | |
|---|---|---|---|---|---|---|---|---|
| Source IP | Dest. IP | Dest Port | Source IP | Dest. IP | Dest. Port | Source IP | Dest. IP | Dest Port |
| 172.21.0.0 | 172.22.0.1 | 25 | 172.21.0.0 | 172.22.0.1 | 25 | 172.21.0.2 | 172.22.0.1 | 25 |
| 172.21.0.1 | 172.22.0.1 | 25 | 172.21.0.1 | 172.22.0.1 | 25 | 172.21.0.3 | 172.22.0.1 | 25 |
Table 5 shows the relations R5, R6, R7 for SELECT, INTERSECTION and DIFFERENCE operations respectively on relations R3 and R4 respectively.
4 RULE-SET AND TYPES OF ANOMALY
For the case study we have selected the nodes from the major departments of our institute and they are Mechanical, Chemical and Computer Engineering
Department. Table 6 shows few rules from the real set of selected 198 rules from the rule-set created for firewall configuration. For the detection of anomalies, in our case study we are considering only File Transfer Protocol (FTP) protocol which is being used by most of the faculties as well as students. FTP protocol is the protocol at application layer and uses TCP protocol from host to host layer of TCP/IP model. It runs by using two ports 20 and 21 respectively where one port is used as a control port while other one is used delicately for data transfer.
Table 6: Selected Rule-Set for Anomaly Testing
| Rule | Source Address/Mask | Destination Address/Mask | Destination Port | Protocol |
|---|---|---|---|---|
| R1 | 172.21.0.0/30 | 172.22.0.0/30 | 20-21 | TCP |
| R2 | 172.21.0.1 | 172.22.0.1 | 21-22 | TCP |
| R3 | 172.21.0.1 | 172.22.0.1 | 23-26 | TCP |
| R4 | 172.21.0.1 | 172.22.0.1 | 22-23 | TCP |
| --- | --- | --- | --- | --- |
| R6 | 172.21.0.0/30 | 172.22.0.0/30 | 20 | TCP |
| R7 | 172.21.0.7 | 172.22.0.7 | 20-25 | TCP |
| R8 | 172.21.0.7 | 172.22.0.7 | 20 | TCP |
| --- | --- | --- | --- | --- |
| R19 | 172.21.0.21 | 172.22.0.20 | 20-21 | TCP |
| R20 | 172.21.0.21 | 172.22.0.20/30 | 20-21 | TCP |
| R21 | 172.21.0.20/30 | 172.22.0.20/30 | 20-21 | TCP |
| --- | --- | --- | --- | --- |
| R27 | 172.21.0.35/30 | 172.22.0.35 | 21-22 | TCP |
| --- | --- | --- | --- | --- |
| R31 | 172.21.0.31/30 | 172.22.0.31 | 20-21 | TCP |
| R32 | 172.21.0.31/30 | 172.22.0.30/30 | 20-21 | TCP |
| --- | --- | --- | --- | --- |
| R35 | 172.21.0.35/30 | 172.22.0.35 | 20-21 | TCP |
| R36 | 172.21.0.36 | 172.22.0.0/30 | 20-21 | TCP |
| R37 | 172.21.0.35/30 | 172.22.0.34/30 | 20-21 | TCP |
| --- | --- | --- | --- | --- |
| R100 | 172.21.0.100 | 172.22.0.100 | 20-21 | TCP |
| --- | --- | --- | --- | --- |
| R150 | 172.21.0.150 | 172.22.0.151 | 20-21 | TCP |
| --- | --- | --- | --- | --- |
| R198 | 172.21.0.197 | 184.108.40.206 | 20-21 | TCP |
4.1 Shadowing Anomaly
This anomaly occurs when the one (say Rx) or more rules (say Rx and Ry ) are already matched and executed and there is a rule (Say Rz) which is the subset of either of the above rules, then Rz will never be executed [6][7]. Only solution is to check, is there any kind of anomaly like this in the given rule-set and if it is present, then remove it as no action will be happen for it. In our rule set
Rule R4 is shadowed by Rule R3 U R2. Rule R35 is shadowed by Rule R27
Figure 2 depicts the screen shot for shadowing anomaly for our case study.
We proposed One Way 2D Road model to simulate the flow of the packets and the sequence of the rule-set. We proposed the packets like cars and the check points like rule-set. This model will make easy to understand the flow of packets and the sequence of rule-set. Figure 3 depicts the
shadowing anomaly using One Way 2D Road model.
Fig. 1.Shadowing Anomaly Detection
anomaly. The part of (Ry) matches the some packets that match in the previous rule (Rx) will never be executed [6][7]. The solution is only to report such kind of anomaly to network administrator. Sometime first rule shadows the one or more further rules in sequence. In this case if next two rules are shadowed by previous rule then we can swap these two rules without changing the policy of the system. In our rule-set
Fig. 2. Shadowing Anomaly
4.2 Correlation Anomaly
This anomaly occurs when first rule matches some packets which also have match in second rule and vice-versa. These two rule having different actions but having match for few packets are called correlated rule and they creates the correlation
R4 is correlated with R3 R8 is correlated with R7 and both are shadowed
by R6, then we can swap R7 with R8.
Figure 4 depicts the screen shot for correlation anomaly for our case study. Figure 5 depicts the correlation anomaly using One Way 2D Road model.
4.3 Generalization Anomaly
happen without changing the policy of the system [6][7]. In our rule-set
This anomaly occurs when there is one rule (say Rx) is a subset of another rule (say Ry) and the action of two rules are different. In this case we can say (Ry) is generalization of (Rx). Only solution to this anomaly is to report it to network administrator. In second case if same two rules (Rx, Ry) are shadowed by previous rules then we can swap rules (Rx, Ry) and the swap of two rules will
R21 is generalization of R19
R21 is generalization of R20
Figure 6 depicts the screen shot for Generalization anomaly for our case study. Figure 7 depicts the correlation anomaly using One Way 2D Road model.
4.4 Redundancy Anomaly
This anomaly occurs when there is one rule (say Rx) are subset of another rule (say Rz) and the action of two rules are same then we say (Rx) is redundant to (Rz). The solution is removing this type of anomaly (Rx). In second case if there is one rule (say Ry) between these two rules (Rx, Rz), then we cannot remove redundant rule (Rx), if we remove then the policy of system will change [6][7]. In our rule-set
R19 is redundant to R20 R31 is redundant to R32
R35 is redundant to R37 we can't remove R35 because of there is one rule (R36) between these two rules(R35, R37) with different action.
Figure 8 depicts the screen shot for redundancy anomaly for our case study. Figure 9 depicts the redundancy on anomaly using One Way 2D Road model.
5 CONCLUSION
Authors proposed a software based system to carry out the analysis of rules implemented in the firewall to find hidden anomalies if any for the Campus Wide Network (CWN) of Vishwakarma Institute of Technology, Pune, India. This information can be very useful for the administrator to modify the existing policies as well as to add the new policies with fewer complexities. The proposed system control the flow of Local Area Network (LAN) segments communication which is a part of CWN by using a method that analyzes the firewall polices or rule-set, Relational Algebra and One Way 2D Road proposed Model. It can discover all the types of anomalies in the firewall rule-set in the format that is usually used by many firewall products. With the proposed system, it is possible to discover most of the hidden anomalies in the firewall ruleset and to reduce the size of rule set by eliminating
redundant rules without changing the existing policies.
6 REFERENCES
[1] Thawatchai Chomsiri and Chotipat Pornavalai. "Firewall rules analysis", International Conference on Security and Management (SAM06), January 2006
[2] Ehab Al-Shaer and Hazem Hamed. "Firewall Policy Advisor for anomaly Detection and Rule Editing". IEEE/IFIP Integrated Management IM'2003, March 2003.
[3] P. Eronen and J. Zitting. "An Expert System for Analyzing Firewall Rules". Proceedings of 6th Nordic Workshop onSecure IT-Systems (NordSec 2001), November 2001
[4] S. Hazelhusrt. "Algorithms for Analyzing Firewall and Router Access Lists". Technical Report TR-WitsCS-1999 Department of Computer Science, University of the Witwatersrand, July1999
[5] Abraham Silberschatz. Henry F. Korth, Sudharsan S. "Database System Concepts, 3rd Edition". Tata McGraw-Hill,1997.
[6] Chotipat Pornavalai and Thawatchai Chomsiri. "Firewall Policy Analyzing by Relational Algebra". The 2004 International Technical Conference on Circuits/Systems, Computers and Communications (ITC-CSCC 2004), JULY 2004.
[7] Chotipat Pornavalai and Thawatchai Chomsiri. "Firewall Policy Analyzing by Relational Algebra". Draft TechnicalReport, Faculty of Information Technology, King Mongkut's Institute of Technology Ladkrabang, Thailand, January2004.
[8] George Varghese, University of California, San Diego, Amsterdam, Network Algorithmic Fast Networked Devices , An Interdisciplinary Approach to Designing, 2005 by Elsevier Inc.
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(28) (Fig. 5B). Bone development was visualized in whole embryos by Alizarin Red S staining (Fig. 5C), along with hematoxylinand-eosin staining of thin sections (Fig. 5D). In control animals, extensive skeletal development was evident in the cranial and pharyngeal region at 8 dpf. No bone formation was observed in any of the TAZ-depleted embryos at 8 dpf, the latest time point we could observe before embryonic death. These findings confirm a critical role for TAZ in osteoblast differentiation in vivo. We are unable to comment on the role of TAZ in adipogenesis in these embryos, because adipocytes have not been described in teleosts (although they presumably exist), and in other vertebrate species, fat deposition does not occur until the postnatal period (23).
scriptionally up-regulate TAZ concurrently with Runx2; and (iii) TAZ-deficient zebrafish embryos are defective in bone formation. In contrast, stem cell differentiation into adipocytes requires PPARg-dependent transcriptional events that are directly inhibited by endogenous TAZ. Thus, TAZ may act as a molecular rheostat to fine-tune the balance between osteoblast and adipocyte development.
References and Notes
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5. F. Otto et al., Cell 89, 765 (1997).
One function of TAZ is as a transcriptional modifier of mesenchymal stem cell differentiation by promoting osteoblast differentiation while simultaneously impairing adipocyte differentiation, as we have shown (Fig. 5E). Differentiation of MSCs into osteoblasts is critically dependent on Runx2 (4, 5). Our findings implicate TAZ in this process: (i) TAZ functions as an endogenous coactivator of Runx2 in cells; (ii) stimuli that promote bone formation tran-
6. P. Tontonoz, E. Hu, B. M. Spiegelman, Cell 79, 1147 (1994).
7. E. D. Rosen et al., Mol. Cell 4, 611 (1999).
8. K. Nakashima, B. de Crombrugghe, Trends Genet. 19, 458 (2003).
9. E. D. Rosen, C. J. Walkey, P. Puigserver, B. M. Spiegelman, Genes Dev. 14, 1293 (2000).
10. P. Meunier, J. Aaron, C. Edouard, G. Vignon, Clin. Orthop. 80, 147 (1971).
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R. J. Byers,J. Clin. Pathol. 55, 693 (2002).
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Formation of Regulatory Patterns During Signal Propagation in a Mammalian Cellular Network
Avi Ma'ayan, 1 Sherry L. Jenkins, 1 Susana Neves, 1 Anthony Hasseldine, 1 Elizabeth Grace, 1 Benjamin Dubin-Thaler, 3 Narat J. Eungdamrong, 1 Gehzi Weng, 1 * Prahlad T. Ram, 1 . J. Jeremy Rice, 4 Aaron Kershenbaum, 4 Gustavo A. Stolovitzky, 4 Robert D. Blitzer, 1,2 Ravi Iyengar 1 -
We developed a model of 545 components (nodes) and 1259 interactions representing signaling pathways and cellular machines in the hippocampal CA1 neuron. Using graph theory methods, we analyzed ligand-induced signal flow through the system. Specification of input and output nodes allowed us to identify functional modules. Networking resulted in the emergence of regulatory motifs, such as positive and negative feedback and feedforward loops, that process information. Key regulators of plasticity were highly connected nodes required for the formation of regulatory motifs, indicating the potential importance of such motifs in determining cellular choices between homeostasis and plasticity.
A mammalian cell may be considered as a central signaling network connected to various cellular machines that are responsible for phenotypic functions (1). Cellular machines such as transcriptional, translational, motility, and secretory machinery can be represented as sets of interacting components that form functional local networks. The central signaling network that connects the various machine networks also receives and processes signals from extracellular entities such as hormones or neurotransmitters and ions. Experimental work has defined how different pathways interact to form networks and small-scale regulatory configurations such as switches ( 2 , 3 ), gates ( 4 , 5 ), feedback loops ( 6 , 7 ), and feedforward motifs ( 8 , 9 ) that decode signal duration and strength and process information. Identifying and characterizing regulatory motifs can move us from thinking about individual components to considering the functions of groups of components that act in a coordinated manner. Understanding how the functional organization of cellular systems changes in response to information flow is an important goal in systems biology. For systems containing many components, obtaining an
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20. R. Yagi, L. F. Chen, K. Shigesada, Y. Murakami, Y. Ito, EMBO J. 18, 2551 (1999).
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22. S. Gallea et al., Bone 28, 491 (2001).
23. P. Cornelius, O. A. MacDougald, M. D. Lane, Annu. Rev. Nutr. 14, 99 (1994).
24. Y. Barak et al., Mol. Cell 4, 585 (1999).
25. N. Kubota et al., Mol. Cell 4, 597 (1999).
26. Z. Wu et al., Mol. Cell 3, 151 (1999).
27. Y. Tian, T. Benjamin, unpublished observations.
28. J.-H. Hong, N. Hopkins, M.B. Yaffe, unpublished observations.
29. Assistance from H. Jo and R. Nissen in zebrafish studies and S. Bissonnette in MSC studies is gratefully acknowledged. This work was supported by NIH grants CA042063 to P.A.S., and GM60594 and GM68762 and a Burroughs-Wellcome Career Development Award to M.B.Y.
Supporting Online Material
www.sciencemag.org/cgi/content/full/309/5737/1074/ DC1
Materials and Methods
Figs. S1 to S9
References and Notes
11 February 2005; accepted 28 June 2005
10.1126/science.1110955
overview of the patterns of regulatory motifs and defining their interrelationships can provide a format for in-depth analysis of individual units using quantitative biochemical representations.
From data in the experimental literature, we constructed a system of interacting cellular components involved in phenotypic behavior and used graph theory methods (10–12) to analyze qualitative relationships between nodes (components) in a network. In signaling networks, activation is achieved as a response to a stimulus. Information propagates through the system by a series of coupled biochemical reactions to regulate components responsible for cellular phenotypic functions. Here, we identify the regulatory features that emerge during such information flow in a simplified representation of a mammalian hippocampal CA1 neuron. Such neurons are capable of plasticity as defined by their ability to undergo long-term potentiation of synaptic responses (13, 14).
We represented the CA1 neuron as a set of interacting components that make up a network of signaling pathways that connects to various
Departments of 1 Pharmacology and Biological Chemistry and 2 Psychiatry, Mount Sinai School of Medicine, New York, NY 10029, USA. 3 Department of Biological Sciences, Columbia University, New York, NY 10029, USA. 4 Functional Genomics and Systems Biology, IBM T. J. Watson Research Center, Yorktown Heights, NY 10598, USA.
*Present address: Scios Inc., 6500 Paseo Padre Parkway, Fremont, CA 94555, USA.
- To whom correspondence should be addressed. E-mail: email@example.com
. Present address: Department of Molecular Therapeutics, M. D. Anderson Cancer Center, Houston, TX 77025, USA.
VOL 309 SCIENCE
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biological subnetworks (solid lines) are compared with the expected counts (dashed lines) developed using combinatorial probabilities for positive or negative feedback loops based on the number of total positive and negative links. **, P G .05; *, P G .08; binomial test. (E) Counts of three- and four-component feedforward motifs in subnetworks with two to eight
F
FBL3
BIFAN
| | Motifs counts | |
|---|---|---|
| Motif # | CN* | SN** |
| FBL3 | 22 | 8.6 ± 8.1 |
| SCAF | 25 | 9.0 ± 3.4 |
| BIFAN | 1009 | 180.3 ± 28.0 |
| FFL4 | 301 | 103.4 ± 17.2 |
* CN- Cellular Network.
** SN- Shuffled Networks.
Mean ± SD computed for 100 shuffled networks.
FFL4
steps from Glu, NE, and BDNF. (F) An abbreviated list of the motifs found in the fully connected network using the MFinder program (19). CN, cellular network; SN, shuffled networks; SNs were used as controls. Under SN, the mean and SD are given for motifs in 100 shuffled networks. See (15) for details.
cellular machines (Fig. 1A and fig. S1) (15). A fully connected network was constructed from direct interactions with functional effects documented in the experimental literature (fig. S2). We identified various regulatory motifs in the network. Some motifs were statistically enriched (Z test) compared with motifs found in shuffled networks with similar connectivity distribution (fig. S3 and table S1). We studied signal propagation resulting from ligand occupancy of receptors by building and analyzing a series of subnetworks that originate from nodes representing ligands. This is termed pseudodyamics because it represents propagation of reactions in chemical space rather than time series. Direct interaction between any two components, termed a link, consists of one or more underlying chemical reactions. Signal propagation from node to node is organized within the chemical space in units of steps. For any given node at step n , all immediate upstream nodes are at step n –1 and all
www.sciencemag.org nodes positioned one link downstream are at step n þ 1.
We counted the number of links per step as signals propagate from ligand-receptor interactions to their downstream effectors. The analysis of the emergent subnetworks for the different ligands showed a discernible pattern. For ligands that cause rapid, transient changes, such as glutamate and glycine, which regulate the Ca 2 þ permeable N-methyl-D-aspartate (NMDA)–type glutamate receptor, early signal branching was
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extensive (that is, many links were formed in relatively few steps) (Fig. 1B). For ligands that cause permanent changes, such as FasL, which induces apoptosis, or ephrin, which alters neuronal morphology, there were fewer branches as the signal moved through the network. Between these extremes were many growth factors and ligands that bind G protein–coupled receptors (Fig. 1B). When the signal originating from any ligand had progressed through 15 steps, most of the network (nearly 1000 links) was engaged. This is a common property of large, highly connected directed graphs and in our case represents a very extensive propagation of the signal from the ligand analogous to prolonged receptor activation. For any individual ligand, the whole network was never fully affected, with a few nodes (usually other ligands) with single directed outgoing interactions not engaged. We characterized the network that emerged as signals were traced through each step from three ligands that are key regulators of plasticity in hippocampal neurons: glutamate (16), norepinephrine (NE) (17), and brain-derived neurotrophic factor (BDNF) (18). Glutamate influenced more links and nodes in early stages than did NE or BDNF, which showed similar profiles (fig. S4, A and B). The subnetwork characteristics were similar (fig. S4, C to E).
bionomial test and the combinatorial possibilities arising from the ratios of positive to negative links, it appeared that there were more than the expected number of negative feedback loops compared with positive feedback loops for glutamate at early steps (P G 0.05). This indicates that the early steps may have built-in controls to limit signal propagation. As the signal progressed to later steps, positive feedback loops tended to be more abundant than expected for all three ligands (P G 0.08). These profiles suggest that weak or short-lived signals may not penetrate into the network because of the early barrier posed by the abundance of negative feedback loops. However, as the number of steps increases and positive feedback loops appear to be more abundant, signals should persist and be able to evoke a biological response.
We analyzed the types of regulatory motifs formed as signals propagate from the ligands. A motif is a group of interacting components capable of signal processing. Motifs such as positive feedback loops promote the persistence of signals and serve as information storage devices (2), whereas negative loops limit signal propagation through the network. In counting these motifs, we used all possible configurations of loops with three and four components (Fig. 1C). In our model, glutamate activates 25 feedback loops within five steps, whereas NE and BDNF require six steps to recruit 20 feedback loops (Fig. 1C). We determined the relative abundances of negative and positive feedback loops as signal propagated from glutamate, NE, or BDNF (Fig. 1D). Using a
BDNF as the signal propagated through eight steps (fig. S5). The overall profile for any feedforward loops (positive or negative) was similar for all three ligands, although glutamate reached more feedforward loops in fewer steps. The bifan motifs were as abundant as feedforward loops and showed a similar pattern (fig. S6C).
We also counted feedforward motifs (Fig. 1E and fig. S5), scaffolds (fig. S6A-I), and bifans (fig. S7B-I). Scaffold motifs are sets of three nodes connected through three neutral links. Their presence may indicate a mechanism for local clustering and may represent the basis for spatial specification of information flow. Feedforward loops are three- or four-component motifs in which the signal splits at a source node and consolidates at a target node. Feedforward loops can be either positive or negative (15). Positive feedforward loops provide two potential functions: a redundant set of pathways for information flow and an ability to extend the duration of activation or inhibition of the affected downstream component. When feedforward loops contain inhibitory links, they may function as gates (2). Bifans are four-component motifs in which two upstream components coregulate two downstream components (Fig. 1F) (19).
For each of these motifs, glutamate required fewer steps than did NE or BDNF to engage more motifs, although by step 8, when maximal connectivity is obtained, signals from the three ligands had spread to the same number of motifs (Fig. 1E and figs. S5 and S6). There was an increasing preponderance of positive over negative feedforward motifs for glutamate, NE, and
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In the CA1 neuron, signals from receptors affect major effectors such as the AMPA receptor channel (AMPAR), which regulates excitatory postsynaptic potentials, and the transcription factor cyclic adenosine monophosphate (cAMP) response element–binding protein (CREB), which regulates transcription. We analyzed a series of subnetworks that extend from glutamate, NE, and BDNF to these two effectors (figs. S7A and S8A) by varying the number of steps needed to reach the effectors from the ligand. The number of nodes engaged per step was nearly linear for all three ligands (Fig. 2, A to C). In contrast, when such pathways were tracked in subnetworks with randomly shuffled connectivity (15), the increase in links per step was best fit by either an exponential or a power-law function, suggesting that the binary interactions within the cellular system may be specified to provide preferential routes to key effectors that define the phenotype of the cell. Analysis of these subnetworks (15) indicated that even the most highly connected nodes only used some of their links to function within the preferred paths. Looking for the shortest paths from an input node (a ligand such as NE) to an output node (an effector such as CREB) allowed us to identify functional modules defined here as a set of interactions that may carry out a specific function and act semi-independently from other functional modules. Further refinement by inclusion of spatial specification and temporal dynamics is needed to define such modules rigorously.
The counts of regulatory motifs formed within the subnetworks, as signal propagates were nearly linear for both the positive and negative motifs. For glutamate and BDNF in the subnetworks leading to CREB, the positive
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more steps upstream of the effectors CREB or AMPAR. (C and D) Changes in clustering coefficient and grid coefficient in these subnetworks.
and negative motifs were evenly balanced through nine steps (fig. S8, A and B). Such balance of regulatory loops might explain how homeostasis is achieved even when a perturbing signal propagates through the system. Positive feedback and feedforward loops were more abundant than negative loops in the subnetworks from NE to CREB (Fig. 2D). This may allow the subnetworks to persistently hold and transfer information causing long-term changes. Such configurations of motifs may provide a systems-level explanation of why the cAMP pathway is associated with the late phase of long-term potentiation (LTP) in the CA1 neuron (20–22). Similar patterns of positive to negative motifs were observed for signal propagation from NE to AMPAR (fig. S9F). Patterns from glutamate and BDNF to AMPAR were also similar to that seen in subnetworks to CREB (fig. S9, E and G).
To analyze the subnetworks upstream of the two key effectors CREB and AMPAR, we used these effectors as source nodes and expanded the network in a stepwise manner, tracing the signals that feed into CREB and AMPAR. The number of positive and negative feedback loops converging on CREB and AMPAR were equal up to four steps upstream of the effector (Fig. 3, A and B). However, we found distinct patterns of clustering. Two steps above CREB, a high (0.53) clustering coefficient was observed. Clustering coefficients measure the abundance of three component motifs and thus indicate local connectivity density. By three or four steps upstream, for both CREB and AMPAR, the clustering coefficients were both above the average observed clustering for the entire network (0.2 versus 0.11) (Fig. 3C). The grid coefficients Eextensions of the clustering coefficient that also consider rectangles (23)^ for the subnetworks two to four steps upstream of CREB and AMPAR were also higher than that observed for the network as a whole (0.053 to 0.031 versus 0.026) (Fig. 3D). Extensive local communication between nodes upstream of key effectors may provide homeostatic regulation of these effectors.
To evaluate the role of the highly connected nodes, we analyzed a series of subnetworks generated by the progressive inclusion of nodes with higher connectivities. We started with a sparse network in which we included only nodes with four or fewer links. We measured the number of islands (isolated clusters of nodes that lack paths between them), clustering, characteristic path length, and number of motifs as we gradually added nodes with higher connectivity (fig. S10, A and B). The system was initially highly fragmented (63 islands). When all of the nodes with up to 21 connections were included, the network became a single island (one net-
work) (Fig. 4A). At this point, the most highly connected nodes, many of which are crucial components for LTP in hippocampal neurons, were not included. The nodes with more than 21 links per node included the four major protein kinases: mitogen-activated protein kinase (MAPK), calcium-calmodulin dependent protein www.sciencemag.org
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kinase II (CaMKII), protein kinase A (PKA), and protein kinase C (PKC) (Fig. 4A). Such highly connected nodes might contribute to regulatory motifs. Hence, we identified motifs that were formed if the highly connected nodes were included. The contributions of specific nodes to the formation of different motifs were readily discernable. Scaffolding motifs were largely dependent on the cytoskeletal proteins actin and tubulin, the synaptic scaffolding protein PSD95, and NMDA receptors (Fig. 4B). Nearly 65% of the scaffolding motifs were formed without including enough nodes for the system to coalesce into a single island. In contrast, just 35% of the feedback and feedforward motifs and 20% of the bifan motifs were formed only in a network that included nodes with connectivity up to 21 links per node (Fig. 4, C to F). PKA and PKC appear to contribute to nearly 60% of the five-component feedback loops. Highly connected nodes, such as PKC, favored the emergence of positive motifs (Fig. 4D). These observations suggest that a function of these highly connected nodes may be to promote the formation of regulatory motifs that can allow for persistence of information and thus facilitate state change when appropriate external signals are received.
We developed maps to represent the pseudodynamic regulatory topology that our analyses had identified. We plotted the density of motifs at each step for the three ligands glutamate, NE, and BDNF by defining a Bdensity of information processing [ (DIP), which is the ratio of the additional new motifs (feedback loops, feedforward loops, and bifans) formed in each step to the increase in new links in each step ( 15 ) multiplied by the grid coefficient. This measure allowed us to identify the intensity and position in chemical space of information-processing activities. The DIP profile (Fig. 5A) at each step is plotted for the three different ligands through eight steps as signal propagates from receptors to cellular machines. Each DIP profile is distinctive, indicating that these represent differential stimulation of partially overlapping regions of the cellular network. Each ligand showed a B hot zone, [ where extensive information processing may occur. We also developed detailed maps to determine the position of the regulatory motifs in the chemical space of the network. For this, we specified the location of the nodes that participate in a motif between extracellular ligands and cellular machines on the basis of the shortest path lengths from the node within the motif to all extracellular ligands and to all components in the specified cellular machine. For each node, this yielded a B node location index [ that measures the functional distance to each of the five cellular machines and to the ligands. We then identified the participation of these nodes in the various motifs. A parameter termed B motif location index [ (MLI) was defined as the average of the location indices for the various nodes that comprise the motif in relation to the distance from the specified
machine (15). Five maps corresponding to the different cellular machines were generated (Fig. 5B). These maps indicate the location of the various regulatory motifs between extracellular ligands and cellular machines. Both common and distinctive features are observed. When pathways from ligands to each of the cellular machines were considered, a higher density of regulatory motifs was found at the middle of the maps (note the red band in each map), indicating that a major portion of the information processing occurs at the Bcenter[ of the network.
Distinct patterns of motifs were observed upstream of the different cellular machines. Directly upstream of the transcriptional machinery, feedforward motifs were abundant. In contrast, for the translational machinery, the regulation was more distal. For the secretory machinery, feedforward and feedback loops and scaffolds were found to be closer to the machine. For both the motility machinery and ion channels, regulation was largely concentrated in the center of the network (around MLI þ 0.5). Some regulatory motifs are made of components within the cellular machines themselves.
This study provides an initial view of the regulatory capabilities that are formed as information flows through a cellular network. The overall profile of emergent motifs can be an indicator of the cell_s information-processing capability. Here, organization is defined solely in terms of chemical space. It will be necessary to integrate this description with the physical
B
FBL3i þ FBL4i þ FFL3i þ FFL4i þ BIFANi. M i is the total number of feedback loops, feedforward loops, and bifan motifs; L i is the total number of links; and i is the step. FBL3 and FBL4 are feedback loops of size 3 and 4, FFL3 and FFL4 are feedforward loops of size 3 and 4, and BIFAN are bifan motifs of size 4. GC is the grid coefficient representing interconnectedness for the motifs, computed for the subnetwork at step i. DIP is plotted as a signal propagates vectorially through the network, as indicated by the downward arrow. The width of the bar represents the number of links engaged. (B) Relative distribution of regulatory motifs between ligands and cellular machines. Motifs were placed between extracellular ligands and cellular machines using the equation
path length from a node within the motif to all other nodes in the cellular machine, and CPLL is the characteristic path length from a node to all extracellular ligands. If a node is an extracellular ligand, CPLL 0 0 for that node; if the node is in the plasma membrane, CPLL 0 1. If a node belongs to a cellular machine, CPLM 0 0 for that node. The counts of motifs were placed in 100 bins based on the computed MLI and normalized to the fraction of total motifs for each class of motifs. An MLI value of 0 represents location at the cellular machines where all the nodes that make up the motif are within the cellular machine; a value of 1.0 represents location at the ligand level. PFBL and NFBL, three- and four-node positive and negative feedback loops, respectively; PFFL and NFFL, three- and four-node positive and negative feedforward loops; SCAF, three-node scaffold motifs; BIFAN, four-node bifan motifs. See (15) for details.
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compartmentalization of components within the cell, and with temporal profiles of activation, to obtain a more comprehensive picture of the functional organization of a cell. Still, distance in chemical space (i.e., number of links between two distal nodes) is likely to be a major determinant of information processing that regulates phenotypic behavior.
The maps for individual ligands or cellular machines show distinct patterns of motifs. Combinations of ligands will likely produce many more patterns of connectivity. Thus, a cellular system may not be a single network but rather an ensemble of network configurations that are evoked by the stimuli-induced activation of various parts of the system. Identifying these network configurations and the functions they evoke is likely to provide more complete descriptions of how molecular interactions lead to cellular choices between homeostasis and plasticity.
References and Notes
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22. C. Pittenger, Y. Y. Huang, R. F. Paletzki et al., Neuron 34, 447 (2002).
Containing Pandemic Influenza at the Source
Ira M. Longini Jr., 1 * Azhar Nizam, 1 Shufu Xu, 1 Kumnuan Ungchusak, 2 Wanna Hanshaoworakul, 2 Derek A. T. Cummings, 3 M. Elizabeth Halloran 1
Highly pathogenic avian influenza A (subtype H5N1) is threatening to cause a human pandemic of potentially devastating proportions. We used a stochastic influenza simulation model for rural Southeast Asia to investigate the effectiveness of targeted antiviral prophylaxis, quarantine, and pre-vaccination in containing an emerging influenza strain at the source. If the basic reproductive number (R 0 ) was below 1.60, our simulations showed that a prepared response with targeted antivirals would have a high probability of containing the disease. In that case, an antiviral agent stockpile on the order of 100,000 to 1 million courses for treatment and prophylaxis would be sufficient. If pre-vaccination occurred, then targeted antiviral prophylaxis could be effective for containing strains with an R 0 as high as 2.1. Combinations of targeted antiviral prophylaxis, pre-vaccination, and quarantine could contain strains with an R 0 as high as 2.4.
The world may be on the brink of an influenza pandemic (1–4). Avian influenza A (subtype H5N1) is causing widespread outbreaks among poultry in Southeast (SE) Asia, with sporadic transmission from birds to humans (5) and limited probable human-to-human transmission (6). Should an avian virus reassort with a human virus, such as influenza A subtype H3N2, within a dually infected human host or reassort in a nonhuman mammalian species, or if mutation of the virus occurs, the resulting new variant could be capable of sustained human-tohuman transmission. The outbreak among humans would then spread worldwide via the global transportation network more rapidly than adequate supplies of vaccine matched to the new variant could be manufactured and distributed ( 1 , 7 ). The pressing public health questions are whether and how we can contain the spread of an emerging strain at the source or at least slow the initial spread to give time for vaccine development. We used a discrete-time stochastic simulation model of influenza spread within a structured geographically distributed population of 500,000 people in SE Asia to compare the effectiveness of various intervention strategies against a new strain of influenza. Here we examine the effectiveness of the targeted use of influenza antiviral agents ( 8–12 ), quarantine, and pre-vaccination with a poorly matched, low-efficacy vaccine in containing the spread of the disease at the source.
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23. G. Caldarelli et al., European Physical Journal B. 38 183 (2004).
,
24. This research is supported by GM-54508 and GM072853 from NIH and by an Advanced Research Center grant from the New York State Office of Science and Technology. A.M. is supported by Pharmacological Sciences Training grant GM-62754. S.N. is the recipient of an individual predoctoral National Research Service Award (GM-65065). R.D.B. is supported by National Institute on Drug Abuse grant DA15863. We thank B. Obrink, H. Dohlman, N. Hao, and J. Lisman for comments on the manuscript, M. Diverse-Pierluissi for help in identifying components of the secretory machine, S. Purushothaman for implementing the grid-coefficient function, and G. Kossinets (D. Watts laboratory, Columbia University, NY) for help with the initial analysis. Author contributions are described in the Supporting Online Material.
Supporting Online Material
www.sciencemag.org/cgi/content/full/309/5737/1078/
DC1
Materials and Methods
SOM Text
Figs. S1 to S11
Tables S1 to S3
References
20 December 2004; accepted 7 July 2005 10.1126/science.1108876
We used information about rural SE Asia (13, 14) to construct the model population. Our goal was to represent the contact connectivity of a typical rural SE Asian population. The model population of 500,000 people was distributed across a space of 5625 km 2 , yielding a density of 89/km 2 , which is approximately the population density of rural SE Asia (13). The 500,000 people were partitioned into 36 geographic localities. This model is an extension of a model used to simulate interventions against pandemic influenza in the United States (12).
The model Esee the supporting online material (SOM) for details^ represents the number of close and casual contacts that a typical person makes in the course of a day. The age and household size distributions of the population are based on the Thai 2000 census (13). Many of the mixing group sizes and distributions are based on a social network study of the Nang Rong District in rural Thailand (14). We constructed the social network for contacts sufficient to transmit influenza as a large set of connected mixing groups. The close contact groups consist of households, household clusters, preschool groups, schools, and workplaces; and the casual contact groups consist of other social settings (such as markets, shops, and temples) and a single regional 40-bed hospital. All people can
1 Department of Biostatistics, The Rollins School of Public Health, Emory University, 1518 Clifton Road, N.E., Atlanta, GA 30322, USA. 2 Ministry of Public Health, Nonthaburi, Thailand. 3 Department of International Health, The Bloomberg School of Public Health, Johns Hopkins University, Baltimore, MD, USA.
*To whom correspondence should be addressed. E-mail: firstname.lastname@example.org
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Avi Ma'ayan
Mammalian Cellular Network Formation of Regulatory Patterns During Signal Propagation in a
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Persimmon Leaves
Persimmon (Diospyros kaki) originated in China and has been grown for over 1000 years in Japan, which is the leading producer today. A similar variety of the Persimmon fruit (Diospyros virginiana) grows in the Eastern USA and is called Pawdad. The tannins and flavonoids in Persimmon leaves have anti-hypertensive, anti-carcinogenic, and anti-mutagenic properties. The leaf also acts as a mild laxative, is antihemorrhagic (stops bleeding), is an effective remedy for hemorrhoids, and strengthens weak blood vessels such as spider veins or varicose veins. Persimmon leaf extract and its major flavonoid constituent, astragalin, when taken orally, acts as a natural antihistamine which inhibits the release of histamine and thus helps reduce allergic reactions. It relieves the symptoms of dermatitis, with less inflammation and thickening of the skin, and less water loss which can lead to dry skin. It may also act as dermatitis preventive. An allergy preventive food or an itching preventive food which contains Persimmon leaves, or an extract of Persimmon leaf, or a cosmetic composition containing Persimmon leaf extract, has the action of improving rough skin conditions due to allergies, or alleviating itching. The astringent raw Persimmon fruit is used for constipation relief, gastro-intestinal irritation, dysentery, chronic diarrhea, ulceration of the bowel and stomach, catarrh of the rectum and colon, hemorrhoids, and to stop bleeding. Studies have shown that compounds in Persimmon leaves bind to excess fat and help remove fat from the body. Deal with Allergies and Hay Fever the natural way. No need for Antihistamines and their negative side-effects.
Holy Thistle
Holy Thistle (Silybum marianum) supports the liver in the release of toxins. Holy thistle has been used medicinally for over 2000 years, most commonly for the treatment of liver disorders such as jaundice, and gallbladder disorders; but also for lactation problems, disorders of the spleen, psoriasis, and mushroom poisoning. It has recently been used by HIV-positive patients to protect the liver from diseases such as hepatitis and damage from the drugs taken for HIV or AIDS. A flavanoid in the fruit called Silymarin (with its most active beneficial component called Silibinin or Silybin) is a powerful antioxidant, and may also protect the cells of the liver by blocking the entrance of harmful toxins and helping remove these toxins from the liver cells. Silymarin has also been shown to regenerate injured liver cells. It stimulates liver and gallbladder activity and may have a temporary mild laxative effect in some people. Holy Thistle products are popular in Europe and the United States for various types of liver disease, being able to counteract the harmful actions of alcohol on the liver (cirrhosis), and helping the liver return to a healthy state when an alcoholic stops drinking. Some clinical trials indicate that it may improve quality of life and even increase life expectancy in patients with cirrhosis of the liver. Holy Thistle is believed to have great power in the purification and circulation of the blood, and is such a good blood purifier that drinking a cup of Holy Thistle tea twice a day can cure chronic headaches. It is also used for stomach and digestive problems, gas in the intestines, and constipation relief. It is very effective for dropsy, strengthens the heart, and is good for the liver, lungs, and kidneys. It was claimed that warm Holy Thistle tea given to mothers will produce a good supply of milk, which led to this thistle being called by another name: Milk Thistle. Holy Thistle is also said to be good for girls entering womanhood, as a good tonic. The leaves and stems are eaten as a salad green in Europe.
Malva Leaves
The Malva or Chinese Mallow plant (Malva verticillata) is a member of the Malvaceae family which also includes the Marsh Mallow and the Hibiscus. The leaves have a mild and very pleasant flavor. Malva has been cultivated in China for over 2,500 years, and is now cultivated in some countries of Europe as a tasty salad green. Malva seed contains mucilage, polysaccharides and flavonoids. In traditional medicine, the Malva leaf was often made into a tea to sooth the membranes of the digestive system. It is demulcent (the mucilage soothes and softens irritated tissues, especially the mucus membranes), mild diuretic, emollient (softens the skin), galactogogue (increases milk flow in nursing mothers), and a mild laxative (a gentle stimulant of the bowels). Malva Leaf teas are used in the treatment of renal disorders, the retention of fluids, frequent thirst, and diarrhea. Malva Leaf has been used to treat stomach ache, gastroenteritis, irritable bowel, and conditions of the spleen. The Chinese use Malva Leaf as an expectorant and as a demulcent gargle to soothe a sore throat. It can also soothe a bronchial irritation in persons with bronchitis or emphysema. (Beware of Chinese Mallow teas which also contain Senna, also known as Cassia angustifolia or Cassia acutifolia or Cassia Senna or Indian Senna or Egyptian Senna. Cassia is a strong and harsh laxative that works by irritating the intestines. It should only be taken occasionally and for no longer than 7 days because it can create bowel dependency, stomach cramps and headaches. The safe Chinese Mallow leaf is added to soothe its irritating effects. Dr. Miller's Holy Tea does NOT contain Senna.)
Marsh Mallow
The Marsh Mallow or Marshmallow (Althaea officinalis) was used by the ancient Greeks to remedy bruises and bleeding, and as a mild laxative. It was used in medieval Europe for indigestion and diarrhea. The Marsh Mallow root or leaf was traditionally used to soothe and support the intestines. It is rich in calcium, zinc, iron, sodium, iodine, vitamin B complex, and pantothenic acid. Herbs high in mucilage, such as Marsh Mallow and Malva Leaf (of the same family), are often helpful for symptomatic relief of coughs and irritated throats. Mallow has expectorant and demulcent properties, which accounts for this herb's historical use as a remedy for the respiratory tract, particularly in cases of irritating coughs with bronchial congestion. Marsh Mallow root and, to a lesser extent, Marsh Mallow leaf both contain significant percentages of mucilage, a natural gummy substance that does not dissolve in water. Like other mucilage-containing substances, Marsh Mallow swells up and becomes slick when it is exposed to fluids. The resulting slippery material coats the linings of the mouth, throat, and stomach to relieve irritation and control coughing associated with respiratory conditions such as smoker's cough. For example, Marsh Mallow has been used to treat sore throats and to alleviate heartburn, and was originally used to make a candy-like medicinal lozenge. Marsh Mallow may also have mild anti-infective, immuneboosting, and diuretic properties. In the British Herbal Compendium the use of Marsh Mallow is listed for gastroenteritis, peptic and duodenal ulcers, colitis, and enteritis. Topically, Marsh Mallow is used to soothe and soften irritated skin, and as a remedy for cuts, wounds, abscesses, boils, burns, and varicose veins. The edible leaves are used as salad greens in France.
Blessed Thistle
Blessed Thistle (Cnicus benedictus or Carduus benedictus) has been used in traditional medicine as far back as the early sixteenth century as an appetite stimulant, astringent, blood purifier, choleretic (bile flow stimulant), diaphoretic (sweat stimulant), digestion enhancement, diuretic (increasing urine), expectorant, fever reducer, memory improver, menstrual flow stimulant, and salivation stimulant. It was cultivated in monastery gardens as a cure for smallpox and is named in honor of St. Benedict, the founder of a holy order of monks. It is still used as a flavoring in their Benedictine liqueur. Blessed Thistle has been used for smallpox, malaria, fever, anorexia, dyspepsia, indigestion, constipation, and flatulence. More recently it has shown to be useful for indigestion, heartburn, and poor appetite. Blessed Thistle helps increase appetite in people with digestion or eating disorders such as anorexia (but does not increase the appetite of normal people). In herbal medicine, Blessed Thistle is used for cancer, infections, inflammation, gallbladder disease, jaundice, liver disorders, cervical dysplasia, heart ailments, skin ulcers, yeast infections, and diarrhea.
Papaya
Papaya is recommended to be one such pick from the group of Yellow and orange fruits, which promises abundant health benefits. It is a melon like fruit with yellow- orange flesh with dozens of small black seeds enclosed in skin that ranges in color from green to orange. Papaya has high nutritional benefits. It is rich in Anti-oxidants, the B vitamins, folate and pantothenic acid; and the minerals, potassium and magnesium; and fiber. Together, "these nutrients promote the health of the cardiovascular system and also provide protection against colon cancer." In addition, papaya contains the digestive enzyme, papain, which is used like bromelain, a similar enzyme found in pineapple, to treat sports injuries, other causes of trauma, and allergies. Vitamin C and vitamin A, which is made in the body from the beta-carotene in papaya, are both needed for the proper function of a healthy immune system. Papaya may therefore be a healthy fruit choice for preventing such illnesses as recurrent ear infections, colds and flu.
For over two thousand years Chinese Medicine has recommended ginger to treat a number of health problems including abdominal bloating, coughing, vomiting, diarrhea, and rheumatism. Ginger is also used in the Ayurvedic and Tibetan systems of medicine for the treatment of inflammatory joint diseases such as arthritis, rheumatism and a variety of other conditions.
Proposed Medical Benefits of Ginger
Although officially recognized as a remedy for appetite loss, indigestion and motion sickness, ginger root has a proven ability to combat all forms of nausea and vomiting. It has also been taken to loosen phlegm, relieve gas, and tighten the tissues, although its effectiveness for these purposes hasn't been proven. Comparisons between ginger and prescription or non-prescription drugs for motion sickness relief have been conducted, but results were inconclusive. However, in some of these studies, similar effectiveness was seen between ginger and drugs.
Ginger may also ease sore throats, headaches, ulcerative colitis, some types of menstrual and arthritis pain, and fevers and aches caused by colds and flu.
Chamomile
Chamomile has been used to treat a wide range of conditions and diseases when used internally or externally. This bittersweet herb acts medicinally as a tonic, anodyne, antispasmodic, antiinflammatory, antibacterial, anti-allergenic, and sedative. Chamomile tea can be used to treat digestive disturbances, gastrointestinal spasms, inflammatory disease of the gastrointestinal tract, and to treat coughs and colds, fevers and bronchitis. Chamomile contains bitter constituents that stimulate appetite and digestive secretions that help reduce flatulence. Chamomile's mildly sedating and muscle-relaxing effects can help those who suffer from insomnia to fall asleep more easily. Chamomile is best known as a muscle relaxant and antispasmodic. Chamomile helps to relieve nausea, heartburn, and stress-related flatulence. It may also be useful in the treatment of diverticular disorders and inflammatory bowel conditions such as Crohn's disease.
Myrrh
Myrrh is a hardy shrub that grows in desert regions, particularly in northeastern Africa and the Middle East and in regions around Arabia. The resin obtained from the stems is used in medicinal preparations. Today Myrrh is used in some mouth washes and sore throat medicines. Although it has had a number of reported medicinal uses throughout recorded history, myrrh is now found most often in mouthwashes to soothe mouth and throat irritations. In addition to relieving inflammation, using myrrh as a mouthwash also is thought to improve bad breath. As a mouth rinse, myrrh is approved for treating mouth inflammation by the German Commission E, the German governmental agency that evaluates the safety and effectiveness of herbal products. Undiluted myrrh tincture can also be applied directly to sores inside the mouth. Occasionally, diluted myrrh tincture is used as a wash for hemorrhoids or as a douche to relieve vaginal irritation.
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Prepared by:
Juliette Cubanski Molly Voris Michelle Kitchman Tricia Neuman Kaiser Family Foundation and
Lisa Potetz Independent Consultant
This report was designed and produced by Ardine Hockaday, Alicia Morgan Smith, and Leahandah Soundy of the Kaiser Family Foundation.
Table of Contents
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Fiscal Years 1975–2004
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Overview
Medicare provides health and financial security for almost 42 million elderly and disabled Americans. Medicare is a social insurance program, like Social Security, that offers health coverage to eligible individuals, regardless of income or health status. People pay into Medicare throughout their working lives and are generally eligible for Medicare when they reach age 65. Now comprising 12 percent of the federal budget and 17 percent of total national health spending, Medicare is often a significant part of discussions about how to limit both the growth in federal spending and health care costs. With the dual challenges of providing needed and increasingly expensive medical care to an aging population and keeping the program financially secure for the future, discussions about the Medicare program are likely to remain prominent in the years to come.
This chartbook presents a framework, as well as basic data, for understanding the role of Medicare today and the challenges in its future. The book is organized into the following seven sections:
Medicare Beneficiaries. Medicare is a source of health insurance coverage for 35.4 million elderly people and 6.3 million nonelderly people with permanent disabilities. With the aging and growth of the population, the number of beneficiaries more than doubled between 1966 and 2004 and is projected to double yet again to 78 million by 2030. Medicare serves a population with diverse needs and circumstances. Although the median age of Medicare beneficiaries is 73 years, 14 percent are under age 65 and another 12 percent are age 85 or older. While some have high incomes and are in fairly good health, many live on modest incomes and have multiple chronic conditions. More than half of beneficiaries have two or more chronic conditions and more than a quarter say their health status is fair or poor. More than 2 million Medicare beneficiaries live in nursing homes or other long-term care settings, a large share of whom are female and age 85 or older. One-fourth of all Medicare beneficiaries have problems with mental functioning or cognitive impairments, with substantially higher rates reported by nonelderly beneficiaries with disabilities.
Most beneficiaries rely on Social Security for the bulk of their income and are especially vulnerable to the high and rising cost of health care services. Nearly four in 10 elderly people have incomes below 200 percent of poverty—$18,120 for individuals and $22,836 for couples in 2004—with higher rates among Hispanic and African American beneficiaries. Compounding these income disparities, Medicare beneficiaries with lower incomes are generally in poorer health than their counterparts with higher incomes. While 43 percent of those living under the poverty level describe their own health as either fair or poor, only 17 percent of those with incomes above 300 percent of poverty do so.
Medicare Benefits and Utilization. Medicare provides coverage of basic health services, such as inpatient hospital care (through Part A, the Hospital Insurance (HI) Program) and physician services, preventive services, and outpatient care (through Part B, the Supplementary Medical Insurance Program). However, the program provides limited long-term care benefits, does not cover eyeglasses, hearing aids, or dental care, and, until 2006, does not pay for outpatient prescription drugs. Medicarecovered benefits are generally subject to deductibles and cost-sharing requirements. Because of beneficiaries' advancing age and significant health needs, most use one or more Medicare-covered services throughout the year. In 2002, 67 percent had one or more physician visits and 19 percent were hospitalized—with higher rates reported among those in relatively poor health. To encourage use of preventive medical care, the Medicare Part B deductible and coinsurance are waived for certain preventive services. In 2002, 65 percent of male Medicare beneficiaries were screened for prostate cancer, 53 percent of female Medicare beneficiaries received a mammogram, and 39 percent of female beneficiaries received a Pap smear.
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Supplemental Insurance Coverage and Medicare Advantage. To help pay for benefits not covered by Medicare and to ease the burden of Medicare's relatively high cost-sharing requirements, the majority of Medicare beneficiaries—almost nine in 10—have some form of supplemental health insurance. Employersponsored coverage was the most common source of supplemental insurance in 2002 (covering 35 percent of non-institutionalized beneficiaries), followed by individually-purchased Medigap policies (21 percent), Medicaid (17 percent) for those with low incomes (the "dual eligibles"), and Medicare HMOs (15 percent).
In recent years, cost increases have led to the erosion of private coverage—particularly employer-sponsored retiree health benefits—and to increases in Medigap premiums, resulting in higher out-of-pocket spending by beneficiaries. Thirteen percent of beneficiaries were covered by Medicare HMOs and other Medicare Advantage (MA) plans (formerly called Medicare+Choice plans) in 2005. While enrollment in Medicare Advantage plans has been declining since the late 1990s, these plans are expected to play a greater role in Medicare in the future (although enrollment projections vary widely).
Out-of-Pocket Spending. In 2002, Medicare covered less than half (45 percent) of beneficiaries' total medical and long-term care expenses. Beneficiaries paid, on average, 19 percent of total expenses, or $2,223, out of pocket. About half of all beneficiaries spent less than $1,000 out of pocket, while almost 10 percent of beneficiaries spent $5,000 or more. Out-of-pocket spending on health care increases with declining health status and advancing age and is higher for those lacking supplemental coverage.
Because Medicare has not covered prescription drugs used by beneficiaries in an outpatient setting (until the drug benefit begins in 2006), the cost of medications has been a significant concern. Out-of-pocket spending on prescription drugs by Medicare beneficiaries varies by source of supplemental coverage, reflecting differences in the generosity of benefits and variations in the health care needs of those with different sources of coverage. Between 2000 and 2004, average out-of-pocket spending on prescription drugs increased by 39 percent, from $613 to $1,005. Average per capita out-of-pocket spending on prescription drugs among Medicare beneficiaries is estimated to be $1,139 in 2005, but slightly lower ($970) once coverage under the new drug benefit begins in 2006. Almost 60 percent of beneficiaries are projected to have no or low ($750 or less) out-of-pocket drug expenses in 2005. At the upper end of spending, 7 percent of beneficiaries are projected to have out-of-pocket drug costs of more than $3,600.
Medicare and Prescription Drugs. Medicare beneficiaries are highly dependent on prescription drugs to manage their acute and chronic health conditions, with virtually all beneficiaries (91 percent) taking at least one medication in 2002. Despite the relatively heavy use of pharmaceuticals, nearly half of all beneficiaries lacked prescription drug coverage for at least part of the year in 2002: 18 percent of beneficiaries lacked drug coverage for the full year and another 27 percent lacked drug coverage for at least part of that year. Beneficiaries accessed full- or part-year drug coverage through a variety of sources, including employersponsored plans (34 percent), Medicaid (14 percent), Medicare HMOs and other managed care plans (12 percent), and individually-purchased Medigap policies (12 percent).
Medicare beneficiaries without prescription drug coverage have higher out-of-pocket drug costs and fill fewer prescriptions than those with some form of drug coverage—one-third fewer prescriptions, on average, in 2002. Average per capita drug spending among the Medicare population is expected to be $2,864 in 2005; however, drug spending is highly skewed and concentrated among a relatively small share of beneficiaries.
Beginning in 2006, Medicare beneficiaries will have access to prescription drug coverage through private plans (Part D), and drug coverage through state Medicaid programs will end for Medicare's dual eligible beneficiaries. Assistance with premiums and cost-sharing will be available to beneficiaries with limited incomes and resources. The net federal cost of the new Medicare drug benefit is estimated to be $724 billion between 2006 and 2015. Financing for the Medicare drug benefit will come from several sources, including premiums paid by beneficiaries, contributions from states (commonly referred to as the "clawback"), and general revenue.
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Medicare Spending. In FY2004, Medicare benefit payments totaled $295 billion, accounting for 17 percent of national health expenditures and 12 percent of the federal budget. Medicare is responsible for almost one-fifth of the $1.4 trillion in personal health care expenditures in the U.S., but Medicare's share varies by type of service, reflecting benefits covered and services used by the Medicare population. For example, in 2003, Medicare paid for 30 percent of the nation's total hospital spending and 32 percent of home health care spending but less than 2 percent of prescription drug costs.
Currently, inpatient hospital services account for the largest share of Medicare benefit payments (39 percent). The composition of Medicare benefit payments will shift with the addition of prescription drug coverage in 2006. By 2010, prescription drugs are projected to account for 20 percent of Medicare benefit payments. On a per capita basis, Medicare spending has grown at a slightly slower pace, on average, than private health insurance spending. Private health insurance spending grew at an average annual rate of 10.1 percent in the period between 1970 and 2003, while Medicare spending grew at an average rate of 9.0 percent.
Medicare payments for each beneficiary enrolled in the traditional fee-for-service program averaged $6,110 in 2002. Per capita payments for the elderly ($6,002) were nearly $1,500 higher than they were for nonelderly beneficiaries with disabilities that year ($4,547). Medicare spending is highly concentrated among a minority of beneficiaries. In 2002, 7 percent of beneficiaries incurred expenditures of $25,000 or more, accounting for just over half of program spending. In total, 12 percent of beneficiaries accounted for more than two-thirds of program spending. At the lower end, 12 percent of beneficiaries in the fee-forservice program incurred no Medicare expenditures in 2002.
Medicare Financing and Future Projections. Medicare Parts A, B, and D (beginning in 2006) are financed differently. Payroll taxes paid by workers and employers finance the majority of Part A (the Hospital Insurance (HI) Trust Fund). The Part B Supplementary Medical Insurance (SMI) Trust Fund is financed by a combination of beneficiary premiums (24 percent) and general tax revenues (most of the remainder). General revenue makes up roughly three-quarters of revenues for Part B and (beginning in 2006) Part D. In total, Medicare revenue in FY2006 will come mostly from general revenue (41 percent), payroll taxes (40 percent), and beneficiary premiums (11 percent). According to the Medicare Boards of Trustees' 2005 intermediate assumptions, total Part A spending is expected to exceed income in 2012, and the HI Trust Fund reserves are projected to be exhausted in 2020. Spending for Part B services, however, are now rising faster than spending for Part A services.
The aging of the Baby Boom generation, a reduction in the ratio of workers to beneficiaries, and other demographic and economic factors will likely play a role in the debate over additional changes in Medicare's financing in the coming years. With the aging of the population and expected increases in overall health care costs, Medicare spending is projected to grow at a rate significantly higher than that of the overall economy. Between 2000 and 2030, Medicare's share of the gross domestic product (GDP) is estimated to triple from 2.3 percent to 6.8 percent. The addition of the prescription drug benefit in 2006 accounts for about one-third of the increase.
About the data. The data presented in this chartbook come from a variety of sources. Data from the Centers for Medicare and Medicaid Services 2002 Medicare Current Beneficiary Survey are used to describe Medicare beneficiary characteristics, service utilization, supplemental coverage, and per capita spending. Prescription drug spending data from 2005 are based on analysis conducted by the Actuarial Research Corporation for the Kaiser Family Foundation. Other sources of data and analysis include the Congressional Budget Office; Kaiser Commission on Medicaid and the Uninsured; Kaiser/Commonwealth/Tufts-New England Medical Center 2003 National Survey of Seniors and Prescription Drugs; Kaiser Family Foundation/Hewitt Survey on Retiree Health Benefits; Mathematica Policy Research; Medicare Boards of Trustees; Medicare Payment Advisory Commission; National Conference of State Legislatures; Office of the Actuary within the Department of Health and Human Services; Urban Institute; and the U.S. Census Bureau.
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Section 1
MEDICARE BENEFICIARIES
SECTION 1: MEDICARE BENEFICIARIES
Medicare is a federally-sponsored health insurance program that provides benefits to nearly 42 million people. Most individuals become eligible when they reach age 65 and they or their spouse have made payroll tax contributions to Social Security for at least 40 quarters. Others who are under the age of 65 can become eligible if they are totally and permanently disabled and have received Social Security Disability Insurance (SSDI) payments for 24 months or if they have end-stage renal disease (ESRD).
The Medicare population is demographically diverse and includes significant numbers of individuals who are financially and medically vulnerable. Beneficiaries are predominantly white (79 percent) and female (56 percent). Those over age 85 account for 12 percent of Medicare beneficiaries. The disabled and ESRD populations represent 14 percent of all beneficiaries.
Twenty-eight percent of Medicare beneficiaries report being in fair or poor health. Those who are under age 65 with disabilities, along with African American and Hispanic beneficiaries, are more likely to describe their health status in this way. Medicare beneficiaries with lower incomes generally report poorer self-assessed health than beneficiaries with higher incomes: 43 percent of beneficiaries with incomes below 100 percent of poverty say their health is fair or poor, compared with 17 percent of those with incomes above 300 percent of poverty.
Substantial numbers of Medicare beneficiaries also live with health problems or limitations in their physical or cognitive abilities. Nearly nine in 10 beneficiaries have one or more chronic illnesses; over half report having hypertension (60 percent) or arthritis (58 percent). Roughly a quarter of all Medicare beneficiaries have a cognitive or mental impairment.
Medicare beneficiaries generally live on modest incomes and depend heavily on Social Security as a primary source of income. Ten percent of elderly people have incomes below 100 percent of the federal poverty level, while 29 percent have incomes between 100 percent and 200 percent of poverty. Poverty rates are higher among elderly women than elderly men, and among elderly African Americans and Hispanics than whites. In addition to having modest incomes, the majority of Medicare beneficiaries have limited assets: more than half had countable assets of $20,000 or less in 2002. 1
Certain segments of the Medicare population have greater medical needs than other Medicare beneficiaries, including 7 million beneficiaries who are dually eligible for Medicare and Medicaid and approximately 2 million beneficiaries who live in a nursing home or other long-term care facility. Compared to other people with Medicare, a higher share of dually eligible beneficiaries are in fair or poor health (52 percent versus 26 percent), nonelderly and permanently disabled (37 percent versus 10 percent), and living in long-term care facilities (19 percent versus 3 percent). Long-term care facility residents have higher rates of mobility limitations and health problems, and lower incomes than beneficiaries living in the community.
Medicare beneficiaries account for 14 percent of the total U.S. population and a wide ranging share of state populations, from 7 percent in Alaska to 19 percent in West Virginia. Although people with Medicare are generally concentrated in urban communities and areas, 24 percent of beneficiaries live in rural areas. Rural beneficiaries account for more than 70 percent of the Medicare population in South Dakota, Idaho, Mississippi, Vermont, and Montana. Barriers to accessing health care services often encountered in less populous areas can pose particular challenges for Medicare beneficiaries in rural counties.
1 Countable assets include interest and non-interest earning accounts, bonds/US securities, stocks, mutual funds, IRAs, 401k plans, keoghs, rental property, vacation property, and any other investments; but exclude home value.
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Note: ESRD is end-stage renal disease.
SOURCE: Centers for Medicare and Medicaid Services Data Compendium, 2003 (data through 2000); 2004 and 2005 Annual Reports of the Boards of Trustees of the Federal Hospital
Insurance and Federal Supplementary Medical Insurance Trust Funds (data for 2003 and 2004).
Medicare is a federal health insurance program that covers 35.4 million Americans ages 65 and older and another 6.3 million people with permanent disabilities who are under age 65. With the aging and growth of the U.S. population, the number of Medicare beneficiaries more than doubled between 1966 and 2004, and is projected to double in size again by 2030 to 78 million.
Total = 41.8 Million Medicare Beneficiaries, 2002
Note: Numbers may not sum to 100% due to rounding. Total number of Medicare beneficiaries is based on weighted number of respondents in the Medicare Current
Beneficiary Survey 2002 Cost and Use file.
SOURCE: Kaiser Family Foundation analysis of the Medicare Current Beneficiary Survey 2002 Cost and Use File.
Medicare serves the health needs of a diverse population that is predominantly female, white, and non-Hispanic. By age, the largest segment includes those ages 65 to 74. Beneficiaries over the age of 85, as well as members of racial and ethnic minority groups, represent growing segments of the Medicare population.
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Note: Analysis includes community residents only.
SOURCE: Kaiser Family Foundation analysis of the Medicare Current Beneficiary Survey 2002 Cost and Use File.
More than a quarter (28 percent) of non-institutionalized Medicare beneficiaries report being in fair or poor health. However, certain subgroups of the Medicare population are far more likely than others to report being in fair or poor health, including nonelderly beneficiaries with disabilities, and African American and Hispanic beneficiaries.
Percent of Federal Poverty Level
Note: In 2002, the federal poverty level was $8,860 for an individual and $11,940 for a couple. Analysis includes community residents only. SOURCE: Kaiser Family Foundation analysis of the Medicare Current Beneficiary Survey 2002 Cost and Use File.
Medicare beneficiaries with lower incomes are generally in poorer health than those with higher incomes. While 43 percent of beneficiaries with incomes less than 100 percent of the federal poverty level describe their own health as either fair or poor, only 17 percent of those with incomes above 300 percent of poverty do so.
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Figure 1.5 Prevalence of Chronic Conditions Among Non-Institutionalized
Medicare Beneficiaries, 2002
Note: Heart condition is defined as diagnosis with hardening of arteries, angina, myocardial infarction, congestive heart failure, or problem with heart valves or heart rhythm. Cognitive/mental impairment is defined as diagnosis with mental retardation, mental disorder, or Alzheimer's disease, or having memory loss that interferes with daily activity. Analysis includes community residents only. SOURCE: Kaiser Family Foundation analysis of the Medicare Current Beneficiary Survey 2002 Cost and Use File.
Most Medicare beneficiaries report living with one or more chronic illnesses, most commonly hypertension and arthritis (reported by 60 percent and 58 percent of beneficiaries, respectively). While the prevalence of many conditions increases with age, other conditions, such as emphysema, diabetes, and cognitive/mental impairments, are somewhat more prevalent among nonelderly Medicare beneficiaries with disabilities.
Note: ADL is activity of daily living; IADL is instrumental activity of daily living. Cognitive/mental impairment is defined as diagnosis with mental retardation, mental disorder, or Alzheimer's disease, or having memory loss that interferes with daily activity.
SOURCE: Kaiser Family Foundation analysis of the Medicare Current Beneficiary Survey 2002 Cost and Use File.
A significant share of people with Medicare, and in particular nonelderly people with disabilities and those age 85 or older, have functional and/or cognitive limitations. One-third of all beneficiaries are limited in their ability to handle basic activities of daily living, such as bathing and eating, and a quarter of all beneficiaries have a cognitive or mental impairment. Nearly six in 10 nonelderly beneficiaries with disabilities have a cognitive or mental impairment.
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Note: Family income is defined as income for individuals and their spouses (if applicable). Analysis includes community residents only. SOURCE: Kaiser Family Foundation analysis of the Medicare Current Beneficiary Survey 2002 Cost and Use File.
The majority of Medicare beneficiaries live on modest family incomes. Half of Medicare's noninstitutionalized beneficiaries have annual family incomes of $20,000 or less. Twelve percent have annual income greater than $50,000.
Total = 34.7 Million Elderly (65+), 2003
Note: In 2003, the federal poverty thresholds for people 65 years and older were $8,825 for an individual and $11,122 for a couple. SOURCE: U.S. Census Bureau, Current Population Survey, 2004 Annual Social and Economic Supplement.
Four in 10 elderly Americans had income below twice the federal poverty level in 2003 ($17,650 for an individual and $22,244 for a couple that year). Poverty rates vary greatly among different segments of the elderly population. Among the elderly, women, people age 75 or older, and African Americans and Hispanics are more likely than others to have low incomes.
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Note: In 2003, the federal poverty level was $8,980 for an individual. Various states are identified to show cross-state variation.
SOURCE: Urban Institute and Kaiser Commission on Medicaid and the Uninsured estimates based on pooled March 2002 and 2003 Current Population Surveys.
On average nationwide, 12 percent of Medicare beneficiaries had income less than 100 percent of poverty in 2002–2003, but the share living in poverty within each state varies. Seven of the 11 states with more than 13 percent of Medicare beneficiaries living below the federal poverty level are located in the south. Among all states, Texas and the District of Columbia have the largest proportion of Medicare beneficiaries with annual income below poverty (19 percent), while Idaho has the lowest share (6 percent).
Note: Numbers may not sum to 100% due to rounding.
SOURCE: Employee Benefits Research Institute, Income of the Elderly Population: 2003; January 2005. Based on analysis of data from the 2004 Current Population
Survey.
Elderly Americans rely on Social Security, earnings, and pensions for the bulk of their annual income. For 80 percent of the elderly, Social Security comprises at least half of their annual income—an average of 91 percent for those with the lowest incomes. In contrast, earnings and pensions account for more than half of annual income for the 20 percent of elderly people with the highest incomes.
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Total = 39.2 Million Non-Institutionalized Medicare Beneficiaries, 2002
Note: Countable assets include interest and non-interest earning accounts, bonds/US securities, stocks, mutual funds, IRAs, 401k plans, keoghs, rental property, vacation property, and any other investments; but exclude home value. SOURCE: T. Rice and K. Desmond analysis of 2002 Survey of Income and Program Participation data for the Kaiser Family Foundation.
The majority of Medicare beneficiaries have limited countable assets (such as savings accounts, stocks, IRAs, and rental properties). More than half (54 percent) of beneficiaries have assets below $20,000; nearly one in five (18 percent) have assets between $20,000 and $99,999; and more than a quarter have assets totaling $100,000 or more.
Total = 7.0 Million Dual Eligible Medicare Beneficiaries, 2002
Note: Functional limitation is defined as presence of a limitation in instrumental activities of daily living (IADLs) or one or more limitation in activities of daily living (ADLs). Total number of dual eligibles includes beneficiaries eligible for full Medicaid benefits, along with other low-income beneficiaries eligible for assistance with Medicare premiums and cost-sharing requirements (the Medicare Savings Programs). SOURCE: Centers for Medicare and Medicaid Services, Medicare Current Beneficiary Survey 2002 Access to Care File.
Medicare covers many people with limited incomes and assets or other special circumstances that make them eligible for coverage under their state Medicaid program (the "dual eligibles"). For those with very low incomes, Medicaid pays Medicare's premiums and cost-sharing requirements and covers benefits, such as long-term care and prescription drugs. (See Figure 3.7 for a description of eligibility and benefits.) Compared to other people with Medicare, a higher share of dual eligibles are in fair or poor health (52 percent versus 26 percent), are nonelderly and permanently disabled (37 percent versus 10 percent), and live in long-term care facilities (19 percent versus 3 percent).
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Figure 1.13
Comparison of Medicare Beneficiaries Residing in Long-Term Care Facilities and the Community, 2002
Note: Mobility limitation is defined as presence of a limitation in activities of daily living (ADLs) and/or instrumental activities of daily living (IADLs).
SOURCE: Centers for Medicare and Medicaid Services, Medicare Current Beneficiary Survey 2002 Access to Care File.
While most Medicare beneficiaries reside in their own homes or other community-based settings, more than 2 million beneficiaries live in a nursing home or other long-term care facility, two-thirds of whom are women. Facility residents have higher rates of mobility limitations and lower incomes than beneficiaries living in the community.
Total = 5.5 Million Non-Institutionalized Nonelderly Disabled Medicare Beneficiaries, 2002
Note: Cognitive/mental impairment is defined as diagnosis with mental retardation, mental disorder, or Alzheimer's disease, or having memory loss that interferes with daily activity. Analysis includes community residents only. SOURCE: Kaiser Family Foundation analysis of the Medicare Current Beneficiary Survey 2002 Cost and Use File.
In 2002, there were 5.5 million non-institutionalized Medicare beneficiaries under the age of 65 who were eligible for Medicare because of total and permanent disability or because they had end-stage renal disease (ESRD). Almost two-thirds of nonelderly disabled beneficiaries report their health as fair or poor, four in 10 live on annual income of $10,000 or less, and 59 percent have cognitive or mental impairments.
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Figure 1.15
Note: Low-income is defined as having annual family income of $10,000 or less, including income of individual and spouse (if applicable) only. SOURCE: Kaiser Family Foundation analysis of the Medicare Current Beneficiary Survey 2002 Cost and Use File.
Almost one-fourth of all elderly and disabled Medicare beneficiaries lived on annual family income of $10,000 or less in 2002—which was in the range of the federal poverty level for that year ($8,860 for individuals, and $11,940 for couples). Compared with beneficiaries at higher income levels, those with low incomes are disproportionately female (65 percent), in fair or poor health (44 percent), and African American or Hispanic (39 percent). Twelve percent of low-income beneficiaries live in long-term care facilities, compared with only 4 percent of those with higher incomes.
Note: Various states are identified to show cross-state variation.
SOURCE: Centers for Medicare and Medicaid Services Medicare State Enrollment data; and Census Bureau 2003 population estimates.
Medicare beneficiaries are approximately 14 percent of the total U.S. population, but within each state, their share of the total population varies. West Virginia has the largest proportion of state residents who are Medicare beneficiaries (19 percent), while Alaska has the smallest share (7 percent).
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Figure 1.17
Note: Rural refers to counties that are not in Metropolitan Statistical Areas (MSAs) according to the 2003 rural-urban classification scheme (RUCC) (Economic Research Service, USDA, 2003). Data are from March 2004. Various states are identified to show cross-state variation. SOURCE: Mathematica Policy Research analysis of CMS State/County Market Penetration Files.
On average nationwide, 24 percent of Medicare beneficiaries live in rural counties. In nine states, less than 10 percent of the Medicare population lives in rural counties. (There are no rural counties in New Jersey or the District of Columbia.) In contrast, at least 50 percent of the Medicare population lives in rural counties in 14 states—with Vermont (74 percent) and Montana (77 percent) having the largest share of beneficiaries in rural areas.
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Section 2
MEDICARE BENEFITS AND UTILIZATION MEDICARE BENEFITS AND UTILIZATION
SECTION 2: MEDICARE BENEFITS AND UTILIZATION
Medicare consists of four parts: Part A for Hospital Insurance (HI), Part B for Supplementary Medical Insurance (SMI), Part C for Medicare Advantage (private health plans), and Part D (beginning in 2006) for prescription drugs. Medicare Part A, the Hospital Insurance program, covers inpatient hospital services, short-term care in skilled nursing facilities (SNFs), post-acute home health care, and hospice care. Most Medicare beneficiaries are not subject to a monthly premium for Part A, but typically have to pay a deductible for hospital inpatient care ($912 per spell of illness in 2005) and coinsurance for a nursing home stay lasting between 21 and 100 days ($114 per day). Medicare Part B, the Supplementary Medical Insurance program, covers physician services, outpatient hospital services, preventive services, laboratory and x-rays, and other ambulatory services. Medicare beneficiaries generally pay a monthly premium for Part B services ($78.20 in 2005) in addition to an annual deductible ($110) and other cost-sharing requirements. Medicare has limited long-term care benefits, does not cover eyeglasses, hearing aids, or dental care, and, until 2006, does not pay for outpatient prescription drugs.
Because of beneficiaries' advancing age and significant health needs, most beneficiaries use at least one Medicare service in a given year. Physician office visits are the most frequent, with 67 percent of beneficiaries reporting six or more visits in 2002. In that year, 19 percent of beneficiaries had at least one hospital stay, but hospitalization rates vary by patient characteristics, such as health status, age, and income. Those in fair or poor health, age 85 or older, with lower incomes, and living in rural areas had higher hospitalization rates than their respective counterparts. Beneficiaries with these characteristics were also found to have higher than average rates of home health care use.
Medicare covers a number of preventive services, such as flu shots, pneumococcal vaccines, prostate cancer screenings, mammograms, and Pap smears. Two-thirds of male Medicare beneficiaries report being screened for prostate cancer in 2002. Rates for preventive screenings among female Medicare beneficiaries are not quite as high. Nearly half of women with Medicare (47 percent) said they did not receive a mammogram in 2002, while over six in 10 women did not receive a Pap smear.
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Figure 2.1
Medicare Part A—Hospital Insurance Benefits and Cost-Sharing Requirements, 2005
PART A
Financing
1.45% for both workers and employers
No premiums*
Note: *People age 65 and older are automatically entitled to Medicare if they (or their spouse) worked for 40 quarters or more. Those who have worked up to 30 quarters may be able to get Part A coverage by paying a premium of $375 per month (2005). Those having between 30 and 39 quarters of Medicare-covered employment may be able to get Part A coverage by paying a smaller monthly premium of $206 (2005).
**A benefit period begins when a person is admitted to a hospital and ends 60 days after discharge from a hospital or a skilled nursing facility.
For more detailed information on preventive and other benefits, see http://www.Medicare.gov.
SOURCE: Centers for Medicare and Medicaid Services,Medicare & You, 2005.
Figure 2.2 Medicare Part B—Supplementary Medical Insurance Benefits and Cost-Sharing Requirements, 2005
PART B
Financing
Premiums cover about 25% of Part B costs ($78.20 per month usually deducted from Social Security checks) General revenues cover the remaining 75%
Note: *Coverage limit on Medicare outpatient therapy services ($1,590 limit per year for occupational therapy services, $1,590 limit per year for physical and speech-language therapy services combined). For more detailed information on preventive and other benefits, see http://www.Medicare.gov. SOURCE: Centers for Medicare and Medicaid Services, Medicare & You, 2005.
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A majority of Medicare beneficiaries report using one or more Medicare-covered services during the course of a year. More than two-thirds (67 percent) of beneficiaries visited a physician in 2002, with a median number of six visits per patient. One in five reported at least one inpatient hospital stay. Only 6 percent reported using home health services, and the median number of visits per user was 47.
In 2002, 18 percent of non-institutionalized Medicare beneficiaries reported at least one inpatient hospital stay, but hospitalization rates varied by characteristics, such as health status, age, and income. A larger share of beneficiaries in fair or poor health and those age 85 or older reported a hospital stay, compared with beneficiaries who reported very good or excellent health and those who were younger. Hospitalization rates were somewhat higher among those with lower incomes and those who lived in rural areas.
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Figure 2.5
Home Health Care Utilization by Non-Institutionalized Medicare Beneficiaries,
by Selected Characteristics, 2002
Note: Analysis includes community residents only.
SOURCE: Kaiser Family Foundation analysis of the Medicare Current Beneficiary Survey 2002 Cost and Use File.
In 2002, 6 percent of Medicare beneficiaries used home health care services, but the rate of use varied substantially depending on beneficiaries' health status, age, and other circumstances. Beneficiaries in poor health and those age 85 or older had relatively high rates of home health use. Home health care use was somewhat higher among women than men and for those with lower incomes.
Total = 17.6 Million Male Medicare Beneficiaries, 2002
Note: Includes beneficiaries receiving either blood test or digital exam (or both) to screen for prostate cancer.
SOURCE: Centers for Medicare and Medicaid Services, Medicare Current Beneficiary Survey 2002 Access to Care File.
Medicare covers annual prostate cancer screenings through Part B as a preventive service for all men on Medicare age 50 or older. Nearly two-thirds of male Medicare beneficiaries (65 percent) received a prostate cancer screening test in 2002. For the one-third of men who did not receive a screening test for prostate cancer, the most common reasons cited were that it was not needed or that their doctor did not prescribe it.
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Figure 2.7 Preventive Service Utilization by Female Medicare Beneficiaries, 2002
Mammogram
SOURCE: Centers for Medicare and Medicaid Services, Medicare Current Beneficiary Survey 2002 Access to Care File.
All women on Medicare age 40 or older are eligible to receive a mammogram once every 12 months, but only about half of female beneficiaries reported receiving a mammogram in 2002. Among those who did not receive a mammogram, commonly cited reasons were that the test was not needed, their doctor did not prescribe it, the patient missed or forgot the appointment, or the test was not recommended.
Total = 21.9 Million Female Medicare Beneficiaries, 2002
SOURCE: Centers for Medicare and Medicaid Services, Medicare Current Beneficiary Survey 2002 Access to Care File.
All women on Medicare are covered for a Pap smear once every 24 months (or once every 12 months if at high risk for cervical or vaginal cancer, or if they are of childbearing age and have had an abnormal Pap test in the past 36 months). Six in 10 female Medicare beneficiaries did not receive a Pap smear in 2002. The most commonly cited reasons were that the test was not needed or their doctor did not prescribe it.
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Section 3
SUPPLEMENTAL INSURANCE COVERAGE AND MEDICARE ADVANTAGE SUPPLEMENTAL INSURANCE COVERAGE AND MEDICARE ADVANTAGE
SECTION 3: SUPPLEMENTAL INSURANCE COVERAGE AND MEDICARE ADVANTAGE
Most Medicare beneficiaries (88 percent) have some type of supplemental insurance coverage to help pay for Medicare's cost-sharing requirements and for benefits currently not covered by Medicare. Employer-sponsored coverage is the most common source of supplemental insurance (held by 35 percent of all non-institutionalized beneficiaries in 2002), followed by individually-purchased Medigap policies (21 percent), and Medicaid (17 percent) for those with extremely low incomes.
These sources of coverage vary by beneficiaries' income. More than half (56 percent) of beneficiaries with incomes of $10,000 or less have Medicaid coverage, while only 8 percent of this group has employer-sponsored coverage. Poorer beneficiaries are also among those most likely to have no coverage beyond traditional fee-for-service Medicare. Thirteen percent of beneficiaries with incomes of $10,000 or less and 17 percent of beneficiaries with incomes between $10,001 and $20,000 rely solely on Medicare, while only 6 percent of those with incomes of more than $40,000 lack supplemental insurance coverage.
Employer-Sponsored Retiree Health Coverage. In recent years, employer-sponsored retiree health coverage has eroded as health care costs have climbed, particularly costs for prescription drugs. Between 1988 and 2004, the share of large employers offering retiree health benefits fell from 66 percent to 36 percent. Employers that continue to provide coverage have made changes in the benefits they offer to limit their liability, including increasing retiree contributions to premiums, raising copayments or coinsurance for drugs and other health care services, providing access-only to health benefits with retirees paying 100 percent of costs, and eliminating coverage for future retirees. Most large employers predict continued cutbacks in the future, particularly if retiree health costs continue to rise at double-digit rates.
Medicaid. For more than 6 million Medicare beneficiaries with extremely low incomes, Medicaid pays Medicare's premiums and cost-sharing requirements and covers benefits, such as long-term care and prescription drugs (until Medicare Part D drug coverage begins in 2006). These beneficiaries are known as "full-benefit dual eligibles." While dual eligibles are a fairly small share of the Medicare and Medicaid populations, they account for a sizeable share of the dollars spent on benefits in each program because they tend to be sicker and require more costly health care than non-dual eligible beneficiaries. Through the Medicare Savings Programs, other Medicare beneficiaries with limited income and resources who do not qualify for full Medicaid benefits may be eligible for financial assistance from Medicaid with Medicare's Part B premium and cost-sharing requirements.
Medigap. Medicare beneficiaries can purchase a Medigap policy to supplement Medicare's traditional benefits, but these policies vary widely in the services they cover. Although federal legislation in 1990 limited Medigap coverage to 10 standard policies, one-third of all policies currently held are nonstandard because they were issued prior to the reform. Among standard policies, Plans C and F are the most common, accounting for 23 percent and 37 percent of all standard Medigap policies held in 2001, respectively. Plans H, I, and J are the only Medigap policies that include prescription drug coverage, but only 9 percent of beneficiaries with a Medigap policy have one of these plans. Beginning in 2006, Medigap insurers will not be allowed to issue any new policies that include drug coverage, but two new packages of benefits (Plans K and L) will be available that provide coverage for catastrophic medical expenses.
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Medicare Advantage. In 2005, 13 percent of Medicare beneficiaries are covered under a Medicare Advantage (MA) (formerly Medicare+Choice) plan, primarily health maintenance organizations (HMOs). Although HMOs have been an option under Medicare since the 1970s, the Balanced Budget Act (BBA) of 1997 expanded the role of private plans to include preferred provider organizations (PPOs), providersponsored organizations (PSOs), private fee-for-service (PFFS) plans, and medical savings accounts (MSAs) coupled with high-deductible insurance plans. To date, HMOs remain the most prevalent option in the Medicare Advantage program. Enrollment in MA plans varies widely across states. Less than 1 percent of Medicare beneficiaries are enrolled in MA plans in 17 states, while at least 20 percent are enrolled in Arizona, California, Colorado, Oregon, Pennsylvania, and Rhode Island. Nationwide, more than one in four Medicare Advantage enrollees live in California.
Overall MA plan participation and beneficiary enrollment have fluctuated in recent years. After a period of rapid growth between 1992 and 1998, the number of participating plans declined by half. In 2005, there are 179 Medicare HMOs with 4.8 million enrollees, down from a high of 6.3 million enrollees in 2000. Declining plan participation has been largely attributed to limited increases in Medicare payments to plans, increased administrative responsibilities, provider turnover in managed care networks, and other business concerns.
The Medicare Modernization Act (MMA) of 2003 made a number of changes to the MA program including increasing aggregate payments to plans, creating new regional PPOs that can operate in any of the 26 Medicare Advantage regions, and establishing a $10 billion stabilization fund that may be drawn upon to promote PPO participation on a regional basis. Private plans are expected to play a greater role in Medicare in the future, although enrollment projections vary widely. The Department of Health and Human Services estimates that by 2013, 30 percent of Medicare beneficiaries will be enrolled in Medicare Advantage plans, while the Congressional Budget Office projects an enrollment rate of 16 percent.
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Total = 41.8 Million Medicare Beneficiaries, 2002
Note: Total number of Medicare beneficiaries is based on weighted number of respondents in the Medicare Current Beneficiary Survey 2002 Cost and Use file. SOURCE: Kaiser Family Foundation analysis of the Medicare Current Beneficiary Survey 2002 Cost and Use File.
Most Medicare beneficiaries (88 percent) have supplemental health insurance coverage to help pay Medicare's cost-sharing requirements and pay for services not covered by Medicare. This coverage comes from a range of sources, including employer-sponsored insurance (covering 35 percent of all beneficiaries), individually-purchased Medigap policies (21 percent), Medicaid (17 percent), and HMOs and other Medicare Advantage plans (15 percent).
beneficiaries:
Note: Numbers may not sum to 100% due to rounding.
SOURCE: Kaiser Family Foundation analysis of the Medicare Current Beneficiary Survey 2002 Cost and Use File.
Supplemental insurance coverage varies greatly by beneficiaries' income, with lower-income beneficiaries less likely to have coverage to supplement Medicare. Medicaid provides supplemental coverage for over half (56 percent) of Medicare beneficiaries with the lowest incomes ($10,000 or less), while employer-sponsored coverage is the primary source of supplemental insurance for beneficiaries with the highest incomes (more than $40,000), covering 62 percent of this group.
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Figure 3.3 Percent of Large Employers Offering Retiree Health Benefits, 1988-2004,
and Offering by Firm Size, 2004
Note: Large employers include firms with 200 or more workers. SOURCE: Kaiser/HRET Employer-Sponsored Health Benefits, 2004.
The share of large employers providing health coverage to their retirees fell from 66 percent in 1988 to 36 percent in 2004, a trend which is expected to reduce the number of retirees with such coverage in the future. The share of employers that offer retiree health benefits varies substantially by firm size. Thirtysix percent of firms with 200 or more employees offer retiree health benefits, compared to just 5 percent of small firms (those with fewer than 200 employees).
SOURCE: Kaiser/Hewitt Survey on Retiree Health Benefits, 2002, 2003, and 2004.
Despite ongoing efforts to manage the cost of retiree health benefits, the total cost of providing these benefits has increased rapidly in recent years. Large, private-sector employers (with 1,000 or more employees) offering retiree health benefits report that retiree health costs have risen at double-digit rates in each of the last three years—increasing by an estimated 12.7 percent between 2003 and 2004.
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Note: Includes firms that do not require retiree contributions. Based on responses from private-sector firms with 1,000 or more employees offering retiree health benefits. Premiums for retiree-only coverage for full-time employees retiring on or after January 1, 2004 (new retirees), in plans with the largest number of enrolled retirees. SOURCE: Kaiser/Hewitt 2004 Survey on Retiree Health Benefits, December 2004.
Retirees of large private-sector firms experienced double-digit increases in premium contributions between 2003 and 2004. A typical worker under the age of 65 who retired in 2004 would pay $2,244 in premiums annually ($187 per month), which is 27 percent more than a pre-65 worker who retired in 2003. A typical Medicare-eligible worker (age 65 or older) who retired in 2004 would pay $1,212 in premiums annually ($101 per month), which is 24 percent more than they would have paid in 2003.
Note: Based on responses from private-sector firms with 1,000 or more employees offering retiree health benefits. SOURCE: Kaiser/Hewitt 2004 Survey on Retiree Health Benefits, December 2004.
Employers offering retiree health benefits have made substantial changes to manage rising costs. The majority of firms have increased retiree contributions to premiums (79 percent) and nearly half (45 percent) have increased general cost-sharing requirements. Prescription drug costs also remain a major focus for employers, with just over half (53 percent) reporting that they have recently increased copayments or coinsurance amounts for prescription drugs.
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Figure 3.7 Medicaid Eligibility and Benefits for Medicare Beneficiaries, 2005
Note: *States that elect the so-called "(209b)" option can set lower levels.
**Medicaid benefits may be more limited than for SSI.
SOURCE: Kaiser Commission on Medicaid and the Uninsured.
Medicare beneficiaries can obtain Medicaid through different eligibility pathways and receive varying levels of assistance. Medicare's poorest beneficiaries receive assistance with Medicare premiums and cost-sharing and coverage of Medicaid benefits, such as prescription drugs (until 2006), dental services, and long-term care. Those with incomes or resources just above the federal poverty level receive more limited assistance, primarily coverage of Medicare premiums.
SOURCE: Medicare data are from Kaiser Family Foundation analysis of Medicare Current Beneficiary Survey 2002 Cost and Use File. Medicaid data are from KCMU estimates based on CMS data and Urban Institute estimates based on an analysis of 2001 MSIS data applied to CMS-64 FY2003 data.
Medicare beneficiaries who also are enrolled in their state Medicaid program, known as "dual eligibles," comprise a relatively small share of the Medicare and Medicaid populations but account for a disproportionate share of spending by both programs. In 2003, 14 percent of the 55 million people with Medicaid coverage were dual eligibles, accounting for 40 percent of total Medicaid benefit spending. Dual eligibles were 17 percent of the Medicare population in 2002, and accounted for 29 percent of total Medicare spending.
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SOURCE: Urban Institute estimates for KCMU based on an analysis of 2001 MSIS and Financial Management reports (CMS Form 64 FY2003).
Medicaid spending for dual eligibles totaled $105.4 billion in FY2003. The majority of Medicaid expenditures for dual eligibles are for long-term care services (66 percent); 15 percent of spending on dual eligibles is for acute care services, 14 percent of spending is for prescription drugs, and 5 percent is for payment of Medicare premiums for dual eligibles.
Note: Other services include prescription drugs, dental, and long-term care facility stays. SOURCE: Kaiser Family Foundation analysis of the Medicare Current Beneficiary Survey 2002 Cost and Use File.
Medicare spending for dual eligibles totaled $64.3 billion in 2002. The majority of Medicare expenditures for dual eligibles are for inpatient hospital events and services (46 percent); 26 percent of spending on dual eligibles is for medical provider services and supplies, 11 percent for outpatient hospital services, 10 percent for short-term skilled nursing facility stays, and 4 percent for home health visits.
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| Plan Kb | 100% 100% 50% 50% | 50% | 50% | | | | | | | 50% | 100% | Xe |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Plan Ja | 100% 100% 100% 100% | 100% | 100% | 100% | 100% | 100% | 100% | 50%d | 100% | | | |
| Plan I | 100% 100% 100% 100% | 100% | 100% | | 100% | 100% | 100% | 50%d | | | | |
| Plan H | 100% 100% 100% 100% | 100% | 100% | | | 100% | | 50%d | | | | |
| Plan G | 100% 100% 100% 100% | 100% | 100% | | 80% | 100% | 100% | | | | | |
| Plan Fa | 100% 100% 100% 100% | 100% | 100% | 100% | 100% | 100% | | | | | | |
| Plan E | 100% 100% 100% 100% | 100% | 100% | | | 100% | | | | | | |
| Plan D | 100% 100% 100% 100% | 100% | 100% | | | 100% | 100% | | 100% | | | |
| Plan C | 100% 100% 100% 100% | 100% | 100% | 100% | | 100% | | | | | | |
| Plan B | 100% 100% 100% 100% | | 100% | | | | | | | | | |
| Plan A | 100% 100% 100% 100% | | | | | | | | | | | |
| | Coverage for: – Part A coinsurance – 365 additional hospital days during lifetime – Part B coinsurance – Blood products | | Part A deductible | | Part B balance billing (excess charges)c | | Home health care | | Preventive medical care | | Part B Medicare-covered preventive benefits | |
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SOURCE: Medicare Payment Advisory Commission analysis of 2001 Medicare Supplemental Exhibits from the National Association of Insurance Commissioners.
Of the 10 standardized Medigap policies, Plans C and F are the most popular, accounting for 23 percent and 37 percent of all standard Medigap policies held in 2001, respectively. These policies pay most of Medicare's cost-sharing requirements but do not cover prescription drugs. Plans H, I, and J include some drug coverage but are only a small share (9 percent) of Medigap policies held.
Note: Total includes approximately 100,000 beneficiaries enrolled in the PPO demonstration plans. SOURCE: Mathematica Policy Research, Inc. analysis of CMS Geographic Service Area File for AARP Public Policy Institute, January 2005.
Nearly 5 million Medicare beneficiaries are enrolled in Medicare Advantage (MA) plans. A majority of MA enrollees are in local Medicare HMOs, which have been an option under Medicare since the 1970s. The Balanced Budget Act (BBA) of 1997 expanded the types of private plans to include preferred provider organizations (PPOs), provider-sponsored organizations (PSOs), and private fee-for-service (PFFS) plans, but a relatively small share of beneficiaries are enrolled in these plans currently.
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Figure 3.14
Note: Various states are identified to show cross-state variation. Share of Medicare Advantage enrollees include beneficiaries enrolled in Medicare HMOs, PP0s (demonstration and non-demonstration), and PSO plans, and excludes private fee-for-service cost contract enrollees, and other demonstration plans. National average shows enrollment in all MA plan types. SOURCE: Mathematica Policy Research, Inc analysis of Centers for Medicare and Medicaid Services State/County Market Penetration Files, March 2005.
Medicare Advantage enrollment varies widely across states. Less than 1 percent of Medicare beneficiaries are enrolled in HMOs, PPOs, and POS plans in 17 states, while at least 20 percent are enrolled in MA plans in Arizona, California, Colorado, Oregon, Pennsylvania, and Rhode Island. Overall, more than one in four Medicare Advantage enrollees live in California.
Note: All data are from December of the given year, except 2005 data are from March. Number of plans include Medicare HMOs, PPOs (non-demonstration), and PSO contracts; excludes PFFS, demonstrations, and cost contracts.
SOURCE: Centers for Medicare and Medicaid Services, Medicare Managed Care Contract (MMCC) Plans Monthly Summary Report.
Medicare Advantage plan participation and enrollment have fluctuated in recent years. After a period of rapid growth in the MA program between 1992 and 1998, the number of plans participating in Medicare Advantage declined by half. As of March 2005, there were 179 Medicare Advantage plans (Medicare HMOs, non-demonstration PPOs, and PSO contracts) in operation nationwide.
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Note: R = Region Number. Total number of MA regions = 26. SOURCE: Centers for Medicare and Medicaid Services, December 2004.
Beginning in 2006, there will be 26 Medicare Advantage regions comprised of single states or groups of states. Regional PPO plans will also be available, in addition to county-based private plans currently participating in the Medicare Advantage program. PPO plans that want to enter the Medicare Advantage market are required to serve a region in its entirety and must offer the same benefits within a region.
Note: All actual data are from December of the given year. HHS = Department of Health and Human Services. CBO = Congressional Budget Office. SOURCE: Historical data from CMS, Medicare Managed Care Contract (MMCC) Plans Monthly Summary Report. Projections from President's FY2006 Budget, Office of Management and Budget, February 7, 2005; and CBO Medicare Baseline, March 2005.
Enrollment of Medicare beneficiaries in Medicare HMOs and other private plans increased from 11 percent in 1992 to 17 percent in 1998, then decreased to approximately 11 percent in 2004. Private plans are expected to play a greater role in Medicare in the future, although enrollment projections vary widely. The U.S. Department of Health and Human Services estimates that 30 percent of Medicare beneficiaries will be enrolled in Medicare Advantage plans by 2013, while the Congressional Budget Office projects an enrollment rate of 16 percent that year.
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Section 4
OUT-OF-POCKET SPENDING OUT-OF-POCKET SPENDING
SECTION 4: OUT-OF-POCKET SPENDING
Despite significant financial protections provided by Medicare, gaps in the benefit package and relatively high cost-sharing requirements result in beneficiaries paying a substantial share of their total health and long-term care costs out of pocket. In 2002, Medicare covered less than half (45 percent) of beneficiaries' total per capita medical and long-term care expenses ($11,714, on average). Beneficiaries paid, on average, 19 percent of total expenses, or $2,223, out of pocket. Of the $93 billion spent by beneficiaries out of pocket for medical and long-term care that year, two-thirds of this spending was for benefits and services for which Medicare currently provides limited or no coverage, including long-term care (36 percent), prescription drugs (22 percent), and dental services (8 percent).
Out-of-pocket spending is highly skewed. Just over half of all beneficiaries spent less than $1,000 out of pocket in 2002, while almost 10 percent of beneficiaries spent $5,000 or more. Average spending by beneficiaries also increases with age and varies by health status. In 2002, beneficiaries between the ages of 65 and 74 spent $1,371, on average, while those age 85 or older spent substantially more ($1,724). As might be expected, as health status declines, out-of-pocket spending rises. In 2002, beneficiaries in poor health spent $1,000 more out of pocket on their health care than did those in fair health and more than twice as much as those in excellent or very good health.
Out-of-pocket spending among Medicare beneficiaries also varies by source of supplemental insurance coverage—reflecting differences in the scope of covered services and variations in the health care needs of those with different types of coverage. Beneficiaries without supplemental coverage of any kind and those with individually-purchased Medigap policies pay more, on average, than beneficiaries with employer-sponsored coverage. Medicare beneficiaries with Medicaid—the dual eligibles—generally have the lowest average out-of-pocket costs (despite being in relatively poor health), because Medicaid provides relatively comprehensive coverage of prescription drugs and long-term care costs, in addition to covering Medicare premiums and other cost-sharing requirements.
Because Medicare provides no coverage for prescription drugs used in an outpatient setting (until 2006), the cost of medications has been a significant concern. In 2005, almost 60 percent of beneficiaries are projected to have no or relatively low ($750 or less) out-of-pocket drug expenses, while at the upper end of spending, 7 percent of beneficiaries are projected to have out-of-pocket drug costs of more than $3,600. Between 2000 and 2004, average out-of-pocket spending on prescription drugs increased by 64 percent, from $613 to $1,005. In 2005, average per capita out-of-pocket spending on prescription drugs among Medicare beneficiaries is estimated to be $1,139. Once coverage begins under the new drug benefit in 2006, per capita out-of-pocket drug spending is estimated to be $970.
Out-of-pocket spending on prescription drugs varies by a number of factors including gender, income, health status, and urban/rural residence. Those in poor health have out-of-pocket spending in 2005 that is estimated to be more than twice as much as spending by those in very good or excellent health. In addition, women spend more than men and those in rural areas spend more than those living in urban areas. Out-of-pocket spending on drugs also varies by source of supplemental coverage. For example, beneficiaries with Medigap drug coverage spent, on average, one-third more out of pocket on their prescriptions than beneficiaries with employer-sponsored coverage.
Beginning in 2006, Medicare will help pay for outpatient prescription drugs for beneficiaries who enroll in private prescription drug plans (PDPs) or Medicare Advantage plans that cover prescription drugs (MAPDs). (See Section 5 for an overview of the Medicare prescription drug benefit.) For the majority of beneficiaries who enroll in Medicare drug plans, average out-of-pocket spending for prescription drugs in 2006 is projected to be lower than it would have been in the absence of the Medicare drug benefit. Many beneficiaries—particularly those who previously lacked drug coverage and receive low-income subsidies—are projected to have substantially lower out-of-pocket spending. Many beneficiaries will continue to face high out-of-pocket costs when the new benefit goes into effect, however, especially those who are projected to have drug spending that is subject to 100 percent coinsurance.
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Total = $11,714 in Expenses per Beneficiary, 2002
Note: Figure shows average total spending for both non-institutionalized and institutionalized beneficiaries, including long-term care, skilled nursing facility, and prescription drug spending, but excluding spending on premiums or deductibles for Medicare Parts A, B, and C and private health insurance. SOURCE: Kaiser Family Foundation analysis of the Medicare Current Beneficiary Survey 2002 Cost and Use File.
Each year, a majority of beneficiaries use Medicare to help pay for their hospital, physician, other medical care, and long-term care services. In 2002, Medicare paid less than half (45 percent) of the $11,714 in total medical expenses per beneficiary, while beneficiaries themselves paid 19 percent out of pocket.
Total = $93 Billion in Out-of-Pocket Expenses, 2002
Note: Figure shows distribution of total out-of-pocket spending for both non-institutionalized and institutionalized beneficiaries, including long-term care, skilled nursing facility, and prescription drug spending, but excluding spending on premiums or deductibles for Medicare Parts A, B, and C and private health insurance. SOURCE: Kaiser Family Foundation analysis of the Medicare Current Beneficiary Survey 2002 Cost and Use File.
In 2002, Medicare beneficiaries spent $93 billion out of pocket for medical and long-term care services. Two-thirds of beneficiaries' out-of-pocket spending was for benefits and services for which Medicare currently provides only partial or no coverage, including long-term care expenses (36 percent), prescription drugs (22 percent), and dental services (8 percent).
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SOURCE: Kaiser Family Foundation analysis of the Medicare Current Beneficiary Survey 2002 Cost and Use File.
Average per capita out-of-pocket spending among the Medicare population was $2,223 in 2002. Only a small share of beneficiaries (4 percent) had no out-of-pocket expenses. Although half (51 percent) spent less than $1,000 out of pocket, nearly one in 10 beneficiaries spent $5,000 or more out of pocket, accounting for over half of all out-of-pocket spending by Medicare beneficiaries in 2002.
Note: Analysis includes community residents only.
SOURCE: Kaiser Family Foundation analysis of the Medicare Current Beneficiary Survey 2002 Cost and Use File.
Out-of-pocket spending by Medicare beneficiaries varies by the type of supplemental insurance coverage they have. On average, Medicare beneficiaries who resided in the community incurred $1,490 in out-of-pocket costs in 2002. Out-of-pocket spending by those without supplemental coverage averaged $1,858. Medicare beneficiaries with Medicaid incurred the lowest out-of-pocket costs, because Medicaid covers Medicare's deductibles, coinsurance, and premiums, and currently covers benefits not offered by Medicare, including prescription drugs (until 2006) and long-term care.
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Figure 4.5
Per Capita Out-of-Pocket Spending by Non-Institutionalized Medicare Beneficiaries, by Gender, Age, and Health Status, 2002
Note: Analysis includes community residents only.
SOURCE: Kaiser Family Foundation analysis of the Medicare Current Beneficiary Survey 2002 Cost and Use File.
Out-of-pocket spending on health care increases with declining health status and advancing age. Beneficiaries in poor health spent $1,000 more out of pocket on their health care in 2002 than did than those in fair health and more than twice as much as those in very good or excellent health. Those age 85 or older and nonelderly beneficiaries with disabilities had higher out-of-pocket expenditures than elderly beneficiaries between the ages of 65 and 84, reflecting the unique health needs of these subgroups of the Medicare population.
Total = 42.1 Million Medicare Beneficiaries, 2005
SOURCE: Actuarial Research Corporation analysis for the Kaiser Family Foundation, May 2005.
A significant share of out-of-pocket spending by Medicare beneficiaries is for prescription drugs. Average per capita out-of-pocket spending on prescription drugs among Medicare beneficiaries is projected to be $1,139 in 2005. Sixty percent of beneficiaries are projected to have $750 or less in outof-pocket drug expenses in 2005, while 7 percent are projected to have more than $3,600 in out-ofpocket drug costs.
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Figure 4.7
Per Capita Out-of-Pocket Prescription Drug Spending by Non-Institutionalized Medicare
Beneficiaries, by Primary Source of Supplemental Coverage, 2005
Note: Medicaid includes beneficiaries with both full-year and part-year coverage. SOURCE: Actuarial Research Corporation analysis for the Kaiser Family Foundation, May 2005.
Annual out-of-pocket spending on prescription drugs by Medicare beneficiaries varies by source of supplemental coverage, reflecting differences in the generosity of benefits and variations in the health care needs of those with different sources of coverage. On average, Medicare beneficiaries enrolled in Medicaid spend the least out of pocket on prescription drugs, because Medicaid has very low or no costsharing requirements for drugs. Medicare beneficiaries with no supplemental coverage and those with Medigap policies spend the most out of pocket on prescription drugs.
Figure 4.8 Per Capita Out-of-Pocket Prescription Drug Spending by Non-Institutionalized Medicare
Beneficiaries, by Selected Characteristics, 2005
Note: In 2005, 100% of the federal poverty level was $9,570/individual and $12,830/couple. MSA is Metropolitan Statistical Area. SOURCE: Actuarial Research Corporation analysis for the Kaiser Family Foundation, May 2005.
Out-of-pocket drug spending by Medicare beneficiaries varies by individual characteristics, such as health status, gender, and urban/rural residence. Those in poor health are projected to spend more than twice as much out of pocket on drugs as those in very good or excellent health. Out-of-pocket drug expenses are greater for women than men, on average, and for those living in rural areas than in urban areas.
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Note: Dollar amounts reflect out-of-pocket spending on prescription drugs only, excluding spending on premiums for drug coverage that beneficiaries might incur. SOURCE: Actuarial Research Corporation analysis for the Kaiser Family Foundation, May 2005.
In recent years, Medicare beneficiaries have spent increasing amounts out of pocket for their prescription drugs. Between 2000 and 2005, average out-of-pocket spending on prescription drugs by Medicare beneficiaries increased by 86 percent, from $613 to $1,139. In 2006, when coverage under the Medicare prescription drug benefit begins, average per capita out-of-pocket drug spending by beneficiaries is projected to be $970.
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Section 5
MEDICARE AND PRESCRIPTION DRUGS MEDICARE AND PRESCRIPTION DRUGS
SECTION 5: MEDICARE AND PRESCRIPTION DRUGS
Medicare beneficiaries are highly dependent on prescription drugs to manage their acute and chronic health conditions, yet, until 2006, Medicare does not cover the cost of outpatient prescription drugs. Virtually all beneficiaries (91 percent) take at least one medication. Despite the relatively heavy use of pharmaceuticals, nearly half of all beneficiaries lacked drug coverage for at least part of the year in 2002: 18 percent of beneficiaries lacked drug coverage for the full year and another 27 percent lacked drug coverage for at least part of the year. Beneficiaries accessed full- or part-year drug coverage through a variety of sources, including employer-sponsored plans (34 percent), Medicaid (14 percent), Medicare HMOs and other managed care plans (12 percent), and individually-purchased Medigap policies (12 percent). In addition, as of March 2005, 34 states had adopted some type of program to assist beneficiaries with the cost of prescription drugs, although large programs exist in only a few states.
More than half of all beneficiaries who lacked drug coverage for the full year in 2002 had incomes of less than $20,000 (individual and spouse); 21 percent had incomes of $10,000 or less. Beneficiaries with incomes between $10,001 and $20,000 are at greatest risk of being without drug coverage for the full year, because they are less likely than the lowest-income beneficiaries to have Medicaid, and less likely than higher-income beneficiaries to have employer-sponsored retiree health coverage. Beneficiaries age 85 or older are more likely than their younger counterparts to lack drug coverage for the full year. Beneficiaries living in rural areas also are substantially more likely than those living in urban areas to lack drug coverage.
Lack of drug coverage is a concern because beneficiaries without it fill fewer prescriptions due to costs and have higher out-of-pocket drug spending, on average, than those with coverage. Medicare beneficiaries without drug coverage filled one-third fewer prescriptions, on average, than beneficiaries with some form of drug coverage—a difference in drug use that persists across a range of individual characteristics, including health status and income.
Average per capita drug spending among Medicare beneficiaries in 2005 is estimated to be $2,864. However, drug spending is highly skewed and concentrated among a small share of beneficiaries. In 2005, nearly one in five beneficiaries (18 percent) had total drug expenditures exceeding $5,100, accounting for more than half of all drug expenditures incurred by the Medicare population. At the lower end of the spectrum, another one in five beneficiaries (20 percent) had total expenditures of $250 or less in 2005, accounting for only 1 percent of total drug expenditures. As noted in Section 4, out-of-pocket spending for prescription drugs is also highly skewed. Just over half of all beneficiaries spent less than $1,000 out of pocket in 2002, while almost 10 percent of beneficiaries spent $5,000 or more.
Beginning in January 2006, Medicare beneficiaries will have access to drug coverage through private prescription drug plans (PDPs) or Medicare Advantage plans that cover prescription drugs (MA-PDs). Under the standard benefit design, beneficiaries who enroll in a Medicare prescription drug plan will pay a monthly premium, an annual deductible, and coinsurance or copayments for their covered drugs. Standard amounts for deductibles, benefit limits, and catastrophic thresholds are indexed to rise with the growth in per capita Medicare drug benefit spending. Medicare will provide premium and cost-sharing subsidies to assist those beneficiaries who have limited incomes and financial resources. Medicare will contract with risk-bearing drug plans in each of 34 regions nationwide to provide the new prescription drug benefit. Premiums, cost-sharing requirements, and formularies are expected to vary across plans, subject to certain limitations imposed by the federal government.
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Of the estimated 43.1 million Medicare beneficiaries in 2006, 29.3 million are expected to enroll in Medicare prescription drug plans that year, according to the Administration. Another 9.8 million are expected to get prescription drug coverage from an employer plan. Of the 14.5 million beneficiaries estimated to be eligible for low-income subsidies, 10.9 million are expected to receive them. The net federal cost of the Medicare drug benefit is estimated to be $37 billion in 2006, increasing to $67 billion in 2010, and totaling $724 billion for the decade from 2006 to 2015. Financing for the Medicare drug benefit will come from several sources, including premiums paid by beneficiaries, contributions from states, and general revenues.
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Total = 39.4 Million Non-Institutionalized Medicare Beneficiaries, 2002
Note: *Includes public programs such as Veterans Administration, Department of Defense, and State Pharmaceutical Assistance Programs for low-income elderly. Analysis includes community residents only. SOURCE: Kaiser Family Foundation analysis of the Medicare Current Beneficiary Survey 2002 Cost and Use File.
In 2002, almost one in five non-institutionalized Medicare beneficiaries (18 percent) lacked coverage for prescription drug expenses for the full year and another 27 percent lacked coverage for part of the year. Beneficiaries with drug coverage obtained it from a variety of sources: employer-sponsored plans (34 percent), Medicaid (14 percent), Medicare HMOs (12 percent), individually-purchased Medigap policies (12 percent), and other public sources (10 percent).
Note: Analysis includes community residents only.
SOURCE: Kaiser Family Foundation analysis of the Medicare Current Beneficiary Survey 2002 Cost and Use File.
A smaller share of low-income beneficiaries have prescription drug coverage than those with higher incomes. In 2002, a greater share of beneficiaries with annual incomes between $10,001 and $20,000 lacked drug coverage than those with incomes of $10,000 or less, because Medicaid currently covers prescription drugs for many of Medicare's lowest-income beneficiaries.
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Total = 7.0 Million Medicare Beneficiaries Without Drug Coverage for the Full Year, 2002
Note: Analysis includes community residents only.
SOURCE: Kaiser Family Foundation analysis of the Medicare Current Beneficiary Survey 2002 Cost and Use File.
Although low-income Medicare beneficiaries are more likely than higher-income beneficiaries to lack prescription drug coverage, more than one in four Medicare beneficiaries (44 percent) without prescription drug coverage in 2002 had an annual income of more than $20,000.
Note: Analysis includes community residents only.
SOURCE: Kaiser Family Foundation analysis of the Medicare Current Beneficiary Survey 2002 Cost and Use File.
Medicare beneficiaries without coverage to supplement Medicare's traditional benefits fill fewer prescriptions than those with some type of supplemental insurance coverage. Among beneficiaries with supplemental insurance, Medicare beneficiaries who are covered by Medicaid (dual eligibles) fill, on average, at least 10 more prescriptions per capita than those with other sources of coverage. Dual eligible beneficiaries tend to have greater medical needs than other Medicare beneficiaries.
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Figure 5.5 Percent of Medicare Beneficiaries Without Prescription Drug Coverage, by Selected Characteristics, 2002
SOURCE: Kaiser Family Foundation analysis of the Medicare Current Beneficiary Survey 2002 Cost and Use File.
Overall, 18 percent of non-institutionalized Medicare beneficiaries lacked prescription drug coverage for the entire year in 2002. Certain types of beneficiaries are at greater risk of having no drug coverage, including beneficiaries age 85 or older (24 percent), those living in rural areas (26 percent), and those with annual incomes between $10,001 and $20,000 (22 percent).
Medicare beneficiaries without prescription drug coverage fill fewer prescriptions than those with some form of drug coverage—an average of one-third fewer prescriptions in 2002. This difference in prescription drug use persists across a range of individual characteristics, including health status and income.
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Figure 5.7 Prescription Drug Non-Adherence Among Seniors, Overall and by Disease Burden, 2003
Percent of Seniors Reporting
Non-Adherence Due to:
Note: Low-income is defined as equal to or less than 200% of the federal poverty level. Rx = prescription medication.
SOURCE: Kaiser/Commonwealth/Tufts-New England Medical Center 2003 National Survey of Seniors and Prescription Drugs.
In the face of complex and costly drug regimens, two in five seniors (40 percent) reported not taking their medications as prescribed in 2003. Costs and poor experiences with medications contributed to relatively high rates of non-adherence among seniors. About half of seniors with incomes less than or equal to twice the poverty level and those with three or more chronic conditions reported non-adherence.
Note: Low-income is defined as equal to or less than 200% of the federal poverty level. Rx = prescription medication. Type of Rx = pills, inhalers, injections, creams, or eye drops. SOURCE: Kaiser/Commonwealth/Tufts-New England Medical Center 2003 National Survey of Seniors and Prescription Drugs.
Seniors – especially those with three or more chronic conditions – rely heavily on prescription drugs to maintain their health. Many have multiple prescribing doctors (54 percent) and use more than one pharmacy to obtain their medications (36 percent). Rates are even higher among seniors with three or more chronic conditions.
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SOURCE: Actuarial Research Corporation analysis for the Kaiser Family Foundation, May 2005.
Average per capita drug spending among the Medicare population is projected to be $2,864 in 2005. Drug spending is highly skewed, however, and concentrated among a relatively small share of beneficiaries. Ten percent of beneficiaries are projected to have no drug costs and another 10 percent are projected to have expenses of $250 or less. In contrast, 18 percent of beneficiaries are projected to have total drug costs of $5,100 or more in 2005, accounting for 57 percent of total drug spending on behalf of Medicare beneficiaries.
+ ~$450 Average Annual Premium***
Note: *Equivalent to $750 in out-of-pocket spending. **Equivalent to $3,600 in out-of-pocket spending. ***Annual amount based on $37.37 monthly Part D premium estimate from 2005 Annual Report of the Medicare Boards of Trustees. SOURCE: Kaiser Family Foundation illustration of standard Medicare drug benefit described in the Medicare Modernization Act of 2003.
Beginning in 2006, Medicare beneficiaries will have access to prescription drug coverage through private plans. Under the standard benefit design, beneficiaries who enroll in a Medicare drug plan will pay a monthly premium, annual deductible, and copayments for their prescription drugs. In 2006, the monthly premium for the standard drug benefit is estimated to average $37, but this amount will vary across plans.
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Figure 5.11 Medicare Prescription Drug Benefit Subsidies
for Low-Income Beneficiaries, 2006
| Low-Income Subsidy Level | Monthly Premium | Annual Deductible |
|---|---|---|
| Full-benefit dual eligibles with incomes <100% of poverty ($9,570/individual; $12,830/couple in 2005) | $0 | $0 |
| Full-benefit dual eligibles with incomes ≥100% of poverty; and individuals with incomes <135% of poverty ($12,920/individual; $17,321/couple in 2005) and assets <$6,000/individual; $9,000/couple | $0 | $0 |
| Individuals with incomes 135%–150% of poverty ($12,920–$14,355/individual; $17,321–$19,245/couple in 2005) and assets < $10,000/individual; $20,000/couple | sliding scale up to ~$37 | $50 |
Note: Cost-sharing subsidies paid by the Centers for Medicare and Medicaid Services count toward the out-of-pocket threshold. SOURCE: Kaiser Family Foundation summary of Medicare drug benefit low-income subsidies in 2006.
Medicare beneficiaries with low incomes may be eligible for premium and cost-sharing subsidies for the prescription drug benefit. Medicare beneficiaries with Medicaid drug coverage, and those enrolled in Medicare Savings Programs, are automatically deemed eligible for these subsidies. Other low-income beneficiaries will have to meet both an income and asset test and apply to a private drug plan separately. Of the 7.8 million non-dual eligible beneficiaries with incomes below 150 percent of poverty who would otherwise be eligible for assistance in 2006, the Congressional Budget Office estimates that 1.8 million beneficiaries will not qualify as a result of the asset test.
Figure 5.12 Medicare Prescription Drug Benefit Premiums and Cost-Sharing Amounts for Selected Years
| | 2006 | 2010 |
|---|---|---|
| Monthly Premium (estimated average) | $37.37 | $48.94 |
| Annual Deductible | $250 | $331 |
| Initial Coverage Limit | $2,250 | $2,980 |
| Coverage Gap (difference between initial coverage limit and catastrophic threshold) | $2,850 | $3,774 |
SOURCE: 2005 Annual Report of the Boards of Trustees of the Federal Hospital Insurance and Federal Supplementary Medical Insurance Trust Funds.
Standard benefit limits, catastrophic thresholds, and cost-sharing requirements for the Medicare prescription drug benefit are indexed to rise with the growth in per capita Part D spending. The annual deductible is estimated to increase from $250 in 2006 to $437 in 2014, while the coverage gap between partial and catastrophic coverage is estimated to increase from $2,850 to $4,984 over the same period.
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Total = 43.1 Million Medicare Beneficiaries (2006 estimate)
Note:*Other non-participants include federal retirees with drug coverage through FEHBP or TRICARE, and those who lack drug coverage. **Other low-Income includes non-dual eligibles with incomes <150% FPL. SOURCE: HHS Office of the Actuary, Medicare Modernization Act Final Rule, January 2005.
Of the estimated 43.1 million Medicare beneficiaries in 2006, the U.S. Department of Health and Human Services expects 29.3 million beneficiaries to enroll in Medicare prescription drug plans that year. Another 9.8 million are expected to get prescription drug coverage through an employer-sponsored plan. Of the 14.5 million low-income beneficiaries estimated to be eligible for financial assistance with the Medicare drug benefit, 10.9 million beneficiaries are expected to receive it.
The net federal cost of the Medicare drug benefit is projected to be $724 billion between 2006 and 2015. Financing for the Medicare drug benefit will come from several sources, including premiums paid by beneficiaries, state contributions (commonly referred to as the "clawback"), and general revenues.
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Note: Each territory is its own PDP region. R = Region. Total number of PDP regions = 34. SOURCE: Centers for Medicare and Medicaid Services, February 2005.
Medicare will contract with risk-bearing prescription drug plans (PDPs) in each of 34 regions nationwide to provide the prescription drug benefit. If two or more risk-bearing plans are not available in a region (including at least one freestanding prescription drug plan), Medicare will contract with a "fallback" plan to serve beneficiaries in that area. (The PDP regions differ from the regions served by Medicare Advantage drug plans—see Figure 3.16.)
Figure 5.16 State Senior Pharmaceutical Assistance Programs, 2005
DC
Subsidy Program
Both Subsidy and Discount
Programs
No Program
Both Programs, plus Automatic
Enrollm
ent in Medicare Drug
Discount Card Program
Discount Program
S
ubsidy Program, plus Automatic
Enrollment in Medicare Drug
Discount Card Program
Note: A subsidy program provides prescriptions drugs to low-income seniors for a nominal fee. A discount program offers discounts negotiated by states with pharmaceutical companies and with discount cards to low-income seniors on prescription drugs. SOURCE: National Conference of State Legislatures, March 2005.
As of March 2005, 34 states have created some type of program to assist Medicare beneficiaries with the cost of prescription drugs: a subsidy program in 24 states, a discount program in 15 states, and both types of programs in five states. During 2004 and 2005, eight states facilitated enrollment into the Medicare Drug Discount Card Program for qualifying Medicare beneficiaries, in addition to offering a pharmaceutical assistance program.
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Section 6
MEDICARE SPENDING MEDICARE SPENDING
SECTION 6: MEDICARE SPENDING
In FY2004, Medicare benefit payments totaled $295 billion, Medicare spending accounted for 17 percent of national health expenditures and 12 percent of the federal budget. Medicare is responsible for almost one-fifth of the $1.4 trillion in national personal health care expenditures, but Medicare's share of spending varies by type of service, reflecting benefits covered and services used by the Medicare population. For example, in 2003, Medicare paid for 30 percent of the nation's total hospital spending and 20 percent of spending on physician services, but less than 2 percent of prescription drug costs.
Currently, inpatient hospital services are the largest category of Medicare benefit payments (39 percent), followed by payments for physicians and suppliers (26 percent). Home health care and skilled nursing facility services account for less than 10 percent of total benefit spending. The composition of Medicare benefit payments will shift with the addition of prescription drug coverage in 2006. By 2010, prescription drugs are projected to account for 20 percent of Medicare benefit payments. The distribution of Medicare payments has shifted over time, reflecting changes in health care delivery and how Medicare pays for services. For example, hospitalizations accounted for 87 percent of program spending in 1966, but 38 percent in 2004, while spending on physician and other outpatient services more than tripled from 12 percent to 37 percent.
Medicare payments for each beneficiary enrolled in the traditional fee-for-service program averaged $6,110 in 2002. Per capita payments for the elderly ($6,002) were nearly $1,500 higher than they were for the nonelderly disabled ($4,547). As expected, Medicare per capita spending increases as health status declines. Per capita spending is more than twice the amount for beneficiaries residing in longterm care facilities than for beneficiaries living in the community. Medicare spending is also significantly higher for beneficiaries in their last year of life: $24,856 for beneficiaries who died in 1999 compared to $3,669 for those who were alive at the end of that year. 1
Medicare spending is highly concentrated among a minority of beneficiaries. In 2002, 7 percent of beneficiaries incurred expenditures of $25,000 or more, accounting for just over half of program spending. Twelve percent of beneficiaries accounted for more than two-thirds of program spending. At the lower end, 12 percent of beneficiaries in the fee-for-service program incurred no Medicare expenditures in 2002.
On a per capita basis, Medicare spending has grown at a slightly slower pace, on average, than private health insurance spending for comparable services. Private health insurance spending grew at an average annual rate of 10.1 percent in the period between 1970 and 2003, while Medicare spending grew at an average rate of 9.0 percent. Administrative expenditures currently account for less than 2 percent of Medicare benefit expenditures, significantly lower than the cost of running private health plans.
1 Calfo, S., et al. "Last Year of Life Study." Office of the Actuary, Centers for Medicare and Medicaid Services.
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Total = $1.7 Trillion in National Health Expenditures, 2003
Note: *Medicaid and SCHIP include funds from both federal and state governments. SCHIP is the Title XIX State Children's Health Insurance Expansion. SOURCE: C. Smith, et al., "Health Spending Growth Slows in 2003," Health Affairs, 24 (January/February 2005) 185-194.
Health care expenditures in the United States totaled $1.7 trillion in 2003. Medicare represented 17 percent ($283 billion) of these expenditures, while private health insurance financed 35 percent ($601 billion), and consumers paid about 14 percent ($231 billion) out of pocket.
Note: *Also includes dental care, durable medical equipment, other professional services and other personal health care services and products. SOURCE: C. Smith, et al., "Health Spending Growth Slows in 2003," Health Affairs, 24 (January/February 2005) 185-194.
Medicare is responsible for almost one-fifth of the $1.4 trillion in personal health care expenditures in the U.S., but Medicare's share varies by type of service, reflecting benefits covered and services used by the Medicare population. For example, in 2003, Medicare paid for 30 percent of all hospital spending and 32 percent of home health care spending but less than 2 percent of prescription drug costs.
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Total = $2,292 Billion in FY2004 Federal Spending
Note: *Includes other retirement and disability programs, unemployment compensation, and farm price supports; also includes offsetting receipts. **Includes funding for homeland security, transportation, education, and public health. SOURCE: Office of Management and Budget, Budget of the U.S. Government, FY2006.
Total federal spending in FY2004 was almost $2.3 trillion. Spending on Medicare was $265 billion (including offsets), or 12 percent of the total. Spending on Social Security, the single largest program in the federal budget, totaled 21 percent ($492 billion), while defense spending accounted for 19 percent ($436 billion).
Note: Figures do not include administrative expenses. Amount for FY2004 excludes Part D low-income subsidy payments. SOURCE: Congressional Budget Office, Medicare Fact Sheet, March 2005.
Medicare benefit payments in FY2004 totaled $295 billion. Currently, the largest category of Medicare benefit payments is inpatient hospital services (39 percent). The composition of Medicare benefit payments will shift with the addition of prescription drug coverage in 2006. In FY2010, prescription drugs are projected to account for 20 percent of Medicare benefit payments.
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SOURCE: Congressional Budget Office,The Budget and Economic Outlook: Fiscal Years 2006–2015, January 2005.
Total Medicare spending was $297 billion in FY2004. Medicare spending has increased each year since the program began in 1966, with the exception of FY1998-1999, when changes in provider payment policies contributed to a reduction in program spending. Since then, Medicare spending has increased annually.
Note: *Coverage for skilled nursing facilities was effective January 1, 1967. Total includes expenditures for ESRD beneficiaries, but excludes administrative payments.
SOURCE: All data are from the Health Care Financing Administration (Office of the Actuary, Medicare and Medicaid Cost Estimates Group), December 2000, except for 2004 data, which are from the 2005
Annual Report of the Medicare Trustees.
The distribution of Medicare benefit payments has shifted over time, reflecting changes in health care delivery and how Medicare pays for services. Hospitalizations constituted 87 percent of program spending in 1966, but only 38 percent in 2004, while spending on physician services and other Part B services more than tripled from 12 percent in 1966 to 37 percent in 2004.
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Note: Excludes beneficiaries enrolled in Medicare HMO plans. ESRD is end-stage renal disease. SOURCE: Kaiser Family Foundation analysis of the Medicare Current Beneficiary Survey 2002 Cost and Use File.
In 2002, Medicare payments for each beneficiary enrolled in the fee-for-service program (excluding those enrolled in Medicare Advantage plans) averaged $6,110. These payments vary across different types of beneficiaries. Medicare spending on each elderly beneficiary averaged $6,002, while spending for nonelderly disabled beneficiaries was 25 percent less, averaging $4,547. Spending is highest for those beneficiaries who are eligible for Medicare because they have end-stage renal disease (ESRD)— $41,696 on average in 2002.
Note: Excludes beneficiaries enrolled in Medicare HMO plans. SOURCE: Kaiser Family Foundation analysis of the Medicare Current Beneficiary Survey 2002 Cost and Use File.
Medicare spending is concentrated among a relatively small share of beneficiaries. In 2002, 12 percent of fee-for-service beneficiaries (those not enrolled in Medicare Advantage plans) incurred no Medicare spending. More than one-third of beneficiaries (35 percent) incurred less than $1,000 in Medicare spending per person, accounting for about 2 percent of total Medicare spending. Medicare spending for the 12 percent of beneficiaries who incurred $15,000 or more in per capita costs accounted for 69 percent of program spending.
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Note: Excludes beneficiaries enrolled in Medicare HMO plans.
SOURCE: Kaiser Family Foundation analysis of the Medicare Current Beneficiary Survey 2002 Cost and Use File.
Across all levels of self-reported health status, beneficiaries who reside in long-term care facilities incur higher per capita Medicare expenses than those living in the community. Regardless of residence status, however, Medicare spending increases as health status decreases, with spending for those in poor health more than five times higher than for those who report excellent health.
Figure 6.10
Note: Excludes beneficiaries enrolled in Medicare HMO plans.
SOURCE: Kaiser Family Foundation analysis of the Medicare Current Beneficiary Survey 2002 Cost and Use File.
Medicare spending per beneficiary varies by source of supplemental insurance coverage, reflecting both differences in health status among those with different types of coverage and the relative generosity of various sources of coverage. In 2002, average Medicare spending for beneficiaries with Medicaid ($9,136) was higher than for other Medicare beneficiaries, reflecting the greater medical care needs and poorer health status of the dual eligible population.
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Note: Figure shows spending on comparable services covered by Medicare and private health insurance, including hospital services, physician and clinical services, other professional services, and durable medical products. PHI is private health insurance. SOURCE: Centers for Medicare and Medicaid Services, Office of the Actuary, National Health Statistics Group, 2004.
On a per capita basis, Medicare spending has grown at a slightly slower pace, on average, than private health insurance spending for comparable services. Private health insurance spending grew at an average annual rate of 10.1 percent in the years between 1970 and 2003, while Medicare spending for similar benefits and services grew at an average rate of 9.0 percent.
Note: Numbers may not sum to total due to rounding. SOURCE: 1999-2001 Annual Reports of the Federal Hospital Insurance Trust Fund, 2002-2005 Annual Reports of the Boards of Trustees of the Federal Hospital Insurance and Federal Supplementary Medical Insurance Trust Funds.
Administrative expenses currently account for less than 2 percent of Medicare benefit payments, which is significantly lower than the cost of running private health plans. Between 1975 and 2004, Medicare's administrative budget declined from 4.9 percent to 1.9 percent of total benefit spending, despite more complicated reimbursement rules and more health care service delivery options available to beneficiaries.
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Section 7
MEDICARE FINANCING AND FUTURE PROJECTIONS MEDICARE FINANCING AND FUTURE PROJECTIONS
SECTION 7: MEDICARE FINANCING AND FUTURE PROJECTIONS
Medicare Parts A and B are financed differently. Part A, paid through the Hospital Insurance (HI) Trust Fund, is financed primarily through a 1.45 percent payroll tax paid by both employees and their employers. In 2006, these taxes will account for 86 percent of income to the Part A Trust Fund, with the remainder coming from interest, taxation of Social Security benefits, and other sources. Part B is financed through the Supplementary Medical Insurance (SMI) Trust Fund and funded by general revenue (75 percent in 2006), beneficiary premiums (24 percent), and interest (2 percent).
Part D, Medicare's new prescription drug benefit, is financed through a separate account within the SMI Trust Fund. When the benefit takes effect in 2006, it will be financed through general revenue (78 percent), payments from states (11 percent), beneficiary premiums (10 percent), and other sources (1 percent). The payments from states (known as the "clawback") are meant to partially cover the costs of low-income Medicare beneficiaries previously eligible for prescription drug benefits under state Medicaid programs.
In FY2006, total Medicare revenues are projected to be $439.5 billion. These funds will come from general revenue (41 percent), payroll taxes (40 percent), beneficiary premiums (11 percent), interest (4 percent), taxation of Social Security benefits (2 percent), and other sources (2 percent). The share of Medicare revenue from payroll taxes, the largest source of income to the Medicare trust funds in 2004, has decreased since the early 1970s, largely as a result of faster growth in Part B expenditures, which are not funded by the payroll tax. General revenue accounted for almost one-third of total Medicare revenue in 2004, but will represent a larger share in the future.
As part of an annual assessment of Medicare's financial outlook, the Boards of Trustees of Medicare issue a report on the current and projected status of the program, including the HI and SMI Trust Funds. Since Medicare's implementation, the primary sources of income for Part B (the SMI Trust Fund)—premiums and general revenues—have been set each year at a level sufficient to pay benefits. Because the HI Trust Fund can theoretically become insolvent, its status has become a proxy for Medicare's overall financial health. In almost every year to date, total HI Trust Fund income has exceeded expenditures. While income from all sources is expected to exceed expenditures in the short run, spending will begin to exceed income in 2012, according to the Trustees' intermediate assumptions.
The Medicare Trustees also project how long the HI Trust Fund will remain solvent. In 2005, the Trustees projected that fund reserves will be exhausted and have insufficient funds to pay benefits in 2020. This projection varies from year to year due to changes in underlying economic conditions, expectations about future health care costs, and legislated changes in the Medicare program. For example, the number of years through which the Trustees have projected the HI Trust Fund to have sufficient funds to pay benefits has ranged from four to 28 over the last decade alone. In 2004, the solvency projection fell from 23 years to 15 years, due in part to the economic downturn and faster than expected expenditure growth, along with legislative changes to increase payments to Medicare Advantage plans and rural health providers (enacted as part of the Medicare Modernization Act of 2003).
The Medicare Modernization Act established a new process for reviewing the role of general revenue in financing Medicare. Beginning in 2005, the Medicare Boards of Trustees are required to report annually whether general revenue will finance 45 percent or more of Medicare spending in any of the next seven years. If the 45 percent level is projected to be reached, a determination of "excess general revenue" is triggered. If this determination is made two years in a row, a "Medicare funding warning" is issued, and the President must submit to Congress proposed
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legislation to respond to the warning. Congress then considers this legislation on an expedited basis. In 2005, the Trustees projected that general revenue financing will reach the 45 percent threshold in 2012. If this projection holds, the first "excess general revenue" determination would be made in 2006, and the Medicare funding warning and legislative process may be triggered as early as 2007.
Over the long term, Medicare will face significant financing challenges due to the aging of the U.S. population. The first of the "Baby Boom" generation will reach age 65 and become eligible for Medicare in 2010. Between 2000 and 2030, the number of Medicare beneficiaries is projected to almost double, from 40 million to 78 million. The aging of the population has significant implications for Medicare financing. Because the HI Trust Fund is financed primarily through payroll taxes, its income is directly related to the number of individuals in the workforce. The number of workers is projected to rise slower than the number of beneficiaries, thus increasing the implicit burden on each worker over the next generation. There were 3.9 workers per Medicare beneficiary in 2003, but there are projected to be only 2.4 workers per beneficiary in 2030.
With the aging of the population and expected increases in overall health care costs, largely due to new and more expensive medical technologies, Medicare spending is projected to grow at a rate significantly higher than that of the overall economy. Between 2000 and 2030, Medicare's share of the overall economy, as measured by the gross domestic product (GDP), is estimated to triple from 2.3 percent to 6.8 percent. The addition of the prescription drug benefit to Medicare accounts for more than one-third of that increase.
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SOURCE: 2005 Annual Report of the Boards of Trustees of the Federal Hospital Insurance and Federal Supplementary Medical Insurance Trust Funds.
Medicare Parts A, B, and D (beginning in 2006) are financed differently. Payroll taxes finance the majority of Part A, while general revenues fund three-fourths of Parts B and D. In FY2006, total Medicare revenue is estimated to come largely from general revenue (41 percent), payroll taxes (40 percent), and beneficiary premiums (11 percent).
Note: *Includes income from taxation of Social Security benefits, railroad retirement account transfers, reimbursement for uninsured persons, payments for military wage credits, recoveries of amounts reimbursed from the trust fund which are not obligations of the trust fund, amounts from the fraud and abuse control system, interest, and a small amount of miscellaneous income. **Includes premiums from voluntary enrollees in the Hospital Insurance Program and all enrollees in the Supplementary Medical Insurance Program. SOURCE: Annual Reports of the Boards of Trustees of the Federal Hospital Insurance and Federal Supplementary Medical Insurance Trust Funds, various years.
Payroll taxes are the largest source of Medicare revenue, although they have decreased from about twothirds of all revenue in the early 1970s to just under half in 2004. This has resulted from faster growth in Part B spending than Part A spending, which is funded primarily by general revenue (75 percent) and beneficiary premiums (25 percent). General revenue accounted for almost one-third of total Medicare revenue in 2004.
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SOURCE: 2005 Annual Report of the Boards of Trustees of the Federal Hospital Insurance and Federal Supplementary Medical Insurance Trust Funds.
In almost every year to date since Medicare's inception, total income to the Hospital Insurance Trust Fund has exceeded expenditures, except during the 1995–1997 period. While income from all sources is expected to exceed expenditures in the short run, spending will begin to exceed income in 2012, according to the intermediate assumptions made by the Medicare Trustees in 2005.
Figure 7.4 Solvency Projections of the Hospital Insurance Trust Fund, 1970–2005
Projected Number of Years to Insolvency and Projected Year of Insolvency:
The Medicare Trustees' assessment of the financial outlook for the Medicare Hospital Insurance Trust Fund has varied significantly from year to year, with projections ranging from four years to 28 years of remaining solvency over the last decade alone. Between 2003 and 2005, the solvency projection fell from 23 years to 15 years, due in part to an economic downturn, faster than expected expenditure growth, and increased payments to Medicare Advantage plans and rural health providers.
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SOURCE: 2005 Annual Report of the Boards of Trustees of the Federal Hospital Insurance and Federal Supplementary Medical Insurance Trust Funds.
The Medicare Trustees are required to report annually whether general revenue will finance 45 percent or more of total Medicare spending in any of the next seven years. In 2005, the Trustees projected that general revenue will exceed 45 percent of total spending in 2012.
SOURCE: 2001 and 2005 Annual Reports of the Boards of Trustees of the Federal Hospital Insurance and Federal Supplementary Medical Insurance Trust Funds.
Between 2000 and 2030, the number of Medicare beneficiaries is projected to increase from 40 million to 78 million. Because the Hospital Insurance Trust Fund is financed primarily through payroll taxes, its income is related to the number of people in the workforce. As the number of beneficiaries increases, the number of workers per beneficiary is projected to decrease from 4.0 in 2000 to 2.4 in 2030.
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Note: HI is Hospital Insurance. SMI is Supplementary Medical Insurance. Numbers may not sum to total due to rounding.
SOURCE: 2005 Annual Report of the Boards of Trustees of the Federal Hospital Insurance and Federal Supplementary Medical Insurance Trust Funds.
With the aging of the population and expected increases in overall health care costs, Medicare spending is projected to grow at a rate significantly higher than that of the overall economy, as measured by the gross domestic product (GDP). Between 2000 and 2030, Medicare's share of GDP is estimated to triple from 2.3 percent to 6.8 percent. The addition of the prescription drug benefit (Part D) in 2006 accounts for more than one-third of the increase.
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APPENDICES
APPENDIX A MEDICARE TIMELINE, 1965–2005
January 1965 President Johnson's first legislative message to the 89th Congress, Advancing the Nation's Health, detailed a program including hospital insurance for the aged under Social Security and health care for needy children.
March–July 1965 The House of Representatives (307-116) and the Senate (70-24) passed "the Mills Bill" (H.R. 6675), a package of health benefits and Social Security improvements.
July 30, 1965 President Johnson signed H.R. 6675 (Public Law 89-97) to establish Medicare for the elderly and Medicaid for the indigent in Independence, Missouri, in the presence of Harry S. Truman who advocated for such legislation in a message to Congress in 1945.
President Truman was the first to enroll in Medicare.
Medicare Part A deductible: $40/year
Medicare Part B premium: $3/month
1966 The Social Security Administration announced the selection of private insurance companies to perform the major administrative functions of bill processing and benefit payment functions for Part A (Hospital Insurance) and Part B (Supplementary Medical Insurance) of the Medicare program.
July 1, 1966 Medicare coverage began. All persons age 65 and over were automatically covered under Part A. Coverage began for seniors who signed up for the voluntary medical insurance program (Part B). More than 19 million individuals ages 65 and older were enrolled in Medicare.
1969 The Task Force on Prescription Drugs, chaired by Dr. Philip Lee, released its final report on the costs and feasibility of adding prescription drug coverage to Medicare.
1970 Medicare Part A deductible: $52/year
Medicare Part B premium: $4/month
Total Medicare population: 20.4 million beneficiaries
October 30, 1972 President Nixon signed the Social Security Amendments of 1972 (P.L. 92-603), the first major adjustment to Medicare after its enactment. Medicare eligibility was extended to individuals under age 65 with long-term disabilities (who were receiving SSDI payments for two years) and to individuals with end-stage renal disease (ESRD). The amendments also established professional standards review organizations (PSROs) to review patient care, encouraged the use of health maintenance organizations (HMOs), and gave Medicare the authority to conduct demonstration programs.
Medicare benefits were expanded to include some chiropractic services, speech therapy, and physical therapy.
1973 Medicare coverage began for individuals receiving Social Security Disability Insurance (SSDI) cash payments for two or more years. Nearly 2 million people under age 65 with long-term disabilities or ESRD were covered.
1975 Medicare Part A deductible: $92/year
Medicare Part B premium: $6.70/month
Total Medicare population: 24.9 million beneficiaries
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1977 Joe Califano, Secretary of the Department of Health, Education and Welfare, created the Health Care Financing Administration (HCFA) to administer both the Medicare and Medicaid programs. About 1,500 employees were transferred to HCFA from the Social Security Administration.
1980 The Omnibus Reconciliation Act of 1980 expanded home health services by eliminating the limit on the number of home health visits, the prior hospitalization requirement, and the deductible for any Part B benefits. It also required the Secretary to develop a list of surgical procedures that could be done on an outpatient basis in an ambulatory surgical center and would be reimbursed on a prospective payment system. The "Baucus Amendments" brought Medicare supplemental insurance, also called "Medigap," under federal oversight and established a voluntary certification program for Medigap policies.
Medicare Part A deductible: $180/year
Medicare Part B premium: $8.70/month
Total Medicare population: 28.4 million beneficiaries
1981 The Omnibus Budget Reconciliation Act of 1981 (OBRA 1981) included provisions to slow the growth in Medicare spending, including a change that resulted in an increase in the inpatient hospital deductible.
1982 The Tax Equity and Fiscal Responsibility Act (TEFRA) increased the Part B premium to cover 25% of program costs as part of policies designed to slow the growth of Medicare spending. Hospice services for the terminally ill were added to Medicare's covered benefits. TEFRA facilitated HMOs' participation in the Medicare program and established a risk-based prospective payment system for these plans. The Act also expanded HCFA's quality oversight efforts by replacing Professional Standards Review Organizations (PSROs) with Peer Review Organizations (PROs). TEFRA imposed a ceiling on the amount Medicare would pay for a hospital discharge and required HHS to submit a plan for prospective payments to hospitals and nursing homes. TEFRA required federal employees to begin paying the HI payroll tax.
1983 The Social Security amendments of 1983 established an inpatient hospital prospective payment system (PPS) for the Medicare program. The PPS is based on diagnosis-related groups, or DRGs, a predetermined payment for treating a specific condition. The system was adopted to replace cost-based payments.
1984 The Deficit Reduction Act of 1984 (DEFRA) froze physician fees, established the Participating Physicians' Program, and established fee schedules for laboratory services, all of which were intended to slow the growth of Medicare's spending and constrain the federal deficit.
1985 The Consolidated Omnibus Budget Reconciliation Act of 1985 (COBRA) made Medicare coverage mandatory for newly hired state and local government employees. In addition, COBRA established the Emergency Medical Treatment and Labor Act (EMTALA), which required hospitals participating in Medicare that operate active emergency rooms to provide appropriate medical screenings and stabilizing treatments.
The Emergency Extension Act of 1985 froze PPS payment rates for inpatient hospital care and continued physician payment freezes to slow the growth of Medicare spending.
Medicare Part A deductible: $400/year
Medicare Part B premium: $15.50/month
Total Medicare population: 31.1 million beneficiaries
1986 The Omnibus Budget Reconciliation Act of 1986 (OBRA 1986) revised several of the payment procedures for various Medicare services in order to help slow the growth in Medicare spending.
1987 The Omnibus Budget Reconciliation Act of 1987 (OBRA 1987) imposed quality standards for Medicare- and Medicaid-certified nursing homes—in response to well-documented quality problems facing seniors in nursing homes. OBRA 87 also modified payments to providers under Medicare as part of the deficit reduction legislation.
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The Medicare and Medicaid Patient and Program Protection Act of 1987 was enacted to improve antifraud efforts and strengthen beneficiary protection programs.
The Balanced Budget and Emergency Deficit Control Reaffirmation Act of 1987 froze Medicare payment rates in an attempt to slow Medicare spending.
1988 The Medicare Catastrophic Coverage Act of 1988, the largest expansion of the program since the enactment of Medicare, provided an outpatient prescription drug benefit, placed a cap on beneficiaries' out-of-pocket expenses, and expanded hospital and skilled nursing facility benefits. Medicaid began coverage of Medicare premiums and cost-sharing for Medicare beneficiaries with incomes below 100% of the federal poverty level, known as Qualified Medicare Beneficiaries (QMBs). The U.S. Bipartisan Commission on Comprehensive Health Care (which became known as the Pepper Commission after the late Congressman Claude Pepper of Florida) was established to assess the feasibility of a long-term care benefit under Medicare.
The Clinical Laboratory Improvement Amendments were enacted to strengthen quality performance requirements for clinical laboratories to provide more accurate and reliable laboratory tests.
1989 The Medicare Catastrophic Coverage Repeal Act of 1989 retracted the major provisions of the Medicare Catastrophic Coverage Act of 1988, including both the outpatient drug benefit and the out-ofpocket expense limit. QMB benefits were retained.
The Omnibus Budget Reconciliation Act of 1989 (OBRA 1989) established the Resource-Based Relative Value Scale (RBRVS) for physicians, replacing charge-based payments. Limits were placed on physician balance billing. Physicians were prohibited from referring Medicare patients to clinical laboratories in which they have a financial interest. OBRA 1989 also included a number of other provisions designed to slow the growth in Medicare spending.
1990 The Omnibus Budget Reconciliation Act of 1990 (OBRA 1990) established the Specified LowIncome Medicare Beneficiary (SLMB) eligibility group requiring state Medicaid programs to cover premiums for beneficiaries with incomes between 100% and 120% of the federal poverty level. Medicare was expanded to cover screening mammography and partial hospitalization services in community mental health centers. Federal standards were established for Medigap policies, including standardized benefit packages and minimum loss ratios, replacing the voluntary certification system.
The U.S. Bipartisan Commission on Comprehensive Health Care (the Pepper Commission) recommended the creation of a new Medicare long-term care program that would provide nursing home and home- and community-based services. These recommendations were not enacted.
Medicare Part A deductible: $592/year
Medicare Part B premium: $28.60/month
Total Medicare population: 34.3 million beneficiaries
1993 The Omnibus Budget Reconciliation Act of 1993 modified payments to Medicare providers, as part of overall deficit reduction legislation, and lifted the cap on the amount of wages subject to the HI payroll tax.
States started to cover Medicare Part B premiums for SLMBs.
1995 Medicare Part A deductible: $716/year
Medicare Part B premium: $46.10/month
Total Medicare population: 37.6 million beneficiaries
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1996 The Health Insurance Portability and Accountability Act of 1996 (HIPAA) established the Medicare Integrity Program, which dedicated funds for program integrity activities.
1997 The Balanced Budget Act of 1997 (BBA) included a broad range of changes in provider payments to slow the growth in Medicare spending as part of legislation to balance the federal budget. It also established the Medicare+Choice program, a new structure for Medicare HMOs and other private health plans offered to beneficiaries. The BBA also required HCFA to develop and implement five new Medicare prospective payment systems: inpatient rehabilitation hospital or unit services; skilled nursing facility services; home health services; hospital outpatient services; and outpatient rehabilitation services. The law also provided additional assistance with Medicare Part B premiums for beneficiaries with incomes between 120% and 135% of poverty (QI-1s) through a first-come first-served block grant program administered by state Medicaid programs. The law provided for partial assistance with premiums for beneficiaries with incomes between 135% and 175% of poverty (QI-2s). The BBA also established the National Advisory Commission on the Future of Medicare and the Medicare Payment Advisory Commission (which replaced both the Prospective Payment Assessment Commission and the Physician Payment Review Commission).
1998 The internet site www.Medicare.gov was launched to provide updated information about Medicare.
1999 The toll-free number, 1-800-MEDICARE (1-800-633-4227), was made available nationwide. The first annual Medicare & You handbook was mailed to all Medicare beneficiary households.
The Ticket to Work and Work Incentives Improvements Act of 1999 (TWWIIA) expanded the availability of Medicare and Medicaid for certain disabled beneficiaries who return to work.
The Balanced Budget Refinement Act of 1999 (BBRA) increased payments for some Medicare providers and reduced or froze payment rates for other Medicare services. BBRA also increased payments to Medicare+Choice plans.
The National Advisory Commission on the Future of Medicare completed its work on Medicare reform but lacked sufficient votes to report out a formal recommendation.
2000 The Medicare, Medicaid, and SCHIP Benefits Improvement and Protection Act (BIPA) of 2000 further increased Medicare payments to providers and Medicare+Choice plans, reduced certain Medicare beneficiary copayments, and added coverage for certain preventive services. BIPA also enabled people with amyotrophic lateral sclerosis (ALS or Lou Gehrig's disease) to enroll in Medicare upon diagnosis instead of having to satisfy the 24-month waiting period.
Medicare Part A deductible: $776/year
Medicare Part B premium: $54.40/month
Total Medicare population: 39.7 million beneficiaries
2001 Secretary of Health and Human Services, Tommy Thompson, renamed HCFA, as the Centers for Medicare and Medicaid Services (CMS).
Medicare began covering people with ALS.
2002 The Public Health Security and Bioterrorism Preparedness and Response Act of 2002, along with other public health measures, temporarily moved deadlines for submitting Medicare+Choice plan information. The law stated that in 2005, individuals enrolled in M+C plans would only be able to make and change elections to an M+C plan on a more limited basis, which was later changed by the Medicare Modernization Act of 2003.
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2003 The Consolidated Appropriations Resolution (CAR) of 2003 increased payments for some hospitals, updated the physician fee schedule, and extended payment of the Part B premium for QI-1s.
QI-2 beneficiaries no longer received assistance from Medicaid in paying their Part B premiums.
December 8, 2003 The Medicare Prescription Drug, Improvement, and Modernization Act of 2003 (MMA) was passed by the House (220-215) and the Senate (54-44) in November and signed into law (P.L. 108-173) by President Bush on December 8, 2003, providing a new outpatient prescription drug benefit under Medicare beginning in 2006. For 2004 and 2005, it established a temporary prescription drug discount card and transitional assistance program. The MMA also established a new incomerelated Part B premium for beneficiaries with higher incomes (beginning in 2007), indexed the Part B deductible, created regional PPOs under the Medicare Advantage program (previously called Medicare+Choice), and established financial and other incentives for private health plans to contract with Medicare. The MMA also established a new way of assessing Medicare's financial status by measuring general revenue as a share of total Medicare spending.
2004 A temporary Medicare-Approved Drug Discount Card Program began, along with a transitional assistance program to provide a $600 annual credit to low-income Medicare beneficiaries without prescription drug coverage in 2004 and 2005.
2005 Medicare began covering a "Welcome to Medicare" physical, along with other preventive services, such as cardiovascular screening blood tests and diabetes screening tests. Medicare also began education and outreach activities for beneficiaries related to the prescription drug benefit beginning on January 1, 2006.
Medicare Part A deductible: $912/year
Medicare Part B premium: $78.20/month
Total Medicare population: 42.3 million beneficiaries
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| | Monthly Premium | - - - - - - - - - - - - - - - - - - - - - - - | $37.37 $41.22 $43.73 $46.31 $48.94 $51.58 $55.45 $59.74 $64.26 |
|---|---|---|---|
| Part B | Annual Deductible | $50 $50 $60 $60 $75 $75 $75 $75 $100 $100 $100 $100 $100 $100 $100 $100 $100 $100 $100 $100 $100 $100 $110 | $123 $123 $123 $125 $129 $133 $140 $150 $161 |
| | Monthly Premium*** | $3.00 $5.60 $7.20 $11.00 $17.90 $24.80 $31.90 $28.60 $29.90 $31.80 $36.60 $41.10 $46.10 $42.50 $43.80 $43.80 $45.50 $45.50 $50.00 $54.00 $58.70 $66.60 $78.20 | $87.70 $87.70 $87.70 $89.30 $92.00 $94.80 $99.70 $107.10 $114.70 |
| Part A | Full Part A Monthly Premiums** | - - $45 $89 $226 $234 $156 $176 $177 $192 $221 $245 ($184) $261 ($183) $289 ($188) $311 ($187) $309 ($170) $309 ($170) $301 ($166) $300 ($165) $319 ($175) $316 ($174) $343 ($189) $375 ($206) | $386 ($212) $403 ($222) $421 ($232) $438 ($241) $457 ($251) $476 ($262) $494 ($272) $514 ($283) $533 ($293) |
| | SNF Daily Coinsurance* (21st–100th Day) | - $7.50 $13.00 $25.50 $65.00 $67.50 $25.50 $74.00 $78.50 $81.50 $84.50 $87.00 $89.50 $92.00 $95.00 $95.50 $96.00 $97.00 $99.00 $101.50 $105.00 $109.50 $114.00 | $119.50 $125.50 $132.00 $138.50 $145.50 $152.50 $159.50 $167.00 $174.50 |
| | 60 Lifetime Reserve Days Daily Coinsurance | - $30 $52 $102 $260 $270 N/A $296 $314 $326 $338 $348 $358 $368 $380 $382 $384 $388 $396 $406 $420 $438 $456 | $478 $502 $528 $554 $582 $610 $638 $668 $698 |
| | Daily Coinsurance (61st–90th Day) | $10 $15 $26 $51 $130 $135 N/A $148 $157 $163 $169 $174 $179 $184 $190 $191 $192 $194 $198 $203 $210 $219 $228 | $239 $251 $264 $277 $291 $305 $319 $334 $349 |
| | Inpatient Hospital Deductible | $40 $60 $104 $204 $520 $540 $560 $592 $628 $652 $676 $696 $716 $736 $760 $764 $768 $776 $792 $812 $840 $876 $912 | $956 $1,004 $1,056 $1,108 $1,164 $1,220 $1,276 $1,336 $1,396 |
| | Year | 1966 1971 1976 1981 1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 | 2006 2007 2008 2009 2010 2011 2012 2013 2014 |
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Appendix C Characteristics of the Medicare Population, 2002
Note: *ESRD (end-stage renal disease) includes aged and disabled beneficiaries with ESRD, and those eligible for Medicare due to ESRD. N/A is not applicable. Numbers may not sum to 100% due to rounding or exclusion of missing/don't know/refused responses in same categories. SOURCE: Kaiser Family Foundation analysis of the Medicare Current Beneficiary Survey 2002 Cost and Use File.
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| Enrolled in Medicaid (2002) | 18% of U.S. Medicare Population |
|---|---|
| Income 100%–199% of Poverty (2002–2003) | 32% of U.S. Medicare Population |
| Income <100% of Poverty (2002–2003) | 12% of U.S. Medicare Population |
| Residing in Rural Areas (2004) | 24% of U.S. Medicare Population |
| Under Age 65 (2003) | 15% of U.S. Medicare Population |
| Age 65+ (2003) | 85% of U.S. Medicare Population |
| Projected Age 65+ (2030) | 20% of U.S. Population |
| Number of Medicare Beneficiaries (2003) | 40,172,605 (14% of U.S. Population) |
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| Enrolled in Medicaid (2002) | 18% of U.S. Medicare Population |
|---|---|
| Income 100%–199% of Poverty (2002–2003) | 32% of U.S. Medicare Population |
| Income <100% of Poverty (2002–2003) | 12% of U.S. Medicare Population |
| Residing in Rural Areas (2004) | 24% of U.S. Medicare Population |
| Under Age 65 (2003) | 15% of U.S. Medicare Population |
| Age 65+ (2003) | 85% of U.S. Medicare Population |
| Projected Age 65+ (2030) | 20% of U.S. Population |
| Number of Medicare Beneficiaries (2003) | 40,172,605 (14% of U.S. Population) |
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Additional copies of this publication (#7284) are available on the Kaiser Family Foundation's website at www.kff.org.
The Kaiser Family Foundation is a non-profit, private operating foundation dedicated to providing information and analysis on health care issues to policymakers, the media, the health care community, and the general public. The Foundation is not associated with Kaiser Permanente or Kaiser Industries.
The Henry J. Kaiser Family Foundation: 2400 Sand Hill Road, Menlo Park, CA 94025
Phone: 650.854.9400 Fax: 650.854.4800
Washington Office: 1330 G Street N.W., Washington, DC 20005
Phone: 202.347.5270 Fax: 202.347.5274
www.kff.org
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5 Private and public interests
Informal actors, informal influence, and economic order after war
Christine Cheng
For countries that have experienced armed conflict, the aftermath of war offers the hope of a new and transformed political and economic order. Given that the end of war is often accompanied by the promise of democratic elections, pledges of reconstruction money from the international commun ity, 1 the arrival of peacekeepers, and the imminent disarming of fighting fac tions, the months and years that immediately follow the signing of a peace treaty are inevitably full of optimism and potential. A brief, but significant window for substantial institutional change opens, and in that short-lived post-conflict moment, a new equitable political and economic order seems entirely possible. This is the tantalizing vision of the future offered by liberal peacebuilding. This vision, however short lived, is not entirely born of naivety. Some soci eties, like South Africa, have witnessed a wholesale transformation of their political and economic order following the end of conflict. However, for the average citizen, the hopeful discourse generated by these kinds of expecta tions sits in sharp contrast to the difficulties of actually constructing such a new order. This chapter focuses on a key challenge to building such an equit able post-conflict economic order: the role of informal actors and their efforts to exploit their political influence for private gain. T & F proof
In the period immediately following the end of war – the post-conflict moment – there is a unique opportunity to set a tone of economic opportun ity that privileges public interests and aims for a more equitable distribution of resources. Unfortunately, this is also the same moment where informal actors can establish patterns of behaviour that harm the public interest – chiefly by taking advantage of the state's institutional malleability at this time. Specifically, informal actors leverage three key statebuilding policies in this post-conflict window. First, the process of economic and political liberaliza tion that often follows war gives powerful informal actors a prime opportunity to exploit their political connections for personal gain. Second, international actors' emphasis on maintaining stability at all costs means that informal actors who can credibly incite political violence can threaten to destabilize the country if their economic interests are not looked after. Third, capacity build ing without understanding the linkages between formal and informal actors can actually end up undermining the state institutions being supported.
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In essence, some 'statebuilding' policies have the opposite of their intended effect: they actually empower and legitimize forces that are harmful to the public interest. Put starkly: some statebuilding efforts do not weaken informal actors but actually strengthen them. 2 Depending on how successfully informal actors leverage their post-conflict gains and institutionalize these patterns of misbehaviour, the long-term consequences for strengthening the capacity of the central state could be dire. Thus, one important consequence of these statebuilding policies is that they consolidate the power of informal actors and undermine genuine reforms that would have led to a more equit able distribution of resources throughout society (see Torjesen's chapter in this volume).
Broadly, this chapter argues that key statebuilding policies actually weaken the state by privileging the influence of informal actors and embedding eco nomic power structures that harm the public interest. The result is entrenched inequality, reinforcing the sense that the economic order is fixed in favour of those who are politically connected. This chapter expands upon this argument by tackling the nebulous issue of informal actors in three sec tions. The first section interrogates and defines the concept of informal actors and examines the linkages between the formal world and the informal world. The second section introduces the concept of conflict capital and argues that after war, informal actors who have access to conflict capital will use it to shape the rules of the economic game. The third section then exam ines the impact of international statebuilding policies on informal actors. Specifically, the international community's preference for internal stability, its promotion of economic and political liberalization, and its emphasis on capacity building can unintentionally support informal actors and be coun terproductive for statebuilding. This section also highlights how foreign powers use their own informal influence in post-conflict societies to reap eco nomic advantages, before offering some brief conclusions. Informal actors and informal influence T & F proof
The concept of an informal actor is inherently woolly. In the context of this examination of post-conflict statebuilding, the term 'informal actor' is most easily defined in relation to what it is not – it is not a formal actor. Whereas a formal actor holds official, state-sanctioned political power and has an obliga tion to act in the state's public interest by virtue of her position, an informal actor uses her formal connections to exert influence over the management of state resources and political processes, but without holding formal office in that state. For the purposes of this discussion, formal actors hold official positions in the post-conflict state. All other actors are treated as informal actors. 3
In the post-conflict state, the issue of what a new economic order will look like and how economic resources are to be distributed is usually not a matter that is publicly addressed. Instead, the contestation over how economic power will be shared is likely to be decided secretly amongst local elites. Out
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of these parallel contests for power, an alternative power structure of infor mal rule can coalesce. This structure of informal actors and networks enables a symbiotic relationship with those who hold formal power: they influence and are influenced by government officials. Yet one of the key problems with informal actors is that their very nature makes it difficult to observe their actions and measure their influence.
In contrast to the relatively open theatre of formal negotiations involving key stakeholders (local and international) who are tasked with negotiating the formal political order as part of a peace process, the ways in which infor mal actors and networks assert their influence occurs quietly, behind the scenes. In some cases, the scale of the deals that are negotiated unofficially can substantially alter and define the post-conflict political and economic order (as with large procurement contracts or the privatization of major industries).
A second concern with informal actors is that they wield significant influ ence without any form of public accountability. Whereas a formal actor is accountable to the people (even if this accountability only exists on paper) an informal actor wields influence without having to answer to the public for the ways in which she influences government policies and decisions. Indeed, it may not even be possible to identify who these informal actors are – espe cially since they will seek to conceal their influence. While divisions of formal power are made public – as with decisions over who will control state-owned enterprises or cabinet posts – the identity of informal actors and the ways in which they exercise influence over policy outcomes remains difficult to uncover.
The fact that influence is wielded informally poses two problems: transpar ency and accountability. The first concern is the lack of transparency –both in outcomes and process. Informal actors exert their influence in private, behind closed doors. In effect, there may be a set of formal arrangements that are made public, but what is worrisome is that an alternate informal set of arrangements could override the formal ones in practice and the actual details of these will never be made public. Similarly, there is a concern with transparency of process. The question of exactly how informal actors actually use their influence (coercion, manipulation of their business networks, quid pro quo benefits, bribes, etc.) is not clear. Further, the involvement of infor mal actors makes decision-making processes that are already opaque even more impenetrable because formal actors will have strong incentives to obscure the influence of informal actors. T & F proof
Despite these two concerns, it is not informality that is the problem per se. The concepts of informal actors and informal influence have no normative content in themselves. Informal influence can be used to benefit the public interest as much as to harm it. After all, informal actors also encompass family members and personal friends of public officials – relationships which in themselves do not necessarily provide cause for concern. Informal actors also constitute the most important elements of a vibrant civil society. This includes prominent religious leaders – whether they are evangelical
66 C. Cheng
Christians in the southern United States or imams in the Middle East – as well as powerful corporate lobbyists and special interest non-governmental organizations. While recognizing that informal actors can positively impact the public interest, the focus of this chapter is on informal actors who act against the public interest for personal or group gain.
Although violence is not a defining feature of informal actors, it is critical to note that there is a divide between those who employ violence to achieve their goals and those who do not. For post-conflict societies, the primary concern is that informal actors who are violent will become powerful enough to challenge the state, potentially taking the country back to war. There are also other concerns: that these violent groups may come to dominate specific areas and embed themselves locally as with warlords (Reno 1998; Goodhand 2011) and extralegal groups (Cheng 2011), or that they develop into power ful organized crime groups (Farer 1999; Williams 2009a).
Over time, it is possible that the state cedes control to one or more of these violent groups, leaving politicians beholden to powerful informal actors. Under these circumstances, anyone who does not fall into line can be replaced at whim, or even killed. Even where a regime is democratic, reining in this kind of powerful informal actor may not be possible. The end result is what Bayart et al. (1999: 20–21) have termed the criminalization of the state: 'a hidden and collective structure of power which surrounds, and even con trols, the official tenants of state power'. One of the post-conflict regions that has exemplified this problem is the Balkans. Across Bosnia, Serbia, Kosovo, Montenegro, and Macedonia, organized crime groups came to wield tremendous authority in the post-conflict years, and even today, many of them remain powerful (The Economist 2011a). In the post-conflict period, the most shocking demonstration of this power occurred when former Serbian Prime Minister Zoran Djindjic´ was assassinated in 2003, allegedly by members of the Zemun clan, an organized crime group. Djindjic´ was a political reformer who had aligned himself with security services and organized crime for the purposes of protection and financial support. Shortly before his death, Djindjic´ had been under intense pressure from the West to take action against his allies in organized crime. Once Milorad Lukovic´ and his Zemun clan believed that Prime Minister Djindjic´ was prepared to act against them, Lukovic´ had him killed (Corpora 2004; Gordy 2004). Subse quently, the Serbian government's indictments against the Zemun clan only underscore the power of this informal actor, charging that the group: had completely regulated 'connections' with various personalities from state institutions, the police, the judiciary, the prosecutors' office, the Security Information Agency (BIA), with the president of the Serbian Radical Party Vojislav Seselj, and with the entire command of the Unit for Special Operations (JSO) which was, in fact, under their strong influ ence, that is under their command. 4
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Formal–informal relationships
In theory, there is a clear line that separates formal and informal actors, but in reality there is overlap between these categories and significant movement between them. Thus, it is important to examine the nature of the relation ships between the formal and informal worlds, especially in places where institutions of the informal world play a prominent role. Indeed, in some countries, the informal world of clans, ethnic and family ties, religious affili ation, and even secret societies may be of equal importance to the formal political and economic realms that scholars are more often focused on. It is critical to remember that power, resources, and status may be derived from both the formal and informal worlds, and that influence and resources in one domain can be traded for status in another. These domains operate as part of a comprehensive ecosystem. Concentrating on the formal actors who hold official political and economic power would be the ecological equiva lent of describing a forest by counting all the trees and bushes without acknowledging the role of the soil, the water, the animals, the insects, the fungi, or the bacteria that help explain how the system works as a whole. In both cases, critical elements of the system are overlooked because they are less obvious to untrained eyes.
For example, in 2004, after the end of the civil war in Angola, key partners of China International Fund (also known as China Sonangol) successfully exploited their personal connections to President Jose Eduardo dos Santos to become the middleman for exporting Angolan oil to China (The Economist 2011b). It is estimated that billions of dollars in profit have accrued to China Sonangol. It is also alleged that the president's son is a director of China Sonangol. This was a textbook example of how informal actors used their influence for private gain at the expense of the public interest.
It is understandable that scholars and international policy makers have a tendency to pay little heed to the institutions and networks of the informal world – these can be difficult to penetrate and to understand (Helmke and Levitsky 2004). Often, the nature of this influence can only be grasped if there is an understanding of the history of domestic and local politics. For those international actors engaged in statebuilding, it takes an anthropolo gist's mindset to imagine how the norm of Pashto hospitality might override economic self-interest or even personal security concerns, or how considera tions of status within an African ethnic group or a Somali clan might take precedence over national interest. Yet by focusing on the elements of the system that outsiders consider to be the most important, there is a real danger of misattributing the sources of stability or instability to formal domains of influence simply because they are more easily identifiable by international actors. T & F proof
In Liberia, a different example of the formal–informal relationship is exemplified by the role of Poro societies. These are secret societies that supervise and regulate 'the sexual, social, and political conduct of all members of the wider society' (Lavenda and Schultz 2007). Many of Liberia's
68 C. Cheng zoes (high priests of the Poro societies) wield considerable informal influ ence in all domains of public and private life and have been long been used by Liberia's leaders – including Charles Taylor – to cement their influence (Harley 1941; Ellis 1999). And yet the ways in which zoes use their informal influence is poorly understood. For instance, a zo might pose as a supernat ural spirit by wearing a ceremonial mask in order to publicly reprimand a local chief who was seen to be abusing his power. As the International Crisis Group (ICG 2004: 21) aptly pointed out in a 2004 report, 'The existence of such an important but unfamiliar element of Liberian life poses further chal lenges to the UN.'
The impact of informal actors
Informal actors may also be in a position to charge large rents, as with non-competitive bidding on concessions contracts. In other cases, informal actors can hinder economic activity by selectively influencing who does or does not get to do business in the country, leading to market monopolies and oligopolies. Those companies that are invited to do business end up paying for this privilege, and the entry 'tax' is passed on to customers in the prices of their goods or services. By controlling entry, prices are higher than they would be in the absence of more competition. Given the desperate financial situation faced by many states emerging from war, these excess rents are significant relative to the government budget, and are important to a state's ability to provide public services.
There are at least three ways in which informal actors can significantly harm the public's economic interests: by altering the economic and political rules of the game, by charging excessive rents at the expense of the public purse, and by skewing the distribution of state resources. As argued by Hellman et al . (2000), one of the most important ways in which informal actors can impact the new economic order is by influencing the rules of the economic game in their own favour. It is important to note that the ability to influence the setting of the rules is qualitatively different from obtaining specific exceptions to certain rules or even influencing a one- off change in a single rule. Rather, the ability to determine the rules of the game is about controlling the regulatory framework. Matters such as how commercial disputes are settled, the negotiation of tax rates, the appropri ation of local land, or the setting of environmental standards are the types of technical issues that critically impact on the behaviour of corporations. Given the prevalence of corruption in post-conflict states (Johnston 2010; Cheng and Zaum 2011a), the process for setting these types of rules can easily be 'captured' (Hellman et al . 2000). T & F proof
The impact of informal actors also extends to the suboptimal choices that are made in the distribution of state resources. The influence of informal actors can lead to poor choices in hiring government workers, in determin ing which districts should receive what services, and even in prioritizing areas for reconstruction and development. All of these decisions will impact the
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economic order. Selected commercial or group interests will outweigh what is good for society as a whole. Where newly anointed government officials are more loyal to their friends and family members than the wider group of cit izens they are supposed to represent, post-conflict statebuilding will prove to be an even greater challenge.
Conflict capital and the persistence of informal actors
The years immediately following the end of war are a time of optimism and momentous change. Government ministries are reorganized; new political parties are often formed and new leaders are elected; new laws are passed; new operational systems are put in place. This post-conflict window can provide a rare opening for political renewal and an opportunity to reimagine patterns of interactions between states and citizens, between public and private, and between religious and ethnic groups. At the same time, many post-conflict states also find that their institutions have been substantially weakened by war. 5 Transitional leaders may be perceived as illegitimate, and the country may be reliant upon external actors like the UN to maintain security. Informal actors can exploit this weakness to strengthen their own position.
While governments are often weak in capacity and may lack legitimacy after war, the relative strength of informal actors – especially those who are most likely to undermine the public interest – is often rooted in their wartime activities. Informal actors who are the most likely to exert undue influence are those who did well out of war: leaders of the fighting factions; business leaders who benefited from the war economy and their close connections to the leaders of conflict parties; and local bosses and 'big men' who were able to cement their authority because they allied themselves with the winning side (Mampilly 2011). From their positions of privilege and power, these kinds of informal actors are able to leverage their advantage in the post- conflict moment.
During this period of rebuilding and reform, informal actors can consoli date the gains they have made through the course of the war and skew the new rules to their own advantage (see Torjesen's chapter in this volume). Once the patterns of how the state conducts its business are set, it becomes much more difficult to break out of this mould as the political situation stabi lizes and the memory of war recedes into the background. As the post- conflict window closes, patterns of interaction become more predictable and the cost of disrupting these actors grows. In this way, the 'post-conflict moment' determines a country's political and economic trajectory. T & F proof
But how exactly do these types of informal actors convert their wartime links into political leverage once the conflict is over? In theory, the period of conflict is imagined to be quite distinct from the post-conflict period, with an invisible line separating them. However, in practice, there is much more con tinuity than change in how individuals relate to one another in the aftermath of war.
70 C. Cheng
One way to analyse these relationships is using the concept of conflict capital – social capital created under circumstances of violent conflict. Build ing on the social capital literature of Pierre Bourdieu and his colleagues (Bourdieu 1986; Bourdieu and Wacquant 1992), Robert Putnam et al. (1993: 167) define social capital as: 'features of social organization, such as trust, norms, and networks, that can improve the efficiency of society by facilitating coordinated actions'. Similarly, conflict capital is a specific derivative of social capital (Cheng 2011: Ch. 2). Conflict capital refers to these same social fea tures, but is created out of shared experiences of armed conflict. Conceptu ally, it alludes not only to the intense conditions under which these bonds were formed, but also to a shared violent experience. Conflict capital emphasizes the 'stickiness' of the social bonds created out of war, and the ways in which relationships forged around violence are more likely to persist beyond the end of war. These include the relationships between ex- combatants and their commanders, between political leaders and private militias, or between business leaders and organized crime.
Through the course of war, many informal actors accumulate large depos its of conflict capital which they can draw on after the war. The accumulated stock of conflict capital can also be activated in a way that undermines state building, including tacit state approval for participation in prohibited activ ities (e.g. narco-trafficking, hunting endangered species), abusing the privilege of patronage appointments, or selectively enforcing the law (e.g. prosecuting rivals while protecting allies).
Beyond specific networks of those who commit violent acts during war, conflict capital also refers to the changed ways in which people respond to violence as a result of the war. The implication is that those individuals and communities with larger stores of conflict capital are more likely to respond to conflict by using violence (as compared to those with lower levels of con flict capital) – their threshold for the use of violence is lower. To be more specific, researchers have put forward the theory that emotional desensitiza tion in response to violence stimulates aggressive behaviour (Carnagey et al . 2007; Huesmann and Kirwil 2007). Like social capital, conflict capital can also be thought of as a 'moral resource' whose supply increases with use and decreases with lack of use. 6 Over the course of a war, a society's stock of conflict capital will accumulate; if faction leaders, ex-combatants, local bosses, criminal gangs, and others continue to activate it, the amount of conflict capital will continue to grow with destructive consequences. The skills, contacts, and knowledge created through the experience of war could easily find other uses in the post-civil war economy. The danger, as Jonathan Goodhand (2004) observes, is that a criminalized war economy will transform into a criminalized peace economy. T & F proof
In practice, activating conflict capital means threatening the use of force to achieve the desired ends. In Afghanistan, for example, former commander Atta Mohammed Noor successfully translated his battlefield influence and his ethnic ties into formal political power as the Governor of Balkh province (Mukhopadhyay 2009a; see Torjesen's chapter in this volume). Yet long
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before he held formal power as governor of Balkh, it was clear that Atta held tremendous informal power. One episode that revealed the extent of his power occurred in 2004, before he became governor.
In the spring of 2004, Hamid Karzai was attempting to assert his authority in the north of the country. He fired many of the top officials who were loyal to Atta or to General Dostum (a rival leader) and installed Akram Khakrizwal as police chief and appointed 300 new police officers (Edwards and Watson 2003). When Khakrizwal purportedly began to investigate Atta loyalists' links to the drug industry, Atta's fighters took over Mazar-i-Sharf 's police head quarters and held officers hostage. Within days of this incident, Atta was appointed governor.
Once he became governor, Atta placed many of his former field com manders into positions of formal power. This coercive element of Atta's power and his informal reach remained highly visible to the local population. As described by Dipali Mukhopadhyay (2009a: 536), Atta was able to use this network to keep a close watch on anyone who might threaten his power. Despite the fact that his fighters participated in an internationally sanctioned Disarmament, Demobilization, and Reintegration programme, their loyalties, identities, and values as part of Atta's militia remained intact (ibid.: 544). They retained obligations to Atta as Atta did to them. Even though he had officially joined the government, Atta also maintained a level of informal power that guaranteed his influence in the region and in Kabul This example of militia-leader-cum-politician Atta in the Afghan context reveals how formal and informal relationships can be used to unleash local violence, but also how these linkages can be used to successfully keep viol ence in check. Ultimately, it was the combination of securing formal and informal power through a political bargain that led to a relatively stable and prosperous environment in Balkh. The impact of statebuilding policies on informal actors T & F proof
Having examined how informal actors pose a challenge to post-conflict state building, this section will consider how the international community's state building policies affect informal actors. It will show that the international community's overriding desire for political stability, its liberalization policies, and its focus on capacity building can bolster the influence of informal actors at the expense of the public interest.
Stability first
In the early post-conflict years, governments remain deeply worried about their ability to maintain internal stability. Donors and other international actors are similarly concerned: their first priority is to restore peace. During this period, violent clashes may still be seen as normal, though they may be less frequent than they were during war. For those societies that successfully transition from war to peace, this expectation of violence diminishes and is
72 C. Cheng
gradually replaced by an expectation of peace. However, once violent clashes are no longer the norm, the marginal 'cost' of an episode of mass violence to the country's reputation begins to rise because such an episode signals – inwardly and outwardly – that a conflict has regressed.
From this point onwards, post-conflict governments and the international community will go to great lengths to ensure that episodes of political viol ence do not recur. In this volume, Anastasakis, Caplan, and Economides suggest that 'the EU often has to sacrifice some of its normative claims for the sake of peace, a balance among the different local actors, and the rule of law' (p. 000). Empirically, we have also seen that the threat of violence is powerful enough to silence international actors, even in the face of extreme corruption (Divjak and Pugh 2011; Kosovar Stability Initiative 2010).
The international community's emphasis on stabilization has important knock-on effects. First, post-conflict governments become reluctant to directly confront informal actors with violent capabilities or significant con flict capital, choosing instead to concede to them or where possible, to co-opt them. 7 Unfortunately, once informal actors come to understand why the state and the international community are reacting to transgressions with restraint, they will also realize that short of inciting political violence and destabilizing the country, they will mostly be left alone. This lack of a response from the international community signals to the local population that informal actors (especially those with violent capabilities) remain in control and that the international community is unwilling to take action against them. The emphasis on short-term stabilization has created a space that informal actors have exploited to their advantage. For the most powerful informal actors, there are no consequences to breaking the law – effectively, the law can be sidestepped in order to achieve desired goals. Christopher Corpora has argued that: 'The perceived lack of international will directly affect the way people understand their society, providing illicit actors and alliances with a buffer zone for continued growth and reinforcement' (2004: 63). T & F proof
In Kosovo, the international community's reticence is reflected in the reluctance of the EU Rule of Law Mission (EULEX) and the EU's Interna tional Civilian Office (ICO) to challenge the power of certain informal actors (Cheng and Zaum 2011a; see Anastasakis et al.'s chapter in this volume). In these cases and others (Goodhand 2011; Looney 2011), the international community is not a hapless bystander, but consciously chose to placate local elites for fear of provoking a violent response. The long-term effect of molli fying powerful informal actors, however, is that corruption erodes citizen confidence in the legal system and the government itself. Some have sug gested that this is what happened in Bosnia, for example (Council of Europe 2003; Cheng and Zaum 2011a).
Economic and political liberalization
For international actors, two of the core statebuilding policies are economic and political liberalization. These two policies form the core of the 'liberal
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peace'. Scholars of post-conflict statebuilding have long debated the merits of the 'liberal peace' (see discussion on pp. 000–000 in this volume), arguing, for example, that the legacies of war economies have made it particularly dif ficult for liberal institutions to take root (Cramer 2006; Divjak and Pugh 2011; Le Billon 2011). One reason why these institutions have such difficulty taking root is that informal actors exploit their political connections to manipulate the rules of the game. Ex-combatant leaders, key business owners, organized criminals, and other powerful informal actors combine their polit ical influence to leverage three important advantages: stores of conflict capital, access to insider information, and substantial financial resources. This allows them to benefit disproportionately from the processes of political and economic liberalization that are part and parcel of Western- and UN-led post-conflict statebuilding.
Even in situations where notorious informal actors opt not to run for office themselves, their money, influence, and connections can be used to support their favoured candidates. This support can result in a quid pro quo with informal actors later reaping the rewards of these political connections. In Haiti, former President Aristide was accused of protecting the drug kingpin Beaudoin 'Jacques' Ketant from arrest for six years after he had been indicted by the US on drug charges in 1997. Ketant claimed that Aristide was paid $500,000 each month for landing his drug shipments from Colombia on a highway near Aristide's home (Adams 2004).
The process of opening up a country's political space and installing democracy (where it has not existed before) manifests itself primarily through the holding of elections. In practice, elections tend to be won by those with the most organizational capacity and the greatest funds. This means that in the aftermath of war, informal actors who accumulated conflict capital through their wartime activities will have a significant organizational advantage, especially because the stickiness of these bonds makes it easier to activate these connections. For example, they can draw on former wartime associates, they can spend funds from wartime business ventures on political campaigning, and many of these individuals will already have local, or even national, name recognition. In addition, local crime bosses and ex-combatant leaders will also be backed by coercive force. These dynamics signal to the larger population that in fact, democratization and economic liberalization only serve to solidify the gains made by wartime 'winners' and indeed that the rules of the post-war game have already been fixed. It is society's most notorious informal actors that are most likely to benefit from 'insider information' on land deals, privatization possibilities, lucrative procurement proposals, and all manner of government contracts and oppor tunities. For example, in Bosnia, nationalist elites successfully gained control of formerly state-owned enterprises in telecommunications and energy and used them to fund nationalist parties (Pugh 2004).
As part of the economic liberalization process, privatizing government assets also advantages local 'bosses' and business elites. In a post-conflict envir onment with weak institutional capacity, privatization creates a mechanism for
C. Cheng informal actors to launder and legitimize their ill-gotten wartime wealth. 8 By way of illustration, a 2007 report by the Bosnian chapter of Transparency International referred to the 'crooked' privatization of Sarajevo's Holiday Inn hotel and the Mostar aluminum plant (2007).
In most post-conflict societies, the processes unleashed by economic liber alization and democratization can pose serious problems because the same powerful pre-war and wartime elites wind up controlling a country's political power and economic resources. Under these circumstances, the legitimacy of the new government will automatically be called into question. For example, if the same elders, faction leaders, chiefs, religious leaders, business owners, or local bosses are seen to reap the lion's share of economic benefits in the new dispensation, then the post-conflict political order is viewed as unchanged.
This perception can be dangerous for a new government. If one of the motivations for going to war in the first place was to remove corrupt elites from power, then a newly installed government that is seen as complicit with the despised regime of the past – indirectly linked through informal actors – could have a destabilizing effect. Those who fought against the elites could ultimately decide to return to war. Under these circumstances, informal actors become a cause for concern not only for the post-conflict country but also for an international community that is deeply concerned about local stability. Capacity building Post-conflict governments, policy makers, and scholars have long emphasized the importance of building state capacity for post-conflict countries (Paris 2004; Ghani and Lockhart 2008; Fjelde and De Soysa 2009; but see Hameiri 2009). This literature developed out of a recognition that the international community was hollowing out state capacity by creating a parallel bureauc racy consisting of UN civilian staff, international NGOs, bilateral donors, and, nowadays, private contractors. While this parallel bureaucracy problem still persists, capacity-building proponents have made strengthening govern ment institutions a cornerstone policy for international actors in post-conflict states. For example, in a major policy document, the UN Department of Eco nomic and Social Affairs 'considers the "nuts and bolts" of capacity-building for public service in post-conflict situations to be one of its foremost areas of concern'. 9
What is missing from this discourse is explicit recognition that not all gov ernment institutions are equally worthy of support and, further, that infor mal actors have an important role to play in the development of the post-war order. For example, Gordy points out that the investigation following the Djinjic´ killing uncovered that high-ranking officials in law enforcement were deeply connected to organized crime. This included the case of Milan Sarajlic´, Serbia's deputy state prosecutor at the time, who admitted to block ing legal proceedings against organized crime bosses and to thwarting
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criminal investigations against them. He also admitted to accepting C150,000 to reveal the whereabouts of a protected witness. In this case, supporting the judiciary without knowing that the formal actor was actually beholden to a powerful organized crime group would have only strengthened the position of informal actors and entrenched economic power structures that are harmful to the public interest.
If the formal and informal worlds are as deeply intertwined as this chapter argues, then the current emphasis by scholars and policy makers on strength ening formal institutions and formal actors without due regard for informal pol itics is deeply problematic. Without a clear understanding of informal actors and the role that they play in local politics, international actors may be unin tentionally entrenching economic and political institutions that are viewed as illegitimate by the local population.
Whether or not oil proved part of the motivating force for intervention in either of these cases is beside the point given the substantial informal influ ence wielded by those with strong military links to the post-conflict regimes. In Iraq, despite outward appearances of favouring non-American firms for primary contracts, the subcontracting of oil services through the tender process has been overwhelmingly dominated by American companies like Halliburton, Baker Hughes, Weatherford International, and Schlumberger (Kramer 2011). In fact, the most financially profitable part of the Iraqi con tracts has arguably been in contracts for oil drilling, well building, and equip ment maintenance. As noted by Andrei Kuzyaev, the president of Russian firm Lukoil Overseas, 'For America, the important thing is open access to reserves. And that is what is happening in Iraq' (ibid.).
The informal influence of major powers Finally, it is important to acknowledge that major powers – especially from the West – have exerted their formal and informal influence on post-conflict states in ways that have been detrimental to the public interest of those coun tries. Even when key Western powers intervene with humanitarian intentions (as with the distribution of aid or the protection of civilians), it would be naive to think that they will not subsequently use their influence to benefit their commercial interests and impose their political values. In both the US-led Iraq invasion of 2003 and the 2011 NATO-led intervention in Libya, a common 'person-on-the-street' perception was that Western countries had chosen to fight these wars because they had set their sights on securing access to key oil supplies. This view of Western intentions was confirmed when UK Defence Secretary Philip Hammond asked British firms to 'pack their suit cases' and head to Libya to secure oil and reconstruction contracts the day after former leader Muammar Gaddafi was killed by the National Transi tional Council. 10 T & F proof
The controversial awarding of a 25-year concession for a key iron ore mine in Liberia provides another case in point. In 2005, multinational conglomer ate Mittal Steel won the right to develop the Mount Nimba mine for an
C. Cheng investment of $900 million (Bermúdez-Lugo 2009). However, the process by which Mittal was chosen was fraught with irregularities and accusations of impropriety. In this case, after undertaking an open international bidding process, an Inter-Ministerial Technical Committee assessed the bids and ini tially awarded the contract to the firm Global Infrastructure Holdings Limited (GIHL). This decision was subsequently overturned by then head-ofstate Gyude Bryant on the grounds that 'the Project must be more widely advertised' (Willie 2004). The Technical Committee went through the entire process again. Again, GIHL was chosen. At this point, the Assistant Minister of Labour at the time said:
the Ministry of Labor's representative was asked by the Committee Chair man, Mr. Mulbah Willie, to change the result in favor of Mittal Steel because Chairman Bryant and the US Embassy want Mittal Steel to be the success ful bidder for the award of a Mineral Development Agreement.
While Mittal won the bid in the end, this process reveals the inherent ten sions between the West's purported good governance agenda and its political and corporate interests. 12 On the one hand, Western powers demand that post-conflict governments take decisions offering the greatest public benefit; on the other hand, these same powers will lobby as hard as they can for the commercial and political interests of their own countries. Post-conflict gov ernments are stuck in a Catch-22.
(Mulbah 2005, emphasis added) Liberia's iron ore deal reveals the delicate balance that post-conflict gov ernments must maintain. On the face of it, it appears that the public interest has lost out to the influence of foreign interests. Yet there is also a credible case to be made that Liberia's transitional government strategically priori tized its relationship with the US. From this perspective, even though Mittal's bid might not have been the most competitive on economic grounds, it is possible to reasonably conclude that the Liberian government may actually have been acting in the public's best interests. American support was required on too many other fronts to risk jeopardizing this relationship. In addition to problems with the bidding process, the agreement itself also sparked controversy because the terms of the deal were deemed to heavily favour Mittal (Global Witness 2006; Cook 2007; Bermúdez-Lugo 2009). The contract was later reviewed and renegotiated under the auspices of GEMAP, a programme that, ironically, Western donors themselves had forced on Liberia as a response to its problem of pervasive corruption. 11 T & F proof
Expecting powerful states to cede the advantage of their informal influ ence in a post-conflict period is unrealistic. As China, India, and other emerging countries wield increasing economic clout and become more actively engaged in post-conflict countries, the pressure on major powers to exploit their informal influence when strategic and political interests are at stake will only intensify. Even where powerful countries consciously avoid pressuring post-conflict governments into giving them preferential
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treatment, those responsible for a peaceful transition will still feel vulnerable to the implicit threat that military or political support could be withdrawn in the absence of a quid pro quo deal. Given the importance of external support in these conditions, post-conflict governments will struggle to balance the overall long-term public interest of their societies with the short- term imperative of managing relations with powerful international actors.
Conclusion
This chapter has focused on the role of informal actors, defining what they are and establishing why they are critical to the post-conflict period. It describes how the conditions of the post-conflict moment allow informal actors to exploit their political connections for private gain. It then demon strates how three key statebuilding policies – stability, liberalization, and capacity building – can actually strengthen informal actors and undermine the public interest. In each case, informal actors can and have leveraged their influence to take advantage of these processes in a way that entrenches inequality between those who are politically connected and those who are not.
Fundamentally, informal actors are not accountable for their actions. It is difficult to hold to account informal actors who wield power and make decisions that affect the public welfare when the identities of these individuals cannot even be confirmed and their actions are not documented. In a post-conflict environment where hearsay and speculation often pass for evidence, one thing that can be done by post-conflict societies is to closely monitor key individuals in power and publicly scrutinize all major important decisions. While improved transparency and accountability by themselves are unlikely to directly improve short-term outcomes, forcing these processes open for public inspection and discussion should at least stimulate a debate about acceptable standards of behaviour for formal actors. While eliminating the influence of the most notorious informal actors in a post-conflict environment may be impossible, mitigating their negative impact is well within the reach of post-conflict governments and international actors.
To the extent that many of these informal actors are also in a position to exploit their conflict capital, their financial capital, and their access to insider information, it is also possible to fix the rules, regulations, and processes entirely in their own favour. The exceptional malleability of a post-conflict government's institutions means that informal actors have an opportunity to shape the political and economic realms in ways that provide substantial private benefit to informal actors, often at the expense of the public interest. These new patterns of interaction will define the future of state–society relations. T & F proof
78 C. Cheng
Notes
1 Although the 'international community' is often associated with Western powers, I use it here in the broadest sense, to include those from developed and developing countries who are active in post-conflict situations. The term is intended to encom pass state actors, international organizations, regional organizations, bilateral agencies, international NGOs, and foreign businesses. In this chapter, it refers to all external actors.
3 This delineation poses some problems. For example, diplomats from other coun tries who are lobbying for their country's interests are categorized as informal actors. Similarly, foreign corporations and international organizations are also considered informal actors. This chapter emphasizes how these actors exert their informal influence.
2 Thanks to Dominik Zaum and Mats Berdal.
4 Cited in Gordy 2004. The full statement from the Serbian government is online, available at www.srbija.sr.gov.yu/vesti/2003-04/29/335683.html.
6 Albert Hirschman, 'Against Parsimony: Three Easy Ways of Complicating Some Categories of Economic Discourse', American Economic Review Proceedings 1984 (74): 93. As cited in Putnam et al. 1993: 169.
5 It is not uniformly true that state institutions emerge out of civil war in a weaker state. For example, see Sri Lanka and Uganda.
7 See also Cheng and Zaum 2011a.
9 UN Department of Economic and Social Affairs (2007), Building Capacities for Public Service in Post-Conflict Countries, UN doc. ST/ESA/PAD/SER.E/121, 4.
8 See for example Donais 2004 for a discussion of this in the context of privatization in Bosnia.
10 Jo Adetunji, 'British Firms urged to "Pack Suitcases" in Rush for Libya Business', Guardian, 21 October 2011.
12 The Liberian transitional government's defence in court claimed that the process for awarding the concession was 'a political process exclusively within the domain of the Executive Branch of Government'. See Global Infrastructure Holding Limited 2005.
11 One of the successes claimed by GEMAP is that the terms of the Mittal deal were successfully renegotiated, increasing the company's investment from $900 million to $1.3 billion.
T & F proof
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LIFE – God's Gift To Be Celebrated God's Gift To Be Celebrated – Whatever Happens! Whatever Happens!
WHEN Sam Cawthorne won a 2009 Young Australian Of The Year award he was invited to The Lodge in Canberra, a guest of then Prime Minister, Kevin Rudd. Sam mischievously thought: 'What can I do to make the Prime Minister remember me?' Kevin Rudd didn't know that Sam had a pros thetic hand and arm. Hidden under Sam's jacket, noone could see that the right arm was prosthetic. So as Sam shook hands with the Prime Minister he detached his artificial hand from his prosthetic arm, leaving a surprised but highly amused Kevin Rudd holding the artificial hand!
Sam Cawthorne told his amazing story to over 800 people at the Melbourne 2012 Prayer Break fast. 'I was born and raised under a dictatorship – Mum. And she had an accomplice – Dad! They were really strict in discipline. I'm one of 11 chil dren – 7 girls and 4 boys – raised on a farm down in Tasmania.' Sam now has 33 nephews and nieces. His mum was Indian and his dad Scottish.
The Day Everything Changed
Sam remembers the day of the accident in Octo ber 2006 so clearly. He shook hands with a friend that morning and that was the last time he ever shook hands with anyone with the right hand. 'It was my fault – I fell asleep and veered into the pathway of an oncoming truck,' he explained. After the crash Sam heard some onlookers say, 'This guy's not going to make it'. Sam then lapsed into unconsciousness. The paramedics soon noted that Sam stopped breathing, and at six minutes past three in the afternoon his heart stopped.
ued for Sam – thankfully. 'Sometimes we take life for granted,' Sam said. 'We should never do that. We should always thank our Creator for the gift of life.' Sam was hospitalised for over five months and was told that he would never walk again and be in a wheel chair for the rest of his life. Sam had played the guitar since he was seven, and was told: 'You'll never play the guitar again' because his dominant right arm had been amputated above the elbow. All this was devastating news to Sam while he lay in the hospital. But he told those pres ent at the Melbourne Prayer Breakfast that he was reminded of God's Word: 'For we are more than conquerors through Christ who gives us strength' (Romans 8.37).
The paramedics pronounced Sam dead, but some of the ambulance people persisted in resus citation and Sam's heart started beating again. He had horrible injuries and for six days was in a coma. His wife Kate was told that first day Sam was in hospital: 'Your husband may not get through the night.' But the journey of life contin
Sam went on to say that we all have problems in life and at times we might feel like giving up 'but one thing I know is that Jesus Christ gives us strength.' During the long hospital and rehabilita tion journey Sam could have been very negative but he found himself being grateful – grateful for the gift of life; grateful for the air we breathe; grateful for food on the table and a roof over our heads; grateful for the care provided in the hospi tal; grateful for his wife Kate being with him; grateful for his children; and, yes, so grateful for the gift of life … – Brian Stewart
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1 November 2012
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TO THE POINT ...
ACL Welcomes WA Move To Combat Sexualisation Of Children
THE Australian Christian Lobby has welcomed a move by the West Australian State Parliament to find better ways of protecting children from being sexu alised in society, or exposed to highly explicit content in the media. This comes after similar inquiries by governments in the US, France and Britain recommended a reduction in sexually charged advertising on streets.
ACL spokeswoman Wendy Francis supports the move, which goes beyond advertising to include publications, computer games and films, and highlights the important need for all states to review legislation concerning children and sexualised content.
'In the lead up to the 2012 Queensland election, now Premier Campbell Newman also agreed to look at legislating for outdoor advertising to be Grated for the sake of our kids,' Ms Francis said. 'Allow kids the childhood they deserve without being bombarded with highly sexualised, adult images.'
ACL has recently made a submission to the Victorian Law Reform Commit tee's inquiry into sexting, where it called on the Federal Government to intro duce an Internet filter to block refused classification material in an attempt to further protect children from the dangers of sexually explicit content.
Currently there is growing pressure for such a filter in the UK, with more than 110,000 people signing a petition calling for the Government to enforce optin filters on online pornography.
Day Of Prayer For The Persecuted Church
IT might be late notice, but ... the Barnabas International Day Of Prayer For The Persecuted Church is being held today, Thursday 1 November. This annual event is gaining momentum, with prayer gatherings taking place across the world. Barnabas Fund would like to invite you to make time during the day to pray either individually or with others. Prayer events are taking place in coun tries across the globe. Visit the interactive online map at barnabasfund.org to see what is happening in your area. A free prayer guide, which focuses on 48 countries in 30minute slots, is available to order or download from their web site. Prayer pointers are also available online on their prayer wall as Facebook and Twitter feeds. Please share with your church, friends and family.
(We're sorry this important event is brought to you at such late notice, but since our God is not limited by time or space, we can surely organise our own events at any time in the future. Since this is an annual event, we can also be well prepared for following years. – Ed)
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DARE ...
DARE ...
God Moves At Dare To Be A Daniel Youth Camp, Yarramundi
THE Billy Graham Evangelistic Association's first, fiveday Dare To Be A Daniel camp in Australia, held recently at Lu tanda's camp site at Yarramundi, was attended by 60 young Australians aged nine to 13. They had come to learn how to Dare To Be A Daniel, a reference to Daniel in the Old Testa ment who stood up for his faith, despite being in exile in a foreign land.
Chad Miller, Director, Children's and Youth Evangelism Training for BGEA International, visited Australia to attend the camp.
'We witnessed a mighty move of God on the last evening as nearly everyone stood and committed to following Jesus, even when times are difficult, so that they might win their friends and family to Him. It was not an easy invitation,' Chad said. 'Pray for a groundswell of evangelistic enthusiasm and that these young people might be strong and boldly speak about Jesus to their generation.'
Rodney Trinidad, BGEA Australia's Youth and Schools Relationship Manager ran the camp with the help of trained volunteers and Lutanda Yarramundi camp staff. 'Who better than youth to reach their friends with the Gospel of Jesus? That's what the Dare To Be A Daniel camp is all about,' Rodney said. 'Our goal was to equip youth who already know Christ with the tools they need to stand strong as young Christians and to effectively share their faith with their friends.
'I will never forget Jiordi, a 12 year old student standing up and saying: "For a long time, I have been bul lied at school and it's been really hard on me. I met new friends at camp who will stand with me by praying for me. I have also learned that, like Daniel, I can be a fearless Christian, knowing that God is always on my side",' Rodney said.
'Our vision is for the Dare To Be A Daniel experience to spread throughout Australia in partnership be tween the Billy Graham Evangelistic Association and the local church. It is critically important that we equip this nation's young people for Christ as they approach their teenage years in an increasingly secu larised society,' said Jorge Rodrigues, Executive Director of BGEA Australia.
Global Effort To Shine A Light On Corruption
GOVERNMENTS, businesses and churches across the globe are being challenged to expose and tackle corruption which is identified as one of the major contributing factors in ensuring millions of people re main trapped in poverty. Last week in London, a coalition of Christian organisations called 'Exposed' offi cially launched the start of a yearlong global awarenessraising campaign which aims to mobilise 100 million Christians who will practise and promote ethical and just behaviour in all spheres of life.
Micah Challenge Australia is facilitating the local expression of the global anticorruption campaign and encouraging Christian individuals, churches and groups to 'shine the light' on corrupt tax evasion practices by multinational corporations. 'Corruption and tax evasion drain developing countries of vital revenue they need for development and reducing poverty,' said John Beckett, National Coordinator of Micah Chal lenge Australia. 'Without adequate tax revenue, developing countries are often forced to cut essential services such as health and education and it is usually the poorest people who miss out.
Micah Challenge is encouraging individuals and groups to sign the Shine The Light petition which urges the Australian government to support international initiatives to end tax evasion and introduce legislation requiring all corporations registered in Australia to report all payments they make and receive on a coun try by country basis, starting with the extractive industries. In over 100 meetings with MPs and Senators at Micah Challenge's Voices For Justice event in September, lobbyists urged Australian politicians to make country by country reporting an urgent priority. Requiring country by country reporting makes it harder for companies to shift their profits into tax havens and gives citizens access to the information they need to hold their government to account for the revenue it receives,' said Mr Beckett.
FREE DOWNLOAD – BUT HURRY BUT HURRY – Offer Closes 9 November ... Offer Closes 9 November ...
God's Library – New e-Book From Bible Society CEO
GOD'S Library, a new book from Dr Greg Clarke, CEO of Bible Society Australia and written for the Society's Live Light In 25 Words campaign has just been re leased as an eBook on the Live Light campaign website.
'The Bible is publishing's greatest success story, and God's Library is written es pecially for those who feel that they really should know something about the world's most influential text, but may have been afraid to ask, put off by the Church, found the black leather cover and cigarette paper pages ominous, or just never got around to it,' said Dr Clarke. 'I've tried to keep the tone light and inform ative, to avoid too many of the debates that stop people in their tracks. I try to an swer the question: "Why would I bother with the Bible?" If I manage to succeed there and keep you with me, the second half of the book answers the question: "So what really is the Bible, and what do I do with it?" said Greg.
Under the heading The Bible Scandal, the book looks at how 'millions of people have been denied a basic knowledge of the key text that has shaped their culture'. Dr Clarke writes that, 'some affirmative ac tion group ought to set up a campaign to get compensation for people who were denied the knowledge of the Bible in their education. These people are at a definite disadvantage if they want to go on to further training. You could even argue that they are socially disadvantaged, since they have been deprived of a deep appreciation of some of the great works of art and culture,' he continues.
Dr Clarke highlights phrases used in everyday speech that few seem to realise come from the Bible. These include: 'Flesh of my flesh' (Genesis 2.23); 'The apple of my eye' (Deuteronomy 32.10); 'A lily among thorns' (Ecclesiastes 2.2); 'The salt of the earth' (Matthew 5.13) and many more.
'The Bible is clearly a central text for understanding Western (and not just Western) culture. And yet Bible literacy is in a woeful state, not only among students, but also among teachers and public figures,' Dr Clarke writes. Although written for the Live Light campaign, Bible Society Australia's hope is that God's Li brary will be the start of a reevaluation of the place of the Bible in Australian culture.
God's Library by Dr Greg Clarke is available as a FREE download until 9 November 2012 from: http://25words.biblesociety.org.au/godslibrary/ to gether with a full list of details and other campaign re
sources.
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Christian Areas Of Aleppo Invaded By Syrian Opposition Forces
HUMANITARIAN group Barnabas Aid has received an urgent prayer request from its partners in Syria for Christians in the city of Aleppo, whose major residential areas have been invaded by opposition fighters, with Aleppo seemingly falling to opposition forces. Barnabas Aid says that on Thursday 25 October the Free Syrian Army and its allies entered alSyriaan alJadide and put two checkpoints in front of a Baptist church building. They also
took over a local Christian school. Barnabas Aid said the other main Christian district, alSyriaan al Qadime, has also fallen to the opposition. Snipers have been positioned on the roofs in both areas.
Meanwhile, Barnabas Aid said, armed FSA groups have attacked the alZukhur district of the city, which is home to many of the (mainly Christian) Armenian community. Barnabas Aid said it appears that Aleppo is now largely in the hands of the opposition. Clashes with government forces are still being reported, but the regime may now be abandoning the city.
Barnabas Aid asked, 'Pray for Christians in Aleppo, both during the fighting and afterwards. The opposi tion generally regards them as government supporters, and some Islamists will attack them simply for being Christians. Pray that the Lord will shield all those who take refuge in Him.'
Barnabas Aid provides hope and aid for the persecuted church. For more information go to: www.barnabasfund.org – Jeremy Reynalds, Senior Correspondent, ASSIST News Service
Lausanne Movement Global Consultation On Creation Care And The Gospel
THE Lausanne Global Consultation on Creation Care and the Gospel (one of several global gatherings planned by the Lausanne Movement around more than 30 priority issues identified in The Cape Town Com mitment) began 30 October and runs until 2 November in Runaway Bay, Jamaica. Held in collaboration with the World Evangelical Alliance, the consultation brings together 60 participants from 25 countries in cluding specialists, theologians, scientists, and leaders of development agencies and churches.
Rev Edward R. Brown, Lausanne Movement Senior Associate for Creation Care, emphasises that partici pants are, 'seeking God's wisdom in understanding how Creation Care fits within the Gospel and are seek ing God's guidance in developing a truly selfsustaining global Christian Creation Care Movement.' Other partners in the Consultation include Tearfund, World Vision and the Caribbean Grad School of Theology.
The gathering will focus on three major areas, God's World – evaluating the challenges before us; God's Word – a theological foundation for Creation Care; and God's Work – understanding what is already hap pening globally on this issue and then planning for the future.
Sir John Houghton, Professor Emeritus of Atmospheric Physics at the University of Oxford and former Chief Executive Officer at the UK Meteorological Office, has played a key role in shaping the program. Dr Las Newman, President of the Caribbean Graduate School of Theology and Lausanne International Deputy Director for the Caribbean, is hopeful that the outcomes of the Consultation, to be published by Lausanne, will help policymakers, citizens, and the Church as a global institution to develop effective strategies for Creation Care as a means to greater environmental sustainability.
Lindsay Brown says 'The Cape Town Commitment affirmed our love for God's creation – not mere senti mental affection for nature, which the Bible nowhere commands; still less ... the pantheistic worship of na ture (which the Bible expressly forbids); rather, it is the logical outworking of our love for God by caring for what belongs to Him. "The Earth is the Lord's and everything in it", so if Jesus is Lord of all the Earth, Cre ation Care is thus a Gospel issue within the lordship of Christ.'
Gordon ShowellRogers said, 'We hope and pray that the outcomes of this consultation will shape think ing about how to model good stewardship of Creation.'
The Lausanne website is hosting the consultation papers and a discussion on Creation Care And The Gospel (http://conversation.lausanne.org/en/pages/creationcare). Reports from the consultation will be posted throughout the week at www.lausanne.org
A TIME TO CELEBRATE ...
Inaugural Celebration Of National Christian Heritage Sunday
– To Give Thanks For The Gospel Of The Lord Jesus Christ Coming For The First Time To Australian Soil. CHURCHES across the country will celebrate the 225th anniversary of the first known Christian Service in Australia after the First Fleet arrived, conducted by the Rev Richard Johnson on 3 February 1788. His proclamation of the Gospel was based on Psalm 116.12, 'What shall I render unto the Lord for all His bene fits toward me?'
Giving Thanks To Our Heavenly Father
As a nation, Australia has been blessed with plenty by the goodness and mercy of God. There is so much we need to thank our Heavenly Father for as we reflect on our parliamentary democracy, our freedom of speech, our freedom of religion and worship, our legal system and the independence of our courts of law. On the 225th anniversary may we, along with Richard Johnson, individually and as a nation pause and recognise the Lord's benefits to this nation and give Him thanks for our Christian heritage that has made Australia the great nation it is today.
Preserving Our Nation's Future
As we look to the future may all Australians seek together to preserve our Christian heritage. May we con tinue to love and serve the Lord Jesus Christ for the good of all and the honour of His Name, in the sure knowledge that ultimately 'every knee will bow before Him; every tongue will confess to God.' (Romans
An Annual Event
The National Christian Heritage Sunday will be celebrated annually in the future on the first Sunday in February each year to give God the Glory for His blessings so freely given to our land and nation. For further information on our Christian heritage go to: www.nchs.net.au and www.chr.org.au
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TANZANIA: Christians Threatened By Islamisation
TANZANIA'S population is 31% Muslim and 54% Christian, although church attendance is only about 8% (according to Operation World). According to the Catholic Bishop of Kondoa Diocese, Bernadin Mfumbusa, Islamisation is advancing. Since the mid1980s, itinerant preachers from Saudi Arabia and the Sudan have been entering the country and spreading intolerant, fundamentalist Islam. Conse quently, Muslims are becoming more assertive with their political demands and more aggressive with their verbal attacks. Demands are growing louder for Sharia Law and Kadhi (Islamic) Courts, for Fri days to be public holidays and for Tanzania to join the Organisation of Islamic Cooperation.
Bishop Mfumbusa recently said that there has been a marked increase in veiled women and Qur'anic schools (madrassas), adding, 'In the church schools, which are also attended by Muslim chil dren, we must be very sensitive and cautious to avoid any undesirable incidents.'
As in Kenya, USmandated antiterror laws en acted post 9/11 have fuelled division along religious lines. Christians are generally supportive and Mus lims strongly object, claiming the laws purposely target them. In the leadup to the 2005 elections the Christiandominated Revolutionary Party, Chama Cha Mapinduzi, successfully wooed the Muslim vote by promising to establish Kadhi (Is lamic) courts. However, after winning the election CCM shelved its promise. Religion has since come to dominate Tanzanian politics. Tensions are rising.
On 10 October Zakaria Hamisis Mbonde (12) was walking home from Qur'anic school, carrying his Qur'an, when he came across his Christian friend, Emmanuel Mwinuka (13). When Emmanuel asked Zakaria if he could see his Qur'an, Zakaria warned him that the Qur'an had the power to turn anyone who defiled it into a dog or a snake. An argument ensued, prompting Emmanuel to disprove Zakaria's claim by urinating on his Qur'an. Naturally Zakaria's parents wanted to know what had happened to his Qur'an. As word spread through the Mbagala Ward of Dar es Salaam, Tanzania's largest city, tensions soared. To appease the mobs police arrested Em manuel, taking him to the police station for ques tioning and keeping him there for his own safety. After Friday prayers on 12 October masses of en raged Muslims besieged the police station, de manding Emmanuel be handed over to them so they could behead him. When the police refused, the Muslims rioted, setting fire to Mbagala's Agape Church and the Evangelical Lutheran Church of Tan zania. Over the next few days more churches, in cluding an Anglican and a Church of Christ, were attacked: two in Kigoma and one in Zanzibar.
Cars were also smashed and burnt. Subsequently, 86 were arrested for rioting and 32 for destroying church properties. Sheikh Ponda Issa Ponda, the secretarygeneral of the Council of Islamic Organi sations, was arrested for inciting the violence which he blamed on the police, saying that if the police had given the matter 'its due weight' then Muslims would not have felt so 'sidelined'.
But is it a crime in Tanzania to blaspheme, defile a Qur'an or hurt a Muslim's feelings? I (EK) don't think so! Yet on 23 July 2012 a judge in the coastal town of Bagamoyo sentenced Christian teen Eva Abdullah (17) to two years in prison after Islamic fundamentalists falsely accused her of defiling the Qur'an. Eva, who was driven from her home after converting to Christianity, had been resisting pres sure from Islamic fundamentalists to return to Islam. After falsely accusing her, these radicals al legedly bribed the judge to punish Eva. Fear of the Muslims reportedly has kept local Christians from getting involved. Eva thanks the Lord that He has provided her with kind and sympathetic prison guards who are caring for her and protecting her.
Please Pray Specifically That God Will:
* Convict, motivate and embolden Tanzanian lead ers, so they will rise to defend human rights, liberty and rule of law rather than appease the belligerent for false peace and shortterm gain; may they clearly understand what is at stake.
* Bring revival to the Tanzanian Church, so she might 'wake up, and strengthen what remains' (Revelation 3.2), and take the lifetransforming Gospel of grace to Muslims before Muslims impose repressive Islam on Tanzania.
* Comfort and protect Emmanuel Mwinuka (13) and his family as they face mass Islamic wrath over a childish prank, as well as Eva Abdullah (17) as she suffers purely because of her love for the Lord Jesus; may God supply their every need.
–Written for the Australian Evangelical Alliance Religious Liberty Commission by Elizabeth Kendal, international religious liberty analyst and advocate, member of the AEA RLC team, Adjunct Research Fel low in the Centre for the Study of Islam and Other Faiths at Melbourne School of Theology.
HERE, THERE AND EVERYWHERE ... with Barbara Furman
Translation Work Vital To Church Growth
THE Boko area is regarded as the most remote of the language groups in Benin, but it has often been an ex ample to other language groups in the areas of ver nacular literature, Bible school and church organisation. There are now about 40 Boko churches and 3,000 Christians in an ethnic group that is more than 90% Muslim.
The church has had a Bible school running for more than 30 years, sometimes two days every fortnight, sometimes for three months. So there are now more than 80 trained pastors and evangelists. They see the need for a permanent Bible school to be built on the
Ross translating with Kyanga language consultants.
outskirts of Segbana (the principal town in the Boko area) where the government has given them a five hectare plot of land. Other church activities for youth, women and children are well catered for, and nurses have been trained and medical clinics are opening in Boko villages.
Ross and his late wife Joy worked with SIM among the Bokos from 1969 to 1984 and Ross has contin ued translation work among them and other related languages in the area, spending part of each year in Africa. A full time Bible School will open in January and be developed as funds come in. Details are avail able from Ross Jones: firstname.lastname@example.org
Not Too Late To Start
HAVE you worked for 20, 30 or 40 years and gained a lot of valuable experience, but are wondering if you could do more for the Kingdom of God than support your local church? Back in 2004 Barbara and Lindsay Fell realised the tremendous potential of this age group and that many were not aware of the possibilities.
Thirty eight couples in Indonesia have been re ceiving funding since they started planting churches almost three years ago, and in Kenya, 30 Barnabassupported Christian workers are making an impact for Christ among the local people.
The result is Second Wind Network, an organisa tion they started to link prospective workers with mission agencies that need what they could offer. So SWN has developed into a network of churches, mission agencies and individuals with a common goal of seeing Australian Christians in their 40s, 50s and 60s actively involved in local and global cross cultural mission.
Their website, www.secondwind.net.au is kept uptodate with the current needs and opportuni ties around the world.
Support For National Workers
PASTORS and church planters supported by Barna bas Fund are reaching out with the Gospel in often hostile contexts. One has led 21 families to Christ in Pakistan. The pastor of a large congregation com prising around 150 families, he regularly goes out to spread the Gospel, distributing literature in market places, buses and trains. He endures great animos ity and the threat of violence but is unperturbed. 'Everyone is concerned about their future. But I have certainty about eternal life,' he said.
These are just some of nearly 400 pastors and church planters who are receiving support from Barnabas Fund in 18 countries where Christians are a pressurised minority. These workers are serving the Lord in very challenging contexts. They face much opposition, hostility and danger, so it is a great encouragement to them to know that broth ers and sisters around the world are partnering with them in their labours. www.barnabasfund.org Missionary School Flooded
ON 20 August, Sahel Academy, a college for mis sionary children and other English speakers in Ni amey, Niger, became part of the Niger River when record floods caused the dyke in front of the school to break. The school community worked tirelessly to salvage school supplies, furniture and equipment and store it safely. Fifty three missionaries and chil dren were left homeless, along with a great number of the national people. Some help was given by other mission organisations but other suitable ac commodation is hard to find in Niamey.
There is a long road ahead. This is the beginning of the wet season, with the seasonal peak of the river due in December and the water not expected to recede before next March. (Continued on p.10)
HERE, THERE AND EVERYWHERE (Continued from p.9) ...
When the water does recede, the enormous task of restoring the buildings, assessing damage and get ting the school back into a habitable state begins.
A Joyful Conference
Despite the difficulties, the school community is in good heart. CEO Bill Bliss said, 'We are struggling to understand what God is doing and why He is al lowing these seeming catastrophes to happen, and yet we trust in Him.'
Asylum Seekers Form A Church
INSTEAD of Afghans coming to faith in Jesus here in Australia and then joining a church, Operation Mobilisation's Ministry to Australian People (MAP) team are currently seeing a group of Afghans who are already Christians arrive and begin to establish their own church. In 2010 a large number of secret believers in this strict Muslim country were exposed as Christians. Most of these had to flee, often nar rowly escaping imprisonment and torture. Some were soon recognised by the UNHCR as refugees and are now waiting to be accepted by a safe coun try. Others started to arrive in boats in Australian waters and found themselves in one of Australia's detention centres. Through the MAP team's con nections with Christians in Afghanistan they heard about these believers here and have helped many in detention centres to get in touch with one another.
SIMCHA means 'a joyous occasion', and that is ex actly what Simcha 2012 is all about – a joyful gath ering of believers from across Australia, organised by Celebrate Messiah, an outreach to the Jewish community based in Melbourne. Running from 30 November to 2 December this year, the venue at Phillip Island, Vic, is expected to fill as on previous occasions. Guest speakers are Dr Mitch Glaser, President of Chosen People Ministries, USA, who has a keen understanding of the global scope of the modern Messianic movement thanks to his exten sive travels and continued ministry to the Jewish people spanning almost 40 years; and Maxim K, a Russianborn Israeli who will minister to the Russian speaking believers. Other support speakers are Dr Ashley Crane, principal of Harvest West Bible Col lege in Perth, Kelvin Crombie, Australian author, historian and inspiring speaker who has lived in Is rael for 24 years, and founder and CEO of Celebrate Messiah, Lawrence Hirsch. Details and registration may be found at www.celebratemessiah.com.au Christmas Is Coming ...
Now seven Afghan believers meet regularly in a house church. They pray for the many more believ ers who are currently still in detention or abroad waiting to be accepted into Australia.
AND New Life's mailbox is growing fat with cata logues featuring gifts to give to that person who has everything but which would bring real help to the needy overseas. Check out the website of a Christian work that you are interested in and see if they have a catalogue available, and give two peo ple a lot of joy this Christmas for the price of one.
Meet Songe Chibambo – 'All Find Rest In Christ Alone'
SONGE Chibambo is Pan African Missions Director for African Enterprise, the organisa tion set up by Michael Cassidy to evangelise the cities of Africa through word and deed in partnership with the Church. Songe spoke at a Supporters' Dinner at St Stephen's Pres byterian Church, Surrey Hills (Vic) recently ...
Born and raised in northern Malawi, Songe was educated in Malawi, Lagos, Nigeria and Oregon, USA. His present position involves him in mission, teaching and preaching as director of African Enterprise, which this year is celebrating 50 years of service, con
centrating on bringing the Gospel to more than 1,000,000 people each year. Their ministry includes pro viding potable water to isolated communities, giving Godly leadership training and setting up Foxfire youth leadership teams.
Although Songe's grandfather was one of Malawi's first moderators, who preached the Gospel with no compromise, and Songe read the Bible, attended Sunday school and church, but was not converted. Al though at the age of 10 or 12 he had a vivid dream in which he was called to be a fisher of men, he feared death and went astray as a teenager. But in September 1978 Songe gave his life to Jesus. He is now pas sionate for the Gospel, believing that Jesus is the only answer for every nation. Songe believes in stratified evangelism, going where people are and reaching out to them in their own locality. The Gospel is needed in the workplace, bus stations, homes, the workplace – wherever people are – so typically, to reach a city, AE would organise some 400 meetings, with 3080 evangelists. Holy Spirit power is needed In order to make a difference for Jesus, and God is giving His power as He is doing something new in Africa and Asia to spread the Gospel as never before. Go to: http://aeinternational.org/australia/ for more info about AE.
A Minor Christian Girl Kidnapped In Islamabad Territory
– May Be 'Illegally' Married Off After Being Forced To Become A Muslim
TIMAR Shahzadi, a 14yearold Christian girl, was kidnapped by Muslim men in the twin cities of Islamabad/Rawalpindi on 22 October as she was returning from school. According to Pastor Farooq Sadique, the girl was with friends when the abductors pounced and dragged her away. Mr Masih says that her family fears that she could be 'forcefully converted to become a Muslim and then married off if immediate steps are not taken.' He went on to say that her family reported the incident to the Koral Police Station in Islamabad, but police have not yet conducted any investiga tion.
'The poor family cannot afford the expenses of the tribunal procedure and her fa ther requested the higher official to take care of her daughter's issue. He also re
quested the human rights and women rights organisation to help him in finding his daughter,' said Shamim Masih. Her father, Amjid Masih, said that because the girl is still a minor, according to law 'she is too young' to be married. The practice of forced conversion and forced marriage is widespread: rich and powerful Muslims take advantage, especially in rural areas, and girls are victims of religious minorities. Ac cording to Fides Agency, in Pakistan there are about 1,000 similar cases each year, against Christian and Hindu girls. The agency added that to combat the phenomenon, widely recognised by civil authorities, the National Commission for Religious Minorities has prepared a draft law that Christians support and hope that it may soon be considered by Parliament. – Dan Wooding, Director, ASSIST
INDIA – Attackers Target Prayer Meeting A GROUP of Christians in Maharashtra State were beaten up and then accused of forcibly converting people – after withdrawing a complaint about the attack. Hindu fundamentalists attacked a prayer meeting of the New Life Fellowship in Malwan on 26 October. According to the All India Christian Council, a number of Christians – including women and children – were beaten up in the attack. One man was hospitalised.
Hindu leaders persuaded the Christians not to lodge a complaint – for the sake of community peace – but later accused the church pastor, Ruzi D'souza, and other church leaders of being involved in 'forcible conversions' (a common accusation against the church in India). On the basis of these claims local police arrested 11 Christians.
It is reported that the Hindu activists returned to the pastor's home during the night and attacked those present, causing further injuries.
Please pray for healing for all those injured in this latest incident and that they would have grace to persevere in their faith; that God would give Pastor Ruzi D'souza the courage to stand firm in the face of this intimidation. – Release International
Joy For ReRegistration; Concern For Broader Religious Freedoms In Kazakhstan
JOEL Griffith with Slavic Gospel Association says they're celebrating a difficult achievement in Kaza khstan. Two SGAsupported churches were success
fully reregistered with the government. 'We're happy to hear that, but from a broader, religious freedom aspect, we are concerned. One group that has religious freedom today might not be granted that freedom tomorrow.' According to Forum 18 News, officials tried to stop some Kazakh Protes tants from registering their church. While SGAsup ported churches succeeded, Griffith doesn't think they should relax their guard. 'They need to be very careful. In Kazakhstan, even with the registered churches, there have been difficulties.' – MNN
Visiting WA? Perth?
Worship with the Presbyterian Church in WA
'…We…know that a person is not justified by the works of the law, but by faith in Jesus Christ. So we, too, have put our faith in Christ Jesus that we may be justified by faith in Christ and not by the works of the law, because by the works of the law no one will be justified.' (Galatians 2.16)
Arab-Israeli Minister Calls For 'Spiritual' Arab Spring In Mid-East
A YOUNG ArabIsraeli Christian pastor, who has been beaten and stoned for his faith, is calling on Chris tians to pray for a 'Spiritual' Arab Spring throughout the Middle East.
Pastor Steven Khoury was born in the city of Jerusalem and grew up in the city of Bethlehem, five min utes from the birth place of Christ. On 10 May 1990, Khoury gave his life to the Lord and Saviour Jesus Christ. 'I am glad, not for what I have done, but for what Christ has done for me on Calvary's Cross. I am glad that Christ showed mercy to me and gave His life that I might be saved. Growing up on the mission field for 20 years has not only taught me the life of a missionary, but also the struggles and battles of every believer,' Khoury says on his website, www.holylandmissions.org
Khoury adds: 'God has burdened my heart in a great way. He has shown me that Arabs can come to Salvation; I have witnessed that Jews are coming to the Messiah, and that many in Israel from all back grounds are losing hope in life. Seeing people bleed every day, and seeing a person one day and gone the next because of violence and terrorism has made me appreciate life.'
Holy Land Missions exists to preach the Gospel to the hurting nation of Israel and the Palestinian peo ples, bringing worldwide awareness of the persecution of born again Christians living in the Holy Land today – 'Building Hope in lives that lost it, Planting Love in hearts that forgot it, to build a better tomor row,' to put it in Khoury's words.
The organisation's current mission is building a multipurpose Worship Centre in Jerusalem.
Khoury pastors Calvary Jerusalem Church, as well as a church in Bethlehem, and four other sites in Is rael. He has served in ministry in both the USA and Israel over the past seven years. He is the youngest lo callyordained Arab pastor in Israel and surrounding Arab countries.
Khoury has been published in several books and interviewed by CBN and ICEJ. He currently writes reli gious articles for AlQuds, the largest Arabic newspaper in the Holy Land. His book is called, In The Back yard Of Jesus, published by Living Sacrifice Book Company, in Bartlesville, OK.
Holy Land Missions has been reaching out to the lost in Israel for the past 30 years. Today, six locations around the country are actively preaching the Gospel to a hurting nation, including Calvary Church in Jerusalem and First Baptist in Bethlehem. The ministry says that throughout the entire country there are approximately 15,000 born again ArabIsraeli Christians who are daily persecuted by the two dominating religions in the area.
On his website, Khoury explains: 'Persecution has always faced this ministry. Church members have been attacked, discriminated against. Many have lost their income, all for the sake of carrying the Cross.
Several believers have been martyred, including Dr Naim Khoury's brother, and several young girls who invited children to VBS. The church in Bethlehem has been molotov firebombed 14 times and Dr Naim Khoury has been shot at several times in the last 10 years. Nevertheless, Holy Land Missions has reached out to thousands over the years through their outreach programs such as: TV Ministry, Summer Children's Programs, Printing and Distribution of Christian Materials, Radio Ministry, Youth Centres, Church Services, Food Pantry, and Community Events.
'Holy Land Missions sends out a call for the body of believers around the World to stand behind the per secuted believers in this country,' their website says. How Is God At Work In Bethlehem And Jerusalem?
Longford Baptist Church is a vibrant, welcoming church
in Northern Tasmania.
We are seeking a pastor to encourage us for ministry and mission,
helping us grow in Christ.
For further information, go to:
www.longfordbaptistchurch.org.au
Applications close: 30 November 2012.
'We are seeing an openness in the minds and hearts of people in the Holy Land we've never seen before: openness to the Gospel, openness to Jesus, open ness to come to some of the things we're doing that before they would have never been interested in coming to or doing. The cause of the openness of the people's hearts and minds was, I think, years of prayers, years of persistence – people like my father and others who stood strong in the land. I think our boldness and our love for Jesus has attracted others to who we are and the message that we have.'
– Michael Ireland, ASSIST News
GOOD NEWS FROM ABROAD ...
Former Terrorist Now An Evangelist For Christ
'IT was just amazing to me that I was a man preparing young boys and girls to hate Christi anity,' said Dr Daniel Shayesteh at a conference in Hope In Messiah Church which featured a former terrorist and the cofounder of Hezbollah in Iran who used to persecute Jews and Christians but is now a Christian evangelist.
According to the church's website, Shayesteh was a militant revolutionary who helped overthrow the Shah of Iran in 1979. As a subsequent leader in the Ayatollah Khomeini's regime, he cofounded Hezbollah in both Iran and Lebanon. He was wholly committed to the destruction of Israel and America.
But when Shayesteh decided to turn against the Ayatollah's regime, he was sent to a 'death prison' in Turkey where he studied other faiths. It was there he was converted to Christianity and ultimately escaped the region.
Today, according to his bio at Crown College in Minnesota, Dr Shayesteh is a National Evangelist for the Christian and missionary organization Exodus From Darkness. He also operates a satellite television pro gram broadcast to millions of Muslims around the world.
Notes the college website: 'Dr Shayesteh calls for us to "search for truth together" and is confident that people who search openly will discover as he has, that eternal confidence is found only in Jesus Christ.'
–Teresa Neumann, Breaking Christian News
Evangelical Festival In Egyptian Desert
A CHRISTIAN leader in Egypt is calling for prayers for a huge fourday evangelistic festival in the desert north of Cairo, expected to draw 50,000 people from all over Egypt. Hundreds of buses will transport the crowds every day from major cities to the site. The event will be televised and covered by several Christian satellite channels, and is expected to attract 5 to 6 million viewers. The main theme behind all of the activ ities is how Jesus can change lives, according to the Christian leader. At the end of each day, there will be a worship service and a direct evangelistic message to call attendees to give their lives to Jesus.
'There is no doubt that God is moving in Egypt and showing Himself in mighty ways to many of His chil dren, and to many who are seeking to know Him,' says the Christian contact. 'The hunger to know about Jesus and to get to know more about the Christian faith is phenomenal. These are, indeed, difficult times we live in today. With all of the political, social, economic, and religious challenges we have faced here in the last few months, all Egyptians are left with many uncertainties and concerns about the present and fu ture. But we Christians of Egypt are realising more and more every day that God is visiting our country with a powerful divine presence, and that the things He is going to do in our country are beyond imagina tion. This is what we pray for, and this is what we are waiting in faith to see happen.'
The leader is calling for prayers for the safety of people traveling to the festival, and for many to come to faith in Jesus Christ. 'Of course, the evangelistic festival is certainly an event that the enemy doesn't want to see happening. He will try to do whatever it takes to stop it, or at least distort the attention of people away from listening to the Good News. We call on our brothers and sisters worldwide to join us in prayer and to watch with us as we see thousands, maybe millions, of Egyptians coming to Jesus.'
Earlier in the month, a youth festival in the desert drew 10,000 young people from all over Egypt. Egypt ian Christians have faced increased persecution since the election of a Muslim Brotherhood President four months ago. Egypt is ranked No. 15 on the Open Doors World Watch List of 50 countries which are the worst persecutors of Christians.
Jerry Dykstra, Media Relations Director for Open Doors USA, states: 'What is happening in Egypt this month (October) is truly awesome. In the midst of increased persecution, turmoil, and uncertainty, Chris tians are reaching out to others and fervently praying "in such a time as this." Please pray for our brothers and sisters in Christ during this weekend event.'
An estimated 100 million Christians worldwide suffer interrogation, arrest, and even death for their faith in Christ, with millions more facing discrimination and alienation. Open Doors supports and strengthens believers in the world's most difficult areas through Bible and Christian literature distribution, leadership training and assistance, Christian community development, prayer and presence ministry, and advocacy.
HERE TO HELP ...
Twelve Books Prepared For Publication By Drs Clifford And Barbara Wilson
As at 20/10/20012, copies of these twelve titles are available free from New Life Books & Archaeology,
44 Dublin Road, Ringwood East, open Monday-Saturday 10am-2pm, Thursdays 9am-4pm
A Very Special Offer:
Email: www.newlifebooks.info Many earlier Wilson titles are available second-hand from New Life Books & Archaeology, a market place for pre-loved Christian books.
Through the charity of the Dr Wilsons' Estate, one copy of each of the twelve books listed above is now available free to anyone within Australia who requests them AND sends $20 (AUD) for packing and postage.
Weighing 4.66 kg, these books will be posted within Australia in a 5 kg Postal Bag.
Please send a cheque payable to: 'New Life Books & Archaeology', and your address c/o Mr Ron Suter, 167 York Rd, Mt Evelyn VIC 3796. (Ron is the Honorary Treasurer of NLB&A. His mobile phone number is: 0428 290 341).
Stocks of Crash Goes Darwin And His Origin Of Species are limited. When this title runs out, only eleven books will be sent in the Postal Bag.
BOOKS WORTH READING ...
ARCHIBALD G. BROWN: SPURGEON'S SUCCESSOR, Iain H. Murray, Edinburgh, Banner Of Truth, 2011.
A NEW biography from the pen of Iain Murray is always a treat and I was not disap pointed with this one. Murray freely acknowledges that the story of Archibald Brown would not have been written without the encouragement and researches of John Eyres, and the book is dedicated to John and his wife Maureen.
Brown had a godly upbringing and his family sat under the preaching of the youth ful C.H. Spurgeon. A spiritually careless young man, Brown was converted at age 17, and his first 'pulpit' as a new convert was an upturned wheelbarrow on which he sat to read the Bible to workmen in their morning break. When only 18, he joined Spurgeon's Pastors College, though to enter at such a young age broke all the rules! It showed what Spurgeon thought of this promising young man, who shared his faith with anyone who would listen.
Brown was ceaselessly active in Gospel work, pastoring a church at Bromley while still a student. What he said in an early sermon expressed one of his deepest convictions: 'God never saved a man to let him have an easy life'. Fifty years of devoted service to Christ followed. Brown moved to Stepney Green Taber nacle in the East End of London and soon was preaching to a packed church, a result that Brown put down to the earnest prayer of many for revival. A new church building three times the size of the original was built, the East London Tabernacle, and Spurgeon preached at its opening.
Murray identifies love for God and for people as the reason that Brown was ever active and so fruitful in saving lost souls. Service that springs from love is not, of course, a mere 'formula for success' but a law of God's Kingdom. One of Brown's maxims was: 'Sow the seed everywhere'. Here, then, is a biography that is full of spiritual lessons, a book for any minister or missionary who wants to learn what it is to be faithful, to be useful, to win souls and to glorify Christ.
Rather than thinking of advertising or promoting the church, Brown believed that 'converted sinners are the best advertisement in the world for a place of worship'. When asked by someone why he did not have social activities in the church program, he answered: 'They find their recreation in Christ'. He was con vinced that social activities would only weaken the witness of the church. He started a mission and organ ised a system of visitation to bring aid to the many poor of the district, but he did not make the mistake of preaching a 'social gospel', rather he preached that a person's greatest need was to know Christ.
We are told about his friendship and cooperation with Spurgeon through the years, especially in their common struggle against the downgrading of doctrine in the Baptist Union, a battle that helped to short ene Spurgeon's life. Both their congregations eventually left the Union. Brown took a leading part in the funeral of Spurgeon (1892), and sadly the years that followed showed an increasing trend among English Baptists to depart from a solid stand on Scripture.
Brown completed 30 years of ministry in London's East End in February 1897. Preaching trips to the United States and Palestine ensued. After ten years as pastor of Chatsworth Road Baptist Church, he ac cepted the call to be copastor at the Metropolitan Tabernacle with Spurgeon's son, Thomas, and then for three years was sole pastor. Brown, like Spurgeon, saw his time as a turning point in history, when many pastors and churches modified their view on an infallible Scripture and denied the sovereignty of God. We are still living with the sad consequences of this change.
Next, Brown went on a roundtheworld preaching tour that took him to South Africa, Australia and New Zealand, and he died in 1922 aged 77. Brown held strong biblical convictions, but also loved those who differed from him, believing that an unforgiving spirit was alien to Christianity. Now there is an exam ple of Christlike balance to emulate! Final comments by Murray on preaching (strongly disapproving of preaching in series) and hymnsinging (again, quite negative about musical accompaniment) will not re ceive universal approval, but certainly supply food for thought. Here, then, is a book that is sure to inspire, instruct and energise all those who love Christ and seek to serve Him. – Greg Goswell
Read The King James Version Debate by David Holden at www.defenceofthefaith.org
Boort Baptist Church Celebrates It’s 50th Anniversary
City Bible Forum Has Busy Schedule Ahead
ROBERT Martin, Director the City Bible Forum, Melbourne, reports on a busy time ahead, hosting some lunchtime forums designed to engage the public interest surrounding the conclusion of the Mayan calen dar in December. Dr Peter Orr from Melbourne School of Theology and Dr Greg Clarke from the Bible Soci ety will be present at Interactive Lunchtime Forums at 12.30pm on 14 November at 242 Exhibition St, Melbourne, and 1pm on 15 November at Level 8, 500 Collins St.
Robert will also be participating in a debate with Jonathan Meddings on one of the defining questions of our time, Is Christianity A Force For Good In The World? at 7pm, in The Celtic Club, 316320 Queen St, Mel bourne. The cost is $10, with all profits going to support Medicens Sans Frontieres. This debate has already stimulated a lot of interest and over 20 people are already coming to the event including leading public atheists Fiona Patten (Australian Sex Party) and Jason Ball (Global Atheist Convention). It should be a great night. For more details go to: www.citybibleforum.org
Conference On Reformed Ministry In China
CHINA'S Reforming Churches will be a unique international gathering of Reformed church leaders and mis sionsminded Christians who will convene from 24 January 2013 in the Washington DC area to consider the status of Reformed church developments in China today. Through the sponsorship of World Reformed Fellowship member Reformed Theological Seminary, this conference will especially focus on how the North American and international Presbyterian and Reformed community can most effectively assist their Chinese brothers and sisters as they strive to advance Christ's Kingdom and develop vibrant and biblical Reformed and Presbyterian churches in this great and fastchanging nation. Prior registration by Decem ber 15 is required in order to attend; therefore any member of a Presbyterian or Reformed church who is interested in learning more about Reformed church development in contemporary China is welcome to apply, especially missionaries, pastors, elders, educators, and seminary students. For more information on the conference or how you can financially support this event through a contribution to RTS designated for the 'China Conference Fund,' please email email@example.com
'Fair Trade' Market Comes To Gymea Baptist Church And Sutherland Shire For First Time GYMEA Baptist Church, in Sydney's southern subburbs, is hosting a Worldchangers Fair Trade Market on Friday 9 November from 59pm. Fair Trade is a growing international movement that ensures that produc ers in poor countries get a fair deal for their product. Fair Trade is about consistent prices, decent working conditions and community development. It also addresses the injustices of conventional trade which dis criminate against the poorest and weakest producers, enabling them to improve their position and have more control over their lives. Fair Trade ensures there is no child exploitation in the production of goods, that women are valued as equally as men, and that work conditions are safe and healthy.
More than 20 Fair Trade stallholders will be selling goods, and opportunity will be given to learn more about the fair trade movement. There will be live music, lots of food to feed the family and fun for the chil dren – a great evening for the whole family. It will be an opportunity to not only shop for Christmas but to help those less fortunate.
Gymea Baptist Church is at 24 Tea Gardens Avenue, Kirrawee. For more information call Gymea Baptist Church on 02 9521 4611.
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Number 282 • May/June 2011
Mercy by Francis Frangipane
Triumphs over
For whom He foreknew, He also predestined to become conformed to the image of His Son, that He might be the first-born among many brethren (Romans 8:29).
Functional Christlikeness is the singular goal of God for the church, yet we find instead that many Christians are angry. Why shouldn't they be, they ask. Major strongholds of evil and oppression exist almost without restraint in our society today. Not only is evil expanding in our culture, but many of its forms are actually protected by a demonically invaded legal system. Their anger is understandable. Whether we reside in a major metropolitan area or make our home in a small rural setting, the boundaries of morality in our country continue to erode. We have only to think about the protection given to those favoring abortion, the mainstreaming of homosexuality, or the applause offered to immorality, and a holy grieving stirs within us.
Redemption, Not Anger
We should be deeply troubled by sin, for it has the power not only to destroy our souls, but also to provoke the wrath of God upon our nation. Yet how we handle evil in our society is the point of this study. Our goal is to win our war—not just react to the battle. We must remember:
We wrestle not against flesh and blood, but against principalities, against powers, against the rulers of the darkness of this world, against spiritual wickedness in high places (Eph. 6:12 KJV).
The moment our anger is directed toward "flesh and blood" enemies, we surrender our hope for victory.
Lutheran Renewal
(Independent of North Heights Lutheran Church)
Judgment
God's objective goes beyond simply eliminating evil. He seeks redemption, not revenge. We might have all the doctrines correct about salvation, and our church attendance record might be spotless, but if we continue to harbor an angry spirit, we are walking away from Christlikeness; we are in danger of falling away.
Yet you are not in apostasy, beloved. Your quest is the nature of Christ. You know that apart from conformity to Him, you will never be satisfied. Though we all have often fallen short, still we abide beneath our Father's covering grace. Indeed, so essential to His purpose is the Christlike transformation of our hearts, that God will endure our frequent mistakes, granting us time until His call to love awakens within us.
Thus, with relief we read how the early disciples, who similarly misrepresented Christ's redemptive mission, eventually were restored and transformed. When
Jesus and His followers passed through Samaria, they were rejected and scorned by the locals. Off ended, the apostles became indignant and angry. Two disciples even asked, "Lord, do You want us to command fire to come down from heaven and consume them?" (Luke 9:54).
Alliance of Renewal Churches www.arcusa.org • 651-486-4808
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Telephone: 651-490-1517 • Fax: 651-486-2865
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How eager they were to embrace the administration of God's wrath! How conveniently the wrath of God could be used to support their own shortsighted love. Jesus rebuked them plainly, saying, "You do not know what kind of spirit you are of" (v. 55).
This is exactly the problem in Christianity today: many sincere Christians do not know what spirit they are of. They do not know the difference between a judgmental spirit and the Spirit of Christ, the Redeemer.
In the clearest terms, Jesus again explained His mission to His disciples. He said, "The Son of Man did not come to destroy men's lives, but to save them" (v. 56).
Jesus was speaking of all men in general, but His response concerned cultural enemies in particular. The Samaritans, in the minds of the Jews, were a people scorned and reproached. Yet, even for people who were enemies, He said that He did not come to destroy but to save. His disciples eventually learned this lesson and were used by God to spread the Gospel all over the world. What we see in Jesus is to be repeated in substance and power in the church. Thus, our mission is to carry out His mission: to see people and situations redeemed, not destroyed.
Love, Not Law
Yet, for some reason, many Christians identify the height of spirituality not with Christ but with Israel's Old Testament prophets, who were called by God to bring specific messages of warning and punishment to His people. Christian, listen to me: we are not
Our standard is love, not law. Love is the fulfillment of the law.
from Romans 13:10
Old Testament prophets; we are new covenant redeemers. Our primary pattern is not Jeremiah, but Jesus Christ, who brought grace and truth into the world ( John 1:17). Our standard is love, not law. Love is the fulfillment of the law (Rom. 13:10). We are the body of Christ. While we can learn much from the Old Testament, and see reflections of Christ in it, we have no purpose greater than to reveal Christ as He revealed Himself in the New Testament, as the fulfillment of the law. Why should we pattern ourselves after Israel's prophets when they had specific messages from God for specific circumstances? They were sent to a people under
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law, who did not have available Christ as Savior, and who did not know the indwelling of the Holy Spirit or the full grace of God, which is now available to all sinners. Under the law, if the Jews violated just one commandment, they were guilty of all (James 2:10). Although the Lord deeply loved the Israelites, they fell short of God's glory. However, the Father's purpose was not to condemn them, but to provide a better salvation, the free gift of eternal life through faith in Christ—redemption based not on what a man achieved, but on whom he believed.
"For God has shut up all in disobedience that He might show mercy to all" (Rom. 11:32). The prophet's exposure of Israel's sin was part of the closure of the old covenant, a preparation for God's people to embrace mercy. To pattern ourselves after the prophets is to position ourselves in a former dispensation under specific circumstances for which we have no involvement or voice.
Yet the disciples were emerging from the Old Testament dispensation. So when they sought to call fire upon their enemies, as appropriate as this seemed to them, Jesus corrected them. He did not come to destroy His enemies,
but"to save them" (Luke 9:56).
"But," you argue, "God needs to judge sinners for what they are doing." That may be so. Perhaps the world needs a good dose of the wrath of God to wake it up. However, only One person in heaven and earth is worthy to initiate God's wrath: the Lamb who was slain, who stands in intercession before God's throne. (See Revelation 5:6–14.)
The Lamb, Not the Prophets
Consider this: the only Being in all the universe worthy to release wrath because of sin is the very One in all the universe least likely to do so, since He Himself is the sacrifice for sin. The Lamb of God, whose offering abides eternally at God's throne, is the One to whom authority is given to open the book of divine wrath.
Jesus is the Lamb, the sacrifice for sin. Because He paid the highest price for redemption, we can be confident that He will not release divine fury until He fully exhausts divine mercy. Even then, when His judgments finally come, they will continue to
Lutheran Renewal be guided by His motive of mercy, giving time for sinners to repent.
God's Word tells us plainly: "As He is, so also are we in this world" (1 John 4:17). Our pattern is not the prophets, but the Lamb. Our goal is not merely the exposure of sin, but also the unveiling of the sacrifice for sin. Our great commission is to bring healing and the message of God's mercy to the nations. Until Christ breaks the seals that lead to wrath, we must stand in intercession before God as ambassadors of the Lamb. May the Lord give us a clear vision of this truth: intercession is the essence of Christ's life.
Not only is He now at the right hand of the Father interceding for us (Rom. 8:34), but His coming to earth and dying for sins was one extended act of intercession. Jesus beheld the depravity of mankind's sin. He examined it carefully in all of its offensiveness, perversity, and repulsiveness. But the wonder of the Gospel is that, in spite of mankind's sin, God so deeply loved the world that He sent His Son to die for us ( John 3:16–17). We are called to follow this same amazing pattern of mercy.
We are not minimizing sin when we maximize Christ's mercy. There is a difference between whitewashing sin and bloodwashing it. The reality that compels God's heart, that is an underlying principle of life, is "mercy triumphs over judgment" (James 2:13). To live a life of mercy corresponds perfectly with God's heart. Mercy precisely fulfills the divine purpose: to transform man into the Redeemer's image.
Compassion, Not Sacrifice
He told the self-righteous to go and learn what God meant when He said, "I desire compassion [mercy], and not sacrifice" (Hosea 6:6). A religion without love is an abomination to God. The church needs to learn that God desires love and compassion, not merely an adherence to ritual and sacrifice. Thus, Jesus said His Father's house would be a "house of prayer for all the nations" (Mark 11:17). True prayer is born of love and comes in the midst of sin and need. It comes not to condemn, but to cover. All nations sin. All cultures have seasons of moral decline and spiritual malaise. Yet these periods can become turning points if, in times of distress, intercessors cry to God for mercy.
w w w. L u t h e r a n R e n e w a l . o r g
Thus, Christlike prayer brings redemption out of disaster.
Mercy, Not Wrath
The church is created not to fulfill God's wrath, but to complete His mercy. Remember, we are called to be a "house of prayer for all…nations." Consider passionately this phrase: "prayer for." Jesus taught His disciples to "pray for" (Matt. 5:44) those who would persecute or mistreat them. When Job "prayed for" (Job 42:10) his friends, God fully restored him. We are to "pray for the peace of Jerusalem" (Ps. 122:6), and "pray for" ( James 5:16) each other so that we may be healed. Paul wrote that God desires all men to be saved (1 Tim. 2:4). Therefore, he urged "that entreaties and prayers… be made on behalf of all men, for kings and all who are in authority" (vv. 1–2).
Jesus said His Father's house would be a "house of prayer for all the nations"
Mark 11:17
Intercession, Not Cynicism
"But," you argue, "my country (or city) is a modern manifestation of ancient Babylon." I don't think so. But even if it were, when the Lord exiled Israel to Babylon, He didn't order His people to judge and criticize their new cities. Rather, He commanded, "Seek the welfare of the city where I have sent you… and pray to the LORD on its behalf; for in its welfare you will have welfare" (Jer. 29:7).
Time after time, the scriptural command is to pray for, not against; to pray mercifully, not vindictively. God's call is for prayer moved by compassion, not condemnation. Indeed, at its very essence, the nature of intercession is to appeal to God for forgiveness, and then redemption, to come to sinful people. We have studied what is wrong with our society and can prove, with charts and surveys, the trends of sin, yet we have failed to appreciate the influence of the intercessions of Christ.
We consider ourselves experts on the nature and cause of sin, but deny the nature and cause of Christ, which is redemption. My friends, being informed by the news media is in no way the same thing as being transformed into the nature of the Savior. The media sees what is wrong with the world and exposes it; Christ saw what was wrong and died for it. If one could gaze into the image being created within the heart of the church, one would find
3
that it would be more the cynical attitude of the news media than the redemptive attitude of our Shepherd. Righteousness must ascend higher than ascribing to the moral views of our political party; we are called to the standards of God. Study Isaiah 53. It reveals in wondrous detail the Savior's nature: Christ numbered Himself with the sinners (v. 12). He interceded for the transgressors (v. 12). He is
"with us" (see Matthew 1:23) and "for us" (Rom. 8:31), even when He is speaking to us of our iniquity.
But the world sees a church with rocks in its hands, looking for adulterers and sinners. We have become the "church of the angry Christians." In the drama that is unfolding in the world today, we have not usually been playing the role of Christ, but more often the part of the
Pharisees. Let us drop the rocks from our hands, then lift our hands, without wrath, in prayer to God (1 Tim. 2:8).
"Prayer-Mental," Not Judgmental
God does not want us to be judgmental; He wants us prayer-mental. As instinctively as we have judged people, we should pray for them instead. Today, countless Christians are angry with their elected officials. We say our anger is "righteous indignation." Really? Jesus expressed "righteous indignation" for, perhaps, a total of one hour during His recorded ministry. Once was for the hardness of people's hearts (Mark 3:5), another was for the hypocrisy of the Pharisees and scribes (Matt. 23:13– 36), and other times were at the temple when the Father's house was used for something other than redemptive prayer. (See, for example, Mark 11:17.) This is important: the thing that angered Jesus was not the sin in society, but the lack of love and intercession in His people.
How long has your anger lasted? Are you sure your love has not grown cold? Are you sure you are not seeking to justify a root of bitterness and call it righteous indignation?
"Let us consider with holy fear the warning of God: 'Judgment will be merciless to one who has shown no mercy; mercy triumphs over judgment'" (James 2:13).
Taken from The Power of One Christlike Life by Francis Frangipane, ©2000.
This chapter reproduced with permission from www.arrowbookstore.com.
Francis will be one of the speakers at the August 3-6, 2011, Holy Spirit Conference, "Power...Receive It!" See enclosed brochure.
Francis Frangipane
Women's Night Out
Some of What We've Been Up To
March 2011: Paul Anderson, center, and his team on a trip to Latvia, Finland and Norway. Clint Wolcyn on left, Fred Thoni on right.
April 2011 Arise! Women's Conference in Minn. Left-right: Main Speaker Bonnie Chavda, Aslan, Ali and Denise Siemens
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November 2010 Arise! Women's Conference in California. Denise Siemens (5th from the right in back) and team. Judith MacNutt, 4th from the right in back, was the main speaker.
Friday, June 17, 7:00 p.m. "Still Listening" with Denise Siemens Worship, Teaching, Listening, Praying North Heights Church, Use Door B Arden Hills, MN • No charge
Home Groups on the Prophetic
September 2011-January 2012
You may attend one or both of the sessions
February-May 2012
Using books One-Three of Graham Cooke's prophetic series.
Recipe using Cooke's Books: discussion of material, praying prophetically for each other, supporting each other. Taste and See!
We need host homes and leaders. Interested: firstname.lastname@example.org.
Details on groups and locations will be posted this summer. Sign up for Arise! e-letter or check the website: LutheranRenewal.org
We had over 100 women who participated this year. Join us!
Lutheran Renewal
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Cambridge Assessment International Education Cambridge International Advanced Subsidiary and Advanced Level
IGCSE™ is a registered trademark.
PSYCHOLOGY
9698/11
Paper 1 Core Studies 1
May/June 2018
MARK SCHEME
Maximum Mark: 80
Published
This mark scheme is published as an aid to teachers and candidates, to indicate the requirements of the examination. It shows the basis on which Examiners were instructed to award marks. It does not indicate the details of the discussions that took place at an Examiners’ meeting before marking began, which would have considered the acceptability of alternative answers.
Mark schemes should be read in conjunction with the question paper and the Principal Examiner Report for Teachers.
Cambridge International will not enter into discussions about these mark schemes.
Cambridge International is publishing the mark schemes for the May/June 2018 series for most Cambridge IGCSE™, Cambridge International A and AS Level and Cambridge Pre-U components, and some Cambridge O Level components.
Generic Marking Principles
These general marking principles must be applied by all examiners when marking candidate answers. They should be applied alongside the specific content of the mark scheme or generic level descriptors for a question. Each question paper and mark scheme will also comply with these marking principles.
GENERIC MARKING PRINCIPLE 1:
Marks must be awarded in line with:
the specific content of the mark scheme or the generic level descriptors for the question
the specific skills defined in the mark scheme or in the generic level descriptors for the question the standard of response required by a candidate as exemplified by the standardisation scripts.
GENERIC MARKING PRINCIPLE 2:
Marks awarded are always whole marks (not half marks, or other fractions).
GENERIC MARKING PRINCIPLE 3:
Marks must be awarded positively:
marks are awarded for correct/valid answers, as defined in the mark scheme. However, credit is given for valid answers which go beyond the scope of the syllabus and mark scheme, referring to your Team Leader as appropriate
marks are awarded when candidates clearly demonstrate what they know and can do marks are not deducted for errors
marks are not deducted for omissions answers should only be judged on the quality of spelling, punctuation and grammar when these features are specifically assessed by the question as indicated by the mark scheme. The meaning, however, should be unambiguous.
GENERIC MARKING PRINCIPLE 4:
Rules must be applied consistently e.g. in situations where candidates have not followed instructions or in the application of generic level descriptors.
PUBLISHED
GENERIC MARKING PRINCIPLE 5:
Marks should be awarded using the full range of marks defined in the mark scheme for the question (however; the use of the full mark range may be limited according to the quality of the candidate responses seen).
GENERIC MARKING PRINCIPLE 6:
Marks awarded are based solely on the requirements as defined in the mark scheme. Marks should not be awarded with grade thresholds or grade descriptors in mind.
Cambridge International AS/A Level – Mark Scheme PUBLISHED
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| | Question | | Answer | Marks |
|---|---|---|---|---|
| 1 | | From the study by Mann et al. (lying): | | |
| 1(a) | | Identify two features of the sample of suspects used. 13 males, 3 females = 2 serious crime/high stakes; (9 theft, 2 arson, 1 attempted rape, 4 murder = 2) males and females; 16 people; juveniles and adults; (4 juveniles: 13–15 years, 12 adults: under 65) = 2 Caucasian and Asian participants/mainly Caucasian participants = 1 15 Caucasian and 1 Asian = 2 all English first language speakers; 1 Asian/Punjabi/other language speaker but fluent in English = 2 majority already known to the police/had been interviewed before (10/16) 1 mark per feature identified ⋅ 2 | | |
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| | Question | | Answer | Marks |
|---|---|---|---|---|
| 1(b) | | Suggest one reason why the findings of this study may be generalisable. As these were high stakes crimes, any behaviour patterns would be easier to see but would probably be the same in lesser crimes as they are still lying; There were more males than females; which is typical of (the ratio of) criminals; There were some (fewer) females/both males and females; so the results could apply to female criminals too (because their lying behaviours might be different/there might be a gender difference in lying behaviours); Different ethnicities were used; there might be a cultural difference in non-verbal behaviours/lying behaviours; The suspects were known to the police; which is important because many crimes are committed by re-offenders; Large sample for the type of study; so likely to be typical of other liars/lying in other criminals; 1 mark partial (identification of a factor that is relevant to generalisation) 2 marks full (detailed suggestion, with clear link to why it is generalisable) | | |
| 2 | | Loftus and Pickrell (false memories) refer to retroactive and proactive inhibition. | | |
| | Question | | Answer | Marks |
|---|---|---|---|---|
| 2(b) | | Explain why this experiment is a test of retroactive inhibition. Because the suggested false memory is new information; which links to old memories (so that it seems real); 1 mark partial (brief explanation) 2 marks full (detailed explanation) | | |
| 3 | | Experimental comparisons in the study by Baron-Cohen et al. (eyes test) used an independent groups design. | | |
| 3(a) | | Describe what is meant by an ‘independent groups design’, using this study as an example. Different participants are used in each level of the IV/(experimental)condition; e.g. ASD and (student/adult) controls; 1 mark for definition of independent groups; 1 mark for link to study; | | |
| 3(b) | | Explain how one dependent variable was measured in this study. Theory of mind: measured with the eyes test; deciding facial expression; using 36 photos of human faces; Autism: AQ/autism quotient; measured as a score on a psychometric test/questionnaire; score of autistic traits/by Likert scales; (accept an example) Gender: measured as whether they could (accurately) identify males and females/judge photos of eyes to decide gender; 1 mark partial (brief explanation e.g. just identifying measure) 2 marks full (detailed explanation of what was being measured or how) | | |
Cambridge International AS/A Level – Mark Scheme PUBLISHED
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| | Question | | Answer | Marks |
|---|---|---|---|---|
| 4 | | In the study by Held and Hein (kitten carousel), the kittens used two senses to develop visually guided behaviour. | | |
| 4(a) | | Identify the two senses the kittens used to develop visually guided behaviour. Proprioception/touch; vision/sight; | | |
| 4(b) | | Explain how the results of the experiment confirmed that both of these senses were necessary to develop visually guided behaviour. The kittens needed simultaneous movement and vision in order to develop visually guided behaviour, so only the active kittens could do the tasks/the visual cliff/paw placement, etc. = 2 marks 1 mark partial (either relevant result or just conclusion) 2 marks full (detailed explanation relating result to conclusion) The active kittens were better at all the tasks than the passive kittens = 1 mark (relevant result) The active kittens developed visually guided behaviour as they moved themselves = 1 mark (explanation) The active kittens developed visually guided behaviour because they could link what they could see with moving themselves = 2 marks | | |
| 5 | | From the study by Milgram (obedience): | | |
| 5(a) | | Explain what is meant by ‘qualitative data’. Descriptive/detailed/in-depth data; such as obtained through open questions/unstructured interviews/case studies; e.g. the verbal comments; e.g. descriptions of behaviours/answers/feelings; e.g. participants said they wanted to stop; 1 mark partial (brief meaning of term), 2 marks full (elaborated meaning of term, e.g. methods used or data collected/example from study). | | |
Cambridge International AS/A Level – Mark Scheme PUBLISHED
| | Question | | Answer | Marks |
|---|---|---|---|---|
| 5(b) | | Explain why it was important to collect qualitative data in this study. To collect detailed data; e.g. for what was said and done/e.g. nervous laughter and lip biting; to find out reasons/understand why; they obeyed/disobeyed; 1 mark partial (explanation not related to study) 2 marks full (explanation related to study) | | |
| 6 | | From the study by Piliavin et al. (subway Samaritans): | | |
| 6(a) | | Identify two features of the victim’s clothing. 1 mark for any of: (Eisenhower/green/brown/wool/waist length) jacket; (old) slacks; no tie; ⋅ 2 | | |
| 6(b) | | Explain why the way the victim was dressed was important. To ensure that they looked like ordinary travellers = 1 mark so that they did not arouse suspicion (elaboration); as a control/so they were both the same = 1 mark so that only the cane/bottle differed = 1 mark Accept other detailed explanations. 1 mark partial (brief explanation) 2 marks full (elaborated explanation or two brief explanations). | | |
| | Question | | Answer | | Marks |
|---|---|---|---|---|---|
| 7 | | In the study by Tajfel (intergroup categorisation), social identification was measured using matrices. | | | |
| 7(a) | | Explain what is meant by ‘reliability’. The extent to which the same result is produced/the consistency of the measures; across time/researchers, etc.; when a study can be repeated (with controls); and get the same results (every time); = 2 1 mark partial (brief explanation) 2 marks full (detailed explanation) | | 2 | |
| 7(b) | | Explain whether using matrices was a reliable measure of social identification. It is very reliable because it was numerical/quantitative; so did not need to be interpreted; it is objective; It is not reliable as the monetary value of the points may have been more important for some boys; so the motivation to give points to the out-group would have been different for different boys; it is subjective; 1 mark partial (brief explanation) 2 marks full (detailed explanation) | | 2 | |
| | Question | | Answer | Marks |
|---|---|---|---|---|
| 8 | | From the study by Freud (little Hans): | | |
| 8(a) | | Describe how Freud collected data about little Hans. (letters to/)from little Hans’s father; to ask him to ask Hans questions; about his history/phobia; about his dreams/fantasies; about his behaviour; 1 mark partial (brief description e.g. one point above) 2 marks full (detailed description e.g. two points above) Note: Accept: met little Hans once (although prior to study) | | |
Cambridge International AS/A Level – Mark Scheme PUBLISHED
| | Question | | Answer | Marks |
|---|---|---|---|---|
| 9 | | Describe two results from the study by Langlois et al. (infant facial preference) from study 3 on the perception of babies’ faces. Babies preferred/fixated for longer on high attractiveness (7.16 seconds); than low attractiveness (6.62 seconds); and this difference was significant; Unaffected by gender of the infant participant or face = 1 but looked longer in first two trials = 1 mean fixation times in study 3 were lower than for white adult faces; mean fixation times in study 3 were higher than for black adult faces; Infants responded to attractiveness regardless of: Gender = 1 Familiarity of the target = 1 ‘Structure’ of the face =1 i.e. non-significant = 1 1 mark partial (brief/muddled/no data) 2 marks full (some detail, numerical or non-numerical) | | |
| 10 | | The study by Nelson (children’s morals) used a story about two boys. | | |
| 10(a) | | Describe the story. Two boys were playing ball/one boy threw the ball to the other (who had no ball); one boy hit the other with a ball; this was either intentional/he tried to hit the other boy; or unintentional/because he wanted to play; 1 mark partial (one key element of story) 2 marks full (two key elements of story) | | |
Cambridge International AS/A Level – Mark Scheme PUBLISHED
| 10(b) | Suggest one disadvantage of using a story about two boys. The participants were boys and girls/the findings might not apply as well to girls (as to boys)/the results won’t generalise well to girls; (identification) (elaboration) The girls may not relate to the story as well; e.g. because girls are less likely to resort to physical aggression when angry; girls may not understand the story as well; girls might interpret the story differently; 1 mark partial (disadvantage identified) 2 marks full (disadvantage elaborated – does not have to be linked to study but this may provide elaboration) |
|---|---|
| 11 | The study by Maguire et al. (taxi drivers) was an experiment. |
| | Question | | Answer | Marks |
|---|---|---|---|---|
| 11(b) | | Describe one feature of an ‘experiment’, other than controls, using this study as an example. Has an IV; of sequential or topographical/semantic or topographical/routes or landmarks or film plots or film frames [any 2]; Has DV; of brain area activated/cerebral blood flow; Is standardised/has standardised procedures; e.g. in the Maguire study every participant in every condition used their individual MRI scans to map their PET scans/used their own baseline speech output task; 1 mark partial (explanation not related to study) 2 marks full (explanation related to study) | | |
| 12 | | The study by Rosenhan (sane in insane places) used observational data of the staff. Alternatively, the pseudo- patients could have collected self-report data from the staff. | | |
| 12(a) | | Explain what is meant by the ‘self-report’ method. Collecting data by asking questions; e.g. using interview/questionnaire; so that participants give first-hand/direct information; about their feelings/attitudes/opinions/memories; 1 mark partial (brief meaning of term) 2 marks full (elaborated, e.g. methods used or data collected) | | |
| | Question | | Answer | Marks |
|---|---|---|---|---|
| 12(b) | | Suggest one problem that could have arisen had the pseudo-patients collected self-report data from the staff. The pseudo-patients would no longer be covert/may be identified as fake; The staff could be affected by a social desirability bias/would not report what they really did/felt/said; (identification) so the data about behaviour on the ward would not be as valid (as the observations); (elaboration) Staff might ignore the pseudo-patients’ requests/not respond properly; (elaboration) So the data would not be valid; (identification) If the staff were not asked until after the pseudo-patients have left; they might have forgotten the details of what they did/felt/said; so their decisions about sanity might be less valid; If the staff were asked direct questions about whether they thought the pseudo-patients were really ill, they would have worked out the aim; because this would have acted as a demand characteristic; 1 mark partial (identification of problem e.g. with a term) 2 marks full (elaboration of suggestion related to the study) | | |
Cambridge International AS/A Level – Mark Scheme PUBLISHED
| | Question | | Answer | Marks |
|---|---|---|---|---|
| 13 | | From the study by Thigpen and Cleckley (multiple personality disorder): | | |
| | Question | | Answer | Marks |
|---|---|---|---|---|
| 13(b) | | Explain one way in which this study is different from the study by Freud (little Hans). Freud – child/3–5 years old; Thigpen and Cleckley – adult/25 years old; Freud – aimed to resolve phobia; Thigpen and Cleckley – aimed to resolve memory problems/black outs; Freud – drew conclusions about development/Oedipus complex; Thigpen and Cleckley – drew conclusions about MPD; Freud – used letters from father; Thigpen and Cleckley – spoke to Eve directly; Freud – used technique of dream analysis; Thigpen and Cleckley – used IQ tests/hypnosis/EEG, etc.; 1 mark partial (brief explanation) 2 marks full (elaborated explanation) | | |
| 14 | | Describe two controls used in the study by Billington et al. (empathising and systemising). If a participant failed to respond to a task the questionnaire moved on automatically; after 50 seconds in the FC-EFT; after 20 seconds in the eyes test; this ensured that participants had similar amounts of time to study each item; Each task could only be completed once; so they could not improve their score by practising; All tests were completed online; so differences in presentation e.g. illumination would have been minimal; 1 mark partial (brief description) 2 marks full (elaborated description) ⋅ 2 | | |
| | Question | | Answer | Marks |
|---|---|---|---|---|
| 15 | | In the study by Veale and Riley (mirror gazing) participants were asked about their focus of attention, which was either internal or external. | | |
| 15(a) | | Describe what Veale and Riley meant by an ‘internal focus of attention’ and an ‘external focus of attention’. Internal focus is thinking about emotions/feelings (relating to the image); External focus is thinking about the (actual image) reflected in the mirror; 1 description = 1 mark ⋅ 2 | | |
| 15(b) | | Explain why the two groups of participants differed in their focus of attention. The controls were more likely to use mirrors functionally/needed to look at what they were doing; Whereas the group with BDD were trying to see something different/comparing themselves to an ideal; 1 mark partial (brief explanation e.g. only one group’s reason explained) 2 marks full (elaborated explanation) | | |
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| 16 | Examples of possible evaluation points: Schachter and Singer • strengths: physiological approach allows for investigation of underlying principles, in this case separating out the influences of biological factors affecting emotion from cognitive ones • Because it is possible to manipulate biological factors in laboratory settings, controlled experiments can be conducted. In this case, adrenalin was injected (and compared to placebo groups) to objectively explore variables. • weaknesses: precisely because the physiological approach looks at underpinning biology it is often reductionist, in this case limiting the possible factors being considered when explaining emotion, although many other influences may matter e.g. preceding social context (rather than just current) • because data are often quantitative they may lack depth and detail, for example, although the participants may have imitated the stooge their reasons for doing so were not explored. Demattè et al. • strengths: physiological approach allows for investigation of underlying principles, in this case the role of odours in attractiveness • Because it is possible to manipulate biological factors in laboratory settings, laboratory experiments can be conducted. In this case, the independent variable of smells was carefully controlled to objectively explore its influence on attraction • weaknesses: precisely because the physiological approach looks at underpinning biology it is often reductionist, in this case limiting the possible factors being considered when explaining attraction, when other influences e.g. social context, voice, personality, etc. also affect choices • because data are often quantitative, individual differences may be lost. For example, the different smells may be preferred by different people even though they were allocated to ‘pleasant’ or ‘unpleasant’. Dement and Kleitman • strengths: physiological approach allows for investigation of underlying principles, in this case the link between stages of sleep and dream recall • when the dependent variable in an experiment is biological, it is possible to measure it very accurately and objectively, in this case assessing brain activity/eye movements using EEGs • weaknesses: precisely because the physiological approach looks at underpinning biology it is often reductionist, in this case limiting the possible factors being considered when explaining dream content and eye movements, such as the unconscious/imaginative processes in dreaming • because data are often quantitative they tend to be averaged, losing indications of individual differences. For example, the range to total sleep time/length of REM phases/extent of dream recall was large. |
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| | Question | | Answer | Marks |
|---|---|---|---|---|
| 17 | | Examples of possible discussion points: Milgram situational: • obedience affected by immediate aspects of setting: authority figure, lab coat • also by wider situational effects e.g. prestigious university, prods • data confirm effectiveness of situation, all participants went to 300 V, etc. individual: • individual differences in obedience i.e. voltage stopping points • also differences in signs of tension (laughing, etc.) Haney, Banks and Zimbardo situational: • guards and prisoners took on roles even though no instructions/height/personality differences • pathology of power (guards) • pathological prisoner syndrome individual: • some prisoners suffered more than others (rashes, how well they coped) • guards varied in behaviour (e.g. questioned) Bandura et al. situational: • children produced identical behaviour to aggressive model (only when viewed) • children imitated non-aggressive behaviour • children exposed to aggressive model also showed more aggression that was not modelled • boys could be more physically aggressive than girls because their previous environment has encouraged this individual: • not all children exposed to models produced the same levels of imitated behaviour • boys could be more physically aggressive than girls because as individuals their biology is different from girls | | |
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National Framework of Ethical Principles in Gene Technology 2012
Gene Technology Ethics and Community Consultative Committee
National Framework of Ethical Principles in Gene Technology 2012
The Gene Technology Ethics and Community Consultative Committee (GTECCC) is a statutory advisory committee established under section 106 of the Gene Technology Act 2000 (Cwth) to advise the Gene Technology Regulator and the Gene Technology Ministerial Council. The opinions expressed in this discussion paper represent the views of the GTECCC and do not necessarily reflect those held by the Office of the Gene Technology Regulator (OGTR) that provides the Secretariat to the Committee.
National Framework of Ethical Principles in Gene Technology 2012
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Contents
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L Y L V C G E R G F F Y T P K T R R E
Summary
Decisions about gene technology require researchers and all others involved in gene technology to assess the ethical consequences of their actions. As well as considering whether an action is scientifically or technically achievable, they must also consider whether it is ethically acceptable. The National Framework of Ethical Principles in Gene Technology 2012 (the National Framework 2012) is a set of principles which Australian scientists and researchers are expected to abide by when dealing with gene technology and genetically modified organisms (GMOs) at all times. It is a means to encourage ethical conduct in gene technology – in particular where it relates to human health, the environment, genetically modified organisms and products.
The National Framework 2012 builds on the principles laid down in the National Framework for the Development of Ethical Principles in Gene Technology 2006 and draws on international and Australian ethical frameworks and community input.
The National Framework 2012 is an outcome of a review of the 2006 Framework conducted by the Gene Technology Ethics and Community Consultative Committee (GTECCC). This is a statutory advisory committee established under Section 106 of the Gene Technology Act 2000 (Cwth) to advise the Gene Technology Regulator and the Gene Technology Ministerial Council 1 .
The National Framework 2012 presents ten key ethical principles relating to gene technology, and to genetically modified organisms (GMOs) in particular, to guide scientists and to inform the community. These principles have been prepared to shape policies and actions that arise when dealing with gene technology.
Principle 1 – Acting with integrity
Act with integrity in the search for and application of knowledge and benefits in gene technology research, both in the design of the research and having appropriate scientific qualifications to undertake the work and follow relevant codes of best scientific practice.
Principle 2 – Avoiding conflicts of interest
Declare and properly manage any conflicts of interest under the terms of the Australian Code for the Responsible Conduct of Research or other relevant requirements.
Principle 3 – Maintaining records of scientific data
According to best scientific practices, maintain accurate and comprehensive records of all relevant facts and data in dealings with gene technology to the standards required by regulatory authorities, including records of all negative as well as positive results.
1 In 2011 the Gene Technology Ministerial Council became the Legislative and Governance Forum on Gene Technology.
Principle 4 – Caring for the environment and sustainability
Conduct dealings with gene technology so as to protect the environment, including genetic diversity, organisms, species and natural ecosystems, and to promote improvements in human health and sustainable agriculture and industry.
Principle 5 – Avoiding harm to humans and animals
Minimise risks of harm or discomfort to humans and animals likely to be adversely affected by gene technology research by ensuring compliance with the gene technology legislation.
Principle 6 – Assessing long-term impacts
Conduct dealings with gene technology with regard to the impact on present and future generations, including assessment of the long-term side effects of applications of gene technology.
Principle 7 – Sharing knowledge and benefits
Respect intellectual property rights, endeavour to promote access to scientific developments and share knowledge, and ensure that the Australian community benefits from gene technology.
Principle 8 – Promoting benevolent purposes
Conduct dealings with gene technology that promote their benevolent application and discontinue dealings that involve risk outside the relevant authorisation requirements.
Principle 9 – Ensuring transparency
Conduct dealings with gene technology in a manner that ensures transparency and public scrutiny of the processes and that allows community consultation with those with a direct or potential interest.
Principle 10 – Considering responsibility beyond national borders
Ensure that dealings with gene technology do not cause damage to the environment in Australian or beyond the limits of the national jurisdiction.
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1. Aims and objectives
The National Framework of Ethical Principles in Gene Technology 2012 (the National Framework 2012) is intended to encourage ethical conduct in gene technology – in particular where it relates to human health, the environment, genetically modified organisms and products. Decisions about gene technology require researchers and all others involved in gene technology to assess the ethical consequences of their actions. As well as considering whether an action is scientifically or technically achievable, they must also consider whether it is ethically acceptable.
The National Framework 2012 will continue to provide a national reference point for promoting the ethical conduct of dealings with gene technology consistent with the national regulatory system that the Gene Technology Regulator (the Regulator) administers under the Gene Technology Act 2000 (Cwth) (the GT Act). The object of the Act is "to protect the health and safety of people and the environment, by identifying risks posed by or as a result of gene technology, and by managing those risks through regulating certain dealings with GMOs".
This National Framework 2012:
* provides ten principles (Section 5.1) relating to gene technology and to GMOs in particular, which are intended to be useful to scientists and the community
* identifies ethical principles and values relevant to work involving gene technology, as set out in Section 5 of this document
* aims to promote well-informed ethical decision making within a transparent decision-making process.
The National Framework 2012 is intended to provide assurance to the Australian community that not only are the risks involved in the technology being properly managed but that ethical issues are also being properly considered.
2. Audience
The National Framework 2012 provides guidance on values and ethical principles for the 'regulated community'. This term covers anyone, organisation or individuals, regulated under the Gene Technology Act 2000 (Cwth) (GT Act) and includes:
* organisations accredited under the GT Act and their associated Institutional Biosafety Committees (IBCs)
* researchers, scientists and other practitioners working with gene technology, including those who deal with genetically modified organisms (GMOs)
It also provides guidance for other regulatory and ethics committees, including Human Research Ethics Committees (HRECs) and Animal Ethics Committees (AECs).
Importantly, it has also been written as a reference point for the general public in the interests of transparency and maintaining public trust.
3. How the Framework will be applied
The National Framework 2012 provides a national reference point to promote the ethical conduct of dealings with gene technology consistent with the national regulatory system.
Organisations accredited under the Act, researchers and IBCs are encouraged to take account of the principles presented here although they are not a requirement under the legislation (See Section 6).
Australian scientists and researchers are encouraged to abide by these principles when dealing with gene technology and genetically modified organisms (GMOs) at all times. Researchers should provide evidence that they have considered these principles when seeking approval for their research projects.
The National Framework 2012 provides guidance to IBCs. These review committees should include the ethical aspects of any dealings with gene technology in their review work.
The National Framework 2012 also provides guidance to HRECs. Research on humans requires ethical approval from HRECs before the research can be undertaken (National Statement on Ethical Conduct in Research Involving Humans, NHMRC 2007). Where this work involves genetic modification, approval under the GT Act is also required.
Similarly, the National Framework 2012 will guide research involving animals. This research requires AEC approval in each jurisdiction under the Australian Code of Practice for the Care and Use of Animals for Scientific Purposes and the Guidelines on the generation, breeding, care and use of genetically modified and cloned animals for scientific purposes (NHMRC 2004 and 2006, respectively). Where the work involves genetic modification, additional approval under the Act is required (as well as any other required approvals).
The National Framework 2012 will fill the current gap where gene modification research does not involve humans and animals – not only will approval be required and risk assessment carried out by the OGTR, but also the ethical aspects of the work should be considered by the institution's IBC and researchers.
4. The National Framework 2012: Context
4.1 Regulatory scheme and the role of the Gene Technology Regulator
All dealings with GMOs require authorisation under the Gene Technology Act 2000 (the GT Act). (See Appendix 1.) The objective of the GT Act is "to protect the health and safety of people and the environment, by identifying risks posed by or as a result of gene technology, and by managing those risks through regulating certain dealings with GMOs". The Gene Technology Regulator (the Regulator) administers the national regulatory system established by the Act.
The Office of the Gene Technology Regulator (OGTR) provides administrative support to the Regulator in the performance of his functions. The Regulator, supported by the OGTR, is responsible for assessing and issuing licences for dealings with GMOs, accrediting organisations undertaking gene technology, and certifying facilities. Requirements for ensuring risk management and monitoring all dealings with GMOs and, where licensed, any intentional release are variously provided through the GT Act, the Regulations, Guidelines issued by the Regulator, and conditions imposed through licences, certification of facilities and accreditation of organisations.
The Regulator's approach to undertaking risk assessments of dealings with GMOs is set out in the Risk Analysis Framework (the RAF) (OGTR 2009). The RAF deals with how long-term and short-term impacts of dealings with GMOs should be assessed and the way that dealings should be managed according to identified best scientific practices.
The RAF acknowledges the importance of considering ethical dimensions of risk assessment and notes that OGTR's risk analysis process should be consistent with the principles outlined by GTECCC. When the RAF was revised and updated in 2007, specific reference was made to the ethical issues of safeguards where data is lacking, scientific uncertainty, environmental impacts and the "precautionary principle" as defined in the GT Act, namely that "where there are threats of serious or irreversible environmental damage, a lack of full scientific certainty should not be used as a reason for postponing cost-effective measures to prevent environmental degradation".
4.2 The Gene Technology Ethics and Community Consultative Committee
The GTECCC is a statutory advisory committee established under section 106 of the GT Act to advise both the Gene Technology Regulator and Legislative and Governance Forum on Gene Technology. The GTECCC continues to provide advice to the Regulator on ethical issues relating to gene technology, the need for, and content of, policy principles in relation to dealings with GMOs that should not be conducted for ethical reasons, and codes of practice in relation to ethics.
In this role, GTECCC developed the National Framework 2012 to provide a national reference point to promote the ethical conduct of dealings with gene technology consistent with the objectives of the GT Act.
The opinions expressed in this discussion paper represent the views of the GTECCC and do not necessarily reflect those held by the Office of the Gene Technology Regulator (OGTR) that provides the Secretariat to the Committee.
Figure 1. Australian system for regulation of gene technology
Intergovernmental Agreement
GTTAC
Gene Technology
Standing Committee
States and Territories
Regulated Community
Public
GTECCC
Legislative and Governance Forum
on Gene Technology
Gene
Technology
Regulator
Office of Gene
Technology
Regulator
Technical Regulatory Consultation
APVMA
NICNAS
DAFF
Biosecurity
Local
Councils
Environment
Minister
TGA
FSANZ
Gene Technology Acts
Governance
Consultation
Advice
Provide advice at the
request of the Legislative
and Governance Forum
or the Regulator
NOTES:
APVMA: Australian Pesticides and Veterinary Medicines Authority
DAFF Biosecurity: Department of Agriculture, Fisheries and Forestry Biosecurity (formerly Australian Quarantine & Inspection Service)
FSANZ: Food Standards Australia New Zealand
GTTAC: Gene Technology Technical Advisory Committee
GTECCC: Gene Technology Community Consultative Committee
NICNAS: National Industrial Chemicals Notification and Assessment Scheme
Regulated Community: accredited organisations and Institutional Biosafety Committees (IBCs)
TGA: Therapeutic Goods Administration
4.3 National Framework 2006
The National Framework 2012 builds on the principles laid down in the National Framework for the Development of Ethical Principles in Gene Technology 2006 (National Framework 2006). The National Framework 2006 was developed by the former Gene Technology Ethics Committee (GTEC) – now the Gene Technology Ethics and Community Consultative Committee (GTECCC) – to provide guidance on the ethical issues relating to gene technology under the GT Act (see section 107). The National Framework 2006 was consistent with international standards at the time and acknowledged the emergence and development of environmental ethics that underpin gene technology. This includes the care and protection of the environment and natural ecosystems, respect for biodiversity, the precautionary approach, and encouraging sustainability.
GTECCC reviewed the National Framework 2006 in 2009–10 through an independent national survey 2 . Survey responses identified a need to strengthen the application of the principles in the National Framework 2006 and provide better promotion of its use. The survey gave support to the National Framework as a means to encourage ethical conduct in gene technology — in particular where it related to human health, the environment, genetically modified organisms and products. Based on these results, GTECCC decided to publish this new National Framework 2012, reflecting feedback from the survey as well as international instruments and developments, changes to the regulatory context and community attitudes. The National Framework 2012 provides ethical guidance which can be used by regulated entities, and which they can be encouraged to refer.
2 An online survey of regulated and non-regulated stakeholders was conducted by ORIMA Research Pty Ltd in March– April 2010: Survey of Regulated and Non-Regulated Clients to Inform the Review of the National Framework for the Development of Ethical Principles in Gene Technology.
5. The National Framework 2012: Principles
5.1 Ethical principles in gene technology
Background
GTECCC has developed the following ten principles to guide decisions on ethical matters relating to research on gene technology and genetically modified organisms (GMOs) in particular, and to inform the community. These principles help to ensure that the values identified in Section 5.2, shape policies and actions that arise when dealing with gene technology. Researchers, scientists and others are encouraged to apply the principles during the course of their work. They should attempt to apply individual principles without substantially compromising other principles. Researchers should provide evidence that they have considered these principles when seeking approval for their research projects.
Public trust is a critical component of the regulatory system. The maintenance of high ethical standards in the private or public sector is essential for public trust.
Principles
Principle 1 – Acting with integrity
Act with integrity in the search for and application of knowledge and benefits in gene technology research, both in the design of the research and having appropriate scientific qualifications to undertake the work and follow relevant codes of best scientific practice.
Principle 2 – Avoiding conflicts of interest
Declare and properly manage any conflicts of interest under the terms of the Australian Code for the Responsible Conduct of Research or other relevant requirements.
Principle 3 – Maintaining records of scientific data
According to best scientific practices, maintain accurate and comprehensive records of all relevant facts and data in dealings with gene technology to the standards required by regulatory authorities, including records of all negative as well as positive results.
Principle 4 – Caring for the environment and sustainability
Conduct dealings with gene technology so as to protect the environment, including genetic diversity, organisms, species and natural ecosystems, and to promote improvements in human health and sustainable agriculture and industry.
Principle 5 – Avoiding harm to humans and animals
Minimise risks of harm or discomfort to humans and animals likely to be adversely affected by gene technology research by ensuring compliance with the gene technology legislation.
Principle 6 – Assessing long-term impacts
Conduct dealings with gene technology with regard to the impact on present and future generations, including assessment of the long-term side effects of applications of gene technology.
Principle 7 – Sharing knowledge and benefits 3
Respect intellectual property rights, endeavour to promote access to scientific developments and share knowledge, and ensure that the Australian community benefits from gene technology.
Principle 8 – Promoting benevolent purposes
Conduct dealings with gene technology that promote their benevolent application and discontinue dealings that involve risk outside the relevant authorisation requirements.
Principle 9 – Ensuring transparency
Conduct dealings with gene technology in a manner that ensures transparency and public scrutiny of the processes and that allows community consultation with those with a direct or potential interest.
Principle 10 – Considering responsibility beyond national borders
Ensure that dealings with gene technology do not cause damage to the Australian environment or to the environment beyond the limits of the national jurisdiction.
3 UNESCO Universal Declaration on Bioethics and Human Rights 2005 provides some guidance on benefit sharing. Examples of benefit sharing may include:
* Art 15(e) access to scientific and technological knowledge
* Art 15(a) special and sustainable assistance and acknowledgment of the persons or groups that have taken part in the research
* Art 15(f) capacity-building facilities for research purposes – see Appendix 3.
5.2 Values underlying the ethical principles for gene technology
Background
The value of public trust is implicit and recognised in Australian Biotechnology: A National Strategy (Biotechnology Australia 2000, the National Strategy, see Appendix 1), the gene technology regulatory framework established in the GT Act, and the corresponding state and territory legislation. The National Strategy encourages the development and application of research and scientific knowledge associated with gene technology for the benefit and wellbeing of the community.
The National Statement on Ethical Conduct in Research Involving Humans (NHMRC 2007) and the Australian Code for the Responsible Conduct of Research (NHMRC/ARC/UA 2007) require researchers to conduct research with integrity.
In developing the principles in this National Framework, GTECCC identified the values set out below as the most relevant for the ethics of gene technology. The values are derived from international documents, in particular the UNESCO Universal Declaration of Bioethics and Human Rights (2005) which includes a number of principles relevant with respect to the environment (see relevant sections in Appendix 3). Other relevant national and international documents are set out in Appendix 2. In addition, GTECCC took account of the general values of the Australian community and values that were expressed during public consultations and in parliamentary debates that informed the development of the Gene Technology Act 2000 (the GT Act). GTECCC notes that concerns for the environment are at the forefront of government agendas internationally in continuing debates about climate change and sustainability. Ethical issues are based on individual, group and societal answers to questions about what they value as good, or what they believe to be the right thing to do. Ethical decision-making about environmental issues should take these values into account.
Values
Value 1 — Integrity
The value of integrity recognises that individuals have an ethical responsibility for their own conduct to act rightly, avoid conflicts of interest and deal honestly and truthfully with others. The value of integrity applies also to corporations.
Value 2 — Trust
Public trust in institutions, public officials and the professions are critical to a democratic society. The accountability of corporations, institutions and scientists working in the development and use of gene technology is an important value for the success of these technologies.
Value 3 — Respect for the environment
The environment is of great value, and humans have duties to protect, conserve and preserve organisms, species, natural ecosystems, natural and physical resources, and the qualities and characteristics of locations, places and areas, both on local and global levels.
Respect for the environment is associated with sustainable development and management, as well as protecting biodiversity and ecosystem integrity and showing respect for individual species. Decision making should consider the short- and long-term impact of genetically modified organisms (GMOs) on the environment for present and future generations.
Value 4 — Respect for persons
In making ethical decisions involving GMOs, people should ensure the fair and just treatment of all whose interests are, or are likely to be, affected.
Value 5 — Respect for animals
Respect for animals, is reflected in animal welfare legislation that is designed to prevent cruelty to animals. This legislation is in place in most countries, including Australia. Respecting animals used or generated for research involving genetic modification also requires consideration of the possible consequences associated with the welfare of genetically modified animals, as well as the possible effects on human and animal health and the environment.
Value 6 — Research and the application of knowledge
The freedom to pursue ethical research to acquire new knowledge is an important value. The application and sharing of knowledge can also benefit human, animal and environmental wellbeing.
6. Future review of the National Framework
The original National Framework 2006 provided guidance on ethical aspects of gene technology. The National Framework 2006 was not enforceable and was an aspirational set of principles aimed to raise awareness of ethical issues relating to gene technology. The former GTEC did not recommend that the Ministerial Council introduce the National Framework 2006 as mandatory Policy Principles 4 under the GT Act (see sections 21–24, 112).
Similarly, GTECCC does not recommend that the National Framework principles set out in Section 5 be introduced by the Ministerial Council as mandatory Policy Principles under the GT Act (see sections 21–24, 112) at this stage 5 . However, GTECCC recommends to the Regulator that OGTR promote the National Framework 2012 more widely to identified audiences to maximise awareness and application of the principles in the framework. GTECCC will again review this revised version of the National Framework within five years of the date of the current publication (2012). GTECCC will consider whether the Ethical Principles in Section 5.1 should be proposed to be Policy Principles under the GT Act. If this is legislated, the Principles would become enforceable.
Further information is available on the GTECCC website: www.ogtr.gov.au
4 Policy principles are issued by the Ministerial Council. The Regulator must not issue a licence if that would be inconsistent with a policy principle (s57(1) of the GT Act).
* The Regulator could require researchers to show consideration of the National Framework 2012 when making licence applications.
5 The GTECCC considered that the ethical principles might potentially be operationalised (if issued as Policy Principles) in the following ways:
* The Regulator could require accredited institutions /IBCs to check that National Framework 2012 was considered under the terms of the Act for accreditation, annual reports or licence applications.
* The National Framework 2012 and OGTR could be listed in the Australian Code for the Responsible Conduct of Research (NHMRC), providing an opportunity to integrate gene technology principles within these broader set of research integrity standards.
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Appendix 1: Background to the National Framework 2006
A National Strategy (Biotechnology Australia 2000) which expressed commitment to the development of biotechnology and safeguarding human health, and ensuring the protection of the environment. The establishment of the national regulatory system for gene technology was considered a key component of the Australian Biotechnology: The National Framework 2006 was developed by GTEC in the context of its responsibilities under the GT Act. In 2000, the Commonwealth of Australia, published the Australian Biotechnology:
A National Strategy. The National Strategy stated "Consistent with safeguarding human health and ensuring environmental protection, that Australia captures the benefits of biotechnology for the Australian community, industry and environment" (at page 7).
The National Framework was developed with reference to the work of earlier Australian committees, including the Genetic Manipulation Advisory Committee (GMAC 1987–2001), the Recombinant DNA Monitoring Committee (1981–87), and the Academy of Science Committee on Recombinant DNA Molecules (1975–81). The Academy of Science Committee on Recombinant DNA Molecules was created in 1975 to oversee the development and use of gene technology in Australia. The Recombinant DNA Monitoring Committee took over this function in 1981, but was succeeded in 1987 by the GMAC following the development of new techniques for modifying the genetic make-up of cells. GMAC was a non-statutory body, which assessed risks to human health and the environment posed by novel techniques of genetic manipulation.
GTEC circulated draft versions of the National Framework 2006 and received submissions covering a wide range of issues from a diversity of sources. Comments included suggestions for aligning the National Framework with existing guidelines, concern about how the principles would be implemented and regulated, and recommendations that sections on environmental ethics be strengthened.
Overall, submissions supported the need for, and intent of, the National Framework 2006 to provide a foundation for future discussions and guidelines relating to ethics in gene technology, as well as establishing a consistent approach to assessing the ethics of such technology in Australia.
The Gene Technology Act 2000
The development of the Gene Technology Bill 2000 (the Bill) took place over a two-year period and was a collaborative effort between the Australian Government, and state and territory governments. It involved an extensive public consultation process that included circulation of a consultation paper titled; Proposed national regulatory system for genetically modified organisms — How should it work? Calls for submissions and invitations to public forums were published in newspapers in all jurisdictions, on the Interim Office of the Gene Technology Regulator's website, and mailed directly to more than 2500 interested individuals and organisations.
In 1999, the Interim Office of the Gene Technology Regulator developed draft legislation for gene technology regulation, following an extensive consultation process involving a wide range of key stakeholders, including the public.
This comprehensive process generated broad agreement that the object of the GT Act would be to protect the health and safety of people and the environment from risks posed by, or as a result of gene technology, by identifying those risks and managing them through the regulation of certain dealings with GMOs. Many submissions stressed the importance of ethics in the development of gene technology, as well as a rigorous scientific assessment of risks. These submissions influenced the introduction of a specialist ethics committee in the draft legislation.
The Bill was referred to a Senate Committee Inquiry and also subjected to extensive parliamentary debate over a six-month period. This resulted in a number of amendments before the GT Act passed into law in December 2000, and commenced operation on 21 June 2001.
In 2000, the Gene Technology Bill 2000 was passed to become the Gene Technology Act 2000 (the GT Act), and Australian Biotechnology: A National Strategy (2000) (the National Strategy), developed by Biotechnology Australia, was released.
The GT Act, supported by the Gene Technology Regulations 2001, an Intergovernmental Agreement signed by all jurisdictions, and corresponding legislation enacted in each state and territory, constitutes Australia's nationally consistent scheme for regulating dealings with GMOs (including experimentation, production, breeding, importation, or use of GMOs in manufacture) to protect human health and safety and the environment. The GT Act and corresponding state and territory legislation is administered by an independent statutory office holder, the Gene Technology Regulator (the Regulator). The scheme operates in conjunction with other regulatory systems (Figure 1).
The GT Act sets down a comprehensive and rigorous process for the scientific identification, assessment and management of risks posed by gene technology. The GT Act also includes comprehensive consultation processes as part of risk-assessment procedures for intentional releases of GMOs into the environment, and allows associated ethical issues to be considered.
The GT Act also set down a range of requirements for the nationally consistent scheme supported by penalties for non-compliance. In particular:
* dealings with GMOs are prohibited unless they are: Licensed; a notifiable low risk dealing (NLRD); Exempt or on the GMO Register
* licences from the Regulator are required to undertake contained research, field trials, or commercial releases of GMOs
* organisations conducting research or dealing with GMOs must be accredited
* accreditation of an organisation requires Institutional Biosafety Committees (IBCs) to be established to provide oversight of and monitor research
* research on GMOs cannot be undertaken without certification of the accredited organisations' laboratories (to specified containment levels).
The GT Act provides for the Ministerial Council to issue policy principles; policy guidelines; and codes of practice.
The GT Act acknowledges the value of public trust through the inclusion of procedures, particularly those to ensure transparency and consultation. Transparency and public participation are required at many stages in the regulatory system, such as:
* inclusion on the GMO Register (section 81)
* during consideration of licensing applications and assessments (section 52)
* the operation of the advisory committees (part 8)
* the issue of policy principles or codes of practice (sections 22, 24).
The workings of the office and licences issued by the Regulator are publicly available on the OGTR website.
Under the GT Act, three committees were originally established to provide advice to the Regulator. These committees are the Gene Technology Technical Advisory Committee (GTTAC), the Gene Technology Community Consultative Committee (GTCCC), and the Gene Technology Ethics Committee (GTEC). Part 8 of the GT Act sets out the range of skills or experiences that committee members must have.
After the 2006 review of the legislation, the GTEC and GTCCC were combined to form the Gene Technology Ethics and Community Consultative Committee (GTECCC) in 2008.
Appendix 2: Review of other codes of ethics
In developing the original National Framework, GTEC (now GTECCC) recognised that ethical thinking in areas of medical and animal research is well developed. Environmental ethics or the ethics of gene technology were at earlier stages of development. However, IBCs are now well established within the regulatory system and in a better position to effectively consider ethical aspects of gene technology. In addition, HRECs or AECs may consider ethical aspects of gene technology. Existing codes of medical research ethics contain statements of broadly agreed and consistent principles; there are no equivalent international codes in relation to generally agreed principles for environmental ethics.
Queensland and Victoria
Both the Queensland and Victorian Governments have introduced statements on ethics in gene technology:
* Statement of Ethical Principles for Biotechnology in Victoria (2006).
* Code of Ethical Practice in Biotechnology in Queensland (2001)
The Queensland Government has revised and renamed its code of ethical practice for biotechnology, the Queensland Biotechnology Code of Ethics (2006). This code addresses a broad range of matters relating to the use of biotechnology such as GMOs, consumer and patient information, and medical research and health care. The principles identified in this code are integrity, beneficence and non-maleficence, respect for people, care and protection of animals, justice, and respect for the law and system of government.
The Victorian Biotechnology Ethics Advisory Committee has published the Victorian Statement of Ethical Principles for Biotechnology in Victoria (2006). The ethical principles identified in the Victorian Statement are:
* respect for animals
* respect for persons
* respect for the natural environment
* respect for the public good, benefit and harm, justice and equity, probity and accountability.
New Zealand
Similarly, the principles identified in the New Zealand Environmental Risk Management Authority (ERMA), (now New Zealand Environmental Protection Authority), Ethics Framework (2011) are complementary to those identified by GTEC. The New Zealand Ethics Framework contains two general principles:
* respect for people, including past, present and future generations.
* respect for the environment
These are manifested in nine specific principles of concern for animal welfare, autonomy, cooperation, cultural identity and pluralism, human rights, human dignity, justice and equality, sustainability, and wellbeing or non-harm. These general and specific principles are achieved through procedural standards of honesty and integrity, transparency and openness, sound methodology, community and expert consultation, and a fair decision-making process.
The New Zealand Ethics Framework (ERMA 2011) identifies the following practical problems in environmental decision making and management that raise ethical questions:
* uncertainty or lack of understanding of cause–effect relationships
* sparse or poor-quality data
* long lead times between cause and effect and realisation of harm or benefit (thus involving the balancing of short-term gain against possible long-term loss)
* methods of selecting reference points for measuring changes in ecosystems
* the need for complex interactions between the social, cultural, ecological, economic and technical aspects to be considered
* the need to consider the acceptability or tolerability of particular environmental risk
* complications arising from multiple objectives.
* the perspectives and needs of multiple decision makers and stakeholders
International and national
In the area of research involving humans, the basic regulatory framework depends on well-established codes of ethical practice, such as the key international reference point of the Declaration of Helsinki (World Medical Association 2008).
In Australia, the reference point is the National Statement of Ethical Conduct in Research Involving Humans, 2007 developed jointly by the National Health and Medical Research Council (NHMRC), the Australian Research Council (ARC) and Universities Australia.
In the case of research involving animals, there is a statutory framework within state and territory animal welfare acts. The statutory framework has been supplemented gradually by codes of practice and ethical principles developed by the NHMRC, in particular the seventh edition of the Australian Code of Practice for the Care and Use of Animals for Scientific Purposes (2004) (the Code of Practice). Section 1 of the Code of Practice sets out the general principles for the care and use of animals for scientific purposes, including the responsibilities of investigators and institutions, and the use of replacement, reduction and refinement techniques wherever possible. Where genetic modification involves animals, the Code of Practice specifies principles of conduct relating to the welfare of laboratory animals used to develop genetically modified animals, and the genetic modification of production animals.
The Australian Code for the Responsible Conduct of Research (NHMRC 2007) sets explicit standards for researchers and public institutions. These standards are enforceable by institutions. Those conducting gene modification research or dealings with GMOs are covered by this Code and are required to comply with its provisions dealing with notification of breaches, investigation adjudication and penalties for infringements. This Code is produced and supported by the NHMRC, Universities Australia and the ARC.
There are a number of international declarations and statements dealing with the environment (see Appendix 3).
Appendix 3: UNESCO Universal Declaration on
Bioethics and Human Rights (2005)
The extracts of Articles presented below are of particular relevance to the National Framework 2012.
Article 2
The aims of this Declaration are:
(b) to guide the actions of individuals, groups, communities, institutions and corporations, public and private;
(d) to recognize the importance of freedom of scientific research and the benefits derived from scientific and technological developments, while stressing the need for such research and developments to occur within the framework of ethical principles set out in this Declaration and to respect human dignity, human rights and fundamental freedoms;
(f) to promote equitable access to medical, scientific and technological developments as well as the greatest possible flow and the rapid sharing of knowledge concerning those developments and the sharing of benefits, with particular attention to the needs of developing countries;
(g) to safeguard and promote the interests of the present and future generations;
(h) to underline the importance of biodiversity and its conservation as a common concern of humankind.
Article 15 Sharing of benefits
Benefits resulting from any scientific research and its applications should be shared with society as a whole and within the international community, in particular with developing countries. In giving effect to this principle, benefits may take any of the following forms:
(a) special and sustainable assistance to, and acknowledgement of, the persons and groups that have taken part in the research;
(e) access to scientific and technological knowledge;
(f) capacity-building facilities for research purposes.
Article 16 Protecting future generations
The impact of life sciences on future generations, including on their genetic constitution, should be given due regard.
Article 17 Protection of the environment, the biosphere and biodiversity
Due regard is to be given to the interconnection between human beings and other forms of life, to the importance of appropriate access and utilization of biological and genetic resources, to respect for traditional knowledge and to the role of human beings in the protection of the environment, the biosphere and biodiversity.
Article 20 Risk assessment and management
Appropriate assessment and adequate management of risk related to medicine, life sciences and associated technologies should be promoted.
Appendix 4: Relevant publications
Agricultural and Environment Biotechnology Commission (2003). GM Nation? The Findings of the Public Debate, United Kingdom.
Bioethics Council (Toi te Taiao) (2004). The Cultural, Ethical and Spiritual Dimensions of the Use of Human Genes in Other Organisms, Bioethics Council, Wellington, New Zealand. http://ndhadeliver.natlib.govt.nz/ArcAggregator/arcView/IE1074184/ http://www.bioethics.org. nz/publications/human-genes-final-report-aug04/index.html
Biotechnology Australia (2000). Australian Biotechnology: A National Strategy, Commonwealth of Australia, Canberra.
http://www.cbd.int/doc/measures/abs/msr-abs-au4-en.pdf
Biotechnology and Biological Research Council UK (2000). Ethics Morality and Animal Biotechnology, Biotechnology and Biological Sciences Research Council, Swindon.
Common declaration on environmental ethics: Common declaration of John Paul II and the Ecumenical Patriarch his Holiness Bartholomew I Monday 10 June 2002, Rome Venice. http://www.vatican.va/holy_father/john_paul_ii/speeches/2002/june/documents/hf_jp-ii_ spe_20020610_venice-declaration_en.html
Convention on Biological Diversity, Rio de Janeiro, 5 June 1992, 31 International Legal Materials 818 [entered into force 29 December 1993].
Environmental Risk Management Authority New Zealand (2011). Ethics Framework, Environmental Risk Management Authority, New Zealand. http://www.epa.govt.nz/Publications/ER-PR-05-1.pdf
European Group on Ethics (EGE) Ethics of modern developments in agriculture technologies. Proceedings of the round-table debate Secretariat of the EGE June 2008 Luxembourg: Office for Official Publications of the European Communities, 2008 ISBN 978-92-79-09414-9.
Graham J (2004). The Perils of the Precautionary Principle: Lessons from the American and European Experience, The Heritage Foundation.
http://www.heritage.org/Research/Regulation/hl818.cfm
Human Genome Organisation Ethics Committee (2000) Statement on Benefit Sharing.
http://www.hugo-international.org/img/benefit_sharing_2000.pdf
National Consultative Committee on Animal Welfare (2008). Australian Animal Welfare Strategy, Australian Government Department of Agriculture, Fisheries and Forestry, Canberra. http://www.daff.gov.au/animal-plant-health/welfare/aaws/online
National Statement on Ethical Conduct in http://www.nhmrc.gov.au/guidelines/publications/e35
National Health and Medical Research Council (2007). Research Involving Humans, Commonwealth of Australia, Canberra.
National Health and Medical Research Council (2004). Australian Code of Practice for the Care and Use of Animals for Scientific Purposes (7 th ed), Commonwealth of Australia, Canberra.
http://www.nhmrc.gov.au/guidelines/publications/ea16
National Health and Medical Research Council, Australian Vice-Chancellors Committee (1997). Joint NHMRC/AVCC Statement on Research Practice and Guidelines, Commonwealth of Australia, Canberra.
http://www.nhmrc.gov.au/funding/policy/researchprac.htm
National Health and Medical Research Council, the Australian Research Council and Universities Australia (2007) Australian Code for the Responsible Conduct of Research.
http://www.nhmrc.gov.au/guidelines/publications/r39
National Health and Medical Research Council Guidelines on the generation, breeding, care and use of genetically modified and cloned animals for scientific purposes (2006).
http://www.nhmrc.gov.au/_files_nhmrc/publications/attachments/ea17.pdf
Nuffield Council on Bioethics (2003). The Ethics of Research involving Animals.
http://www.nuffieldbioethics.org/sites/default/files/files/Animals%20Consultation%20paper.pdf,
Nuffield Council on Bioethics (2003). The Use of Genetically Modified Crops in Developing Countries United Kingdom.
http://www.nuffieldbioethics.org/gm-crops-developing-countries
OGTR (2009). The Risk Analysis Framework.
http://www.ogtr.gov.au/internet/ogtr/publishing.nsf/Content/raf-3/$FILE/raffinal4.pdf
Queensland Biotechnology Code of Ethics. Update of the Code of Ethical Practice for Biotechnology in Queensland (2006)
http://www.industry.qld.gov.au/documents/Biotechnology/Code-of-Ethics-02_07.pdf
Royal Society UK (2001). The Use of Genetically Modified Animals.
http://royalsociety.org/policy/publications/2001/genetically-modified-animals/
http://www.royalsoc.ac.uk/displaypagedoc.asp?id=11513
Smith P (1997). Environmental Ethics? Paulist Press, New Jersey.
Sylvan R and Bennett D (1994). The Greening of Ethics, Whitehorse Press, United Kingdom.
UNESCO Ethics and Politics of Nanotechnology 2006.
http://www.unesco.org/shs/ethics
UNESCO Universal Declaration on the Human Genome and Human Rights(1997).
http://portal.unesco.org/shs/en/ev.php-URL_ID=1881&URL_DO=DO_TOPIC& URL_ SECTION=201.html
UNESCO Universal Declaration on Bioethics and Human Rights (2005). http://unesdoc.unesco.org/images/0014/001461/146180e.pdf
United States of America Council on Ethical and Judicial Affairs, Guidelines to Prevent Malevolent Use of Biomedical Research (2004).
http://www.biosecuritycodes.org/docs/AMA%20Code.pdf
United States of America Committee on Research Standards and Practices to Prevent the Destructive Application of Biotechnology, National Research Council, Biotechnology Research in an Age of Terrorism (2004).
www.nap.edu/catalog/10827.html
Victorian Biotechnology Ethics Advisory Committee (2006). Statement of Ethical Principles for Biotechnology in Victoria.
http://www.svhm.org.au/research/governance/Documents/IBC/Statement-of-ethical-principlesfor-biotechnology-in-Victoria[1][1].pdf
World Medical Association (2008). Declaration of Helsinki: Ethical Principles for Medical Research Involving Human Subjects, World Medical Association. http://www.wma.net/en/30publications/10policies/b3/
Acronyms and abbreviations
APVMA
Australian Pesticides and Veterinary Medicines Authority
AEC
Animal Ethics Committee
FSANZ
Food Standards Australia New Zealand
GMAC
Genetic Manipulation Advisory Committee (1987-2001)
GMOs
Genetically Modified Organisms
GTCCC
Gene Technology Community Consultative Committee (2001-2007)
GTECCC
Gene Technology Ethics and Community Consultative Committee
GTEC
Gene Technology Ethic Committee (2001-2007)
GTTAC
Gene Technology Technical Advisory Committee
GTMC
Gene Technology Ministerial Council
GTSC
Gene Technology Standing Committee
HREC
Human Research Ethics Committee
IBCs
Institutional Biosafety Committees
IDC
Inter-departmental Committee
LGFGT
Legislative & Governance Forum on Gene Technology (formerly Gene Technology Ministerial Council, GTMC)
National Framework National Framework of Ethical Principles in Gene Technology
National Strategy Australian Biotechnology: A National Strategy 2000
NHMRC
National Health and Medical Research Council
NICNAS
National Industrial Chemicals Notification and Assessment Scheme
NLRD
Notifiable Low Risk Dealing
OGTR
Office of the Gene Technology Regulator
RAF
Risk Analysis Framework
Regulator
Gene Technology Regulator
TGA
Therapeutic Goods Administration
the GT Act
The Gene Technology Act 2000
the Bill
The Gene Technology Bill
UNESCO
United Nations Educational, Scientific and Cultural Organisation
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research-article
1029978 2021
Article
Applied Research, Diffractive Methodology, and the Research-Assemblage: Challenges and Opportunities
University of Huddersfield, UK
Pam Alldred
Nottingham Trent University, UK
Abstract
This article offers a critical assessment of the challenges for policy- and practice-oriented social research of 'diffractive methodology' (DM): a post-representational approach to data analysis gaining interest among social researchers. Diffractive analyses read data from empirical research alongside other materials – including researchers' perspectives, memories, experiences, and emotions – to provide novel insights on events. While this analytical approach acknowledges the situatedness of all research data, it raises issues concerning the applicability of findings for policy or practice. In addition, it does not elucidate in what ways and to what extent the diffractions employed during analysis have influenced the findings. To explore these questions, we diffract DM itself, by reading it alongside a DeleuzoGuattarian analysis of research-as-assemblage. This supplies a richer understanding of the entanglements between research and its subject-matter, and suggests how diffractive analysis may be used in conjunction with other methods in practiceand policy-oriented research.
Keywords
applied research, diffractive methodology, minor science, policy research, representation, research-assemblage
Corresponding author:
Nick J Fox, Department of Behavioural and Social Sciences, University of Huddersfield, Queensgate, Huddersfield HD1 3DH, UK.
Email: email@example.com
Sociological Research Online
1–17
© The Author(s) 2021
https://doi.org/10.1177/13607804211029978 Article reuse guidelines: sagepub.com/journals-permissions DOI: 10.1177/13607804211029978 journals.sagepub.com/home/sro
Introduction
Our specific focus in this article is sociological and cognate research designed and conducted primarily to supply evidence to inform practice or policy (Nutley et al., 2002). Areas for such applied research include work and employment, education, health and social care, crime and justice, environmental sustainability, and many other issues (Bickman and Rog, 2008: x). Topical examples might include research to inform policy on sexual harassment and sexual violence in the workplace or educational settings, or to develop health education strategies to address vaccine hesitancy in particular segments of the population. Such research may be funded by government agencies, charities, or commercial bodies, who are seeking outputs that will guide their decision-making and, crucially, positively address a social problem or issue, or lead to improvements in practice (Nutley et al., 2002: 7). On occasions, such sponsors may even specify aspects of methodology or public involvement (Brown, 2010: 230).
In this article, we address a potential tension within applied sociological research. On one hand, there is a need for research findings applied to practice or policy to be relevant, evidence-based, and to accurately and dependably reflect the social world. On the other hand, a range of critical, post-structuralist, feminist, and materialist sociologists have queried both the capacity of social inquiry to accurately 'represent' or 'reflect' the social world it studies (Lather and St Pierre, 2013; Latour, 2005; St Pierre, 2014; Thrift, 2008). Alongside or in place of representation, some of these critical voices have promoted a 'minor science' perspective (Braidotti, 2019: 115; Deleuze and Guattari, 1988: 373) that follows the problems, flows and 'becomings' of a world in flux.
At the outset, we assert our broad sympathies with these feminist–materialist and minor science perspectives that aim to displace representation as the sole trope within social inquiry. On the other hand, we are also committed to a view that sociology should possess the capacity to generate evidence that can productively inform practice, policy, and activism, and hence enhance social practices and challenge social injustice (Fox and Alldred, 2017: 176ff.). With this tension in mind, our aim in this article is to assess what theoretical refinement is needed to enhance the capacities of one such minor science perspective – 'diffractive methodology' (DM) – to contribute productively to social inquiry addressing policy or practice.
DM, sometimes also called diffractive analysis, is a feminist materialist approach founded in the scholarship of Donna Haraway (1992, 1997) and Karen Barad (1996, 2007) that has seen recent interest among researchers in social science disciplines (Dunk, 2019: 4). Haraway (1992, 1997) describes diffraction as a way to map where the effects of difference appear (p. 300) and as an approach to social inquiry that explores the engagements and 'interferences' between world and social researcher (p. 16). Drawing together the post-structuralist theories of Foucault and Butler and the quantum theory of physicist Niels Bohr, Barad (2007: 73) considers diffractions as entanglements and differences within a changing and contingent physical and social world. 'Diffractive methodology', as Barad (2011) argues, is a means for social researchers to make explicit these entanglements and differences, via analytic techniques that read data 'through' other texts, personal experiences, or other data (p. 445).
For Barad (1996: 186), the context-specificity that such multiple readings produce is not a constraint upon research's capacity to reveal the character of the social world. Instead, this human involvement in data analysis assures us that research findings are relevant and applicable to that world. Despite this assertion, the potential for DM to generate a near-infinite multiplicity of contingent – and different – conclusions from research data poses a challenge for its users to produce the kind of 'evidence' conventionally sought by policy-makers and practitioners. 1
To inform the application of post-representational and minor science approaches, such as DM to applied sociological research, we adopt Barad's own diffractive approach: drawing disparate threads into entanglement by reading their work alongside a cognate materialist analysis of the social inquiry process: a 'new materialist' and Deleuzian framing of 'research-as-assemblage' (Fox and Alldred, 2015a, 2015b) that offers a nuanced assessment of how and to what extent observer entanglements impact on research evidence. After a descriptive summary of DM and some of the studies that have adopted it, we note various criticisms of Barad's ontology: those proffered by other writers and our own. We set out four key questions for social methodologists concerning precisely how, and to what extent, observation affects data, which we suggest diffractive methodology fails to answer. We seek these answers via a diffractive reading of Barad alongside Deleuze and Deleuzian scholarship. This, we conclude, allows for a broadening rather than narrowing of methodology (cf. Dixon-Román, 2016; Lenz Taguchi, 2017: 708).
Diffractive methodology: from quantum phenomena to ethico-onto-epistemology
DM is a research approach set out by feminist–materialist social theorist and former physicist Karen Barad (1996, 2007) as part of an 'ethico-onto-epistemology' (Barad, 2007: 185). Ethico-onto-epistemology (hereafter EOE) entangles inextricably a researcher's responsibility for the practices of research and how its outputs make a difference (ethics), that which is observed (ontology), and the research apparatus – observers and their methods of observation (epistemology). 'Diffraction', Barad (2007, 1996) suggests, is about the 'entangled nature of differences' in the social world (p. 381) and how sociomaterial processes 'intra-act' (p. 179) from moment to moment. Studies of such diffractions 'highlight, exhibit, and make evident the entangled structure of the changing and contingent ontology of the world, including the ontology of knowing' (Barad, 2007: 73). Because research is part of this world, when a researcher observes social processes, the very act of observation diffracts what is observed (Barad, 2007: 185). Consequently, the data produced by social research are not a straightforward 'representation' or 'reflection' of that world (Barad, 2007: 49). Rather, it is always and unavoidably a diffraction.
DM addresses two 'mutually exclusive' objectives (Barad, 2007: 73). First, it may explore 'diffraction phenomena' (Barad, 2007): the ways in which social processes diffract the world as they intra-act and interfere. Second, diffractive analytic approaches can be used as a 'way to tune' data analysis to enhance understanding of studied phenomena. Strictly speaking, neither of these approaches amount to a methodology in the sense of a research design. Rather, the first may be regarded as a research focus upon the diffractions and interferences in social processes, while the latter is a data analytic method.
Barad's (2007) take on social research – and their adoption of 'diffraction' as their descriptor for how data emerge in social research – derives from a reading of quantum mechanics alongside feminist and post-structuralist social theory (p. 25). In particular, Barad (1996) drew upon physicist Niels Bohr's 'Copenhagen Interpretation' of puzzling phenomena at the sub-atomic or 'quantum' level, where materials behave in contradictory ways in different experiments (p. 169). Specifically, one of Bohr's quantum physics experiments unexpectedly revealed that when electrons (conventionally understood as particles) were fired through a diffraction grating (two or more slits in a partition), they produced the diffraction or interference patterns characteristic of a wave (Barad, 2007: 102).
Bohr explained these contradictions by suggesting that observing or measuring quanta affected how they behave, so that observed and observer become inextricably entangled. He argued controversially that an electron could act as both particle and wave, and that – at a quantum level, the apparatus used to make observations affected how it behaved – or 'performed' (Barad, 2014: 173). As a consequence, at the quantum level it is meaningless to talk of a pre-existing or independent object of research. Bohr referred instead to 'phenomena', meaning specific instances of entanglements between quanta and observers/measurement devices/theories (Barad, 1996: 169–170).
Barad extends these findings to encompass the social world and social research, arguing that here too observation inevitably influences the phenomena observed. This leads them to propose an 'agential realism' (Barad, 1996: 179) that acknowledges the entanglement of researched and research apparatus (including human observers), and replaces positivist notions of an observer-independent reality with a focus upon 'things in phenomena' (Barad, 1996: 176). Every time a researcher uses a specific research design, method, or theory, or even asks a specific research question, it establishes one particular point of view upon the object of study. These myriad different points-of-view, Barad (2007: 185) refers to as 'agential cuts'.
In the context of social inquiry, Barad (2007, 2011) defines DM as 'attending to entanglements' (p. 30) and 'a practice of reading insights through one another while paying attention to patterns of difference' (p. 445). They suggest that science's successes in both explaining and predicting the world has not been due to sophisticated methodologies that acquire objective (observer-independent) knowledge (the 'realist' view of science). Rather, it is because all research data in both natural and social sciences are produced by human engagements that the knowledge generated about phenomena are relevant to the human enterprise (Barad, 1996: 186). Diffractive approaches are engaged and creative, and incorporate researchers' experiences and insights as means to specify a particular data analysis 'cut' (Lenz Taguchi and Palmer, 2013).
The secondary literature that has applied EOE and DM in the social sciences acknowledges these two distinct aspects of DM: a focus upon entanglements, diffractions, and interferences in social processes and a data analytic method entailing reading texts together. In terms of the former, advocates have argued that 'diffraction' offers a way conceptually to 'question the nature of space, time, number, and life' (de Freitas, 2017; 747), or to enable researchers to examine 'the entanglement of bodies, texts, relationships, data, language, and theory' (Mazzei, 2013: 745). Barad's (2016) commentary on Hiroshima explored the interferences and diffractions between nuclear physics, culture, geopolitics, and life. Pienaar et al. (2017) explored how dualisms, stereotypes, and biomedical or other discourses associated with drug use produced differing agential cuts in social perspectives upon drug use. Viewing statistical means (averages) as specific diffractions of observed phenomena, such as bodily measurements, enabled Dixon-Román (2016) to disclose the effects that quantification can have on the social world, but at the same time rehabilitate the use of quantitative methods within critical social science.
Most empirical studies have focussed, however, on Barad's diffractive analytical approach of reading data or texts together. Analysing an interview with one of her respondents, Mazzei (2014) generated multiple diffractive readings by reading data from different theoretical perspectives, producing 'a spreading of thoughts and knowledge' (p. 744). In their 'feminism in schools' research project, Renold and Ringrose (2017) drew together data from two disparate case studies alongside each other, to 're-animate' their analysis of gender and power. In a study of ill-health and well-being in a girls' school, Lenz Taguchi and Palmer (2013) applied specific agential cuts to produce diffractive readings of their data:
The two of us would sit together in one of our studies, surrounded by all the data: the articles and books, written stories, photographs and images, or different web-sites on the internet on the screen in front of us. We read data out loud to each other or put the photographs into different software to highlight or downplay parts of them. (p. 675)
While Lenz Taguchi and Palmer conclude that diffractive analysis does reveal the complexity of intra-actions between elements in a school setting, they also acknowledged that the approach means that researchers are responsible for the choice of agential cuts. This choice may well have been affected by their own identities 'as white, middle-class, female academics and mothers of daughters' (Lenz Taguchi and Palmer: 684). We return to this issue in the following section.
Possibilities and problems in DM: a constructive critique
We now explore the possibilities that diffractive analysis offers for social inquiry, before addressing concerns and problems that the approach brings with it. As part of the latter, we will introduce our concerns with EOE diffraction as a basis for social scientific research, social engagement, and activism.
The opportunities presented by Barad's work are two-fold. First, the approach, in common with various other perspectives that have been grouped under the portfolio terms 'new materialist' (Coole and Frost, 2010: 5) and 'minor/nomadic science' (Braidotti, 2019: 115; Deleuze and Guattari, 1988: 373), presents an ontology of the social that is relational and contextual rather than essentialist, and dissolves nature/culture dualism (van der Tuin and Dolphijn, 2010: 165). Materialities (be they bodies, physical objects, social formations, or abstractions) are not prior, fixed, stable entities, but are emergent, possessing attributes, or properties that are context-specific. Barad's coining of the neologism 'intra-action' emphasises this: as phenomena are extensive, there is nothing 'beyond' with which to interact (Barad, 2003: 815).
Second, Barad's reading together of quantum mechanics and core post-structuralist writers, such as Foucault, Haraway, and Butler, has offered some reassuring continuities for social researchers and theorists. For the past 30 years, these latter writers have supplied the theoretical and epistemological inspirations for a constructionist thread within social research: particularly within feminism, post-colonial and queer studies, and bolstered qualitative approaches that emphasise the situatedness and researcher-specificity of research findings. Though Barad's (2003, 2007) feminist semiotic-materialism rejects both constructionism and reflexivity (pp. 801, 87), it retains much of the language and concerns of feminist and post-structuralist thought around performativity, discourse, and ethical responsibility, smoothing the ontological shift from texts and meaning towards a re-immersion in materiality (Braidotti, 2013: 50; Coole and Frost, 2010: 6).
Barad's thesis has attracted various critiques. Given that Bohr (1976) himself acknowledged that classical Newtonian/Euclidean physics theory was wholly adequate to predict the physical behaviour of objects at the level of daily life, Barad's extension of findings from the scale of quantum theory to the world of the everyday has raised surprisingly few eyebrows (Hollin et al., 2017). However, their embrace of Bohr's 'Copenhagen Interpretation' of the entanglement experiments has been criticised for failing to acknowledge that other explanations have been offered for these findings, such as the 'hidden-variables' approach (Bohm, 1952: 168) which explains the apparent wave behaviour of particles in terms of as-yet-undiscovered variables, and without recourse to notions of researcher/researched entanglement. Pinch (2011) suggests – from the perspective of science and technology studies (STS) – that Barad too swiftly put their trust in the 'truth' of the Copenhagen Interpretation, without acknowledging 'the messy history, the lacunae, or the grasping and stumbling in the dark, and . . . most of the social and historical context' (p. 434) that led to Bohr's ascendancy. This poses the interesting proposition that Bohr's theory of quantum entanglement (and hence Barad's theory of EOE) is itself one 'agential cut' or diffraction among many. What one wonders, would Barad offer as the theoretical implications for social research were Bohm's 'hidden variables' or an entirely different explanation of quantum phenomena to be confirmed?
To these critiques, we would add some further concerns about DM deriving from our positions as materialist social scientists who seek both to understand the social world and to use research findings to ameliorate social problems, inequalities, and inequities. First, despite Barad's (2007: 73) proposition that DM includes both the study of diffraction phenomena and the application of diffractive analytical methods, many of the empirical studies that have engaged with DM (as reviewed above) solely address the latter. This has meant that DM has focussed upon data analysis and reporting phases of research, leaving to one side concern with how research design and data collection affect findings.
Second, the analytical cuts applied by such diffraction analytic studies are strongly driven by researchers' analytic decisions, and may draw on a researcher's history, experience, or perspective to 'diffract' data. Earlier, we noted Lenz Taguchi and Palmer's (2013) anxieties that their own cuts were generated by 'white, middle-class, female academics'. If research conclusions depend entirely upon the particular agential cut or diffraction applied, this poses questions about the researcher biases that such agential cuts might engender. 2 While context-specificity of findings has been considered by most qualitative researchers as a benefit rather than a shortcoming (and indeed is celebrated by Barad (1996; 186) as a means of assuring relevance), dependence of conclusions on a researcher's choice of agential cut suggests that DM is one of the most researcher-centric and context-dependent analytic approaches yet devised. Furthermore, the underpinning of diffractive analysis by Barad's EOE perspective rules out mixing DM with less context-dependent methods, such as quantitative analysis of data. This puts severely in doubt the transferability of conclusions, and their potential as a basis for social policy or professional practice that can improve people's lives.
Finally, Barad's argument is that diffractive analysis allows the exploration of a number of different cuts through data, revealing unexpected and rich conclusions and insights. However, while they acknowledge the situatedness of all research data, this acknowledgement does not itself supply answers to some further key subsidiary questions of concern to researchers:
*• How does an observer affect an event?
*• In what ways are research data affected by the inquiry process?
*• To what extent are data affected by the inquiry process?
*• Do some kinds of observation affect data more than others?
DM supplies no means to assess whether the effect of observation in a piece of research is minimal (and can thus cautiously be ignored or accommodated, as has been done by physicists and other natural scientists when studying macro-level physical systems) or massive and hence fatal for the entire social research enterprise. Perhaps as significantly – because social scientists are in the business of understanding social processes – it is reasonable for them to wish to discover precisely how an act of observation affects an event. It is not as though the social sciences lack evidence of the effects of observation on events: 'Hawthorne effects' of observation on productivity have been found in a range of settings (McCambridge et al., 2014); asking leading questions affects respondents' answers more than open-ended ones (Loftus and Palmer, 1974); interviewers' characteristics similarly affect responses (Cleary et al., 1981). Meanwhile, ethics codes have been devised to reduce the negative effects of social research on respondents' physical, mental, or emotional well-being.
However, the conceptual toolkit supplied by EOE (e.g. 'diffraction', 'interference', and 'spacetimemattering') do not provide clarification of the precise nature of observer/ observed intra-actions in the social world, nor does DM offer a means to evaluate the effects of observation on events. EOE thus offers only the proposition that any and all research efforts provide a partial diffraction of an event, but without supplying insight into how or to what extent the specific research methods or techniques have influenced findings and conclusions. To address these concerns of the empirical social scientist, we need additional concepts. For that, we must diffract EOE itself.
Diffracting DM with Deleuze and the 'research-assemblage'
Though based in different ontologies (Hein, 2016), and entirely unrelated heritages (Spinozist ethics as opposed to quantum mechanics), the materialist 'ethology' of Gilles
Deleuze has some points of convergence with Barad's EOE (Bryant, 2016; Lenz Taguchi, 2012: 268). 3 Both ontologies are monist, rejecting any notion of structures or systems beyond the immediacy of interactions/intra-actions (Fox and Alldred, 2018b). Both are relational rather than essentialist. Importantly, both question representation as a model for social inquiry: Deleuze and Guattari (1988: 369–370) contrast the concern of a scientific endeavour to generate data that reproduce researched events truthfully with a 'minor' science that 'follows' a flow of events as they unfold. Their analogy: rather than observing and documenting a river and its contents from a fixed point on the bank, minor science takes to a boat and becomes part of the flow (Deleuze and Guattari, 1988: 372). This is a perspective congruent with Barad's conceptions of EOE, in which the observer is very much part of the phenomenon under investigation (Lenz Taguchi, 2013: 272), with diffraction as an alternative model of research to 'representation'. It is worth noting, however, that Deleuze and Guattari (1988) consider that minor science should run alongside representational 'major' science, rather than entirely substituting for it (p. 367).
These convergences suggest that – in the spirit of a Baradian diffractive approach of 'reading insights through one another' (Barad, 2011: 452; Note 5) – a diffractive reading of Barad's approach through Deleuzian scholarship can enable further refinement of both DM and minor science methodology, and how they may be employed in applied sociological research. 4
Deleuze (1988) summarised his Spinozist ontology in just a few pages (pp. 123–127). Bodies, objects, thoughts, social formations, and other materialities (relations in Deleuze's (1988: 126) terminology) are not to be defined by form, substance, subjectivity, or fixed attributes, but simply by their emergent capacities to affect or be affected – their affects (p. 124). In his work with Guattari, these affective arrangements (Buchanan, 2017: 465) of bodies and things are described as assemblages (Deleuze and Guattari, 1988: 22): fluctuating, unstable yet productive constellations of matter (Bennett, 2005: 445; Potts, 2004: 19). The affective interactions or affect economies (Clough, 2004: 15) within an assemblage determine what a body or other thing can do (its capacities) within that particular assemblage/context.
This ontology requires that the assemblage replaces the individual or body as the focus of attention (Deleuze, 1988: 127). The task of social inquiry consequently becomes to analyse events and interactions (e.g. between employee and manager in a workplace or teenagers' use of social media) to disclose the affect economies in these assemblages, and the capacities these affects produce in bodies and other matter. These affective flows and capacities together constitute what an event-assemblage can do, and how it produces micropolitical movements of power and resistance, social divisions and hierarchies, and opportunities and constraints (Fox and Alldred, 2017: 183).
From this perspective, DeleuzoGuattarian scholars have suggested that research should also be considered as an assemblage (Coleman and Ringrose, 2013: 17; Fox and Alldred, 2015a, 2015b; Shildrick et al., 2018). Each and every research act assembles from specific research tools (such as questionnaires, interview schedules, or scientific apparatus); recording and analysis technologies, computer software and hardware; theoretical frameworks and hypotheses; research literatures and findings from earlier studies; the 'data' generated by these methods and techniques; the physical spaces and establishments where research takes place; the frameworks and cultures of scientific research; ethical principles and committees; libraries, journals, books, and editors; researchers; and end-users and research sponsors (Fox and Alldred, 2015: 404; Mannion, 2019; Warfield, 2017). The outputs of the research process derive from the multiple affects between these human and non-human materialities in the research-assemblage, not merely from the intentional or unintentional agency of the researchers. 5
This analysis of the research-assemblage has the potential to supply additional insights into Barad's (2007, 2003) similar analysis of research apparatuses as open-ended and unstable material-discursive phenomena that 'reconfigure spacetimematter' (pp. 142, 145, 170), while being 'perpetually open to rearrangements, rearticulations, and other reworkings' (pp. 816–817). Diffractively framing an apparatus/assemblage via a Deleuzian ontology of affects and capacities also acknowledges its creativity – an apparatus/assemblage's affect-economy producing new capacities in the assembled materialities, with consequences for how it engages with events. This focus upon affects and capacities supplies a way to delve inside this research-assemblage/apparatus, to understand the micropolitical processes that produce 'research knowledge'.
This 'interference' between apparatus and assemblage opens up new avenues by which to explore entanglements between events and research. For any research-assemblage/apparatus to gain useful knowledge about an event it sets out to study, its affecteconomy needs to be capable of being affected by that event (Fox and Alldred, 2015a: 5). For example, in research exploring different approaches to delivering sexualities education (the event-assemblage), the tools to be used (such as interviews, observation, focus groups, and thematic analysis) must have a capacity to be affected by the social processes involved. If this were not the case (perhaps because the researcher could not gain the confidence of respondents, or the questions asked were ill-informed), the information gathered during research would be irrelevant and inappropriate to guide sexualities education policy and practice. At the same time, the affects in a research-assemblage/apparatus have the potential to overwhelm those in the event-assemblage, with the consequence that the research-assemblage produces not only the intended consequences (doing 'research' and producing 'data'), but also unintended effects upon findings (e.g. biases, inappropriate generalisations, or loss of granularity). Sometimes (as in the 'Hawthorne effects' mentioned previously, or in Bohr's two-slit experiments), these research affects may be so powerful that they alter the very event they are attempting to describe. On the other hand, some research-assemblages will have little effect on the events with which they engage.
This affective analysis of research supplies the opportunity to begin to answer some of the questions for DM that we posed in the previous section. The concepts of affects, capacities, and micropolitics enable the entanglements within applied research apparatuses/assemblages to be unpacked further: to assess what all kinds of research designs, methods, and techniques actually do, how they turn the events they study into recommendations for practice or policy guidelines, and who gains and who loses in the process (Fox and Alldred, 2015a). This can reveal how and to what extent social inquiry (measuring, observing, and experimenting) affects what data are produced and the entanglement between research-assemblage and the researched event-assemblage.
At the level of research designs, it enables us to analyse the broad effects of different research-assemblages. Two examples: a qualitative interview assemblage first privileges human respondents' accounts of events over other perspectives and then ascribes further privilege to a researcher to interpret these accounts, side-lining other perspectives on what happened in the original event, and restricting the data produced to the researcher's conceptual framing. A randomised trial assemblage establishes a controlled environment and uses statistical techniques to control-out the affective capacities of 'confounding' factors. This enables the research-assemblage to model the effect of one variable upon outcomes, but inevitably divorces the study from 'real-life' conditions where 'confounding variables' are a feature of how policy or practice plays out in everyday settings. In both these designs, research findings from the events they sought to represent will diverge in particular, differing but documentable ways.
However, this ontology of research-as-assemblage enables us to delve even further into the micropolitics of research apparatuses. This can be achieved because a researchassemblage can be decomposed into a series of simpler research machines, each of which perform specific tasks within a research process – such as data collection, data analysis, or ethical review. Each machine has a specific affect-economy that makes it work (Fox and Alldred, 2015a; Warfield, 2017: 67). Thus, a 'data collection machine' takes aspects of an event as its raw materials, and by the means specific to its design (interview, survey, etc.), generates 'data'. An analysis machine processes data according to rules specific to an approach (e.g. thematic analysis, discourse analysis) to produce 'findings' in the form of generalities or summaries, and so forth. Research techniques, such as sampling, ethical approval, user/public involvement, can all be treated as machines within a research-assemblage, each enabling particular research capacities within a methodology.
Micropolitical analyses can be conducted on the individual research machines that comprise research designs. This enables great precision in assessing how a researchassemblage transforms the affects in the event it studies, with each constituent machine evaluated to identify its effects on the data it generates (Fox and Alldred, 2015a). For instance, affects in a thematic analysis machine will summarise qualitative data by artificially reducing its complexity and aggregating disparate events together. All the tools and techniques of research (e.g. sampling, ethical review, questionnaire validation) may be assessed, to enable precise assessments of how and to what extent all the affects in a particular methodology impact on the data generated and the conclusions drawn. Understanding these impacts is crucial if findings are to be used to inform policy, practice, or activism.
A review of a broad range methods and techniques used in social research (Fox and Alldred, 2015b) suggested that almost all privilege the perspectives of researchers over researched; most tend to aggregate data to produce uniformity and underplay real-world changes; and some may indeed alter the very events that they purport merely to observe. At the same time – despite the highly aggregative and researcher-privileging affect economies of most research methods and designs – this analysis of event/research entanglements recognises that in all inquiry (other than studies that intentionally falsify data), something of the studied event will always find its way through the affects of the researchassemblage. In some studies, not much may be left; in others the traces of the event-assemblage will be more visible within the findings. The challenge is to identify – using the conceptual toolkit outlined here – how and to what extent a specific research method, technique, or tool transforms ('diffracts') the event it is studying.
This analysis suggests how the insights of EOE into researcher/researched entanglements can be further refined by diffracting it through a Deleuzian ontology of researchas-assemblage. Just as macro-scale physical systems are not noticeably affected by research-assemblages/apparatuses (Bohr, 1976), social research designs and methods can be adapted to reduce the impact of specific research affects on the social world, and offer some assurance that findings may be of use in practice or policy-making. We suggest how this may be achieved in the concluding part of this article, where we further diffract DM through a discussion of major and minor science. However, before concluding this section, we will use the interference pattern between the differing ontologies of research apparatus and research-assemblage to assess the micropolitics of diffractive analysis itself.
Taken on its own terms, diffractive 'reading together' aims to produce a particular analytical 'cut' through data. To achieve this, data from a study are read in relation to another source of affect, for instance, deriving from the analyst's own experiences, memories, emotional responses, or theoretical position. Thus, to take the example of Lenz Taguchi and Palmer's (2013) study of ill-health and well-being in a girls' school mentioned earlier in this article, here the researchers read and discussed the data together, sharing stories from their own lives to collaboratively produce knowing in [a] rhizomatic zigzagging flow. . . . This might be a memory or experience evoked in one of us, or associating to another field of research, such as architecture or art, or connecting different data to each other in previously unexpected ways. (p. 675)
Diffracting this diffraction via a micropolitical analysis of the research apparatus/assemblage reveals that these scholars' entanglement with the event they studied produced a specific 'agential cut' through the data. This cut was powerfully affected by the researcher's own affect-economy, privileging the researcher's perspective over that of the respondents. This 're-diffraction' suggests that, as analytical approaches go (Fox and Alldred, 2015b), such a diffractive analysis represents one of the most researcher-centred research machines currently applied in social research. We take up the implications of this for practice- and policy-oriented research in the following discussion.
Discussion: the micropolitics of EOE
Barad's EOE has supplied social theory with a closely argued ontological framework within which to acknowledge entanglements between events and research apparatuses/ assemblages (Barad, 2007). For Barad, the inevitability of entanglement between event and research apparatus led them to propose a diffractive approach that renounced any effort at representation of events, and instead celebrated the multiplicity of possible knowledges of the world. Earlier we expressed concern about the implications of this research strategy for providing relevant, evidence-based knowledge to inform practice and social policy. We asked four questions about entanglement that EOE, as presented by Barad, is unable to answer:
*• How does an observer affect an event?
*• In what ways are research data affected by the inquiry process?
*• To what extent are data affected by the inquiry process?
*• Do some kinds of observation affect data more than others?
We suggest that the diffractive reading of DM through a DeleuzoGuattarian micropolitics of the research-assemblage that we have undertaken in this article provides the insights to address these questions; thereby mitigating the tension identified earlier between the propositions of EOE concerning entanglement and the requirement for relevant and evidence-based applied research that can inform policy and practice. This diffraction has supplied an additional conceptual toolkit that enabled additional insights into the micropolitics of the research-assemblage/apparatus. It provides a sophisticated analysis of the ways in which research designs, methods, and techniques entangle with the studied event, and how these entanglements affect ('diffract', 'interfere with') the data that research produces. However, it also reveals that designs and methods do this to greater or lesser extents, and in different ways: these differing effects may be assessed and their consequent distortions/diffractions assessed. Significantly, despite these distortions/diffractions, something (though on occasions, not a lot) of the studied event remains in the outputs of every research study (Fox and Alldred, 2015b: 411).
Such meticulous micropolitical analysis of precisely how and to what extent each aspect of the research-assemblage/apparatus affect (diffract) data enables a more nuanced understanding of what different research machines actually do. In place of a blanket abandonment of all conventional research methods, tools, and techniques in favour of the diffractive analytical approach that Barad advocates, it suggests that the use of specific research methods, tools, and techniques can be calibrated to provide outputs that take into account the requirements of a particular research study or its sponsors.
Elsewhere (Fox and Alldred, 2018a: 200), we suggested a number of strategies that may be used to design a research apparatus/assemblage appropriate to these needs. These are set out in Figure 1. Used strategically, these approaches can produce findings that acknowledge the effects that research has upon our understanding of the social world, while also enabling assessment of the extent of these effects, and also the extent to which the effects of the research apparatus/assemblage must be taken into account when critically appraising the utility of research evidence. They allow appropriate 'health warnings' to be appended to applied research outputs addressing practice and policy objectives.
While this supplies a pragmatic (small 'p') resolution of the tensions that we have explored in the article, we wish to conclude by addressing another insight enabled by a DeleuzoGuattarian diffraction of EOE and DM. At various points in this article, we have mentioned the distinction between 'major and 'minor' science (Deleuze and Guattari, 1988: 373; see also Braidotti, 2019: 112–115; DeLanda, 2016: 91). These writers describe 'major' or 'state' science as practices that – in hock to authority and/or capitalist social
Substitution: Powerful research affects may be avoided by involving citizens or other users in the co-construction of research designs or development of policy; and by substituting less researcher-led data collection methods, such as a walking tour of a location or setting, and involving research participants and service users in data analysis and report production.
Micropolitical analysis: Where affects cannot be designed out, detailed micropolitical analysis of the effects of the research assemblage can reveal the affective shortcomings of a study and establish the need for subsequent exploratory and engaged research studies.
Mixing Methods: The negative effects of some research machines can be balanced by judicious mixing of methods. For instance, a research programme might combine a descriptive case study (a low-impact research machine that produces a rich picture of a setting) with an intervention (a highly researcher-led approach) that attempts to alter aspects of the setting to address these concerns and values (Fox and Alldred, 2018a).
Discuss methodology with sponsors/end users: Before designing a practice- or policyoriented research project, discuss with end users what they require from the research. Do they want recommendations that are generalisable and based on established knowledge of the relevant field, or are they able and willing to apply context-specific, marginal, generative or even transgressive propositions?
Figure 1.Strategies to manage researcher-affects.
relations – supply axiomatic knowledge of the world: authoritative knowledge that can be used to manipulate the natural or social world to serve and sustain privilege (Braidotti, 2019: 115; DeLanda, 2016: 90). By contrast, 'minor', minoritarian and participative science is engaged in the nitty-gritty of researching everyday life, following the problems, flows, and 'becomings' of a world in flux, and offering the disempowered opportunities to make sense of their own circumstances (Braidotti, 2019: 115; Deleuze and Guattari, 1988: 373).
Barad's espousal of EOE falls firmly into the latter category; but so too do most qualitative research designs that 'follow' problems and use inductive reasoning to draw conclusions. Indeed, the definition of minor science as one that follows events and problems applies to virtually the entirety of empirical sociology and sociological research methods, with axioms notable by their absence and inductive reasoning from particular to generality the norm. That, however, is not a reason to abandon major science: after all, major science physics still works well at scales above the quantum level (Bohm, 1952: 166). Unlike Barad, Deleuze and Guattari (1988: 367) did not reject a major, representational science out of hand, nor does Braidotti (2019) in her recent promotion of a critical posthumanities (p. 116). DeLanda (2016: 95) meanwhile cautions against too strict a dualism: recognising that science like the rest of the world is itself a becoming, that minor and major approaches are both in flux and in dialogue (see also, Braidotti, 2019: 127).
These scholars acknowledge that both major and minor science have a part to play in understanding the world, and we would suggest that the insights into how research and event inter/intra-act in the research-assemblage offers further support for a research practice that is methodologically open and inclusive, cutting across a major/ minor science dualism. Applied sociological research might then be considered as a minor science that is tentatively becoming-major (DeLanda, 2016: 95), to the extent that it offers insights and possibly theoretical models that allow data to be generalised to other settings. At the same time, as a critical discipline, there is a continual becomingminoritarian movement in applied sociology.
It seems to us that practice- and policy-oriented research (where a need for validity and generalisability may outweigh contextual granularity) are situations where (as with macro-level natural science) representational approximation and theoretical elaboration may be used cautiously, by adopting one or more of the four approaches just outlined. The value of EOE lies in its reminder of the inevitable entanglements between researched and researcher; the opportunity that analysing research-as-assemblage brings is to enable us to assess how and to what extent these entanglements affect the data we produce. Social researchers should no more abandon efforts to enhance societal or individual well-being through practice and policy than those undertaking biomedical or environmental scientific research. They need to pro-actively manage their methodology and methods, choosing approaches (including diffractive analysis) best suited to their research aims (Lenz Taguchi, 2017: 708; Thomas, 2017: 684): from exploratory research through to policy development. We may draw upon (and where appropriate mingle) the plurality of designs, methods, and techniques at our disposal – from trials and surveys to exploratory and innovative methods, but always fully aware of how these researchassemblages diffract the data they produce.
Funding
The author(s) received no financial support for the research, authorship, and/or publication of this article.
ORCID iD
Nick J Fox https://orcid.org/0000-0003-2037-2664
Notes
1. 'Evidence-based' approaches to practice and policy range from assessments of clinical interventions though to efforts to replace ideology or unfounded assumptions as a basis for public and social policy (Bullock et al., 2001).
2. More broadly, this kind of research practice also sustains a humanism and an anthropocentrism that many materialist scholars have sought to constrain or exclude from their research processes (Lather and St Pierre, 2013; St Pierre, 2014).
3. The distinction between Barad's agential realism and Deleuze's philosophy of immanence is defined in part by the former's conception of a transcendent 'agency' versus the latter's immanent 'affective flow' (Hein, 2016: 136). However, Lenz Taguchi (2013) has challenged Hein's (2016: 138) claim that this establishes incommensurability between their ontologies.
4. Authors who have used Baradian concepts and insights alongside those of Deleuze and Guattari include Allen (2015), Coffey and Ringrose (2016), Lenz Taguchi (2013), and Renold (2018). Of these, Lenz Taguchi's is the most explicitly diffractive reading of these authors
together.
5. Barad (2007: 163-166) recounts how a discovery in atomic physics emerged serendipitously, due to impoverished researcher Otto Stern's habit of smoking cheap cigars during lab experiments. His sulphurous breath unintentionally supplied the research apparatus/assemblage with a new capacity when it revealed on a photographic plate the trace of a beam of atoms that had previously gone undetected.
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Author biographies
Nick J Fox is professor of sociology at the University of Huddersfield and also holds an honorary chair in sociology at the University of Sheffield. Recent work using new materialist and posthuman approaches includes studies of sustainable development, climate change policy, social disadvantage and health and materialist research methodology. He is the author (with Pam Alldred) of Sociology and the New Materialism (Sage, 2017).
Pam Alldred is professor in the Social work, Social Care and Communities department, Nottingham Trent University. She researches sexualities, parenting, and sex education, and has lead two large international projects on gender-related violence and then on sexual violence, with European Union co-funding. Pam recently published Sociology and the New Materialism (with Nick J Fox, Sage, 2017) and is co-editor of the Handbook of Youth Work Practice (Sage, 2018).
Date submitted27 May 2020
Date accepted10 June 2021
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23rd Australasian Conference on the Mechanics of Structures and Materials
2014
Web crippling studies of Duragal channel sections ETF and ITF load cases
S Gunalan Queensland University of Technology
M Mahendran Queensland University of Technology
Publication details
Gunalan, S & Mahendran, M 2014, 'Web crippling studies of Duragal channel sections - ETF and ITF load cases', in ST Smith (ed.), 23rd Australasian Conference on the Mechanics of Structures and Materials (ACMSM23), vol. I, Byron Bay, NSW, 9-12 December, Southern Cross University, Lismore, NSW, pp. 559-564.. ISBN: 9780994152008.
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WEB CRIPPLING STUDIES OF DURAGAL CHANNEL SECTIONS – ETF AND ITF LOAD CASES
S. Gunalan
Science and Engineering Faculty, Queensland University of Technology Brisbane, QLD, 4000, Australia. email@example.com
M. Mahendran*
Science and Engineering Faculty, Queensland University of Technology Brisbane, QLD, 4000, Australia. firstname.lastname@example.org (Corresponding Author)
ABSTRACT
Cold-formed steel members have many advantages over hot-rolled steel members. However, they are susceptible to various buckling modes at stresses below the yield stress of the member because of their relatively high width-to-thickness ratio. Web crippling is one of the failure modes that can occur when the members are subjected to transverse high concentrated loadings and/or reactions. The four common loading conditions are the end-one-flange (EOF), interior-one-flange (IOF), end-two-flange (ETF) and interior-two-flange (ITF) loadings. Recently a new test method has been proposed by AISI to obtain the web crippling capacities under these four loading conditions. Using this test method 38 tests were conducted in this research to investigate the web crippling behaviour and strength of channel beams under ETF and ITF cases. Unlipped channel sections having a nominal yield stress of 450 MPa were tested with different web slenderness and bearing lengths. The flanges of these channel sections were not fastened to the supports. In this research the suitability of the current design rules in AS/NZS 4600 and the AISI S100 Specification for unlipped channels subject to web crippling was investigated, and suitable modifications were proposed where necessary. In addition to this, a new design rule was proposed based on the direct strength method to predict the web crippling capacities of tested beams. This paper presents the details of this experimental study and the results.
KEYWORDS
Cold-formed steel structures, unlipped channel sections, web crippling, design rules, direct strength method.
INTRODUCTION
Cold-formed steel members are becoming increasingly popular in the building industry due to their superior strength to weight ratio and ease of fabrication as opposed to hot-rolled steel members. Among them channel sections are commonly used as bearers of floor systems in residential, industrial and commercial buildings. Thicker channel sections with varying geometry and Duragal Platinum hotdip zinc aluminium coating are used to suit various requirements including higher moment capacities and longer spans. Figure 1(a) shows the Duragal channel section while Figure 1(b) shows its applications in buildings as joists and bearers. Web bearing is a form of localized failure that occurs at points of transverse concentrated loading or supports of thin-walled steel beams. Cold-formed steel joists and bearers that are unstiffened against this type of loading are vulnerable to web bearing failures (Figure 2). Current cold-formed steel design rules are empirical as they were developed based on extensive testing of many cold-formed steel sections such as C-, Z- and hat sections and built-up sections undertaken since 1940s (Winter and Pian 1946, Khan and Walker 1972, Prabakaran 1993,
Young and Hancock 2001, Macdonald et al. 2011) for the four web bearing loading conditions (EndOne-Flange (EOF), End-Two-Flange (ETF), Interior-One-Flange (IOF) and Interior-Two-Flange (ITF) Loading) shown in Figure 2. This research is aimed at investigating the web crippling behaviour and strength of Duragal channel sections under ETF and ITF load cases and determine the accuracy of currently used design rules. Web crippling tests were undertaken based on the new AISI standard test method (AISI 2008), which states that the specimen length should be at least equal to three times the flat portion of clear web height (d1) for ETF load case while it should be at least equal to five times d1 for ITF load case. Experimental web crippling capacities were compared with the predicted web crippling capacities using the current design rules and suitable modifications were proposed where necessary. New design rules were also developed under the direct strength method format.
EXPERIMENTAL STUDY
Thirty eight tests were conducted to investigate the web crippling behaviour of Duragal channel sections under ET and ITF load cases. The flanges of the sections were not fastened to the bearing plates in this experimental study. Table 1 presents the mechanical properties of tested sections while Tables 2 and 3 include their measured external dimensions (d and bf), thicknesses (tw), internal radius (ri) and length (L). Figures 3(a) and (b) show the experimental set-up used in the web crippling tests for ETF and ITF load cases, respectively. Test specimen length and test setup were selected based on the AISI standard test method (AISI 2008). All the specimens were tested using an Instron testing machine to failure. Four different sizes of bearing plates lb (25, 50, 100 and 150 mm) were used. Two laser displacement transducers were located on the test beam to measure the vertical (flange) and lateral (web) deflections. Tables 2 and 3 show the web crippling capacities of channel sections as obtained from this experimental study for ETF and ITF load cases, respectively. Tests 1-5 and 20-24 were undertaken to study the effect of specimen length and their results show that the ultimate load increased by 5-10% when the specimen length was increased to the values recommended by the AISI test method. Young and Hancock's (2001) tests were also based on shorter lengths (bearing length plus 1.5 times the section depth) and their results agree with corresponding results in Tables 2 and 3. One of the tests was repeated and the consistency of test results was validated (Tests 17 and 18). Figures 3(a) and (b) show the typical web crippling failure modes under ETF and ITF load cases, respectively. Figure 3(c) shows the failure mode of combined flange crushing and web crippling of channel sections when smaller bearing lengths were used. Such combined flange crushing and web crippling failures were not considered here (see Tables 2 and 3). Figure 4(a) and (b) show the typical load versus deflection curves from the web crippling tests under ETF and ITF load cases, respectively.
Figure 3. Test set-up and failure modes
(b) Test 37 (ITF load case)
Figure 4. Typical load versus deflection curves
Table 1. Measured mechanical properties of Duragal channels
| Section | 250x90x6 | 200x75x6 | 200x75x5 | 150x75x5 | 125x65x4 | 100x50x4 |
|---|---|---|---|---|---|---|
| f (MPa) y | 470 | 476 | 476 | 468 | 494 | 449 |
Table 2. Test specimen details and results for ETF load case
* Length was not according to AISI standard test method; # Combined flange crushing and web crippling.
Table 3. Test specimens details and results for ITF load case
* Length was not according to AISI standard test method; # Combined flange crushing and web crippling.
DESIGN RULES
AS/NZS 4600 (SA 2005)
In this study, the design rules proposed by AS/NZS 4600 (SA 2005) and AISI S100 (AISI 2007) were considered for the web crippling capacity of channel sections. However, the design rules in AS/NZS 4600 are identical to those in AISI S100, and hence only AS/NZS 4600 design rules are discussed in this paper. Equation 1 shows the design equation given in AS/NZS 4600 for the web crippling capacity of channel sections (Rb).
where C is a coefficient, tw is thickness of web, fy is yield stress, θ is angle between the plane of the web and the plane of the bearing surface, Cr, Cl and Cw are the coefficients of inside bent radius, bearing length and web slenderness, respectively, ri is inside bent radius, lb is bearing length, d1 is depth of the flat portion of the web measured along the plane of the web. All the required coefficients from AS/NZS 4600 for unfastened channel sections are listed in Table 4.
Experimental ultimate web crippling capacities under ETF and ITF load cases are compared in Tables 2 and 3 with the predictions from the design equations based on AS/NZS 4600 (SA 2005). This shows that AS/NZS 4600 design equations are unconservative for channel sections under ETF and ITF load cases. Since the currently available web crippling capacity equations are unconservative for ETF and ITF load cases, new coefficients (C, Cr Cl and Cw) are proposed to predict the web crippling capacities of channel sections based on experimental results. Table 4 shows the proposed web crippling coefficients while Tables 2 and 3 show the comparison of test results with new predictions. This shows that the web crippling capacities predicted by the proposed equation (Eq. 1 with proposed coefficients) agree well with the experimental web crippling capacities of unfastened channel sections.
Table 4. Original and proposed coefficients for AS/NZS 4600
| Load case | Coefficients | C | C r | C l | C w | Mean | COV |
|---|---|---|---|---|---|---|---|
| ETF | AS/NZS 4600 | 2 | 0.11 | 0.37 | 0.01 | 0.85 | 0.07 |
| | Proposed | 2.9 | 0.19 | 0.26 | 0.05 | 1.01 | 0.05 |
| ITF | AS/NZS 4600 | 13 | 0.47 | 0.25 | 0.04 | 0.86 | 0.09 |
| | Proposed | 11 | 0.21 | 0.07 | 0.03 | 1 | 0.04 |
Direct Strength Method
The direct strength method (DSM) is an alternative to the traditional effective width method and has been adopted as an alternative design procedure in AS/NZS 4600 and AISI S100. However, no formal provisions for web crippling currently exist for the DSM. Hence suitable design rules for the web crippling capacity of unlipped channel sections were developed under the DSM format. Eqs. 2 and 3 show the proposed DSM design equations for the web crippling capacity of unlipped channel sections under ETF and ITF load cases, respectively. In these equations the DSM based nominal web crippling capacity (Pu) is proposed using Pcr (elastic buckling capacity in web crippling) and Py (web yield capacity). The buckling loads (Pcr) can be calculated using Eq.(4), where the buckling coefficients for the ETF and ITF load cases were considered approximately as 1 and 2, respectively based on numerical studies. In order to obtain accurate buckling coefficients of unlipped channel sections under ETF and ITF load cases, detailed finite element analyses will be carried out. Experimental ultimate web crippling capacity results were processed within the DSM format and are shown in Figures 5(a) and (b) for ETF and ITF load cases, respectively, where the slenderness (λ) was calculated using Eq. 5. These figures show the non-dimensional web crippling capacity curves for unlipped channel sections and compare them with experimental results. It can be seen that the proposed DSM equations predict the web crippling capacities of unlipped channel sections reasonably well.
(a) ETF load case
(b) ITF load case
Figure 5. Direct strength method based design
CONCLUSIONS
This paper has presented the details of an experimental study of 38 web crippling tests of Duragal channel sections under ETF and ITF load cases. Comparison of the ultimate web crippling capacities from tests showed that AS/NZS 4600 (SA, 2005) and AISI S100 (AISI, 2007) design equations are unconservative for these unlipped channel sections under ETF and ITF load cases. Hence new design equations were proposed within AS/NZS 4600 (SA, 2005) and AISI S100 (AISI, 2007) guidelines to accurately predict the web crippling capacities of unlipped channel sections based on test results. Suitable design rules for the web crippling capacities of unlipped channel sections were also developed under the direct strength method format.
REFERENCES
American Iron and Steel Institute (AISI) (2007) "Specifications for the cold-formed steel structural members", Cold-formed Steel Design Manual, Washington DC, USA.
American Iron and Steel Institute (AISI) (2008) TS-9-05 "Standard test method for determining the web crippling strength of cold-formed steel beams", USA.
Khan, M.Z. and Walker, A.C. (1972) "Buckling of plates subjected to localized edge loading", The Structure Engineer, Vol. 50, pp. 225-232.
Macdonald, M., Heiyantuduwa Don, M. A., Kotelko, M., and Rhodes, J. (2011) "Web crippling behaviour of thin-walled lipped channel beams", Thin-Walled Structures, Vol. 14, pp. 682-690.
Prabakaran, K. (1993) "Web crippling of cold-formed steel sections", Project Report, Department of Civil Engineering, University of Waterloo, Waterloo, Ontario, Canada. Standards Australia (SA) (2005) Cold-formed Steel Structures, AS/NZS 4600, Sydney, Australia.
Winter, G. and Pian, R.H.J. (1946) "Crushing strength of thin steel webs, Engineering Experiment", Cornell Bulletin 35 Part 1, Cornell University, Ithaca, NewYork.
Young, B. and Hancock, G.J. (2001) Design of cold-formed channels subjected to web crippling, Journal of Structural engineering, Vol. 127, pp.1137-1144.
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EM WORKSHOP : AN INTERACTIVE TOOL TO BUILD WEBBASED ELECTROMAGNETICS COURSES
JEAN-MICHEL DRICOT
and
PHILIPPE DE DONCKER
Département d'Electricité Générale Université Libre de Bruxelles Elecgen CP165/51 Avenue Roosevelt, 50 1050 Bruxelles, Belgium
E-mail : email@example.com, firstname.lastname@example.org
Abstract
A software called EM Workshop has been developed to make easier the creation of interactive illustrations for web-based electromagnetics courses. The Workshop uses a high-level object-oriented programming model so that it can be easily adapted or complemented by the user. The definitive goal of EM Workshop is the availability for the educational community of a tool which allows the creation of interactive lessons without any knowledge in graphical interfaces programming.
electromagnetics, Internet, Java
KEYWORDS :
Introduction
In the next few years, computer based courses will become common tools to complement or even to replace [1] the classical courses, namely concerning electromagnetics, a field of physics where the students have major difficulties to visualize even the most simple phenomena. The main advantage of computer based lessons is coming from the fact that the students can interact with the figures illustrating the theory to obtain an "instant feedback" allowing a more intuitive knowledge of the physical systems.
The idea of implementing on computers teaching tools in electromagnetics is not new. Several Universities have already developed demonstration softwares based either on commercial scientific computing codes [2] or on their own interfaces [3,4]. However, the huge development of the Internet provides new capabilities which seemed totally impossible a few years ago [5]. The implementation of lessons on the Internet thanks to the Java language gives the possibility to the students to dispose of a learning support whenever and wherever they want, for example at home, and on any computer where an Internet browser has been installed. Furthermore, since the lessons are stored on a single server, they can be easily updated.
However, the development of interactive graphical interfaces on the Internet with Java is still a very tedious task and the programmer's background necessary to build such interfaces is not yet widespread in the academic world. To circumvent this problem a tool called EM Workshop has been developed to build interactive figures as easily as non-interactive figures can be built with the common commercial drawing softwares. In EM Workshop, each physical entity (charge, current, antenna,..) constitutes an object in the sense of the object-oriented languages containing its definition, its graphical representation and its electromagnetic behavior. A figure can be built by simple drag-and-drops with the mouse of these objects. When the figure has been drawn, EM Workshop creates the corresponding Java applet displaying interactively the different objects and computing the associated electro-magnetic fields or potentials.
The Java Language
Java [6] is two things: a programming language and a platform. It provides simple, robust, object-oriented and architecture-neutral development possibilities and high-performance and backward compatible (mostly with C and FORTRAN) codes.
Java is unusual because each Java program is both compiled and interpreted. With a compiler, the Java program is translated into an intermediate language called Java bytecodes : the platform-independent codes interpreted by the Java interpreter. With an interpreter, each Java bytecode instruction is parsed and run on the computer. Compilation happens just once, interpretation occurs each time the program is executed. Figure 1 illustrates how Java works. As a platformindependent environment, Java can be a bit slower than native code. However, smart compilers, well-tuned interpreters, and just-in-time bytecodes compilers can bring Java's performance close to that of native code without threatening portability.
You can think of Java bytecodes as the machine code instructions for the Java Virtual Machine (Java VM). Any Java interpreter, whether it is a Java development tool or a Web browser which can run Java applets, is an implementation of the Java VM. The Java VM can also be implemented in hardware.
Java bytecodes make "write once, run anywhere" possible. A Java program can be compiled into bytecodes on any platform having a Java compiler. The bytecodes can then be run on any implementation of the Java VM: the same Java program can run on Windows, Solaris, Linux and Macintosh.
The Object Oriented Programming Model for Physics
All programming languages provide abstractions. It can be argued that the complexity of the problems you can solve using a language is directly related to the kind and quality of its abstraction. Assembly language was the first step in the abstraction of the underlying machine. Next, many so-called "imperative" languages that followed (such as FORTRAN, BASIC, and C) were abstractions of the assembly language providing many improvements. However, their abstraction level still required to think in terms of the structure of the computer rather than in terms of the structure of the problem being solved.
The object-oriented approach takes a step further by providing tools to represent elements in the problem space. This representation is general enough to not constrain the programmer into any particular type of problem. It is not only a new way of thinking a problem, it is also a more natural, conceptual way of implementing it. It is easy to see how Object Oriented Programming (OOP) can change the way of thinking computational physics on the simple problem of the computation of the electric field due to an assembly of point charges located in a given region of space. The problem can be faced using classical implementation by creating small routines to compute the electric field of a given number of point charges whose positions and values are stored in an array. In OOP, the problem is thought more conceptually. Two objects are designed: the "charge" object and the "region of space" object, having each their own attributes and their own behavior. Then the interactions between the objects are implemented and the problem is modelized: an assembly of charge objects is "attached" to the region of space object which is able to compute the electric field throughout itself by "asking" the charges their positions and the individual fields they produce.
In OOP, the term "object" thus refers to any physical entity of a problem. But it is obvious that such objects can share common attributes or common way of interacting. They can be putted in a common "box" known as a class in Java. The concept that all the objects, while being unique, are also part of a set of objects that have characteristics and behaviors in common is an essential particularity of object-oriented languages. Solenoids and magnets have in common the fact they generate a magnetic field: generally speaking of these objects, they could be referred as being parts of a "magnetic" class.
The mechanism which allows objects to be "packed" in classes is called the "generalization mechanism". The reverse mechanism also exists and is called "specialization" or "inheritance". It allows objects to derivate from more general components. Using this mechanism, attributes and behavior functions (called methods in Java) of a subclass are directly inherited from its superclass.
EM Workshop: an Object Oriented Workshop for Electromagnetics
EM Workshop is an attempt to use high-level Object-Oriented language to modelize problems relative to electromagnetism. It provides:
1. deployment ease: from local to Internet usage
2. high portability and reusability of code
3. backward compatibility with older routines
4. fast development for teaching use
The main goal of this Workshop is to provide basic support and architecture for the creation of small and interactive illustrations of electromagnetism. Till now, the work space allows 2D representation of 3D problems. Unlike other endoriented applications available on the World Wide Web, EM Workshop tends to be very abstract and reusable thanks to the use of the OOP model.
EM Workshop provides a global work interface and some basic features allowing developers to create new classes, based on existing ones in the workshop, with minimal coding time and with basic knowledge of the Java language. Workshop's components can also behave like Java graphical components and be included in other existing Java programs (more precisely: EMW components are Java graphical components).
EM Workshop presents two main parts: a Library containing all the classes and methods necessary to describe the physical objects and a Builder allowing the direct manipulation with the mouse of all the library objects to create interactive figures.
The Library structure is based on three kinds of components:
1. The "Universes" which are able to contain all the electromagnetic objects.
2. The "EMObjects" : the electromagnetic objects (charges, antennas, dielectric bodies..) to be placed in a Universe
3. The "Math Utils" : a set of computation routines for specific electromagnetic problems and of various mathematical routines coming mostly from LaPack and LinPack.
Till now, four main classes of electromagnetic objects exist: ElectricObjects for electrostatic, MagneticObjects for magnetostatic, Antennas and Medium for dielectric, magnetic or conducting structures. Each class defines set of properties and behaviors called an interface which must be implemented by any object to be compatible with the Workshop. For instance, any ElectricObject must be able to give the electric field it generates at a given location or its own position in the Universe.
The Universes contain the EMObjects and are responsible of the drawing of the objects and of the generated fields or potentials. They are helped in their task by various mathematical routines, mesh generators or user-defined computation classes.
The interactions between the objects, the graphical interface, and the mathematical resolution is entirely made inside the Library but the user can design its own objects or resolution routines (eventually in C or Fortran) and include them in the Library.
The second part of the Workshop is the Builder: an intuitive and visual development interface. It is not really necessary to learn about Java or OOP concepts to create a web-based lesson. Everything can be done interactively in the Builder using the objects already defined in the Library. For instance, to create a figure showing the electric field produced by two point charges, it is just necessary to take them in a toolbox and to put them into a Universe by simple drag-and-drop with the mouse. The Builder then creates the corresponding Java applet and once deployed on the Internet, the figure becomes fully interactive: the student can change the position or the value of the charges while the electric field is updated in real time.
Conclusion
Interactive courses for electromagnetics on the Internet constitute a very promising learning support. However, the development of such courses is still a very tedious task requiring high level skills in software design. To circumvent this problem a tool called EM Workshop has been built to create interactive illustrations of electromagnetism as easily as non-interactive figures can be drawn with classical commercial drawing softwares. By using an elaborate object-oriented structure, the workshop provides highly reusable Java classes and it is the authors' hope that it could be adapted in the future to other fields of physics.
The EM Workshop Library and EM Workshop Builder can be freely downloaded on the Internet at http://maxwell.ulb.ac.be/emworkshop. An application example of the Workshop concerning the propagation of electromagnetic waves through the human body can be found at http://maxwell.ulb.ac.be/adamproject
References
1. Coleman, D.J. Kinniment, F.P. Burns, T.J. Butler, A.M. Koelman, "Effectiveness of computer-aided learning as a direct replacement for lecturing in degree-level electronics", IEEE Trans. Education, 41, pp. 177-184 (1998)
2. F. Aubanel, M. Hélier, F. Jouvie, W. Tabbara, "Electromagnetica, a Mathematica based electromagnetic course", Proceedings PIERS'98, pp. 1127, Nantes, France (1998)
3. F. Buret, D. Muller, "Computer-aided education for magnetostatics", IEEE Trans. Education, 42, pp. 45-49 (1999)
4. A.E. Elsherbeni, D. Kajfez, J.A. Hawkes, "Interactive display of vector fields inside waveguides", IEEE Trans. Education, 36, pp. 283-286 (1993)
5. R.W. Cole, "Web-based lessons, changing the face of electromagnetics education", Proceedings PIERS'98, pp. 1122, Nantes, France (1998)
6. M. Campione, K. Walrath: The Java tutorial, object-oriented programming for the Internet, Addison-Wesley (1998)
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FOREWARD
I am delighted to share with you the Annual Report for our Commissioning Support Services (CSS). Our second year has seen notable progress and achievements made by the service in helping the CCG achieve its mission, aims and values in supporting people to lead healthier lives.
This year has seen many changes both within the commissioning support service and the CCG. We have shown how by having an internal service we can adapt quickly and respond to the changing needs of the CCG notably the establishment of the Clinical Services Review (CSR) and its Programme Management Office. We have worked closely with NHS England in preparation to take on Joint Commissioning of Primary Care. As a service we have continued to maintain quality and outcomes during this period whilst also supporting this huge transformational change process.
This report summarises results from this year's CSS Key Performance Indicator (KPI) Dashboard, CSS Customer Survey, CSS Staff Survey and Financial Running Costs for the year. As well as looking at this year's results we have also reflected back on the outcomes from 2013/14 and looked at how these outcomes have been used throughout 2014/15 to improve the way we work as a support service.
I would like to take this opportunity to thank all the staff working within commissioning support services for their dedication and hard work through what has been a challenging and rewarding year.
Tim Goodson – Chief Officer
NHS Dorset Clinical Commissioning Group
CONTENTS
INTRODUCTION
Dorset CCG took the strategic decision to have its Commissioning Support Services integrated within the CCG.
We have continued to deliver as an organisation and have proved ourselves as both cost effective and successful in delivering excellent support enhanced by our local knowledge and previously established effective working relationships across the health community in Dorset.
The following pages demonstrate how we have developed and improved as a support service over the last 12 months, listened to feedback and views to challenge established working practices.
We have included results from the 2014/15 CSS Customer Survey and CSS performance dashboard and used these to inform areas for development during 2015/16. This will be a challenging year where we will be realigning our support services to work with the outputs from the transformational programmes currently underway, these being the Clinical Services Review (CSR), Better Together and Better Care Fund, and Systems Resilience.
We hope that this report is informative and useful in demonstrating how far we have come in the last year and where we see potential areas for development and change during 2015/16.
EXECUTIVE SUMMARY
There are many achievements to note within our second year of operation and there has been a lot of good work seen within our Clinical Commissioning Programmes (CCPs) and Locality Teams which have made a real difference to the health of the population of Dorset.
Some particularly interesting points to note in relation to CSS performance over the last 12 months are:
- we have helped the CCG achieve its financial duties for 2014/15 and delivered a total revenue surplus of £14.8m;
- we have commenced the Clinical Services Review and completed the review, analyse and design phase;
- we have increased our levels of engagement with public and patients with 3024 Twitter followers, 349 Facebook followers and 4924 Health Involvement Network members as of 31/03/2015;
- our Workforce Team have improved the support and resources available to staff during 2014/15, including increasing appraisal completion rates from 60% to 91% and conducting a full review of HR policies ensuring consistency for managers and staff.
| | 2014/15 £'000 TOTAL | 2014/15 £'000 Programme | 2014/15 £'000 Running Costs |
|---|---|---|---|
| Total net operating costs for the financial year | 955,641 | 938,951 | 16,690 |
| Revenue Resource Limit | 970,473 | 950,846 | 19,627 |
| REVENUE SURPLUS | 14,832 | 11,895 | 2,937 |
For 2015/16 we are reviewing our CSS assurance processes to more closely align with the commissioning cycle as a means of assuring the quality and value for money that we provide as a service.
Our priorities for 2015/16 are to continue to focus on supporting the CCG to develop the following:
- Clinical Services Review;
- Better Together and Better Care Fund;
- Systems Resilience;
- Primary Care Development;
- Membership Engagements;
- Continuing Healthcare.
ORGANISING FOR DELIVERY
The Commissioning Cycle is integral to the way in which we work as a support service and we have made changes to our Commissioning Support Services' assurance process this year to align more closely to this.
Our KPI dashboard for 2015/16 will be focused on the area of the cycle each specific KPI delivers and whether this measures quality or quantity as an output. Our customer survey for 2014/15 had questions grouped by area of the cycle in order to try and make the questions more meaningful and for us to be able to clearly identify areas for improvement.
During 2014/15 we have four established directorates each of which is led by an executive director. In September 2014 we established a Clinical Services Review Programme Management Office (PMO) led by our Director of Transformation. The PMO has overseen and led the CSR supported by management consultants working alongside a dedicated team from our internal commissioning support services (CSS), directorates as follows:
- Quality;
- Service delivery;
- Finance and performance;
- Engagement and development.
SUPPORTING PERFORMANCE SCHEDULES – key performance indicators
During 2014/15 we have collated our KPIs on a quarterly basis and submitted to Directors Performance and bi-annually to Audit and Quality. We have looked at amber or red indicators at each submission and ensured that remedial action was implemented.
Some examples are:
- average response time to weekly testing of telecoms equipment, emergency on call bleep – matter highlighted at Directors with emails sent to all staff on call to reinforce the importance of a timely response. Improvement should be noted in Q1 2015/16;
- number of policy review deadline dates outstanding - 16 policy reviews outstanding against a target of 0. Urgency highlighted to get these reviewed as soon as possible. Improvement should be noted in Q1 2015/16;
- % of workforce score card areas reported as in line with both national and local benchmarks – appraisal - sustained programme throughout the year targeted at increasing appraisal levels including training sessions for conducting and receiving appraisals bringing result from 60% at Q1 to 80% by end of Q3 2014/15.
At 31/03/2015 we had:
- 81.6% (44) green rated as being complete or on target;
- 11% (6) amber rated as being slightly behind target;
- 3.7% (2) red rated as being significantly behind target;
- 3.7% (2) where there is no data available for Q4.
This demonstrates 50 out of 54 KPIS being either on or close to target, evidencing the hard work put in throughout the year to achieve as much as we can as a service.
In 2015/16 we have aligned the CSS KPIs with the Commissioning Cycle as central to the process for the services we provide with focus on qualitative rather that quantitative indicators.
SUPPORTING PERFORMANCE SCHEDULES – Key Performance Indicator Dashboard Results 2014/15
SUPPORTING PERFORMANCE SCHEDULES – Key Performance Indicator Dashboard Results 2014/15
SUPPORTING PERFORMANCE SCHEDULES – Key Performance Indicator Dashboard Results 2014/15
SUPPORTING PERFORMANCE SCHEDULES – customer satisfaction survey 2013/14 - reflections
Following last year's survey, results and specific feedback were given to our four directors in order to help inform directorate development during 2014/15. Key areas for improvement across the organisation were noted as:
- the quality and quantity of meaningful membership engagement;
- the need for ensuring the organisation truly was and felt like it was GP led by members;
- reinforcing provider and contract management;
- ensuring provision of regular feedback and updates;
- the CSS to be more visible and working with locality leads and CCP chairs to raise awareness of the role and work of the CSS and how to connect with them;
- raising awareness and knowledge of the NHS Constitution and national contract;
- clinicians to be more empowered.
Improvement measures undertaken:
- increased membership engagement; for example individual practice visits offered to each practice and undertaken with 36 conducted by the end of March 2015;
- increased promotion of the NHS Constitution amongst staff and the public with awareness campaign launched via web pages and twitter as well as inclusion of the constitution within staff induction materials;
- regular feedback and updates provided via desk top news window, weekly staff and GP Bulletins as well as weekly CSR updates;
- CSR programme directed by CSS but led strongly by clinicians with wide ranging clinical input both from our membership and other clinicians across Dorset's health community. Clinical Working Groups leading the process for developing new models of care with five Clinical Working Groups held with 645 attendees with between 100 and 150 clinicians attending each event;
- GP leads in place for each contract who are invited to attend contract review meetings.
- CSS engaging widely and working with leads and chairs.
SUPPORTING PERFORMANCE SCHEDULES – customer satisfaction survey 2014/15 results and actions to take forward
RESULTS OF SURVEY Who sent to This year's survey was sent to Locality Leads, Locality Deputies, Clinical Working Group Chairs and Clinical Commissioning Programme Chairs and ran for 3 weeks, results are summarised below.
Number sent
Number received back Overall ranking Notable comments The overall average rating to "how do you rate the overall quality and efficiency of Commissioning Support as a whole" was averaged at 5.31 out of 7 (75.9%); the lowest rating being 3 and the highest 7. Comparison can be made to last years' results to this question which saw an average of 7.57 out of 10 (75.7%); the lowest rating being 6 and the highest 9. This shows a marginal increase in satisfaction with services provided from 75.7% to 75.9% giving a rise of 0.2%.
Actions to take forward From the feedback received, both average scores and written comments, areas for potential development and improvement can be summarised as:
To be circulated to directors increase membership involvement and engagement in setting organisational priorities;
- increasing level and availability of information to membership around contracting processes, including provider contracts;
- ensuring membership have influenced and are involved in decision making and producing feedback to demonstrate where this has happened;
- increasing membership awareness of decision making processes and relevant contacts;
- increasing opportunities for involvement with service redesign for membership;
- increase leadership and direction given by locality management team and ensure they are more visible within the locality;
- extensive feedback provided on support required localities in developing their Primary Care offer which needs to be taken forward.
0
1
2
3
4
5
6
7
Business Intelligence
Procurement and market
management
Financial business intelligence
Provider and contract
management
Quality and patient safety
Medicines management
Information governance
Review, design and delivery
Organisational development
Engagement and communication
Strategic development
Coporate office
CSR programme office
Quality and Efficiency Average Ratings by
Function
Quality and Efficiency Average
Ratings by Function
Please note change in rating scale from being out of 10 in 2013/14 results to out of 7 in 2014/15 results to reduce the impact of centre tendency.
SUPPORTING PERFORMANCE SCHEDULES – Staff Survey
The staff survey was introduced this year and has provided a useful insight for areas of development during 2015/16 in order to make us a better service and a better place for our staff to work.
There were some very positive responses with questions such as 'I am satisfied with the quality of care I give to patients/service users' and 'my manager supports me to receive training, learning or development' scoring 80% or above on level of satisfaction.
We have used the results to identify areas of work which will inform development during 2015/16 which are list below.
Personal Development:
- design and develop a formal succession planning programme;
- provide coaching and mentoring opportunities;
- design and develop a feedback system for unsuccessful applicants;
- design and develop a formal shadowing programme to enhance awareness of work areas across CCG.
Team and role:
- provide guidance on holding effective 1:1 meetings with staff'.
Health, Wellbeing and Safety:
- appointing a dedicated Welfare Officer who is a point of contact for staff to raise concerns in confidence;
- provide specific development to managers on creating a positive, inclusive working environment and the skills to spot and address areas of concern;
- continue to have a dedicated item on the Our Voice: Our Forum agenda (our dedicated staff forum) on work environment and facilities, responding to queries and concerns promptly.
SUPPORTING PERFORMANCE SCHEDULES – Directorate running costs per head of the population
| Directorate | £ | Total £ per Capita |
|---|---|---|
| Accountable Officer | 1,036,400 | £1.39 |
| GP Deputy Locality Chairs | 759,640 | £1.02 |
| QUALITY | 1,700,526 | £2.27 |
| Information governance | 175,775 | £0.24 |
| Patient safety and risk | 479,888 | £0.64 |
| Quality improvement | 532,757 | £0.71 |
| Medicines management | 512,106 | £0.69 |
| MCA team (100% programme) | 0 | £0.00 |
| SERVICE DELIVERY | 4,556,979 | £6.10 |
| Review Design and Delivery West Dorset | 1,768,700 | £2.37 |
| Maternity, Reproductive & Family Health | 503,326 | £0.67 |
| General Medical & Surgical team | 445,763 | £0.60 |
| Individual Patient Treatment Services | 113,858 | £0.15 |
| Primary Care & Locality Commissioning Management | 663,217 | £0.89 |
| Deputy Administration | 42,536 | £0.06 |
| Review Design and Delivery Mid Dorset | 950,258 | £1.27 |
| Musculoskeletal & Trauma Team | 380,587 | £0.51 |
| Cancer and EoL Team | 261,385 | £0.35 |
| Patient Contact Centre | 200,744 | £0.27 |
| Choose and Book Team | 52,040 | £0.07 |
| Deputy Administration | 55,502 | £0.07 |
| Review Design and Delivery East Dorset | 1,838,021 | £2.46 |
| CVD, Stroke and Diabetes | 335,031 | £0.45 |
| Mental Health and Learning Disabilities | 380,380 | £0.51 |
| Personal health budgets and telehealth (100%programme) | 0 | £0.00 |
| Personalisation, continuing healthcare and funded nursing care | 1,122,610 | £1.50 |
| Directorate | £ | Total £ per Capita |
|---|---|---|
| FINANCE AND PERFORMANCE | 2,282,098 | £3.05 |
| Finance, Contracting and Procurement | 1,280,387 | £1.71 |
| Financial reporting and management accounts | 221,488 | £0.30 |
| Financial accounts | 334,719 | £0.45 |
| Procurement | 195,526 | £0.26 |
| Financial planning and management | 215,600 | £0.29 |
| Contracting-regulated activities | 133,601 | £0.18 |
| Contracting-primary care services and non-regulated activities | 179,453 | £0.24 |
| Performance and Informatics | 1,001,711 | £1.34 |
| Business intelligence information - contracting | 283,035 | £0.38 |
| Business intelligence information - development | 218,816 | £0.29 |
| Performance intelligence information - contracting | 134,800 | £0.18 |
| Performance intelligence information - development | 106,316 | £0.14 |
| IM&T | 258,744 | £0.35 |
| ENGAGEMENT AND DEVELOPMENT | 1,260,624 | £1.69 |
| Strategic Development and Engagement | 723,771 | £0.97 |
| Engagement and Communications | 471,988 | £0.63 |
| Strategic development and assurance | 251,783 | £0.34 |
| Organisational Development | 536,853 | £0.72 |
| Workforce/organisational development | 205,823 | £0.28 |
| Learning and development | 215,129 | £0.29 |
| Facilities | 115,901 | £0.16 |
| IM&T non pay expenditure | 460,000 | £0.62 |
| NHS Property Services charges | 1,030,000 | £1.38 |
| Dorset CCG corporate non pay | 3,603,733 | £4.82 |
| Running cost saving | 2,000,000 | £2.68 |
| TOTAL | 18,690,000 | £25.00 |
Note: Executive Directors are included within Accountable Officer; Deputy Directors have been apportioned using staff costs as allocation driver/methodology
- In 2014/15 Dorset CCG was allocated £937,000 for Quality Premium which was added to Running Cost allocation
- This £937,000 has been spent within the Programme Area on clinical health care provision.
- The actual costs for running cost were £16,690,000 as we delivered £2,000,000 saving and invested £937,000 quality premium into clinical services.
NEXT STEPS
The contents of this report will be a valuable asset to us in helping to inform the further development of the commissioning support services we provide during 2015/16.
Over the next year we will be focussing on key areas of development as a service as indicated by the customer survey. This includes:
- further strengthening engagement and communications with our membership, ensuring that they are involved with setting organisational priorities and service redesign;
- maximising the extent to which our membership feel well informed about all the work we are undertaking.
We will also be looking to improve as a place to work, looking to build on the brilliant work undertaken by workforce in 2013/14 and taking forward initiatives based on the outcomes of this year's staff survey. This will include:
- a strong focus on the personal development of our staff, creating opportunities for coaching and mentoring as well as a formal shadowing programme;
- working towards increasing the health, wellbeing and safety of our staff in the work place with the appointment of a dedicated Welfare Officer as well as providing specific development to managers on creating a positive, inclusive working environment and the skills to spot and address areas of concern.
The CSS will continue to develop and improve its in house support services in order to better support the CCG in providing an excellent commissioning service for the population of Dorset.
WHO TO CONTACT FOR FURTHER INFORMATION
NHS Dorset Clinical Commissioning Group Vespasian House, Barrack Road Dorchester DT1 1TG
Telephone: 01305 368900
Email: email@example.com
Our websites: www.dorsetccg.nhs.uk and www.dorsetsvision.nhs.uk
Twitter: @DorsetCCG
Facebook: www.facebook.com/NHSDorsetCCG
|
РЕЦЕНЗИЯ
От: проф. дбн, д-р Иванка Тодорова Йотова
катедра „Общо животновъдство“, Секция“ Генетика“
Ветеринарномедицински факултет, Тракийски университет, Стара Загора,
понастоящем пенсионер.
Относно: конкурс за заемане академичната длъжност „професор“ по „Генетика“, обявен в ДВ бр. 30/15.04.2022 г.“ в област на висшето образование 6.0 „Аграрни науки и ветеринарна медицина“ професионално направление 6.4 „Ветеринарна медицина“, за нуждите на „ катедра „Общо животновъдство“, Секция „Генетика, развъждане и частно животновъдство“ на ВМФ при ТрУ. В конкурса се яви един кандидат - доц. д-р Добри Желев Ярков от същата катедра.
1. Биографични данни и професионално развитие на кандидата:
Доц. Добри Желев Ярков е роден на 02.06.1960 г. От 1978 до 1983 завършва висшето си образование магистър по професионално направление „Ветеринарна медицина“ във ВИЗВМ гр. Ст. Загора.
От 1983 до 1987г. работи като ветеринарен лекар в с. Главан, АПК Гъльбово. От 1987 до 2007г. е асистент в катедра „Генетика и развъждане на селскостопанските животни“, АФ. От 2007 до сега е доцент в катедра „Общо животновъдство“, Секция „Генетика, развъждане и частно животновъдство“, ВМФ при ТрУ. От 2007 до 2016 г. е помощник – ректор на ТрУ. От 2019 г. е Ректор на ТрУ гр. Ст. Загора. Има научен и преподавателски стаж общо 34 години.
Бил е на международни специализации в САЩ, Великобритания и Германия. Работи компетентно с програми на Windows: Word, Excel, PowerPoint -SPSS, Statistica.
Консултант е на фермери, организации на земеделски производители и НПО.
Член е на Съюза на учените в България. Дългогодишен консултант и лектор на българските животновъди. През 2018 г. експерт по селско стопанство и рецензирание на доклади на Световната банка по разработване на „Национална стратегия за адаптация към климатичните промени и план за действие“. Член на редица браншови организации. през 2013 г. придобита допълнителна квалификация по „Финансов мениджмънт” в УНСС.
2. Научноизследователска дейност
В конкурса са представени 28 научни труда, които не повтарят представените за придобиване на образователната и научна степен „доктор“, и заемане академичната длъжност „доцент“, от които 22 броя научни публикации, 2 учебника по генетика, в единият от които кандидата е първи автор, а на втория съавтор, 1 монография и 1 книга, базирана на дисертацията за „доктор“, участие с глава в 2 броя колективни монографии.
От представените 22 публикации, на 4 кандидатът е водещ автор, на 4 е втори, а на останалите 14 е следващ автор. В списания с IF = 6.299 са 5 публикации и 1 резюме, а 6 са с SJR = 2.005. В нереферирани списания са публикувани 2 публикации.
Кандидата има общо 55 цитирания, 27 от които в реферирани и индексирани издания, и 28 в нереферирани списания. От тях с максимален брой 14 цитирания са на публикация, свързана с COVID-19, публикувана в Brain sciences и същата статия в нереферирани списания с 8 цитирания.
2.1. Научни направления
Оригиналните приноси в научните трудове на кандидата в представената от него справка са групирани в четири научни направления. Оценявам високо II група приноси, свързани с управление на генетичните ресурси в месодайното говедовъдство, развитие на устойчиво животновъдство и продоволствената сигурност в България. Основната част от научните трудове на кандидата за професор (1-1, III.5, III – 14, III - 17) са свързани:
- с изясняване на значението на устойчивото месодайно говедовъдство във всеки етап по веригата „от пасището до трапезата“ и принципите за устойчивост, които трябва да бъдат отчитани при разъдно-подобрителната работа,
- стратегията и тенденциите в развитието на месодайното говедовъдство в България, като същевременно са анализирани силните и слаби страни на сектора и възможностите, които трябва да се използват за развитието му у нас. Разгледани са генетичните ресурси в това направление, като са посочени и охарактеризирани основните породи говеда, участващи в разширяването на популацията на месодайни животни у нас (1-1).
- Изследваната тенденция на цените в българското производство на говеждо месо, както и водещите фактори, определящи нивото им чрез икономико-статистически аналитични методи и модели са ценен принос. Такива са и представените заключения за основните ценови характеристики на българския пазар на говеждо месо, както и предложения за преодоляване на неблагоприятните ефекти в тази насока чрез прилагане на модела на Workman, King и др. модели за определяне на съотношението
между цените на едро и дребно на говеждо месо, от една страна и от друга страна съотношението между цените за доставка (Ш.5).
Оценявам като съществени приноси и тези от I група - в областта на генетиката, развъждането, продуктивните и репродуктивни особености при птици и бозайници. От получените от кандидата за професор оригинални научни приноси в това научно направление намирам за най-съществени от генетична гледна точка следните:
- установената ниска токсичност на препарата ВАЗТАК 10 ЕК при кокошия вид с различни Акр генотипове (Ш. 1.)
- проучените нива и динамиката на растежния хормон (GH) и на хормона тироксин (T4), в зависимост от степента на инбридинг и пола при инбредни зайци (Ш. 7, Ш.8).
- нивото на естествен хуморален имунитет при пуйки бройлери с мускулна дистрофия, отглеждани в условия на хуманно отношение или стрес, както и нивото на естествен хуморален имунитет при различни породи овце (Ш. 1, Ш.4).
Въпреки, че трета група приноси са по в страни от генетиката оценявам иновативния подход на кандидата, което е негова отличителна черта, свързан с проучване и внедряване на иновативни системи в животновъдството в унисон с тенденциите към осъществяване на зеления преход в Европа и света (Ш.9; Ш. 11; Ш. 15; Ш. 16; Ш. 18; Ш. 19; Ш. 20, както и IV група приноси (запазване на генетичното биоразнообразие в природата и здравето на хората), касаещи, направлените диагностични и фармакологични констатации за справяне с неврологичните и психологическите симптоми на COVID-19 (Ш.6).
Оценявам описаните приноси с висока фундаментална и практическа стойност за ветеринарната и отчасти за хуманната медицина.
2. 2. Научни проекти
Доц. Ярков участва в 3 университетски н. проекти, на 1 от които е ръководител. Тематиката им е свързана с научното направление, в което работи. Бил е научен ръководител на редовен докторант в катедрата.
2.3. Научни форуми
Научните интереси на доц. Ярков са свързани с естествен и индуциран мутагенез, фармакогенетика, цитогенетика, интродукция на нови породи животни. Кандидатът за професор е представил участие в 6 научни форума в България и организиране на 11 работни срещи и семинари. Той е дългогодишен консултант на българските животновъдци. През 2018 г. - ключов эксперт по селско стопанство и рецензиране на доклади на Световната банка по разработване на „Национална стратегия за адаптация към климатичните промени и план за действие“. Член на редица браншови организации. През 2013 г. придобива допълнителна квалификация по
„Финансов мениджмънт” в УНСС. Всичко това доказва голямата активност при популяризиране на резултатите от научните изследвания на кандидата в практиката.
2. 4. Минимални национални изисквания
Приложената справка от доц. Ярков за изпълнение на минимальните национални изисквания за участие в конкурс за академичната длъжност професор не само покрива групата показатели от А до Й на ВМФ, но и значително превишава някои от тях. Например показател Г при минимальни изисквани точки 200, кандидата представя 265.47; показател Д при изисквани 250, представя 545; Е изисквани 100, представя 165; И изисквани 50, представя 280 и Й - 20, представя 50.
Област 6. Аграрни науки и ветеринарна медицина
Професионално направление 6.4. Ветеринарна медицина
Таблица 1. Минимални изисквани точки по групи показатели за академична длъжност „Професор“
| Група от показатели | Съдържание | Професор | Точки на кандидата |
|---------------------|------------|----------|--------------------|
| А | Показател 1 | 50 | 50 |
| Б | Показател 2 | - | |
| В | Показатели 3 или 4 | 100 | 100 |
| Г | Сума от показателите от 5 до 12 | 200 | 265,47 |
| Д | Сума от показателите от 13 до 15 | 250 | 545 |
| Е | Сума от показателите от 16 до 24 | 100 | 165 |
| Ж | Показател 25 | 50 | 60 |
| З | Показател 26 | 50 | 70 |
| И | Сума от показателите от 27 до 29 | 50 | 280 |
| Й | Сума от показателите от 30 до 35 | 20 | 50 |
Доц. Ярков е бил на международни специализации в САЩ, Великобритания и Германия и е участвал в обучителни краткосрочни и дългосрочни курсове в областта на генетиката и развъждането на селскостопанските животни. Добре владее работа с компютър и програмите Windows: Word, Excel, PowerPoint, SPSS, Statistica. Като консултант на фермери, организации на земеделски производители и НПО е известен с добро име и авторитет и се ползва с уважение и респект.
Направения анализ на научната дейност на доц. Ярков ми позволява да дам положителна и висока оценка на научната и активност. Той е известен в ТрУ с впечатляващата си прецизност, стриктност и всеотдайност, както в научноизследователската, така и в преподавателската си дейност.
3. Учебно-преподавателска дейност
Секция „Генетика, развъждане и частно животновъдство“ с 4 дисциплини е с годишна натовареност с 2640 часа със средно натоварване на преподавател 660 часа, според представената справка за преподавателската дейност от Деканата на ВМФ.
Поради широкия обхват на познания в животновъдството, широките си контакти с фермери и животновъди, академичното си поведение и благородния си характер доц. Добри Ярков се ползва с изключително уважение и респект сред студенти и преподаватели.
Представените от кандидата за професор материали са изцяло в съответствие с изискванията по чл. 86, ал.1. 2 и 3 от ПРАС на ТрУ.
ЗАКЛЮЧЕНИЕ
Кандидатът доц. Добри Ярков за заемане на академичната длъжност „ПРОФЕСОР“ по „Генетика“, в област на висшето образование 6.0 „Аграрни науки и ветеринарна медицина“ професионално направление 6.4 „Ветеринарна медицина“, за нуждите на „катедра „Общо животновъдство“, Секция „Генетика, развъждане и частно животновъдство“ на ВМФ при ТрУ напълно отговаря на критериите за присъждане на тази академична длъжност в Тракийски университет, Стара Загора, съгласно Закона за развитие на академичния състав в Република България и ПРАС в Тракийски Университет, Стара Загора.
Имам предвид продължителния преподавателски стаж, представената монография по специалността, научната продукция с високо качество на научните изследвания, приносите с доказан фундаментален и
научно – приложен характер, признати у нас и в чужбина, достатъчния брой цитирания, високия импакт фактор и импакт ранг, като към това в личностен план ще добавя впечатляващата интелегентност, академично поведение, изключителната колегиалност, лоялност и забележим от всички благороден и спокоен характер.
Всичко това ми дава достатъчно основание да препоръчам на почитаемото Научно жури да присъди академичната длъжност „ПРОФЕСОР“ на кандидата доц. Д. Ж. Ярков и го препоръчва за успешен избор от ФС на ВМФ при ТрУ.
20. 07. 2022 г.
гр. Ст. Загора
проф. Иван
заличено съгласно чл. 23 от ЗЗЛД
From: Prof. Dr. Ivanka Todorova Yotova
General Animal Husbandry Department, Genetics Section, Faculty of Veterinary Medicine, Thrace University, Stara Zagora, currently retired.
Regarding: competition for filling the academic position of "Professor" in "Genetics", announced in SG no. 30/15.04.2022" in the field of higher education 6.0 "Agrarian sciences and veterinary medicine" professional direction 6.4 "Veterinary medicine", for the needs of the department "General animal husbandry", Section "Genetics, breeding and private animal husbandry" of the Navy at TrU. One candidate appeared in the competition - Associate Professor Dr. Dobri Zhelev Yarkov from the same department.
1. Biographical data and professional development of the candidate:
Associate Professor Dobri Zhelev Yarkov was born on June 2, 1960. From 1978 to 1983, he completed his higher education with a master's degree in the professional field of "Veterinary Medicine" at VIZVM, St. Zagora.
From 1983 to 1987 works as a veterinarian in the village of Glavan, APC Galabovo. From 1987 to 2007 is an assistant in the Department of "Genetics and Breeding of Agricultural Animals", AF. From 2007 until now, he is an associate professor in the Department of "General Animal Husbandry", Section "Genetics, Breeding and Private Animal Husbandry", VMF at TrU. From 2007 to 2016, he was the assistant rector of TrU. Since 2019, he has been the Rector of the University of St. Zagora. He has a total of 34 years of scientific and teaching experience.
He has been to international specializations in the USA, Great Britain and Germany. Works competently with Windows programs: Word, Excel, PowerPoint -SPSS, Statistica.
He is a consultant to farmers, organizations of agricultural producers and NPO.
He is a member of the Union of Scientists in Bulgaria. Long-term consultant and lecturer for Bulgarian livestock breeders. In 2018, an expert on agriculture and review of World Bank reports on the development of the "National Climate Change Adaptation Strategy and Action Plan". Member of a number of industry organizations. In 2013 acquired an additional qualification in "Financial Management" at UNSS.
2. Scientific research activity
28 scientific works are presented in the competition, which do not repeat those presented for obtaining the educational and scientific degree "doctor" and holding the academic position "associate professor", of which 22 scientific publications, 2 textbooks on genetics, in one of which the candidate is the first author, and of the second co-author, 1 monograph and 1 book based on the doctoral thesis, participation with a chapter in 2 collective monographs.
Of the 22 publications presented, the candidate is the lead author of 4, the second author of 4, and the next author of the remaining 14. In journals with IF = 6.299 there are 5 publications and 1 abstract, and 6 with SJR = 2.005. 2 publications have been published in non-refereed journals.
The candidate has a total of 55 citations, 27 of which are in refereed and indexed publications, and 28 in non-refereed journals. Of these, with the maximum number of 14 citations are to a publication related to COVID-19 published in Brain sciences and the same article in non-refereed journals with 8 citations.
2.1. Scientific directions
The original contributions in the candidate's scientific works in the reference submitted by him are grouped in four scientific directions. I highly value Group II contributions related to management of genetic resources in beef cattle breeding, development of sustainable livestock breeding and food security in Bulgaria. The main part of the scientific works of the candidate for professor (1-1, III.5, III – 14, III - 17) are connected:
- clarifying the importance of sustainable beef cattle breeding at each stage of the chain "from the pasture to the table" and the principles of sustainability that must be taken into account in the breeding and improvement work,
- the strategy and trends in the development of beef cattle breeding in Bulgaria, while analyzing the strengths and weaknesses of the sector and the opportunities that should be used for its development in our country. The genetic resources in this direction were examined, and the main breeds of cattle participating in the expansion of the population of meat-producing animals in our country were indicated and characterized (1-1).
- The researched price trend in Bulgarian beef production, as well as the leading factors determining their level through economic-statistical analytical methods and models, are a valuable contribution. Such are the presented conclusions about the main price characteristics of the Bulgarian beef market, as well as proposals to overcome the adverse effects in this direction by applying the model of Workman, King, etc. ratio determination models between the wholesale and retail prices of beef, on the one hand, and on the other hand the ratio between delivery prices (III.5).
I also value those from group I as essential contributions - in the field of genetics, breeding, productive and reproductive features in birds and mammals. Of the original scientific contributions received by the candidate for professor in this scientific direction, I find the following to be the most significant from a genetic point of view:
- the established low toxicity of the preparation VAZTAK 10 EC in the hen species with different Akr genotypes (II. 1.)
- the studied levels and dynamics of the growth hormone (GH) and the hormone thyroxine (T4), depending on the degree of inbreeding and gender in inbred rabbits (III. 7, III.8).
- the level of natural humoral immunity in broiler turkeys with muscular dystrophy raised in conditions of humane treatment or stress, as well as the level of natural humoral immunity in different breeds of sheep (III. 1, III.4).
Although the third group of contributions are in countries of genetics, I appreciate the candidate's innovative approach, which is his distinctive feature, related to the study and implementation of innovative systems in animal husbandry in line with the trends towards the implementation of the green transition in Europe and the world (Sh. 9; III. 11; III. 15; III. 16; III. 18; III. 19; III. 20, as well as IV group of contributions (preservation of genetic biodiversity in nature and human health), concerning the diagnostic and pharmacological findings made to address the neurological and psychological symptoms of COVID-19 (III.6).
I appreciate the described contributions of high fundamental and practical value for veterinary and partly for human medicine.
2.2. Scientific projects
Associate Prof. Yarkov participates in 3 university projects, 1 of which he is the leader of. Their topic is related to the scientific direction in which he works. He was the scientific supervisor of a full-time doctoral student in the department.
2.3. Scientific forums
Associate Prof. Yarkov's scientific interests are related to natural and induced mutagenesis, pharmacogenetics, cytogenetics, introduction of new animal breeds. The candidate for professor has presented participation in 6 scientific forums in Bulgaria and organization of 11 workshops and seminars. He is a long-time consultant to Bulgarian livestock breeders. In 2018 - key expert on agriculture and reviewing reports of the World Bank on the development of the "National Climate Change Adaptation Strategy and Action Plan". Member of a number of industry organizations. In 2013, he acquired an additional qualification in Financial Management" at UNSS. All this proves the great activity in popularizing the results of the candidate's scientific research in practice.
2.4. Minimum national requirements
The attached report from Associate Professor Yarkov for the fulfilment of the minimum national requirements for participation in a competition for the academic position of professor not only covers the group of indicators from A to J of the Navy, but also significantly exceeds some of them. For example, indicator D with minimum required points of 200, the candidate presents 265.47; indicator D with required 250, presents 545; Is required 100, submits 165; And required 50, presents 280 and Y - 20, presents 50.
Table 1. Minimum required points by groups of indicators for an academician in the position of "Professor.
| Group of Indicators | Content | Professor | Candidate Points |
|---------------------|--------------------------|-----------|------------------|
| A | Indicator 1 | 50 | 50 |
| B | Indicator 2 | - | |
| C | In Indicators 3 or 4 | 100 | 100 |
| D | Sum of indicators from 5 to 12 | 200 | 265,47 |
| D | Sum of the indicators from 13 to 15 | 250 | 545 |
| E | Sum of indicators 16 to 24 | 100 | 165 |
| F | Indicator | 50 | 60 |
| H | Indicator | 50 | 70 |
| I | Sum of indicators from 27 to 29 | 50 | 280 |
| J | Sum of indicators from 30 to 35 | 20 | 50 |
Associate Prof. Yarkov has been on international specializations in the USA, Great Britain and Germany and has participated in training short-term and long-term courses in the field of genetics and breeding of agricultural animals. Good computer skills and Windows programs: Word, Excel, PowerPoint, SPSS, Statistica. As a consultant to farmers, farmers' organizations and NGOs, he has a good name and authority and enjoys respect and dignity.
The analysis made of the scientific activity of Prof. Yarkov allows me to give a positive and high assessment of his scientific activity. He is known in TrU for his impressive precision, rigor and dedication, both in his research and teaching activities.
3. Educational and teaching activity
The Genetics, Breeding and Private Animal Husbandry section with 4 disciplines has an annual workload of 2,640 hours with an average workload per instructor of 660 hours, according to the faculty report submitted by the Dean of the Navy.
Due to the wide range of knowledge in animal husbandry, his wide contacts with farmers and breeders, his academic behavior and his noble character, Associate Professor Dobri Yarkov enjoys exceptional respect among students and teachers.
The materials submitted by the candidate for professor are fully in accordance with the requirements under Art. 86, paragraph 1, 2 and 3 of PRAS of TrU.
CLOSING
The candidate Assoc. Prof. Dobri Yarkov for the academic position "PROFESSOR" in "Genetics", in the field of higher education 6.0 "Agrarian sciences and veterinary medicine" professional direction 6.4 "Veterinary medicine", for the needs of the department "General Animal Husbandry", the "Genetics, Breeding and Private Livestock Breeding" section of the VMF at TrU fully meets the criteria for awarding this academic position at Thrace University, Stara Zagora, according to the Law on the Development of the Academic Staff in the Republic of Bulgaria and PRAS at Thrace University, Stara Zagora.
I mean the long teaching experience, the presented monograph in the specialty, the scientific production of high quality of scientific research, the contributions of a proven fundamental and scientific-applied nature, recognized at home and abroad, the sufficient number of citations, the high impact factor and impact rank, such as this in personal terms will add impressive intelligence, academic behavior, exceptional collegiality, loyalty and a noble and calm character noticeable to all.
All this gives me sufficient reason to recommend to the honorable Scientific Jury to award the academic position of "PROFESSOR" to the candidate Associate Professor D. Zh. Yarkov and recommend him for a successful selection by the FS of the VMF at TrU.
заличено съгл.
20.07.2022
чл. 23 от ЗЗЛД
St. Zagora
Prof.
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Board meeting report– Roma – october the 21th 2017
Present : H. Ajana (CPUM), F. Ashour (Cairo Univ.), F. Bennis (ECN), A. Benamara (Pdt), O. Boiron (DG), P. Damien (USEK), K. El Sahili (An Najah Univ.), M. Guarascio (GAMe), G. Le Palec (Treasurer), K. Najib (ENSMR), G. Quiquerez (ECM), E. Siviero (e-Campus), L. Vincent (HOMERe), A. Zabaniotou (Aristotle Univ.).
Committee for new membership :
F. Bennis, coordinator of the committee has presented the regulations proposed by the new committee. The committee consists of 6 members, 3 men and 3 women, 3 from the north shore of the Mediterranean and 3 from the south shore. Members are elected for a 2-year term during the General Meeting.
The committee is assigned by the RMEI President to the examination of the new applicant candidacies. The committee should reply in a period no later than 2 months to the President. The opinion of the committee is advisory. The RMEI President, knowing the recommendation of the committee, can choose whether or not to invite the applicant to present his candidacy during the RMEI General Meeting.
Some of the relevant points for the evaluation of the candidacy are:
- to hold an engineering degree corresponding to a 5 academic yrs curriculum
- to be accredited by local national authorities
- to have a permanent teaching staff
- to have in his teaching staff PhD holders
- to have at least 400 students
Concerning this last point, the board emphasizes that the possibility for recent institutions to not fulfill this feature might be possible.
The internal regulations of the committee are accepted by the board by a unanimous vote
Pending membership applications
During the Barcelona General Meeting and the formation of the new membership committee, all decisions for the new membership applications have been postponed to the next board meeting. During this board session, the President presented 10 pending membership requests.
After discussion, the board accepted the candidacies by a unanimous vote.
Consequently, the following institutions are invited to present themselves at the General Meeting:
| Ecole Nationale Supérieure des Techniques Avancées | ENSTB | Tunisia |
|---|---|---|
| Ecole Centrale Polytechnique Privée | ECP | Tunisia |
| Ecole Nationale d’Ingénieur de Carthage | ENI Carthage | Tunisia |
| Université El Arbi Ben M'hidi Oum El Bouaghi | | Algeria |
| L’Aquila University | | Italia |
| Technical Univ. of Crete | | Crete |
| ESPRIT | | Tunisia |
| E-campus | | Italia |
| Alexandria Univ. | | Egypt |
MED-Accrid
The next edition of the MED-Accrid international congress will be held in Marrakech by our colleagues of the Universitée Privée de Marrakech (UPM) and Agence Internationale de l'Aviation Civile from Casablanca. Pr Hamid AJANA, representative of the UPM & AIAC at the meeting, explained that the campus is located 13kms from Marrakech city center. The organizers will arrange a daily bus transportation between the city and the campus.
The date of the MED-Accrid congress will be held on the 26 th and 27th of April 2018. It will precede the RMEI General Assembly that will take place at UPM the 28th of April.
Pr Ahmed BEN CHEIKH LARBI, organizer of the 1st MED-ACCRID at Hammamet (TN) last May, assured Pr AJANA of his support. The Website, flyer and documents used at Hammamet will be quickly transmitted for a new use, to save time, energy and money…. th
The board agreed on the date (April 26th-27 , 2018) by a unanimous vote.
TARGET Horizon 2020
TARGET means TAke a Reflexive approach to Gender Equality for institutional Transformation. TARGET will contribute to the advancement of gender equality in research and innovation (R&I) by supporting a reflexive gender equality policy in seven Gender Equality Innovating Institutions (GEIIs) in the Mediterranean basin - including research performing organizations (RPOs), research funding organizations (RFOs) and a network of universities.
RMEI is involved in this European research program that will benefit from RMEI university network to enlarge the statistical surveys.
The scientific coordinator of the program for RMEI is Pr Anastasia ZABANIOTOU from Aristotle Univ. of Thessaloniki (GE). The Legal Entity Administrative Representative (LEAR) is Pr Olivier BOIRON from Ecole Centrale Marseille.
The program kickoff was held at Brussels last June and the first Workshop took place in Centrale Marseille on September 25th and 26th. Pr BOIRON and ZABANIOTOU are preparing a survey that will be sent to the RMEI members before the end of the year.
The Gender Equality (GE) is recognized by the board of RMEI as one of the main and challenging objectives of the network for the next coming years. GE is one of the 17 Sustainable Development Goals of UNESCO for the period 2017-2030.
TuneIt
TuneIt is the acronym for the program was introduced to the network by our colleague Pr Enzo SIVIERO, Vice President of the network and rector of e-Campus university of Novedrate (IT). TuneIt main objective consists of the building of a bridge between Tunisia and Sicilia and finally Italy via the strait of Messina.
A 'competition of ideas' was launched this month at Tunis for the design of four artificial islands that are supposed to support the bridge. The aim behind the launching was that this project offers fantastic opportunities for students' projects or master thesis subjects.
The competition is sponsored by EAMC (Engineering Associations of Mediterranean Countries), PAM (Parliament Assembly of Mediterranean), the Schiller Institute, the Italian Economic Development Ministry, the Craxi Foundation, Università La Sapienza di Roma, Ensit, Federarchitetti, Sistemi Urbani of the group Ferrovie dello Stato Italiane. (ANSAmed).
Our colleague Pr Ahmed BEN CHEIK LARBI, director of Ecole Nationale Supérieure d'Ingénieurs de Tunis is the co-organizer of the competition from the Tunisian side.
« Bridging cultures and sharing hearts », the favorite motto of our colleague Enzo, is really well appropriate!!!
GAMe
GAMe is the student network of RMEI. The board of GAMe had a meeting at the RMEI Italian office in the Forte Michelangelo of Civitavecchia on October the 20th. This meeting was mainly devoted to the design of the 2018 GAMe agenda and budget.
Pr Massimo GUARASCIO, the RMEI coordinator of GAMe, presented to the RMEI board the GAMe Michelangelo final budgets for 2016 and 2017. These two events were held at Civitavecchia for 2016 and Marrakech for 2017 with budgets of 22 082€ and 21 194€ respectively.
Moving in Morocco the workshop finally didn't increase the budget which is always around 21k€. The main expenses are for the flight tickets (40-60%) and the student accommodation (20-30%).
Main private contributors are e-Campus, Scire and RFI and RMEI and Sapienza University for the public one.
The financial participation of the private contributors is problematic from a legal point of view as Pr GUARASCIO said. Indeed, RMEI is a French association and some private contributors like the Port Authorities of Civitavecchia can't easily justify the transfer of money to this kind of foreign association. To clarify the situation for the next workshops Pr GUARASCIO proposed to the board the creation of an Italian legal entity named « Michelangelo Workshop GAMe » that will receive the Italian financial contributions for the workshop and more generally for the organization of the GAMe events (board meeting, GAMe day, etc). MM VINCENT and GUARASCIO are nominated by the board to write the statutes and the internal regulation of the new entity. M. VINCENT proposed that the new entity will also manage the funds associated with the scholarships and grants of the HOMERe Italian office.
Our colleague Pr Fatma ASHOUR from Cairo University proposed that the next GAMe day will be held in Egypt (Alexandria, Aswan) in March 2018. She is currently looking for funding to organize this event and will quickly advise the board of the final decision. Board members warned Mrs ASHOUR on the problem of student authorization to stay in Egypt.
General Assembly 2018
The 2018 GA will be held in Marrakech according to the decision of the last GA held in Barcelona. Pr. AJANA, the representative of CUPM, confirmed the agreement of CUPM administration for the organization of this event.
The date of the GA is April 28 th , 2018.
UNESCO
Pr O. BOIRON, the UNESCO chair holder for Ecole Centrale de Marseille / RMEI, made a quick summary of the activities of the chair for the 2017 second semester:
- Meeting at the UNESCO headquarters in Paris for a presentation of the chair activities
- Participation in the UNESCO chairs congress held at Genova last July
- Request for the renewal of the chair in September 2017
Pr BOIRON also presented the program for the next year. The main objective is the organization of an international congress on « Innovation in sustainable development » that will be held in Marseille probably during the fall of 2018. The congress will bring together in the organization committee all the chair holders that are involved in the RMEI network. The congress will address the main fields of the UNESCO Sustainable Development Goals.
HOMERe
Pr Léo VINCENT, the creator and manager of the HOMERe program, presented the HOMERe activities for 2017. 125 students benefited from the program since 2016, with remarkable gender equality!!
The program received in 2017 the financial help from the French Ministry of Higher Education (30k€) but, up to now, no grants have been obtained for 2018. The growth of the program needs the constitution of HOMERe national offices that will be more effectives for, from one hand, the management of the program and, from the other hand, the fundraising.
- Mrs Noha FAHTI, HOMERe in charge of the south Mediterranean side, participated to the 15th FCM annual congress in Athens, September 20th, where she presented the HOMERe program.
- Mrs Wided CARPENTIER will organize on November 17th a Tunisian career forum where Pr BOIRON will represent HOMERe. This event that will involve many partners of the HOMERe consortium, will offer more than 150 jobs to the students.
- MM VINCENT and BOIRON are working together with UfM to find new financial resources for the future.
Pr Olivier BOIRON General Delegate of RMEI
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A Discovering
Suggested Curriculum Areas
History
Social Studies
Science
Suggested Grade Levels
4 –12
Key Concepts
Forest Community
Forest Diversity
Forest Regeneration
Key Skills
Research Classification
Communication
Synopsis
labama
Teacher's Guide
Alabama Forests
TREES ARE THE SOURCE for wood, the raw material used in the manufacture of a wide range of products vital to our society, from lumber and paper to numerous chemicals and medicines. However, trees are much more than a commodity. They are also complex organisms that perform many of the Earth's essential environmental processes, from the protection of the soil and water to the miraculous life-supporting process of photosynthesis.
Likewise, a healthy forest is much more than simply a collection of trees. A forest is a setting in which the whole is greater than the sum of its parts because its parts—soil, water, wildlife, and various plants, including trees—work together to form a self-perpetuating natural community, or ecosystem.
Alabama is one of the most forested regions in the world. The state contains scores of forest communities, in which there is an abundance of natural habitats and a great variety of native plants and animals. This video describes the importance of Alabama forests and highlights pertinent forest history and key concerns for the future.
Discovering Alabama is a production of the Alabama Museum of Natural History in cooperation with Alabama Public Television. For a complete list of titles in the Discovering Alabama series, as well as for information about ordering videos and accompanying Teacher's Guides, contact us at either: Discovering Alabama, Box 870340, Tuscaloosa AL 35487–0340; phone: 205–348–2036; fax: 205–348–4219; or email: email@example.com. Also visit our website: www.discoveringalabama.org.
This program was produced with support from the following organizations:
Before Viewing
1. "The forest" is a broad subject. Begin by having the students write conclusions for the following sentences:
a. A tree is… b. A forest is…
2. Continue by focusing on an aspect of local or personal relevance. For example, you might ask students to reflect on whether they have a favorite tree near home: Why is this tree their favorite? Is it fun to climb, to sit under, or to observe? Does the tree's shape appeal to them? What about the way it changes from season to season?
3. Explore the school grounds to observe any trees in the area and to visit places near the school where the land is still wooded/forested. What do students find attractive, unattractive, or interesting about these features?
While Viewing
Alabama forests are often topics of environmental controversy. Some believe the state's forests are in decline due to harmful logging and commercial timber practices. Others believe that Alabama's forests are in good condition largely because of management practices that promote commercial productivity. Ask students to watch for information or evidence that will help them decide which view is correct.
Video Mystery Question: Did the European settlers in the 1600s encounter a "virgin" forest in Alabama? (Answer: Portions of the forest did, undoubtedly, qualify as "virgin," meaning they were hundreds of years old and free from any sign of human disturbance, but much of the forest that impressed newcomers was actually less than 100 years old. As the video indicates, forest historians maintain that these forest tracts were relatively recent, having regenerated from lands that had been altered by prehistoric peoples.)
After Viewing
1. Collect several duplicate sets of between 10 to 20 different kinds of leaves. Divide the class into small groups and distribute one set of leaves to each group. Have each group sort the leaves and draw a dichotomous diagram showing how the leaves can be classified into subgroups. A dichotomous classification is performed by first dividing the whole set of leaves into two groups based on a major observable characteristic such as leaf shape or color. Each subset is again divided into two groups based on the next distinguishing characteristic, and so on. Continue this procedure until the final sets each contain only one leaf.
2. Invite the students to present their dichotomous diagrams to the class and to explain the reasoning for each stage of classification. Discuss how the process of dividing by observable features is a primary means of classification used by scientists.
3. Have the students use a nature field guide to identify the trees to which their leaves belong. (Nature field guides are available in most book stores.)
Extensions
1. Using a field guide for southeastern trees, explore the school grounds, nearby parks, and woodlands to identify as many trees as possible. Have students work in small groups to examine the habitat, range, ecological role, and commercial uses of each species.
2. Use a microscope to examine the internal structure of wood fiber. Invite a forester to bring wood samples from different trees, to describe each tree's life history, and to discuss interesting physical, chemical, and biological aspects of tree growth.
3. Invite representatives from timber and paper companies, as well as environmental organizations, to present their different views on issues pertaining to the status and management of forests in Alabama.
Philosophical Reflections
Scientific evidence reveals that trees and forests have developed over geological time, from earlier primitive forms to today's very complex and diverse natural systems. As the video explains, the latest major stage of development includes the more specially adapted flowering and seed-bearing trees, many of which are the predominant species of Alabama's hardwood forests. Does such continuing adaptation suggest that there is an intelligence present in nature? What is the meaning of the word "intelligence," and how many different kinds of intelligence can you identify? Is there a distinction between intelligence that serves to fulfill the survival needs of individuals and intelligence that seeks to promote group survival, intellectual curiosity, or moral principles?
Nature in Art
Occasionally, there is disagreement over what Alabama's original forest was like at the time of European exploration and settlement. Some contend it was a great pristine wilderness. Others argue that it was far from pristine due to continual human and natural disturbances. Invite your class to examine which view may be more accurate based on early European literary and artistic accounts of Alabama and the Southeast. (See Additional References and Resources for such early written records as those by William Bartram, which provide visual accounts of forest conditions before extensive settlement of the state.)
Community Connections
Prepare an investigative report about local forest conditions. Questions to explore include, a) what is the total forestland acreage in your county, b) who are the major owners, c) what is the status of this forestland, e.g., forest types, ages, conditions, etc., d) how is it "managed," and e) how do views about the forest compare between forestland owners and the general public? Have the students work in teams to organize, write, and edit the report for submission to the local newspaper. 1.
Find a place that could benefit from the planting of trees. This location might be part of the school grounds, a neighborhood beautification site, or an abandoned surface mine. Arrange necessary assistance for tree planting from your local Alabama Forestry Commission office, a willing industry, or an environmental group. The educational value will be greater if this project also addresses related forest topics such as soil, climate, erosion, and biodiversity. To this end, have students conduct longterm monitoring of site changes and tree growth. 2.
Complementary Aids and Activities
Adopt-a-Forest Program. To acquire an Adopt-a-Forest Curriculum Guide or more information about the program, contact Ranger Station, Conecuh National Forest, Route 5, Box 157, Andalusia AL 36420, or call 334–222–2555.
Project Learning Tree. Activity Guide K– 6, Activity 89, "Forest Consequences." Available through Alabama Forestry Association, 555 Alabama St., Montgo-mery AL 36104, or call 334–265–8733.
Explore forest change using USGS Topographic Maps along with "Map Adventures" or "What Do Maps Show?" Available through Geological Survey of Alabama, Publication Sales Office, P.O. Box 869999, Tuscaloosa AL 35486–9999, or call 205–349–2852.
Plan•It3. To receive information on the interactive CD–ROM, the curriculum for forestry education (grades 6–9), or the video "Southern Forest…Southern Heritage," write P.O. Box 70424, Montgomery AL 36107, or call 800–566–4645.
Additional References and Resources
100 Forest Trees of Alabama, 2d ed. (1995). Available through Alabama Forestry Commission, 513 Madison Ave., Montgomery AL 36130, or call 205–240– 9361.
A Key to Common Trees of Alabama, Circular ANR–509, Alabama Co-operative Extension System. Available from your county extension office. Check your telephone directory under your county or write to Alabama Cooperative Extension Service, USDA, Auburn University, Auburn AL 36849–5612.
The De Soto Chronicles: The Expedition of Hernando De Soto to North America in 1539–1543, edited by L.A. Clayton, V.J. Knight Jr., and E.C. Moore (1993). Contact: University of Alabama Press, Box 870380, Tuscaloosa AL 35487–0380, or call 800–825–9980.
William Bartram: Travels and Other Writings, edited by Thomas P. Slaughter (1996).
Parting Thoughts
The term "tree hugger" is often used as a flip criticism aimed at environmentalists. However on numerous occasions, I have witnessed profit-motivated, industry executives strolling corporate lands giving their trees a gentle pat here and a caring caress there. This is reassuring. Somehow, it only seems appropriate that beautiful, natural wonders such as trees should evoke the human desire to touch or hug them. So we "tree huggers," corporate and non-corporate alike, share a common challenge to find ways of working together to maintain the abundance and the health of our forests for the future.
Oh yeah, I almost forgot. You don't have to go trekking off to some distant wilderness to see a special forest or a distinctive tree. Throughout Alabama, there are major tracts of forestland and numerous state "champion trees" (a champion tree is the largest tree on record for a given species in the state). For guidance, check with the Alabama Forestry Commission at 205–240–9361.
Happy outings,
Discovering
A
labama
Activity/Information Sheet
A Few Key Facts about the Productivity of Alabama Forests
* Each year since the 1980s, more than 200,000 acres of timberland have been regenerated.
* Small, independent owners control nearly 50%, or 10.9 million acres, of all commercial forested land.
* Over 65,000 people are employed in the forest industry and have combined earnings of more than 1.3 billion dollars.
* There are more than 1,100 primary forest operations including 15 pulp and paper mills, 196 sawmills, 27 veneer mills, and 27 pole mills. There are approximately 800 secondary forest manufacturing operations.
Alabama Forests
* 8% of the nation's white-tailed deer and 9% of the nation's wild turkeys live in Alabama forests.
Source: Forests of Alabama, Alabama Forestry Commission (1993). Data is based on 1989 and 1990 surveys.
A Few Key Questions for the Future of Alabama Forestlands
* How has the natural character of Alabama forests, e.g., total acreage, diversity of natural habitats, diversity of flora and fauna, soil and water quality, etc., changed since the early settlement of the state? How is it likely to change as a consequence of human activity in the future?
* To what extent is the free market the most appropriate means to steer the environmental consequences of forest management?
* To what degree is the market value—money for timber harvest—the appropriate scale of value for forests that provide vital ecological functions?
* What should be the proportion of natural forests versus commercial tree farms if human population and demand for forest products continue to escalate?
* What are the appropriate limits for human population growth and the associated urban and economic developments, which cause forestland to be converted to other uses?
* In a democracy, who bears the ultimate "responsibility" for shortsighted policies and practices that have far-reaching effects on the natural environment? Ultimately, who are the victims of these policies and practices, and who should see that such problems are corrected?
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EUROPEAN COMMISSION FOR THE EFFICIENCY OF JUSTICE (CEPEJ)
SCHEME FOR EVALUATING JUDICIAL SYSTEMS 2007
Country: Greece
National correspondent
First Name - Last Name: TZIOKAS Efthymios
Job title:
Organisation:
Ministry of Justice
E-mail:
firstname.lastname@example.org
Phone Number :
First Name - Last Name: PAPPA Xanthippe
Job title:
International Organisations
Organisation:
Ministry of justice
E-mail:
email@example.com
Phone Number :
+30 210 77 67 484
First Name - Last Name: ARVANITI Maria
Job title:
Head International Organisations
Organisation:
Ministry of justice
E-mail:
firstname.lastname@example.org
Phone Number :
+30 210 77 67 310
1. Demographic and economic data
1. 1. General information
1. 1. 1. Inhabitants and economic information
1) Number of inhabitants
11125179
2) Total of annual State public expenditure / where appropriate, public expenditure at regional or federal entity level (in €)
3) Per capita GDP (in €)
19194
4) Average gross annual salary (in €)
23037
5) Exchange rate from national currency (non-Euro zone) to € on 1 January 2007
Please indicate the sources for the questions 1 to 4
NATIONAL STATISTICAL SERVICE Q1 - (1.1.2006)
1. 2. Budgetary data concerning judicial system
1. 2. 2. Budget (courts, public prosecution, legal aid, fees)
6) Total annual approved budget allocated to all courts (in €)
332875000,00
7) Please specify
SALARIES AND FUNCTIONAL COSTS.
8) Does the approved budget of the courts include the following items? Please give for each item (or some of them) a specification of the amount concerned
Annual public budget allocated to (gross) salaries
Yes g f e d c b
322950000
Annual public budget allocated to
Yes g f e d c b
Print Evaluation computerisation (equipment, investments,
maintenance)
Annual public budget allocated to justice expenses
4345000
g
Yes g f e d c b
4600000
Annual public budget allocated to court buildings (maintenance, operation costs)
Yes g f e d c b
4600000
Annual public budget allocated to investments
in new (court) buildings
Yes g f e d c b
2500000
Annual public budget allocated to training and
education
Yes g f e d c b
160000
Other (please specify):
Yes g f e d c
9) Has the annual public budget of the courts changed (increased or decreased) over the last five years?
Yes n m l k j i
No n m l k j
If yes, please specify (i.e. provide an indication of the increase or decrease of the budget over the last five years)
THERE IS A 3% INCREASE EVERY YEAR.
10) In general are litigants required to pay a court tax or fee to start a proceeding at a court of general jurisdiction:
for criminal cases? g f e d c
for other than criminal cases? g f e d c b
If yes, are there exceptions? Please specify:
- COURTSTAMP FOR REAL ACTION
- FEE FOR REAL ACTION IN CIVIL COURTS
- FEE FOR JUDICIAL PROCEEDINGS AGAINST COURT DECISIONS
11) If yes, please specify the annual income of court fees (or taxes) received by the State (in €)
Print Evaluation
12) Total annual approved budget allocated to the whole justice system (in €)
332875000,00
13) Total annual approved public budget allocated to legal aid (in €)
1700000,00
14) If possible, please specify
| | the annual public budget allocated to legal aid in criminal cases |
|---|---|
| Amount | |
15) Is the public budget allocated to legal aid included in the court budget ?
Yes n m l k j
No n m l k j i
16) Total annual approved public budget allocated to the public prosecution system (in €)
17) Is the budget allocated to the public prosecution included in the court budget?
n
Yes n m l k j i
nmlk jNo
18) Authorities formally responsible for the budget allocated to the courts:
19) If other Ministry and/or inspection body and/or other, please specify (in regards to question 18):
| | Preparation of the total court budget | Adoption of the total court budget | Management and allocation of the budget among the individual courts |
|---|---|---|---|
| Ministry of Justice | gfedcb | gfedc | gfedcb |
| Other ministry | gfedc | gfedcb | gfedc |
| Parliament | gfedc | gfedc | gfedc |
| Supreme Court | gfedc | gfedc | gfedc |
| Judicial Council | gfedc | gfedc | gfedc |
| Courts | gfedc | gfedc | gfedc |
| Inspection body | gfedc | gfedc | gfedc |
| Other | gfedc | gfedc | gfedc |
MINISTRY OF ECONOMY AND FINANCE
You can indicate below:
- any useful comments for interpreting the data mentioned above - the characteristics of your budgetary system and the main reforms that have been implemented
over the last two years
- if available an organisation scheme with a description of the competencies of the different authorities responsible for the budget process
Please indicate the sources for the questions 6, 7, 13 et 16
2. Access to justice
2. 1. Legal aid
2. 1. 1. Principles
20) Does legal aid concerns:
| | Criminal cases |
|---|---|
| Representation in court | gfedcb |
| Legal advice | gfedcb |
| Other | gfedcb |
21) If other, please specify (in regards to question 20):
LAW 3226/2004 ART.5 REGARDING PROSECUTORS ON DUTY AND PROSECUTORS SUPERVISORS IN PENITENTIARY INSTITUTIONS WHO COULD PROVIDE CONSULTATIVE SERVICES, 2. THE GRANTING OF LEGAL AID IN CIVIL & COMMERCIAL CASES COMPRISES, IF SPECIFICALLY REQUESTED THE APPOINTMENT OF A COUNSEL, NOTARY PUBLIC AND COURT BAILLIF, WHO SHALL BE ORDERED TO REPRESENT THE BENEFICIARY TO DEFEND HIM/HER IN COURT AND GRANT NEEDED ASSISTANCE
22) Does legal aid foresee the covering or the exoneration of court fees?
Yes n m l k j i
No n m l k j
If yes, please specify:
EXONERATION IN CIVIL AND COMMERCIAL CASES INCLUDES SPECIFICALLY (COURT) STAMP FEES, WRIT FEES AND THEIR SUPERADDITIONS, WITNESSES, EXPERT FEES OR APPOINTED ADVOCATE, NOTARY PUBLIC OR COURT BAILLIF AND THE OBLIGATION OF GUARANTEE FOR SUCH FEES (ART.9 PAR.2 OF THE ABOVE LAW)
23) Can legal aid be granted for the fees that are related to the execution of judicial decisions?
Yes n m l k j i
No n m l k j
If yes, please specify:
AS ABOVE 9.22
24) Number of cases granted with legal aid provided by (national, regional, local) public authorities:
Number
Total
Criminal cases
Print Evaluation
Other than criminal cases
Yes n m l k j i
No n m l k j
Yes n m l k j i
No n m l k j
Yes n m l k j
No n m l k j i
25) In a criminal case, can any individual who does not have sufficient financial means be assisted by a free of charge (or financed by public budget) lawyer?
26) Does your country have an income and asset test for granting legal aid:
No
Yes
Amount
for criminal cases?
X
for other than criminal cases?
X
27) In other than criminal cases, is it possible to refuse legal aid for lack of merit of the case (for example for frivolous action)?
28) If yes, is the decision for granting or refusing legal aid taken by:
the court? g f e d c b
an authority external to the court? g f e d c
a mixed decision-making authority (court and external)? g f e d c
29) Is there a private system of legal expense insurance enabling individuals to finance court proceedings?
Please specify:
30) Do judicial decisions have an impact on who bears the legal costs which are paid by the parties
during the procedure in:
| | yes |
|---|---|
| criminal cases? | gfedcb |
| other than criminal cases? | gfedcb |
You can indicate below:
- any useful comments for interpreting the data mentioned above
- the characteristics of your legal aid system and the main reforms that have been implemented over the last two years
BENEFICIARY: CITIZENS WITH LOW INCOME WHO ARE CITIZENS OF A)COUNTRIES MEMBES OF THE E.U., B)OF THIRD COUNTRIES OR FOREIGNERS, SINCE THEY HAVE PERMANENT HOME OR LIVE WITHIN THE EUROPEAN UNION'S TERRITORY. LAW 3226/2004 MAKES EXCEPTION WHEN IT COMES TO ADMINISTRATIVE CASES
THE LEGISLATION PROVIDES (ART.12 OF LAW 3226/04) -'CLEARING':1.CLEARING OF LITIGATION COSTS SHALL BE EFFECTED ACC. TO APPLICABLE PROVISIONS ON A CASE BY CASE BASIS AND SHALL INCLUDE COSTS DISPENSED WITH BY THE BENEFICIARY, AS WELL AS COMPENSATION OF COUNSEL AND ANY OTHER PERSON TO BE BORNE BY THE STATE, ACC. TO THE PROVISIONS OF THAT LAW,2. IF THE JUDGEMENT RENDERED IMPOSES LITIGATION COSTS AGAINST THE BENEFICIARY'S OPPONENT OR ANY OTHER PERSON, THEN THE COSTS DISPENSED WITH BY THE BENEFICIARY, AS WELL AS COMPENSATION OF COUNSEL AND ANY OTHER PERSON TO BE BORNE BY THE STATE, SHALL BE ADJUDICATED IN FAVOUR OF THE STATE AND SHALL BE COLLECTED BY THE STATE, ACC. TO THE PROVISIONS APPLIED TO THE COLLECTION OF PUBLIC REVENUES.
Please indicate the sources for the questions 24 and 26
MINISTRY OF JUSTICE
2. 2. Users of the courts and victims
2. 2. 1. Rights of the users and victims
31) Are there official internet sites/portals (e.g. Ministry of Justice, etc.) for the following, which the general public may have free of charge access to (Please specify the Internet addresses):
legal texts (e.g. codes, laws, regulations, etc.)?
yes g f e d c b
case-law of the higher court/s?
yes g f e d c
other documents (for example forms)?
yes g f e d c b
32) Is there an obligation to provide information to the parties concerning the foreseeable timeframe of the proceeding?
Yes n m l k j
No n m l k j i
If yes, please specify:
33) Is there a public and free-of-charge specific information system to inform and to help victims of crimes?
Yes n m l k j i
No n m l k j
If yes, please specify:
IN THE CASES OF CRIMES IN FAMILY GENERAL INFORMATION IS PROVIDED BY SOCIAL WORKERS (FAMILY CONSULTANTS) FROM WELFARE SERVICES. THERE IS ALSO PROMPT PROVISION OF SPECIALIZED INFORMATION SERVICES, COUNSELLING AND SOCIAL SUPPORT TO WOMEN-VICTIMS OF TRAFFICKING WITH THE OBJECTIVE OF THEIR SOCIAL AND PRIMARILY OCCUPATIONAL INTEGRATION. A CAMPAIGN HAS BEGUN IN ORDER TO INFORM THE PUBLIC ABOUT HUMAN TRAFFICKING. TWO COUNSELLING CENTRES FOR BATTERED WOMEN ARE OPERATING IN ATHENS AND PIRAEUS, PROVIDING PSYCHOLOGICAL AND SOCIAL SUPPORT TO THE VICTIMS.
34) Are there special favourable arrangements to be applied, during judicial proceedings, to the following categories of vulnerable persons:
| | Information mechanism | Hearing modalities | Procedural rights |
|---|---|---|---|
| Victims of rape | gfedc | gfedc | gfedc |
| Victims of terrorism | gfedc | gfedc | gfedc |
| Children/Witnesses/Victims | gfedcb | gfedcb | gfedc |
| Victims of domestic violence | gfedcb | gfedcb | gfedc |
| Ethnic minorities | gfedc | gfedc | gfedc |
| Disabled persons | gfedc | gfedc | gfedc |
| Juvenile offenders | gfedcb | gfedcb | gfedc |
| Other | gfedc | gfedc | gfedc |
35) Does your country have a compensation procedure for victims of crimes?
Yes n m l k j i
No n m l k j
36) If yes, does this compensation procedure consist in:
a public fund? g f e d c b
a court decision? g f e d c
private fund? g f e d c b
If yes, which kind of cases does this procedure concern?
THERE IS A COMPENSATION PROCEDURE FOR VICTIMS OF CRIMES RELATED TO ACTIONS OF TERRORISM. THE PROCEDURE UNDER 36 CONCERNS CRIMES OF PROPERTY'S DAMAGE, COMPENSATION CONSISTS IN PRIVATE FUND, IN CASE THERE IS A PRIVATE INSURANCE.
nmlkji
n
37) Are there studies to evaluate the recovery rate of the compensation awarded by courts to victims?
Yes n m l k j
No
If yes, please specify:
38) Is there a specific role for the public prosecutor with respect to the (protection of the position and assistance of) victims?
Yes n m l k j i
No n m l k j
If yes, please specify:
CONCERNING HUMAN TRAFFICKING CASES, TWO PUBLIC PROSECUTORS WERE ASSIGNED TO DEAL WITH THE PHENOMENON.
39) Do victims of crimes have the right to contest a decision of the public prosecution to discontinue a case?
Yes n m l k j i
Print Evaluation
No n m l k j
If yes, please specify:
2. 2. 2. Confidence of citizens in their justice system
TO A SUPERIOR PUBLIC PROSECUTOR.
40) Is there a system for compensating users in the following circumstances:
excessive length of proceedings? g f e d c
non execution of court decisions? g f e d c b
wrongful arrest? g f e d c b
wrongful condemnation? g f e d c b
If yes, please specify (fund, daily tariff):
As a form of compensation for any delay of the administration to abide with the court judgment, the imposition of a fine is adjudicated by a committee of judges of the highest rank.
DAILY COMPENSATION IS ADJUDICATED IN CASES OF WRONGFUL ARREST AND WRONGFUL CONDEMNATION
CIVIL RESPONSIBILITY OF THE STATE FOR COMPENSATION (ART.3 PAR.3 OF LAW 3068/2002)
41) Does your country have surveys aimed at users or legal professionals (judges, lawyers, officials, etc.) to measure their trust and/or satisfaction with the services delivered by the judiciary system?
(Satisfaction) surveys aimed at judges g f e d c
(Satisfaction) surveys aimed at court staff g f e d c
(Satisfaction) surveys aimed at public prosecutors g f e d c
(Satisfaction) surveys aimed at lawyers g f e d c
(Satisfaction) surveys aimed at citizens (visitors of the court) g f e d c
(Satisfaction) surveys aimed at other clients of the courts g f e d c
If possible, please specify their titles, how to find these surveys, etc:
42) If yes, please specify:
Yes (surveys at a regular interval: for example annual)
Surveys at national level
gfedc
Yes (incidental surveys)
gfedc
Surveys at court level
gfedc
gfedc
43) Is there a national or local procedure for making complaints about the performance (for example the length of proceedings) or the functioning (for example the treatment of a case by a judge) of the judicial system?
Yes n m l k j i
No n m l k j
44) If yes, please specify:
| | Time limit to respond (Yes) |
|---|---|
| Court concerned | gfedc |
| Higher court | gfedc |
| Ministry of Justice | gfedc |
| High Council of the Judiciary | gfedc |
| Other external organisations (e.g. Ombudsman) | gfedc |
Can you give information elements concerning the efficiency of this complaint procedure?
ACC. TO LAW 3327/2005 IT IS PROVIDED THAT AFTER A PERIOD OF 8 MONTHS FOR ISSUING A DECISION IN A CIVIL CASE, THE JUDGE MUST RETURN THE LEGAL DEED, OTHERWISE THIS IS REMOVED THROUGH A DECISION OF THE JUDGE WHO PRESIDES THE COURT OR THE CHAIRMAN OF THE THREE MEMBER COUNCIL OF ADMINISTRATION.COURT INSPECTION
3. Organisation of the court system
3. 1. Functioning
3. 1. 1. Courts
45) Number of courts considered as legal entities (administrative structures) and geographic locations (please, complete the table)
46) Please specify the different areas of specialisation (and, if possible, the number of courts concerned):
THE STRUCTURE OF THE GREEK COURTS IS AS FOLLOWS:
A) CIVIL COURTS
1. CIVIL COURT OF FIRST INSTANCE (1 JUDGE-3 MEMBERS),MAGISTRATES COURT,2. COURT OF APPEAL,3. SUPREME COURT (AREIOS PAGOS)
B) CRIMINAL COURTS
1.MAGISTRATES COURT,2. MISDEMEANOUR COURT (1 JUDGE-3 MEMBERS),3. CRIMINAL COURT OF APPEAL (3 MEMBERS-5 MEMBERS),4. FIRST INSTANCE JURY COURT,5. SECOND INSTANCE JURY COURT,6. CRIMINAL COURT OF MINORS,7. MARTIAL COURTS,8. SUPREME COURT (AREIOS PAGOS),
C) ADMINISTRATIVE COURTS
1. COURT OF FIRST INSTANCE (1 JUDGE-3 MEMBERS), 2.COURT OF APPEAL,3.COURT OF AUDITORS,4.SUPREME COURT(COUNCIL OF THE STATE)
47) Is there a change in the structure of the courts foreseen (for example a reduction of the number of courts (geographic locations) or a change in the powers of courts)?
```
First instance courts of Civil and Criminal Courts = 63 First Instance Courts of Administrative Courts = 30 District Courts = 301 Misdemeanour Courts = 41 total = 435
```
Yes n m l k j
n
No n m l k j i
If yes, please specify:
48) Number of first instance courts competent for a case concerning:
3163
3. 1. 2. Judges, courts staff
Number
a debt collection for small claims
a dismissal
a robbery
Please specify what is meant by small claims in your country (answer only if the definition has changed compared to the previous evaluation round):
THERE ARE 310 COUNTY COURTS.
Please indicate the sources for the question 45
MINISTRY OF JUSTICE
49) Number of professional judges sitting in courts (present the information in full time equivalent and for permanent posts)
50) Number of professional judges sitting in courts on an occasional basis and who are paid as such:
Number
gross figure
if possible, in full time equivalent
51) Please specify (answer only if the information has changed compared to the previous evaluation round):
THERE ARE 3.692 JUDGES, WITH THE EXCEPTION OF THE STATE AUDIT COUNCIL. PROFESSIONAL JUDGES ON AN OCCASIONAL BASIS DO NOT EXIST.
Q49- From the Directorate of Court Function and Judiciary of the Ministry of Justice, we can provide the following figures for the period 2004-2006:
Judicial Functionaries sitting in court 2004 2006
Civil and Criminal Courts
Judges 1.560 1.625
Prosecutors 519 527
Administrative Courts 864 913
District Courts 623 625
TOTAL 3.566 3.690
We would like to note that Prosecutors are also included in the number of Judicial Functionaries.
52) Number of non-professional judges (including lay judges and excluding jurees) who are not remunerated but who can possibly receive a simple defrayal of costs. Please specify (answer only if the information has changed compared to the previous evaluation round):
Print Evaluation
THERE ARE NONE.
53) Does your judicial system include trial by jury with the participation of citizens?
Yes n m l k j i
No n m l k j
If yes, for which type of case(s)?
THERE ARE CRIMINAL COURTS CONSISTING OF JUDGES AND CITIZENS CHOSEN BY LOT, FOR THE TRIAL OF FELONIES AND POLITICAL CRIMES (ART.97 OF THE GREEK CONSTITUTION)
54) If possible, indicate the number of citizens who were involved in such juries for the year of reference?
55) Number of non-judge staff who are working in courts (present the information in full time equivalent and for permanent posts)
6.500 PERSONS
56) If possible, could you distribute this staff according to the 4 following categories:
non-judge staff (Rechtspfleger), with judicial or quasi-judicial tasks having autonomous competence and whose decisions could be subject to appeal
Yes g f e d c
non-judge staff whose task is to assist the judges (case file preparation, assistance during the hearing, keeping the minutes of the meetings, helping to prepare the decisions) such as registrars
Yes g f e d c b
staff in charge of different administrative tasks as well as of the management of the courts (human resources management, material and equipment management, including computer systems, financial and budgetary management, training management) technical staff
Yes g f e d c b
Yes g f e d c b
Please indicate the sources for the questions 49, 50, 52, 53 and 55
MINISTRY OF JUSTICE
Print Evaluation
57) Number of public prosecutors (present the information in full time equivalent and for permanent posts)
3. 1. 4. Budget and New technologies
527
58) Do any other persons have similar duties as public prosecutors?
Yes n m l k j i
No n m l k j
If yes, please specify:
FOR PETTY OFFENCES (E.G. TRAFFICK ACCIDENTS), A SENIOR POLICE OFFICER CAN START THE PROSECUTION.
59) Number of staff (non prosecutors) attached to the public prosecution service (present the information in full time equivalent and for permanent posts)
1.710
Please indicate the sources for the questions 57 and 59
MINISTRY OF JUSTICE
60) Who is entrusted with the individual court budget?
| | Preparation of the budget | Arbitration and allocation of the budget | Day to day management of the budget |
|---|---|---|---|
| Management Board | gfedc | gfedc | gfedc |
| Court President | gfedcb | gfedc | gfedc |
| Court administrative director | gfedc | gfedc | gfedc |
| Head of the court clerk office | gfedc | gfedc | gfedc |
| Other | gfedc | gfedc | gfedc |
61) You can indicate below:
- any useful comments for interpreting the data mentioned above
- if available an organization scheme with a description of the competencies of the different authorities responsible for the budget process in the court
62) For direct assistance to the judge/court clerk, what are the computer facilities used within the courts?
| 100% of courts | +50% of courts | -50% of courts |
|---|---|---|
| gfedc | gfedcb | gfedc |
| gfedcb | gfedc | gfedc |
| gfedc | gfedcb | gfedc |
| gfedc | gfedcb | gfedc |
| gfedc | gfedcb | gfedc |
63) For administration and management, what are the computer facilities used within the courts?
| | 100% of courts | +50% of courts | -50% of courts |
|---|---|---|---|
| Case registration system | gfedc | gfedc | gfedcb |
| Court management information system | gfedc | gfedc | gfedcb |
64) For the communication between the court and the parties, what are the computer facilities used within the courts?
| | 100% of courts | +50% of courts | -50% of courts |
|---|---|---|---|
| Electronic web forms | gfedc | gfedc | gfedc |
| Special Website | gfedc | gfedc | gfedc |
| Other electronic communication facilities | gfedc | gfedc | gfedc |
65) Is there a centralised institution which is responsible for collecting statistical data regarding the functioning of the courts and judiciary (answer only if this information has changed compared with the previous evaluation round)?
Yes n m l k j i
No n m l k j
If yes, please specify the name and the address of this institution:
NATIONAL STATISTICAL SERVICE OF GREECE
JUSTICE & PUBLIC ORDER SECTION- SOCIAL STATISTICS
DIVISION
46 PIREOS & EPONITON, 18510, PIRAEUS.
You can indicate below:
- any useful comments for interpreting the data mentioned above
- the characteristics of your judicial system and the main reforms that have been implemented over the last two years
Please indicate the sources for the questions 62, 63 and 64
MINISTRY OF JUSTICE
3. 2. Monitoring and evaluation
3. 2. 1. Monitoring and Evaluation
66) Are the courts required to prepare an annual activity report?
Yes n m l k j
No n m l k j i
67) Do you have a regular monitoring system of court activities concerning the:
number of incoming cases? g f e d c b
number of decisions? g f e d c b
number of postponed cases? g f e d c b
length of proceedings (timeframes)? g f e d c b
other? g f e d c
Please specify:
JUDGES INSPECTION DEPT.
68) Do you have a regular system to evaluate the performance of each court?
Yes n m l k j i
No n m l k j
Please specify:
THE INSPECTORS AND THE COURTS COUNCIL INSPECTION
69) Concerning court activities, have you defined performance indicators?
Yes n m l k j i
No n m l k j
70) Please select the 4 main performance and quality indicators that are used for a proper functioning of courts.
Incoming cases g f e d c
Length of proceedings (timeframes) g f e d c b
Closed cases g f e d c b
Pending cases and backlogs g f e d c b
Productivity of judges and court staff g f e d c
Percentage of cases that are treated by a single sitting judge g f e d c b
The enforcement of penal decisions g f e d c
Satisfaction of employees of the courts g f e d c
Satisfaction of clients (regarding the services delivered by the courts) g f e d c
Judicial and organisational quality of the courts g f e d c
The costs of the judicial procedures g f e d c
Other g f e d c
Please specify:
71) Are there performance targets defined for individual judges?
Yes n m l k j i
No n m l k j
72) Are there performance targets defined at the level of the courts?
Yes n m l k j
No n m l k j i
73) Please specify who is responsible for setting the targets:
executive power (for example the Ministry of Justice) g f e d c
legislative power g f e d c
judicial power (for example a High Judicial Council or a Higher Court) g f e d c b
other g f e d c
Please specify
Yes n m l k j i
No n m l k j
74) Please specify the main targets applied:
75) Which authority is responsible for the evaluation of the performances of the courts:
the High Council of judiciary g f e d c
the Ministry of Justice g f e d c
an Inspection authority g f e d c b
the Supreme Court g f e d c
an external audit body g f e d c
other? g f e d c
Other, please specify:
76) Are there quality standards (organisational quality and/or judicial quality policy) formulated for the courts (existence of a quality system for the judiciary)?
If yes, please specify:
ACC. TO ART. 6 PAR. 2 & 3 OF LAW 3514/2006 'INSPECTORS DRAFT A DETAILED AND FULLY JUSTIFIED REPORT ON EVERY JUDICIAL FUNCTIONARY OF THEIR DISTRICT, IN WHICH THE FOLLOWING ARE EVALUATED:A) MORAL CONDUCT AND CHARACTER,B) SCIENTIFIC KNOWLEDGE,C)PERCEPTION AND SOUND JUDGEMENT,D)DILIGENCE, HARD WORK AND PROFESSIONAL (QUALITATIVE AND QUANTITATIVE) PERFORMANCE,E) THE CAPACITY IN THE AWARD OF JUSTICE, IN PHRASING DECISIONS AND IN ORGANIZING THE PROCEDURE AND F) THE JUDICIARY'S CONDUCT IN GENERAL AND PARTICULARLY DURING THE HEARING OF A CASE. WITH REGARD TO PUBLIC PROSECUTORS, INSTEAD OF THE STANDARDS REFERRED UNDER E), THEIR CAPACITY TO AWARD CRIMINAL JUSTICE, TO FORM PROPOSALS AND TO SPEAK ORALLY ARE ALSO ASSESSED.THE EXISTING EVALUATION SYSTEM FOR THE JUDICIARY INCLUDES A SCALE FROM 1 (EXCELLENT) TO 6 (INADEQUATE).
77) Do you have specialised court staff which is entrusted with quality policy and/or quality systems for the judiciary?
Yes n m l k j
No n m l k j i
78) Is there a system enabling to measure the backlogs and to detect the cases which are not processed within a reasonable timeframe for:
civil cases? g f e d c b
criminal cases? g f e d c b
administrative cases? g f e d c
79) Do you have a way of analysing waiting time during court procedures?
Yes n m l k j
No n m l k j i
If yes, please specify:
80) Is there a system to evaluate the functioning of courts on the basis of an evaluation plan (timetable for visits) agreed a priori?
Yes n m l k j i
No n m l k j
Please specify (including an indication of the frequency of the evaluation):
THE REPORT OF THE HEAD OF INSPECTION
81) Is there a system for monitoring and evaluating the functioning of the prosecution services?
Yes n m l k j i
No n m l k j
If yes, please specify:
THE REPORT OF THE HEAD OF INSPECTION
You can indicate below:
- any useful comments for interpreting the data mentioned above
- the characteristics of your court monitoring and evaluation system
INSPECTORS DRAFT GENERAL REPORTS ON THE FUNCTIONING OF ALL COURTS AND PUBLIC PROSECUTORS' OFFICES IN THEIR DISTRICT AND PROPOSE ANY NECESSARY MEASURE FOR THE BALANCED FUNCTIONING OF THE SERVICE (ART.6 OF LAW 3514/2006). THEY ALSO DRAFT A DETAILED AND FULLY JUSTIFIED REPORT ON EVERY JUDICIAL FUNCTIONARY OF THEIR DISTRICT.
Please indicate the sources for the the question 70,71, 72 and 76
4. Fair trial
4. 1. Principles
4. 1. 1. General principles
82) What is the percentage of judgements in first instance criminal cases in which the suspect is not attending in person or not represented by a legal professional (i.e. lawyer) during a court session (in absentia judgements) ?
83) Is there a procedure to effectively challenge a judge if a party considers that the judge is not impartial?
Yes n m l k j i
No n m l k j
If possible, number of successful challenges (in a year): VERY FEW
84) Please give the following data concerning the number of cases regarding Article 6 of the European Convention on Human Rights (on duration and non-execution), for the year of reference
| | Cases declared inadmissible by the Court | Friendly settlements | Judgements establishing a violation |
|---|---|---|---|
| Civil proceedings - Article 6§1 (duration) | 30 | 0 | 21 |
| Civil proceedings - Article 6§1 (non- execution) | 1 | 0 | 0 |
| Criminal proceedings - Article 6§1 (duration) | 6 | 0 | 9 |
Please indicate the sources for the questions 82 and 84
4. 2. Timeframes of proceedings
4. 2. 1. General information
85) Are there specific procedures for urgent matters as regards:
civil cases? g f e d c b
criminal cases? g f e d c b
administrative cases? g f e d c b
If yes, please specify:
INTERIM PROCEEDINGS FOR CIVIL CASES.
IN CRIMINAL CASES, PROCEEDINGS FOR CRIMES CAUGHT IN THE VERY ACT.
INTERIM RELIEF FOR ADMINISTRATIVE CASES.
86) Are there simplified procedures for:
4. 2. 2. Penal, civil and administrative law cases
civil cases (small claims)? g f e d c b
criminal cases (petty offences)? g f e d c b
administrative cases? g f e d c
If yes, please specify (for example if you have introduced a new law on simplified procedures):
87) Do courts and lawyers have the possibility to conclude agreements on the modalities for processing cases (presentation of files, decisions on timeframes for lawyers to submit their conclusions and on dates of hearings)?
Yes n m l k j
No n m l k j i
If yes, please specify:
88) Total number of cases in the first instance courts (litigious and non-litigious); (please complete the table)
Pending cases on 1 January
2006
Incoming cases
Decisions
Pending cases on 31
December 2006
Total of civil,
commercial and administrative law cases (1-7)
1 Civil (and commercial) litigious
Print Evaluation
89) * The cases mentioned in categories 3 to 5 (enforcement, land registry, business register) are excluded from this total and should be presented separately in the table. The cases mentioned in category 6 (administrative law cases) are also excluded from this total for the countries which have specialised administrative courts or units in the courts of general jurisdiction. ** if applicable
Note: for the criminal law cases there may be a problem of classification of cases between severe criminal law cases and misdemeanour cases. Some countries might have other ways of addressing misdemeanour offences (for example via administrative law procedure). Please indicate if possible what case categories are included under "severe criminal cases" and the cases included under "misdemeanour cases (minor offences)".
Explanation
90) Total number of cases in the second instance (appeal) courts (litigious and non-litigious); (please complete the table)
| | Pending cases on 1 Jan. ‘06 | Incoming cases | Decisions on the merits |
|---|---|---|---|
| Total of civil, commercial and administrative law cases (1-7) | | | |
| 1 Civil (and commercial) litigious cases* | | | |
| 2 Civil (and commercial) non- litigious cases* | | | |
| 3 Enforcement cases | | | |
| 4 Land registry cases** | | | |
| 5 Business register cases** | | | |
| 6 Administrative law cases | | | |
| 7 Other | | | |
| Total criminal cases (8+9) | | | |
| 8 Criminal cases (Severe criminal offences) | | | |
| 9 Misdemeanour cases (minor offences) | | | |
91) Total number of cases in the highest instance courts (litigious and non-litigious); (please complete the table)
Pending cases on 1 Jan. 06
Incoming cases
Decisions on the merits Pending cases on 31 Dec. 06
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| 1 Civil (and commercial) litigious cases* |
|---|
| 2 Civil (and commercial) non- litigious cases* |
| 3 Enforcement cases |
| 4 Land registry cases** |
| 5 Business register cases** |
| 6 Administrative law cases |
| 7 Other |
| Total criminal cases (8+9) |
| 8 Criminal cases (Severe criminal offences) |
| 9 Misdemeanour cases (minor offences) |
92) Number of divorce cases, employment dismissal cases, robbery cases and intentional homicide cases received and treated by first instance courts (complete the table)
| | Pending cases on 1 Jan. ‘06 | Incoming cases | Decisions |
|---|---|---|---|
| Divorce cases | | | |
| Employment dismissal cases | | | |
| Robbery cases | | | |
| Intentional homicide case | | | |
93) Average length of proceedings (from the date of lodging of court proceedings)
| | % of decisions subject to appeal | % pending cases more than 3 years | 1st instance | 2nd instance |
|---|---|---|---|---|
| Divorce cases | | | | |
| Employment dismissal cases | | | | |
| Robbery cases | | | | |
| Intentional homicide | | | | |
94) Where appropriate, please specify the specific procedure as regards divorce:
Divorce cases are resolved under the special procedure, as described in the Code of Civil Procedure (art. 592and following). This means that the procedure in the special court panels is faster and simplified compared to the ordinary civil procedure.
95) How is the length of proceedings calculated for the four case categories? (please give a description of the calculation method)
Length of proceedings: there is not a consistent system for calculating the length of proceedings as a whole.
96) Please describe the role and powers of the prosecutor in the criminal procedure (multiple options are possible):
to conduct or supervise police investigation? g f e d c b
to conduct investigation? g f e d c b
when necessary, to demand investigation measures from the judge? g f e d c b
to charge? g f e d c b
g
to present the case in the court?
gfedcb
to propose a sentence to the judge? g f e d c b
to appeal? g f e d c b
to supervise the enforcement procedure? g f e d c b
to end the case by dropping it without the need for a judicial decision? g f e d c b
to end the case by imposing or negotiating a penalty without a judicial decision? g f e d c
other significant powers? g f e d c b
Please specify:
INTERIM PROCEEDINGS, WITH THE PUBLIC SECTOR AS LITIGANT, BODIES OF THE LOCAL MUNICIPALITY AND LEGAL ENTITIES GOVERNED BY THE STATE.
97) Does the prosecutor also have a role in civil and/or administrative cases?
Yes n m l k j i
No n m l k j
If yes, please specify:
MOSTLY IN CASES OF FAMILY LAW AND INTERIM PROCEEDINGS AGAINST THE PUBLIC, BODIES OF THE LOCAL MUNICIPALITY AND LEGAL ENTITIES GOVERNED BY THE STATE.
98) Functions of the public prosecutor in relation to criminal cases – please complete this table:
| | Received by the public prosecutor | Discontinued by the public prosecutor because the offender could not be identified | Discontinued by the public prosecutor due to the lack of an established offence or a specific legal situation | Discontinued by the public prosecutor for reason of opportunity | Concluded by a penalty, imposed or negotiated by the public prosecutor |
|---|---|---|---|---|---|
| Total number of 1st instance criminal cases | | | | | |
You can indicate below:
- any useful comments for interpreting the data mentioned above
- the characteristics of your system concerning timeframes of proceedings and the main reforms that have been implemented over the last two years
Please indicate the sources for the questions 92 to 94 and question 98
5. Career of judges and prosecutors
5. 1. Appointment and training
5. 1. 1. Recruitement, nomination and promotion
99) How are judges recruited?
n
Through a competitive exam (for instance after a law degree)? g f e d c b
A specific recruitment procedure for legal professionals with long working experience in the legal field (for example lawyers)? g f e d c
A combination of both g f e d c
Other g f e d c
If other, please specify:
100) Are judges initially/at the beginning of their carrier recruited and nominated by:
an authority composed of judges only? g f e d c
an authority composed of non-judges only? g f e d c
an authority composed of judges and non-judges? g f e d c b
101) Is the same authority competent for the promotion of judges?
Yes n m l k j
No
If no, please specify which authority is competent for promoting judges: Highest Judicial Council
nmlkji
102) Which procedures and criteria are used for promoting judges? (please specify).
HIGHEST JUDICIAL COUNCIL. THE CRITERION IS THEIR PERFORMANCE.
103) How are prosecutors recruited?
Through a competitive exam? (for example after a law degree) g f e d c b
A specific recruitment procedure for legal professionals with long working experience in the legal field (for example lawyers)? g f e d c
A combination of both g f e d c
Other g f e d c
If other, please specify:
104) Are prosecutors initially/at the beginning of their carrier recruited and nominated by:
an authority composed of prosecutors only? g f e d c
an authority composed of non-prosecutors only? g f e d c b
an authority composed of prosecutors and non-prosecutors? g f e d c
105) Is the same authority formally responsible for the promotion of prosecutors?
Yes n m l k j
No n m l k j i
If no, please specify which authority is competent for promoting prosecutors.
THE HIGHEST JUDICIAL COUNCIL.
106) Which procedures and criteria are used for promoting prosecutors (please specify)
THE HIGHEST JUDICIAL COUNCIL. THE CRITERION IS THEIR PERFORMANCE.
107) Is the mandate given for an undetermined period for judges ?
Yes n m l k j i
5. 1. 2. Training
No n m l k j
Are there exceptions? Please specify:
NO.
108) Is the mandate given for an undetermined period for prosecutors?
Yes n m l k j i
No n m l k j
Are there exceptions? Please specify:
NO.
109) If no, what is the length of the mandate? Is it renewable?
for judges
yes, please specify the length g f e d c
for prosecutors
yes, please specify the length g f e d c
You can indicate below:
- any useful comments for interpreting the data mentioned above
- the characteristics of the selection and nomination procedure of judges and prosecutors and the main reforms that have been implemented over the last two years
THE MANDATE IS FOR LIFE.
JUDGES ARE GRADUATES OF THE NATIONAL SCHOOL OF JUDGES.
110) Nature of the training of judges. Is it compulsory?
Initial training g f e d c b
General in-service training
gfedcb
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In-service training for specialised judicial functions (e.g. judge for economic or administrative issues) g f e d c b
In-service training for management functions of the court (e.g. court president, court managers) g f e d c
In-service training for the use of computer facilities in the court g f e d c b
111) Frequency of the training of judges:
| | Annual | Regular |
|---|---|---|
| Initial training | gfedcb | gfedc |
| General in-service training | gfedc | gfedc |
| In-service training for specialised judicial functions | gfedc | gfedc |
| In-service training for management functions of the court | gfedc | gfedc |
| In-service training for the use of computer facilities in the court | gfedc | gfedc |
112) Nature of the training of prosecutors. Is it compulsory?
Initial training g f e d c b
General in-service training g f e d c b
Specialised in-service training (e.g. specialised public prosecutor) g f e d c b
In-service training for management functions of the prosecution services (e.g. head prosecutor and/or managers) g f e d c
In-service training for the use of computer facilities in the public prosecution service g f e d c b
113) Frequency of the training of prosecutors:
| | Annual | Regular |
|---|---|---|
| Initial training | gfedcb | gfedc |
| General in-service training | gfedc | gfedc |
| Specialised in-service training | gfedc | gfedc |
| In-service training for management functions of the prosecution services | gfedc | gfedc |
| In-service training for the use of computer facilities in the public prosecution service | gfedc | gfedc |
You can indicate below:
- any useful comments for interpreting the data mentioned above
- comments regarding the attention given to the curricula to the European Convention on Human Rights and the case law of the Court
- the characteristics of your training system for judges and prosecutors and the main reforms that have been implemented over the last two years
5. 2. Practice of the profession
5. 2. 1. Salaries
114) Salaries of judges and prosecutors (complete the table)
| | Gross annual salary (euro) |
|---|---|
| First instance professional judge at the beginning of his/her career | 33226 |
| Judge of the Supreme Court or the Highest Appellate Court | 73716 |
| Public prosecutor at the beginning of his/her career | 33226 |
| Public prosecutor of the Supreme Court or the Highest Appellate Instance | 73716 |
115) Do judges and public prosecutors have additional benefits?
| | Judges |
|---|---|
| Reduced taxation | gfedc |
| Special pension | gfedc |
| Housing | gfedc |
| Other financial benefit | gfedc |
116) If other financial benefit, please specify:
117) Can judges combine their work with any of the following other professions?
| | Yes with remuneration | Yes without remuneration |
|---|---|---|
| Teaching | gfedc | gfedc |
| Research and publication | gfedcb | gfedcb |
| Arbitrator | gfedcb | gfedcb |
| Consultant | gfedc | gfedc |
| Cultural function | gfedcb | gfedcb |
| Other function | gfedc | gfedc |
118) If other function, please specify:
119) Can prosecutors combine their work with any of the following other professions?
| | Yes with remuneration | Yes without remuneration |
|---|---|---|
| Teaching | gfedc | gfedc |
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| Arbitrator | gfedcb | gfedcb |
|---|---|---|
| Consultant | gfedc | gfedc |
| Cultural function | gfedcb | gfedcb |
120) If other function, please specify:
121) Do judges receive bonus based on the fulfilment of quantitative objectives relating to the delivering of judgments?
Yes n m l k j
No n m l k j i
If yes, please specify:
Please indicate the source for the question 114
5. 2. 2. Disciplinary procedures
122) Which authority is authorized to initiate disciplinary proceedings against judges and/or prosecutors? Please specify:
THE HEAD OF THE COURT OF APPEAL AND THE HEAD OF THE PROSECUTION OFFICE OF THE COURT OF APPEAL.
With regard to Q122, we would like our answer to be completed as follows: the competent authorities to initiate disciplinary proceedings against judges and/or prosecutors are:
- the Minister of Justice for all judges
- the Prosecutor of Cassation Court (High Court) and the Chief Inspector for all Judges and Prosecutors of civil and penal courts, except the members of Cassation Court
- the Chairmen of Courts of Appeal for judges under their authority
- the Prosecutors of Courts of Appeal for prosecutors under their authority
- the younger vice-president of the Council of State (High Administrative Court) for judges of administrative courts
123) Which authority has the disciplinary power on judges and prosecutors? Please specify:
THE HIGHEST JUDICIAL COUNCIL.
Finally, concerning Q123, we would like our answer to be corrected as follows: the disciplinary jurisdiction is exercised by courts and disciplinary councils. Art. 91 of the Constitution provides for the High Disciplinary Council which is competent for high- ranking judges and prosecutors' disciplinary procedure http://www.cepej.coe.int/EvaluationGrid/WebForms/PrintEvaluation.aspx?idevaluation=2&idcountry=1...
03/09/2008
124) Types of disciplinary proceedings and sanctions against judges and prosecutors: number of disciplinary proceedings initiated
125) Types of disciplinary proceedings and sanctions against judges and prosecutors: number of sanctions pronounced
| | Judges |
|---|---|
| Total number (total 1 to 9) | |
| 1. Reprimand | 14 |
| 2. Suspension | 8 |
| 3. Withdrawal of cases | |
| 4. Fine | 29 |
| 5. Temporary reduction of salary | |
| 6. Degradation of post | |
| 7. Transfer to another geographical (court) location | |
| 8. Dismissal | 6 |
| 9. Other | 14 |
You can indicate below:
- any useful comments for interpreting the data mentioned above
- the characteristics of your system concerning disciplinary procedures for judges and prosecutors and the main reforms that have been implemented over the last two years
6. Lawyers
6. 1. Statute of the profession
6. 1. 1. Profession
126) Total number of lawyers practising in your country
Yes n m l k j
No n m l k j i
about 38.000
127) Does this figure include legal advisors (solicitors or in-house counsellor) who cannot represent their clients in court?
128) Number of legal advisors?
129) Do lawyers have a monopoly of representation:
Civil cases* g f e d c b
Criminal cases - Defendant* g f e d c b
Criminal cases - Victim* g f e d c b
Administrative cases* g f e d c b
* If appropriate, please specify if it concerns first instance and appeal. And in case there is no monopoly, please specify the organisations or persons which may represent a client before a court (for example a NGO, family member, trade union, etc) and for which types of cases.
IT CONCERNS FIRST INSTANCE AND APPEAL.
130) Is the lawyer profession organised through:
a national Bar? g f e d c
a regional Bar? g f e d c
a local Bar? g f e d c b
Please specify:
LOCAL BARS IN GREECE.
6. 1. 2. Training
6. 1. 3. Fees
Please indicate the source for the question 126
131) Is there a specific initial training and/or examination to enter the profession of lawyer?
Yes n m l k j i
No n m l k j
132) Is there a mandatory general system for lawyers requiring continuing professional training?
Yes n m l k j
No n m l k j i
133) Is the specialisation in some legal fields tied with a specific level of training/ qualification/ specific diploma or specific authorisations?
Yes n m l k j
No n m l k j i
If yes, please specify:
134) Can users establish easily what the lawyers' fees will be?
Yes n m l k j
No n m l k j i
135) Are lawyers fees:
6. 2. Evaluation
6. 2. 1. Complaints and sanctions
regulated by law? g f e d c b
regulated by the Bar association? g f e d c
freely negotiated? g f e d c
136) Have quality standards been formulated for lawyers?
Yes n m l k j
No n m l k j i
137) If yes, who is responsible for formulating these quality standards:
the Bar association? g f e d c
the legislature? g f e d c
other? g f e d c
Please specify (including a description of the quality criteria used):
138) Is it possible to complain about :
the performance of lawyers? g f e d c
the amount of fees? g f e d c
Please specify:
139) Which authority is responsible for disciplinary procedures:
the judge? g f e d c
the Ministry of Justice? g f e d c
a professional authority or other? g f e d c b
Please specify:
THE BAR ASSOCIATION.
140) Disciplinary proceedings and sanctions against lawyers: Disciplinary proceedings initiated
| | Breach of professional ethics | Professional inadequacy | Criminal offence |
|---|---|---|---|
| Annual number | 364 | 0 | 64 |
141) Disciplinary proceedings and sanctions against lawyers: Sanctions pronounced
Reprimand
Suspension
Removal
Annual number
12
70
2
12
You can indicate below:
- any useful comments for interpreting the data mentioned above
- the characteristics of your system concerning the organisation of the Bar and the main reforms that have been implemented over the last two years
http://www.cepej.coe.int/EvaluationGrid/WebForms/PrintEvaluation.aspx?idevaluation=2&idcountry=1... 03/09/2008
Fine
Other
7. Alternative Dispute Resolution
7. 1. Mediation and other forms of ADR
7. 1. 1. Mediation
142) If appropriate, please specify, by type of cases, the organisation of judicial mediation:
| | Possibility of private mediation or court annexed mediation | Private mediator | Public authority | Judge |
|---|---|---|---|---|
| Civil and commercial cases | gfedc | gfedcb | gfedc | gfedc |
| Family law cases (ex. Divorce) | gfedc | gfedcb | gfedc | gfedc |
| Administrative cases | gfedc | gfedc | gfedc | gfedc |
| Employment dismissals | gfedc | gfedc | gfedc | gfedc |
| Criminal cases | gfedc | gfedc | gfedc | gfedc |
143) Is there a possibility to receive legal aid for mediation procedures?
Yes n m l k j i
No n m l k j
If yes, please specify:
144) Can you provide information about the number of accredited mediators?
Yes n m l k j
No n m l k j i
If yes, please provide the number of mediators:
145) Can you provide information about the total number of judicial mediation procedures concerning:
civil cases?
yes, g f e d c
number:
family cases?
yes, g f e d c
number:
administrative cases?
yes, g f e d c
number:
Print Evaluation employment dismissals?
g
yes,
gfedc
number:
criminal cases?
yes,
gfedc
7. 1. 2. Other forms of alternative dispute resolution
number:
Please indicate the source for the question 145
146) Can you give information concerning other forms of alternative dispute resolution (e.g. Arbitration, conciliation)? Please specify:
THERE ARE FEW CASES OF DISPUTE RESOLUTION, SUCH AS ARBITRATION.
You can indicate below:
- any useful comments for interpreting the data mentioned above
- the characteristics of your system concerning ADR and the main reforms that have been implemented over the last two years
A JUDGE CAN BE AN ARBITRATOR.
8. Enforcement of court decisions
8. 1. Execution of decisions in civil matters
8. 1. 1. Functioning
147) Number of enforcement agents
2119
Yes n m l k j
n
148) Are enforcement agents:
judges? g f e d c
bailiff practising as private profession ruled by public authorities? g f e d c b
bailiff working in a public institution? g f e d c b
other enforcement agents? g f e d c
Please specify their status:
COURT DECISIONS ARE ENFORCED BY COURT BAILIFF AND POLICE, AS WELL AS PUBLIC NOTARIES. ESPECIALLY FOR PUBLIC AUCTION AFTER SEIZURE, NOTARIES ARE RESPONSIBLE FOR THE ENFORCEMENT.
149) Is there a specific initial training or examination to enter the profession of enforcement agent?
No
150) Is the profession of enforcement agent organised by?
a national body? g f e d c b
a regional body? g f e d c
a local body? g f e d c
151) Can users establish easily what the fees of the enforcement agents will be?
nmlkji
Yes n m l k j
No n m l k j i
152) Are enforcement fees:
regulated by law? g f e d c b
freely negotiated? g f e d c
8. 1. 2. Supervision
Please indicate the source for the question 147
MINISTRY OF JUSTICE.
153) Is there a body entrusted with the supervision and the control of the enforcement agents?
Yes n m l k j i
No n m l k j
154) Which authority is responsible for the supervision and the control of enforcement agents:
a professional body? g f e d c
the judge? g f e d c
the Ministry of Justice? g f e d c b
the prosecutor? g f e d c
other? g f e d c
Please specify:
155) Have quality standards been formulated for enforcement agents?
Yes n m l k j
No n m l k j i
If yes, who is responsible for formulating these quality standards and what are the quality criteria used?
Yes n m l k j i
No n m l k j
other? g f e d c
8. 1. 3. Complaints and sanctions
156) Do you have a specific mechanism for executing court decisions rendered against public authorities, including for monitoring the execution?
If yes, please specify:
ACC. TO ART.2 OF LAW 3068/2002 'THE COMPETENCE FOR TAKING THE MEASURES PROVIDED FOR IN ART. 3 OF THE PRESENT LAW, FOR THE COMPLIANCE OF THE PUBLIC ADMINISTRATION WITH JUDICIAL DECISIONS IS GRANTED TO A THREE MEMBER COUNCIL:A) TO THE SPECIAL HIGHEST COURT FOR ITS DECISIONS, B)TO THE COUNCIL OF STATE FOR ITS DECISIONS AS WELL AS FOR DECISIONS OF THE ORDINARY ADMINISTRATIVE COURTS AND ANY OTHER SPECIAL COURT, C)THE SUPREME COURT, FOR DECISIONS OF THE CIVIL AND CRIMINAL COURTS OF ALL DEGREES AND D) THE COURT OF AUDITORS FOR ITS DECISIONS.
Please indicate the sources for the questions 155 and 156
157) What are the main complaints of users concerning the enforcement procedure? (please indicate a maximum of 3)
no execution at all? g f e d c
non execution of court decisions against public authorities? g f e d c
lack of information? g f e d c
excessive length? g f e d c b
unlawful practices? g f e d c
insufficient supervision? g f e d c
excessive cost? g f e d c b
Please specify:
158) Has your country prepared or has established concrete measures to change the situation concerning the enforcement of court decisions – in particular as regards decisions against public authorities?
Yes n m l k j i
No n m l k j
gfedc
Other
If yes, please specify:
WITH LAW 3068/2002 ON THE COMPLIANCE OF THE PUBLIC ADMINISTRATION WITH JUDICIAL DECISIONS, COMPULSORY ENFORCEMENT AGAINST THE PUBLIC SECTOR IS PROVIDED FOR, AS WELL AS A FINANCIAL PENALTY AGAINST AN AUTHORITY, TO THE BENEFIT OF THE INDIVIDUAL FOR NON ENFORCEMENT OR INEFFICIENT ENFORCEMENT OF JUDICIAL DECISIONS.
159) Is there a system measuring the timeframes of the enforcement of decisions:
for civil cases? g f e d c
for administrative cases? g f e d c
160) As regards a decision on debts collection, can you estimate the average timeframe to notify the decision to the parties which live in the city where the court seats:
between 1 and 5 days g f e d c
between 6 and 10 days g f e d c
between 11 and 30 days
more g f e d c b
Please specify:
MORE THAN 30 DAYS
161) Disciplinary proceedings initiated against enforcement agents:
Breach of professional ethics
yes, g f e d c b
number:
Professional inadequacy
yes, g f e d c b
number:
Criminal offence
yes, g f e d c b
number:
yes, g f e d c
number:
162) Sanctions pronounced against enforcement agents:
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Reprimand
yes, g f e d c b
number:
Suspension
yes, g f e d c b
number:
Dismissal
yes, g f e d c b
number:
TWO
Fine
yes, number: g f e d c b
Other
yes,
number:
gfedc
Yes n m l k j i
No n m l k j
Yes n m l k j
n
8. 2. Execution of decisions in criminal matters
8. 2. 1. Functioning
number:
Dismissal
yes, g f e d c b
number:
TWO
yes, number: g f e d c b
yes,
number:
gfedc
You can indicate below:
- any useful comments for interpreting the data mentioned above
- the characteristics of your enforcement system of decisions in civil matters and the main reforms that have been implemented over the last two years
Please indicate the sources for the questions 157 and 160
163) Is there a judge who is in charge of the enforcement of judgments?
If yes, please specify his/her functions and activities (e.g. Initiative or control functions). If no, please specify which authority is entrusted with the enforcement of judgements (e.g. prosecutor).
THE SAME ANSWER AS IN QUESTION 156. THE THREE MEMBER COUNCIL CAN APPOINT A JUDGE AT THE COURT OF APPEAL WHO IS AUTHORIZED TO FORMULATE EX OFFICIO OPINIONS AND TO PROVIDE THE NECESSARY ASSISTANCE WITH REGARD TO THE ADVISABLE COMPLIANCE WITH THE DECISION, TO THE AUTHORITY WITH THE OBLIGATION TO COMPLY (ART.3 PAR. 2 OF LAW 3068/02).
164) As regards fines decided by a criminal court, are there studies to evaluate the effective recovery rate?
No
If yes, please specify:
nmlkji
You can indicate below:
- any useful comments for interpreting the data mentioned above
- the characteristics of your enforcement system of decisions in criminal matters and the main reforms that have been implemented over the last two years
9. Notaries
9. 1. Statute
9. 1. 1. Functioning
9. 1. 2. Supervision
165) Do you have notaries in your country? If no, go to question 170.
Yes n m l k j i
No n m l k j
166) Is the status of notaries:
a private one (without control from public authorities)?
yes,
number:
gfedc
a status of private worker ruled by the public authorities?
yes, g f e d c b
number:
A NOTARY IS APPOINTED AS UNPAID PUBLIC CLERK
a public one?
yes,
number:
gfedc
other?
yes, g f e d c
number and specify:
167) Do notaries have duties:
within the framework of civil procedure? g f e d c b
in the field of legal advice? g f e d c b
to authenticate legal deeds? g f e d c b
other? g f e d c b
Please specify:
NOTARIES HAVE DUTIES IN THE FIELD OF LEGAL ADVICE ONLY WITHIN THEIR EXCLUSIVE COMPETENCIES, THEY CAN AUTHENTICATE LEGAL DEEDS ONLY IN THE CASES DEFINED BY LAW. OTHER DUTIES INCLUDE ESTABLISHMENT OF SA AND COMPANY OF LIMITED RESPONSIBILITY AND PROCEDURE OF COMPULSORY AUCTIONS.
Please indicacte the source for the question 166
MINISTRY OF JUSTICE.
168) Is there an authority entrusted with the supervision and the control of the notaries?
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Yes n m l k j i
No n m l k j
169) Which authority is responsible for the supervision and the control of the notaries:
a professional body? g f e d c
the judge? g f e d c
the Ministry of Justice? g f e d c
the prosecutor? g f e d c b
other? g f e d c
Please specify:
You can indicate below:
- any useful comments for interpreting the data mentioned above
- the characteristics of your system of notaries and the main reforms that have been implemented over the last two years
10. Functioning of justice
10. 1. Foreseen reforms
10. 1. 1. Reforms
170) Can you provide information on the current debate in your country regarding the functioning of justice? Are there reforms foreseen? (for example changes in legislation, changes in the structure of the judiciary, innovation programmes, etc). If yes, please specify.
1. PROFESSIONAL EDUCATION OF NEW FUNCTIONARIES ENTERING THE BODY AND LIFE TIME EDUCATION FOR JUDGES AND PROSECUTORS.
2. ESTABLISHMENT OF A DATABASE IN COURTS WITH A RECORD OF JUDICIAL DECISIONS.
3. SPECIFIC EDUCATION OF JUDGES AND PROSECUTORS. THE TRAINING OF JUDGES AND PROSECUTORS INCLUDES THE INTRODUCTION OF COURSES, CONCERNING TRAFFICKING IN HUMAN BEINGS IN THE CURRICULUM OF THE NATIONAL SCHOOL OF JUDGES AND THE ORGANIZATION OF TRAINING SEMINARS FOR THEM, WHICH ARE HELD EVERY YEAR IN KOMOTINI, NORTHERN GREECE.
4. A DRAFT LAW HAS BEEN PREPARED BY THE MINISTRY OF JUSTICE ON THE ACCELERATION OF THE ADMINISTRATIVE TRIAL.
|
Briefly Stated
Hepatitis C hospitalization costs trump original estimates
By Pamela Rasada R.N., P.H.N.
Senior Policy Analyst cost estimates CRB reported in 2008 for direct and indirect healthcare expenses related to HCV.
June 2009
This brief reports on actual, direct costs of HCV-related hospitalizations based on as-yet unpublished data from the California Department of Public Health (CDPH) Immunization Branch. Additionally, we identify several low- or no-cost policy options that policymakers may wish to consider to better address this public health issue.
The CDPH data report $1.6 billion in HCVrelated hospitalization direct costs in California during 2007 (Winter), nearly double the highest
UPDATE
In July 2008, the California Research Bureau reported estimated direct and indirect healthcare costs of Hepatitis C (HCV) in California, at $49.8 million to $888.1 million per year.
For more information please see: Rasada, Pamela. Hepatitis C: Public Policy Implications of a Silent Virus, California State
Library, California Research Bureau, CRB 08-009, July 2008. Available online at: http://www.library.ca.gov/crb/08/08-009.pdf
These new figures exclude many indirect costs, such as time off from work for physician visits. Further, they exclude certain high-cost treatment protocols and most costs from Kaiser Permanente (which serves more than six million Californians), California military hospitals and Veterans Affairs Hospitals (which care for over 30,000 HCV-positive veterans and servicemembers in California); none of whom report inpatient cost data to the state (Winter).
Why Is This Important?
HCV is the most common blood-borne viral infection, the tenth leading cause of death among adults, and the fourth leading cause of premature death from infectious disease (CDC, 2001; NIH; Wise). HCV-related deaths in California more than doubled in one decade, rising to 1,155 in 2004 from 503 in 1995 (Wise).
Infected individuals often exhibit no signs or symptoms until cirrhosis has developed (CDC, 2001). As we noted in our 2008 report, "The presence of cirrhosis significantly increases an individual's risk for advancing to end-stage liver disease, developing liver cancer…, and /or requiring a liver transplant" (Rasada).
Extrapolating from national figures, some
Despite primary prevention efforts to educate the public about hepatitis C, the most prevalent blood-borne human disease in the world today, most Americans remain unaware of their infection status. Widespread screening programs established to identify those at risk have been slow to emerge and difficult to implement, especially when compared to the nations rapid response to the HIV/AIDS epidemic.
~ Instone, et al., Lessons Learned About Barriers to Hepatitis C Testing
600,000 Californians are HCV-positive, with 5,000 new infections annually (Edlin, et al.; DHCS; Kaiser). According to the CDC, most HCV-positive individuals are unaware they are infected (CDC, N.d.). For this reason, and because progression of HCV to end-stage liver disease has been shown to be directly related to lifestyle choices; educating infected individuals about simple strategies to slow disease progression are key components to promoting good health among HCV-positive individuals and slowing the increase in HCV- and HBVrelated costs.
Select Populations at Increased Risk
Emerging evidence suggests that HCV transmission through sexual activity is occurring among men who have sex with men, particularly for HIV-positive men. People with HIV who contract HCV are at risk for rapid progression to liver disease (Danta, et al.).
Exposure to HBV and HCV in healthcare settings may be more common than previously thought. Recent media coverage of HCV outbreaks at an endoscopy clinic in Nevada and similar outbreaks elsewhere raise concerns about compliance with standard precautions and infection control protocols (Thompson).
Evidence also suggests that HCV transmission may occur at high rates in settings where tattoos, piercings, and other body modification procedures are practiced without properly sterilized equipment. The sharing of body jewelry has also been shown to be a risk factor for transmission (Daniel and Sheha; Haley and Fischer, 2001, 2003).
What Options Does California Have?
The federal government funds an Adult Viral Hepatitis Prevention Coordinator for every state, but provides little for HCV prevention programs. The appropriation of additional funding may be challenging at best with federal and state budgets stretched thin. Below are some options for low- to no-cost interventions that policymakers may wish to consider:
Syringe Exchange Program (SEP) Statewide Authorization: SEPs provide sterile syringes, social service referrals, and linkages to drug treatment for injection drugs users who are at elevated risk for infection.
In California, SEPs and over-the-counter sales of syringes at pharmacies are countylevel programs authorized under SB 1159 (Vasconcellos, Chapter 608, Statutes of 2004). Some counties lack these programs. Additionally, criminalization of drug paraphernalia possession prevents people who use drugs from accessing syringe programs due to fear of arrest, limiting these programs' public health impact (Goldberg).
We found widespread expert agreement that statewide authorization of SEPs and overthe-counter pharmacy syringe sales would improve syringe access without requiring new public spending. Additionally, removing syringes from the list of illegal paraphernalia and deregulating syringe sales entirely could enhance the effectiveness of syringe access programs (CHI). The expiration in 2010 of over-the-counter pharmacy syringe sales authorized under SB 1159 raises an opportunity for revisiting syringe-access policies and
finding ways to eliminate these barriers.
SEPs have been shown to sharply reduce needle sharing, street purchase of syringes, and police incidents of needle sticks (Groseclose, Martinez). The CRB has found no credible evidence that SEPs lead to increases in crime, improper disposal of syringes or initiation of drug use.
Despite support for SEP programs from such figures as former Health and Human Services Secretary Donna Shalala and former Surgeon General David Satcher, a federal policy prohibiting the use of federal money for SEPs remains in effect. California policymakers may wish to encourage Congress to lift this moratorium on the use of federal funds for SEPs in order to benefit from the use of federal dollars in expanding the programs (Martinez).
Enforcement of Existing Standards:
California implemented legislation in 1997 (AB 186, Brown, Chapter 742, Statutes of 1997) requiring the California Conference of Local Health Officers (CCLHO) to establish sterilization, sanitation, and safety standards for persons engaged in the business of tattooing, body piercing, or permanent cosmetics. On June 30, 1998, CCLHO submitted the finalized standards to CDPH (then the California Department of Health Services), who in turn disseminated them statewide. According to a CDPH memorandum dated June 10, 2008, some county counsels have expressed concern regarding the enforceability of the standards in the absence of a local ordinance. The memorandum notes that there are no barriers to enforcement of the standards at the local level. It is unclear what level of enforcement, if any, is occurring (Baldridge). CDPH could work with local governments to determine low- and no-cost ways of ensuring the standards are being implemented in local establishments.
Enhance Outreach Through Creative
Utilization of Existing Resources: Preventing disease progression, and transmission, through education of the general public, and outreach to at-risk groups, is key to reducing HCV- and HBV-related healthcare costs.
The Governor and Agency Secretaries, as their powers allow, could encourage at-risk adult service programs to collaborate. Working together, these programs would better deliver HBV/HCV-related services. Further, when state agencies (such as CDPH, California Department of Healthcare Services, California Department of Drug and Alcohol Programs, California Department of Mental Health, and the California Department of Corrections and Rehabilitation) work together in ways such as cross-training staff, the expanded knowledgebase will help local programs better educate the public about hepatitis B and hepatitis C.
Bibliography
Baldridge, Peter. Memorandum to Public Health Law Workgroup, Enforcement of Tattoo Safety Standards Established by CCLHO, June 10, 2008.
United States Centers for Disease Control and Prevention (CDC). National Hepatitis C Prevention Strategy 2001. Atlanta, GA: The Department, Spring 2001.
United States Centers for Disease Control and Prevention (CDC). Get Tested for Hepatitis C Brochure. N.d. http://www.cdc.gov/ncidod/diseases/hepatitis/resource/PDFs/lbtinfo.pdf (accessed June 17, 2008).
United States Centers for Disease Control and Prevention (CDC). Recommendations for Prevention and Control of Hepatitis C Virus (HCV) Infection and HCV-Related Chronic Disease. In MMWR Weekly, October 16, 1998/47(RR19); 1-39. Atlanta, GA: The Department.
Center for Health Improvement (CHI). "Policy Brief: Syringe Exchange in California: Policy, Programs, and Progress." Center for Health Improvement, August 2007.
Daniel, A. Rebecca and Thomas Sheha. "Transmission of Hepatitis C Through Swapping Body Jewelry." Pediatrics. Vol. 116, pp. 1264-65. 2005.
Danta, Mark, et al. "Recent Epidemic of Acute Hepatitis C Virus in HIV-Positive Men Who Have Sex With Men
California Research Bureau ♦ 900 N Street, Suite 300 ♦ Sacramento, CA 95814 ♦ (916) 651-2743 ♦ http://www.library.ca.gov/crb
Linked to High-Risk Sexual Behaviors," AIDS. Vol. 21, No. 8. 2007.
California Department of Health Care Services (DHCS). The Hepatitis C Strategic Plan: A Collaborative Approach to the Emerging Epidemic in California. Berkeley: The Department, 2001.
Edlin, Brian; Marla Shu and Yolanda Barron-Vaya. Center for the Study of Hepatitis C, Weill Medical College of Cornell University. Presentation of study abstract regarding HCV Prevalence, American Association For the Study of Liver Diseases Conference, November 2005 in San Francisco, CA. www.natap.org/2005/AASLD/aasld_49.htm (accessed March 24, 2005).
Goldberg, Lina. "Legal Issues Surrounding Syringe Exchange Programs," The Knol, Internet Document, May 15, 2009. http://knol.google.com/k/lina/legal-issues-surrounding-syringe/18lnh961rb830/6?domain=knol.google. com&locale=en#.
Groseclose, S.L., B. Weinstein, T.S. Jones, et al. "Impact of Access to Needles and Syringes on Practices of Injection Drug Users and Police Officers – Connecticut, 1992-1993." Journal of Acquired Immune Deficiency Syndromes and Human Retrovirology. Vol. 10, pp. 82-89. 1995.
Haley, Robert and Paul Fischer, "Commercial Tattooing as a Potentially Important Source of Hepatitis C Infection Clinical Epidemiology of 626 Consecutive Patients Unaware of Their Hepatitis C Serologic Status." Medicine. Vol. 80, No. 2, pp. 134-51. March 2001.
Haley, Robert W., and R. Paul Fischer. "The Tattooing Paradox, Are Studies of Acute Hepatitis Adequate to Identify Routes of Transmission of Subclinical Hepatitis C Infection?" Archives of Internal Medicine. Vol. 163, pp. 1095-98. May 12, 2003.
Hayes, MO and GA Harkness. "Body piercing as a Risk Factor for Viral Hepatitis: An Integrative Research Review," American Journal of Infection Control. Vol. 29, pp. 271-274. 2001.
Henry J. Kaiser Family Foundation (Kaiser). "HIV/AIDS Policy Fact Sheet, The HIV/AIDS Epidemic in the United States," The Foundation, July 2007.
(HCAP) Hepatitis C Appropriations Partnership. Action Alert, Urge Your Members of Congress to Fund Hepatitis C in their Appropriations Programmatic Request Letters, The Partnership.
http://www.hcvadvocate.org/community/Alert_feb7_08.htm.
Instone, Susan L., Tari L. Gilbert and Mary Rose Mueller. "Lessons Learned About Barriers to Hepatitis C Testing: Implications for Policy," Policy, Politics, & Nursing Practice. Vol. 4, No. 4, pp. 288-294. November 2003.
Jesse, Ann. "Testimony of Ann Jesse for the National Hepatitis C Advocacy Council." Before the Committee on Government Reform, U.S. House of Representatives. December 14, 2004.
Martinez, Joanna Berton. Narrative: Science-Based Literature on Syringe Exchange Programs (SEPs), 1996-2007. http://www.harmreduction.org/downloads/SEP%20Lit%20Review.doc (accessed May 19, 2009).
McLean, Rachel. Personal communication, May 15, 2009.
National Institutes of Health (NIH). Management of Hepatitis C: 2002 Consensus Conference Statement.
http://consensus.nih.gov/2002/2002HepatitisC2002116html.htm (accessed March 3, 2006).
Rasada, Pamela. Hepatitis C: Public Policy Implications of a Silent Virus, California State Library, California Research Bureau, CRB 08-009, July 2008.
Ross, Alessandra. California Department of Public Health staff, Personal communication, April 13, 2009.
Thompson, Nicola D. et al. "Nonhospital Health Care-Associated Hepatitis B and C Virus Transmission: United States, 1998-2008." Annals of Internal Medicine. Vol. 150, pp. 33-39, 2009.
Winter, Kathleen. "HBV and HCV hospitalization data", Personal communication, April 16, 2009.
Wise, Matthew. et al. "Changing Trends in Hepatitis C – Related Mortality in the United States, 1995-2004,"
Hepatology, Vol. 47, No. 4, pp. 1128-35, April 2008.
Wise, Matthew, University of California Los Angeles, unpublished data, N.d.
Wong, John B.; Geraldine M. McQuillan, John G. Mchutchinson and Thierry Poynard. "Estimating Future Hepatitis C Morbidity, Mortality, and Costs in the United States." American Journal of Public Health. Vol. 90, No. 10, pp. 15621568. October 2000.
|
From:
Hill, Janice on behalf of Sterling, David
To:
McFarlane, Iain
Cc:
Cooper, Trevor; Coyne, Terence
Subject:
HPRM: FW: Policy Group - Six Monthly Assurance Statement
Date:
08 November 2012 16:08:47
Attachments: Policy Group Composite Statement Sept 2012.DOC
Policy Group Composite Checklist for Sept 2012.DOC
Please see attached for advice and draft reply.
Many thanks
Janice
Janice Hill
Permanent Secretary's Office
Department of Enterprise, Trade & Investment
Netherleigh
Massey Avenue
Belfast, BT4 2JP
Tel: 028 9052 9441 (ext: 29441)
Textphone: 028 9052 9304
Web: www.detini.gov.uk
The new website for the European Sustainable Competitiveness Programme for NI is now available - visit www.eucompni.gov.uk
All e-mails and attachments issued by the Permanent Secretary's Office must be filed appropriately by the responsible business area. The Permanent Secretary's office does not keep official records of such correspondence.
www.ni2012.com
Please consider the environment - do you really need to print this e-mail?
_____________________________________________
From: Johnston, Iris
Sent: 08 November 2012 15:30
To: Hill, Janice
Cc: Coyne, Terence; McAvera, Gerry; Johnston, Iris
Subject: FW: Policy Group - Six Monthly Assurance Statement
Please see attached Six Monthly Assurance Statement from David Thomson on behalf of Policy Group.
Many thanks
Iris
Iris Johnston
Personal Secretary to David Thomson
Department of Enterprise, Trade & Investment
Netherleigh
Massey Avenue
Belfast, BT4 2JP
Tel: 028 9052 9204 (ext: 29204)
Textphone: 028 9052 9304
Web: www.detini.gov.uk
The new website for the European Sustainable Competitiveness Programme for NI is now available - visit www.eucompni.gov.uk
All e-mails and attachments issued by the Deputy Secretary's Office must be filed appropriately by the responsible business area. The Deputy Secretary's office does not keep official records of such correspondence.
www.ni2012.com
Please consider the environment - do you really need to print this e-mail?
Department of Enterprise, Trade and Investment: Six Monthly Assurance Statement on the System of Internal Control - Period Ended 30 September 2012
Scope of Responsibility
1. As the Senior Civil Servant responsible for Policy Group, I have responsibility for maintaining a sound system of internal control that supports the achievement of the Department of Enterprise, Trade and Investment's policies, aims and objectives, whilst safeguarding the public funds and Departmental assets for which I am responsible.
The Purpose of the System of Internal Control
2. The system of internal control is designed to manage risk to a reasonable level rather than eliminate all risk of failure to achieve policies, aims and objectives; it can therefore only provide reasonable and not absolute assurance of effectiveness.
3. The system of internal control is based on an ongoing process designed to identify and prioritise the risks to the achievement of my Group's policies, aims and objectives, to evaluate the likelihood of those risks being realised and the impact should they be realised, and to manage them efficiently, effectively and economically. The system of internal control has been in place for the six months ended 30 September 2012 in the Group for which I am responsible and accords with Department of Finance and Personnel guidance.
Capacity to Handle Risk
4. My Group is carrying out appropriate procedures to ensure that it identifies its objectives and risks and a control strategy has been devised for each of the significant risks. As a result, risk ownership has been allocated to appropriate staff.
The Risk and Control Framework
5. The Departmental Board, of which I am a member, has ensured that procedures are in place for verifying that risk management and internal control are regularly reviewed and reported on. As well as regular reports to the Departmental Board, risk management and internal control are regularly reviewed by the Departmental Audit Committee. Risk management is continually being incorporated into the corporate planning and decision-making processes of my Group.
6. The Departmental Board and Departmental Audit Committee receive periodic reports concerning internal control. The appropriate steps are being taken to manage risks in significant areas of responsibility and monitor progress on key projects.
7. The Department's key objectives and risks are regularly assessed to ensure consistency of treatment.
8. The Department has an Internal Audit Service, which operates to Government Internal Audit Standards. They submit regular reports which include the Head of Internal Audit's independent opinion on the adequacy and effectiveness of the Department's system of internal control together with recommendations for improvement.
Review of Effectiveness
9. As Head of Group I am responsible for reviewing the effectiveness of the system of internal control within my Group. My review of the effectiveness of the system of internal control is informed by the work of the internal auditors and the executive managers within the Department who have responsibility for the development and maintenance of the internal control framework, and comments made by external auditors in their management letters and other reports.
Issues to Note
10.In the following paragraphs I draw your attention to a number of issues that warrant disclosure.
11.In relation to Analytical Support Unit, additional work was undertaken under an existing contract without recourse to CPD. This increased the value of the contract from £66,200 to £74,850. The extension was considered to be a Single Tender Action and retrospective approval was secured from the Accounting Officer in September 2012.
12.In relation to Telecoms, Tourism & GSNI, additional information relating to the Titanic Signature Building was submitted to the Commission in October 2012. The Commission's decision is awaited.
13.A follow up audit of Minerals Branch has been undertaken by IAS. There is ongoing engagement between Branch management and IAS in order to finalise the report. Indications are that the previous "limited" opinion should be revised to "satisfactory".
14.A number of actions were taken following receipt of the final report into the Telecoms project which was in receipt of Interreg IIIA funding.
15.In relation to Energy Division, the Department continues to seek clawback of £198,747 from Craigavon Borough Council as a result of a suspected fraud connected with the tendering process for the installation of renewable energy boilers. A Protective Writ was served on Craigavon Borough Council in November 2011 and the Department continues to receive monthly updates. The Council is pursuing the matter through its insurers but, as yet, no repayment been made.
16.In relation to Emergency Planning, an internal audit report was completed during the period. Although satisfactory, there are a number of issues to be agreed which I intend to bring forward following an interdepartmental meeting being held by OFMDFM later this month.
17.The biggest current risk to achieving the PfG and departmental objectives is staffing constraints. We have discussed these at the Top Management Group but a number of pressures have come to light in recent weeks, including . Personal information relating to an individual unconnected to RHI redacted by the RHI Inquiry
18.Emergency Planning is one of a number of general cross department issues which do not always have an identifiable home, with the risk that something will get overlooked.
19.We continue to review degree of oversight of the NITB and Invest NI and the extent to which we are properly overseeing the obligations which are contained in their respective management statements and financial memoranda.
Significant Internal Control Problems
20.None to report.
Head of Group
Date: 8 November 2012
DEPARTMENT OF ENTERPRISE, TRADE AND INVESTMENT
Checklist for Six Monthly Assurance Statement on Internal Control
Policy Group
This checklist covers the following:
1. Business Planning;
2. Legislative and Other Authorities
3. Business Cases (including Economic Appraisal, Post Project Evaluation and Consultancy);
4. Monitoring of Expenditure;
5. Procurement;
6. Staff (including gifts and hospitality);
7. NDPBs and Third Party Organisations;
8. Internal and External Audit Reports;
9. Data Management; and
10. Other Issues.
Note: If a question is not applicable this should be stated in the comments section.
1 – Business Planning
| 1.1 | | Yes | No | Partly |
|---|---|---|---|---|
| Divisions/Units and Branches within the Group have plans which contain measurable targets against which performance and progress can be measured. | | | | |
Comments:
Energy:
Markets Branches – Gas and Electricity - Electricity Markets – Review of responses to SEM Committee consultation on FUI/SEM integration completed July 2012. Detailed discussions underway with DCENR and RAs on new market design options. Electricity and Gas Markets - Divisional Business Plans agreed for 2011/12, on which progress is formally reported. Fortnightly meetings with Head of Division to report on progress. IME3 Project Implementation Steering Group established with NIAUR and has regular meetings. Energy Co-Ordination Branch
Renewable Electricity Policy & Legislation Branch/Renewable Heat Branch/Sustainable Energy Branch no comment
Divisional Business Plan agreed and progress against targets reported to HoD on a quarterly basis.
TT & GSNI
Telecoms: Corporate and Divisional Plan Targets agreed
Individual projects are managed under the PRINCE2 methodology, with clearly defined milestones and deliverables. Tourism: Tourism Policy Branch Plan in place. All project specific targets in place and monitored on ongoing basis. Minerals: N/A
ASU
The ASU Business Plan for 2012/13, which incorporates work requests from DETI Business Areas, was finalised on 30 May 2012.
EPD
A full Divisional Plan for 2011/12 is in place that all Branches contributed to. This includes all relevant PfG, Corporate and Operating Plan commitments. All targets are measurable and performance against these is formally monitored, quarterly progress measured and any corrective action taken. In addition each Branch in the Division has a more detailed Operating Plan which each HOB monitors.
Business Development Unit has developed a branch operating plan which sets out details of measurable targets for the branch and which is updated on a quarterly basis.
Timely, relevant and reliable reports on progress against targets are produced and reviewed at the appropriate level to ensure that corrective action is taken as required.
Comments:
Energy:
Markets Branches – Gas and Electricity - Joint Steering Group monitors progress on Allisland Energy Market targets and priorities. Project Boards for ISLES and BioMara Interreg IVA projects monitor progress e.g. Isles completed on schedule end 2011, with BioMara now due to complete by end 2012. DETI working with NIAUR, DECC and EC for IME2 compliance.
Energy Co-Ordination Branch
Progress against targets monitored through: Branch Progress meetings with Grade 5 and HOBs; individually with Grade 5; and through Divisional Business Plan and SEF Implementation Plan reporting. Response to EC Reasoned Opinion letters in respect of IME3 for gas and electricity issued via DECC. Awaiting Commission response and progressing outstanding issues in the interim.
Progress against 2012/13 targets to end September currently being compiled. Renewable Electricity Policy & Legislation Branch/Renewable Heat Branch/Sustainable Energy Branch – no comment
TT & GSNI
Telecoms: Risk register formally reviewed and updated on a quarterly basis. In addition, highlight reports are produced on a regular basis for those projects following Prince2 project management for the SRO/ Project Board/s. Furthermore, project management issues logs are updated on weekly/ fortnightly basis as appropriate. Progress on all projects contributing to Programme for Government commitments is input to the ISNI delivery tracking system on a monthly basis. In addition, progress in respect of those projects which are part-funded through the ERDF Competitiveness Programme is reported through System 2007. Tourism: These include Oversight & liaison meetings, Management liaison/performance monitoring meetings, including financial/corporate governance issues. Formal advisory groups eg TAG continue to meet now on a quarterly basis following the opening of the Titanic Signature Building. As the project has moved from the construction phase into the operational phase a new Risk Register will be developed in conjuction with key stakeholders. Minerals: N/A
ASU
Key ASU Objectives are reflected in the DETI Corporate Plan 2012-15, current year's Operating Plan and ASU Risk Register. These are regularly reviewed as part of the performance monitoring and risk management processes.
EPD
As noted above, the Divisional Plan is formally updated and monitored quarterly by HOD (and HOBs), including Corporate and Operating Plan targets. This requires progress to be documented alongside any remedial action that has either been taken or is planned in order to keep targets on schedule. Branch Plans are also formally monitored by HOBs at the same time. In addition HOBs monitor progress on an ongoing basis, and HOD undertakes formal 2weekly work progress meetings with HOBs (and DPs) – any necessary remedial action is discussed and agreed prior to implementation.
Received from DFE on 05.05.2017
Annotated by RHI Inquiry
Yes
No
Divisions within the Group have reviewed their respective responsibilities/entries in the relevant Building-Specific Business Continuity Plan and taken appropriate action to maintain upkeep.
Comments:
Energy:
Markets Branches – Gas and Electricity – no comment Energy Co-Ordination Branch
Renewable Electricity Policy & Legislation Branch/Renewable Heat Branch/Sustainable Energy Branch – no comment no comment
TT & GSNI
Telecoms: Building-specific BCP is reviewed and responsibilities noted.
N/A
Tourism & Minerals:
ASU
Work priorities of the predecessor SPES division are included within the Netherleigh BCP. ASU has provided a Business Impact Analysis questionnaire to assist with updating the Netherleigh BCP and has also developed its own BCP following the DETI reorganisation.
EPD
EPD reviews the Business – Specific BCP and responsibilities are noted and updates made as required. A Netherleigh Business Continuity Steering Committee is being set up to look at how the Business – Specific BCP is regularly reviewed and updated. A representative from EPD will be sitting on this group and will feed back to the Division on a regular basis. Business-specific BCP is reviewed/ updated as necessary.
Received from DFE on 05.05.2017
Annotated by RHI Inquiry
Yes
No
DFE-265841
Partly
Comments:
Energy:
Markets Branches – Gas and Electricity - Work ongoing to ensure new staff are aware of arrangements.
Branch-level BCP updated September 2012. Alan Chowney represents Energy Division on the Netherleigh Business Continuity Group and feeds into validation and testing exercises.
Energy Co-Ordination Branch
Renewable Electricity Policy & Legislation Branch/Renewable Heat Branch/Sustainable Energy Branch – no comment
TT & GSNI
Telecoms: Branch BCP in place and this is reviewed and updated on a regular basis. The BCP was updated in October 2012 to reflect changes in staffing within Unit, stakeholder contacts information with regard to contract changes, decant building arrangements and critical resource considerations in event of requirement to activate plan. Tourism: Tourism Policy Branch BCP updated - 12/06/12. Minerals: N/A
ASU
ASU developed its own BCP following the DETI reorganisation. This is regularly reviewed and also updated with any staff changes.
EPD
Branch BCP's are in place and are reviewed and updated on a regular basis, most recently in November 2011. IPU - Continuity plans were updated in May 2012 to reflect the structure of the branch and new start in February 2012. BDU's BCP was updated in May 2012.
PELU's BCP was reviewed and updated in April 2012.
2 – Legislative and Other Authorities
| 2.1 | Yes | No | Partly |
|---|---|---|---|
| Divisions/Units and Branches within the Group have the necessary legislative authority to undertake functions or activities and to spend money on those functions or activities. | | | |
Comments:
Energy:
Markets Branches – Gas and Electricity - Minister has given approval to put in place legislation to give authority for harmonisation of gas arrangements with ROI under the CAG project.DSO scrutiny of legislation such as IME3 Regulations, and inputs sought from DSO on subsequent IME3 and other legislative issues. Also Ministerial approval obtained for IME3 Regulations. Contract in place for external legal spend. All work order requests subject to HOBs consideration to confirm quotes are reasonable prior to referral to HOD for spend approval
No comment
Energy Co-Ordination Branch
Renewable Electricity Policy & Legislation Branch
Renewable Heat Branch/Sustainable Energy Branch Legislative authority will be required on the Renewable Heat Incentive, and may be required on feed-in tariffs and various legislative actions to support offshore renewables. These will be taken forward in 2012/13. LCM to extend Renewable Heat Incentive powers to Northern Ireland was approved by the Northern Ireland Assembly 14 March 2011. The DECC Energy Bill was then appropriately amended and received Royal Assent on 18/10/11. Subordinate legislation for the implementation of the NI RHI is currently being drafted. New NI Energy Bill will look again at energy objectives and duties for DETI and NIAUR to ensure they align with need for sustainability. Ministerial and Executive approval for an LCM for EMR powers achieved. LCM memorandum drafted. LPS advice sought. Liaison with DECC and DSO in respect of NI clauses on going.
TT & GSNI
Telecoms:Main powers flow from Section 149 of the Communications Act 2003. Tourism:Guidance from and adherence to NI Tourism Order 1992. Staff aware and following Departmental legislation regarding spend etc. Minerals:Legislative Authority is grounded in current NI Minerals & Petroleum legislation.
ASU – no comment
EPD
All branches, where appropriate, have the necessary legislation in place: IPU under the Industrial Development (NI) Order 1982, and in relation to the NI Science Park under the Northern Ireland Science Park Foundation Limited (Funding) Order (NI) 1999. Legislative cover for BDU spend on social economy activity is provided under the Financial Provisions Act 2009.
Divisions/Units and Branches within the Group have obtained necessary DFP approvals for expenditure (where appropriate).
Comments:
Energy:
Markets Branches – Gas and Electricity All necessary approvals (internal & external) obtained for expenditure on tripartite "Isles" Offshore Grid Study for completion by end 2011 and "BioMara" research study for completion end 2012. DFP approval of gas extension Strategic Outline Business Case (SOC) obtained prior to going to OBC stage. DETI Minister's approval obtained to tender via DFP for the Gas Network Extension OBC. DETI Casework approval for submission to DFP re gas subvention funding.
DFP approval secured in respect of new legal contract from 1 April 2011. Renewable Electricity Policy & Legislation Branch/Renewable Heat Branch/Sustainable Energy Branch – no comment
Energy Co-Ordination Branch
TT & GSNI
Telecoms: Procedures followed where required. No DFP approvals were sought in this reporting period. Tourism: N/A. No grants paid by Tourism Policy Branch. Where additional bids for money were sought iro Titanic Signature Building (TSB) the necessary DETI Casework, Finance Branch and DFP guidance was sought and obtained. Minerals :N/A
ASU
No DFP approvals were necessary in the 6 month period being considered
EPD – no comment
Received from DFE on 05.05.2017
Annotated by RHI Inquiry
Yes
No
Divisions/Units and Branches within the Group have obtained necessary Ministerial and / or Casework Committee approval for expenditure.
Yes No
Comments:
Energy:
Energy Co-Ordination Branch
Markets Branches – Gas and Electricity– (see 2.2 above).
Casework Committee/Minister's approval secured in respect of new legal contract from 1 April 2011.
Ministerial and EU approval received in September and August respectively for £65k to appoint external consultants to undertake work to establish a long term vision, to 2050, for energy in Northern Ireland.
Renewable Electricity Policy & Legislation Branch/Renewable Heat Branch/Sustainable Energy Branch - Ministerial and DFP approval received in February 2010 for £85k spend on consultancy on options for future support for renewable electricity generation. EU, Ministerial and DFP approval received in August and September for £80k for consultancy to develop Offshore Renewable Energy Regional Locational Guidance.
All approvals are in place (Casework, Ministerial, DFP and EU State Aid) for the introduction of the Renewable Heat Incentive.
EU State aid approval for the NIRO 2013 order being drafted during this period.
TT & GSNI
Telecoms: Advice sought and procedures followed where required. One project was taken to casework on 11 June 2012 i.e. the 2Mbps Universal Service Commitment project. The project has not yet been submitted for DFP and Ministerial sign-off. Tourism: Advice sought and procedures followed where appropriate. Minerals: N/A
ASU – no comment
EPD
Advice sought and procedures followed when required.
| 3.1 | | Yes | No | Partly |
|---|---|---|---|---|
| Divisions/Units and Branches within the Group produce business cases before committing public funds. Such business cases contain, where appropriate, economic appraisals conducted with proportionate effort in accordance with Departmental guidance. | | | | |
Comments:
Energy:
Markets Branches – Gas and Electricity - Gas Markets - Business Case for Common Arrangements for Gas prepared, based on updated cost benefit analysis by NIAUR and CER– Revised CBA published April 2009. External review by Poyry and ERINI confirmed findings and broad benefits of CBA. Regulators review ongoing implementation costs set against CBA.
Energy Co-Ordination Branch
Strategic Outline Case and Outline Business Case prepared and DETI Casework approval obtained in relation to proposals for subvention funding for gas network extension. Electricity Markets – Approval received for Single Tender Action for procurement of external technical assessment of IME3 Art 9 (9) Limited Disapplication option. Business cases completed and DETI Casework approval obtained for Energy Storage study.
No comment
Business case for approval to appoint external consultants to undertake work to establish a long term vision, to 2050, for energy in Northern Ireland was approved by the Minister on 5 September. Business case for appointing consultants to undertake analysis for a small scale FIT being drafted – for approval in next period.
Renewable Electricity Policy & Legislation Branch/Renewable Heat Branch/Sustainable Energy Branch -
TT & GSNI
Telecoms: Telecoms Branch is aware of this requirement and adheres to the guidance. During the period no business cases were required. Tourism: Business cases reflect Departmental guidance. NITB may ask Tourism Policy Branch for advice. Results reported to ACB on a monthly basis. Independent appraisals carried out ensuring VFM. Minerals:N/A.
ASU
Business cases for the renewal of access to a database of company information (FAME) and for the provision of economic forecasting services have been completed during the period.
The main area of ASU spending relates to the DETI Research Programme 2012-15, which has an overarching business case, approved by David Thomson on 14 May 2012. This covers the individual projects under the research agenda, which do not require separate business cases.
EPD
EPD currently has a number of areas of business to which public funds are committed.
Divisions/Units and Branches within the Group conduct post project evaluations to consider the effectiveness of expenditure. All post project evaluations have been completed on schedule.
Comments:
Energy:
Markets Branches – Gas and Electricity PPEs completed for work on Common Arrangements for Gas CBA by Poyry Consultants and ERINI and on DMD Wayleave contract which ended February 2009. No PPEs due for completion in this period for Electricity Markets Branch. PPE completed on the gas network study in March 2011. A PPE for the Energy Storage Study was completed with technical input from GSNI, after final Energy Storage Study reports received. The gas network extension OBC was completed in mid September 2012 and a PPE on the tender will be completed. PPEs completed for the ERINI study on mutualisation (assumed that the final report will not be received from ERINI – note: final payment to ERINI not made), and for the Energy Efficiency Levy.
No comment
Energy Co-Ordination Branch
Renewable Electricity Policy & Legislation Branch/Renewable Heat Branch/Sustainable
The following PPEs were active during this period:-
Energy Branch -
PPE of 5 outstanding Interreg 3A projects still delayed due to other higher priority work but now underway. PPE on CEPA EMR study delayed due to other higher priority work. PPEs on the offshore Regional Locational Guidance and Appropriate Assessment completed.
TT & GSNI
Telecoms: Telecoms Branch is aware of and follows this requirement. A detailed spreadsheet identifying due dates for completion of all project PPEs has been developed and circulated, and a rolling programme implemented for the completion of PPEs by assigned staff. Tourism: Post-project evaluations conducted as required. PPE's are built into TSB Operator's contract to ensure visitor numbers and trends are captured and evaluated to ensure VFM. This monitoring information is captured and shared with funders. Minerals: PPEs for the Tellus2 project and Deep Geothermal Projects, which ended in March 2011 are in progress
ASU - A PPE for the 2011-12 Subscription to FAME company database was approved by David Thomson on 30 August 2012.
EPD
Branches are aware of the need to undertake post-project evaluations. Mechanisms are in place across the division to ensure that post-project evaluations are carried out once current ongoing projects have come to a conclusion.
Received from DFE on 05.05.2017
Annotated by RHI Inquiry
Yes
No
(Minerals)
TT & GSNI
& Energy &
EPD
Comments:
Divisions/Units and Branches within the Group comply with the Department's guidance on the use of consultants. This includes the completion of business cases in line with the Department's guidance to both justify the use of consultants and to define the scope and outputs of the consultancy exercise.
Energy
Markets Branches – Gas and Electricity Business case and approvals granted to conduct a technical review of secondary fuel stocking requirements to be held by generators. No Business Cases completed in this period for Electricity Markets Branch. Business case for the Single Tender Action for external assessment of the IME3 Limited Disapplication completed and approved. Business case prepared and approved by Minister for tendering of gas extension OBC.
No comment
Energy Co-Ordination Branch
Renewable Electricity Policy & Legislation Branch/Renewable Heat Branch/Sustainable
Business case for appointing consultants to undertake analysis for a small scale FIT being drafted – for approval in next period.
Energy Branch - Business case for approval to appoint external consultants to undertake work to establish a long term vision, to 2050, for energy in Northern Ireland was approved by the Minister on 5 September.
TT & GSNI
Telecoms: Telecoms Branch follows guidance on the use of consultants when appointing consultancy contracts. No business cases were completed by Telecoms Branch during this reporting period in relation to consultancy assignments. Tourism: Proper process undertaken in compliance with DETI guidance. Division not responsible for the direct appointment of consultants/external contractors etc but is involved in the oversight of how such contracts are awarded by third parties involved in the wider Titanic Quarter project. DETI works in an advisory capacity and maintains the role of lead contact in respect of additional works and future planning schemes re public realm. Minerals: N/A
ASU – no comment
EPD
The Division appoints consultants/external contractors in line with guidance and advice is sought, as appropriate, before any activity to procure commences.
4 – Monitoring of Expenditure
| 4.1 | | Yes | No | Partly |
|---|---|---|---|---|
| Divisions/Units and Branches within the Group review financial reports reviewed to monitor expenditure against budget. | | | | |
Comments:
Energy
Markets Branches – Gas and Electricity - Electricity Markets– ISLES and BioMara project spend monitored in conjunction with EU Programmes and SEUPB. Wayleave costs monitored against reports and ongoing caseload. Gas Markets – Claim for significant additional costs by consultant involved in completing the 2010 Gas Network Extension Study resolved, resulting in agreement to pay around 20% of full claim, with full study costs less than next acceptable tender. Legal contract expenditure monitor maintained.
No comment
Energy Co-Ordination Branch
Renewable Electricity Policy & Legislation Branch/Renewable Heat Branch/Sustainable Energy Branch – no comment
TT & GSNI
Telecoms: Monthly exercises undertaken on financial monitoring, reviewing past expenditure and forecasting future requirements. HOD is also updated on spend through monthly Budget reporting exercise. Tourism: Financial monitoring through monthly profiling, monitoring rounds on a quarterly basis.
Minerals: N/A
ASU – no comment
EPD
Finances (DRC and programme expenditure) are monitored on a monthly and quarterly basis. All transactions and profiling/re-profiling are undertaken at this time. Appropriate staff within the Division have been trained on Account NI procedures. IPU - Bi-annually finance checks are carried out on NISP Connect as part of ERDF drawdown.
5 - Procurement
| 5.1 | | Yes | No | Partly |
|---|---|---|---|---|
| All procurement activity by Divisions/Units and Branches within the Group is undertaken in accordance with the procedures in place and by officers with the necessary delegated purchasing authority. | | | | |
Comments:
Energy
Markets Branches – Gas and Electricity - Electricity and Gas Markets – DFP- CPD assistance utilized in tendering for gas extension studies, electricity grid SEA study contract, Energy Efficiency Levy PPE contract and IME3 Act 9 (9) assessment study (no responses received). (See also sections 3.3 and 5.3). Also DFP/CPD utilised for tender for gas extension OBC. All staff familiar with best practice procurement guidance. All PPA/PDPs updated to ensure staff participating in procurement exercises receive mandatory procurement and contract management training.
No comment
Energy Co-Ordination Branch
Renewable Electricity Policy & Legislation Branch/Renewable Heat Branch/Sustainable Energy Branch – no comment
TT & GSNI
Telecoms: Procedures followed in accordance with published guidance There has been one procurement exercise completed in this reporting period – Consultancy support for BDUK 2mbps USC and 3G/4G projects. Tourism: Monitored and completed by admin team, with appropriate authorisation DP/G7. Compliance with procurement policy and where necessary consults with Central Procurement Directorate. No such contracts awarded directly by the Division during the reporting period. Minerals: N/A
ASU – no comment
EPD
The Division fully complies with procurement policy and has worked closely with Central Procurement Directorate to ensure that tendering arrangements are in line with best practice and represent value for money. CPD oversees all procurement activity and sits on all selection panels.
Appropriate arrangements are in place to ensure that all assets within the Group are properly safeguarded and controlled against unauthorised use or disposal.
Comments:
Energy
Markets Branches – Gas and Electricity no comment Energy Co-Ordination Branch
Renewable Electricity Policy & Legislation Branch/Renewable Heat Branch/Sustainable Energy Branch – no comment
No comment
TT & GSNI
Telecoms: Checks are made on branch assets to ensure compliance.
Tourism: DETI own land at Ulster American Folk Park. Rent of £2k paid via BACs on yearly basis. Request for payment, monitoring and retention of receipts carried out by admin team. Branch IT assets database maintained by Corporate Services kept updated. Minerals: N/A
ASU
ASU, by its nature, has minimal physical assets.
EPD
The majority of assets in the Division are IT related and all hardware is listed on the IT Assets database maintained by Corporate Services. Staff are also encouraged to update the Global Address List with details of the IT equipment allocated to them. EPD has participated in the DETI assessment of data security in terms of how information is held and transferred, providing an opportunity to review branch security procedures where necessary.
Received from DFE on 05.05.2017
Annotated by RHI Inquiry
Yes
No
Divisions/Units and Branches within the Group have obtained prior approval from the Accounting Officer for the procurement of consultants by single tender action.
Comments:
Energy
Markets Branches – Gas and Electricity - Electricity Domestic Markets – ERINI study on mutualisation of energy assets and IME3 Art 9(9) technical study – Single Tender Action approval obtained in both cases.
No comment
IME3 Act 9 (9) study was tendered via CPD, and no responses obtained. Energy Co-Ordination Branch
Renewable Electricity Policy & Legislation Branch/Renewable Heat Branch/Sustainable Energy Branch – no comment
TT & GSNI
Telecoms: Telecoms Branch is aware of and adheres to this requirement. During this reporting period a retrospective STA was completed to cover increased costs incurred by a contract extension in December 2011 for legal services in the development of the contract for the successor to the Remote Broadband Services scheme. Tourism: No such contracts have been appointed by Titanic team. Minerals: Not applicable to MAPB for this period.
ASU
Retrospective approval from the Permanent Secretary was sought in relation to a contract with FDI Intelligence where additional work was sought under the contract, without recourse to CPD, which increased the cost from £66,200 to £74,850. The extension was considered to be an STA and retrospective approval was secured in September 2012.
EPD – no comment
Received from DFE on 05.05.2017
Annotated by RHI Inquiry
Yes
No
ASU
6 – Staff
| 6.1 | | Yes | No | Partly |
|---|---|---|---|---|
| (a) Authority, responsibility and accountability within the Group are clearly defined so that decisions are made and actions taken by appropriate people. | | | | |
Comments:
Energy
Markets Branches – Gas and Electricity - All financial approvals completed under delegated limits procedures
No comment
Energy Co-Ordination Branch
Renewable Electricity Policy & Legislation Branch/Renewable Heat Branch/Sustainable Energy Branch – no comment
TT & GSNI
Telecoms: Lines of authority are well defined and understood by staff across the unit. Staff are aware of their responsibilities through updates to PDPs/PPAs, dissemination of relevant information through divisional and staff briefings and corporate electronic messaging systems
Staff Review requested to look at additional areas of work, specifically around
We have appropriate levels of separation in respect of financial procedures (approvals/authorisations/payment) for each project. We also have named personnel for the management of specific project risks. Tourism: Operating Plan/Branch Plan/PPAs, Regular Branch meetings, Regular informal contact Timely completion of annual reports, Lines of authority well defined etc.
Titanic. Minerals: N/A
ASU
No comment
EPD
Personal Performance Agreements/PDPs for 2012/13 are linked to targets in Branch, Divisional and Operating Plans. Lines of authority are well defined and regular Branch and Divisional monitoring of progress against targets ensures responsibility for delivery is further embedded. Regular branch meetings are undertaken, plus HOBs meet collectively with HoD on a regular basis. HoD also has detailed fortnightly work planning meetings with each Branch. PELU 2011/12 performance reviews have been completed.
Guidance and instructions are disseminated to appropriate staff.
Comments:
Energy
Markets Branches – Gas and Electricity no comment Energy Co-Ordination Branch No comment
Branch/Sustainable Energy Branch -
Renewable Electricity Policy & Legislation Branch/Renewable Heat no comment
TT & GSNI
Telecoms:All staff have access to and are competent in accessing departmental IT systems. Issues discussed through regular formal and informal team meetings and briefings. Tourism:Review of procedures manual currently underway. All staff have access to HR Connect; TRIM etc and instructions are conveyed via outlook or in person where appropriate. Minerals:N/A
ASU – no comment
EPD
All staff have access to the e-mail system regarding receipt of instructions. Where necessary any issues are raised and discussed at either the regular Branch/Team or HOB meetings; or in the context of the monthly divisional Team Brief.
Received from DFE on 05.05.2017
Annotated by RHI Inquiry
Yes
No
| | | Yes | No | Partly |
|---|---|---|---|---|
| Staff are adhering to guidance on gifts and hospitality and records are kept of the receipt of gifts and hospitality. Gifts & hospitality registers are complete and up to date. | | | | |
Comments:
Energy
Markets Branches – Gas and Electricity Divisional hospitality register maintained centrally. Electricity Markets - No offers of gifts or hospitality within reporting period. Gas Markets – no offers of hospitality accepted during the reporting period.
Divisional hospitality register controlled centrally and updated on a sixmonthly basis.
Energy Co-Ordination Branch
Renewable Electricity Policy & Legislation Branch/Renewable Heat Branch/Sustainable Energy Branch - no comment
TT & GSNI
Telecoms: Reminders issued regularly to staff asking them to complete the register and to the best of our knowledge staff adhere to the guidance.
Tourism: Gifts and hospitality information/receipts for Branch held on TRIM.
Minerals: N/A
ASU
ASU has its own Gifts and Hospitality register which is maintained regularly.
EPD
A gift/hospitality register is maintained by the Division. It is circulated quarterly and all staff are reminded of their obligations under the guidance. Once the update of the register is completed, the latest position is forwarded to HOD to either note or for any action required.
Line Managers are aware of their responsibilities to actively manage staff attendance and are adhering to and implementing sick absence procedures in a timely manner.
Comments:
Energy
Markets Branches – Gas and Electricity No issues arising in reporting period. All line managers familiar with HR Connect attendance management procedures
No comment
Energy Co-Ordination Branch
Renewable Electricity Policy & Legislation Branch/Renewable Heat Branch/Sustainable Energy Branch - no comment
TT & GSNI
Telecoms: Telecoms Branch line managers are aware of their responsibilities and have been implementing procedures. Tourism: Regular review of HR Connect procedures. Absences recorded by line management as appropriate. Staff aware of Departmental procedures governing good management of staff practice. Attendance register kept updated and HR Connect kept updated etc. Minerals: N/A
ASU – no comment
EPD
All staff are aware of, and are fully implementing, Departmental procedures. Return to work interviews are completed within the necessary timeframes.
Received from DFE on 05.05.2017
Annotated by RHI Inquiry
Yes
No
DFE-265856
Partly
Comments:
Energy
Markets Branches – Gas and Electricity & Energy Co-Ordination Branch
Renewable Electricity Policy & Legislation Branch/Renewable Heat Branch/Sustainable Energy Branch - No comment
N/A
TT & GSNI
Telecoms: Staff within Telecoms Branch are aware of the need for appropriate procedures in relation to the monitoring of NDPBs (but do not currently need to implement them as they do not support any NDPBs) Tourism:Monitoring of NDPBs' adherence to MSFMs is carried out on quarterly and yearly basis and recorded appropriately. This is carried out through quarterly oversight meetings, regular technical meetings and by on site visits. Not applicable for Titanic & 2012 Projects. Minerals: N/A
ASU – N/A
EPD
IPU - Quarterly NISP/DETI liaison meetings are held to ensure compliance. A Memorandum of Understanding is in place with NISP. In addition bi-annual meetings are held between NISP Connect and DETI and progress reports accompany financial checks.
| 7.2 | | Yes | No | Partly |
|---|---|---|---|---|
| From the monitoring performed the Department is satisfied that the NDPBs have been adhering to the requirements of the Financial Memorandum and there are no significant problems. | | | | |
Comments:
Energy
Markets Branches – Gas and Electricity N/A Energy Co-Ordination Branch N/A Renewable Electricity Policy & Legislation Branch/Renewable Heat Branch/Sustainable Energy Branch - no comment
TT & GSNI
Telecoms: See 7.1 Tourism: Branch is satisfied that all relevant information to monitor adherence to the MSFM is forthcoming from NDPBs as and when required. Not applicable for Titanic & 2012 Projects. Minerals - N/A
ASU – N/A
EPD
IPU - Financial checks and Article 13 checks are carried out as per terms of ERDF funding.
Comments:
Departmental procedures are followed in relation to the establishment and operation of External Delivery Organisations (EDOs) / Third Party Organisations (TPOs) that distribute funds on behalf of the Department.
Energy
Markets Branches – Gas and Electricity - Electricity Markets- NIE Limited was put in place as Trustee for the distribution of funds to defray the Energy Efficiency Levy (EEL) in 2004/05 and 2005/06. The Department used the same means to defray the EEL in 2007/08 and as such NIE Limited remained classed as a TPO, with the existing monitoring arrangements continuing where spend occurs. However no further EEL defrayal is planned and a final audit of the account was completed by Ernst and Young for NIE in June 2011. The EEL trust fund account was closed in January 2011.
Renewable Electricity Policy & Legislation Branch/Renewable Heat Branch/Sustainable Energy Branch N/A – Energy Division did not fund any TPOs since April 2011.
Energy Co-Ordination Branch no comment
TT & GSNI
Telecoms:Telecoms Branch is aware of the procedures but do not currently need to implement them as they do not support any EDOs or TPOs. Tourism
- N/A Minerals :
N/A
ASU – N/A
EPD
A contract was awarded to Social Enterprise Northern Ireland (SENI) to design, manage and deliver the Social Economy Work Programme (SEWP) commencing 1 October 2012. Arrangements are being put in place to validate all related expenditure and to monitor all programme activity.
Received from DFE on 05.05.2017
Annotated by RHI Inquiry
Yes
No
DFE-265859
Partly
Comments:
Divisions/Units and Branches within the Group that distribute money via External Delivery Organisations (EDOs) / Third Party Organisations (TPOs) have adequate monitoring systems in place.
Energy
Markets Branches – Gas and Electricity - Electricity Markets - Contract awarded in March 2010 for completion of Energy Efficiency levy PPEs and work was completed in May 2010. A final audit of the remaining amount in the account was completed by Ernst and Young for NIE in June 2011.
Renewable Electricity Policy & Legislation Branch/Renewable Heat Branch/Sustainable Energy Branch – no comment
Energy Co-Ordination Branch
TT & GSNI
Telecoms: See 7.3 Tourism & Minerals - N/A
ASU – N/A
EPD
Expense of social economy activity is closely monitored.
Received from DFE on 05.05.2017
Annotated by RHI Inquiry no comment
Yes
No
DFE-265860
Partly
| 7.5 | | Yes | No | Partly |
|---|---|---|---|---|
| Divisions/Units and Branches within the Group that distribute money in the form of grant have adequate monitoring (claims inspection) systems in place to ensure that the grant is used for the purposes intended by the Department. | | | | |
Comments:
Energy
Markets Branches – Gas and Electricity - Gas Markets – no active Letters of Offer or grant funding of gas projects at present. Electricity Markets – See comments at 7.3 and 7.4 above, otherwise not applicable – no existing contracts or Letters of Offer in place with external parties
Renewable Electricity Policy & Legislation Branch/Renewable Heat
Energy Co-Ordination Branch no comment
- no comment
Branch/Sustainable Energy Branch
TT & GSNI
Telecoms: Telecoms Branch have various monitoring and claims inspection procedures in place to monitor disbursement of monies and have developed grant skills of staff within the unit; Monitoring and claims inspection activities have been reviewed by DETI IAS and recommendations incorporated into procedures as appropriate; Appropriate levels of separation in respect of financial procedures (approvals/authorisations/payment) are in place for each project. There are also named personnel for the management of specific project risks; A number of staff have completed the CIPFA "Fraud Awareness for Grant Funders" training course; seven members of staff have completed CIPFA training in Vouching of Grants and Verification Visits; and, documentation and monitoring arrangements for Next Generation Access, Broadband Fund and Logon-Ni programme have also been agreed with DETI European Programmes Branch (Managing Authority for the ERDF programme) as part of the projects designation procedures and to ensure compliance with auditing procedures. All Telecoms Branch staff have either attended, or will attend as required, mandatory training provided by the DETI Managing Authority in relation to EU. Tourism: In relation to monies allocated towards the Titanic Special Projects re additional works, liaison with NITB and CPD ensure that monies represent Value for money. In addition the appropriate legal documentation has been put in place to support decisions etc. Minerals: N/A etc.
ASU – N/A
EPD
Arrangements to be put in place with Invest NI Claims Inspectorate to verify expenditure in relation to the Social Economy Work Programme.
8 – Internal and External Audit Reports
Comments:
Energy:
Markets Branches – Gas and Electricity - Electricity and Gas Markets – Internal audits in 2011 of ESB/NIE transaction, Climate Change Levy and IME3, revealed no significant weaknesses.
Renewable Electricity Policy & Legislation Branch/Renewable Heat Branch/Sustainable Energy Branch DETI continues to seek clawback of £198,747 from Craigavon Borough Council Protective Writ served on CBC in November 2011. Ongoing monthly updates/meetings still in place with CBC. CBC continues to pursue through their insurance company. No repayment has yet been made.
Energy Co-Ordination Branch no comment
TT & GSNI
Telecoms: Telecoms & ACB continue to pursue allegations made against a company that received a grant under InterregIIIA. Tourism: BIT Reviews of procedures of Tourism Policy Branch processed in October 2008 did not identify any weaknesses.
KPMG on behalf of Internal Audit have recently carried out a review and audit of the TSB project. The Consultants made a positive report following their external visit to Titanic Foundation Limited (TFL). Minerals: N/A
ASU
Most recent Internal Audit Service follow-up report did not reveal any significant weaknesses. A finding was recorded on branch payments (dating and signing of invoices) which was graded at low risk by Internal Audit Service was found to have been partially implemented. EPD, who manage payments for ASU, have reviewed procedures for processing invoices. In addition, ASU have introduced supplementary checks to ensure procedures are being followed correctly.
EPD
IPU - KPMG completed a report August 11 which highlighted three areas of low risk between NISP and DETI.
| 8.2 | | Yes | No | Partly |
|---|---|---|---|---|
| Recommendations arising from internal and external audit reports and PAC hearings are implemented and implementation is monitored by Heads of Division. | | | | |
Comments:
Energy:
Markets Branches – Gas and Electricity no comment Energy Co-Ordination Branch N/A Renewable Electricity Policy & Legislation Branch/Renewable Heat Branch/Sustainable Energy Branch - All issues identified for Sustainable Energy Branch in Internal Audit reports have been actioned.
TT & GSNI
Telecoms: Recommendations made by IAS have been implemented and are monitored by HOB and reported to HOD. European Programmes Branch carries out quarterly Drawdown verification checks and as yet there have been no issues arising. Tourism: Tourism Policy Branch adheres to guidance issued by DFP. Minerals: N/A
ASU
ASU have implemented all recommendations which are the responsibility of the unit, following the Internal Audit report on the previous SPES division.
As noted at 8.1 above, an Internal Audit follow up report found that a recommendation on processing payments had been partially implemented. EPD and ASU have reviewed processes for invoices and added supplementary checks to ensure procedures are being followed.
EPD
IPU - The recommendations to address these have been implemented.
Comments:
Energy:
Markets Branches – Gas and Electricity - Electricity Markets – HOB has received Cabinet Office Information Asset Owner accredited training.
Renewable Electricity Policy & Legislation Branch/Renewable Heat Branch/Sustainable Energy Branch – no comment
Energy Co-Ordination Branch A checklist for all Divisional staff was developed and is circulated alongside a reminder about the full guidance on a regular basis. Regular Divisional security checks now in place and HoD updated accordingly.
TT & GSNI
Telecoms: All data held by Telecoms Branch is categorised at "Restricted" or lower level in accordance with approved NICS Guidance. All data is stored centrally to approved Guidance with appropriate access permissions within file-plan agreed with DETI Departmental Information Manager Stored 3 rd party personal data comprises basic identifier detail such as name/address/telephone number/s only and is generated typically as a consequence of complaint/enquiry management. If additional data is required to be gathered Telecoms Branch liaise with the Departmental Information Manager to ensure best practice guidelines are followed. Data transmission by e-mail (no 3 rd party courier arrangements or use of alternative storage media for data transportation) Data security arrangements have also been discussed with and security enhancements implemented as part of a roll-out programme by DETI IT Branch for those members of staff using laptops or other portable devices. All laptops are Iron-key protected. Tourism: All data is managed, classified, etc in accordance with information management and information security guidelines. Minerals: N/A
ASU – no comment
EPD
All data held are categorised at "Restricted" or lower level in accordance with approved NICS EDRMS. All data are stored centrally to approved EDRMS with appropriate access permissions within file-plan agreed with DETI Departmental Information Manager.
As part of a departmental rollout programme, members of staff using laptops or other portable devices have had the appropriate security enhancements implemented by the DETI IT team
10 – Other Issues
| 10.1 | | Yes | No | Partly |
|---|---|---|---|---|
| Apart from the issues raised above, there are no significant control or other matters arising within the Group which could adversely affect the signing of the biannual SIC. | | | | |
Comments:
Energy:
Markets Branches – Gas and Electricity no comment Energy Co-Ordination Branch no comment Renewable Electricity Policy & Legislation Branch/Renewable Heat Branch/Sustainable Energy Branch – no comment
TT & GSNI
Telecoms: Telecoms Branch is not aware of any significant control or other matters arising within the Branch which could adversely affect the signing of the quarterly SIC. Tourism: There are no significant matters arising within the Titanic team to report during this period. Minerals: N/A
ASU – no comment
EPD
At this point there are no significant matters arising within the Division which would significantly affect the signing of the six monthly SIC.
|
Not Free to Not Love
Mark 12:28-34 November 5, 2006
I.
Today's reading seems tailor-made for a sermon, doesn't it? We are told to love God and our neighbors. Who would argue with that? We have heard this basic principle of Christianity for years. On the surface it seems so obvious that a sermon could almost deliver itself.
And given the many uncertainties and complexities of religion and theology, don't we often look for some easy answers; some central principles that are at the heart of it all?
Today's Gospel seems to describe that all-encompassing fundamental truth. But, as is often the case with Jesus' teachings, the simple answers in theory are not so simple in practice. When we look at the world, and at society, and even at the church, we discover that this part of Mark's Gospel is not a guiding principle in many aspects of contemporary life.
II.
Let's look at these two great commandments Jesus proclaimed. It's important to understand what they are and what they are not. Two important points should be considered. One is the origin of the two commandments and their place in Scripture. The other is how our we actually carry out the commandments.
First, the commandments we heard today are not part of the Ten Commandments that God gave to Moses on Mt. Sinai. In the Ten Commandments we are told that we must not worship other gods or graven images, or take the Lord's name in vain. But the Ten Commandments do not explicitly say anything about loving God with all our heart, soul, mind, and strength. We must go elsewhere in Scripture to find biblical authority for that.
Then the Ten Commandments tell us we shall not bear false witness against our neighbor, and we shall not covet anything that belongs to our neighbor. But again, the Ten Commandments do not say anything about loving our neighbors as ourselves. That also is elsewhere in Scripture.
And we find them in the Jewish law God gave to the Hebrew people in the desert, now written in the Old Testament books of Leviticus and Deuteronomy. They continue today as central to Jewish worship, and when Jesus spoke them in the Gospel he made them central to Christianity.
The first great commandment, that God is one, and that we are to love God with every part of our being, is the fundamental Jewish confession of faith of Deuteronomy 6:4-5. It is the Jewish counterpart of the Nicene Creed for Christians, and even today it is the call to worship used to begin services in synagogues.
The second commandment, found in Leviticus 19:18, is inseparable from the first. That's why, when Jesus was asked by the scribe to give the greatest commandment, he answered with two of them. Jesus basically said that loving your neighbor flows naturally from loving God, and that it is not possible to do one without doing the other. We show our love of God by how we treat our neighbor.
This reading from Mark also appears in the Gospel of Matthew, and there it is said that on these two commandments hang all the law and the prophets. You probably have heard that verse from Matthew proclaimed during our Rite I service of Holy Eucharist.
Also, in Romans 13:9 St. Paul said that the commandments against adultery, murder, stealing and coveting are summed up in the commandment to love your neighbor as yourself. And in
Galatians 5:14 Paul again said that the commandment to love your neighbor as yourself summarizes the whole law.
So, we are called to understand these two great commandments as the overarching summary of everything that Christians are called to do in the world. They stand alone as statements that include the other commandments, and they evidence Jesus' fulfillment of Old Testament law (Gal. 2:16). There is nothing in our faith that exists apart from, or is unaffected by, the obligation to love God and our neighbor.
The other point I want to mention is how this reading makes clear that rituals and ceremonies, and merely showing up at church on Sundays, are not sufficient if we also are not actually doing what these commandments require.
In the Gospel reading the scribe said, and Jesus agreed, that these commandments were much more important than the Temple system of burnt offerings and ritual sacrifices. And just as that was true for Jewish rituals and ceremonies then, it also is true for our rituals and ceremonies now. By placing these commandments ahead of sacrifices Jesus was saying that what resides in our hearts takes precedence over the formalities of worship.
In Psalm 51, for example, we say "O Lord, open my lips, and my mouth will declare your praise. For you have no delight in sacrifice; if I were to give a burnt offering, you would not be pleased. The sacrifice acceptable to God is a broken spirit; a broken and contrite heart."
And in the Book of Hosea, at 6:6, the LORD said, "for I desire steadfast love and not sacrifice, the knowledge of God rather than burnt offerings."
This does not mean, however, we can just forget about church. It does not mean our rituals and ceremonies are unimportant. While there can be tension between the commandments and worship if the commandments are not followed, there is no conflict when we do love God and our neighbor. When we do that, our worship is a natural expression of our love, and we embrace our liturgy as a deeply meaningful activity that is consistent with the commandments.
III.
So, what did Jesus really mean when he said to love God and our neighbor? Can love be commanded? Can love be summoned on demand? Does it come in a flash bang moment, or does it develop over time? How does this kind of love work?
Mark's Gospel, as well as the entire New Testament, was written in Greek because that was the prevailing literary language of the time. And in Greek, unlike English, there are several different words that can be used to describe several different notions or ideas about love.
Three principal Greek words for love are eroj, filia, and agaph, , and they are important because they all translate into the word "love" in English, but they have distinctly different meanings in Greek. Although there have been many classical studies about these terms, I can summarize them this way.
Eros is love in the sense of "being in love." It suggests passion, longing, and romantic love. The English word "erotic" derives from this root. That is not what Jesus meant.
Philia means friendship, and loyalty to family and community. The English term "filial" that describes the relationship between parents and children is related to this word. That also is not what Jesus meant.
Agape, the third Greek word for love, is how Jesus used the term in the Gospel, and it refers to a self-sacrificing, unconditional, all-giving love not based on expectations of receiving anything in return but rather extending oneself out of a sense of devotion, selflessness and recognition of the love that God has for us.
Jesus used this meaning to describe the paternal love of God for humanity and our love of God and humanity. It succinctly is stated in 1 John 4:19, that "We love because he first loved us [and] since God loved us so much, we also ought to love one another."
IV.
With this background, let's look at how we are called to love God and our neighbor. An obvious point is that it is not optional in either case. We do not have a choice. We are not free to not love. In some ways it involves an act of our will. It is something that we do, not something we merely feel. It is something that we bring about and make happen, which is not always easy.
When Jesus said to love God with all your heart, soul, mind and strength, he meant that it is something we do with our entire being. How does that work? Do we scrunch up our eyes, clench our fists, grit our teeth, and just force all of that love to come out of us?
No, not at all. But it does mean that nothing is held in reserve. There are no half measures, no cutting corners, and no doing it tomorrow. Jesus did not say just to trust God, or worship God, or pray to God, or be obedient to God, but rather to love God with all we have. And in loving God we just naturally will do those other things
As a result, it is not only a matter of feeling, but also of action, doing, commitment, and how we actually live our lives. It is a response of the human will, a form of behavior that is evident externally and is an example to others. Loving God is inseparable from how we think, act, decide things, and present ourselves to others.
And when we love our neighbor, we are to do it just as we love ourselves. Note that Jesus did not say to love our neighbor instead of ourselves, but as ourselves. This means that we are called to be just as willing to do something for another as we are to do it for ourselves. It means we treat needs of others as important as our own needs. And when we do that we actually experience a more complete expression of ourselves.
That sounds good, doesn't it? It's hard to disagree with in theory. But it's also virtually impossible to do all the time in practice. Our hearts are not transformed all at once. We just don't just go around not loving God with all of our heart, soul, mind, and strength in one instant, and then suddenly start loving him in that way in the next instant.
V.
As individuals these commandments can sometimes challenge us beyond our capabilities. As part of the church, however, as part of the Body of Christ, it becomes easier.
Remember what Jesus said in the first words of his answer to the scribe. He said "Hear O Israel." He was speaking to the community of faith as well as to people individually. He already was in Jerusalem and knew his death was but days away, and he was setting forth the framework within which the disciples could carry forward his teachings.
Jesus knew that people, acting alone, without interaction and support from each other, could not truly love each other. To love each other necessarily implies the existence of a community. And he knew that people, acting alone, could not fully place their love of God into action. Love of God is more than just individual piety. Again, it is something that requires participation in a community.
So, today, here on the Gulf Coast as this eventful year draws to a close, how do we love God and our neighbor? What do we do, and what have we done, to carry out these commandments?
Perhaps, as we reflect on the year, we might recall individual acts of charity and kindness that we have offered to others, or have received from others, and we might recall deeply spiritual moments where in the silence of prayer we felt the Holy Spirit move within us.
For most of us, I would imagine that those moments had their foundations in the community of faith that we share here at St. Thomas. And for most of us I also would imagine that our ability to live into these two great commandments is grounded in the collegiality and fellowship that we share here at St. Thomas.
And even though I have been standing here and explaining why you should love God and your neighbor, I believe that most of you are on the right side of those commandments most of the time. And when you are not I'm sure that you know you can find strength and support right here from others who love you anyway.
I know we try to do what Jesus told us to do. And when we do it we see that it is good and our hearts are moved to do even more. Such is the nature of love. The more we give, the more we seem to get back. The more we honor God and each other, the more we seem to be blessed.
I pray that as we move away from the difficulties of the last fifteen months, our common life together can lead us to an even deeper sense of spirituality as we continue to worship God, care for each other, and minister to the community. And I pray that our church can continue to be a place where these two great commandments govern all that we do in God's name. Amen.
|
A Teacher's Guide to the
Decoder Report
Introduction
The VIA Me Decoder Report is an optional purchase that accompanies the VIA Survey for Youth. The VIA Survey for Youth is a self-report measure of perceived character strengths. The survey offers a rank-ordering of strengths based on the child's responses to the questions. The VIA Me Decoder Report reviews the student's top character strengths and explores ways to keep those strengths front-and-center. Additionally middle and lower strengths are identified with suggestions for understanding the use of these strengths and how they contribute to well-being. The VIA Me Decoder Report is written directly to the child.
This Teacher Guide is designed to help you better understand this child's results. It contains important information about character strengths, strategies for exploring strengths, implementing strengths in the classroom, and guidance for making the most of the graphs in the report.
You may be wondering how this differs from other positive/character education approaches in schools? The approach is significantly different. Traditionally, character has been discussed in schools with a limited scope. Programs are implemented that focus on a handful of specific strengths. These programs tend to approach all students in the same way, for example, telling the students to focus on "respect" this week and "responsibility" next week.
The approach discussed in this report is distinct from most of these approaches. It comes from a new science of character that has emerged in the last decade and a half. Scientists have found that each person has a unique constellation of many character strengths and that 24 strengths in particular are found across cultures, nations, religions, and beliefs.
The emphasis of this approach is exploration and self-discovery. Each child is viewed as having many strengths of character and the teachers and school community can create a climate that is open to allowing strengths to naturally unfold. Children are encouraged to discover their unique grouping of core strengths and explore their strengths use in the classroom.
It's also important to note that the approach discussed here is meant to complement what you are already doing. A focus on character strengths can be embedded into the classroom, into the school culture, and into lesson plans. Research suggests that a focus on character strengths greatly enhances student learning and engagement, and may re-invigorate the joy of teaching.
This VIA Survey for Youth measures 24 character strengths. All 24 are important and exist to varying degrees, within each of us. Greater awareness and use of character strengths is associated with:
* Improved school performance
* Engaged learning
* Increased happiness
* Stronger relationships
* Improved health
* Greater goal achievement
What Does This Report Reveal?
Every child has many strengths: some are strongly expressed in childhood and some become stronger with age and maturity. Also, some strengths are expressed in context. It's important to develop an "eye" for noticing when students use strengths and how the use of strengths impacts students. Here are some key ideas to keep in mind as you look through the report.
Tips for reviewing the report:
* Remember: This report is all about this child's strengths. The VIA Survey for Youth does not measure weaknesses or problems. So, lesser strengths are still strengths.
* The VIA Survey for Youth measures the child's view of himself/herself, not facts about his/her character.
* These results do not trump real life experiences. If this child is particularly kind in most situations yet kindness emerges low in the results, the life experience should be given greater emphasis than the test results.
* Don't get lost in the numbers. These results are broad brushstrokes and should be viewed as
In the first graph, you will see a listing of the child's many strengths; each of these capacities resides in the student. The strengths are listed in rank order from highest (most endorsed strength) to lowest (least endorsed strength). Based upon student responses to the survey items, each strength is categorized as either a signature strength, middle strength, or lesser strength.
Signature strengths:
These are strengths of character that a person owns and frequently uses. Almost everyone can readily identify a handful of strengths – typically 4-7 – as very much their own. Signature strengths, individually and in combination, often describe us when we are at our best, when we are highly engaged and energized.
The second graph in this report highlights the character strengths the child endorsed most strongly. Many teachers find it useful to reflect upon and explore the following signature strength questions with the children in their classroom:
* Does this strength reflect who they really are?
* Does this strength come naturally? Is it easy to express?
* Do they feel more energized when using this strength than when not using it?
* Would their family members and friends be quick to identify this strength in them?
* Do they seem to use this strength frequently at home, school, socially, and in other activities?
The report provides the following information on each of this child's signature strengths: expanded definitions, benefits of exercising the strength, how others perceive them based on their strengths, movies, book characters and songs that exemplify the strength, and strategies for using the strength. These sections are designed to engage and inform students, increase self-awareness, and provide opportunities for growth.
Middle strengths:
Middle strengths are those strengths that are probably expressed less frequently than signature strengths but still play an important role in life. They often support and are supported by signature strengths. Like signature strengths, middle strengths help to define who the child is at his or her best. The report offers expanded definitions and strategies for flexing those strengths. You can help students explore their middle strengths by asking:
* When/where do they express these strengths?
* How do these strengths work in combination with (or otherwise relate to) their signature strengths?
* Which of these strengths "pop up" when they are in high stress situations?
Lesser strengths:
Lesser strengths are character strengths that may not occur as naturally as others, and often require a fair amount of effort and energy to use. Exercising these strengths can often be trying, but well-worth the effort when the situation calls for them. The report contains expanded definitions of the lower strengths and tips for boosting each strength.
Supporting the Child's Strengths
Character strengths are seeds you can nourish:
Character strengths are capacities – or potentials within us – for thinking, feeling, and behaving in positive ways. The 24 strengths can be thought of as seeds that exist within each of us. When we attend to these "seeds" within students, we may provide opportunities for the seeds to "germinate". Perhaps a given seed will one day be a tall redwood tree, or a beautiful apple tree? We cannot know for sure. What we can do is tend to these seeds and help children to tend to them as well. When we acknowledge the strengths that we see in students, we help them to see their own strengths (and those of their peers). When we acknowledge a student's act of kindness, or a show of leadership, we reinforce the strength within the student. When that acknowledgment is public, we reinforce the strength within the group. Such acknowledgments – whether private or public – will lead to greater self-awareness and a heightened sense of well-being.
How might you begin nourishing a student's strengths?
The value of modeling:
Children learn an enormous amount simply through observation. You are an important role model for the students you teach. Take time to explore this ripe learning opportunity. If you consistently express certain character strengths in the classroom, you are acting as a positive model that children can imitate.
* Not sure where to start? Consider your own signature strengths. Identify your own core strengths of character (www.viame.org) and use them each day in the classroom. You may be surprised at how the use of your signature strengths adds to your energy and enthusiasm. Talk about your strengths with your students, and point out when you are using them. The more that you are mindful of your own signature strengths, the better you will be at helping children to connect with their strengths.
Shifting from a problem focus to a strengths focus:
It's easy to let our attention be drawn to deficits when working with kids. We often hone in on what needs to be "fixed" and fail to recognize what's working well. Shifting to a more balanced approach requires that we pay attention to what's already working. When we view a child through the lens of character strengths, we understand and embrace who that child is at his or her core.
Children (and adults) are frequently blind to their own strengths. This is especially true when dealing with difficult or challenging situations. Holding up a mirror for kids to see the good in themselves can go a long way towards promoting a more accurate and positive self awareness
* When a student is struggling, help him or her to use strengths to navigate through challenges and obstacles:
* You might point to other times that you have observed them "sticking with" something to completion
If a student has trouble attending to a lesson, how might you encourage greater perseverance?
* You might ask when they have persevered in the past.
o Example: "Suzie, I can see that you are having difficulty with this math assignment, which of your top strengths might you use to help you in this situation? How have you tackled difficult math problems in the past? Which strengths do you think you used?"
* You might ask them how they could use their signature strengths to help with the situation.
Strength heroes:
* You might consider having students thinking about their heroes? Who are their personal heroes? What character strengths can the students identify in their heroes? The VIA Me Decoder Report provides some examples, but having students go through the process of identifying their own heroes' character traits can be an illuminating leaning experience. What characters from books does the child look up to? What are their greatest strengths?
Example: Harry Potter for his creativity and hope?
Example: Katniss from The Hunger Games for her perseverance and love?
* What characters from movies are heroes to the child? What are their greatest strengths?
Example: Nemo from Finding Nemo (2003) for bravery, love, and perseverance?
Example: Alice from Alice in Wonderland (2010) for her curiosity and honesty?
Create a classroom culture of strengths:
* Strengths-spotting: One of the best ways to create a strengths culture is to practice, promote, and model strengths-spotting.
When you see a student demonstrating a particular strength, it's useful to name it.
Explain to the student what you observed, making clear how what you observed reflects the identified strength(s).
If you want to take strengths-spotting to the next level, share your appreciation for the strengths they've displayed.
Embedding Strengths into the Curriculum:
* Exploring character strengths enhances learning.
Example: If the students are learning a new sport, discuss the value of the strengths of teamwork, leadership, and other character strengths that may be relevant.
Celebrations:
* Create celebrations that highlight particular character strengths. Use these as opportunities for selfexploration.
Using strengths to facilitate growth:
* Encourage students to use their character strengths in new ways each day. This will help them feel more comfortable "in their own skin" and will likely enhance their well-being.
Example: For curiosity, ask someone a question or two to discover something new about them.
Example: For kindness, look for opportunities to help out another person, such as holding the door for them or picking up something that has been dropped.
Conclusion
This report has provided you with the essential ingredients for understanding this child's VIA Me Decoder Report. In today's world it is all-too-easy to forget to turn to strengths or to become overwhelmed or distracted by the situation at hand in the classroom. However, becoming versatile in knowing, discussing, and working with the character strengths of the children in your class will help you at those moments of highest need. Remember that this character strengths work is an ongoing process in which new insights and ideas will pop up, even daily. Be sure to review the Decoder Report periodically to help you keep the intention of working with character strengths top-of-mind.
The VIA Institute on Character wishes you well on this journey.
Appendix: Additional Strengths Resources
www.youtube.com/user/VIAStrengths?feature=mhw5: These videos document strengths-based practices in classrooms and schools. Videos includes testimonial responses from students, teachers, and parents. Search for the following videos: "Positive Education with Character Strengths", "Character Strengths Classroom Connection in Shanghai," and "Newark Boys Chorus School."
www.viapros.org: This website is stocked full of free resources that includes stories, practitioners sharing their strength practices, inspiring videos, and user-friendly research summaries. There are also online courses and workshops people can take to learn all they would ever want to know about applying character strengths.
Authentic Happiness (2002) by Martin Seligman. This book is a good introduction to positive psychology and character strengths.
Celebrating Strengths (2008) by Jenny Fox Eades. This book is for teachers and school professionals interested in bringing character strengths into a school culture.
Positive Psychology at the Movies (2013) by Ryan M. Niemiec and Danny Wedding. This book reviews each of the 24 character strengths, positive relationships, and the best movies that portray them, including an appendix of movies for youth and families. Useful for practical exercises involving "strengths heroes."
Smart Strengths (2011) by John Yeager, Sherri Fisher, and David Shearon. This guide-book is for parents, teachers, and coaches interested in building character strengths and resilience in youth.
Strengths Gym (2011) by Carmel Proctor and Jenny Fox Eades. This practical book focuses on various exercises for working with each of the 24 character strengths. It comes with a CD of worksheets and exercises.
Background on the VIA Classification and the VIA Surveys
VIA Institute: The VIA Institute on Character, a non-profit organization in Cincinnati, OH, was created in 2000 by Dr. Neal Mayerson, in partnership with Dr. Martin Seligman.
VIA Survey: The VIA Inventory of Strengths (VIA-IS), nicknamed the "VIA Survey," is the scientific tool that measures the 24 character strengths in adults. The VIA Survey for Youth was created for youth ages 10-17. These VIA surveys have been taken by nearly 2 million people. This survey is the only strengths survey in the world that is free, online, and psychometrically valid.
VIA Classification: The VIA Classification of six virtues and 24 character strengths is the result of a three-year project reviewing the best thinking on virtue and positive human qualities in philosophy, virtue ethics, moral education, psychology, and theology, spanning 2500 years. The work was conducted under the auspices of the VIA Institute, Seligman, 55 leading scientists, and directed by Professor Chris Peterson. The 24 character strengths have been found to be universal across religions, cultures, nations, and belief systems, and are considered the "basic building blocks" to a flourishing life. This work is reviewed in the scholarly text, Character Strengths and Virtues (2004).
The Language of Strengths (VIA Classification)
The virtue of wisdom: Strengths involving the acquisition and use of knowledge
Creativity: Originality; adaptive; ingenuity
Curiosity: Interest; novelty-seeking; exploration; openness to experience
Judgment: Critical thinking; thinking things through; open-minded
Love of Learning: Mastering new skills & topics; systematically adding to knowledge
Perspective: Wisdom; providing wise counsel; taking the big picture view
The virtue of courage: Strengths involving the exercise of will to accomplish goals
Bravery: Valor; not shrinking from fear; speaking up for what's right
Perseverance: Persistence; industry; finishing what one starts
Honesty: Authenticity; integrity
Zest: Vitality; enthusiasm; vigor; energy; feeling alive and activated
The virtue of humanity: Strengths involving tending and befriending others
Love: Both loving and being loved; valuing close relations with others
Kindness: Generosity; nurturance; care; compassion; altruism; "niceness"
Social Intelligence: Aware of the motives/feelings of self/others, knowing what makes other people tick
The virtue of justice: Strengths that underlie healthy community life
Teamwork: Citizenship; social responsibility; loyalty
Fairness: Just; not letting feelings bias decisions about others
Leadership: Organizing group activities; encouraging a group to get things done
The virtue of temperance: Strengths that protect against excess
Forgiveness: Mercy; accepting others' shortcomings; giving people a second chance
Humility: Modesty; letting one's accomplishments speak for themselves
Prudence: Careful; cautious; not taking undue risks
Self-Regulation: Self-control; disciplined; managing impulses & emotions
The virtue of transcendence: Strengths that forge connections to the larger universe and provide meaning
Appreciation of Beauty and Excellence: Awe; wonder; elevation
Gratitude: Thankful for the good; expressing thanks; feeling blessed
Hope: Optimism; future-mindedness; future orientation
Humor: Playfulness; bringing smiles to others; lighthearted
Spirituality: Religiousness; faith; purpose; meaning
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Riparian
Riparian Factsheet - No. 7 in Series
Order No. 810.210-7
June 2012
WEED MANAGEMENT IN AGRICULTURAL RIPARIAN AREAS
Weed management in riparian areas is important to ensure more desirable vegetation, such as native species, can out-compete and survive. Control of undesirable vegetation is a critical part of farm management.
Why are Weeds a Problem?
The spread of invasive non-native plants, or weeds, can have many negative impacts. Where weeds are found in riparian areas, they can cause particular problems:
* Competition for moisture, nutrients and light from weeds can reduce the growth of more desirable native plants.
* Weeds do not provide the quantity and quality of riparian functions provided by more desirable plants, shrubs and trees. For more information on the functions that riparian vegetation provides, see the What is Riparian Health? section of the Riparian Management Field Workbook.
* If the riparian area is grazed or produces cultivated crops, weed competition can also reduce crop yield and quality.
* The root-soil matrix that weeds form tends to be shallow rooted and has weaker roots than more desirable riparian plants. This can lead to unstable stream banks as the weed root-soil matrix is more susceptible to damage from stream scour, livestock hoof damage and other factors.
* Some weeds, such as Reed canary grass, can grow in the watercourse at low water, clogging the channel and increasing the risk of flooding. Drainage maintenance works to remove instream vegetation may negatively impact fish habitat.
Reprinted with funding fromGrowing Forward, a federal-provincial-territorial initiative.
* Reduced value of the habitat for fish, wildlife, birds, and domestic animals when weeds replace more desirable native plants.
* Some weeds, weed seeds or sap are potentially toxic to humans, pets, livestock and wildlife.
Weed Management
Riparian areas are critical from environmental and agricultural perspectives. Weed management in these critical areas is both extremely important and can be very difficult. Weed management methods used in less sensitive areas may have to be modified or not used in riparian areas. The environmental integrity of the riparian area and the water resource must be protected from weeds and
Giant Hogweed sap can cause serious skin rashes
poor weed management methods by ensuring the riparian areas are functioning properly.
Agricultural areas are highly modified landscapes used for the production of crops and/or livestock. Weeds in these areas must be managed to prevent spread into riparian areas. Conversely, weeds that have become established in riparian areas must be prevented from spreading to upland agricultural areas. Unmanaged riparian zones in agricultural areas can act as pathways for entry of weeds into upland areas. For example, weed seeds can move from one part of a watercourse to another, become established in this new riparian area and then spread into adjacent upland areas.
Page 1 of 4
Weeds Can Perform Some Desirable Riparian Functions
In some situations, weeds can provide some desirable riparian functions, such as erosion control, and are significantly better than bare ground. Weeds that have colonized large portions of riparian areas should not be eliminated without at plan to replace them with more desirable plants.
IMPORTANT NOTE: Be particularly cautious not to leave noxious or highly invasive species in a riparian area due to the risk of spread into upland agricultural areas.
Integrated Weed Management in Riparian Areas
Weed management in riparian areas, as in other agricultural areas, should utilize an Integrated Weed Management approach. The publication Seven Steps to Managing Your Weeds provides guidance for creating an integrated
weed management plan.
An integrated approach should include the following processes for long term success:
* Prevent weeds from invading riparian areas by effective management both in the riparian area and in adjacent areas.
* Learn to identify invasive weed species and recognize the damage they cause so that they may be controlled at the earliest opportunity. Do not allow weed populations to become well established as removal will be much more difficult.
* Map weed populations already established in the riparian areas so that effective management strategies can be developed based on the information provided on the map.
* Make management decisions based on knowledge of potential damage, cost of control methods, and environmental impacts of the weed and the control option. Management strategies should focus on small outlying populations first as these can become well established if allowed to grow. In controlling weeds, always work from areas of least concentration towards the areas of the greatest weed populations.
* Use management strategies that include a diversity of methods to reduce weed population to an
Reprinted with funding fromGrowing Forward, a federal-provincial-territorial initiative.
acceptable level. Long-term strategies such as development of a shade producing competitive cover can be used in combination with short term treatments such as direct removal to provide a healthy riparian ecosystem that is resistant to weed invasions.
* Monitor the effectiveness of weed management efforts and adjust management as necessary. An adaptive management approach to weed management has been shown to be most effective. In this system, monitoring is used to inform management designs and thus continual improvements are possible.
To be successful, an integrated weed management plan should incorporate a number of strategies including prevention, physical and cultural strategies and/ or herbicide use.
Prevention
* Prevention is the most important weed management strategy, but often the least used one.
* Landowners should do everything in their power to prevent weeds from establishing in riparian areas. This includes preventing disturbances from overgrazing, excavation and any other activity that results in bare ground that provides weeds with an opportunity to become established.
Cultivation
* Cultivation (or tillage) can reduce weed survival by destroying weed roots and depleting seed reserves in the soil.
* In riparian areas, cultivation as a weed control strategy should be used as a last resort. Cultivation disturbs the soil and provides an opportunity for undesirable plants to become established.
* In most cases, desirable riparian vegetation includes a mixture of woody and herbaceous species growing in an irregular pattern. Under these circumstances, cultivation for weed control is difficult without damaging desirable plants.
* Cultivation is suitable for site preparation prior to planting a riparian area or to control a stand of annual weeds. Establishment of desirable vegetation needs to take place as soon as possible after cultivation to prevent reestablishment of weeds and water erosion of bare soil (planting these bare soil areas with seed mixtures that will quickly produce a vegetation mat is called green-up).
Page 2 of 4
Mowing or Cutting
* Mowing is an option for short-term weed control. Although single cuts can rarely eliminates weeds, repeated cutting to deplete underground root reserves can be an effective method of control.
* If there is a mixture of desirable and less desirable plants in the riparian area, mowing or cutting using a weed whip can be used to suppress the less desirable plants giving an advantage to the more desirable plants.
* If shrubs and trees are planted in rows along the length of riparian areas, mowing may be a viable weed control option until they achieve mature size and can shade out the weeds.
Using Herbicides in Riparian Areas
* Prior to using herbicides in riparian areas, ensure that all non-chemical options have been considered.
* Herbicide applications in riparian areas should only take place on a short-term basis to suppress or eliminate serious weeds, and should be coupled with the establishment of more desirable vegetation.
* Application of herbicides in riparian areas should be cut-stump or spot-treatments using directed low pressure spray (hooded if possible) or wick application equipment. Glyphosphate is the most common herbicide used in this way in riparian areas.
* Care must be taken to ensure that established trees and shrubs are not accidentally damaged by herbicides.
* Application of herbicides in riparian areas must be done following label recommendations and ensure that aquatic ecosystems are not adversely impacted.
* A pesticide application permit and authorization will be required for use of any herbicides in riparian areas. Check the pesticide label, and with the Ministry of Environment and Fisheries and Oceans Canada (DFO) for details.
Steam and Flame Weed Control
* Steam and flame weed control equipment is available and may be more desirable than herbicide application in riparian areas.
* Steam and flame weed control can kill annual plants and above ground parts of perennial plants, however, only with repeated treatments will this method kill established perennial plants.
Reprinted with funding fromGrowing Forward, a federal-provincial-territorial initiative.
* Tree and shrubs that have taken years to establish may be accidentally damaged by steam and flame weed control.
* Be extremely careful with flame systems. In dry areas of the province and during the hot dry part of the summer, flame weed control may start a fire that can quickly spread to upland areas.
Mulching
* Mulches can both reduce weed competition and conserve soil moisture. Weed control in the three to four-foot radius around a tree or shrub seedling is the most important.
* A wide range of organic and non-organic mulch materials, including fabric mulch, are available that can smoother weeds in riparian areas.
* Mulches vary in their ability to control weeds. Success depends on the type of mulch and characteristics of the weeds being managed. Mulches provide better control of small plants, annuals and new seedlings than well established weeds (e.g. a well established stand of reed canary grass would lift or grow through most mulches).
* Clear plastic sheeting can be used to kill weeds by creating excessive heat during hot sunny weather.
* Organic mulches should be properly composted before use to minimize the ensuing leachate. Leachate from bark mulch or woodwaste materials is toxic to fish and other aquatic organisms.
* Caution should be used when applying mulches or fabrics in areas that flood to prevent materials from being washed downstream.
Special Riparian Weed Notes:
* Reed canary grass is considered to be a serious weed problem in coastal riparian areas, but is a desirable riparian plant in some parts of the Interior.
* Non-native blackberry is a serious weed issue in many coastal areas. This plant has a small root system that provides minimal stream bank protection. Blackberry plants can be difficult to control and they create large amounts of shade that eliminates more desirable riparian plants. Some people have suggested that heavy blackberry cover provides excellent riparian shade. This is a very short-sighted view as blackberries can prevent the improvement of the riparian functions using more desirable species.
Page 3 of 4
References
Journal of Pesticide Reform. Winter 2004. Vol 24. No. 4. Herbicide Factsheet. Glyphosate. http://www.pesticide.org/glyphosate.pdf
Trotter, Dave ed. 2005. Riparian Management Field Workbook, 1st Edition. Canada - British Columbia Environmental Farm Plan Program
United States Environmental Protection Agency (1993) R.E.D. Facts. Glyphosate. http://www.epa.gov/oppsrrd1/REDs/factsheets /0178fact.pdf
FOR FURTHER INFORMATION CONTACT
David Trotter
Phone: (604) 556-3148
Email: firstname.lastname@example.org
David Ralph
Phone (250) 371-3826
Email: email@example.com
Reprinted with funding fromGrowing Forward
Weeds BC Resources. Open Learning Agency. 2002. Guide to Weeds in BC. 1st Edition. www.weedsbc.ca/resources.html
Weeds BC Resources. Open Learning Agency. 2002. Seven Steps to Managing Your Weeds. 1st Edition. www.weedsbc.ca/resources.html
SUSTAINABLE AGRICULTURE MANAGEMENT BRANCH
Ministry of Agriculture 1767 Angus Campbell Road Abbotsford, BC Canada V3G 2M3
RANGE BRANCH
Ministry of Forests, Lands and Natural Resource Operations
441 Columbia St
Kamloops BC Canada V2C 2T3
, a federal-provincial-territorial initiative.
Page 4 of 4
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